anaheim city school...

Joel D. MonteroChief Executive Officer

Maintenance, Operations Grounds and Facilities Staffing ReviewFebruary 21, 2014

Anaheim City School District

Fiscal crisis & ManageMent assistance teaM

February 21, 2014

Linda Wagner, Ed., SuperintendentAnaheim City School District1001 S. East StreetAnaheim, CA 92805

Dear Superintendent Wagner:

In August 2013, the Anaheim City School District entered into a study agreement with the Fiscal Crisis and Management Assistance Team (FCMAT) to perform the following:

Conduct an organizational, staffing and efficiency review of the district’s facilities and mainte-nance operations, including grounds and custodial operations.

a. Provide comparative staffing data for districts of similar size and type and make recom-mendations to improve operational efficiencies that may reduce district costs. The comparison will include at least three comparable school districts and may include those utilized in collective bargaining by the district.

b. Review job descriptions for all facilities and Maintenance Department positions, evaluate capacity, scheduling, efficiency and functions, and make recommendations for staffing and operational improvements. Include estimated calculated values for any proposed position reductions or enhancements to the organizational structure.

c. Evaluate the operational work flow of each departmental function for the facilities and maintenance areas and make recommendations for improved efficiency and standard industry practices, if any.

d. Review and make recommendations for the proposed position of energy manager, which is to assist in the development and monitoring of energy efficient projects. The position is proposed to be funded from Proposition 39 funds approved by the voters in November 2012. Proposition 39 provides funding for energy efficient projects and to create clean energy jobs.

This report contains FCMAT’s findings and recommendations. We appreciate the opportunity to serve you and extend our thanks to all the district’s staff for their cooperation during fieldwork.

Sincerely,

Joel D. MonteroChief Executive Officer

AnAheim City SChool DiStriCt

iT A B L E O F C O N T E N T S

Table of contents

About FCMAT ......................................................................................... iii

Introduction ............................................................................................ 1

Executive Summary .............................................................................. 3

Organizational Structure .................................................................... 5

Findings and Recommendations ..................................................... 7

Maintenance .................................................................................................... 7

Custodial ......................................................................................................... 13

Grounds ........................................................................................................... 21

Facilities ...........................................................................................................25

Staffing Comparisons ................................................................................. 37

Appendices ............................................................................................41


ii T A B L E O F C O N T E N T S


iiiA B O U T F C M A T

About FCMATFCMAT’s primary mission is to assist California’s local K-14 educational agencies to identify, prevent, and resolve financial and data management challenges. FCMAT provides fiscal and data management assistance, professional development training, product development and other related school business and data services. FCMAT’s fiscal and management assistance services are used not just to help avert fiscal crisis, but to promote sound financial practices and efficient operations. FCMAT’s data management services are used to help local educational agencies (LEAs) meet state reporting responsibilities, improve data quality, and share information.

FCMAT may be requested to provide fiscal crisis or management assistance by a school district, charter school, community college, county office of education, the state Superintendent of Public Instruction, or the Legislature.

When a request or assignment is received, FCMAT assembles a study team that works closely with the local education agency to define the scope of work, conduct on-site fieldwork and provide a written report with findings and recommendations to help resolve issues, overcome challenges and plan for the future.

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FCMAT also develops and provides numerous publications, software tools, workshops and professional development opportunities to help local educational agencies operate more effec-tively and fulfill their fiscal oversight and data management responsibilities. The California School Information Services (CSIS) arm of FCMAT assists the California Department of Education with the implementation of the California Longitudinal Pupil Achievement Data System (CALPADS) and also maintains DataGate, the FCMAT/CSIS software LEAs use for CSIS services. FCMAT was created by Assembly Bill 1200 in 1992 to assist LEAs to meet and sustain their financial obligations. Assembly Bill 107 in 1997 charged FCMAT with responsi-bility for CSIS and its statewide data management work. Assembly Bill 1115 in 1999 codified CSIS’ mission.

AB 1200 is also a statewide plan for county office of education and school districts to work together locally to improve fiscal procedures and accountability standards. Assembly Bill 2756 (2004) provides specific responsibilities to FCMAT with regard to districts that have received emergency state loans.

In January 2006, SB 430 (charter schools) and AB 1366 (community colleges) became law and expanded FCMAT’s services to those types of LEAs.


iv A B O U T F C M A T

Since 1992, FCMAT has been engaged to perform nearly 850 reviews for LEAs, including school districts, county offices of education, charter schools and community colleges. The Kern County Superintendent of Schools is the administrative agent for FCMAT. The team is led by Joel D. Montero, Chief Executive Officer, with funding derived through appropriations in the state budget and a modest fee schedule for charges to requesting agencies.


1I N T R O D U C T I O N

Introduction

BackgroundLocated in Orange County, the Anaheim City School District is one of the largest elementary school districts in the state, serving approximately 19,100 K-6 students at 26 schools. In August 2013, the district entered into an agreement with the Fiscal Crisis and Management Assistance Team (FCMAT) for a study to perform the following:

Conduct an organizational, staffing and efficiency review of the district’s facilities and maintenance operations, including grounds and custodial operations.

a. Provide comparative staffing data for districts of similar size and type and make recommendations to improve operational efficiencies that may reduce district costs. The comparison will include at least three comparable school districts and may include those utilized in collective bargaining by the district.

b. Review job descriptions for all facilities and Maintenance Department positions, evaluate capacity, scheduling, efficiency and functions, and make recommendations for staffing and operational improvements. Include estimated calculated values for any proposed position reductions or enhancements to the organizational structure.

c. Evaluate the operational work flow of each departmental function for the facili-ties and maintenance areas and make recommendations for improved efficiency and standard industry practices, if any.

d. Review and make recommendations for the proposed position of energy manager, which is to assist in the development and monitoring of energy effi-cient projects. The position is proposed to be funded from Proposition 39 funds approved by the voters in November 2012. Proposition 39 provides funding for energy efficient projects and to create clean energy jobs.

Study TeamThe study team was composed of the following members:

Eric D. Smith, MPA Ashley Lightfoot*FCMAT Fiscal Intervention Specialist Director of Support Operations Templeton, CA Paso Robles Joint Unified School District Paso Robles, CA John Von Flue FCMAT Fiscal Intervention Specialist Leigh Coop*Bakersfield, CA Director of Facilities Vacaville Unified School DistrictLeonel Martínez Vacaville, CAFCMAT Technical WriterBakersfield, CA

*As members of this study team, these consultants were not representing their respective employers but were working solely as independent contractors for FCMAT.


2 I N T R O D U C T I O N

Study GuidelinesFCMAT visited the district on September 16-18, 2013 to conduct interviews, collect data and review documents. This report is the result of those activities and is divided into the following sections:

I. Executive Summary

II. Organizational Structure

III. Maintenance

IV. Custodial

V. Grounds

VI. Facilities

VII. Staffing Comparisons

VIII. Appendices


3E X E C U T I V E S U M M A R Y

Executive SummaryFCMAT conducted an organizational and staffing review to provide the Anaheim City School District governing board and district administration with an independent and external review of its Maintenance, Grounds and Operations functions. This review was completed to identify areas of redundancy, improper segregation of duties between departments, and inappropriate staffing levels based on industry standards and comparisons to other districts of similar size and composi-tion. Three comparative districts were selected using Ed-Data, a collection of statistical perfor-mance, demographic and financial data supplied by California school districts. Ed-Data provides a unique information database through the cooperative efforts of the California Department of Education, EdSource and the Fiscal Crisis & Management Assistance Team.

The district should be staffed according to basic theories of organizational structure and standards used in other school agencies of similar size and type. The organizational structure should reflect the generally accepted theories of organizational structure, which include span of control, chain of command, and line and staff authority. Based on industry standards, a review of comparison districts, and interviews with the staff, the Anaheim City School District should consider the following recommendations:

• Reorganize the Maintenance Department with traditional classifications.

• Designate supervisors as either maintenance, or operations/grounds, but not both.

• Ensure that concerns are addressed through supervisory structure, and not directly to upper levels of governance.

• Train staff so that the evaluation process is consistent and meaningful. The evaluation form should be revamped to include a greater rating span.

• Continue having weekly safety meetings and assigning the staff to present safety topics. Add more hands-on safety training and equipment safety training.

• Ensure that management is the primary contact when working with work order requestors in determining project feasibility and cost.

• Develop a more efficient work order feedback system, exploring the staff use of digital devices for entering work order data.

• Reassign the plumber to the Maintenance Department to align the maintenance function of plumbing with the organizational structure of the department.

• Continue to ensure detailed custodial schedules are developed for each site and for each custodial position.

• Ensure the department directors develop a cooperative relationship and are unified when working with and within their departments.

• Ensure clear roles of supervision are identified to lead custodian and custodian positions.

• Promote communication between the maintenance and operations supervisor and the site administration to support consistent oversight and reasonable expectations.

• Enforce professional behavior at all levels of management in the Facilities and Maintenance Departments with strong disciplinary consequences for noncompliance.


4 E X E C U T I V E S U M M A R Y

• Limit the frequency that grounds keepers are reassigned from their regular duties to perform nongrounds-related functions.

• Enable the irrigation specialist to review landscape architect plans to ensure that the grounds crew has the financial resources and technical expertise to maintain the irrigation systems and vegetation proposed in the final approved plans.

• Standardize irrigation components, such as sprinklers and controllers, so that the grounds crew is not required to stock and maintain several different systems.

• Change the maintenance and operations supervisor - supervisor of construction position to supervisor of construction, transferring the position from the Maintenance Department to the Facilities Department to reflect actual operations.

• Provide the facilities technician in construction with ongoing training in the use of the Colbi Technologies system, as needed.

• Annually reconcile the Colbi system used for facilities accounting with the district’s financial reporting system, including becoming current with the past two fiscal years to produce accurate and up-to-date project budget/expenditure reports.

• Transfer the Division of the State Architect close-out responsibility to the supervisor of construction.

• Transfer supervision of the contracted construction managers to the director of facilities.


5O R G A N I Z A T I O N A L S T R U C T U R E

Organizational StructureA school district’s organizational structure should establish the framework for leadership and the delegation of specific duties and responsibilities for all staff members. This structure should be managed to maximize resources and reach identified goals and should adapt as the district’s enrollment increases or declines. The district should be staffed according to basic, generally accepted theories of organizational structure and the standards used in other school agencies of similar size and type. The most common theories of organizational structure are span of control, chain of command, and line and staff authority.

Span of Control Span of control refers to the number of subordinates reporting directly to a supervisor. While there is no agreed-upon ideal number of subordinates for span of control, it is generally agreed that the span can be larger at lower levels than the higher levels of an organization because subordinates at the lower levels typically perform more routine duties, and therefore can be more effectively supervised, according to Principles of School Business Management by Craig R. Wood, David C. Thompson and Lawrence O. Picus. For example, the district’s maintenance and operation supervisor over main-tenance supervises 13 maintenance workers, but the maintenance and operations supervisor over operations (custodial) and grounds jointly supervises 61 custodians and supervises 11 grounds crew members and one plumber. It could be argued that this supervisor has an excessive span of control.

Chain of Command Chain of command refers to the flow of authority in an organization and is characterized by two significant principles. Unity of command suggests that a subordinate is only accountable to one supervisor, and the scalar principle suggests that authority and responsibility should flow in a direct vertical line from top management to the lowest level. The result is a hierarchical division of labor as described in Principles of School Business Management. For example, the district has two main-tenance and operations supervisors who report directly to the district’s director of maintenance and operations, who in turns reports directly to the assistant superintendent of administrative services, who reports directly to the superintendent, who is accountable to the governing board.

Line and Staff Authority Line authority is the relationship between supervisors and subordinates. It refers to the direct line in the chain of command. For example, the assistant superintendent of business services has direct line authority over the director of fiscal services, and the director of fiscal services has direct line authority over the fiscal services department staff. Conversely, staff authority is advisory in nature. Staff personnel do not have the authority to make and implement decisions, but act in support roles to line personnel. The organizational structure of local educational agencies contains both line and staff authority. For example, the district has maintenance, operations and grounds staff who report directly to one of the district’s two maintenance and operations supervi-sors. However, they are also may be directed by other management personnel in the district, such as site administrators, but do not report directly to them.

The purpose of any organizational structure is to help district management make key decisions to facilitate student learning while balancing its financial resources. The organizational design should outline the management process and its specific links to the formal system of communica-tion, authority, and responsibility necessary to achieve the district’s goals and objectives.


6 O R G A N I Z A T I O N A L S T R U C T U R E


7M A I N T E N A N C E

Findings and Recommendations

Maintenance The Maintenance and Operations Department is managed by a director of maintenance and operations, who was hired 20 months before FCMAT’s fieldwork. Most of the district’s mainte-nance employees have worked in the department more than 15 years and have had several direc-tors during that time. The current director has made many operational changes to the depart-ment. This includes routine daily morning meetings in which employees are accounted for, issued work orders, and asked their intent for the day and the sites where they will work. Although this change conforms to industry best practices, it was met with some resistance. This practice should continue, and a brief afternoon meeting should be added to verify the safe return of all employees before release from the workday.

The Maintenance Department’s organizational structure is typical of school districts of similar size. However, the organizational structure has two M&O supervisors with very different func-tional responsibilities and staffing. One M&O supervisor supervises the skilled maintenance workers and the specialized maintenance workers, while the other has custodians, groundskee-pers, maintenance I workers, and the plumber (maintenance III). This causes conflict across the department because of unclear organizational lines between operations and maintenance.

Current Organization

Director of Maintenance & Operations

M&O Supervisor

Maintenance IIs (Skilled)

Maintenance III (Specialized)

M&O Supervisor

Custodians

Maintenance Is

Groundskeepers

Plumber (Maint III)


8 M A I N T E N A N C E

Maintenance and operations staff should be reassigned to the Maintenance Department so that all fall within the same organizational group. Likewise, the M&O supervisory positions should be redesignated as maintenance supervisor and operations supervisor, respectively.

Recommended Organization

Director of Maintenance & Operations

Maintenance Supervisor

Maintenance Is

Maintenance IIs (Skilled)

Maintenance III (Specialized)

Operations Supervisor

Custodians

Groundskeepers

Organizational structures become ineffective when circumvented by staff members or the lines of authority are unclear and not followed. Interviews with staff found some are reluctant to make necessary changes or difficult decisions because of complaints from line staff directly to board members. These informal lines of communication should be strongly discouraged.

During FCMAT’s visit, district administration held a meeting to solicit staff comments. This occurred because a school board member was reportedly told that some personnel did not have that opportunity to be interviewed. As a result, maintenance and operations staff complained directly to board members, who responded without requesting that the staff go through the regular chain of command.

Employees should have a formal mechanism and channels for complaints and suggestions. A perception of possible retaliation can block employee/department communication and encourage employees to seek other channels, including going directly to governing board members. A clear chain of command, from staff to supervisor and above, should be established, communicated and consistently enforced across all levels.

SafetySafety training is provided and recorded at weekly safety meetings held on Thursday mornings. This is also an industry best practice. Topics of the meetings vary significantly. Staff interviews indicated that the hands-on training was more effective than standard lecture type classes.



Along with weekly safety meetings, management has made available appropriate personal protective equipment to line staff and provided proper training in its use. However, neither maintenance workers nor groundskeepers were provided or wore steel-toed protective footwear in their daily tasks. The Occupational Safety and Health Administration recommends the use of this footwear in all operations that may involve falling or rolling objects or puncture hazards to the foot (OSHA 1910.136); a significant concern in daily maintenance and grounds activities.

StaffingThe Maintenance Department has 18 full-time equivalent (FTE) employees, which includes two heating, ventilation and air-conditioning (HVAC) technicians, two electricians, two painters, one plumber, seven skilled maintenance IIs, and four maintenance I personnel. This compares favorably with other similarly-sized districts at 1.31 staff per 100,000 square feet of facility space, and a student to staff ratio of 1066-to-1. However, given the district’s significant number of HVAC systems, (1000+ package units), industry standards would recommend one additional HVAC technician. Additionally, the district’s movement towards energy management systems (EMS) for HVAC units has shown that the Maintenance Department has an insufficient number of personnel who are certified or trained in the operation and maintenance of low-voltage digital systems. As a result, the district always depends on contractors to maintain and repair the EMS systems, as well as alarm and other low-voltage systems. The district should use a low-voltage technician for these tasks.

Many skilled maintenance specialists (i.e. maintenance II have specialized trade experience (e.g. locksmithing, electrical work, carpentry) and are used in that capacity for skilled work orders, but they receive no additional compensation or recognition. Recognition of individual trades through job description is an industry standard. Although all skilled maintenance workers should under-stand that they must perform general maintenance tasks as a primary responsibility, recognition of the individual skills and appropriate compensation is essential in maintaining group morale and is consistent with the district’s assignment of other specialized positions.

Maintenance services are delivered through the use of an electronic system in which site staff enter work orders, and M&O supervisors print and assign them to the appropriate maintenance personnel daily. The work orders are completed and returned to the supervisors, who ensure they are updated in the system. Interviews with staff indicated they would like to complete work orders more effectively and efficiently via personal electronic devices such as tablets or netbooks.

Employee evaluations are performed inconsistently, and many employees believe they are completed at the last minute with little thought or explanation. The current evaluation form allows only three ratings, a scope that limits effectiveness. The district should work with the employee association to redesign the evaluation form to allow a greater degree of feedback to the employee and ensure the evaluation process is more consistent and well planned.

Facilities InspectionThe FCMAT study team visited the maintenance facility and found that although the trade work space and storage spaces are slightly small for the staff size, they are kept in an orderly condi-tion. The facility is shared by the Facilities and Maintenance departments, but could be better organized to allow more operational space for Maintenance. Much space is used to store bulky materials such as carpet rolls, which could be more effectively maintained in off-site areas such as the district’s warehouse. The carpet supplier could also store the materials until they are needed through an agreement with the district.



Site visits to Ponderosa and Price elementary schools, one of the newest and one of the oldest sites in the district, found that the facilities are exceptionally well maintained.

Funding and Fiscal DisciplineInternal fiscal procedures include a policy of requesting approval for any material purchase of $500 or more, with larger projects and materials purchases ($1,000 and above) requiring at least three quotes. Any single-source materials are preapproved after review by management. This practice adheres to industry best practices. However, many line personnel did not understand these limits, often stating that the $500 limit required three quotes. The district procedure should be documented in writing and explained to all maintenance personnel.

Work trucks are stocked with the materials necessary for daily tasks, and staff indicated that proper materials are readily available to line staff to complete the assigned work orders. Although some indicated that staff are sometimes not allowed to stock materials on their trucks, corrobora-tive evidence from several interviews did not support this claim.

The Maintenance Department writes the work order number and school site name on all receipts before attaching them to the completed work order for submission to the financial system. This is also an industry best practice. However, interviews found that some staff members believe line personnel are often left to discuss the approval or disapproval of work orders with the requestors when this task should be accomplished by management. Although this was not a prevalent concern and could result from limited perception, management should review the practices for evaluating the feasibility of work orders before they are assigned and communicate with the requestor on costs, approvals, and disapprovals.

Interdepartmental RelationsThe Maintenance Department is housed in the same facility as the Facilities Department, and they should work together. However, FCMAT found that the two frequently work at odds with each other and their relationship is strained and often combative. This issue starts at the management level, where the two directors do not work cooperatively in their daily tasks. The M&O supervisor is unsure of the boundaries between the departments, and the facilities director does not include maintenance personnel in developing future facilities or district equipment and facilities standards. This discord results in incompatible or ineffective coordination of efforts, the installation of nonstandardized equipment in new facilities, and a further deterioration of the relationship between the departments. The push to occupy new facilities results in the mainte-nance staff being directed to complete facilities construction work, supplementing the comple-tion tasks assigned to project contractors. This is often directed by Facilities personnel without consulting Maintenance management.

RecommendationsThe district should:

1. Reorganize the Maintenance Department with traditional classifications of general maintenance work and skilled maintenance workers.

2. Designate supervisors as either maintenance or operations/grounds, but not both.



3. Ensure that concerns are addressed through the supervisory structure and not directly to upper levels of governance.

4. Train staff so that the evaluation process is consistent and meaningful. The evaluation form should be revamped to include a greater rating span.

5. Continue morning meetings and work order accountability procedures, and add a brief afternoon meeting to verify all staff are accounted for and safe.

6. Continue conducting weekly safety meetings and assigning staff to present safety topics. More hands-on safety training and equipment safety training should be added.

7. Consider requiring and supplying steel-toed boots for Maintenance and Grounds personnel.

8. Find alternative means for storage of long-term, bulk items such as carpet. The district should investigate using the storage in its warehouse system or work with supplying vendor to store stock in the vendor warehouse.

9. Hire a low-voltage technician to address new energy management systems issues as well as alarm and other low-voltage systems in the district.

10. Consider hiring one additional HVAC technician.

11. Ensure that management is the primary contact when working with work order requestors to determine the feasibility and costs of projects as well as communicating whether the work order can be completed.

12. Develop a more efficient work order feedback system, exploring staff use of digital devices for entering work order data.

13. Clarify in writing the protocol for purchasing supplies and the limits for notification versus the limits for requiring competitive quotes.

14. Ensure department directors have a cooperative relationship and are unified when working with and within their departments.

15. Ensure maintenance leadership is included in facilities planning, construc-tion, and completion, and does not supplement the proper completion tasks of contractors.

16. Develop and adhere to district furniture and equipment standards. Deviations should be the result of discussions between Facilities Department and Maintenance Department leadership.


13C U S T O D I A L

Custodial (Operations)The custodial staff experienced significant cuts in 2009, losing the equivalent of one custodian per site. The district found this necessary to maintain fiscal solvency because of the reduction in education funding. When the cuts were being made, the director in charge of custodial operations left, and the current director has been with the district since January 2012. The main-tenance and operations supervisor that oversees the custodial staff attended school in the district and worked his way through the positions of custodian and plumber before becoming mainte-nance and operations supervisor. The supervisor has held that position for the last 13 years.

Custodial staff have been employed with the district for many years, some serving more than 20. Because of a negotiated agreement with the employee association who represents the custodians, the least tenured staff were hired in 2010 from the prior layoff and have at least 10 years seniority to make the rehire list. Because custodians are rarely shifted between sites, they have spent most of their years at their current site assignment.

Custodial SupervisionThe custodial group is overseen by a maintenance and operations supervisor. This position provides general direction and ensures uniformity of custodial service throughout the district. The supervisor ensures products are standardized and safety compliance and training require-ments are met. This position also works to promote consistency in general scheduling and priority routines and serves as a resource for special needs including situations requiring extra help, special tools or equipment, or outsourcing. These roles result in a visit to each site or, at minimum, contact with each lead custodian once or twice a month, more when warranted. As needed and within the collective bargaining agreement parameters, the supervisor assigns or reas-signs staff duties and work locations. This position is also available and responds to emergency calls in the off-duty hours.

Because custodians work at different locations, it is impossible for a supervisor to always oversee all of them adequately. As a result, the school principals provide most supervision and over-sight of the custodial staff assigned to their sites. Principals or designees meet frequently with custodians to inform them of priorities, specific needs, and unique requests. The principals or designees, with input from the custodial supervisor, also evaluate custodians.

Lead custodians typically have the most seniority and work during the day, allowing them direct contact with the site administrator and the maintenance and operations supervisor. This position communicates priorities and special requests to the other site custodian(s) and communicates custodial concerns or needs back to supervision.

Custodians who work at night are generally not under direct supervision, and performance is measured by the amount and quality of work accomplished.


1. Continue to ensure clear roles of supervision are communicated to lead custo-dian and custodian positions.


14 C U S T O D I A L

2. Continue to promote communication between the maintenance and opera-tions supervisor and the site administration to support consistent oversight and reasonable expectations.

Custodial Job DescriptionsJob descriptions should clearly identify supervisory relationships as well as the essential functions and requirements of the job. To be current and relevant, they should be regularly reviewed and updated as needed. Properly written and updated job descriptions help the district maintain employee accountability and eligibility for employment, and can mitigate worker’s compensation, disability, and discrimination claim risks.

Maintenance and Operations SupervisorThe maintenance and operations supervisor job description indicates this position was board-approved in October 1999, is under the direction of the director of maintenance and operations, and supervises and evaluates the assigned staff. According to the job description, the functions of this position include planning, organizing, and coordinating custodial work to ensure proper care and maintenance.

Lead CustodianThe lead custodian job description indicates this position was approved by the board in June 1997, works “under the direction of the Principal or assigned supervisor” and “train(s) and provide work direction and guidance to assigned custodians.” This position performs daytime custodial activities and maintains facilities and adjacent ground areas in a clean, orderly and secure condition. In addition to typical custodian duties of cleaning and upkeep, the lead custodian performs safety inspections of playground equipment, helping outside vendors and maintenance contractors make minor repairs, and perform messenger services as requested.

CustodianThe custodian job description was board-adopted in January 2011. These positions, which work under the direction of the principal or assigned supervisor, clean classrooms, offices, food service areas and other areas, perform minor repairs and ensure school security.

The supervisor and lead job descriptions have not been updated since 1999 and 1997, respec-tively. Even if no changes are needed, a more current date will indicate that the descriptions have been reviewed for accuracy. The job descriptions should identify any oversight received by or given to the custodial staff as reflected in the Maintenance and Operations organizational chart. Although the organizational chart and job descriptions should agree, the chart does not indicate principals as overseeing leads or custodians, and the job descriptions do not identify the super-visor of maintenance and operations as providing oversight.


1. Regularly review and update custodial job descriptions to ensure they are current and relevant.

2. Regularly review and update the maintenance and operations organizational chart to reflect current chain of authority.


15C U S T O D I A L

Custodial ProceduresThe district provided FCMAT with an Operations Department Handbook that contains a policy statement, an orientation checklist that included classroom and restroom cleaning lists, power equipment care procedures, uniforms/appearance regulations, security procedures, a list of cleaning products and uses, and emergency contacts. The handbook was not dated, but appears to be current.

Also provided was a draft maintenance and operations manual dated September 2013 that contains operational functions, safety procedures and practices, and other miscellaneous informa-tion. However, custodial procedures were not included.

RecommendationThe district should:

1. Implement one of the following:

• Develop and maintain comprehensive custodial procedures as part of the maintenance and operations manual.

• Review, update, and date the Operations Department Handbook so that it indicates the most recent review or revision.

Custodial SchedulingSchedules ensure that site custodial needs are efficiently met, serve as a guide to new and substitute employees, and help management ensure employees are productive. Schedules should allot sufficient and appropriate time to address essential and priority tasks such as opening and closing procedures. Opening procedures should include unlocking, turning off alarms, overall site checking, turning on lights, and any other site-specific setup. Closing procedures should ensure that the site is vacated, nonessential utilities are shut down, and facilities are appropriately secured.

FCMAT reviewed custodial scheduling from most district sites. The schedules were developed uniquely for each site, but are consistent in content and structure. They include start and end, lunch and break times, and are specific to within 5- to 10-minute increments in listing the duties to be performed from opening to closing school grounds each day. The schedules list the areas that should be cleaned each day and reference campus maps indicating areas that are cleaned rotationally every week. The schedules also include other duties such as Monday morning checks for weekend vandalism and monthly checks of fire extinguishers and roofs. Some schedules include deep and periodic cleaning work that is to be performed if time allows.

The schedules reviewed all contained common items such as security, safety, and priority/daily cleaning tasks, but were adjusted to the specific needs of each site. Sites’ opening and closing procedures intensity; number of restrooms, classrooms, etc.; and sites’ age, layout, and construc-tion all contributed to differences in site custodial needs and influenced schedules.

Interviews indicated that the maintenance and operations supervisor reviews and approves all schedules to ensure that they are reasonable and meet facility needs and district priorities.

The schedules do not have an identifiable and consistent format. This format would allow for a schedule template to be developed to facilitate the building and editing of schedules, would allow substitute custodians to easily adapt from site to site, would improve consistency in productivity



expectations throughout the district, and would allow the district to keep a schedule archive to ease accessibility and reproduction as needed.


1. Continue to ensure detailed custodial schedules are developed for each site and for each custodial position.

2. Regularly review and update the schedules to meet changing needs of the site.

3. Develop a master custodial template for use throughout the district to help sites develop, edit, and archive their schedules.

Custodial StandardsAlthough there are no nationwide standards of cleanliness, the U.S. Department of Education has established five levels of cleaning, including how many square feet can reasonably be expected to be completed at each level by a building custodian working an eight-hour shift:

• Level 1 cleaning results in a “spotless” and germ-free facility as might normally be found in a hospital or corporate suite. At this level, a custodian with proper supplies and tools can clean approximately 10,000 to 11,000 square feet in eight hours.

• Level 2 cleaning is the uppermost standard for most school cleaning and is generally reserved for restrooms, special education areas, kindergarten areas, or food service areas. This service level for classrooms includes vacuuming or mopping floors daily, and sanitizing all surfaces. A custodian can clean approximately 18,000 to 20,000 square feet in an eight-hour shift at this level.

• Level 3 cleaning is the norm for most school facilities. It is acceptable to most interested parties and does not pose any health issues. Classrooms are cleaned daily, which includes dumping trash and cleaning common area surfaces such as sinks and door handles. Carpets are vacuumed and surfaces used by students are sanitized every other day. A custodian can clean approximately 28,000 to 31,000 square feet in eight hours at this level.

• Level 4 cleaning is not normally acceptable in a school environment. Classrooms would be cleaned every other day, carpets would be vacuumed every third day, and dusting would occur once a month. A custodian can clean 45,000 to 50,000 square feet in eight hours at this level.

• Level 5 cleaning can very rapidly lead to an unhealthy situation. Trash cans might be emptied and carpets vacuumed only weekly. One custodian can clean 85,000 to 90,000 square feet in eight hours at this level.

The figures above are estimates. The actual number of square feet per shift that can be cleaned by a custodian will also depend on variables such as the type of facilities, flooring, wall covers, number of windows, restroom layouts, gym and athletic facilities, and offices.

The district needs to develop and formally adopt cleaning standards and expectations for custo-dial work. The standards should include daily, weekly and monthly duties and should be devel-oped with the participation of executive management and be approved by the school board. It is


17C U S T O D I A L

best to develop these standards before creating work schedules so that the schedules can include adequate time to complete the tasks required by the standards. To develop meaningful standards, planners, administrators and community members need to agree on what constitutes cleanliness.

Observations indicated the level of cleaning in the district is between level 2 and 3, with areas of high concern receiving daily attention and the general classroom areas cleaned every other day. The staff expressed its desire to meet level 2 standards and could probably accomplish this at past staffing levels; however, at current levels, the staff finds it difficult to meet the level 2 cleaning in general classrooms and offices.


1. Develop and adopt acceptable standards and expectations of cleaning.

2. Communicate the acceptable standards and expectations to the staff.

Custodial StaffingThe California Association of School Business Officials (CASBO) custodial staffing formula considers the square footage of sites and the number of students, staff, classrooms, offices and general purpose areas. The formula specifies the following staffing:

• One custodian for every 13 teachers

• One custodian for every 325 students

• One custodian for every 13 classrooms

• One custodian for every 18,000 square feet

The result is divided by four to indicate the number of custodians needed to clean and maintain a building.

This formula is based on industry standards and has been widely used for analyzing custodial staffing levels in schools throughout California. The CASBO recommendation for staffing is based on level 2 cleaning as identified in the U.S. Department of Education benchmarks for cleaning standards. Based on the district’s information, the charts below compare the district’s staffing to that of the CASBO standard. Depending on individual site characteristics such as underused classrooms or extra facilities located on a campus, the total square footage ratio can skew the analysis.

The following charts apply the CASBO custodial staffing formula to each of the district’s school sites and compare the resulting recommended staffing data with the actual custodial time the district has assigned to that school site.



Scho

ols

Cla

ssro

om@

13

Enro

llmen

t@

325

Teac

hers

@ 1

3

Sq. F

t.@

18

,000

CA

SBO

To

tal

Cus

todi

ans

Nee

ded

Ana

heim

To

tal

Cus

todi

ans

Ass

igne

dD

iffer

ence

Tota

l C

usto

dian

s N

eede

dD

iffer

ence

Bldg

. S/F

# Ro

oms

# St

uden

ts#

Staf

f

Bart

on31

,910

2771

523

2.08

2.20

1.77

1.77

1.95

20.

051.

520.

48

Ediso

n57

,762

4010

0234

3.08

3.08

2.62

3.21

3.00

30.

002.

330.

67

Fran

klin

44,8

0634

907

292.

622.

792.

232.

492.

532.

3-0

.23

1.97

0.33

Gau

er33

,587

2774

325

2.08

2.29

1.92

1.87

2.04

2-0

.04

1.58

0.42

Gui

nn41

,675

3482

825

2.62

2.55

1.92

2.32

2.35

2-0

.35

1.83

0.17

Hen

ry39

,896

3368

723

2.54

2.11

1.77

2.22

2.16

2-0

.16

1.68

0.32

Jeffe

rson

35,4

5327

657

202.

082.

021.

541.

971.

902

0.10

1.48

0.52

Juar

ez42

,781

3576

826

2.69

2.36

2.00

2.38

2.36

2-0

.36

1.83

0.17

Ora

nge

Gro

ve46

,560

2973

525

2.23

2.26

1.92

2.59

2.25

2-0

.25

1.75

0.25

Har

bor

Sout

h35

,520

3468

222

2.62

2.10

1.69

1.97

2.09

2-0

.09

1.63

0.37

Key

43,2

6021

123

131.

620.

381.

002.

401.

351.

50.

151.

050.

45

Linc

oln

76,17

243

876

283.

312.

702.

154.

233.

103

-0.1

02.

410.

59

Loar

a39

,744

3357

518

2.54

1.77

1.38

2.21

1.98

20.

021.

540.

46

Mad

ison

38,7

4729

611

212.

231.

881.

622.

151.

972

0.03

1.53

0.47

Man

n72

,217

4511

2838

3.46

3.47

2.92

4.01

3.47

3.5

0.03

2.69

0.81

Mar

shal

l10

3,34

50

00

0.00

0.00

0.00

0.00

0.00

00.

000.

000.

00

Oliv

e St

reet

40,2

3525

651

201.

922.

001.

542.

241.

922

0.08

1.50

0.50

Palm

Lan

e39

,682

3175

225

2.38

2.31

1.92

2.20

2.21

2-0

.21

1.72

0.28

Pond

eros

a70

,508

3810

7536

2.92

3.31

2.77

3.92

3.23

3-0

.23

2.51

0.49

Pric

e38

,907

3079

127

2.31

2.43

2.08

2.16

2.24

2.5

0.26

1.75

0.75

Reve

re65

,270

4897

930

3.69

3.01

2.31

3.63

3.16

3.5

0.34

2.46

1.04

Roos

evel

t31

,814

3057

619

2.31

1.77

1.46

1.77

1.83

20.

171.

420.

58

Ross

78,3

7353

1045

334.

083.

222.

544.

353.

553

-0.5

52.

760.

24

Stod

dard

38,8

6329

711

222.

232.

191.

692.

162.

072

-0.0

71.

610.

39

Sunk

ist45

,186

3988

028

3.00

2.71

2.15

2.51

2.59

2.5

-0.0

92.

020.

48

Wes

tmon

t60

,001

4095

131

3.08

2.93

2.38

3.33

2.93

2.5

-0.4

32.

280.

22

Oas

is7,

982

0.44

0.44

0.5

0.06

0.34

0.16

D.O

. 47

,647

2.65

2.65

2-0

.65

2.06

-0.0

6

M&

O8,

296

0.46

0.46

0.7

0.24

0.36

0.34

TO

TALS

1,35

6,19

985

419

448

641

59.8

63.7

761

.5-2

.27

49.5

711

.93


19C U S T O D I A L

Scho

ols

Cla

ssro

om@

13

Enro

llmen

t@

325

Teac

hers

@ 1

3

Sq. F

t.@

18

,000

CA

SBO

To

tal

Cus

todi

ans

Nee

ded

Ana

heim

To

tal

Cus

todi

ans

Ass

igne

dD

iffer

ence

Tota

l C

usto

dian

s N

eede

dD

iffer

ence

Bldg

. S/F

# Ro

oms

# St

uden

ts#

Staf

f

Bart

on31

,910

2771

523

2.08

2.20

1.77

1.77

1.95

20.

051.

520.

48

Ediso

n57

,762

4010

0234

3.08

3.08

2.62

3.21

3.00

30.

002.

330.

67

Fran

klin

44,8

0634

907

292.

622.

792.

232.

492.

532.

3-0

.23

1.97

0.33

Gau

er33

,587

2774

325

2.08

2.29

1.92

1.87

2.04

2-0

.04

1.58

0.42

Gui

nn41

,675

3482

825

2.62

2.55

1.92

2.32

2.35

2-0

.35

1.83

0.17

Hen

ry39

,896

3368

723

2.54

2.11

1.77

2.22

2.16

2-0

.16

1.68

0.32

Jeffe

rson

35,4

5327

657

202.

082.

021.

541.

971.

902

0.10

1.48

0.52

Juar

ez42

,781

3576

826

2.69

2.36

2.00

2.38

2.36

2-0

.36

1.83

0.17

Ora

nge

Gro

ve46

,560

2973

525

2.23

2.26

1.92

2.59

2.25

2-0

.25

1.75

0.25

Har

bor

Sout

h35

,520

3468

222

2.62

2.10

1.69

1.97

2.09

2-0

.09

1.63

0.37

Key

43,2

6021

123

131.

620.

381.

002.

401.

351.

50.

151.

050.

45

Linc

oln

76,17

243

876

283.

312.

702.

154.

233.

103

-0.1

02.

410.

59

Loar

a39

,744

3357

518

2.54

1.77

1.38

2.21

1.98

20.

021.

540.

46

Mad

ison

38,7

4729

611

212.

231.

881.

622.

151.

972

0.03

1.53

0.47

Man

n72

,217

4511

2838

3.46

3.47

2.92

4.01

3.47

3.5

0.03

2.69

0.81

Mar

shal

l10

3,34

50

00

0.00

0.00

0.00

0.00

0.00

00.

000.

000.

00

Oliv

e St

reet

40,2

3525

651

201.

922.

001.

542.

241.

922

0.08

1.50

0.50

Palm

Lan

e39

,682

3175

225

2.38

2.31

1.92

2.20

2.21

2-0

.21

1.72

0.28

Pond

eros

a70

,508

3810

7536

2.92

3.31

2.77

3.92

3.23

3-0

.23

2.51

0.49

Pric

e38

,907

3079

127

2.31

2.43

2.08

2.16

2.24

2.5

0.26

1.75

0.75

Reve

re65

,270

4897

930

3.69

3.01

2.31

3.63

3.16

3.5

0.34

2.46

1.04

Roos

evel

t31

,814

3057

619

2.31

1.77

1.46

1.77

1.83

20.

171.

420.

58

Ross

78,3

7353

1045

334.

083.

222.

544.

353.

553

-0.5

52.

760.

24

Stod

dard

38,8

6329

711

222.

232.

191.

692.

162.

072

-0.0

71.

610.

39

Sunk

ist45

,186

3988

028

3.00

2.71

2.15

2.51

2.59

2.5

-0.0

92.

020.

48

Wes

tmon

t60

,001

4095

131

3.08

2.93

2.38

3.33

2.93

2.5

-0.4

32.

280.

22

Oas

is7,

982

0.44

0.44

0.5

0.06

0.34

0.16

D.O

. 47

,647

2.65

2.65

2-0

.65

2.06

-0.0

6

M&

O8,

296

0.46

0.46

0.7

0.24

0.36

0.34

TO

TALS

1,35

6,19

985

419

448

641

59.8

63.7

761

.5-2

.27

49.5

711

.93

The district has a total staffing of 61 full-time equivalent (FTE) positions, and CASBO ratios indicated it needs 63.77, meaning the district is understaffed by 2.27 FTEs. While the CASBO standard assumes a level 2 cleaning, the district’s custodial schedules indicate that most areas have a frequency of cleaning at level 3, with classroom trash dumped daily and alternating days of vacuuming. This reduction in cleaning level is common as the level of school funding has dimin-ished. For 2012-13, the revenue limit deficit of 22.27% if applied proportionately to custodial services would reduce the custodians needed to 53 FTE. In comparison to the 61 FTE staffing, the district is 8 FTE above this deficited level.

In addition, interviews, site walks, and district documents indicate that not all sites are at full capacity. If not at full capacity, CASBO building square footage calculations can be skewed to indicate unnecessary staff. FCMAT believes the analysis may be subject to this skewing, and the CASBO staffing numbers may be slightly higher than necessary.

Using the CASBO ratio analysis and considering the cleaning level of less than 2, FCMAT concludes that the district has sufficient custodial staffing at school sites. While this level of cleaning may be less than the district has been accustomed, it is in alignment with other districts throughout the state.


1. Establish districtwide standards and expectations for custodial functions considering available funding and the desired level of cleaning.

2. Staff custodial to meet level 3 cleaning expectations.

3. Routinely reevaluate the standards and expectations, and staff accordingly.

Custodial CooperationFCMAT observations and interviews indicate that a stronger working relationship can be fostered with other work groups in the Maintenance and Operations Department. There is a lack of teamwork between maintenance and operations. As other work groups receive cutbacks or additional duties, they fend for themselves instead of working together.

One example is operations drivers delivering a pallet of goods to the parking lot instead of taking it directly to the location where it will be stored. While this approach is faster for the delivery driver, it is more efficient to transport the entire pallet on a pallet jack than for the site staff to unpack it and carry or cart the goods to storage.

Another example is for teaching staff to leave their classrooms in order by straightening furniture, collecting large pieces of rubbish, and avoiding the placement of fluids in trash receptacles. Because this does not always occur, custodians were observed spending twice the amount of time preparing to clean classrooms than they did on the actual cleaning.

Maintenance and grounds personnel should eliminate or minimize the clutter left from performing a repair job. They could place a tarp to catch trimming debris or avoid blowing grass onto the sidewalk, greatly reducing the work of the custodian.

This cooperation between employee classes could prove to be the district’s greatest efficiency gain




1. Encourage cooperation and teamwork between work classes.

2. Promote communication between employee groups concerning levels of service satisfaction and expectations.

3. Support the most efficient use of district resources through cooperative efforts to provide an environment that is clean, safe, and conducive to learning.


21G R O U N D S

GroundsSuccess in grounds management depends on well-trained personnel with skills in a variety of areas. Like other maintenance and operations functions, staffing for grounds-related services at the Anaheim City School District tends to vary among school districts throughout the state. The most common factors affecting staffing levels for grounds crews at individual schools include the following:

• The school size in acreage

• The number and types of outdoor spaces to be maintained

• The type and extent of natural and hardscape features

• The extent to which grounds crews perform unrelated tasks

As of September 2013, the district Grounds Department was staffed with two irrigation special-ists, seven grounds keepers, four general maintenance workers and one plumber. The four general maintenance workers perform a variety of grounds and maintenance functions, but the plumber performs only maintenance duties.

The Grounds Department organizational structure is not consistent with the basic, generally accepted theories used in other school districts. Plumbing is clearly a maintenance function; therefore, the plumber should report directly to the supervisor of maintenance. Similarly, the district should decide whether the four general maintenance workers should be reassigned from grounds to maintenance and the organizational chart revised since they perform maintenance duties, or reclassified as grounds keepers and have them perform duties related to grounds. This decision should be based on district need.

CASBO does not have a formula for grounds maintenance staffing; however, the Florida Department of Education has performed extensive research in this area and included its findings in a document entitled “Maintenance and Operations Administrative Guidelines for School Districts and Community Colleges.” Among other things, the document establishes a formula for the staffing of school district grounds maintenance personnel.

This formula is based on two types of grounds personnel: those who perform general grounds functions such as mowing, gardening, and trimming, and those who care for athletic fields or other specialized open space areas. In many school districts, general grounds functions are performed by school custodians while large open areas and athletic fields are maintained by district grounds crews.

The recommended formula for determining the number of specialized groundskeepers and athletic field groundskeepers is the total acreage of the school facility divided by 40, plus 1 FTE groundskeeper, plus 1 FTE groundskeeper per 500,000 square feet of athletic fields. For this calculation, the district’s four general maintenance workers assigned to grounds were counted as grounds staff members.

FCMAT obtained from the district precise measurements of the amount of grounds allocated to playfields at each school site in square feet. By applying the Florida Department of Education formula, FCMAT calculates that the district should have at least 8.5 FTEs to be adequately staffed. The calculation is as follows:


22 G R O U N D S

Grounds Staffing Formula

District Totals DivisorGrounds Staffing - FTE

164.35 acres 40 4.109

1,636,780 s.f. 500,000 3.274

---- --- 1.0

Groundskeepers needed 8.383

District groundskeepers 9

.617

During FCMAT’s fieldwork, the team observed that the grounds crew functioned as a team and rotated among schools. Some grounds team members are responsible for mowing, and others are dedicated to general clean up. A full rotation among schools should occur every three days. During staff interviews, several members of the grounds crew indicated that they are often assigned to perform tasks unrelated to grounds, and as a result, they are unable to complete the full rotation of school sites. While it may be unrealistic to expect members of the grounds crew never to be taken from their regular assignments to help maintenance and operations with other high-priority tasks, the district should refrain from taking them off their rotation so that the full cycle may be completed over the scheduled three-day period.

During fieldwork, the irrigation specialists were not consulted when new landscaping was designed or implemented. The irrigation specialists should ideally have an opportunity to review plans developed by landscape architects to ensure that what is proposed can be easily maintained and meets district standards. The director of maintenance should work with the director of facili-ties to ensure that the irrigation specialist reviews landscape architecture plans prior to bid.

The district does not standardize irrigation components such as sprinkler heads and irrigation controllers. As a result, irrigation specialists are required to stock and maintain several different systems. Standardizing these components can reduce labor and equipment costs.

The grounds crew’s equipment, such as blowers, hedgers, tree trimmers and weed whips, were in good repair. However, two of the district’s three large riding mowers are nearing their age expec-tancy. The district should establish a grounds equipment replacement budget based on the life cycle of grounds equipment, especially the large riding mowers. The district should also stagger the purchases of grounds equipment so that it can budget for equipment replacement over several years, and various pieces of grounds equipment do not reach the end of their life cycles at the same time.


1. Consider adopting the Florida Department of Education grounds mainte-nance staffing formula or other models as a general guideline for adding or reducing grounds maintenance personnel.

2. Reassign the plumber to the Maintenance Department to align the mainte-nance function of plumbing with the department’s organizational structure.


23G R O U N D S

3. Either reassign the four maintenance workers from grounds to maintenance and have them perform maintenance duties, or reclassify them as grounds keepers with duties related to grounds.

4. Establish a schedule for the grounds crew to rotate among school sites and adhere to it until all schools are completed.

5. Limit the frequency that grounds keepers are taken from their assigned duties to perform other functions.

6. Enable the irrigation specialist to review landscape architect plans to ensure that the grounds crew has the financial resources and technical expertise to maintain irrigation systems and vegetation proposed in the plans.

7. Standardize irrigation components, such as sprinklers and controllers, so that the grounds crew is not required to stock and maintain several different systems.

8. Establish a grounds equipment replacement budget based on the life cycle of grounds equipment, especially the large riding mowers.

9. Stagger the purchases of grounds equipment so that the district can budget for equipment replacement over several years and the various pieces of grounds equipment do not reach the end of their life cycles at the same time.


24 G R O U N D S


25F A C I L I T I E S

FacilitiesThe district facilities program is large, extensive and active, with the responsibility for the planning, design, funding and regulatory approvals and construction of new schools as well as addition, modernization and reconstruction of existing schools and support facilities. This includes developing, implementing, maintaining and monitoring project budgets and expenditures to ensure compliance with district and state laws and board policies and administrative regulations. The school district consists of 26 elementary schools, and three preschool/early childhood learning centers. Support centers include the district administrative center, facilities and operations center, Technology and Information Services, and other others. Most district school facilities were built in the 1950s and 1960s. The district has experienced declining enrollment over the last 12 years, but the decline has recently leveled off. Because of aged capital facilities and the lack of need to build new schools, it has concentrated its financial resources on renovating and replacing existing school facilities.

The district’s voters passed two general obligation bond measures in recent years. Measure BB, a $111 million bond, was approved in 2002. State School Facility Program matching funds brought the total facilities funding to $211 million. These funds provided for the completion of 10 major modernization projects, one addition project and five new or rebuilt campuses.

In 2010, voters approved a second general obligation bond, Measure G, for $169.3 million. With this funding, the district has completed two modernization projects. Projects underway in fall 2013 include one addition and one reconstruction, but a number of future modernization projects are being planned and designed.

The Facilities Department also staffs and facilitates the citizens’ oversight committees for both measures as well as developing long-range facility master planning, short-range facility planning, enrollment projections, joint facility use agreements and developer fee justification studies. As new facilities initiatives and priorities have arisen, including energy efficiency and conservation and technology, the department included these areas into its master planning and has incorpo-rated them into its renovation and construction projects.

In actual operations, the facility use program is divided between the Maintenance and Facilities departments, with Maintenance handling one-time and short-term uses processed through the district’s facility use forms and approvals. Facilities is responsible for long-term uses through negotiated agreements, such as parking agreements, licenses, leases and joint use facility agree-ments for use of parks, fields and other facilities with outside entities and public agencies. The staff indicated that this division occurred under the former director of facilities, but acknowl-edges that board policy and regulations do not reflect this practice.

The Facilities Department is located with the Maintenance Department in a former commercial building near the district administrative center.

StaffingThe department is responsible for many tasks and projects and performs them with a staff that consists of six people, including four district employees and two contracted project managers from construction management companies. The contracted project managers work for the district full-time. Because the project managers are housed on site, the district should review IRS guidelines (attached as Appendix A to this report) regarding employees versus independent contractors to ensure that it is not exposed to federal employment taxes if the IRS deemed that the project managers are employees.


26 F A C I L I T I E S

The department employees include the director, a maintenance and operations supervisor working as a supervisor of construction, and two facilities technicians. One facilities technician takes direction primarily from the facilities director, and the other from the M&O supervisor - supervisor of construction.

Director of Facilities

Facilities Technician

M&O Supervisor (Construction)

Facilities Technician

The district’s facilities program ensures that bond funds are expended efficiently and effectively, an activity that is closely monitored by taxpayers, voters and other public agencies. The depart-ment’s planning functions are equally important because they are the foundation for effective use of bond funds; therefore, any changes in department staffing should focus on that goal.

About half the staff members are relatively new to their positions, including the director, the facilities technician under the director and one contracted construction manager. The staff’s inexperience has reportedly hampered efficient district operations. However, the other half of the department has been either in Facilities or Maintenance for approximately 10 years, including the other facilities technician, the maintenance and operations supervisor and one construction manager. As new staff learn more about their roles and responsibilities and become accustomed to their job duties, inefficiencies will likely decrease. Interpersonal relationships and friction between the Maintenance and Facilities departments at several levels probably play a larger role in any ineffective operations.

The maintenance and operations supervisor functioning as supervisor of construction works only in the Facilities Department. The job title should be changed to supervisor of construction and this position transferred from the Maintenance Department to more accurately reflect the duties. This would also remove any supervisory activity over maintenance staff.

Facilities TechniciansThe facilities technician who is under the construction supervisor enters the budgets, requisitions, purchase orders and payment processing on construction projects. The position enters and main-tains data to account/track projects in the Colbi system.

The facilities technician under the director processes contracts and payments for planning proj-ects and expenditures in the Colbi system. This staff person has not been trained on that system and frequently requires assistance from the construction facilities technician. It would be more efficient if the construction facilities technician took over invoice processing for the department, not just construction projects. Budget development, contracts and payment processing would still require approval involving a signature from the director.



This would allow the facilities technician under the director to function more as the director’s administrative assistant/facilities technician, including performing facilities master plan activities. Currently, the position provides assistance on board agenda items and other projects as required by the director. Because of a lack of training and time, the CBO’s secretary provides the clerical assistance required for the director’s responsibilities regarding the citizens’ oversight committee. This task should be transferred to the facilities technician under the director.

This facilities technician also has a warehousing background and could benefit from facilities training such as participating in workshops and conferences provided by the Coalition for Adequate School Housing (CASH) or CASBO. The department has a high level of fast-paced work, and leadership acknowledges a need for training.

Contracted Construction Managers and Supervisor of ConstructionThe district uses two contracted construction managers, one from Bernards and one from Erickson-Hall. Contracted construction managers can often provide the expertise and resources of professional construction managers who have the educational background and knowledge to provide adequate management over construction projects. The salary expense is usually higher than using a district employee, but the skills needed for successful management of construction projects generally command a higher salary than can be practically offered by a public school district of this size.

The district uses one construction manager to perform fieldwork overseeing projects. The newer construction manager; however, has been assigned to perform Division of the State Architect (DSA) closeouts and other projects that are office-oriented, as assigned by the director of facilities. A number of programwide management tasks could be better accomplished by this contracted position. These include updating district design standards, maintaining and enforcing plans, specifications and architect agreements.

In the past, district standards were developed with an architect and appear to be the respon-sibility of the construction supervisor. These plans are reportedly kept in three binders. These standards should be incorporated by reference into the architect agreement and enforced during design. They also should be enforced during construction whenever a deviation from the plans is requested.

Another task that the contracted construction manager should perform is developing written protocols and procedures on turnover of projects from facilities/construction to maintenance, including closeout document organization, automation (possibly onto a district file transfer protocol website for use by maintenance, facilities and design teams). As part of the project turn-over procedure, a programwide training protocol for custodians, site users and maintenance staff should be developed and implemented. This task should be assigned to the contracted construc-tion manager, with the supervisor of construction providing leadership support. The facilities director should direct this activity.

The supervisor of construction should not oversee the construction managers, but should provide support for those positions. Instead, these positions should be overseen by the director of facilities. DSA closeouts should be transferred to the supervisor of construction as should other smaller projects as directed by the director.

Moving into a school after modernization was reported to FCMAT as a series of miscommunica-tions and accusations at several levels. The supervisor of construction should develop written protocols on moves during construction and should be responsible for all aspects of the moves as they occur.




1. Change the maintenance and operations supervisor - supervisor of construc-tion title to supervisor of construction, transferring the position from the Maintenance Department to the Facilities Department to reflect actual opera-tions.

2. Review IRS guidelines regarding employees versus independent contractors to ensure that it is not exposed to federal employment taxes if the IRS deemed that the project managers are employees.

3. Transfer all accounting/payment processing duties, including those associated with the Colbi Account-Ability system as well as other accounting processing duties, to the facilities technician under the supervisor of construction.

4. Change the duties of the facilities technician under the director of facilities so that they focus on providing the director with administrative assistance.

5. Train the facilities technician under the director of facilities in the areas of facilities through CASH and CASBO workshops.

6. Transfer the duties of providing clerical/administrative assistance to the citizens’ oversight committee from the secretary of the chief business officer to the facilities technician under the director of facilities.

7. Assign the contracted construction managers with tasks related to developing district design standards, plans and specifications while working with the architects, architect agreement, training and project turnover procedures, and other related programwide facilities.

8. Transfer project management for large bond projects to the contracted construction managers.

9. Transfer the DSA closeout responsibility to the supervisor of construction.

10. Transfer supervision of the contracted construction managers to the director of facilities.

11. Assign smaller, nonbond project management to the supervisor of construc-tion.

12. Develop written procedures for moving in and out during modernization projects, to be overseen and developed by the supervisor of construction.

Interpersonal RelationshipsThe director of facilities and construction is at the same level as the director of maintenance. While the two administrative positions have different responsibilities, it is important for them to work together daily since projects and activities frequently overlap between the two departments. Any construction or modernization project undertaken by the Facilities Department necessarily



would benefit from Maintenance Department information, and vice versa. The two directors should communicate regularly since a cooperative relationship helps the two departments func-tion well together and promotes the cost-effective use of bond money in efficiently planned and managed construction projects.

Friction between the two current directors has caused ineffective operations and lack of staff cohesion. A third-party intermediary and facilitator could coordinate a few meetings between the two directors to improve communication.

After this training is complete, a number of issues and procedure-development activities could benefit from the improved relationship of the two department leaders. These include sensitive issues between the departments at staff and director levels.

Both directors could work cooperatively on the following:

• Reviewing the use of space in the building the two departments share with the goal of equitable sharing.

• Developing a protocol for communication and the steps necessary when new projects or activities occur (including bond and nonbond construction projects, requests from site users for new items).

• Developing protocols for involving both departments in the review of construction plans at the various plan development stages.

• Working with the contracted construction manager to develop written procedures on training and turnover of new projects from facilities/construction to the Maintenance Department after the warranty period is over.

It is important that the two departments develop better protocols for requests for construction or reconstruction made by school site users, including teachers and principals. First, any request made by a teacher should be redirected back to the principal to review for need, feasibility, priority and funding availability. It is particularly important for the two departments to confer about when a project may fall under the jurisdiction of the DSA for fire and life safety, structural integrity or compliance with the Americans with Disabilities Act (ADA). If a project is initiated without appropriate regulatory approvals, the district may be exposed to liability claims in the future for noncompliant construction. This includes smaller projects and volunteer projects.


1. Enforce professional behavior among all levels of management in the Facilities and Maintenance departments with strong disciplinary consequences for noncompliance.

2. Train the directors of maintenance and facilities to improve communication and collaboration. This could be facilitation and training in communication and collaborative techniques through a third-party facilitator/trainer.

3. Develop a space use review of facilities/maintenance, and make changes if needed. This should be accomplished through the collaborative efforts of the directors of maintenance and facilities.



4. Through the collaborative efforts of the directors of maintenance and facili-ties, develop a protocol for the implementation of new project requests, including those that are smaller, site-requested, and rely on volunteers.

5. Through the collaborative efforts of the directors of maintenance and of facili-ties, help the contracted construction manager develop turnover and training procedures for new and modernization projects.

Work Flow and Operational EfficienciesThe department uses Colbi Account-Ability as its budget and accounting system for bond projects. This system provides multiyear, multifund ability to track budgets and expenditures for construction projects. The department uses the Colbi system for all bond projects. Although two Assembly Bill (AB) 300 seismic upgrade projects were initially tracked using Excel spreadsheets, the district recognized that the Colbi system should be used for all projects and reportedly will transfer to the two to Colbi. This should take place as early as possible for these projects, which are currently in planning and design.

For maximum effectiveness, the Colbi system should be reconciled with the district’s accounting system annually at the end of the fiscal year and during closeout. This requires an accounting level beyond the Facilities Department and should be accomplished by Colbi Technologies staff working with the district’s business and accounting staff. Staff indicated the Colbi system has not been reconciled with the district’s accounting system in two years. This should be accomplished as soon as possible and repeated annually at year-end. Purchase order rollover and creation for the new fiscal year should also be completed at that time for projects that are planned or are in progress for the year.

A number of the district’s protocols and procedures should be documented. The director acknowledged this and indicated that currently there is no organizational capacity to complete these tasks. This includes development of an employee manual and written procedures for the Colbi Account-Ability system. Colbi Technologies, the consultant providing the Account-Ability system, likely has written procedures that could be used by the department.

The district has flowcharts for several administrative processes that occur when an item arrives at the Facilities Department, including budget approval, budget adjustments, a change-order process, a payment process, emergency procedures, a contracting process under lease-leaseback, and a purchase order process. These were provided by Colbi Technologies and updated in October, 2012. The district should continue to ensure that the staff follows these processes.

For cost-effective and efficient construction projects, management of the architect is an impor-tant function. This starts with the architect agreement and goes through DSA closeout at the end of the project. The architect agreement should be reviewed and revised to include language with stronger terms and protections for the district. The district should work with knowledgeable legal counsel on this task. The architect agreement should also require the architect to use the district design standards when designing the project. These standards should be submitted to the architect in electronic and physical form when the agreement is signed.

Once the district has contracted with an architect, this position should be managed to ensure that the district’s design intent is followed (through collaboration and input from site commit-tees), that project schedules and milestones are adhered to, and that the architect submits plans to a third-party cost estimator at various times during the design phases. With a lease-leaseback,



the entity (general contractor) should become involved early and should work with the architect on constructability and plan review through the design process.

The DSA closeout procedures recently changed significantly. Before contracting with the project inspectors, the district should ensure that they are knowledgeable about the new procedures and have the necessary software and computer technology.

The DSA closeout and district closeout procedures typically involve important activities to be completed by the architect/engineering firm and general contractor or lease-leaseback entity. These include completing and submitting “as-built” drawings to the district, submitting opera-tions and maintenance manuals to the Maintenance Department, completing the punch list, making warranty and guarantees submittals to the district, and making final payment verification and release of retention. This should be enforced with the general contractor even with strict timelines and schedules and the need to occupy the buildings.

The district should also ensure that architect agreement includes final retention of a percentage of pay to the architectural and engineering firms until all DSA and district closeout procedures are completed.

The contracted construction managers and not the supervisor of construction should manage the architect because of the specialized expertise needed to perform this successfully.

District staff indicated there is a need to ensure the architect/engineer and contractor comply with plans and specifications in all systems and construction areas for all current and future proj-ects. This includes the following:

• Developing district design standards for materials, systems, products and other parameters of construction.

• Ensuring that district standards for all products, materials and systems are incorporated into the architect agreements so that the architect follows the district design intent.

• Ensuring that the architect has developed appropriate plans and specifications that follow the district standards and district design intent.

• Enforcing adherence to the district design standards during the submittal process, substitution requests for different systems, and change order requests.

• Ensuring a quality control system, through the inspector and construction manager, to make certain that the contractor has constructed what was in the plans and specifications and what was approved through the submittal process. Any decisions to deviate from the plans and specifications should be made through a collaborative, deliberative process, involving the design team, site users (for input on ramifications of changes), and Maintenance and Facilities staff and directors as appropriate.


1. Train the facilities technician in construction to use the Colbi Technologies system, as needed.

2. Establish and maintain regular communications among Colbi Technologies consultants, the facilities technician and the district’s Accounting Department



for processing and tracking budget development and account code assign-ment, budget transfers, and budget/expenditure reporting.

3. Reconcile the Colbi system with the district’s accounting system annually, including becoming current with the past two years to produce accurate and up-to-date project budget/expenditure reports.

4. With the help of Colbi Technologies, ensure that a Colbi system user manual is developed, maintained and readily available on the desk of the facilities technician.

5. Continue to ensure that the administrative flowchart of activities for various contract, budget development and transfer, and payment functions is followed.

6. Review and revise the architect agreement to incorporate stronger terms and provisions to protect the district, especially in requiring the architect to follow district design standards.

7. Continue to enforce completion of all DSA and district closeout require-ments before making the final payment to the general contractor.

8. Enforce completion of all DSA and district closeout requirements before making the final payment to the architect/engineering firm for all projects.

9. Ensure architect adherence with district design standards and inclusion of those standards into the plans and specifications of all projects, from initial architect agreement through design, construction administration and closeout (steps are discussed above).

10. Ensure project inspectors are knowledgeable about the new DSA procedures and have the necessary software and computer technology before contracting with them.

11. The contracted construction managers and not the supervisor of construction should manage the architect

Chain of CommandEmployees should have a formal mechanism and channels for complaints and suggestions. A perception of possible retaliation can block employee/department communication and encourage employees to seek other channels, including going directly to governing board members. A clear chain of command, from staff to supervisor and above, should be established, communicated and consistently enforced across all levels.

Another example of circumventing the chain of command occurred during planning, design and construction. In summer 2013, a design decision about carpets on a construction project resulted in complaints to a governing board member. This resulted in a change in plans and added costs to the project. In planning and designing construction projects, decisions on the scope of the project should be made collaboratively, involving current and/or eventual site users, project manager, other departments including Educational Services and Technology departments, and



design team (or Maintenance Department if completed in-house). This early decision-making will allow for more efficient planning.

Once construction starts, a project manager (whether from Facilities or Maintenance Departments) should be assigned and have clear responsibility for all aspects of the project. Requests for changes in the scope of the work, whether from a site staff person, site administrator or design/construction team, should be vetted and reviewed by the project manager and project team. The decision of whether to approve a change should be made by the project manager/team, and the reasons made clear to the requesting party. Any appeal that ends up at the superintendent or board level should be referred to the project team for explanation. Whenever possible, the board and superintendent should adhere to the chain of command and expertise of the project team.

Circumventing an established chain of command during project planning and construction can cause higher construction costs and inefficient use of general obligation bond funds.

The Facilities/Construction Department can use a collaborative method involving site users, the Maintenance Department, Educational Services, and the design team. When design decisions are made, they need to be clearly communicated. This can also help to reduce or eliminate circum-ventions of the chain of command.


1. Develop and enforce the chain of command for communications by staff.

2. Ensure that the chain of command is followed and responsibilities for construction projects are channeled through the project team.

3. Plan and design construction projects collaboratively with input from various sources, including Maintenance Department staff, site users, facilities staff, and technology staff. A process should be used for decision-making and follow-through on explanations of why decisions have been made on scope, budget, and other areas so that staff and those affected are a part of the process throughout.

4. Develop and enforce a chain of command through the contracted construc-tion managers and project team for any requested changes in the scope or design of the projects once construction has begun.

5. Continue to educate the governing board on the importance of using the chain of command so that bond funds and other capital outlay funds can be utilized efficiently.



Potential Energy Manager PositionWith the district moving toward more energy-efficient facilities and processes, it will need an energy manager or an energy management coordinator. If implemented properly, such a position will result in significant cost savings, freeing more resources for other general fund use. Such a position could be combined with that of a low-voltage technician to offer economy of labor, and the savings used to fund the position. A low-voltage technician will need to be intimately familiar with the energy management systems and have access to the usage data they offer. This combina-tion can ideally be an effective energy monitor, offering feedback to management on the energy practices of the district and site staff.

The district is considering adding an energy manager position to be paid by Proposition 39 energy funds. According to preliminary entitlement amounts from the California Department of Education, the district may be eligible for approximately $977,000 annually, including $293,000 in the first year for planning. While many believe the Proposition 39 program under develop-ment will be available for five years, the state makes no guarantees on funding for more than one year at a time. Therefore, any decision to hire or contract for an energy manager should be made so that the position can be terminated if funding is no longer available.

Adding a position currently appears to be an eligible expenditure under the Proposition 39 draft guidelines issued in October, 2013; however, the district should remain informed of the changing guidelines and program requirements as they are developed in the coming months.

The Proposition 39 program requirements include complex steps and calculations, as well as important deadlines and reporting and auditing requirements to be compliant with the program and eligible for funding.

Two sets of skills will be required to implement a successful Proposition 39 program, as well as a larger energy plan and program in the district. The first set of skills needed will be in following and reviewing the complex guidelines, completing online applications, and meeting deadlines for what will probably be a highly bureaucratic and complex state program. The first deadline for planning funds was on November 1, 2013 but another deadline has been promised by the California Energy Commission and the California Department of Education for January 2014. The commission will consider the draft guidelines for approval in December 2013, but the program continues to be unstable and requires regular monitoring.

The facilities director should be responsible for overall Proposition 39 program implementation as well as for completing applications as district representative. An energy manager position would be responsible for completing or ensuring completion of the steps of the Proposition 39 guidelines, as well as helping the director in overall district energy planning. The Facilities Department has a summary of the district energy savings plan in a two-page document dated August 23, 2013. This plan should continue to be integrated into all projects by ensuring that these systems and products are included in the district design standards. The energy savings plan should continue to be a visible part of the district’s facility program and master plan.

The second set of skills required will be the ability to complete the technical steps in an energy program, including performing or ensuring the performance of benchmarking (comparing to similar districts and buildings), completing energy audits, sequencing projects, prioritizing projects, performing calculations of energy savings, assisting in overseeing construction of the projects, and helping in the reporting and auditing of final steps. An energy manager position requiring skilled mechanical and building systems knowledge likely would not be the same person filling out the applications and performing the administrative tasks necessary to comply with the program.



The district should ensure contractor compliance with plans and specifications and adequate operational functioning of new and modernized HVAC systems at various projects, including Ponderosa Elementary School and other sites. An energy manager should possess the skills neces-sary to ensure that the district has an adequate energy program in the construction/moderniza-tion area for all current and future projects. This includes the following:

• Development of district design standards for HVAC, EMS and BMS systems and all energy-related systems.

• Ensuring that district standards for energy-related (HVAC, lighting, other) systems are incorporated into the architect agreements so that the architect follows district design intent.

• Ensuring that the architect has developed appropriate plans and specifications that follow the district standards and design intent.

• Enforcing adherence to the district design standards during the submittal process, substitution requests for different systems, and change order requests.

Even with the addition of an energy manager, the district may require the contract services of an energy consultant to perform all the needed steps, including the calculations. The energy manager should have the technical skills to oversee the consultant to ensure cost-effective and efficient use of Proposition 39 funds, Measure G funds, and other capital outlay funding sources.


1. Consider adding a full-time energy manager position to the Facilities/Construction Department. This position should have the technical/mechanical skills required to develop and implement the Proposition 39 energy program and, if the energy manager does not have the skills, to oversee an outside contracted energy consultant to ensure compliance with all Proposition 39 requirements. Such a position could be combined with that of a low-voltage technician to offer economy of labor, and the savings used to fund the position.

2. Require the energy manager to have the skill and be responsible for main-taining the energy-efficient, cost-effective and operational functioning of the EMS, BMS and other district energy systems.

3. Assign the energy manager position to assist the facilities director in devel-oping, updating and implementing an overall energy plan in the district using the current energy savings plan summary dated August 23, 2013.

4. Exercise caution if adding the energy manager position as an employee because of the lack of guaranteed funding for the entire five years of the Proposition 39 program.

5. Assign the director of facilities/construction to meet application deadlines, submitting applications and ensuring compliance with all the monitoring, reporting and auditing requirements of the Proposition 39 program.


37S T A F F I N G C O M P A R I S O N S

Staffing ComparisonsData for a comparison of the district’s maintenance, operations and grounds staffing was obtained from three California elementary school districts with student enrollment levels similar to the Anaheim City School District. FCMAT chose a list of comparable districts using information provided by the Ed-Data website. The comparison districts surveyed included the Cupertino Union Elementary School District, Panama-Buena Vista Elementary School District and Escondido Union Elementary School District.

The comparative organizational analysis and staffing information should be viewed as a guideline for appropriate staffing levels, but should consider that California school districts are complex systems that vary widely in demographics, resources, and organization. As an example, this report considers organizations in K-12 education that share certain functionality within limits such as average daily attendance, revenue computation or staffing for expenditures, but this does not mean that each district is identical. Interpreting staffing needs based on one or two criteria can be misleading if significant circumstances are not considered. Instead, the comparative data should be used with the formulas provided in this report to determine the staffing levels appropriate for the district’s unique characteristics.

FCMAT prepared a staffing and organization structure questionnaire and electronically forwarded it to the three districts. All three responded, and the comparative group analysis includes a review of FTEs by departments. In addition to gathering quantitative data, the team received qualitative data from these districts on how they respond to the effects of diminishing revenues over the last four years.

FCMAT’s review considered the following issues:

• The grade-level configuration (elementary school district)

• The enrollment of the district

• Revenue limit districts (rather than basic aid)

• The percentage of students who are eligible for free and reduced price meals

• The largest ethnic group represented

Maintenance

District EnrollmentSupportStaff

Maintenance Staff

Supervisor/Manager

DMContrib.

RRMAContrib.

Anaheim City 19,126 4 19 1 0% 2%

Escondido Union 19,365 3 25* .5 .5% 3%

Panama-Buena Vista 17,484 4 14* 1 0% 1.7%

Cupertino Union 19,035 3 17* 1 0% 3%

*Includes one lead position


38 S T A F F I N G C O M P A R I S O N S

Operations

District EnrollmentOperationsStaff

DaySupervisor

Night Supervisor

Evaluated By

RovingTeams

Anaheim City 19,126 61 .5 Principal No

Escondido Union 19,365 67 Principal Yes

Panama-Buena Vista 17,484 78 1 Supervisor No

Cupertino Union 19,035 53 .5 1 Supervisor Yes

Grounds

District EnrollmentGrounds Staff Supervisor Leads

Anaheim City 19,126 13 .5

Escondido Union 19,365 12 .5

Panama-Buena 17,484 11 1

Cupertino Union 19,035 7 1 1

Each district surveyed had a director-level position responsible for some combination of main-tenance, operations and grounds, and in some cases transportation. Each district also provided clerical support to this position.

The Anaheim City School District has two maintenance and operations supervisors; however, one functions as a supervisor of operations and grounds. Each comparative district had either a half-time or full-time supervisor over both maintenance and/or grounds. The Panama-Buena Vista Union School District had supervisors over maintenance, operations and grounds.

The principal has the primary responsibility for supervising and evaluating custodians in only one of the three comparative districts, Escondido Union School District. Accordingly, this was the only district that did not have a custodial supervisor. Two of the three comparative districts employed roving teams to perform custodial work at night.

The Anaheim City School District had the second most staffing in maintenance when compared to the other districts, but the district’s custodial staffing is less than two of the comparative districts. Anaheim City School District also has more groundskeepers than all the comparative districts, and is staffed above industry standards.

In allocating resources, all four districts have continued to budget some percentage of general fund expenditures in the routine restricted maintenance account (RRMA), despite having the budgetary flexibility to reduce the account to zero. These range from 1.7% of the general fund at Panama-Buena Vista Union School District to 3% at the Escondido and Cupertino Union school districts. Escondido Union is the only district of the four surveyed that makes a contribu-tion to the deferred maintenance fund (DM).

The 2013-14 state budget replaced the previous K-12 finance system with a new local control funding formula. For school districts and charter schools, this formula creates base, supplemental, and concentration grants in place of previously existing funding streams, including revenue limits and most state categorical programs. Under the local control funding formula, school districts are no longer required to make a matching share contribution to the deferred maintenance fund. However, to ensure that the district’s investment in capital facilities is protected, the district should continue to budget an amount sufficient to maintain its facilities.


39S T A F F I N G C O M P A R I S O N S

Recommendation The district should:

1. Identify and budget an amount needed annually to adequately maintain the district’s grounds and facilities.


40 S T A F F I N G C O M P A R I S O N S


D R A F T 41A P P E N D I C E S 41

AppendicesA. IRS Tax Publication 1779 Independent Contractor

or Employee

B. Study Agreement


D R A F T42 A P P E N D I C E S42



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cons

ider

ed m

any

fact

s in

dec

idin

g w

heth

er a

wor

ker

is a

n in

dep

end

ent c

ontr

acto

r or

an

em-

plo

yee.

The

se re

leva

nt fa

cts

fall

into

thre

e m

ain

cate

gorie

s:

beh

avio

ral c

ontr

ol; fi

nanc

ial c

ontr

ol; a

nd re

latio

nshi

p of

th

e pa

rtie

s. In

eac

h ca

se, i

t is

very

impo

rtan

t to

cons

ider

al

l the

fact

s –

no s

ingl

e fa

ct p

rovi

des

the

answ

er. C

aref

ully

re

view

the

follo

win

g d

efini

tions

.

Be

havio

ral C

ontr

ol

Thes

e fa

cts

show

whe

ther

ther

e is

a r

ight

to d

irect

or

cont

rol h

ow th

e w

orke

r do

es th

e w

ork.

A w

orke

r is

an

empl

oyee

whe

n th

e bu

sine

ss h

as th

e rig

ht to

dire

ct a

nd

cont

rol t

he w

orke

r. Th

e bu

sine

ss d

oes

not h

ave

to a

ctua

lly

dire

ct o

r co

ntro

l the

way

the

wor

k is

don

e –

as lo

ng a

s th

e em

ploy

er h

as th

e rig

ht to

dire

ct a

nd c

ontr

ol th

e w

ork.

For

ex

ampl

e:

Inst

ruct

ions

– if

you

rece

ive

exte

nsiv

e in

stru

ctio

ns

on h

ow w

ork

is to

be

done

, thi

s su

gges

ts th

at y

ou a

re

an e

mp

loye

e. In

stru

ctio

ns c

an c

over

a w

ide

rang

e of

to

pics

, for

exa

mp

le:

• ho

w, w

hen,

or

whe

re to

do

the

wor

k

• w

hat t

ools

or

equi

pmen

t to

use

• w

hat a

ssis

tant

s to

hire

to h

elp

with

the

wor

k

• w

here

to p

urch

ase

sup

plie

s an

d se

rvic

es

If yo

u re

ceiv

e le

ss e

xten

sive

inst

ruct

ions

abo

ut w

hat

shou

ld b

e do

ne, b

ut n

ot h

ow it

sho

uld

be

don

e, y

ou

may

be

an in

dep

end

ent c

ontr

acto

r. Fo

r in

stan

ce,

inst

ruct

ions

abo

ut ti

me

and

plac

e m

ay b

e le

ss im

por

tant

th

an d

irect

ions

on

how

the

wor

k is

per

form

ed.

Trai

ning

– if

the

bus

ines

s pr

ovid

es y

ou w

ith tr

aini

ng

abou

t req

uire

d p

roce

dure

s an

d m

etho

ds, t

his

indi

cate

s th

at th

e bu

sine

ss w

ants

the

wor

k d

one

in a

cer

tain

way

, an

d th

is s

ugge

sts

that

you

may

be

an e

mp

loye

e.

Fin

ancia

l C

ontr

ol

Thes

e fa

cts

show

whe

ther

ther

e is

a r

ight

to d

irect

or

cont

rol t

he b

usin

ess

part

of t

he w

ork.

For

exa

mpl

e:

Sig

nifi

cant

Inve

stm

ent

– if

you

have

a s

igni

fican

t in

vest

men

t in

your

wor

k, y

ou m

ay b

e an

inde

pend

ent

cont

ract

or. W

hile

ther

e is

no

prec

ise

dolla

r te

st, t

he

inve

stm

ent m

ust h

ave

subs

tanc

e. H

owev

er, a

sig

nifi-

cant

inve

stm

ent i

s no

t nec

essa

ry to

be

an in

depe

nden

t co

ntra

ctor

.

Exp

ense

s –

if yo

u ar

e no

t rei

mbu

rsed

for

som

e or

all

busi

ness

exp

ense

s, th

en y

ou m

ay b

e an

inde

pend

ent

cont

ract

or, e

spec

ially

if y

our

unre

imbu

rsed

bus

ines

s ex

pens

es a

re h

igh.

Op

po

rtun

ity fo

r P

rofi

t o

r Lo

ss –

if y

ou c

an

real

ize

a pr

ofit o

r in

cur

a lo

ss, t

his

sugg

ests

that

you

ar

e in

bus

ines

s fo

r yo

urse

lf an

d th

at y

ou m

ay b

e an

in

depe

nden

t con

trac

tor.

Re

latio

nship

of

the

Part

ies

Thes

e ar

e fa

cts

that

illu

stra

te h

ow th

e bu

sine

ss a

nd th

e w

orke

r pe

rcei

ve th

eir

rela

tions

hip.

For

exa

mpl

e:

Em

ploy

ee B

enefi

ts –

if y

ou re

ceiv

e be

nefit

s, s

uch

as

insu

ranc

e, p

ensi

on, o

r pa

id le

ave,

this

is a

n in

dica

tion

that

yo

u m

ay b

e an

em

ploy

ee. I

f you

do

not r

ecei

ve b

enefi

ts,

how

ever

, you

cou

ld b

e ei

ther

an

empl

oyee

or

an in

depe

n-de

nt c

ontr

acto

r.

Writ

ten

Con

trac

ts –

a w

ritte

n co

ntra

ct m

ay s

how

wha

t bo

th y

ou a

nd th

e bu

sine

ss in

tend

. Thi

s m

ay b

e ve

ry

sign

ifica

nt if

it is

diffi

cult,

if n

ot im

poss

ible

, to

dete

rmin

e st

atus

bas

ed o

n ot

her

fact

s.

Whic

h a

re y

ou?

For f

eder

al ta

x pu

rpos

es, t

his

is a

n im

porta

nt d

istin

ctio

n. W

orke

r cla

ssifi

catio

n af

fect

s ho

w y

ou p

ay y

our f

eder

al in

com

e ta

x, s

ocia

l sec

urity

and

Med

icar

e ta

xes,

and

how

you

file

you

r tax

retu

rn. C

lass

ifica

tion

affe

cts

your

elig

ibili

ty fo

r soc

ial

secu

rity

and

Med

icar

e be

nefit

s, e

mpl

oyer

pro

vide

d be

nefit

s an

d yo

ur ta

x re

spon

sibi

litie

s. If

you

are

n’t s

ure

of y

our w

ork

stat

us, y

ou s

houl

d fin

d ou

t now

. Thi

s br

ochu

re c

an h

elp

you.

Inde

pend

ent C

ontr

acto

r or E

mpl

oyee

?



Appendix B: Study Agreement

anaheim city school...

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