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2011-2012 State Audit
Action Steps
Bond Oversight Committee
Audit Report
Letter from the Board of Education
Frequently Asked Questions
Overview
Action Steps
 

Steps to Improve Policies, Practices and Procedures

The Rockwood School District is committed to continuous improvement. We will address the recommendations included in the audit, and be more effective in these important areas as we serve our students, families, staff and community.

Track our progress.  You can scroll through the action steps below, and view the Action Steps timeline.

Read the latest updates.  You can find out more about Rockwood's progress on Action Steps: Updates on our Progress.

Progress
  
  
collapse Action : 1.1a - Improve contract language regarding fees ‎(1)
Modify future contracts to be clear about all fees.
Ongoing
collapse Action : 1.1b - Attempt to collect any overpayment ‎(1)
Authorize district attorneys to investigate all claims regarding the overpayment of program management fees including, but not limited to, those identified in the audit report.
CompletedProgram Management Services Review
collapse Action : 1.2 - Consider soliciting bids for substantial changes or additions ‎(1)
Create board policy to address issues about defining a clear scope of work before projects are bid.   Prohibit change orders for locations not included in the original scope.  Require board approval before the scope of work is changed.  Require additional bid for scope changes that are not tightly integrated into the original work.
CompletedPolicy 7210 - Construction Contracts, Bidding and Awards
collapse Action : 1.2a - Improve planning and monitoring of projects to minimize change orders ‎(1)
Emphasis will be placed on identifying the scope of work before the project is bid.  Staff will be informed that few scope changes, if any, will be approved once the contract is bid.   Much of this task will take place once bond authority is available, however this item has already been discussed with administrative council.
CompletedChange Order Request Form
collapse Action : 1.2b - Consider soliciting bids for substantial changes or additions ‎(1)
Update change order form to indicate if the change order relates to unforeseen conditions, regulatory oversight or scope change.  Also indicate emergency (change order already implemented due to project schedule) or non-emergency (board approves before change order implemented).
CompletedChange Order Request Form
collapse Action : 1.2c - Document selection process ‎(1)
Update board policy regarding the request for proposal process including the selection criteria (including the amount of each proposal) [Completed 3/7/2013 - Policy 7130], (the retention period for documents, change orders and design oversight) [Policies 7210 and 7211].
CompletedPolicy 7130 - Construction Manager Selection, Policy 7210 - Construction Contracts, Bidding and Awards, Policy 7211 - Approval of Building Projects
collapse Action : 1.3 - Ensure each board member avoids conflicts of interest ‎(1)
Provide training for new board members and reinforce conflict of interest statutes and policies to all board members.
Completed
collapse Action : 1.4 - Consider fees when evaluating construction manager proposals ‎(1)
Update board policy regarding the request for proposal process including the selection criteria (including the amount of each proposal) [Completed 3/7/2013 - Policy 7130], (the retention period for documents, change orders and design oversight) [Cpmpleted 06/20/2013 - Policies 7210 and 7211].
CompletedPolicy 7130 - Construction Manager Selection, Policy 7210 - Construction Contracts, Bidding and Awards, Policy 7211 - Approval of Building Projects
collapse Action : 1.4 - Retain all bid documentation ‎(1)
Update board policy regarding the request for proposal process including the selection criteria (including the amount of each proposal) [Completed 3/7/2013 - Policy 7130], (the retention period for documents, change orders and design oversight) [Completed 06/20/2013 - Policies 7210 and 7211].
CompletedPolicy 7130 - Construction Manager Selection, Policy 7210 - Construction Contracts, Bidding and Awards, Policy 7211 - Approval of Building Projects
Progress
  
  
collapse Action : 2.1 - Discontinue using an underwriter who also acts as financial advisor ‎(1)
Create board policy to prohibit a bond financial advisor from performing underwriting services.  Also indicate preference for competitive bond sales in lieu of negotiated sales.
CompletedPolicy 3330 - Bond Indebtedness
collapse Action : 2.2 - Avoid negotiated sales in most cases ‎(1)
Create board policy to prohibit a bond financial advisor from performing underwriting services.  Also indicate preference for competitive bond sales in lieu of negotiated sales.
CompletedPolicy 3330 - Bond Indebtedness
Progress
  
  
collapse Action : 3.1a - Evaluate the need for each procurement card ‎(1)
Each building or department will create an annual plan for the use of p-cards in the building/department including card limits.  Past use information will be made available.    Administrator's review will be based on a maximum card limit by employee group and by comparing limits between buildings or departments.  The plan will allow access throughout the 1 full year or 2 restricted to the school year or season of the year.  During restricted time periods, the card will be inactivated.  The p-card strategy will be reviewed by cabinet and sent to the board for approval each year.
CompletedP-Card Plan
collapse Action : 3.1b - Update the master list ‎(1)
Each building or department will create an annual plan for the use of p-cards in the building/department including card limits.  Past use information will be made available.    Administrator's review will be based on a maximum card limit by employee group and by comparing limits between buildings or departments.  The plan will allow access throughout the 1 full year or 2 restricted to the school year or season of the year.  During restricted time periods, the card will be inactivated.  The p-card strategy will be reviewed by cabinet and sent to the board for approval each year.
CompletedP-Card Plan
collapse Action : 3.1c - Evaluate credit limits ‎(1)
Each building or department will create an annual plan for the use of p-cards in the building/department including card limits.  Past use information will be made available.    Administrator's review will be based on a maximum card limit by employee group and by comparing limits between buildings or departments.  The plan will allow access throughout the 1) full year or 2) restricted to the school year or season of the year.  During restricted time periods, the card will be inactivated.  The p-card strategy will be reviewed by cabinet and sent to the board for approval each year.
CompletedP-Card Plan
collapse Action : 3.1d - Document and retain temporary adjustments to the limit ‎(1)
Temporary credit limit adjustments will be saved.
Completed
Progress
  
  
collapse Action : 4.1 - Comply with the district purchasing policy ‎(1)
Modify workflow so all purchases over $7,500 are routed to CFO.  When items over $7,500 are received into the purchasing queues and the purchase is subject to board approval (see exceptions listed under board regulation 3170), determine if the purchase is a new request or part of prior contract approved by the board.  If part of a prior contract, ensure that the purchase is within the timeframe of the existing contract.  If not, a new proposal must be approved by the board.
Completed
collapse Action : 4.1 - Modify the policy to require periodic competitive selection process ‎(3)
Update board policy  - No person who performs services for the district under a consulting contract may, for a period of one year after completion of the consulting services, be hired as an employee of the Board for a position created by or originating from the contracted consulting services.
CompletedPolicy 4120 - Employment Procedures
Request proposals for legal services.

Timeline for RFP
4/1/13 – RFP released
5/1/13 – Proposals Due
6/1/13 – BOE Award
7/1/13  Service Start
CompletedBond Counsel Services RFP and Comprehensive Legal Services RFP
Request proposals for audit services (contract expires 6/30/2014).
In ProgressAudit Services RFP
Progress
  
  
collapse Action : 5.1 - Ensure pre-numbered receipt slips are issued for all monies received ‎(3)
Prepare a report showing appropriate cash handling practices for each area listed in audit report.  Include "chain of custody" procedures from original receipt through deposit.
CompletedCash Receipt Process - Community Education and Finance
Provide necessary resources and train staff to comply with procedure.
CompletedInternal Controls Training - Community Education
Consider district-wide receipting process for money collected during the regular school day in the offices and classrooms.
CompletedReceipts Program
collapse Action : 5.1 - Reconcile deposits to receipts ‎(2)
Prepare a report showing appropriate cash handling practices for each area listed in audit report.  Include "chain of custody" procedures from original receipt through deposit.
CompletedCash Receipt Process - Community Education and Finance
Provide necessary resources and train staff to comply with procedure.
CompletedInternal Controls Training - Community Education
collapse Action : 5.2 - Require signatures to document custody and control of receipts ‎(2)
Prepare a report showing appropriate cash handling practices for each area listed in audit report.  Include "chain of custody" procedures from original receipt through deposit.
CompletedCash Receipt Process - Community Education and Finance
Provide necessary resources and train staff to comply with procedure.
CompletedInternal Controls Training - Community Education
Progress
  
  
collapse Action : 6.1a - Ensure complete, accurate and detailed capital asset records are maintained ‎(5)
Create board policy to identify the assets that will be subject to physical inventory each year.   This will include a dollar threshold as well as other assets that are prone to loss or theft.
CompletedPolicy 5410-Inventory Requirements
Issue a request for proposal to perform the following services:  1) locate all assets on the perpetual inventory that meet the established criteria, 2) place a bar code label on the asset, 3) update the inventory record including the location of the asset, 4) compile a list of assets not found, 5) work with principals/managers to find the missing assets, 6) add other assets, not on the current inventory, that are discovered in the buildings, 7) update the inventory system with all changes and 8) assist the district in developing an annual cycle count of inventory.
CompletedRFP - Fixed Asset Inventory
Purchase bar code readers and issue them to building/department staff.  Designate staff within the building/department to perform the physical inventory during their designated cycle count period.
Not Started
Allocate additional resources in the business office to coordinate the annual inventory process.  This will include the reconciliation of the perpetual inventory records with the cycle counts and follow-up activities to identify the current location of assets not recorded by the bar code scans conducted by building and department staff.
Completed
Based on the results of the cycle counts, evaluate the effectiveness of the perpetual inventory process and implement any changes to the process.
In Progress
collapse Action : 6.1b - Conduct annual physical inventories to correct perpetual inventory records ‎(5)
Create board policy to identify the assets that will be subject to physical inventory each year.   This will include a dollar threshold as well as other assets that are prone to loss or theft.
CompletedPolicy 5410-Inventory Requirements
Issue a request for proposal to perform the following services:  1) locate all assets on the perpetual inventory that meet the established criteria, 2) place a bar code label on the asset, 3) update the inventory record including the location of the asset, 4) compile a list of assets not found, 5) work with principals/managers to find the missing assets, 6) add other assets, not on the current inventory, that are discovered in the buildings, 7) update the inventory system with all changes and 8) assist the district in developing an annual cycle count of inventory.
CompletedRFP - Fixed Asset Inventory
Purchase bar code readers and issue them to building/department staff.  Designate staff within the building/department to perform the physical inventory during their designated cycle count period.
Not Started
Allocate additional resources in the business office to coordinate the annual inventory process.  This will include the reconciliation of the perpetual inventory records with the cycle counts and follow-up activities to identify the current location of assets not recorded by the bar code scans conducted by building and department staff.
Completed
Based on the results of the cycle counts, evaluate the effectiveness of the perpetual inventory process and implement any changes to the process.
In Progress
collapse Action : 6.2a - Reconcile fuel purchases to mileage ‎(4)
Obtain monthly downloads of fuel purchases and odometer readings by vehicle.  Combine with prior months.  Summarize data to show miles driven with a comparison of gallons used.
Completed
Annually confirm mileage on report agrees with vehicle.
Completed
Obtain monthly report from First Student that includes each bus, beginning and ending odometer readings, fuel purchases, and gallons of fuel on hand.  Review report for reasonableness.
CompletedMonthly Fuel Reconciliation
Turn on deny flag to notify office immediately when odometer readings are out of sequence.
Completed
collapse Action : 6.2b - Maintain mileage logs ‎(2)
For pooled vehicles, maintain mileage logs for each trip.
CompletedMileage Log
For vehicles individually assigned, monitor monthly mileage.
Completed
Progress
  
  
collapse Action : 7.1 - Ensure the contract is accurate ‎(1)
Modify contract
Completed
Progress
  
  
collapse Action : 8.1 - Implement controls to ensure accuracy ‎(2)
Develop board policy requiring central office review of monthly attendance records.
CompletedPolicy 2310 - Student Absences and Excuses
Begin a process to review the attendance data at conclusion of each month.
Completed
collapse Action : 8.1 - Restrict the time frame in which changes are made ‎(1)
Establish event triggers in the software that will notify designated administrative staff by e-mails if data is changed after a specified period of time.
Completed
collapse Action : 8.1 - Review all changes to attendance records ‎(2)
Develop board policy requiring central office review of monthly attendance records.
CompletedPolicy 2310 - Student Absences and Excuses
Review the attendance data at conclusion of each month.
Completed
Progress
  
  
collapse Action : 9.1 - Require periodic changes to employee passwords ‎(1)
Implement process to require passwords to be changed.
CompletedComputer Control Memo
collapse Action : 9.2 - Require a security control to shut down after inactivity ‎(1)
Implement process to lock individual computers after certain period of inactivity.
CompletedComputer Control Memo
collapse Action : 9.3 - Impose lock-out after specified number of login attempts ‎(1)
Already in place.  Implemented June 2011.
Completed
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