CHARLOTTESVILLE CITY COUNCIL – COUNCIL RETREAT – JANUARY 26, 2022 City Council Retreat Wednesday, January 26, 2022 9:00a-4:00p 9:00a WELCOME 9:15a CALL TO ORDER APPROVAL OF PROPOSED AGENDA MONEY, MONEY, MONEY: KEY BUDGET • Overview of Budget Processes INFORMATION • Introduction of Financial Advisor & Brief Discussion led by Krisy Hammill (Budget Discussion Officer) and Kevin Rotty (Financial Advisor) • Overview of Council Funding • Overview of Budget Capacity LUNCH RECESS 12:30p COUNTIL WORK ITEMS: WHO'S ON FIRST? • Council/Manager Working Relationship Discussion led by DCM Marshall and Robert • Need for Council Priorities & Updated Bobb (Robert Bobb Group), with input from Strategic Plan Kyna Thomas (Clerk/Chief of Staff) and Lisa • Timeline Considerations Robertson (City Attorney) as requested • City Staff Capacity • Advisory Boards & Commissions LET'S GET DOWN TO BUSINESS: REVIEW AND • Walk-Through of Key Areas for Possible DISCUSSION OF COUNCIL MEETING Updates PROCEDURES • Agenda Format & Engagement Discussion led by Mayor Snook and Vice- • Meeting Procedures and Time Management Mayor Wade, with input from DCM Marshall, (including timing of comments from both Kyna Thomas (Clerk/Chief of Staff) and Lisa Councilors and the Public) Robertson (City Attorney) as requested • Votes/Decision Making • Proclamations CLOSING REMARKS and ADJOURNMENT **Webinar registration at www.charlottesville.gov/zoom. Virtual/electronic meeting held in accordance with a local ordinance amended and re-enacted October 4, 2021, to ensure continuity of government and prevent the spread of disease during a declared State of Emergency. Individuals with disabilities who require assistance or special arrangements to participate in the public meeting may call (434) 970-3182 or submit a request via email to ada@charlottesville.gov. The City of Charlottesville requests that you provide a 48-hour notice so that proper arrangements may be made. 2022 COUNCIL RETREAT BACKGROUND DOCUMENTS Table of Contents 1. Charlottesville City Demographics PDF Page 3 2. Charlottesville City Organizational Chart PDF Page 6 3. Charlottesville City Boards and Commissions PDF Page 7 4. Charlottesville City Council Values PDF Page 8 5. Charlottesville City Organizational Values PDF Page 10 6. Charlottesville City Strategic Plan PDF Page 11 7. Charlottesville Strategic Plan & Management Reporting Guide PDF Page 12 8. Charlottesville City FY22 Budget-In-Brief & Other Budget Documents PDF Page 38 9. Charlottesville City Council Meeting Procedures PDF Page 63 10. ICMA Making It Work: The Essentials of Council-Manager Relations CH81 PDF Page 77 11. ICMA Article: Three Key Elements of Council-Manager Relations PDF Page 83 12. ICMA Article: Four Fatal Flaws of Council-Manager Relationship PDF Page 87 13. ICMA Code of Ethics PDF Page 91 14. ICMA Recruitment Guidelines for Selecting a Local Government Administrator PDF Page 92 1 Full e-Book was provided to Council separately 15. ICMA Manager Evaluations Handbook PDF Page 142 16. 2017 City of Charlottesville Novak Efficiency Study PDF Page 160 17. Novak Efficiency Study PowerPoint PDF Page 358 18. Novak Efficiency Study Staff Comments PDF Page 368 19. 2018 City of Charlottesville NDS Review of Efficiency Study PDF Page 380 20. 2019 City of Charlottesville Human Resources Review of Efficiency Study PDF Page 431 21. 2017 Novak Fleet Efficiency Study PDF Page 433 22. City of Charlottesville Charter PDF Page 436 23. City of Charlottesville High Level Focus Document PDF Page 454 An official website of the United States government QuickFacts Charlottesville city, Virginia QuickFacts provides statistics for all states and counties, and for cities and towns with a population of 5,000 or more. Table Charlottesville All Topics city, Virginia Population Estimates, July 1 2021, (V2021)  NA   PEOPLE Population Population Estimates, July 1 2021, (V2021)  NA  Population estimates base, April 1, 2020, (V2021)  NA  Population, percent change - April 1, 2020 (estimates base) to July 1, 2021, (V2021)  NA  Population, Census, April 1, 2020 46,553 Population, Census, April 1, 2010 43,475 Age and Sex Persons under 5 years, percent  5.0%  Persons under 18 years, percent  15.6%  Persons 65 years and over, percent  11.3%  Female persons, percent  51.6%  Race and Hispanic Origin White alone, percent  70.6%  Black or African American alone, percent (a)  18.8%  American Indian and Alaska Native alone, percent (a)  0.2%  Asian alone, percent (a)  7.1%  Native Hawaiian and Other Pacific Islander alone, percent (a)  0.1%  Two or More Races, percent  2.9%  Hispanic or Latino, percent (b)  5.5%  White alone, not Hispanic or Latino, percent  65.7%  Population Characteristics Veterans, 2015-2019 1,677 Foreign born persons, percent, 2015-2019 12.2% Housing Housing units, July 1, 2019, (V2019) X Owner-occupied housing unit rate, 2015-2019 42.8% Median value of owner-occupied housing units, 2015-2019 $299,600 Median selected monthly owner costs -with a mortgage, 2015-2019 $1,612 Median selected monthly owner costs -without a mortgage, 2015-2019 $536 Median gross rent, 2015-2019 $1,142 Building permits, 2020 X Families & Living Arrangements Households, 2015-2019 18,617 Persons per household, 2015-2019 2.37 Living in same house 1 year ago, percent of persons age 1 year+, 2015-2019 71.3% Language other than English spoken at home, percent of persons age 5 years+, 2015-2019 15.7% Computer and Internet Use Households with a computer, percent, 2015-2019 92.4% Households with a broadband Internet subscription, percent, 2015-2019 84.3% Education High school graduate or higher, percent of persons age 25 years+, 2015-2019 91.1% Bachelor's degree or higher, percent of persons age 25 years+, 2015-2019 54.9% Health With a disability, under age 65 years, percent, 2015-2019 5.8% Persons without health insurance, under age 65 years, percent  9.2%  Economy In civilian labor force, total, percent of population age 16 years+, 2015-2019 64.1% In civilian labor force, female, percent of population age 16 years+, 2015-2019 64.5% Total accommodation and food services sales, 2012 ($1,000) (c) 293,264 Total health care and social assistance receipts/revenue, 2012 ($1,000) (c) D Total manufacturers shipments, 2012 ($1,000) (c) 98,699 Total retail sales, 2012 ($1,000) (c) 747,946 Total retail sales per capita, 2012 (c) $17,016 Transportation Mean travel time to work (minutes), workers age 16 years+, 2015-2019 17.0 Income & Poverty Median household income (in 2019 dollars), 2015-2019 $59,471 Per capita income in past 12 months (in 2019 dollars), 2015-2019 $38,328 Persons in poverty, percent  24.1%   BUSINESSES Businesses Total employer establishments, 2019 X Total employment, 2019 X Total annual payroll, 2019 ($1,000) X Total employment, percent change, 2018-2019 X Total nonemployer establishments, 2018 X All firms, 2012 5,935 Men-owned firms, 2012 2,995 Women-owned firms, 2012 2,093 Minority-owned firms, 2012 762 Nonminority-owned firms, 2012 4,756 Veteran-owned firms, 2012 471 Nonveteran-owned firms, 2012 4,912  GEOGRAPHY Geography Population per square mile, 2010 4,246.3 Land area in square miles, 2010 10.24 FIPS Code 5114968 About datasets used in this table Value Notes  Estimates are not comparable to other geographic levels due to methodology differences that may exist between different data sources.  Some estimates presented here come from sample data, and thus have sampling errors that may render some apparent differences between geographies statistically indistinguishable. Click the Quick Info  icon to the left of each row in TABLE view to learn about sampling error. The vintage year (e.g., V2021) refers to the final year of the series (2020 thru 2021). Different vintage years of estimates are not comparable. Fact Notes (a) Includes persons reporting only one race (c) Economic Census - Puerto Rico data are not comparable to U.S. Economic Census data (b) Hispanics may be of any race, so also are included in applicable race categories Value Flags - Either no or too few sample observations were available to compute an estimate, or a ratio of medians cannot be calculated because one or both of the median estimates falls in the lowest or upper interval of an open ended distribution. F Fewer than 25 firms D Suppressed to avoid disclosure of confidential information N Data for this geographic area cannot be displayed because the number of sample cases is too small. FN Footnote on this item in place of data X Not applicable S Suppressed; does not meet publication standards NA Not available Z Value greater than zero but less than half unit of measure shown QuickFacts data are derived from: Population Estimates, American Community Survey, Census of Population and Housing, Current Population Survey, Small Area Health Insurance Estimates, Small Area Income and Poverty Estimates, State and County Housing Unit Estimates, County Business Patterns, Nonemployer Statistics, Economic Census, Survey of Business Owners, Building Permits. CONNECT WITH US Accessibility | Information Quality | FOIA | Data Protection and Privacy Policy | U.S. Department of Commerce Organizational Chart Charlottesville City Attorney Voter Registration & City Council Lisa Robertson, Esq. Circuit Court Clerk City Sheriff Elections Commonwealth's Commissioner of Treasurer Attorney Revenue City Manager Vacant Deputy City Manager - Deputy City Manager- Deputy City Manager - Administration REDI Operations Vacant Ashley Reynolds Marshall Samuel Sanders, Jr. Utilities Human Resources Human Rights Fire Department Police Department Lauren Hildebrand Vacant Todd Neimier Chief Hezedean Smith, Assistant Chief Major Ph.D. Latroy Durrette Parks & Recreation Dana Kasler Finance Human Services Chris Cullinan Misty Graves (Interim) Communications Transit David Dillehunt (Interim Social Services Deputy Director) Garland Williams Information Technology Sue Moffett Steve Hawkes (Interim) Community Solutions Home to Hope Progam Alex Ikefuna (Interim) Roy Fitch (Temporary Budget & Performance Supervisor) Krisy Hammill Public Works Stacey Smalls Police Civilian Oversight Hansel Aguilar Economic Development Neighborhood Chris Engel Development Services James Freas Equity and Inclusion Vacant Updated January 17, 2022 ALL BOARDS AND COMMISSIONS Boards with Citizens Appointed by Council • Albemarle-Charlottesville Regional • Jefferson Area Community Criminal Jail Justice Board • Board of Architectural Review • Jefferson-Madison Regional Library • Building Code Board of Appeals Board • CAT Advisory Board • Measurement and Solutions Group • Charlottesville Economic • Minority Business Commission Development Authority • Monticello Area Community Action • Charlottesville Redevelopment and Agency Board Housing Authority • Personnel Appeals Board • Charlottesville-Albemarle Airport • Piedmont Family YMCA Board of Authority Directors • Charlottesville-Albemarle Airport • Piedmont Virginia Community Commission College Board • Citizen's Transportation Advisory • Planning Commission Committee • Police Civilian Review Board • Community Development Block • Region Ten Community Services Grant Task Force Board • Community Policy and • Retirement Commission Management Team • Ridge Street Priority Neighborhood • Electoral Board Task Force • Historic Resources Committee • Rivanna Solid Waste Authority • Housing Advisory Committee • Rivanna Water and Sewer Authority • Human Rights Commission • Sister Cities Commission • JAUNT • Social Services Advisory Board • Jefferson Area Board for Aging • Towing Advisory Board Advisory Council on Aging • Tree Commission • Jefferson Area Board for Aging • Vendor Appeals Board Board of Directors • Youth Council Boards Appointed by the Circuit Court • Board of Zoning Appeals Other Boards Members of Council Serve On • Charlottesville Albemarle • Piedmont Housing Alliance Convention and Visitors Bureau • Regional Housing Partnership • Charlottesville Community • Regional Transportation Partnership Scholarship Program • Rivanna Corridor Planning Steering • Darden Towe Park Committee • Hydraulic Road Planning Advisory • Rivanna River Basin Commission Panel • Thomas Jefferson Planning District • LEAP Governance Board Commission • Metropolitan Planning Organization • Virginia Career Works Policy Committee • Virginia First Cities • Mobilizaton for Action through Planning and Partnerships Advisory Committees to Staff • ADA Advisory Committee • Parks and Recreation Advisory • Bike & Pedestrian Advisory Committee Committee • PLACE Design Task Force • Parking Advisory Panel • Water Resources Protection Program Advisory Committee CHARLOTTESVILLE CITY COUNCIL VISION - 2025 Charlottesville: A Great Place to Live for All of Our Citizens • A leader in innovation, environmental sustainability, and social and economic justice, and healthy race relations • Flexible and progressive in anticipating and responding to the needs of our citizens • Cultural and creative capital of Central Virginia • United community that treasures diversity Economic Sustainability Our community has an effective workforce development system that leverages the resources of the University of Virginia, Piedmont Virginia Community College, and our excellent schools to provide ongoing training and educational opportunities to our residents. We have a business‐friendly environment in which employers provide well‐paying, career‐ladder jobs and residents have access to small business opportunities. The Downtown Mall, as the economic hub of the region, features arts and entertainment, shopping, dining, cultural events, and a vibrant City Market. The City has facilitated significant mixed and infill development within the City. A Center for Lifelong Learning In Charlottesville, the strength of our education is measured not by the achievements of our best students, but by the successes of all our students. Here, an affordable, quality education is cherished as a fundamental right, and the community, City schools, Piedmont Virginia Community College and the University of Virginia work together to create an environment in which all students and indeed all citizens have the opportunity to reach their full potential. Quality Housing Opportunities for All Our neighborhoods retain a core historic fabric while offering housing that is affordable and attainable for people of all income levels, racial backgrounds, life stages, and abilities. Our neighborhoods feature a variety of housing types, including higher density, pedestrian and transit‐ oriented housing at employment and cultural centers. We have revitalized public housing neighborhoods that include a mixture of income and housing types with enhanced community amenities. Our housing stock is connected with recreation facilities, parks, trails, and services. C’ville Arts and Culture Our community has world‐class performing, visual, and literary arts reflective of the unique character, culture, and diversity of Charlottesville. Charlottesville cherishes and builds programming around the evolving research and interpretation of our historic heritage and resources. Through City partnerships and promotion of festivals, venues, and events, all have an opportunity to be a part of this thriving arts, cultural, and entertainment scene. A Green City Charlottesville citizens live in a community with a vibrant urban forest, tree‐lined streets, and lush green neighborhoods. We have an extensive natural trail system, along with healthy rivers and streams. We have clean air and water, we emphasize recycling and reuse, and we minimize storm‐water runoff. Our homes and buildings are sustainably designed and energy efficient. America’s Healthiest City All residents have access to high‐quality health care services. We have a community‐wide commitment to personal fitness and wellness, and all residents enjoy our outstanding recreational facilities, walking trails, and safe routes to schools. We have a strong support system in place. Our emergency response system is among the nation’s best. A Connected Community The City of Charlottesville is part of a comprehensive, regional transportation system that enables citizens of all ages and incomes to easily navigate our community. An efficient and convenient transit system supports mixed use development along our commercial corridors, while bike and pedestrian trail systems, sidewalks, and crosswalks enhance our residential neighborhoods. A regional network of connector roads helps to ensure that residential neighborhood streets remain safe and are not overburdened with cut‐through traffic. Community of Mutual Respect In all endeavors, the City of Charlottesville is committed to racial and cultural diversity, inclusion, racial reconciliation, economic justice, and equity. As a result, every citizen is respected. Interactions among city leaders, city employees and the public are respectful, unbiased, and without prejudice. Smart, Citizen‐Focused Government The delivery of quality services is at the heart of Charlottesville’s social compact with its citizens. Charlottesville’s approach to customer service ensures that we have safe neighborhoods, strong schools, and a clean environment. We continually work to employ the optimal means of delivering services, and our decisions are informed at every stage by effective communication and active citizen involvement. Citizens feel listened to and are easily able to find an appropriate forum to respectfully express their concerns. City of Charlottesville VISION To be one community filled with opportunity STRATEGIC PLAN MISSION We provide services that promote equity FY 2018–20 (Extended to FY 2021) and an excellent quality of life in our community O r g a n i z a t i o n a l Va l u e s L E A D E R S H I P • T R U S T • C R E AT I V I T Y • R E S P E C T • E XC E L L E N C E GOAL 1: An Inclusive Community of Self-sufficient Residents 1.1 Prepare students for academic and vocational success 1.2 Prepare residents for the workforce 1.3 Increase affordable housing options 1.4 Enhance financial health of residents 1.5 Intentionally address issues of race and equity GOAL 2: A Healthy and Safe City 2.1 Reduce adverse impact from sudden injury and illness and the effects of chronic disease 2.2 Meet the safety needs of victims and reduce the risk of re-occurrence/re-victimization 2.3 Improve community health and safety outcomes by connecting residents with effective resources 2.4 Reduce the occurrence of crime, traffic violations and accidents in the community GOAL 3: A Beautiful and Sustainable Natural and Built Environment 3.1 Engage in robust and context sensitive urban planning and implementation 3.2 Provide reliable and high quality infrastructure 3.3 Provide a variety of transportation and mobility options 3.4 Be responsible stewards of natural resources 3.5 Protect historic and cultural resources GOAL 4: A Strong, Creative and Diversified Economy 4.1 Develop a quality workforce 4.2 Attract and cultivate a variety of businesses 4.3 Grow and retain viable businesses 4.4 Promote tourism through effective marketing GOAL 5: A Well-managed and Responsive Organization 5.1 Integrate effective business practices and strong fiscal policies 5.2 Recruit and cultivate a high quality and diverse workforce 5.3 Provide responsive customer service 5.4 Foster effective community engagement Strategic Plan & Management Reporting Guide City of Charlottesville Foreword These guidelines have been produced to assist City of Charlottesville staff in the effective, efficient, and prudent planning and management of their resources on a regular and long-term basis. The manual provides guidance to department heads, division managers and other key personnel in establishing and enhancing their strategic management functions and focus. This manual focuses on how the City will:  PLAN: Set intentions & build the framework  PERFORM: Implement the plan  PERFECT: Review, analyze & course correct 3 Table of Contents 4 Introduction 5 Definitions 6 Organizational Values 7 FY18-20 Strategic Plan 8 Plan 12 Perform 20 Perfect 4 Introduction The purpose of this management guide is to help lead the City of Charlottesville (“City”) staff in the development and implementation of the Strategic Plan in order to fulfill the City’s mission of providing services that promote equity and an excellent quality of life in our community. This guide will also provide an introduction to the tracking and analysis of success measures, and discuss the constant refinement of operational plans and activities. The City has had the P3: Plan, Perform, Perfect initiative in place for the past 10 years. This effort has involved all levels of City staff and institutionalized it as a process that is used to guide the organization and its partners in making key decisions, while tracking progress toward achieving those important goals. This initiative is a sustained effort to improve how the City serves its residents. As part of the P3 Initiative, the City’s Strategic Plan clarifies the organization’s mission, vision, and goals and identifies initiatives the organization must implement and the performance measures it must track to make its goals a reality. The Strategic Plan is used to guide the organization in decision making and resource allocation. The Strategic Plan & Management Reporting Guide is divided into three sections, representing the elements Plan, Perform, and Perfect. These stages are meant to be iterative - the Strategic Planning process is ongoing and should be constantly evaluated for improvements and efficiencies. You are invited to participate in and contribute to the City’s success by providing feedback and sharing personal successes as they relate to the plan. Email p3@charlottesville.org or contact the Office of Budget and Performance Management to provide feedback or share personal Strategic Plan successes. 5 Definitions ClearPoint—strategic management software utilizing scorecards and dashboards to manage objectives, measures, initiatives and action items Goal— broad statements with measurable outcomes to be achieved on behalf of customers/ stakeholders Initiative—specific programs, strategies and activities that will help meet performance targets; linked to specific objectives Measure—key performance indicators—KPI, which track strategic performance (quantitative) Mission—statement of an organization’s purpose Objective—continuous improvement activity and/or statement that describe measurable outcomes regarding what must be accomplished to realize the strategic plan goals Outcome measures—meaningful indicators that assess progress toward the accomplishment of established goals; can also be community indicators that talk about the overall health and status of the community as a whole (quantitative) P3—Plan, Perform, Perfect Scorecard—business framework used for tracking and managing an organization’s strategy Strategic Plan—high-level plan to achieve the goals of the City Target—desired level of performance Values—shared beliefs that guide the perspective and actions of the City Vision—desired future state of the City Workplan—outline of a set of objectives and processes by which a department or division can accomplish those objectives, identifying who is responsible for each task and when the tasks will be completed 6 DEFINITIONS - CITY OF CHARLOTTESVILLE ORGANIZATIONAL VALUES The City of Charlottesville's Organizational Values Mission Statement We provide services that promote equity and an excellent quality of life in our community Vision To be one community filled with opportunity 7 CITY OF CHARLOTTESVILLE FY18-FY20 STRATEGIC PLAN Goal 1: An Inclusive Community of Self-sufficient Residents 1.1 Prepare students for academic and vocational success 1.2 Prepare residents for the workforce 1.3 Increase affordable housing options 1.4 Enhance financial health of residents 1.5 Intentionally address issues of race and equity Goal 2: A Healthy and Safe City 2.1 Reduce adverse impact from sudden injury and illness and the effects of chronic disease 2.2 Meet the safety needs of victims and reduce the risk of re-occurrence/re-victimization 2.3 Improve community health and safety outcomes by connecting residents with effective resources 2.4 Reduce the occurrence of crime, traffic violations and accidents in the community Goal 3: A Beautiful and Sustainable Natural and Built Environment 3.1 Engage in robust and context-sensitive urban planning and implementation 3.2 Provide reliable and high quality infrastructure 3.3 Provide a variety of transportation and mobility options 3.4 Be responsible stewards of natural resources 3.5 Protect historic and cultural resources Goal 4: A Strong, Creative and Diversified Economy 4.1 Develop a quality workforce 4.2 Attract and cultivate a variety of businesses 4.3 Grow and retain viable businesses 4.4 Promote tourism through effective marketing Goal 5: A Well-managed and Responsive Organization 5.1 Integrate effective business practices and strong fiscal policies 5.2 Recruit and cultivate a high quality and diverse workforce 5.3 Provide responsive customer service 5.4 Foster effective community engagement 8 1. PLAN SET INTENTIONS & BUILD THE FRAMEWORK In 2007, as a response to City Council’s call for more data to track the progress of the City’s planning efforts, staff began looking at ways to institutionalize a process that fairly measures outcomes and breaks down barriers between departments and with the public. In 2008, staff developed and started implementation of a process known as P3: Plan, Perform, Perfect. The P3 model is built on the internal capacity to develop departmental strategic business plans, a performance measurement and management system, and a means of reporting results to staff, City management, City Council, and the public. Members of the P3 Core Team who had formal training in facilitation and goal setting conducted 23 seminars with individual departments to establish departmental goals and clearly defined missions that align with the overall vision of the City organization. In order to be successful, P3 is designed to be an ongoing process that integrates into the annual budget process. The long term goals include:  a focus on results, rather than activities;  alignment of results to City Council’s strategic vision and initiatives;  serve as a management tool for the City Manager and Department Heads to evaluate progress of various programs and services;  report to City Council and the public on what the City is doing and how well it is doing it;  create a more comprehensive budget process, with decisions based on data, research, and evidence, and that includes more participation from city staff and the public; and  improve transparency and accountability in all areas of the organization. Strategic Plan The City’s first Strategic Plan was developed as part of the P3 Initiative. In June 2017, City Council adopted the FY 2018 - 2020 Strategic Plan intended to serve as an organizational roadmap for the benefit of the City's staff, residents, businesses, and visitors. This plan is a refresh of the FY 2015-2017 Strategic Plan. The City uses the Strategic Plan to strengthen City operations and ensure that employees are working toward common goals by managing priorities, utilizing resources, measuring and assessing results, and adjusting the organization's direction in response to a changing environment. 9 1. PLAN It also serves as a prioritized guide for the City's elected leaders and the community when making decisions about allocating resources. The Strategic Plan’s Goals, and Objectives are listed in the graphic on page 8. The foundation of the Strategic Plan is the City Values of Leadership, Trust, Creativity, Excellence and Respect (page 7). The City embraces these values as the core tenets of carrying out the City’s operations to meet the mission of the Strategic Plan. Further, employees are evaluated based on these five City Values. Strategic Alignment The City relies on The City relies on several plans to help guide its operations to meet several plans to Strategic Plan Goals. Department Workplans, the Employee help guide its Performance Evaluation (“EPE”) process, and the Comprehensive operations to Plan are examples of how the various plans are connected. The meet Strategic below section describes the relationship between these plans. Plan Goals. Department Workplans Department Workplans are developed by all City departments and created in alignment with the Strategic Plan Goals. They serve as a strategic and operational guide for departments to accomplish departmental objectives and meet specified targets. In addition, Department Heads are held accountable for their Workplans and their performance should be evaluated against their specific objectives, performance measures, and initiatives. Vision and Mission Goals Department Purpose Goal Outcome Statement Objectives, Intermediate Department Measures & Initiatives Workplans 10 1. PLAN Department Workplans are developed in alignment with the annual budget and reported in the ClearPoint management system. Each department in the organization has its own scorecard in ClearPoint to report on the progress of their Workplan elements. In addition to incorporating goals from the Strategic Plans, Department Workplans may also include objectives from other sources such as accreditation processes, regulations, or studies. (See: Department Workplan Manual and Template) The below graphic illustrates how Department Workplans are developed and can be informed by many sources of information. Department Level Input Strategic Plan Department Heads Efficiency Study Supervisors & Staff Department City Council Workplan Department Mission Workplan Comprehensive Plan Accreditation Annual Budget Certifications Employee Performance Evaluation Regulations 11 1. PLAN Employee Performance Evaluations (EPE) In addition to the Department Workplans, all employees are evaluated under the City’s EPE Program that was adopted in the summer of 2018. The EPE is structured in two evaluation sections, Values & Performance. The Values section was developed to mirror the Strategic Plan Values and make sure employees are working toward common goals by managing priorities, utilizing resources, measuring and assessing results, and adjusting the City’s direction in response to a changing environment. The Performance section is based on personal goals set by employees and approved by supervisors. These goals should be in alignment with Strategic Plan Goals and Objectives; supervisors should work with their employees to ensure this organizational alignment. The EPE was developed to mirror the Strategic Plan Values to make sure employees are working towards common goals. Comprehensive Plan As required by state code, the City updates and implements a Comprehensive Plan every five years. A Comprehensive Plan provides the vision for the community’s development over a 20 year period. Current and past versions of the Comprehensive Plan can be found at www.charlottesville.org/ CompPlan. Examples of the breadth of topics contained within the plan can be seen in the specific chapter titles:  Land Use  Community Facilities  Economic Sustainability  Urban Environmental Sustainability  Housing  Transportation  Historic Preservation and Urban Design The Strategic Plan and the Comprehensive Plan overlap in many topic areas, and both provide goals and objectives. The Comprehensive Plan may address specific strategies, describe end goals, and/or identify key focus areas for organizational efforts. The Strategic Plan tends to focus more on organizational performance and efforts that, when implemented, can further the goals of multiple Comprehensive Plan chapters. The Strategic Plan also includes areas of focus internal to the organization that would not be addressed in a plan addressing community development. 12 1. PLAN City Council Workplan This plan is an overview of major projects that allows City Council to respond to the changing needs of the community by complementing the City’s existing planning efforts. It provides a vehicle for Council to collectively identify those initiatives within the various plans that are to be prioritized by City staff in the coming year. Further, it establishes clear guidance and accountability to City staff. An annual workplan ensures that Council’s priorities receive the attention they expect, while providing clear guidance to the organization. There may be items that align with the Strategic Plan, which are indicated as such and linked within ClearPoint. Efficiency Study Recommendations In 2016, the City contracted with the Novak Consulting Group to perform an organizational efficiency study. As a result of the study, Novak developed a plan to assist the City with the implementation of key recommendations. The work involved in implementing these recommendations are integrated within the Strategic Plan and Department Workplans as relevant. During 2017, Novak conducted several supplemental efficiency reviews of Neighborhood Development Services, Department of Human Resources, Fleet Management, and the City Warehouse. These recommendations for specific departments are incorporated into Department Workplans. Summary The City uses a framework of planning and evaluation tools to advance the organization toward fulfilling its mission to provide services that promote equity and an excellent quality of life in our community. The Strategic Plan is the central foundation of this framework and informs other planning tools. 13 2. PERFORM IMPLEMENT THE PLAN Successful implementation of the Strategic Plan requires involvement of multiple groups of people and efforts at different levels within the organization. These efforts may be cross-organizational or focused within a single department. Given the complexity of this system, excellent communication, strong collaboration, and effective accountability are critical through all stages of the process. The roles and responsibilities of City employees within this process are outlined below. Roles and Responsibilities City Council - Establishes the strategic direction of the organization and aligns their decision and policy making process with the Strategic Plan. City Manager - Sponsors the Strategic Plan Core Team and ensures the organization is moving forward with the Strategic Plan and incorporating the concepts of strategic management into its daily operations. Assistant City Managers - Serve as co-chairs of the Strategic Plan Core Team. Strategic Plan Core Team - Oversees and supports implementation of the Strategic Plan. This team is responsible for reviewing all Strategic Plan elements and associated data to ensure they are valid, reliable, meaningful, and accurate representations of performance. The Core Team meets monthly to discuss, review, analyze, and develop strategies and processes for performance improvement within the organization that will be rolled out by the Lead Team. In particular, a Core Team focus is on efforts which are important to the organization as a whole, but which may not reside within any single department. Implementation updates are presented to the Core Team by the Goal Champions and Department Heads. Presentations to the Strategic Plan Core Team should include status updates, a review of what’s working well, challenges encountered, and identification of key points in need of consideration or input from a cross-organizational cohort. Successful implementation of the Strategic Plan requires involvement of multiple groups of people and efforts at different levels within the organization. 14 2. PERFORM Goal Champions - Oversee, track, analyze, and facilitate efforts for a single goal within the Strategic Plan. Goal Champions are not accountable for success of the goal itself since responsibility for those actions resides within multiple departments of the organization. The Goal Champion is, however, accountable for ensuring that efforts toward the goal are being developed, implemented, and reviewed. In their presentations to the Strategic Plan Core Team (as referenced previously), the Goal Champions provide perspective on the Goal as a whole, as well as individual efforts and initiatives. Goal Champions are selected from the Strategic Plan Core Team members. Lead Team - As a group, makes decisions in the organization and is accountable for the performance of the Strategic Plan metrics and adopting recommendations from the Strategic Plan Core Team. The Lead Team is comprised of all Department Heads across the organization. The Lead Team Budget Review Team is chosen from Lead Team members to review departmental scorecards and budget requests during the budget development process. Department Heads - Individually, have responsibilities to the Strategic Plan at their department level and also potentially as A well-rounded members of the Strategic Plan Core Team. At the department departmental team level, Department Heads are responsible for determining how to should include staff integrate the Strategic Plan, the Department Workplan, and the responsible for EPE program. It is recommended to create an internal visioning, department workgroup to assist with coordination within the implementation, and Department. A well-rounded team should include staff reporting activities. responsible for visioning, implementation, and reporting activities. For broader engagement within the department, it is recommended that Department Heads support events or retreats to engage their staff and solicit input and review.The following three areas of focus should be addressed by Department Heads in their presentations to the Strategic Plan Core Team (as referenced previously): Strategic Plan - Department Heads are responsible for assessing the progress of their relevant Strategic Plan elements, critical review of data quality, and presenting updates to and engaging in discussion with the Strategic Plan Core Team. While Department Heads are accountable for ensuring that ClearPoint is up to date, it is expected that staff within the department are responsible for the updates with some staff assigned to be ClearPoint Users. 15 2. PERFORM Workplans - Department Heads are responsible for developing their Workplans, reporting progress to the City Manager and the Strategic Plan Core Team on a regular basis, and implementation of their Workplans. Department Workplans should clearly show points of alignment and incorporation of the Strategic Plan and identify initiatives and objectives that also are significant to other planning processes. As part of the implementation of the Department Workplan, Department Heads should ensure that their managers, supervisors, and employees understand the Goals and Values of the Strategic Plan and how departmental efforts and processes support it. Employee Performance Evaluation (EPE) - Department Heads are responsible for ensuring consistent implementation of the EPE within the department. This includes supporting managers and supervisors as they implement the EPE process and reviewing and following up on resulting recommendations. Managers, Supervisors - Implement initiatives within the Department Workplan. Reference and consider the Strategic Plan Goals when recommending initiatives or policy directives. Track metrics, data, and results associated with the Department Workplan and Strategic Plan. Ensure accurate and timely reporting to ClearPoint Users during updates and implement the EPE Program. Supervisors are expected to encourage and enable staff participation in department planning efforts and events. ClearPoint Users - Develop and update their respective department scorecards (the Department Workplan) and Strategic Plan elements in ClearPoint. They should communicate with their Department Heads and staff about the content of the scorecards. ClearPoint Users should update and revisit their scorecards per the organizational timeline. ClearPoint Users are necessary members of a department workgroup. All Employees - Employees are evaluated in the EPE Program on the Strategic Plan Values and are expected to incorporate the Strategic Plan Goals into their decision-making, actions, and recommendations. Office of Budget and Performance Management - Serves as a central point of contact for resources, training, technical assistance, and general management of the P3 Initiative. Staff are subject matter experts in strategic and organizational planning in order to provide guidance to any of the groups outlined above. 16 2. PERFORM The graphic below helps illustrate how the various groups work together to implement the Strategic Plan. City Informs Policy Strategic Council Plan City Sponsors Ensures Progress Manager Strategic Plan Core Team Strategies and Process Improvements Lead Team Goal Accountable Decision Making Champions for Performance Department Level Presentations on Strategic Plan Successes, Challenges, and Department Heads Key Points for Discussion Implementation Input & Review Strategic Plan Office of Budget and Department Work Plan Performance Management Employee Performance Evaluation Strategic Plan Management & Technical Assistance Supervisors & Staff ClearPoint Users 17 2. PERFORM Setting Benchmarks & Tracking Performance In addition to understanding who is responsible for the implementation of the Strategic Plan, it is critical to establish and understand how the City determines whether it has accomplished its goals. The following section provides context and resources on establishing performance benchmarks and data collection to be used in tracking progress toward Strategic Plan Goals. ClearPoint To make progress toward achieving the large, overarching goals of the Strategic Plan it is necessary to establish concrete, actionable steps. The City uses ClearPoint to visualize and track the framework of objectives, measures, initiatives, and action items developed to achieve Strategic Plan Goals. ClearPoint uses a system of scorecards, which record data to measure achievement or progress. In addition to its function as an accountability and tracking To make progress tool, ClearPoint provides important transparency of toward achieving the organizational progress toward achieving Strategic Plan Goals large, overarching to internal and external stakeholders. The Strategic Plan goals of the Strategic scorecards are accessible through the City’s website: Plan, it is necessary to www.charlottesville.org/data establish concrete, actionable steps. Strategic Plan Elements Goals are broad statements of measurable outcomes to be achieved on behalf of customers/ stakeholders. GOAL 1: An Inclusive Community of Self-sufficient Residents GOAL 2: A Healthy and Safe City GOAL 3: A Beautiful and Sustainable Natural and Built Environment GOAL 4: A Strong, Creative and Diversified Economy GOAL 5: A Well-managed and Responsive Organization Goals are evaluated using specific annual and/or bi-annual outcome data relevant to each goal. 18 2. PERFORM Outcome Measures are meaningful indicators that assess quantitative progress toward the accomplishment of goals. They can also be community indicators that are associated with the overall health and status of the community as a whole. Several Outcome Measures are tied to each goal. Examples of Goal 1 Outcome Measures are shown below: Objectives are statements that describe what must be accomplished to move the organization closer to realizing the Strategic Plan Goals. Each Goal has 4 to 5 Objectives. For example, the Goal 1 Objectives are to: 1.1 Prepare students for academic and vocational success 1.2 Prepare residents for the workforce 1.3 Increase affordable housing options 1.4 Enhance financial health of residents 1.5 Intentionally address issues of race and equity The progress of these Objectives is measured by Intermediate Measures. These quantitative metrics are more closely tied to performance and department operations, as opposed to Outcome Measures, which tend to serve more as community indicators. Some examples are included below: 19 2. PERFORM Initiatives are actionable programs, strategies, and activities that will help meet performance targets. Similar to Intermediate Measures, these are also linked to specific Objectives. Setting Targets Targets allow recognition of performance improvement in comparison to a desired rate. They should be achievable yet challenging.  For measures, targets are a numerical value that indicate a desired level of performance. Some measures may have targets that are below the current value, if a decrease in value is desired.  Initiatives and milestones also have targets. These targets are the dates for project completion, any established budgets, as well as any desired outcomes. Below are some guiding questions to consider when setting targets:  Are there laws or authorities that require a performance target? If so, make sure that the target is equal to or above the required target.  What is the performance baseline or trend? Make sure performance is improving and use historical data to inform future goals.  What do constituents want? It is important to listen to what constituents need, want, and expect. However, consider the available resources and existing capacity.  How are similar organizations performing in this area? Other organizations’ performance serve as good comparisons. Use benchmarks and industry standards. 20 2. PERFORM Data Collection The collection of good, relevant data is a critical component in measuring progress toward accomplishing goals. Good data also enhances transparency, provides a foundation for informed decision making, and helps indicate if organizational efforts are making a difference. Department Heads are responsible for ensuring that their department’s scorecard contains valid, reliable data. Scorecards should be reviewed critically to ensure that all supporting data is meaningful and valid. Data should only be entered in ClearPoint when it corresponds directly to a target or measure. Depending on the measure, data may be entered monthly, quarterly, or annually. Department Heads are responsible for ensuring that their department’s scorecard contains valid, reliable data. Summary Successful implementation of the Strategic Plan requires an intentional, collaborative process of establishing meaningful benchmarks to guide program delivery and business practices throughout the City. Department Heads fill a crucial leadership role in this process by encouraging engagement with the Strategic Plan throughout their department and ensuring that good, relevant data is collected and properly analyzed. 21 3. PERFECT REVIEW, ANALYZE & COURSE CORRECT Following the implementation phase, it is imperative to pause regularly to reflect on desired outcomes, review established benchmarks, and analyze data that has been collected and compiled in ClearPoint. The purpose of this review is to holistically and critically reflect on progress made towards desired outcomes, update benchmarks, and course correct if needed. Scorecards In Clearpoint, scorecards allow the City to communicate the progress of the Strategic Plan and also provide a platform for departments to communicate what they’re trying to accomplish, align their day- to-day work with strategy, prioritize projects, products and services, and measure and monitor progress toward strategic targets. ClearPoint connects the dots between the big picture strategy and the more operational elements based on the balance between leading and lagging indicators which can be thought of as drivers and outcomes of the City’s goals. The Scorecard is used to communicate the strategy across the organization and to track strategic performance. Each measure within an objective has one of the following status indicators: No Defined Target At or Above Plan—the element is on target Caution—the element is not meeting target and needs attention to reach target in required time Below Plan—the element is not close to target with a high risk it will not be completed in the required time No Information ClearPoint connects the dots between the big picture strategy and the more operational elements of the Strategic Plan. 22 3. PERFECT Scorecard Review Scorecards are reviewed twice a year, once in July and once during the budget process in November. July Review The Office of Budget and Performance Management will ensure that the list of ClearPoint Users is up to date within each department and that they are trained and have the relevant resources to continue with updates for the following year. The Strategic Plan Core Team, Department Heads, and ClearPoint Users work together to ensure that Strategic Plan and Workplan elements are relevant and up to date. Any changes to scorecards should be made during this process. Fall Budget Process Review During the fall budget process, department scorecards will be reviewed by the Lead Team Budget Review Teams during the annual budget review process. In addition to reviewing budget requests, these teams will review the performance of the departments, including whether or not the measures listed are the most relevant ones for the organization. Scorecards will be finalized with data applicable through December 31, and they will be published in the City Manager’s Proposed and City Council Adopted Budget documents. In reviewing scorecards, the Lead Team Budget Review Team looks at reported data to gain insight into the performance of each department, initiative or project to better inform their decisions and match alignment with the overall Strategic Plan. Evaluation of the scorecards consists of comparing the program results reported to the established objectives to determine whether a program has met its goal. In this process, the team also identifies best practices as well as strengths and weaknesses of individual programs and initiatives. The results of the scorecard review are communicated back each department and ClearPoint User to continue, change or improve measurement methodologies or realign strategic fit. 23 3. PERFECT Budget Alignment During the budget process, department performance measures and scorecards are submitted together with their budgets for review and evaluation. Each departmental and/or divisional section of the budget is aligned to a Strategic Plan Goal. Spending is then broken down on each Goal to measure progress of the Strategic Plan against the budget. Requests for additional funding that is in alignment with the Strategic Plan is further strengthened in this process. Resources are allocated based on the data of each department’s scorecard represented in the budget document. By reviewing the budget and comparing it to the departmental performance measures, overall budget effectiveness can be better evaluated. Public Review Through Open Charlottesville (www.charlottesville.org/data), the City engages with the public in the Strategic Plan and Department Workplans. The information provided on Open Charlottesville is regularly updated and reported to City Council, allowing the community to provide input and suggestions to the City’s overall strategic plan. Open Charlottesville (www.charlottesville.org/data) engages the public in the Strategic Plan and Department Workplans. Evaluation and Revision Timeline In order to regularly track and refine the P3 process, the below timeline has been developed to keep staff accountable for the various Strategic Plan elements to report out to City Council and the public. 24 Plan, Perform, Perfect Timeline Cycle 3. PERFECT Department Strategic ClearPoint Budget Level Plan Review Jul Draft Next Year Data Gathering Spending Accomplishments! Workplan & Review & Reporting Alignment with Strategic Plan Celebrate Budget Strategic Plan Aug Elements Departmental Strategic Plan Sep Feedback Presentation to Public Finalize Budget Proposals Oct Nov Department Review Budget and Performance Workplan & Dec Review Consider New Strategies / Jan Processes for Data Gathering Improvement & Reporting Budget Feb Development Analyze & Worksessions Current Year Strategic Plan Mar Performance Presentation to Public Budget Apr Adoption Review Performance & May Adjust Strategies for Workplans Next Year according to Jun Adopted Budget 25 3. PERFECT Summary ClearPoint scorecards are the mechanism for internal and external stakeholders to periodically review and analyze the City’s progress towards achieving the City's Strategic Plan goals. Course correction or realignment can be driven by City staff, City Council, or the public. Conclusion The mission of the City of Charlottesville is to provide services that promote equity and an excellent quality of life in our community. The fulfillment of this ambitious mission requires commitment from City leadership to drive organization-wide engagement in the continuous process of P3:Plan, Perform, Perfect. Department Heads perform the instrumental work of establishing expectations for their staff, creating access to training, evaluating employees to establish accountability, and celebrating progress towards meeting important benchmarks. Since the nature of making progress towards meeting Strategic Plan benchmarks is both incremental and iterative, taking time for the celebration of progress is important for maintaining buy-in and momentum. The purpose of this guide is to be a useful reference for City staff, and especially Department Heads, as they work to implement the Strategic Plan. The fulfillment of the City’s mission requires commitment from City leadership to drive organization-wide engagement in the continuous process of P3:Plan, Perform, Perfect. 26 City of Charlottesville P3@charlottesville.org 28 The Strategic Plan was adopted in June 2017 and implemented as a 3-year plan for FY 2018-2020. In November 2019, three out of five council members were newly elected. With a majority of the Council not taking office until January 1, 2020, Council decided to delay the update and extend the use of the current plan through FY 2022. The Strategic Plan is comprised of the goals and initiatives below. Each goal is reflected in the FY 2022 City Council Adopted Budget by the respective percentage. Goal 1: An Inclusive Community of Self-sufficient Residents 1.1 Prepare students for academic and vocational success 1.2 Prepare residents for the workforce 44% 1.3 Increase affordable housing options 43% 1.4 Enhance financial health of residents 1.5 Intentionally address issues of race and equity 43% Goal 2: A Healthy and Safe City 2.1 Reduce adverse impact from sudden injury and illness and the effects of chronic disease 2.2 Meet the safety needs of victims and reduce the risk of re-occurrence/re-victimization 2.3 Improve community health and safety outcomes by connecting residents with effective resources 2.4 Reduce the occurrence of crime, traffic violations and accidents in the community 27% Goal 3: A Beautiful and Sustainable Natural and Built Environment 3.1 Engage in robust and context-sensitive urban planning and implementation 3.2 Provide reliable and high quality infrastructure 3.3 Provide a variety of transportation and mobility options 15% 3.4 Be responsible stewards of natural resources 3.5 Protect historic and cultural resources Goal 4: A Strong, Creative and Diversified Economy 4.1 Develop a quality workforce 3% 4.2 Attract and cultivate a variety of businesses 4.3 Grow and retain viable businesses 4.4 Promote tourism through effective marketing Goal 5: A Well-managed and Responsive Organization 12% 5.1 Integrate effective business practices and strong fiscal policies 5.2 Recruit and cultivate a high quality and diverse workforce 5.3 Provide responsive customer service 5.4 Foster effective community engagement 3 Total FY 2022 General 0.53% Local Total CIP Fund increase Contribution Budget Budget: Budget: over to Schools: Highlights $20.3m FY 2021 $58.7m $192.2m 1.3 Increase affordable housing General Fund Revenues options Transfers From Other City/County Revenue Funds Sharing Misc. Revenue 0.99% (Operating Budget) 0.72% 4.74% Charges for Services 7.39% Intergovernmental Revenue 7.38% Licenses and Permits 5.33% Local Taxes 73.45% 1.4 En-  Meals Tax The FY 22 projection for this revenue is $12.8 million. While this is a decrease of approximately $1.4 million from the FY 21 Adopted Budget, it represents an increase of $2.1 million from the most recent revised FY 2021 revenue forecasts. The FY 22 tax rate is 6%.  Lodging Tax revenue collections have continued to show improvement through the first ten months of FY 21 but they are still not projected to reach the pre-COVID monthly collection rates until after the end of FY 22. FY22 projections reflect a $1.28M 1.5supports (20.42%) decrease from the FY21 Adopted budget. The tax rate will remain 8%. A portion of this revenue Intentional- the Charlottesville Albemarle Convention and Visitors Bureau, (CACVB) per a joint agreement between the City ofaddress ly Charlottesville and Albemarle County. CACVB receives 30% of the first 5% of actual lodging tax revenues received by each issues locality. of race  Real Estate Taxes– CY 2021 Real Estate assessments reflect a modest increase over CY 2020.. Residentialand equity properties assessments saw an average of growth of 5.02% while commercial properties grew by 1.00% . In total the CY 2021 assessment saw a growth of 3.28% over CY 2020.  Personal Property Tax revenue is projected to decrease by $59,000 due mainly to fewer motor vehicle sales within the City and an overall decrease in the associated values of personal property within the City. The tax rate for FY 22 is unchanged at $4.20 per $100 of assessed value.  Sales and Use Tax revenue is projected to increase by $495,669, or 4.31% from FY 21. This revenue source did not experience as deep of a decline as some of the other consumer driven revenues and is expected to return to its Pre-COVID monthly collection rates before the end of FY 22.  Business Licenses Taxes revenue is projected to increase by $775,000 in FY 22. While it was originally anticipated that this revenue would see a more dramatic decrease due to COVID, it did not and though still not quite back to pre-COVID levels, projections are now indicating that the actuals for FY 2021 will exceed the budget by over $1 million. Real Estate Tax Rate: Remains at $0.95 per $100 assessed value 4 General Fund Non Departmental Debt Service Payment Expenditures 0.97% 4.87% Management Fund Balance Target Adjustment 3.39% 0.27% Employee Compensation and Training 0.48% Local Contribution to Schools 33.37% Internal Services 2.76% 1.2 Prepare residents for the workforce Financial Services 2.85% Healthy Families and Community 17.25% 1.3 Increase Public Safety and Justice 24.20% affordable Infrastructure and Transportation 9.58% housing options City Council identified five priority areas: Affordable Housing, Race and Equity, Workforce Development, Economic Development, and Safety and Security. The new expenditures that fall under these priorities are listed here. 1.4 Enhance Affordable Housing the financial  This budget includes $6.5M in FY 2022, and over $38.5M in the five year capital program for severalhealth of housing affordable residents initiatives, including redevelopment of public housing sites, housing rehabilitation, supplemental rental assistance and Friendship Court infrastructure improvements and redevelopment.  $965,000 in funding is budgeted for the Charlottesville Housing Affordability Program (CHAP) that will provide real estate tax grants to any City resident who owns and occupies property in the City and whose household income is1.5 Intentional- $55,000 or less and an assessed value of $375,00 or less. ly address  issuesfor In addition, the Tax Relief for Elderly and Disabled programs income threshold will receive $423,488 in funding ofFY race 22. and equity Race and Equity  Provides funding in FY 2022 for the City’s first Deputy City Manager for Race, Equity, Diversity and Inclusion. The portfolio for this position includes the City’s human services departments and the Police Civilian Review Board. Workforce Development and Economic Development  The FY 22 Budget continues to invest in the various programs that support both of these priorities, including the Downtown Job Center, Growing Opportunities (GO) workforce development programs, the Home to Hope program, job fairs and community events, and work done by staff to promote Charlottesville as a premier location for business and collaborate with entrepreneurs and existing businesses seeking to grow here. Safety and Security  Through the support of a 2020 SAFER Grant, the Charlottesville Fire Department has hired 15 new firefighters to address a staffing shortage and improve the department’s emergency services response and community risk reduction efforts.  Provides a full year of funding for the Police Civilian Review Board whose objective is to provide objective and independent civilian-led oversight of the Charlottesville Police Department in an effort to enhance transparency and trust, to promote fair and effective policing, and to protect the civil and constitutional rights of the people of the City of Charlottesville. The FY 2021 Adopted Budget only contained approximately half a year of operational funding. Education  This budget continues a very strong commitment to City Schools by providing $58.7 million in operational funding and $3.5 million in funding for capital improvements. 5 An Inclusive Community of Self-sufficient Residents FY 2022 GENERAL FUND BUDGET SUMMARY FY 2022 Budget: $83.6m 1.2 Prepare residents for % of FY 2022 Budget: 43.5% the workforce New Investment: - $5,942,268 Goal 1 focuses on the welfare of our City residents and aligns directly with City Council’s budget priorities of Affordable 1.3 Increase Housing, Race and Equity, and Workforce Development. The City has made significant financialaffordable investments in new and long term initiatives in this Goal area, and the many departments and external partners that contributehousing to this goal and to the Council priorities are listed. Strong collaboration and continued support of our community partners are options critical to ensure investments are strategic and the desired objectives are achieved. The next page shows highlights of the Strategic Plan measures and initiatives that show the City’s progress towards meeting our Goal 1 Objectives. General Fund  $1,840,000 in funding is budgeted for the Charlottesville Housing Affordability Program (CHAP), Tax Relief for Elderly and Disabled programs and the Rent Relief Program. This represents a slight decrease ($55k) from FY 21 but is more reflective of the actual funding needed based on application data.  A $6,880,841 cash contribution will be made to the Capital Improvement Program (CIP) in accordance with the City’s 3% pay-go policy. This represents a $5,980,941 increase in CIP funds allocated to the CIP over FY21. Cash funding to the CIP was significantly reduced in FY 21 and cash funded projects were deferred in order to create an Economic Downturn Reserve ($6.7m) that could be used to address revenue shortfalls. or unexpected expenses that may occur related to the pandemic. City Departments City Council, Commissioner of Revenue, Human Services, Social Services, Economic Development, Human Rights, Pupil Transportation, Parks and Recreation, Neighborhood Development Services, Redevelopment External Partners Charlottesville City Schools, Region Ten, Virginia Cooperative Extension Service, United Way, Jefferson Madison Regional Library, Piedmont Virginia Community College, Piedmont Workforce Network, MACAA, SARA, Computers 4 Kids, Abundant Life Ministries, PHAR, Pathways Fund, Lighthouse Studio, Sin Barreras, Literacy Volunteers, Charlottesville Festival of Cultures, VA Discovery Museum, Paramount Theater, Jefferson School African American Heritage Center, New City Arts, PHA, AHIP, JAUNT, Legal Aid Justice Center, BridgeLine, SHE, Boys and Girls Club, TJACH, Habitat for Humanity, Piedmont Family YMCA, Virginia Festival of the Book, Creciendo Juntos Goal 1: An Inclusive Community of Self-sufficient Residents 1.1 Prepare students for academic and vocational success 1.2 Prepare residents for the workforce 1.3 Increase affordable housing options 1.4 Enhance financial health of residents 1.5 Intentionally address issues of race and equity 6 An Inclusive Community of Self-sufficient Residents City Council Priority—Workforce Development Obj. 1.2 Prepare Residents for the Workforce Go Skilled Trades Number of Jobs Obtained via Training Programs In CY 2020 the Office of Economic Development (OED) facilitated four Growing Opportunities (GO) Training Programs. The seventh cohort of the highly successful GO Cook program 50 began in February with partner Culinary Concepts AB. Due to 45 restrictions brought on by the COVID-19 pandemic, the class 40 was completed virtually, with four individuals1.3 Increase receiving 35 affordable certifications needed for careers in the hospitality industry. 30 housing and Assisting prospective small business owners in developing 25 20 options two executing plans to realize their entrepreneurial aspirations, 15 classes of the City’s GO Startup program were held over the 10 5 spring and summer. Additionally, Trade Builders Academy saw 0 individuals receive training in skilled trades, safety, and workplace CY 2016 CY 2017 CY 2018 CY 2019 CY 2020 readiness. In total there were 23 low income Charlottesville residents placed in employment through OED’s GO programming. City Council Priority—Affordable Housing Obj. 1.3 Increase Affordable Housing Options The Thomas Jefferson Area Coalition for the Homeless, in a partnership with Piedmont Housing Alliance and Virginia Supportive Housing, is planning a significant permanent supportive housing project at Premier Circle. While new construction is underway, renovated existing structures will be used to provide year-round, low-barrier emergency shelter operations – an important new service in our community. Funding partners for this project reflect a collaborative approach and include the Virginia Department of Housing and Community Development, Charlottesville Area Community Foundation, Albemarle County, City of Charlottesville, and many others. When completed, Premier Circle will have provided non-congregate emergency shelter, permanent supportive housing, and affordable housing units. Homeless population for the City of Charlottesville 98 Number of supported afforda- ble housing units created in 220 2020. 200 183 185 177 180 A total of 98 Supported Affordable Units 160 157 (SAUs) were added to the City's housing stock in 160 CY 2020. This brings the total number of SAUs 140 in the City to 2,194 units. 120 100 CY 2016 CY 2017 CY 2018 CY 2019 CY 2020 7 A Healthy and Safe City FY 2022 GENERAL FUND BUDGET SUMMARY FY 2022 Budget: $49.3m 1.2 Prepare % of FY 2022 Budget: 26.8% residents for the workforce New Investment: - $2,176,021 Goal 2 focuses on physical well-being of our City and residents and aligns directly with City Council’s budget priority of Safety and Security. This page summarizes ongoing and new expenditures that have been included in the budget that 1.3 Increase address the Council priority within Goal 2. The City continues to invest in the health and safety of theaffordable community across a wide continuum of programs and initiatives with a focus on building individual, family, and community resilience. These housing prevention and risk reduction efforts are mirrored by a significant investment in public safety agencies’ crime, risk reduction options and response capabilities. City departments, along with a wide range of community partners and agencies coordinate programs and services in pursuit of Goal 2 Objectives. General Fund  $200,000 increase was allocated to the Police Civilian Review Board (PCRB) which will fund a full year of expenses for the board and an Executive Director. The eight member board was seated by Council in February 2020 and will act as an oversight body for the Charlottesville Police Department.  $202,581 increase in required City contributions for the Blue Ridge Detention Center ($9,846) and the Emergency Communications Center ($192,735) largely due to pay and benefit increases and software infrastructure upgrades for the ECC..  $154,544 increase in funding to outside agencies was approved and awarded as part of the Vibrant Community Fund review process.. As was the case with FY 21, the process resulted in numerous shifts in both the number of agencies and programs to be funded. Overall the pool of funds for these agencies for FY 22 is $2,413,673.  A 4.17% salary increase was given in FY 20 and the total funding for the increase was shown in the FY 21 budget as a lump sum under the Employee Compensation and Training section of the budget which aligns with Goal 5 of the Strategic Plan. For FY 22, the salary increases have been re-allocated to the appropriate departmental budgets. Many of the City’s large departments align with Goal 2 (Police, Fire, Parks and Recreation) and accounts for the majority of the increased investment in this goal area. City Departments City Council, Circuit Court, General District Court, Juvenile and Domestic Relations Court, Court Services Unit, Commonwealth Attorney, City Sheriff, Police, Fire, Parks and Recreation, Office of the Magistrate, Human Services, Social Services, Utilities External Partners Charlottesville Albemarle Rescue Squad, Regional Jail, Juvenile Detention Center, Emergency Communications Center, SPCA, Public Defender, Health Department, Region Ten, JABA, OAR, Piedmont CASA, Free Clinic, ReadyKids, Foothills, Home Visiting Collaborative, Women’s Initiative, On Our Own, Legal Aid, BridgeLine, SHE, Boys and Girls Club, TJACH, Local Food Hub, Piedmont Family YMCA, Partner for Mental Health Goal 2: A Healthy and Safe City 2.1 Reduce adverse impact from sudden injury and illness and the effects of chronic disease 2.2 Meet the safety needs of victims and reduce the risk of re-occurrence/re-victimization 2.3 Improve community health and safety outcomes by connecting residents with effective resources 2.4 Reduce the occurrence of crime, traffic violations and accidents in the community 8 A Healthy and Safe City City Council Priority—Safety and Security Obj. 2.1 Reduce Adverse Impact from Sudden Injury and Illness and the Effects of Chronic Disease Percentage of fire incidents with 1st unit arrival 1.2 Prepare on scene within 6 mins and 20 sec or less Time-critical elements in the rapid progression of a structure fire residents for drive the need for rapid responses and early Fire Department 100% the workforce arrival to reported fires. The time interval between fire ignition 90% and the start of fire extinguishment efforts by the Fire 80% Department has a direct relationship to the incident's outcome in terms of property loss, injury and death. 70% 1.3 Increase In 2020 the Fire Department responded to a total of 199 fire 60% affordable incidents in the city. The first unit equipped for firefighting 50% housing operations arrived within 6 minutes and 20 seconds 72% of the options time. The department’s benchmark is 90%. 40% CY 2016 CY 2017 CY 2018 CY 2019 CY 2020 Actual Target Obj. 2.2 Meet the Safety Needs of Victims and Reduce the Risk of Re-occurrence/Re-victimization Number of children in 1.4 Enhance Child Protective Services referrals 1600 Analysis of Child Protective Services (CPS) referral source and recidivism data allows the Department of Social Services 1400 (DSSP to target outreach, training and prevention 1200 efforts. Evidenced based training initiatives and trauma 1000 informed service delivery have resulted in a decrease in CPS 800 referrals. DSS partners with other community stakeholders to meet the needs of vulnerable adults. We are monitoring 600 workload growth trends, targeting professional development 400 for staff and strategically partnering with other service 200 providers to meet emerging needs in the adult population. 0 2016 2017 2018 2019 2020 Did you Know? The Federal government has notified the City it may receive up to $19.6M in American Rescue Plan Act (ARPA) funds. The City has already received the first tranche of $9.8M with the additional $9.8M to be received in May 2022. Per the guidance from the US Treasury Department, the City can use these funds to: support public health expenditures, address negative economic impacts caused by the public health emergency, replace lost public sector revenue, provide premium pay for essential workers, and invest in water, sewer, and broadband infrastructure. As part of its consideration of how to best utilize these funds, the City must consider several factors such as these are one-time funds, there may also be opportunities for partnering with other entities in the community to leverage additional ARPA funds and the time period during which funds can be used (the end of calendar year 2024). To date, the City has not determined how to specifically use these funds. Council and staff will be discussing and working on these plans through out the Summer and Fall of 2021. 9 A Beautiful and Sustainable Natural and Built Environment FY 2022 GENERAL FUND BUDGET SUMMARY FY 2022 Budget: $28.5m 1.2 Prepare residents for % of FY 2022 Budget: 14.8% the workforce New Investment: $543,186 Goal 3 focuses on the City’s natural settings and built infrastructure. The park system continues to 1.3 Increase expand and establish affordable permanent connectivity options. As City assets and infrastructure age, there will be a continued need to increase budgets for housing maintenance. The FY 2022 budget allows for roadway systems, structural assets, and equipment to be maintained and options operational. In FY 2022, work will continue to establish baseline asset indices that can be used to help develop corresponding budget requests that are required to manage the asset portfolio. General Fund  $290,000 increase in the City’s contribution to the Ivy Landfill. The total costs for the year are projected to be $500,000 and the total cost will be covered using funds previously set aside in the landfill reserve account  $200,000 decrease in funds being transferred to the Facilities Repair Fund. These funds are used to preserve the City’s investment of numerous non-school facilities that have annual maintenance requirements. Typically, $400,000 is budgeted for this purpose annually but due to COVID the amount allocated in FY 22 was reduced to help balance the budget shortfall created by the lasting effects of the pandemic.  $125,000 increase in the Facilities Development Division of Public Works will be used to help fund additional per- sonnel costs related to the Climate Action Plan.  $322,017 increase in the Refuse Collection budget to account for an expected 3% increase in landfill tipping fees and a 1.5% projected contractual increase for residential trash collection. City Departments City Council, Public Works, Parks and Recreation, Neighborhood Development Services, Redevelopment, Transit, Parking, Utilities External Partners Soil & Water Conservation District, Rivanna Conservation Alliance, JAUNT, Thomas Jefferson Planning District Commission, Local Food Hub Goal 3: A Beautiful and Sustainable Natural and Built Environment 3.1 Engage in robust and context-sensitive urban planning and implementation 3.2 Provide reliable and high quality infrastructure 3.3 Provide a variety of transportation and mobility options 3.4 Be responsible stewards of natural resources 3.5 Protect historic and cultural resources 10 A Beautiful and Sustainable Natural and Built Environment Obj. 3.2 Provide Reliable and High-quality Infrastructure Currently, 71% of the City’s roadway network maintains a pavement Roadway Pavement Condition Index condition of Fair, Satisfactory or Good, while the remaining 29% is considered to be in Poor, Serious or Failed condition. The City recently Very Good completed a citywide survey of all 160 miles of roadway, which yielded an Good average Pavement Condition Index (PCI) score of 69, which is on the Fair high end of the Fair range. It is the goal to maintain a city-wide PCI target of 65. At Risk Poor Obj. 3.3 Provide a Variety of Transportation and Mobility Options CAT Unlinked Passenger Trips CAT strives to provide a safe and efficient method of travel for 3,000,000 the community of Charlottesville. CAT provides roughly 2 2,500,000 million rides a year and continuously works to improve the 2,000,000 rider experience in the area through continual service analysis and improvements, as well as partnerships with JAUNT and 1,500,000 UVa’s University Transit System. 1,000,000 CAT’s ridership trends are consistent with national trends of 500,000 decreasing ridership which have been driven by lower fuel 0 prices and lower unemployment which allows individuals to FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 maintain the convenience of private vehicle ownership. Actual Target Obj. 3.4 Be Responsible Stewards of Natural Resources Tons of Mixed Recycling The City of Charlottesville supports increases in renewable 4,000 sources for energy generation. Solar energy is one technology 3,500 particularly suitable to Charlottesville. As of June 2014, the 3,000 City began tracking permit applications for solar photovoltaic 2,500 (solar PV) systems installed within the city boundaries. The 2,000 data below shows the cumulative generation capacity of solar 1,500 PV systems within the City of Charlottesville. This data 1,000 includes both city-owned and privately-owned solar PV 500 systems. 0 Cumulative Solar PV Capacity (kW) FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 4500 Actual Target 3500 Through a combination of contracted and in-house collection, Public Works provides once (1) per week 2500 collection of residential areas, and seven (7) day per week collection of downtown/uptown commercial/ residential areas. The total number of potential weekly 1500 stops is approximately 15,200. 500 2017 2018 2019 2020 11 A Strong, Creative and Diversified Economy FY 2022 GENERAL FUND BUDGET SUMMARY FY 2022 Budget: $5.8m 1.2 Prepare % of FY 2022 Budget: 3.0% residents for New Investment: -$255,117 the workforce Goal 4 focuses on the City’s local economic development and aligns directly with City Council’s budget priority of Workforce Development and Economic Development. This page summarizes ongoing and new1.3 expenditures Increase that have been included in the budget that address the Council priorities within Goal 4. The departments affordable and external partners, through the Agency Budget Review Team (ABRT) and Contractual Agency processes, that contribute housing to this options goal and to the Council priorities are listed. The next page shows highlights of the Strategic Plan measures and initiatives that show the City’s progress towards meeting our Goal 4 objectives. Despite the COVID-19 disruption, the Charlottesville economy continues to show signs of recovery. Key barometers, such as sales and meals taxes are beginning to trend upward again. The City continues to invest in its unique workforce programs to better connect employees and employers and allocated a portion of CARES Act funding to create small business loans and grants to help further increase economic opportunity. General Fund  $265,843 decrease in funding for the Charlottesville Albemarle Convention and Visitor’s Bureau.(CACVB). The City’s contribution is based on an agreement between the City, County and the CACVB, in which the CACVB receives a contribution from each locality equal to 30% of actual revenues collected in the prior year of the first 5% of the Transient Occupancy Tax rate. This decrease is a result of the economic impact of COVID on the calendar year 2020 revenues.  $34,423 increase in Vibrant Community Agency funding for events such as Virginia Film Festival and the Virginia Festival of the Book which help to bring visitor’s to the City and help promote economic activity.  $17,680 increase in funding for the Downtown Job Center to restore funding for a part-time customer service representative. City Departments City Council, Commissioner of Revenue, City Treasurer, Real Estate Assessor, Visitors Bureau, Parking, Economic Development, Redevelopment, Parks and Recreation External Partners City Center for Contemporary Arts, Central Virginia Partnership for Economic Development, Central Virginia Small Business Development Center, Virginia Film Festival, Virginia Festival of the Book Goal 4: A Strong, Creative and Diversified Economy 4.1 Develop a quality workforce 4.2 Attract and cultivate a variety of businesses 4.3 Grow and retain viable businesses 4.4 Promote tourism through effective marketing 12 A Strong, Creative and Diversified Economy City Council Priority—Workforce Development Obj. 4.1 Develop a Quality Workforce Hardships brought forth by the COVID-19 pandemic prohibited Charlottesville’s Office of Economic Development from hosting its’ annual Community Job Fair. Through the Downtown Job Center (DJC), a number of creative 1.2measures Prepare were taken to engage job seekers and assist employers in recruiting efforts. A weekly Job Club was hosted byresidents DJC staff to foroffer strategies in resume building, interviewing effectively and other relevant topics – along with providingthe information workforceon open positions. A series of Facebook Live interviews called Employer Spotlights were conducted, highlighting business responses to the pandemic and career opportunities with 23 local employers. Staff also facilitated virtual appointments with job seekers via Zoom to assist in their employment needs. The OED and DJC continue to be responsive to the changing needs of employers and job seekers as the economy recovers and fully reopens from the pandemic. Number of Attendees at City-sponsored Job Fairs 1.3 Increase 1100 affordable housing 900 700 500 2015 2016 2017 2018 2019 City Council Priority—Economic Development Obj. 4.3 Grow and Retain Viable Businesses Sales tax reflects local purchasing power and consumer confidence. The chart shows the amount of sales tax reported for the past five years. The data shows a decline in 2020 due to COVID. As, 2021 comes to a close, sales continue to show growth with annual sales tax collection projected to top $11.8 million. Sales tax revenue for FY 2022 is budgeted at $12.0 million. Annual Sales Tax 11,900,000 11,800,000 Did you Know? 11,700,000 Over $683 million dollars in annual 11,600,000 expenditures are made by visitors to 11,500,000 City of Charlottesville and Albemarle 11,400,000 County. The City of Charlottesville 11,300,000 benefits from $9.1 million dollars in 11,200,000 direct tax revenue from visitors for the 11,100,000 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 City of Charlottesville 13 A Well-managed and Responsive Organization BUDGET SUMMARY 1.2 Prepare FY 2022 General Fund Budget: $22.8m residents for % of FY 2022 General Fund Budget: 11.9% the workforce New Investment: -$7,389,388 Goal 5 focuses on the City’s internal operations and management, as well as outward-facing public engagement. 1.3 Increase This page summarizes ongoing and new expenditures that have been included in the budget that address the Council affordable priorities within housing Goal 5. The departments and external partners that contribute to this goal and to the Council priorities are listed. The next page shows highlights of the Strategic Plan measures and initiatives that show the City’s progress towardsoptions meeting our Goal 5 objectives. The City has made significant progress in this area and has implemented several new initiatives for employees and the public such as the new website design, the My Cville (Public Engagement App) and BenefitFocus (online employee benefits portal). General Fund  $6,674,971 decreased funding for the Citywide Reserve account. In FY 21 many of financial impacts of COVID-19. were unknown and in an effort to address the uncertainty, a reserve was created with cash that originally had been planned to fund capital projects that instead were deferred to FY 22 and beyond. For FY 22, no such reserve was budgeted and the City returned to funding the CIP in accordance with its 3% pay-go financial policy.  The City’s first Deputy City Manager for Race, Equity, Diversity and Inclusion is funded with the FY 22 budget. This position will coordinate the human services departments which will also include the Police Civilian Review Board for the City Manager.  $250,000 decrease in Healthcare costs for the General Fund due to a favorable claims year. Actual healthcare costs have been trending lower than expected for the last two years.  $32,550 funding increase for salary and benefits of the vacant Director of Human Rights position.  City employees will receive a 2% cost of living increase (COLA) beginning July 1, 2021 at a cost of $1,060,000 to the General Fund. City Departments City Council, City Manger, Communications, City Attorney, Finance, Information Technology, Human Resources, Voter Registration, Human Rights, All departments External Partners Chamber of Commerce, Virginia First Cities, Virginia Municipal League, Virginia Institute for Government, Alliance for Innovation, National League of Cities, Center for Nonprofit Excellence, Thomas Jefferson Planning District Commission Goal 5: A Well-managed and Responsive Organization 5.1 Integrate effective business practices and strong fiscal policies 5.2 Recruit and cultivate a high quality and diverse workforce 5.3 Provide responsive customer service 5.4 Foster effective community engagement 14 A Well-managed and Responsive Organization Obj. 5.1 Integrate effective business practices and strong fiscal policies The City has a fund balance reserve policy of 17% which includes a permanent Downturn Reserve of no less than 3% of the General General Fund Balance as a % of Revenues Fund budget. 1.2 Prepare The City does not use fund balance to support on-going 30% residents for operations. A financial policy is in place that requires any 10.60% the workforce 9.90% remaining funds in the General Fund (which have not been 8.90% 8.00% 8.00% encumbered or expensed) that are in excess of the required 17% 20% (of General Fund expenditure budget) minimum fund balance shall be deemed to revert to the Capital Fund contingency account 10% 1.3 18.30% Increase 18.90% 19.10% 17.80% 18.50% for future one-time investments in the City’s infrastructure. affordable Additionally, there are restrictions in place for when any of the 3% downturn reserve can be used. Draw down of this reserve can 0% housing only occur in the event that revenues decline by more than 1.5% FY 2016 FY 2017 FY 2018 options FY 2019 FY 2020 of current fiscal year estimate and will be limited to less than half Unassigned Assigned of the balance of the Downturn Reserve Fund. In the event of a drawdown, the reserve must be replenished to the 3% level within three years. For FY 20, the 17% equated to $32.5 million of 1.4 Enhance which $5.7 million is the 3% Downturn Reserve account. the financial health of residents Did you Know?  The City of Charlottesville has a Aaa/AAA bond rating and has maintained this highest possible general obligation credit rating from Moody’s Investors Service (Aaa) since 1973 and from Standard & Poor’s (AAA) since 1964. 1.5 Intentional-  A high credit rating allows the City to borrow funds at the lowest possible borrowing cost and en- ly address sures more money is going toward capital projects instead of interest. issues of race and equity  A high credit rating is helpful in attracting economic development prospects  The City’s bond rating is confirmed with each bond sale which typically happens on an annual basis. Obj. 5.4 Foster Effective Community Engagement The City’s Customer Relationship Management application, “MyCville”, launched on April 16, 2018. From July 1, 2020 – June 28, 2021 there were 1,546 requests submitted with 1,365 of the requests completed. An average of 29 requests came in per week with the top five request types being: Overgrown Landscape, Parking enforcement, Sidewalk Safety, Litter, and General Questions. 15 FY 2022 Budget: $27.9 million The FY 2022 - 2026 Capital Improvement Program (CIP) recommends the use of approximately $121.1 million in long-term debt to finance a portion of the $159.7 million multi-year program. The balance will be funded through transfers of funds from the General Fund, the revenue sharing agreement with Albemarle County, and contributions from Albemarle County and the City Schools. City Council has identified five priority areas: Affordable Housing, Race and Equity, Workforce Develop- ment, Economic Development, and Safety, Security and Preparedness. The approved CIP attempts to re- flect each of these priorities by funding projects that will help to advance the priority. City Council Priority—Affordable Housing In FY 2022, $6.5 million is allocated for Affordable Housing Fund and over $38.5M is allocated over the five year capital program for several affordable housing initiatives. Charlottesville Redevelopment and Housing Authority is to receive $1,500,000 in the FY 2022 CIP for the future redevelopment of the City’s public housing sites. $900,000 is allocated for Supplemental Rental Assistance to continue the previous commitment by City Council for housing vouchers and $3.1 million is allocated for the Friendship Court Infrastructure and Redevelopment Improvement Project. City Council Priority—Safety and Security $6.1 million is allocated in FY 22 to fund the remaining costs for the new General District Court. These the construction of a new court as part of an agreement the City has with Albemarle County. $337,553 is allocated to replace Fire apparatus and $195,000 is allocated to replace Police Data Terminals. 16 Project Highlights and Strategic Plan Alignment Obj. 1.1 Prepare students for academic and vocational success This CIP also continues to fund Council’s strong commitment to Education by providing $3.5 million in funding for schools including $1.25 million for facility priority improvements. Obj. 3.1 Engage in robust and context sensitive urban planning and implementation $1.0 million is allocated in FY 22 to fund a streetscape and signalization improvement project for East High Street. As part of the FY 22 CIP, Small Area Plans will receive $100,000. The Comprehensive Plan Update identified several specific areas of the city where planning and design issues or investment opportunities may warrant additional study through the development of specific small area plans in the coming years. Obj. 3.2 Provide reliable and high quality infrastructure SIA Immediate Implementation will receive $200,000 in the FY 22 CIP. This funding is intended to facilitate completion of projects outlined in the Strategic Investment Area Plan. The FY 22 CIP allocates $1.5 million is allocated for Street Milling and Paving and $2.5 million to fund the remaining local dollars needed to match the State matching funds for the replacement of the Belmont Bridge. Obj. 3.3 Provide a variety of transportation and mobility options $200,000 is allocated for New Sidewalks and $500,000 for Sidewalk Repair. The New Sidewalk project attempts to remedy the gaps throughout the sidewalk infrastructure of the City. 17 City Awards Folks who have lived here for a long time are aware of our City's high quality of life. Here is what some other well-known sources are saying about life in Charlottesville:  Monticello Wine Trail ranked #6 Best Wine Region—USA Today-2020  #6 Best Cities in the South to move to after the pandemic -Business Insider-2020  One of the Best Weekend Getaway Trips from DC–Thrillist.com-2020  10th Best College Town in America– Livability-2018  25th for quality of life– WalletHub’s 2019 Best Small Cities in America-2019  Top 100 Best Places to Live– Livability-2017  America’s Best Small Cities for Foodies – Travelocity 2016  Number 4 in the U.S. for Entrepreneurship – Entrepreneur Magazine-2016  Number 6 in the World for Best Wine Vacations– U.S. News & World Report Travel-2016  #6 Leisure Travel Destination—Car Rentals.com—2018  7 Wine Regions for Your Destination Wedding—Wine Enthusiast—2018  The 13 Cutest Small Towns in the South—Pure Wow—2018  #7 Best Small City Road Trip Destination—Travelocity—2018  #5 Best Place to Live 2018—Livability—2018  6 Great Getaways for Galentine’s Day—Washingtonian—2018  20 Best Small Cities in the U.S. (Most Literate) – National Geographic Travel – 2018  No. 5 Best Place to Live – Livability – 2017, 2018  National Geographic Happiest Places (#3) – Dan Buettner and Dan Witters of Gallup – 2017  No. 2 Best Small Town Main Street in America – Country Living – 2017  No. 3 Best Small Town in the South – Southern Living – 2017  17 Places You Must Visit in 2017 – Expedia – 2017  America's Favorite Towns – Travel + Leisure – 2017  The Best Road Trips from 10 Major US Cities – Business Insider – 2017  Most Charming Southern Vacations You Need to Experience – Trip Advisor – 2017  15 Best Places to Live in the U.S. (#3) – NY Post – 2016  The 12 Cutest Small Towns in America – Purewow.com –2015 18 City of Charlottesville’s Organizational Values Vision To be one community filled with opportunity Mission We provide services that promote equity and an excellent quality of life in our community 19 To Be One Community Filled With Opportunity Office of Budget and Performance Management City of Charlottesville www.charlottesville.gov/budget Virginia 20 budget@charlottesville.gov Report Group ZFM1 City of Charlottesville Date: 01/24/2022 Fund 105 General Budget vs Actual (BCS) Time: 16:18:17 Funds center 1001003000 Mayor/City Council Period 1 to 7 of FY2022 Page: 1 of 1 Func. area ALL All Functional Areas Budget version 0 Funded prog. NONE Operating Budget Grant ALL All Grants Commitment Items C/O Budget Original Bud Budget Chgs Current Bud Pur. Req. Pur. Order Actuals Avail Budget % Util 510010 Full Time Salaries 53,234.20 (53,234.20) 510015 Full Time Sal Accrue (4,600.96) 4,600.96 510030 Temporaries Salaries 92,000.00 92,000.00 92,000.00 511010 Social Security- FICA 3,862.53 (3,862.53) 511015 Soc Sec FICA Accrued (328.06) 328.06 511038 FICA Temporary Emp 7,038.00 7,038.00 7,038.00 511040 Health Care Program 15,324.76 (15,324.76) 511045 Health Care Pr Accru (1,358.33) 1,358.33 * SALARIES AND BENEFITS EXPENSES 99,038.00 99,038.00 66,134.14 32,903.86 66.78 520010 Office Supplies 500.00 500.00 115.96 384.04 23.19 520040 Books 166.12 (166.12) 520690 Awards and Trophies 500.00 500.00 235.50 264.50 47.10 520900 Mach/Equip/Furn (NC) 5,099.21 2,500.00 7,599.21 3,000.00 5,347.62 (748.41) 109.85 520990 Other Supplies 600.00 600.00 192.89 407.11 32.15 525250 Telephone Serv Purch 77.65 544.19 (621.84) 525251 Cell Phone Serv Purc 2,000.00 2,000.00 809.24 1,190.76 40.46 530010 Professional Services 8,500.00 8,500.00 8,500.00 530020 Dues and Subscriptions 2,500.00 2,500.00 2,500.00 530060 Service Contracts 10,613.00 10,613.00 10,613.00 530105 Meals 7,500.00 7,500.00 89.09 7,410.91 1.19 530107 Reimb Travel Expend 1,250.00 1,250.00 1,250.00 530109 Non-Local Travel 10,000.00 10,000.00 10,000.00 530120 Advertising 10,900.00 10,900.00 2,135.25 8,764.75 19.59 530140 Registration Fees 3,000.00 3,000.00 130.00 2,870.00 4.33 530670 Other Contractual Se 4,500.00 4,500.00 4,500.00 530675 Coun Food/ Refresh 81.86 (81.86) 540100 Contrib to Civic Grp 155,000.00 155,000.00 155,000.00 100.00 * OTHER EXPENSES 5,099.21 219,863.00 224,962.21 77.65 3,000.00 164,847.72 57,036.84 74.65 ** TOTAL EXPENSES 5,099.21 318,901.00 324,000.21 77.65 3,000.00 230,981.86 89,940.70 72.24 *** REPORT TOTAL 5,099.21 318,901.00 324,000.21 77.65 3,000.00 230,981.86 89,940.70 72.24 Bonds Authorized vs Bonds Issued by Project 2022 Bonds Authorized Acct Code Project but not Issued P-00127 Undergrounding Utilities 4,430,000 P-00335 New Sidewalks 630,000 P-00336 West Main Streetscape - reprogrammed to Schools - SH-070 City Schools HVAC Replacment Plan 3,608,640 SS-009 Street Reconstruction 1,500,000 P-00207 McIntire Park - Master Plan Implementation 1,998,632 P-00436 Belmont Bridge Replacement - City Match 12,000,000 PV-001 City Solar PV Prog 75,000 P-00818 SIA Implementation 1,400,000 P-00819 Small Area Plans 750,000 P-00777 Tonsler Park 2,100,000 CP-071 City Facility HVAC Replacement 1,050,000 P-00868 800MHz Radio System Upgrade (ECC) 3,026,341 CP-082 Citywide ADA S&C 550,000 P-00817 Meadow Creek Valley Master Plan 175,000 P-00919 General District Court 6,712,028 P-00939/SH-004 CCS Priority Improvements 1,250,000 P-00943 ADA Pedestrian Signal Upgrades 860,000 P-00944 Route 250/Emmet Street Bridge Repairs 1,577,500 P-00942 Penn Park Tennis Court Renovations 95,000 CP Series Facilities Lump Sum 4,152,161 P-00985 Downtown Pedestrian Lighting 188,000 PR-003 City/County Joint Parks - Darden Towe and Ivy Creek 1,527,969 SH Series Lump Sum to Schools 3,945,491 P-01012 City Schools Reconfiguration and Design 2,500,000 P-01013 Energy Performance Audit 150,000 P-00988 Bypass Fire Station 3,000,000 P-00214 Minor Bridge Repairs 568,646 P-01004 State Revenue Sharing 413,218 P-01017 Riverview Park Restroom 220,000 P-00937 Public Housing Redevelopment 1,500,000 SS-012 Sidewalk Repair 500,000 P-01008 7th Street Deck 1,000,000 P-01011 Smith Center IAQ 250,000 P-01035 Fire Apparatus Replacement 228,000 P-01036 Traffic Signal Replacement 200,000 P-01037 Blight Remediation 50,000 P-01038 VDOT Hydraulic/250 150,000 P-01057 CHS Roof Replacement 120,000 P-01055 Replacement EMS Apparatus 377,553 P-01056 East High Signalization - VDOT Rev Share 1,000,000 - GO/CIP Total 65,829,179 Bond Contingency 353,583 Total with Contingency 66,182,762 1/24/2022 Bonds Authorized vs Bonds Issued.xlsx K. Hammill FY 2023-2027 Capital Improvement Program Unfunded List In Order of Amount Unfunded Project Title Requested Requested Requested Requested Requested 5 Year Total Notes/Comments FY23 FY24 FY25 FY26 FY27 - - Represents $18.25M previously authorized and unfunded in FY23 budget to be reallocated to the school reconfiguration West Main Streetscape Improvements 35,200,000 35,200,000 projecta and the amount of additional funding that was anticipated to be needed for later phases. Land Acquisition 15,000,000 5,000,000 5,000,000 25,000,000 Jefferson-Madison Regional Libarary Renovation 13,080,638 - - 13,080,638 Energy Savings Performance Contract 5,000,000 5,000,000 potential annual payback of $333k Awarded SGR funding $7,210,664. City Dairy Road over Route 250 Bridge Replacement 750,000 2,000,000 2,000,000 4,750,000 Appropriation requset next FY27 Request represents money required for Revenue Sharing Grant Match Funds 2,650,000 1,000,000 1,000,000 4,650,000 a match for 2029 funding/award, applied for in FY24. Projects TBD. City Schools Priority Improvement Projects - - 1,250,000 1,250,000 1,250,000 3,750,000 Requested to ensure all remaining elementary schools are addressed in the Modernization Program. Tonsler Park Master Plan Implementation $1.8M in funding is currently available. 3,500,000 - - 3,500,000 Design to start soon. Planning on starting construction in FY'22. Stribling Avenue Sidewalk 500,000 1,150,000 1,150,000 2,800,000 Development Request. Does not meet CIty prioritization for recommended sidewalk project. Housing Rehabilitation 1,000,000 500,000 500,000 500,000 2,500,000 CHS Roof Replacement 2,300,000 2,300,000 Represents additional funding for an alternate scope of work beyond what is already is included in the CIP Street Milling and Paving 500,000 500,000 500,000 500,000 2,000,000 Represents the difference between amount requested and amount proposed in CIP. Undergrounding Overhead Private Utilities 2,000,000 2,000,000 PHA ‐ Gap Funding for MACAA Apartments 1,980,000 1,980,000 PHA ‐ Gap Funding for Park Street Christian Church/Hinton 1,950,000 1,950,000 Request postponed until the 2023 LIHTC Avenue United Methodist Church Apartments application cycle Meadowcreek Valley Master Plan Implementation 1,250,000 - - 1,250,000 $600,000 needed to install stone dust trail at end of Michie Drive and stow mall bridges and to restore funding moved front VDOT grant for large bridge near north end New Sidewalks 600,000 300,000 300,000 1,200,000 Represents the difference between amount requested and amount proposed in CIP. Crow Recreation ADA Compliance 1,000,000 - - 1,000,000 Some items have been brought to compliance, but the facility is not within total compliance.. 1 11/23/2021 FY 2023-2027 Capital Improvement Program Unfunded List In Order of Amount Unfunded Project Title Requested Requested Requested Requested Requested 5 Year Total Notes/Comments FY23 FY24 FY25 FY26 FY27 Meadow Creek Trail Connection from Michie to Greenbrier 750,000 750,000 Total project $2.55M with $1.8M in federal funds available Virginia Supportive Housing - Permanent Supportive 500,000 250,000 - - 750,000 Housing Project Onesty Youth Aquatic Play Features Replacement 712,000 - - - 712,000 Key Rec Center Restroom/Locker Room Renovations 600,000 - - - 600,000 LED Streetlight Conversion 50,000 275,000 275,000 600,000 Forest Hills Spray Pad Shade Structure 540,000 - - - 540,000 McIntire Park Master Plan Implementation 500,000 - 500,000 Meadowcreek Golf Course Cart Trail Paving 500,000 - - - 500,000 486,466 Represents the difference between amount Citywide ADA Improvements - Sidewalks & Curbs 230,512 124,729 131,225 requested and amount proposed in CIP. Avon Salt Barn 478,791 478,791 Project was previously partially funded but needs to be investigated further for possible change in scope. 456,500 - - 456,500 This is from Neighborhood Request. Does not Yorktown Drive Sidewalk meet CIty prioritization for recommended sidewalk project. Bicycle Infrastructure 400,000 - - 400,000 Parks and Recreation Lump Sum 400,000 - - - 400,000 Schools Small Cap Improvements 100,000 100,000 100,000 100,000 400,000 Advise returning this program to full funding, considering the amount of work that will be generated by current challenges to school infrastructure. Park Trails and Land Acquisitions 125,000 125,000 125,000 - 375,000 Downtown Mall Infrastructure Repairs 144,000 72,000 72,000 72,000 360,000 Sprayground Surface Renovations 354,000 - - - 354,000 Automation and Processing fo AP Invoices 46,690 244,001 25,133 315,824 Fire Bunker Gear (PPE) Replacement - - 300,000 - 300,000 Pulled the 300,000 from FY24 and moved it to FY25 to better allign with the first needed bulk replacement of ~100 sets of firefighter turnout gear. These funds presently reside in the operational budget. The goals over time has been to replace 20 sets per year x 5 years to get 100 sets (for the first set of gear), and the same process over the next 5 years (for the second set of gear). Moving to a CIP allotment on a five year interval will allow for the identified/specified amount of funds to replace half of the sets every five years. 2 11/23/2021 FY 2023-2027 Capital Improvement Program Unfunded List In Order of Amount Unfunded Project Title Requested Requested Requested Requested Requested 5 Year Total Notes/Comments FY23 FY24 FY25 FY26 FY27 Fire Self-Contained Breathing Apparatus (SCBA) 300,000 300,000 Pulled the FY 25/26 allocation and added one Replacement single $300,000 alocation for FY27. Prior to the last replacement the FD recieved a regional grant with the county to replace all SCBA. To date there hasn't been a recurring CIP allottment for these scheduled replacements - they have relied on one-time allocations or grants in recent years. Applying the funds into the CIP marches out/plots out the replacement on a known schedule with funding specified/allocated for the recurring needs. Green Infrastructure Opportunities 150,000 75,000 75,000 - 300,000 Park Lighting Replacements 150,000 75,000 75,000 - 300,000 Still recommended by CPD for improving security at the parks. Washington Park Pool Shade Structure Replacement 250,000 - - 250,000 Bridge Inspections 242,274 - - 242,274 200,000 There is a list of properties in need of extensive repair as well as emergency Blight and Code Enforcement Fund 150,000 - 50,000 - situations which lead to inhabitable sites with out the repair. Note that these funds are recoverable. Meadowcreek Golf Course Bunker Renovations 200,000 - - - 200,000 SIA Implementation 100,000 50,000 50,000 200,000 Parks and Recreation Facility Security Upgrades 7 190,000 - - 190,000 Enhancements Parkland Acquistion Underserved Areas 80,000 100,000 180,000 Cedar Hill and Angus Road Fontaine Avenue Fire Station Alerting System 175,000 175,000 Matching funds from Dept. Of Historic Resources could be sought through application process. We have a number of districts awaiting survey and need funding to Historic Preservation Program - Historic Surveys 50,000 50,000 50,000 150,000 keep the program going. Please note that $50K in the current account was allocated by the city for a study of the downtown mall and can not be used for surveys Meadowcreek Golf Course Parking Lot Light Installation 150,000 - - 150,000 Meadowcreek Golf Course Tee Box Leveling 150,000 - - 150,000 Preston Corridor Study - leverage funding for Preston-Grady 150,000 150,000 Intersections Land Acquisition - CAT Park-n-Ride Hub 29N 145,685 145,685 4% match to leverage approximately $3.6M in federal and state funding. 3 11/23/2021 FY 2023-2027 Capital Improvement Program Unfunded List In Order of Amount Unfunded Project Title Requested Requested Requested Requested Requested 5 Year Total Notes/Comments FY23 FY24 FY25 FY26 FY27 Forest Health Improvement Initiative 100,000 - - 100,000 Critically needed for ongoing treatment and removal of infected Ash trees in the City. Safe Routes to School - Prioritize projects, schematic 100,000 100,000 designs and cost estimates Skatepark Lighting 85,000 - - 85,000 The original project scope called for LED light fixtures and an initial cost estimate of $300,000. Staff has fundraised a total of $215,000 (which includes several grants) and would need to request $85,000 to fund this project. Citywide Tree Planting 25,000 25,000 25,000 75,000 Represents additional funding beyond what is already is included in the CIP Total for all Requests 97,470,405 12,161,415 13,003,358 2,472,000 1,725,000 126,832,178 4 11/23/2021 #R-21-043 RESOLUTION APPROVING CITY COUNCIL RULES AND PROCEDURES BE IT RESOLVED BY THE COUNCIL OF THE CITY OF CHARLOTTESVILLE, that: Charlottesville City Council Rules and Procedures These Charlottesville City Council Rules and Procedures are designed to help City Council conduct its affairs in a timely and efficient manner, while encouraging a robust and meaningful dialogue with members of the community. I. MEETINGS A. Generally 1. Regular meetings of the City Council will begin at 6:30 p.m. on the first and third Mondays of each month (or the following day if that Monday is a legal holiday) in City Council Chambers (Second Floor, City Hall). Council will adopt a schedule for its regular meetings at its first regular meeting in January each year. 2. Council may hold additional meetings at other locations and times, or may change the location and time of a regularly scheduled meeting as it deems appropriate. In the case of inclement weather, the Mayor may cancel a meeting of the City Council. Notice of additional meetings or changes to the location or time of a regularly scheduled meeting will be provided to the public and press as required by the Virginia Freedom of Information Act (FOIA). a."Town Hall Meetings" may be regularly scheduled meetings, such as the “Our Town” meeting series, or may be scheduled as a special meeting by Council on a particular topic. A town hall meeting is a type of meeting at which Councilors answers questions from the public. b."Work Sessions" are meetings at which Council may discuss one or more specific topics in depth among themselves, or at which Council desires to receive an in-depth presentation from staff or an outside party on a particular topic. Council may vote on matters discussed at a Work Session (FOIA does not prohibit voting,) but generally the purpose of a Work Session is to inform Councilors on a topic and for Councilors to give staff or others general direction. Work Sessions may take place within a regular meeting or may be scheduled as a special meeting. 3. Special meetings, closed meetings, and emergency meetings may be scheduled and held in addition to the schedule of regular meetings. Notification requirements for special meetings, closed meetings and emergency meetings are governed by the Virginia Code. a. For special meetings, the purpose and nature of the meeting will dictate whether public comment will be allowed. Time for public comment may or may not be allocated depending on the nature of the meeting and at the discretion of Council. b. Closed meetings generally take place at 5:00 p.m. before the regular Council meeting. The only items Council may consider in closed meetings are those permitted by the Virginia Freedom of Information Act and identified in the motion convening the closed meeting. B. Agenda and Materials 1. The City Manager shall ensure a proposed agenda is prepared for the Mayor’s consideration nine business days before the meeting. The agenda of every regular Council meeting is approved by the Mayor. Any Council member desiring to add items to the proposed agenda should submit them to the City Manager and the Mayor ten business days before the meeting. Last minute submissions are discouraged but may be added to a regular meeting agenda, subject to a vote of Council at the meeting approving a change [addition] to the published agenda. This may occur from time to time when a matter that requires action expeditiously was not known in time to be presented during the normal agenda development process. Citizens may suggest an item for consideration on a Council meeting agenda by submitting the suggestion in writing to the Clerk of Council at least ten business days prior to the meeting. 2. The Order of Business at each regular meeting of Council shall be as follows: a. 6:30 p.m. Call to Order, Pledge b. Approval of the Agenda c. Special Recognitions by the Mayor or Council (if any), Awards and Proclamations (Council may also project awards, recognitions, and announcements on the television/video screens in lieu of reading/ announcing them.) d. Boards and Commissions Appointments e. Consent Agenda (including, without limitation: approval of minutes; routine ordinances or resolutions; final/second readings of appropriations, ordinances or resolutions; other routine items) f. City Manager’s Response to Community Matters g. Community Matters (formerly Matters by the Public) (Limited to 16 speakers, maximum; see Section D of these Procedures) h. Action Items, and any related Public Hearings (items on which action is requested from Council) i. General Business for Discussion, and any related Public Hearings (items on which Council will conduct a public hearing, hold a discussion among themselves, receive a presentation, etc., but on which no action will be taken at that meeting) j. Matters by the Public 3. The City Manager, in consultation with the Mayor, shall provide background materials for the Council and the public. Agenda and background materials for upcoming City Council meetings shall be made available for public review in the Clerk of Council’s Office and on the City’s website, concurrent with Council’s receipt of the same, and no later than Wednesday before the meeting. 4. Any materials in addition to the background materials prepared by the City Manager shall be distributed to the Council by the Clerk of Council no later than Friday before the meeting. Council may defer any item for which all relevant information has not been provided in a timely manner. 5. Agenda Items a. Consent Agenda: the consent agenda may be used for eligible items and may include, but is not limited to, routine and noncontroversial appropriations, grant applications, contracts, resolutions, ordinances, second readings, and the minutes. After the consent agenda is read by the Clerk of Council, the Mayor will ask if any member of the public wishes to address Council about an item on the consent agenda. Any item may be removed at the request of one or two Councilors. If a Councilor requests a separate vote on an item, but does not wish to have further discussion on the item, the item will be voted upon after the remainder of the consent agenda is acted upon. If any two Councilors request that an item be removed from the consent agenda for further discussion, the item shall be added to the end of the regular agenda for discussion. Those items not removed from the consent agenda shall be acted upon by a single vote of Council. b. Agenda items shall be heard in the order in which they appear on the agenda. With the consent of two other Councilors, the Mayor may postpone or take out of sequence agenda items from the order listed on the agenda. c. Each agenda item shall be given an approximate time limit. Generally, the total time allocated to any agenda item that does not include a scheduled public hearing shall not exceed twenty (20) minutes, unless the Mayor, in consultation with the City Manager, determines otherwise. d. Opening presentations for agenda items shall be limited to ten (10) minutes, unless the Mayor, in consultation with the City Manager, determines otherwise. e. For each agenda item, staff or an appropriate designee will present the item to Council, after which Councilors may ask clarifying questions of staff if necessary. If a public hearing is scheduled, the public hearing will be conducted before any motion is initiated by a Councilor. C. Transaction of Business 1. General. a. Unless otherwise specifically provided by law, Council may conduct business and vote upon any matter properly before it, at any meeting at which a quorum is present. b. Informal discussion of a subject is permitted while no motion is pending. c. In making motions and transacting its business, Council shall follow the rules set forth within these Meeting Procedures. If a question of procedure arises that cannot be resolved by the provisions within these Procedures, the Parliamentarian will consult Robert’s Rules of Order and apply them to a resolution of the question. 2. Motions, generally. a. Any member, including the presiding officer, may make a motion. A member may make only one motion at a time. b. Except as otherwise noted, all motions require a second; a motion dies for lack of a second. c. Except as otherwise noted, each member is required to obtain the floor, by addressing the presiding officer, before making motions or speaking. 3. Substantive Motions. a. A substantive motion is any motion that deals with the merits of an item of business and that is within the Council’s legal powers, duties and responsibilities. b. A substantive motion is out of order while another substantive motion is pending. 4. Procedural Motions. a. A procedural motion is a motion that Council may use to “act upon” a substantive motion, by amending it, delaying consideration of it, and so forth. Procedural motions are in order while a substantive motion is pending and at other times, except as otherwise noted. b. Only the following procedural motions, and no others are in order. Procedural motions are listed below in their order of priority. If a procedural option is not listed below, then it is not available: i. Appeal a Procedural Ruling of the Presiding Officer (an appeal is in order immediately after a decision is announced and at no other time; the maker need not be recognized by the presiding officer, the motion does not require a second, and if made in a timely manner, the motion may not be ruled out of order.) ii. Motion to Adjourn iii. Take a brief recess iv. Suspend the rules v. Defer consideration of a Substantive Matter (“lay on the table”; “postpone”; “defer”) vi. Call the question (not in order until each member has had an opportunity to speak once; the motion is not amendable or debatable) vii. Motion to amend (a motion may be amended no more than twice; once a motion has received a second, it is up to the entire group to decide whether or not it should be changed by amendment; prior to receiving a second, a motion may be amended with the permission of the person who made the motion) viii. Substitute motion (no more than one substitute motion may be made; if a substitute motion is adopted and replaces the original motion, no further substitute motions may be made) ix. Withdrawal of motion (a motion may be withdrawn by its maker any time before it is amended, or before the presiding officer puts the motion to a vote, whichever occurs first) x. Motion to reconsider (must be made no later than the next succeeding regular meeting, by a member who voted with the prevailing side; this motion may not be used in a land use decision involving a rezoning or a conditional use permit) 5. Debate. a. In the event that conflicts arise among members as to the order for speaking, the presiding officer shall apply the following rules: the maker of a motion is entitled to speak first, if he/she/they wishes to do so; a member who has not spoken on an issue shall be recognized before someone who has already spoken. b. The presiding officer may participate in the debate prior to declaring a matter ready for a vote. c. Council members shall not engage in electronic communications among themselves during a meeting, regarding any motion that is on the floor for debate. d. In making a motion, a member shall endeavor to state the basis of the motion within a period not more than 5 minutes. In debating a motion, or in proposing amendments or substitute motions, each member shall try to state the basis of that procedural motion within a period of less than 3 minutes. In asking a question of a speaker, Council members should take not more than 3 minutes to phrase the question. e. In debate, speakers shall be collegial in their language and shall avoid all reference to personalities. No member shall interrupt another without the consent of the member who has the floor, except when making a point of order. 6. Voting a. The Mayor shall call the question, either: (i) after a motion to call the question has received a second and has been voted upon, or (ii) at their discretion, any time after each member has had at least one opportunity to speak during debate. After the vote is taken, the Mayor shall announce that the motion is adopted or failed and the vote count. b. If any member abstains from voting, the reason for the abstention shall be included in the minutes of the meeting. c. In the event that a substantive matter does not require a recorded vote, then the Mayor may call for approval of that matter by voice vote or acclamation. (Generally this process should be used only when a matter is simple, clear to all present and requires no discussion.) 7. Mayor as Presiding Officer The Mayor shall preside at all meetings of City Council (“presiding officer”). The Vice Mayor shall be the presiding officer in the Mayor's absence. Meetings of City Council shall be governed according to these Meeting Procedures, except where provided otherwise by the Virginia Code or the Code of the City of Charlottesville. Matters not addressed within by one of those sources shall be resolved in accordance with Robert’s Rules of Order. a. The City Attorney shall serve as the Parliamentarian for the purposes of interpreting these Meeting Procedure, and the Code of Virginia (1950), as amended, and Robert’s Rules of Order, as may be directed by the presiding officer, or as required as a result of a point of order raised by one or more Councilors. b. No rule set forth within these Meeting Procedures can be suspended except by the consent of four Council members. Suspension of the rules may be made by a motion. (City Code section 2- 66) c. At each Council meeting, the presiding officer shall preserve order and decorum, and shall have the authority: i. To rule motions in or out of order, including any motion not germane to the subject under discussion; ii. To determine whether a speaker is unreasonably disturbing the meeting, and to entertain and rule on objections from other members on this ground; iii. To entertain and answer questions of procedure; iv. To call a brief recess at any time; v. To adjourn in an emergency. d. A decision by the presiding officer on any matter listed in c.i. through c.iii. above may be appealed to Council upon motion of any member. Such a motion is in order immediately after the presiding officer announces his/her/their decision, and at no other time. e. The presiding officer shall ensure that individuals address their comments to City Council at appropriate times, in accordance with the meeting agenda. Otherwise, no person shall address City Council until leave to do so has been granted by the City Council or until invited to do so by the Mayor. Remarks shall at all times be addressed directly to Council, and not to staff, the audience, or the media. (City Code sec. 2-71) f. Remarks and actions that disrupt the Council meeting, and remarks from persons other than Councilors, the City Manager or City Attorney, which are outside the purpose of Matters by the Public or a Public Hearing (see section D below), a staff report, or other presentation associated with an agenda item, are not permitted. The presiding officer shall call an individual to order when that individual goes afoul of these rules. The following are examples of remarks and behavior that are not permitted: i. Interrupting a speaker who is addressing Council at the speaker’s microphone or a speaker who has otherwise been invited to address Council during Matters by the Public or a Public Hearing; ii. Interrupting a Councilor who is speaking; iii. Shouting, and talking (either individually or in concert with others) in a manner that prevents a speaker or a Councilor from being heard or that otherwise hinders the progress of the meeting; iv. Blocking paths for emergency exit from the meeting room; engaging in any conduct that prevents a member of the audience from seeing or hearing Councilors during a meeting; standing on chairs or tables within the Council meeting room; v. Threats of violence toward Councilors, City staff or members of the public; vi. Engaging in conduct that is a criminal offense under the City Code or the Virginia Code; vii. Campaigning for elected office; viii. Promotion of private business ventures. 8. During a City Council meeting the presiding officer shall have control of the Council Chambers and the connecting halls and corridors within City Hall, and any other venue where a Council meeting is being held. In case of any conduct described in section f, above, the presiding officer may take measures deemed appropriate, including but not limited to suspending the meeting until order is restored, ordering areas to be cleared by the Sergeant at Arms, or requiring any individual to exit the meeting room and adjacent premises (connecting halls and corridors.) 9. Any person who has been expelled from a Council meeting shall be barred by the Mayor from reentering the Council meeting from which he/she/they was expelled, subject to appeal to Council or motion passed by Council. D. Matters by the Public, Public Hearings and Other Comment Opportunities 1. Matters by the Public – Time shall be reserved during each regular City Council meeting for Matters by the Public. The purpose of Matters by the Public is to offer individuals an opportunity to state a position, provide information to City Council, comment on the services, policies and affairs of the City, or present a matter that, in the speaker’s opinion, deserves the attention of City Council. a. At Council’s regularly scheduled meetings, two opportunities will be afforded for members of the public to address Council. One Matters by the Public session will be offered early in the meeting, which shall be called “Community Matters”, prior to taking up matters on a consent agenda, action items agenda, or items for discussion agenda. At this first period, up to sixteen (16) individuals may speak, as follows: i. up to 8 individuals selected randomly from a list of people who have signed up in advance, and ii. up to 8 individuals who have registered on the sign-up sheet available at the front of the room prior to the meeting on a first-come/first-served basis. A second Matters by the Public session will be offered as the final item on a regular meeting agenda. b. Each person who speaks during a Matters by the Public session will be limited to a maximum time of three minutes. i. Speakers may concede their allotted time; the person whose name is written on the speaker sheet must be the person who begins speaking, although they may be accompanied by others to the podium and may share their time with them. Each speaker shall begin by clearly stating his/her/their name and place of residence (or, if speaking on behalf of a business, by giving the location of the business). ii. Written materials presented at Matters by the Public must be given to the Clerk prior to speaking and will be distributed to the Council. For distribution of hard copies to Councilors, eight copies should be provided; however, electronic distribution is preferred and may be sent to council@charlottesville.gov. PowerPoint presentations cannot be accommodated during Matters by the Public. iii. After an individual completes his/her/their remarks to Council, any Councilor or the City Manager may respond as they see fit. To assure the orderly progress of the meeting, the presiding officer shall ensure that, collectively, responses to any individual’s remarks will not exceed a period of approximately two minutes. iv. Remarks that cannot readily be addressed within the Councilors’ response time may be referred to the City Manager by the Mayor, with a request that the City Manager bring back a response at the meeting immediately following the present meeting. 2. Public hearings – From time to time, Council will conduct public hearings on specific topics as required by law or as Council otherwise deems appropriate. The purpose of a public hearing is for Council to receive public comments on a specific topic. a. Sign-up sheets are provided at the front of the room. Speakers will be called from that list, as time permits. b. After all speakers on the sign-up list have been called, other individuals will be invited to speak, until everyone who wishes to speak on the topic has had a chance to do so. c. During a public hearing, each speaker must limit his/her/their comments to the specific application or matter for which the public hearing has been scheduled. d. No person may speak more than once during any public hearing. Each person who speaks during a public hearing will be limited to a maximum time of three minutes. e. Prior to opening a Public Hearing, Council may, by motion, limit the number of speakers who will be heard, and/or reduce the time for each speaker to two (2) minutes, upon determining that the session could not be commenced in a timely manner. 3. Town Hall meetings – Town Hall meetings are generally conducted in an open format. Council may conduct a Town Hall meeting in a manner that is free-form (no limit on the time for making a comment or stating a question, or for Councilors’ responses,) or Council may establish an agenda or list of topics that will apply for a particular Town Hall meeting, and times or guidelines for speakers’ questions and Councilors’ responses. Any parameters that will apply to a Town Hall will be established by the Mayor prior to the meeting or by vote of Council after calling the Town Hall meeting to order and prior to opening the floor. Prior to commencing the session, attendees shall be notified of any applicable time limits or speaker guidelines, either by posted signs, a written agenda or verbal announcement by Council at the beginning of the meeting. 4. Written Comments – To provide an additional mechanism to communicate with Council, an “Online Matters by the Public” form is provided on the City website for electronically submitting comments. These comments are distributed to all Council members. Citizens may also contact Councilors via their City email addresses (available on the City’s website) or by written correspondence sent in care of the Clerk of Council. 5. Consent Agenda Comments-After the Clerk of Council concludes reading the Consent Agenda, the Mayor will ask if anyone in attendance at the City Council meeting wishes to speak on matters listed on the Consent Agenda. Speakers will be limited to a maximum of three minutes and their marks shall be limited to matters listed on the Consent Agenda. E. Recess 1. During regular meetings, Council will take a brief recess every two hours. The presiding officer will announce the recess at an appropriate time, or any member may, by point of order, remind the presiding officer that a brief recess is due. 2. The Council’s goal at regular meetings is to adjourn no later than 11:00 p.m. F. Miscellaneous 1. Persons with disabilities may request reasonable accommodations by contacting ada@charlottesville.gov or (434) 970-3182. Persons are encouraged to make requests in advance. 2. All regular City Council meetings are broadcast live on Charlottesville’s TV10. Streaming video of the meetings is available for viewing online at the time of the meeting and as an archived video on the next business day following a meeting. Archived meetings can be downloaded in audio or video format from the City website. Charlottesville TV 10 runs repeats of the most recent meeting throughout the month on Mondays, Wednesdays, and Fridays at 7:00 p.m. and Tuesdays, Thursdays, and Saturday mornings at 9:00 a.m. until the next meeting is held. A DVD copy of the meeting may be requested the week after the meeting; a nominal fee may apply. Contact the Clerk of Council at clerk@charlottesville.gov or (434) 970-3113 to inquire. 3. These City Council Meeting Rules and Procedures will be posted on the City’s website. 4. These Council Meeting Rules and Procedures are adopted by the Council pursuant to the Charter of the City of Charlottesville and supersede prior rules. The rules and procedures set forth within this document do not create substantive rights for third parties or participants in proceedings before City Council, and City Council reserves the right to suspend or amend the rules in the manner provided in the City Code. The failure of City Council to strictly comply with the provisions of this document shall not invalidate any action of City Council. G. Policy for Electronic Participation by Councilors 1. Purpose and Applicability. It is the policy of the City Council of the City of Charlottesville that individual members of the Council may participate in Council meetings by electronic means as permitted by Virginia Code Section 2.2-3708.2. The purpose of the policy is to comply with the requirements of Section 2.2-3708.2 of the Code of Virginia and to allow for and govern participation by one or more Councilors in Council meetings by electronic communication means. All proceedings pursuant to this policy shall be performed in accordance with Virginia Code Section 2.2-3708.2 as that statute may hereafter be amended. This policy shall apply to the entire City Council membership without regard to the identity of the member requesting remote participation or the matters that will be considered or voted on at the meeting. 2. Quorum Required. The City Council may consider a request for participation by electronic communication means only if a quorum of the Council is physically assembled at the primary or central meeting location, and there is an arrangement for the voice of the remote participant to be heard by all persons at the primary or central meeting location. 3. Permissible Reasons for Electronic Participation. Participation by a Councilor in a meeting by electronic communication means shall only be allowed due to an emergency, a personal matter, or disability. Each Councilor shall be limited each calendar year to participation by electronic means in two meetings for personal matters. 4. Approval. Individual participation from a remote location shall be approved unless such participation would violate this policy or the provisions of the Virginia Freedom of Information Act. If a Councilor’s participation from a remote location is challenged, then the City Council shall vote whether to allow such participation. If the City council votes to disapprove the Councilor’s participation because such participation would violate this policy, such disapproval shall be recorded in the Council’s minutes with specific reasons cited for the disapproval. 5. Approval Process. No Councilor may participate in a meeting by electronic communications means unless the Councilor requests and the Council approves the participation in accordance with this policy. a. A Councilor may request to participate in a meeting by electronic communication means if the Councilor notifies the Mayor and the Clerk of Council on or before the day of the meeting that the Councilor is unable to attend due to the following: i. Personal: an emergency or personal matter, provided that the Councilor identifies with specificity the nature of the emergency or personal matter, or ii. Temporary or Permanent Disability: a temporary or permanent disability or other medical condition that prevents the Councilor’s physical attendance. b. The Councilor must also notify the Clerk of Council of the remote location from which the Councilor would participate by electronic communication means. c. At the meeting, the Clerk of Council shall announce the information received from the absent Councilor. If the Council member’s request is in all respects compliant with this policy, then any of the quorum of Councilors physically assembled at the central meeting location shall make a motion to approve or disapprove the absent Councilor’s request. d. Upon adoption of a motion to approve the Councilor’s participation by electronic communication means, the Councilor shall be allowed to fully participate in the meeting by electronic communication means. e. If the Councilor’s participation by electronic communication means is approved, the Clerk of council shall record in the meeting minutes: i. the motion; ii. the vote thereon; iii. the specific nature of the emergency or personal matter or temporary or permanent disability or other medical condition; and iv. the remote location from which the Councilor participates in the meeting. f. If the Councilor’s participation by electronic communication means is disapproved, whether by adoption of a motion to disapprove or rejection of a motion to approve, the Clerk of Council shall record in the meeting minutes: i. the motion; ii. the vote thereon; iii. the specific nature of the emergency or personal matter or temporary or permanent disability or other medical condition; iv. the remote location from which the Councilor would participate in the meeting; and v. the specific aspect of this policy that would be violated by the Councilor’s proposed participation by electronic communication means, as summarized by the quorum of Councilors physically present. II. THE COUNCIL – MANAGER RELATIONSHIP A. Per City Code §2-157 and in the interests of efficient management, if Council members seek answers from City staff, they should generally attempt to do so through the City Manager. In any event, when asking questions of staff, Council members should advise the City Manager of same. B. Members of the City Council, including the Mayor, shall represent the official policies or positions of the City Council to the best of their ability when designated as delegates for this purpose. When presenting their individual opinions and positions, Council members shall explicitly state they do not represent their body or the City, nor will they allow the inference that they do. No member of City Council may purport to speak on behalf of the City on matters that have not been voted on by Council or that do not represent official City policy unless authorized by vote of the City Council. C. If a Councilor chooses to convene a gathering that will involve an expenditure of any City funds, the group that is gathered must be a board, commission, committee, subcommittee, task force, advisory group, or other entity—however designated—created by City Council to perform delegated functions of Council or to advise the City Council. The Councilor will advise the City Manager, the Clerk of Council and other councilors of the date, time and purpose of any gathering that will involve expenditure of City funds. A Councilor may expend or commit expenditure of City funds in accordance with Section III, below. If a Councilor wishes to convene a gathering that will involve the use of City meeting space or the assistance of non-Council staff, the gathering must be approved by the City Manager, with notice given to the Clerk of Council and other Councilors of the date, time, place and purpose of the gathering. D. If any Councilor convenes or plans to attend an event or gathering to which any other councilors may also be invited, he/she/they shall advise the Clerk of Council and the City’s FOIA Officer at least one day in advance of the time and place of the event or gathering. E. Council members shall respect and adhere to the Council/Manager structure of Charlottesville City government as outlined in the Charlottesville City Code. In this structure, the City Council determines the policies of the City with the advice, information and analysis provided by City staff, Boards and Commissions, and the public. Except as provided by the City Code, Council members shall not interfere with the administrative functions of the City or the professional duties of City staff; nor shall they impair the ability of staff to implement Council policy decisions. Ref. City Charter, §5.01, §5.02 Ref. City Code §2-36; 2-39; 2-146 through 2-158 F. At the first meeting of January in each even numbered year, an Organizational Meeting shall be conducted to select the Mayor and Vice Mayor. The City Manager shall preside at the Organizational Meeting. The City Manager shall accept nominations from Councilors for the position of Mayor. The City Manager will then accept a motion to close the nomination process. After a motion to close the nomination process is approved by the Council, each Councilor will be provided five minutes to speak about the Mayoral nominees. After all Councilors have concluded their remarks, the Clerk of Council will then call the roll and each Councilor shall state their choice for the position of Mayor. At the conclusion of the Council’s Mayoral election, the City Manager shall accept nominations from Councilors for the position of Vice Mayor. The City Manager will then accept a motion to close the nomination process. After a motion to close the nomination process is approved by the Council, each Councilor will be provided five minutes to speak about the Vice Mayoral nominees. After all Councilors have concluded their remarks, the Clerk of Council will then call the roll and each Councilor shall state their choice for the position of Vice Mayor. The Mayor and Vice Mayor shall be elected for terms of two years. G. At a work session conducted in January of each even numbered year, the City Manager and Clerk of Council will coordinate a Council orientation for all City Councilors providing training and education on City operations and City Council Policies and Procedures. III. CITY COUNCIL EXPENDITURES A. Each fiscal year, as part of Council’s approval of the annual budget for the City, or as amended during the year, Council appropriates a certain amount of public funds for expenditure by “City Council/ Clerk of Council” and for “City Council Strategic Initiatives”. Public funds appropriated in these categories may be expended by City Council in accordance with this Council Procedure document, as follows: 1. Council-authorized purchases and expenditures—public funds within City Council’s budget appropriation, including any discretionary funds contemplated to be expended for uses specifically designated by individual councilors within Council’s budget appropriation, may be expended for lawful purposes specifically approved by a vote of City Council, including, without limitation: i. Charitable donations authorized by state statute; ii. Compensation to individuals serving on a City-Council created advisory agency, as defined in Va. Code §2.2-3101 (task force, commission or other group— regardless of name). (Note: If City Council creates an advisory agency, City Council may specifically authorize members of the advisory agency to be compensated for their attendance at regularly scheduled meetings and in training. Compensation may be paid to an individual member, only if the City Council action which established the advisory agency: (i) specifically authorizes the amount of compensation to be paid, (ii) designates the manner in which compensation may be paid (City-issued check, cash-equivalent (e.g., gift card), or other form of payment), and (iii) identifies the fund or budget expenditure line item from which the compensation is to be paid.) Ref. Va. Code §15.2-1411. iii. Purchases of goods or services for a City Council meeting, function, or retreat, or purchase of office supplies, travel reservations for an individual councilor, etc., arranged by the Clerk of Council in his/her/their role as “decentralized buyer” for the City (for example: a facilitator for a Council workshop; catering and meals for a City Council meeting or retreat; consulting services for a City Council initiative, etc.). iv. Emergency travel expenses, which may be arranged and authorized by the City Manager, in circumstances where an individual councilor’s credit card fails to function while the councilor is traveling on City business. v. Payment for the expenditures listed in (i)-(iii), above, shall be arranged by the Clerk of Council or City Manager, on behalf of City Council, using the credit card issued by the City to the Clerk or by other form of payment used by the City in the normal course of business. Individual councilors’ credit cards shall not be used to pay for those expenditures. 2. Reimbursement of individual councilors’ and Council-staff members’ City-business expenses—pursuant to Va. Code §15.2-1414.6 each individual Councilor is eligible to be reimbursed for any expenses incurred by such individual councilor for official City business (“Reimbursables”). Any such Reimbursables must be itemized and documented by stamped “paid” receipts to the extent feasible. i. Following are examples of authorized Reimbursables: x registration fees, meals and/or travel and parking expenses for attendance at official functions, general assembly sessions, or ceremonies/special events to which City Council, or an individual councilor, or a Council staff member, is invited or is required to attend; x individual dues for membership in organizations related to Council duties, and travel to seminars and meetings of those organizations (e.g., VML, Virginia First Cities, National League of Cities, etc.); x meals or refreshments for an individual Councilor himself/herself/themself, while meeting with one or more constituents, if receipts are supported by documentation meeting IRS standards for allowable business expenses (identification of the purpose of the meeting, the topic(s) discussed, the person(s) participating in the meeting, etc.); x home office supplies for individual Councilors, such as copier paper, “cloud” storage for records, office furniture, pens, etc. ii. In lieu of incurring a Reimbursable expense and then submitting a reimbursement request to the City, any individual Councilor or Council staff may use a City credit card issued to such Councilor/ staff member to purchase Reimbursables. Requirements for documentation of purchases made with a City-issued credit card, as well as daily per-diems and mileage reimbursement rates, shall be the same as established by the City Manager/ Director of Finance for City employees. iii. No credit card issued to an individual City Councilor shall be used to purchase any goods, services or items other than: a) Reimbursables, b) Tokens of sympathy or appreciation for the Clerk of Council and his/her/their staff, the City Manager and his/her/their deputies and assistants, and the Finance Director and his/her/their deputies and assistants, to recognize birthdays, work anniversaries, sympathy for the loss of a family member, and similar circumstances). The value of a credit card transaction for any such purchase shall not exceed $50, and c) Goods, services or items approved by City Council, as a body, to be purchased with an individual councilor’s card (for example, City Council may vote to authorize an individual councilor who is leading an City- Council sponsored trip to charge certain group expenses to the City credit card issued to that councilor). iv. If any individual Councilor desires to use a City credit card that is issued to him/her/them, but is not sure whether or not a particular purchase constitutes a Reimbursable, as defined above, it shall be the responsibility of the Councilor to seek guidance (from Council, as a body, the Clerk of Council, the Finance Director, or the City Attorney’s Office) prior to using the credit card to make the purchase. Inquiry shall be made regardless of whether similar purchase(s) have previously been made prior to the adoption of these Council Rules and Procedures. 3. Prohibited Expenditures, by Credit Card and Otherwise: the following expenditures of City funds are PROHIBITED and are UNAUTHORIZED as to every individual Councilor and each member of Council’s staff: No City funds shall be used to obtain, purchase, or pay for any of the following—whether the purchase or payment is made or obtained by means of a City-issued credit card, expense reimbursement request, City-issued check, cash or cash equivalent (gift card) or otherwise: i. Alcoholic beverages, ii. Smoking products and paraphernalia, iii. Personal items and services (i.e., goods, services or items other than Reimbursables) for an individual councilor or any other individual, iv. Gifts or donations to any individual(s), v. Non-essential services and gratuities: mini-bar fees, service gratuities in excess of 20% for meals or transportation services, movies, personal telephone calls made from a hotel phone, etc., vi. Vehicle fuel, vii. Cash (cash advances, wire transfers, money orders, credits for returned merchandise, etc.), viii. Any purchase or expenditure that exceeds funding that is available within City Council’s fiscal year budget at the time of the purchase or obligation of City funds, ix. All other unauthorized purchases and expenditures—meaning any purchase or expenditure other than one specifically authorized within these Council Rules and Procedures. B. Oversight of Council Expenditures 1. The Clerk of Council shall send monthly budget-to-actual expenditure reports to City Council, reporting all expenditures from City Council’s budget for the preceding month (inclusive of credit card purchases), as well as the total amount of funds remaining to be spent during the fiscal year. It shall be the responsibility of City Council, as a body, to review the budget-to-actual expenditure reports and to address any apparent concerns as a group, with Council staff and each other. 2. If any Councilor or Council staff member has a question about whether any credit card purchase or other expenditure complies with this Council Procedure, the question should first be presented to Council, as a body, for review and response (assistance from the Finance Director or City Attorney’s Office may be requested, as needed). If the question cannot be resolved by Council, as a body, the matter shall be reviewed by the City Attorney in consultation with the City Manager and Director of Finance and/or reported to law enforcement for investigation. Notwithstanding the foregoing: if Council as a body fails to promptly take action, or if there is cause to believe that a violation of the requirements of this Council Procedure is knowing or intentional and a financial loss in excess of $300 (ref. City Code §2-45) will occur to the City while awaiting a response by Council, any City official or Council staff shall have a right to seek review of the matter by law enforcement. 3. Any City Councilor who uses a credit card, or otherwise obligates City funds to be expended, for purposes not authorized by this Council Procedure may be subject to civil fines, payment of reimbursement to the City, and/ or criminal prosecution (ref. City Code §2-45, City Code §22-33, and Va. Code §18.2-112). Approved by Council $SULO ,ZOB5IPNBT $.$ Clerk of Council Chapter 8 “MAY THE FORCE BE WITH YOU”: A SET OF 12 BEST PRACTICES IN COUNCIL-MANAGER RELATIONS Mastering the essentials Copyright ®2016 ICMA “May the Force Be with You”: A Set of 12 Best Practices in Council-Manager Relations 119 I f you find yourself at this chapter, you have either been a faithful reader or, like an impatient reader of mystery novels, you’ve skipped ahead to the end. In either case, we want to send you off with some final thoughts on how to maximize the potential of a great working relationship with your elected officials. Enjoy the list! 1. Always Have Time for Your Elected Officials: It will be a big problem if elected officials don’t feel important or valued by the manager. Elected officials don’t run for office to feel ignored. It is easy to . . . help your underestimate how much elected officials look to the manager for cues in regard to how they are valued. With all the demands on the newly elected manager’s time, it is easy to find it difficult to be available as often as officials learn some elected officials would like. Make it a priority to be available and what policy responsive to your elected officials—it is much more important than you might think. Always ask each of them individually how much and making is all how they want and like to be communicated with. Listen to both their about . . . verbal and nonverbal (i.e., body language) response. help them do 2. Help Your Elected Officials Become Better Policy Makers: Make it easier meaningful for elected officials to stay focused on what they are supposed to do. work. “Making policy” is not easy. Few elected officials come to their roles with the knowledge and skill to do so effectively. It is frankly easier for them to help you do your job than to do their own. And since they all were elected to “do something” if not busy working on policy issues, they will gravitate to more administrative areas. So help your newly elected officials learn what policy making is all about and how to go about doing it. Create structures (strategic plans, general plans, pol- icy development, legislative goals, etc.) that help them do meaningful work in their area of responsibility—decreasing the odds that they will gravitate to help you do your work since they are not finding meaning in their roles. Help them find “early wins” in their arena and they are more likely to stay in it. 3. Have Clear Communication and Understanding Regarding Your Council’s Expectations: You can’t meet their expectations if you don’t know what they are. While sometimes time-consuming and challenging, it is critical for the manager to have a clear dialogue with elected officials about their expectations concerning the manager’s performance. A meaningful conversation on this topic can occur during performance evaluations or in some other setting. Having an understanding with your elected officials that they will “let you know if there is a problem” is not sufficient. You need to proactively seek input and feedback so that you can better understand their expectations of you before you run into issues with your performance not matching their expectations. 120 Making It Work: The Essentials of Council-Manager Relations Copyright ®2016 ICMA 4. Never Compete with Elected Officials for Public Recognition or Attention: You get paid—let the elected officials have the limelight. By and large elected officials work very hard for relatively little, if any, compensation. One of the major “rewards” for their service is public recognition for organizational success. It is often too easy for the public and/or press to focus on the manager as the reason for organizational/community success. While it is quite natural to be tempted to accept such praise (particularly if it is well deserved), the contribution of the council (and often staff) should be emphasized. Your Councils are fully cognizant of what their professional managers are paid for their work. It follows, then, that council members expect the professionalism manager to make sure they get the “compensation” of public recognition. requires you to implement 5. Implement City Council Decisions Faithfully: It doesn’t matter whether you like the decision; it’s yours to implement. decisions you We should all know that the nature of our local government disagree with democracies dictates that the will of the people is discerned by the elected body. Whether right or wrong (at least from your point of as effectively as view), councils have the right to make those decisions. While you can decisions you appreciate your obligation to carry out the will of the elected officials, you can sometimes do so halfheartedly or with little enthusiasm. recommended. . . . If you do so, it will be noticed and will not be appreciated. Your professionalism requires you to implement decisions you disagree with as effectively as decisions you recommended (and this also helps avoid you and the staff being blamed for any lack of success resulting from the board’s decision). 6. Do the “Small Stuff” Well So That Your Elected Officials Can Trust You on the “Big Stuff”: Pay attention and remember what is important to your elected officials. It can be tempting, quite understandably, to put a low priority on what we perceive to be low-priority issues raised by council members (often on behalf of constituents). Whether it’s a pothole to be filled or a street tree to be trimmed, it can be frustrating to feel pulled away from “higher priority” responsibilities. However, the more effectively you and your team respond to these “small things” (particularly since these will never seem to be minor concerns to elected officials or one of their constituents), the more credibility you and the organization will establish with your elected officials. It increases the odds that when a significant or complex issue is before them, the elected officials will have confidence in your recommendation. However, if you have not demonstrated the ability to get the “small stuff” accomplished, elected leaders may not trust you and the staff when the “big stuff” rolls around. Copyright ®2016 ICMA “May the Force Be with You”: A Set of 12 Best Practices in Council-Manager Relations 121 7. Always Maintain Your Professionalism: If you ever make it personal, watch out! It is inevitable that you and your elected officials will at times not agree on a course of action. As long as such disagreements remain at a professional level, little damage is usually incurred. However, if such disagreements ever degenerate into what appears to be personal animosity, the ability to maintain an effective relationship is greatly compromised. Even when provoked, do your best to never appear to Never forfeit personally have a problem with your elected official (versus viewing a policy question from a different perspective). Once your elected your credibility official believes it has become personal, that perception is very hard to by appearing overcome. Treat your least supportive member just as you would your most supportive one, and he or she might just become it! to overly influence a 8. Be Realistic About “Management vs. Policy”: Avoid “I want to play in decision. . . your yard, but you better not play in mine.” The need for managers to withstand the efforts of elected officials to become directly involved in the management of the day-to-day operations of the city is clearly understood. However, the line of separation can be blurry. It is also clear that leaving the council completely in the dark regarding what is occurring within the organization can lead to serious issues for the manager. Additionally, it is certain that the manager (via recommendations and the like) will influence policy positions. If the manager is going to influence policy, she/he must be willing to find balance in terms of allowing elected officials some reasonable understanding of what is happening administratively in the organization. 9. Present Facts and Information Accurately and Completely: Avoid spinning at all costs. It is completely understandable to become “invested” in your recommendations to your elected bodies. While, fortunately, few in our profession would intentionally mislead the elected bodies to achieve a desired outcome, it is possible to do so inadvertently. Not presenting all legitimate options or not completely and fairly identifying the pros and cons of options can be tempting when you are convinced regarding what direction the council should take. Never forfeit your credibility by appearing to overly influence a decision by not presenting all the relevant facts in a clear and unbiased fashion. 10. Be Realistic About the Number and Types of Issues You Ask Your Council to Tackle at One Time: Don’t try to take on everything at once. When we know that there is much work to be done, it can be tempting to bring many issues forward in close time proximity. Whether it 122 Making It Work: The Essentials of Council-Manager Relations Copyright ®2016 ICMA is at one meeting, or a series of meetings in close proximity, it is easy to overload councils with either too much workload or too much controversy. This can lead to poor decision making, and even resentment. Sometimes bad decisions result when a different sequencing of issues or more time to consider the topics could have resulted in a more positive outcome. Don’t overload your councils with work or controversy—timing can be everything! 11. If Elected Officials Don’t Trust Your Honesty and Integrity, Mistakes can Nothing Else Matters: Establishing and maintaining trust must be your highest priority. usually be Many factors can impact the success you have in establishing and forgiven, maintaining a successful working relationship with your elected violation of officials. None is more important than trust. If your elected officials don’t trust you to be honest and straightforward with them, nothing trust usually else matters. You can be the smartest or most skilled manager around, cannot. but without trust, little else matters. Never squander that trust by what you do or say. Mistakes can usually be forgiven, violation of trust usually cannot. 12. Every Time Your Council Changes, Your Job Becomes New Again: Never take the relationship for granted. Most managers taking on a new job, especially first-time managers, take nothing for granted. They actively seek input and feedback. They work hard to develop a strong relationship with the council as a whole and with individual council members. The longer you serve in these roles, the more casual you can become in regard to establishing and retaining a positive working relationship. Assume, because it is usually true, every time your council changes it becomes a “new job” for you. Don’t forget how you acted (and took nothing for granted) as a new and/or first-time manager. Never take the relationship for granted, even if your council doesn’t change. Final Final Word It no doubt came as no surprise that a good deal of this book deals with the unique challenges of being a CAO in local government, and in partic- ular, the challenges that can arise in working with and for elected officials. However, we are hopeful that you come away with a sense of how mean- ingful and important this work is as well. Between the two of us, we have served as CAOs of local governments for several decades. Both of us feel incredibly fortunate to have been able to play the roles we played in our respective communities, and neither of us would trade the experience for anything. While we both have faced our share of challenging times, they were far outweighed by our positive experiences. Copyright ®2016 ICMA “May the Force Be with You”: A Set of 12 Best Practices in Council-Manager Relations 123 It’s useful to keep in mind that there are challenging times in all pro- fessions and jobs. That is not unique to local government management. However, with the challenges of our profession come a singular variety of experiences, an unusually high degree of meaningfulness in our work, and an important sense of satisfaction when we do our work well. Congratulations on your decision to choose local government profes- sional management as a career. While you work to overcome its inherent challenges, never forget the value and purposefulness of the work you do. 124 Making It Work: The Essentials of Council-Manager Relations Copyright ®2016 ICMA Four Fatal Flaws of a Council-Manager Relationship George B. Cuff breaks down the importance of council-manager relationships, the cost of change, and explores the fatal flaws of governing and managing. Jun 06, 2019 | BLOG POSTBLOG POST One of the critical aspects of any council’s ability to be successful in offering a community the leadership it feels is warranted (and perhaps missing) is the relationship it has with its chief administrative officer/manager. That relationship will impact the quality of services and decision making residents and businesses receive. Why Is this Important? I have written on this topic extensively over the past four decades and it has been a frequent topic at seminars during the same time period. For good or for naught, a council and its manager are tied at the hip for the duration of a council term. Each will be viewed by the public as the “face” of the municipality, and while the mayor might be judged more prominently in that chair, his or her colleagues on council and the manager will be squeezed into the same position. The public seldom sees its elected officials as all that different from its chief hired gun and views the words of one as synonymous with that of the other. While the manager's role is to manage in an apolitical manner, the council's role is to reflect the public’s “will” and to make and implement decisions that are sensitive to the aspirations of the community. The American writer Walter Lippmann is credited with the expression, “I presume the public interest to be what people would choose if they saw clearly, thought rationally, and acted benevolently.” The Cost of Change Page 1 of 4 I am just concluding a study of a coastal municipality that has approximately 60 managers in its upper echelon. Over the past five years, this city has experienced over 100 personnel changes. I pointed out that there have been a number of consequences to that style of leadership, including a loss of corporate memory, loss of image, loss of morale, loss of talent, and a loss of organizational culture. None of these are inconsequential; there is a price to pay. What Are the Flaws? Just when I think I “have seen it all,” something different pops up and I shake my head in wonderment. How can something that I see with reasonable clarity become so befuddled to so many? The answer lies partly in how long I have been associated with local government and the very nature of these vastly different roles. I’ll spare you the first part of that answer, but let’s explore the rest. Managers Advise/Manage; Council Members Govern While the roles of governing and managing often look quite similar to neophyte members of a council (or governing board), they are fundamentally distinct. The manager is charged with providing advice based on her or his expertise, training, and experience, whereas the council member who has just been elected is expected to come at the same issue from the perspective of a community member, not from that of their professional or work-life background. Regardless of background (and some may possess very useful skills relative to the needs of a municipality), the responsibilities of an elected official are quite different from that of the chief policy advisor, the local government manager. A mayor or councilor needs to speak the will of the public, at least as he or she understands it to be. The manager is not under the same obligation or yoke; he or she is to advise based solely on what makes administratively good sense and not be based on what the public may or may not support. The Manager Advises All Council members might feel that they are within their rights if they try to influence the decision or advice of their manager. The manager, on Page 2 of 4 the other hand, is expected to advise all of council and then take action on decisions made by a majority of council members. Where this gets complicated is when the mayor is in opposition to the council decision. While this may not happen often, a manager understands that being on the wrong page with the mayor is not conducive to a lengthy career, or at least not a long tenure in that community! On the other hand, a seasoned mayor will understand the dilemma and be supportive of the guidance being given to the manager, which the majority of council will expect to be followed. The Manager’s Clout A third “fatal flaw” is found in expecting the manager to manage his or her management team and then being surprised when the manager decides to terminate the employment of a senior manager. Provided that this is covered in a managerial contract, it should be expected that the manager is council’s sole employee, and that one of his or her responsibilities is to manage the civic employees and services in a constructive, professional manner. Any manager who has the authority to manage the administration, and who is expected to do so in an effective and efficient manner, needs to be accorded the power and right to do so in an unhindered fashion. This is of course a two-edged sword, as the manager is expected to hire quality people and to mentor their performance. In that way, the lack of performance by another senior staff member is also a commentary on the ability of a manager to manage. Too many personnel changes will be a red light to any council. Friends of the Mayor and Council Further, in a small community it can be expected that a senior manager/department head might be a friend of one or more members of council. This will be very problematic for the manager if performance issues dictate an abrupt departure from the community. A senior manager so affected might call his or her friends on council and thus undermine the manager. George B. Cuff, FCMC, is president of George B Cuff & Associates Ltd., based outside of Edmonton, Alberta. His firm has offered Page 3 of 4 seminars on governance and good management for the past 40 years and has conducted over 500 reviews of municipalities, government departments, agencies, and not-for-profits. His background can be found on www.georgecuff.com. He has taught in the ICMA University program over the past 10 years on the topic of “Fatal Flaws of a Council-Manager Relationship.” Cuff has a background both as a municipal manager and as a mayor elected four times serving 12 years in that capacity. Page 4 of 4 Ask an ICMA Manager: Three Key Elements of Council-Manager Relations One city manager shares his insights on council-manager relations. Feb 27, 2018 | BLOG POST by Thomas Fountaine II, borough manager, State College, Pennsylvania Among the responsibilities of a professional local government manager is the role of maintaining a positive relationship with the governing body and working with them to enhance their work. I would argue that this is the most critical role for the manager in a council- manager government. A strong manager with a poor relationship with the elected officials will not succeed, and a strong council that does not have a good relationship with the manager will not be as effective in accomplishing its goals. This relationship is so critical that the International City/County Management Association Code of Ethics includes a tenet that specifically addresses the relationship between the council and manager. Tenet 6 states: Recognize that elected representatives of the people are entitled to the credit for the establishment of local government policies; responsibility for policy execution rests with the members. Among the keys to achieving and maintaining a strong, positive, and mutually respectful relationship between the council and the manager are three elements: 1. Build the Team Teamwork between the elected officials, the manager, and the local government staff is an important aspect of a successful relationship. This teamwork begins anew following every election. Each new council has its own distinct personality, and the goals and policy agenda may well change with the election. Even when there is not a change in the members of the council, a change in the leadership of the governing body may change priorities and the way in which the council conducts its meetings. Thus, one of the keys at the beginning of each new council term is to build the new team. Page 1 of 4 The manager can play a key role in this process by helping the new council through a comprehensive orientation program. It is important for this orientation to occur early, either immediately following the election or early in the new council term. I have found that the best result comes from meeting individually with the newly elected officials shortly after the election and then providing a full group orientation for the full council and mayor right after the new council is sworn in. In this orientation, I’ve found it immensely important to define and review the dichotomy between the council’s responsibility to set policy for the local government and the manager’s responsibility for the administration of the organization and to carry out the policy set by council. I’ve utilized James H. Svara’s model to help describe this shared dichotomy. Svara’s model is shown below. 2. Communication, Communication, Communication Communication is another key element in building and maintaining mutually respectful and positive relations between the council and the manager. This may Page 2 of 4 be the most critical element: maintaining trust and confidence, which occurs at two levels: 1. Communication with the full council. 2. Communication with individual members. Communication will help build relationships that in turn will enhance trust and confidence and significantly improve and enhance a positive relationship. Several basic communication principles should be followed: • Ensure that all elected officials receive the same information. • Ensure that all elected officials receive information at the same time. • Provide regular reports to elected officials. • Don’t let elected officials be surprised by information – make sure they know about events before they learn about them from the news or a neighbor. • Ensure that all communication is professional. o Provide facts. o Provide alternatives. o Provide analysis that is professional and not based on personal opinion. o Provide professional basis for recommendation. While there is an opportunity to communicate to the full council at every public meeting, it is also important to make time available to communicate with individual council members on a regular basis. This one-on-one communication should be a priority. Communication is also one of the easiest aspects of the council-manager relationship to slip. In a world where electronic communication can easily substitute for interpersonal communication, it is important to set aside time and make personal communication a priority. 3. Performance Management and Evaluation A critical piece of the council-manager relationship involves a process that includes both the council and the manager in setting clear expectations and agreeing on specific goals. Goals and expectations should relate to and be built on the foundation of the overarching goals and objectives for the community that council sets. Without expectations and goals, neither the council nor manager Page 3 of 4 has a clear vision for the community, making it difficult to make decisions about policy, set priorities, and move the community in the right direction. The second part of this process involves a regular review of how effective the manager is in accomplishing these goals and managing the municipality to advance the mission of the organization. While the periodic review may occur multiple times throughout the year, it is imperative that this evaluation occurs at least annually. As part of this process, councils might want to engage in a self- evaluation process as well. This affords the council an opportunity to be introspective about how well it has functioned during the year. It allows council members individually, and the council as a body, to consider how well it has carried out its community leadership responsibility. Another important dimension of managerial effectiveness and evaluation process should consider the manager’s ability to implement policy without “fear or favor,” even when the manager might not entirely agree with the decision of the governing body. As the manager and the management staff provide council with sound and professional analysis of alternatives in policy considerations, and to provide a professional recommendation based on expertise, experience, and evidence, it is important to avoid injecting personal opinion in this process. However, the council also has a responsibility to make the final decision on policy issues, and the decision does not always follow the manager’s recommendation. The manager has a responsibility to implement these policies with the same effectiveness and commitment to professional management as if the council decided to follow the manager’s recommendations. Furthermore, it is also critical that the manager demonstrates staff leadership and holds the staff responsible for also fully embracing the implementation of these policy decisions. This should be part of the regular review and evaluation process. Good and effective council-manager relations is a principal component of a well- governed and well-managed municipality. The great communities are those that have taken the time and effort to build their team, communicate regularly, set goals and expectations, and evaluate progress and performance regularly. This is hard work, and it requires a full commitment to excellence by the governing body and the manager. This work also creates the foundation of trust that is central to a great relationship, great governance, and great leadership. Page 4 of 4 ICMA CODE OF ETHICS The mission of ICMA is to create excellence in local governance by developing and fostering professional local government management worldwide. To further this mission, certain principles, as enforced by the Rules of Procedure, shall govern the conduct of every member of ICMA, who shall: 1. We believe professional management is essential to efficient and democratic local government by elected officials. 2. Affirm the dignity and worth of local government services and maintain a deep sense of social responsibility as a trusted public servant. 3. Demonstrate by word and action the highest standards of ethical conduct and integrity in all public, professional, and personal relationships in order that the member may merit the trust and respect of the elected and appointed officials, employees, and the public. 4. Serve the best interests of the people. 5. Submit policy proposals to elected officials; provide them with facts, and technical and professional advice about policy options; and collaborate with them in setting goals for the community and organization. 6. Recognize that elected representatives are accountable to their community for the decisions they make; members are responsible for implementing those decisions. 7. Refrain from all political activities which undermine public confidence in professional administrators. Refrain from participation in the election of the members of the employing legislative body. 8. Make it a duty continually to improve the member’s professional ability and to develop the competence of associates in the use of management techniques. 9. Keep the community informed on local government affairs; encourage communication between the citizens and all local government officers; emphasize friendly and courteous service to the public; and seek to improve the quality and image of public service. 10. Resist any encroachment on professional responsibilities, believing the member should be free to carry out official policies without interference, and handle each problem without discrimination on the basis of principle and justice. 11. Handle all matters of personnel on the basis of merit so that fairness and impartiality govern a member’s decisions pertaining to appointments, pay adjustments, promotions, and discipline. 12. Public office is a public trust. A member shall not leverage his or her position for personal gain or benefit. Adopted by the ICMA Executive Board in 1924, and most recently revised by the membership in June 2020. Recruitment Guidelines for Selecting a Local Government Administrator January 2012 Recruitment Guidelines for Selecting a Local Government Administrator ©2012 by the International City/County Management Association. All rights reserved, including rights of reproduction and use in any form or by any means, including the making of copies by any photographic process, or by any electrical or mechanical device, printed, written, or oral or recording for sound or visual reproduction, or for use in any knowledge or retrieval system or device, unless permission in writing is obtained from the copyright proprietor. About ICMA ICMA advances professional local government worldwide. Its mission is to create excellence in local governance by developing and advancing professional management of local government. ICMA, the International City/County Management Association, provides member support; publications, data, and information; peer and results-oriented assistance; and training and professional development to more than 9,000 city, town, and county experts and other individuals and organizations throughout the world. The management decisions made by ICMA’s members affect 185 million individuals living in thousands of communities, from small villages and towns to large metropolitan areas. ICMA 777 North Capitol Street, NE Suite 500 Washington, DC 20002-4201 202-289-ICMA (4262) icma.org Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator i Preface This Recruitment Guidelines for Selecting a Local Government Administrator was first published just over ten years ago. While a lot has changed in ten years, the basic process for selecting a chief administrator1 has remained substantially the same. It still requires careful planning, astute evaluation of candidates, and a clear understanding of the relationship between the governing body2 and the chief administrator. In this edition, however, new focus has been given to the ICMA Code of Ethics­—the foundation of the local government management profession— and the emergence of the Voluntary Credentialed Manager program. The Task Force on Recruitment Guidelines was formed in Fall 2010 and consisted of a very diverse group of ICMA members (many of whom have served on the ICMA Executive Board), Range Riders (former local government practitioners), younger members of the local govern- ment management profession, and representatives from executive search firms. From its only face-to-face meeting at the 2010 ICMA Conference in San José, this Task Force embraced the challenge of updating the guidelines. Over the next several months, we formed work groups to focus on three key elements of the process: recruitment, selection, and negotiation. After count- less conference calls and emails, the new and improved Recruitment Guidelines for Selecting a Local Government Administrator emerged. The Task Force consisted of the following ICMA members: Jane Bais-DiSessa Mike Casey City Manager Partner Berkley, Michigan Management Partners, Inc. Cincinnati, Ohio Bill Baldridge Executive Search Committee Tony Dahlerbruch Former City Manager City Manager Michigan Municipal League Rolling Hills, California Troy Brown Ed Daley Assistant City Manager City Manager Livermore, California Hopewell, Virginia Garry Brumback Tim Ernster Town Manager City Manager Southington, Connecticut Sedona, Arizona Charlie Bush Tom Fountaine City Administrator Borough Manager Prosser, Washington State College, Pennsylvania 1 Chief administrator refers to a manager, administrator, or executive of a local government. 2 Governing body refers to the elected officers of a town, village, borough, township, city, county, or a legally constituted council of governments. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator iii Peter Herlofsky Paul Sharon Former City Administrator ICMA Range Rider, Florida Farmington, Minnesota Former Town Manager Ashland, Massachusetts Kay James North Andover, Massachusetts City Manager Canandaigua, New York Scot Simpson City Administrator Dave Krings River Falls, Wisconsin Former County Manager Hamilton County, Ohio Charlene Stevens Peoria County, Illinois City Administrator Willmar, Minnesota Debra Kurita Former Assistant City Manager Larry Stevens San Bernardino, California City Manager Edmond, Oklahoma Juliana Maller Deputy City Manager Bill Taylor Park Ridge, Illinois Field Services Manager Municipal Association of South Carolina Bob Murray Columbia, South Carolina President Bob Murray & Associates Michael Van Milligen Roseville, California City Manager Dubuque, Iowa Andy Pederson Village Manager Melissa Vossmer Bayside, Wisconsin City Manager Angleton, Texas Sheryl Sculley City Manager Michael Willis San Antonio, Texas General Manager Shellharbour City Council William Sequino New South Wales, Australia Town Manager East Greenwich, Rhode Island Special appreciation is extended to Tom Fountaine for serving as the negotiation section chair; Peter Herlofsky, selection section chair; and Debra Kurita, recruitment section chair. Debra Kurita deserves special recognition as she labored many hours converting writing styles and formats into one consistent, easy-to-read document. On behalf of ICMA, I am grateful for the active engagement of each Task Force member. Special thanks to Jared Dailey of the ICMA staff, who assisted in the overall coordination of the Task Force. It is the hope of the Task Force that this guidebook is promoted and distributed to those who are in the environment to hire a chief administrator for a community. To the governing body representatives who use this guidebook, we thank you for your service to your communities and wish you every success in finding the professional local government manager to help you guide your community to be the best it can be. In closing, it has been my privilege to have served as the chair of this Task Force. Bonnie Svrcek Deputy City Manager Lynchburg, Virginia iv R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Contents 1. Introduction 1 2. Managing the Organization during Recruitment 2 Major Decision Point: Appointing an Interim Administrator . . . . . . . . . . . . . . . . . . . . . . . 2 Interim Management: The Governing Body’s Role . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 3. Initiating the Recruitment 3 4. Conducting the Recruitment 4 In-House Expertise Method: Recruitments Conducted by the Local Government . . . . . . . . . 4 Outside Expertise Method: Recruitments Conducted with an Outside Party . . . . . . . . . . . . 4 Hybrid Method: In-House in Conjunction with Outside Party . . . . . . . . . . . . . . . . . . . . . . 5 5. Key Elements of the Recruitment Framework 6 Major Decision Point: Development of an Administrator Profile . . . . . . . . . . . . . . . . . . . . . 6 Decision Point: Community Engagement in Administrator Profile . . . . . . . . . . . . . . . . . . . 6 Major Decision Point: Administrator Compensation Schedule . . . . . . . . . . . . . . . . . . . . . . 7 Geographic Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Advertising and Outreach Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 6. Key Elements of the Application Process 10 The Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 The Local Government Information Packet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Applicant Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 7. The Role of the Media in the Recruitment Process 12 8. The Selection Process 13 Reviewing the Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Major Decision Point: Determining the Candidates to Be Interviewed . . . . . . . . . . . . . . . . 13 Interviewing the Candidates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Major Decision Point: Making the Final Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 9. The Negotiation Process 17 Preparation for Negotiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Major Decision Point: Negotiating Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 10. The Transition Process 19 Announcing the Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Additional Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 11. Conclusion 20 Appendix A. ICMA Code of Ethics with Guidelines 21 Appendix B. ICMA Guidelines for Compensation 25 Appendix C. Professional Organizations to Consider Posting Position Vacancy 27 Appendix D. Potential Interview Questions 33 Appendix E. Relations with Applicants—Do’s and Don’ts 35 Appendix F. ICMA Model Employment Agreement 36 Index 43 Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator v 1. Introduction “Thousands of decisions are made every day in cities, towns, and counties that determine our quality of life…. Professional managers craft the plans and make the decisions that transform good communities into great ones. —International City/County Management Association (ICMA) Selecting a chief administrator is perhaps the most important decision that elected local officials will make for their community. T his guidebook was created by experienced, seasoned local government managers. It is designed to help elected officials, human resource professionals, local As you use this resource, you will see highlighted in the margins important points for selecting the best individual for the position. government staff, and professional executive search When faced with an upcoming or immediate firms navigate the recruitment, selection, and negotia- vacancy in the chief administrator position, the tion processes to find the individual who is best suited governing body must quickly address the following to serve as the chief administrator. The chief administra- questions: tor is like an orchestra conductor, directing and manag- ■■ What should we do to ensure that the affairs of ing a team of professional, administrative, and field staff the local government are properly administered while interpreting and working toward the goals and until a new chief administrator is selected and on objectives of the community’s elected officials. board? This guidebook offers best practices that will be ■■ How do we conduct a recruitment to fill the most meaningful to you and your community in select- vacancy? ing a chief administrator. Because all communities, governing bodies, and chief administrators are not The following material provides tips and guide- the same, this is not a “one size fits all” guidebook. lines on the processes that the governing body needs Nevertheless, the local government managers who cre- to employ to successfully answer these questions. It ated this document are firmly committed to the ICMA identifies and discusses the key elements of man- Code of Ethics, which is a non-negotiable foundation aging the organization between the time that one for professional local government management, and chief administrator departs and another arrives, as strongly recommends that the hiring governing body well as the major decision points in conducting the use the Code of Ethics as a tool in its search for a recruitment, selection, and negotiation processes for professional local government manager. Herein, we appointing the new chief administrator. explain recruitment choices and the selection pro- cesses to fit the unique size, culture, and dynamics of an individual community. Topics include provisions for Professional local government managers are interim management; the spectrum of resources avail- committed to able to assist in the recruiting process; applications, ■■ Serving as stewards of representative democracy communications with applicants, and interviews; ■■ Practicing the highest standards of honesty and integrity in compensation; and transition. The appendices provide local governance, as expressed through ICMA’s Code of Ethics the ICMA Code of Ethics, ICMA Compensation Guide- ■■ Building sustainable communities as a core responsibility lines, a directory of professional organizations that ■■ Networking and exchanging knowledge and skills across inter- are likely places advertise for a chief administrator, national boundaries potential interview questions, the do’s and don’ts of applicant relations, and the ICMA Model Employment ■■ Lifelong learning and professional development Agreement. Using this guidebook can make recruit- ■■ Financial integrity and responsibility for management of the ing and selecting a new chief administrator a positive, community enjoyable, and unifying experience for you and your ■■ Implementing best management practices. colleagues as elected officials. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 1 2. Managing the Organization during Recruitment T he governing body must act thoughtfully and deliberately in determining how to ensure that the operations of the local government are properly pal leagues, or ICMA Range Riders are resources for identifying potential interim administrators. The governing body should publicly announce managed during the period before a permanent chief the appointment of the interim chief administrator. administrator is selected and on the job. When faced Regardless of who is appointed, it should be made with a vacancy in the chief administrator position, the clear to all local government officials and staff that the governing body needs time to carefully consider the interim chief administrator is responsible for imple- qualities, expertise, and experience it hopes to find menting governing body policy and overseeing opera- in a new administrator and to use the agreed-upon tions. It should also be made clear that if the interim criteria to develop the administrator profile. It then administrator is ultimately selected to fill the position needs sufficient time to recruit and select the best pos- permanently, it will be because that person has proven sible successor who meets these criteria. While that is to be the best among all the applicants. happening, however, it is important that the governing body identify a professional who will act as the chief Interim Management: The Governing administrator and properly manage local government operations while the recruitment process is underway. Body’s Role Obviously, the local government must continue to Major Decision Point: Appointing an operate during the interim between the departure of the current chief administrator and the appointment of the Interim Administrator new one. The governing body and interim management If the vacancy is the result of a planned retirement, team should do whatever is necessary to make sure the governing body may consider asking the current that important projects and service delivery continue administrator to continue leading the organization for to move forward. It is important to reiterate that the a short period of time on a contract basis. Alterna- governing body has the responsibility to make it clear tively, the governing body may elect to consult with to the staff and community that the interim administra- the outgoing administrator regarding possible staff tor is in charge of the organization’s operations. members who could fill this role. The governing body should consider deferring new In some cases, the members of the governing initiatives, when possible, until the new administrator body may agree that they have confidence in a spe- is appointed and on the job. After all, to ensure effec- cific staff person. If there is an assistant administra- tive administrative leadership in the future, it is desir- tor, for example, the governing body may appoint able that the new administrator be involved in as many that person as interim administrator. If this assistant policy decisions as possible. Just filling a vacant depart- will be considered for the permanent position, the ment director position, for example, is an opportunity appointment as interim administrator will provide for the new administrator to begin building an admin- the elected officials with an opportunity to observe istrative team. In fact, such an opportunity can be used firsthand how the assistant handles the job. Another to pique the interest of potential applicants during the option is to appoint an assistant or department direc- recruitment process. tor (who will not be a candidate for the position); Although it is not desirable for the governing body someone who is mature, seasoned, competent and to immerse itself in the administrative affairs of the local respected by fellow employees. government, its members should be briefed about cur- Should the governing body determine that there rent organizational problems and the status of impor- is no one on staff who it can or wants to appoint as tant projects before the current administrator leaves, if the interim administrator, it may decide to retain the possible. In this way, the governing body may monitor services of a retired administrator or an administra- progress on important matters, provide direction, and set tor who is between jobs. State associations, munici- priorities for the person selected as interim administrator. 2 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator 3. Initiating the Recruitment T he governing body should initiate the recruitment process immediately after the official decision has been made regarding resignation, retirement, or is less likelihood for controversy and ill will to arise around the issues of the separation. Further, and from a recruiting standpoint, handling a difficult situation termination. Failure to do so can potentially generate well will enhance the local government’s image and rumors within the community by various interested thus its ability to attract quality applicants. parties who may attempt to exert pressure on mem- ■■ Vacancy occurring prior to an election. Occa- bers to quickly fill the vacancy. The members of the sionally, a governing body will delay initiating governing body must bear in mind that an impulsive the recruitment process because an election is response to this pressure can be divisive for them and pending. But even in the face of an election, it can damage their credibility. They must take charge of should prepare for the process by developing the the recruitment: they must determine the process that administrator profile (described in full later in this will be used to recruit and select the best administra- document) and determining how the recruitment tor, and make that decision clear to all concerned. will be conducted so as to reduce the time lapse There may be a number of special circumstances between the departure of one administrator and that influence the approach and timing used to recruit arrival of another. a new chief administrator. The following examples ■■ Vacancies due to newly adopted council-manager provide some tips for addressing those circumstances: form of government. If the position is vacant ■■ Vacancy due to the chief administrator’s termina- because voters either just approved the formation of tion or resignation under pressure. If the position is or adopted a change to the council-manager form of vacant because the former administrator was termi- government, the beginning of the search for a new nated or forced to resign, neither the local govern- chief administrator will depend on when the change ment nor the former administrator will benefit from becomes effective. Depending on the circumstances, a public quarrel. It is far better for all concerned to it may be possible to have applications on file by mutually decide on a timetable for the administra- the time the new members of the governing body tor’s departure. If this departure is handled profes- are sworn in. In any case, the recruitment process sionally and in a mutually respectful manner, there should be initiated as soon as possible. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 3 4. Conducting the Recruitment T here are several major elements and decision points in the recruitment process. This section of the handbook provides tips and guidelines for the Outside Expertise Method: Recruitments Conducted with an Outside Party governing body in determining the approach to use in The governing body can retain an outside party to this part of the process. conduct the recruitment. In some cases the interim The governing body has three major choices for or a retired administrator may be asked to coordinate conducting the recruitment. It can: the recruitment process. More often, however, the ■■ Conduct the recruitment in-house governing body will contract with a firm that special- ■■ Retain an outside party to conduct the recruitment izes in providing executive search assistance. ■■ Use a hybrid approach and conduct the recruit- When using an executive search firm, the gov- ment in conjunction with an outside party. erning body plays an active role in the process. It develops the administrator profile, approves the selection of the applicants, interviews the candidates, In-House Expertise Method: Recruitments and, of course, makes the final selection. The benefit Conducted by the Local Government of using an executive search firm is the expertise that If the governing body chooses to conduct the recruit- the firm brings to the process and its ability to coor- ment in-house, it should be with the understanding dinate the recruitment. that the task will be time-consuming and complex. Typically the executive search firm begins by The governing body may also have to decide whether meeting with the elected officials either individually to conduct the process as a body, delegate the respon- or as a group to help them develop the administrator sibility to the chairperson, or assign the task to a profile. It is the firm’s responsibility to facilitate these committee of its members. If it elects to delegate the discussions and help the governing body reach a con- responsibility to one or more of its members, it must sensus. After this matter has been settled, the firm be sure to select people who are well respected and coordinates the overall process and assumes respon- have the time to provide the necessary leadership and sibility for all tasks until it is time for the elected follow-through. body to select and interview candidates. During this To provide support in the process, the governing process, the firm updates the governing body, keep- body should seek the assistance of the local gov- ing the members informed of its progress. As the firm ernment’s human resources officer and municipal will be responsible for all the administrative details, attorney. In conducting the recruitment in-house, the role of the staff is usually limited to providing staff can work with the governing body to develop information about the local government and coordi- the administrator profile and design an effective and nating with the firm. legal recruitment and selection process. Staff can also Governing bodies that use an outside service be responsible for the administrative tasks of placing should ensure that a reputable firm, one familiar advertisements, collecting résumés, and scheduling with the special requirements of local government interviews. However, the governing body or its del- management, is selected. The experience of the firm egated members will approve the selection of the final should be checked through contact with references— candidates and conduct the interviews, and, of course, in particular, representatives of local governments the body as a whole will make the final selection. In that have used its services. Further, the governing this scenario, staff serve as a resource throughout the body should be fully aware of the costs and benefits entire recruitment process. when deciding whether to use outside expertise. 4 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Hybrid Method: In-House in Conjunction determine the structure of the recruitment process. In other cases, local government officials may initiate with Outside Party the process in-house by developing the profile and In the third alternative, the governing body can con- advertising for the vacancy, and they may then use duct the recruitment in-house and supplement the an outside source to help review résumés, conduct process, where necessary, with assistance from an reference checks, and structure the interview pro- executive search firm or another outside source, such cess. This alternative may be most appropriate if as an the ICMA Range Rider. cost is a concern; however, because it also presents In some cases, the governing body may seek opportunities for lapses in communication, the exact assistance at the beginning of the process to facilitate responsibilities of each party must be clarified in a the discussion, develop the administrator profile, and written agreement. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 5 5. Key Elements of the Recruitment Framework R egardless of the method chosen for conducting the recruitment, the governing body must develop a framework for the recruitment process. It must agree The ICMA Voluntary Credentialing Program recognizes professional local government managers qualified by at the outset on a number of key issues critical to the success of the recruitment, including criteria for the a combination of education and experience, administrator profile, compensation range and compo- adherence to high standards of integrity, and an nents, and timing and geographic scope of the search. assessed commitment to lifelong learning and Major Decision Point: Development of an professional development. For more information, visit Administrator Profile www.icma.org/en/icma/members/credentialing. The most significant decision point for the governing body in the recruitment of a new administrator is to define what the members are looking for—that is, to cre- Developing the administrator profile helps the ate the administrator profile. The profile will encompass governing body define its needs and establishes the those qualities, characteristics, experience, and areas of groundwork for generating a rich pool of applicants expertise that would be found in an ideal candidate. Only with the skills and abilities to address the needs of the by considering how applicants compare and measure governing body, the community, and the organization. against one another and, of course, against the estab- lished criteria, can the governing body be sure that the Decision Point: Community Engagement in candidate it appoints has the appropriate combination of work experience, management experience, and leader- Administrator Profile ship style to be successful in the position. The governing body must decide whether to engage The governing body should begin with a survey community members or committees in the recruit- of its needs and those of the organization. To deter- ment process. In most cases, the local government mine the needs of the organization, the governing assumes responsibility for the recruitment and body should invite input from the department direc- conducts the process without involving members of tors. Items to be considered include size of the local the community. government, composition of the community, services In some cases, however, a governing body may provided, and overall objectives and priorities of the seek input from community members or committees governing body. The work experience, skills, and when developing the administrator profile. This not expertise of the candidates must relate to these factors. only allows the community to be part of the process The governing body should also consider both the but also may provide the governing body with a bet- “nuts-and-bolts” skills and abilities, such as budget- ter understanding of the role of the administrator. ing, human resources, and technological know-how, Depending on the method that the governing body and the “soft” skills, such as the ability to work with uses to conduct the recruitment, gathering input from people and to lead an organization. These criteria will the community would be facilitated by staff, the out- form the basis for reviewing résumés, selecting final- side recruiter, or the elected officials. ists, and making a hiring decision. Although community input will be valuable, Unless the governing body can come to consen- the governing body will ultimately determine the sus on these criteria, it may be difficult to find the qualities and experiences to be incorporated into the right candidate. By reaching consensus, however, administrator profile, and this should be clearly com- the governing body will be better able to inform municated to the community. It is, after all, to the the applicants on what it is looking for in a chief governing body that the new administrator will be administrator. directly reporting. 6 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Governing bodies need to be very alert to the dangers of either hiring a clone of the outgoing administrator, assuming that person is leaving on good terms, or a polar opposite, assuming that person is leaving on less than good terms. The importance of evaluating the current needs of the governing body and locality cannot be overstated. Major Decision Point: Administrator The timing of the recruitment can sometimes be affected by publication deadlines, which are impor- Compensation tant in terms of properly advertising the vacant posi- Another critical element to be considered at the outset tion. An ideal timetable would provide at least sixty of the recruitment process is administrator compensa- days from the start of the recruitment to the deadline tion. It is important for the local government to have for submitting résumés; thirty days to review résu- some general understanding of the acceptable salary més, conduct background checks, interview candi- range, but it is also important to have some flexibility. dates, and make a final selection; and at least thirty Some local governments identify a range; others pro- days for the new administrator to relocate. To maxi- vide the salary of the current administrator as an indi- mize flexibility in the process, the governing body cator; and still others may leave the salary open, to be may advertise the position with an “open until filled” commensurate with the new hire’s background and statement. experience. The governing body will also determine other components of the administrator’s compensa- tion, such as deferred compensation, vacation accrual, Profile: Impact of Special Circumstances: and professional development allowances. It is important for the governing body to make As the governing body decides on the criteria for the administrator clear that it wants the best administrator it can find. In profile, three types of situations should receive special consideration: general, potential applicants for the position will want 1. A local government that has just changed its form of govern- to have some indication of the salary range and com- ment will ordinarily need an administrator who can inspire local pensation package. But that will be only one of many government officials with the enthusiasm needed to implement factors that they will use in deciding whether to apply. the new structure. A first administrator in a new structure ICMA has developed compensation guidelines for should be adept at public relations and at establishing relation- negotiating salary and benefits for local government ships with incumbent officials and employees. positions. These guidelines are provided in Appendix 2. When an administrator has been dismissed or has resigned B and are also available online at www.icma.org/ under pressure, the governing body tends to look for strengths compensationguidelines. The actual compensation in areas in which the outgoing administrator showed weak- package will be negotiated with the final candidate at nesses. There are dangers, however, in overcompensating the conclusion of the recruitment process. for qualities that have led to dissatisfaction. If the outgoing administrator gave too much freedom to subordinates, for Schedule example, suddenly changing to a strong disciplinarian might Since top candidates often view applying for a new result in antagonisms that would only lead to further prob- job as a major career decision, it is important that they lems. Sometimes a new administrator will be confronted with have adequate time to consider the opportunity, dis- major problems that must be addressed immediately. If such a cuss it with their families, and prepare an appropriate situation is anticipated, the governing body should make these résumé. Similarly, the governing body, staff, or execu- circumstances known to any applicant who is being seriously tive recruitment firm needs sufficient time to review considered. résumés and conduct reference checks to ensure that 3. When a popular administrator retires or moves to another local good candidates are not overlooked and that finalists government, the governing body may ask for this person’s meet the desired qualifications. It cannot be overem- assistance in the search for a successor. However, the gov- phasized that the recruitment should move forward erning body should not overlook the possible need for new expeditiously while also allowing adequate time for a strengths or different qualities. thorough and comprehensive search. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 7 Geographic Scope Resources at the state level include state munici- pal leagues, county associations, and municipal Another factor to consider in determining the recruit- assistants organizations. Many of these organiza- ment framework is the geographic scope: should the tions publish newsletters or magazines and have a search be nationwide, statewide, or regional? A broad online presence; the subscribers to these resources geographic search may attract more applicants who are the men and women in the public administra- have demonstrated an ability to manage in a complex tion and local government management professions. urban environment. On the other hand, a focus on Addresses and websites for these resources are listed the local government’s state or region may provide in Appendix C. applicants who have a better understanding of and Local governments have some flexibility when pre- orientation to local problems, legal issues, financing paring and placing advertisements, but at a minimum, alternatives, and similar matters. In any event, the the advertisement should include the following: new administrator will provide a fresh perspective on ■■ Title of the vacant position the issues and challenges facing the community and ■■ Name of the local government the organization. From the applicant’s perspective, it is assumed that ■■ Population of the local government the local government is looking for the best candidate ■■ Amounts of the operating and capital budgets and that all résumés, regardless of where the applicant ■■ Number of full-time employees currently works, will be reviewed carefully. The deter- ■■ Services provided mination of the scope of the recruitment will influence ■■ Statement regarding the compensation package the advertising and outreach strategies used. ■■ Filing deadline, including any special items of information desired such as current salary and Advertising and Outreach Strategies work-related references In order to generate a sufficient and diverse pool ■■ A brief description of key areas of interest and of qualified applicants, the governing body should desirable experience and qualifications (or a refer- develop advertising and outreach strategies. ence or email link to the administrator profile) ■■ Indication of whether residency is required Advertising Campaign It is to the advantage of the local government to ensure that every professional ■■ A timetable indicating the principal steps and time- who might have an interest in the vacant position is frame for the overall recruitment aware of the opportunity to apply for it. Therefore, it ■■ Where and to whom to send résumés with a nota- is important that the advertising campaign be compre- tion as to whether email submittals are acceptable hensive and include a carefully worded advertisement. or required This does not mean, however, that the campaign has ■■ Website of the local government. to be extensive or expensive. Most local governments, It should be noted that some publications per- for example, avoid advertising for an administrator mit the use of display ads that incorporate the local in general circulation newspapers unless there is a government logo and/or graphics within an innovative local requirement to the contrary; this is an expensive format. form of advertising that does not reach the targeted In addition to the advertisement, the governing audience. body, through the staff or the executive recruiter, will More effective vehicles for advertising for chief usually develop a printed brochure that describes the administrators can be found with organizations that community, the organization, and the position, as well are directly related to local government. In addition to as providing the administrator profile and the govern- ICMA, the following sources should be considered: ing body’s key goals and objectives. ■■ National League of Cities ■■ National Association of Counties Outreach Strategy While advertising can gener- ■■ National Association of County Administrators ate outstanding applicants and the local govern- ment should look closely at all received résumés, the ■■ National Forum for Black Public Administrators governing body should supplement the advertising ■■ International Hispanic Network campaign by identifying an outreach strategy to ensure ■■ American Society for Public Administration. that the search extends to the widest possible pool of 8 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator qualified applicants. The outreach strategy may have director, to submit a résumé, or it may do so indirectly a number of approaches for attracting external can- through staff or the executive recruiter. Whether in- didates, encouraging superior internal candidates to house applicants are solicited or apply on their own, it apply, and promoting diversity in the applicant pool. is important that they be treated in the same manner as other applicants. For External Applicants Useful sources of informa- It should be made clear that if an in-house appli- tion about potential external candidates include the cant is ultimately selected, it is because the governing current administrator, former and retired administra- body has determined that the candidate was the best tors, members of the local government, local govern- choice of all those who applied. While most applicants ment officials in adjacent communities, executive will receive written notification of their status, the directors of state leagues, directors of university public governing body may decide to talk personally with administration programs, leaders of regional municipal any in-house applicant who was not selected in order assistants, and ICMA Range Riders. to provide good communication with staff, main- When determining an outreach strategy, the gov- tain morale, and help ensure an orderly and positive erning body, in conjunction with staff or the recruiter, transition. could consider sending letters to identified individu- als advising them of the opening and inviting them to For Diversity of Applicants Development of a send a résumé if they are interested in the position. strategy to generate a diverse applicant pool helps The correspondence should include a basic package to ensure a broad cross-section of candidates. A rich of information describing the local government and pool with applicants of both sexes and from different the vacant position. For the purposes of confidential- races and ethnic backgrounds is beneficial because the ity, all correspondence should either be sent to the chosen candidate will likely bring a different per- applicant’s private residence or marked “Personal and spective to the organization. Having diversity within Confidential” if sent to the workplace. a local government can enhance the organization’s Shortly after the letter has been mailed, a follow- overall responsiveness to an increasingly more diverse up telephone call should be made to confirm that the spectrum of residents, improve its relations with sur- correspondence was received, assure the recipient that rounding communities, increase its ability to manage it was not a form letter, indicate why the position may change, and expand its creativity. be a good career opportunity, and answer questions. In addition, the governing body may develop an The same deadline for submitting résumés should be outreach strategy to encourage the participation of used in both the advertisements and the supplemental applicants from diverse professional backgrounds. letters of invitation. Organizations large and small use executive members of their staff on various levels, and there is often a For Internal Applicants The local government significant wealth of knowledge to be found among should be sure to inform its employees of the vacancy candidates who have had successful careers as assis- and of how and when to apply. The governing body tant city administrators, as department heads, and in itself may directly invite one or more employees, such other management positions. as the assistant city administrator or a department Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 9 6. Key Elements of the Application Process T he application process is the point where effective screening of candidates begins. For this part of the recruitment to be successful, the governing body Two critical elements of applicant relations must proceed carefully and with considerable thought. are important to stress: keeping the candidates This section addresses issues such as whether to use a informed of the status of the process and standardized application form; how to provide poten- maintaining confidentiality. tial applicants with key information about the posi- tion and the local government; and the importance of establishing and maintaining good relations with recruitment is well organized, that the local govern- applicants. High-quality applicants are more likely ment officials know what they are looking for and are to pursue the vacancy if the local government can consistent in the message, and that sufficient infor- portray itself as a well-run, organized, and efficient mation about the locality is easily obtained, potential organization. applicants are more likely to form a positive image of the position and the governing body in deciding The Application Form whether to apply. Most local governments prefer to ask applicants to To help disseminate the same information to all submit a résumé in whatever format the applicant applicants, the governing body could put together a determines will be most effective, rather than a packet of information that includes: standardized application form. For the applicant, this 1. A copy of the outreach brochure or other docu- approach provides flexibility to present past work ments that provide the criteria for the position, experience in a way that relates directly to the posi- indicating key objectives and priorities and the tion in question. At the same time, it permits the local administrator profile government to see how the applicant organizes and 2. Ordinance or charter requirements if they contain presents material in a written format. The manner in significant or unusual provisions regarding the which materials are prepared can be an indication of position real interest in the position. 3. Summary information about the local government, A standardized application form is not recom- including organizational structure, personnel prac- mended in recruitments for the governing body’s top tices, number of employees, services provided, and administrative professional. If one is used, however, budget data it should be easy to complete, and the information requested should be relevant to the vacant position. 4. Information about the community in the form of a Regardless of the form of application, the applicant chamber of commerce brochure or similar publica- should be required to submit a cover letter and résumé. tion, if such is attractively prepared and available 5. Websites that contain information on the local The Local Government Information Packet government and community 6. The name, phone number, and e-mail address of a Serious applicants will not submit a résumé for con- contact person. sideration until they have done their homework and have satisfied themselves that the position represents a good career opportunity. Often they will seek infor- Applicant Relations mation from local government officials about the com- Appendix E in this handbook provides some basic munity, the organization, and the position. do’s and don’ts regarding applicant relations and This is one of the first contacts that will form an the recruitment process. The two key areas that are impression of the local government on the poten- important to stress are candidate status notification tial applicant. If the impression created is that the and confidentiality. 10 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator There is no faster way to damage the image of the local government and to lose good applicants than to violate the trust or assurance that was given regarding confidentiality. Candidate Status Notification As a rule, it is be jeopardized if an applicant’s interest in another important to engage in the simple and courteous steps position is made public prematurely. While applicants of acknowledging résumés as they are received and realize that the local government will want to contact of notifying applicants of their status as the recruit- their current employers to conduct background checks ment proceeds. Prompt acknowledgment of résumés and assess their job performance, they typically prefer is one indication that the process is being handled in to wait until it is clear that they are going to be con- a businesslike manner, and it can add to the appli- sidered as finalists who will be invited to the second cant’s positive impression of the organization. This interviews for the position. acknowledgment also should inform the applicant of The governing body should determine, at the out- the recruitment timetable. Unless there are unusual set, the extent to which the recruitment process will or unanticipated delays, this response should be suf- be confidential. The governing body, in consultation ficient until applicants are actually notified as to their with the local government’s attorney, should decide final status. To maintain confidentiality, all correspon- the level of confidentiality due to the varying open dence should be directed to the applicant’s home, not record and disclosure statutes between the states. If business address. applicants’ names are likely to be disclosed at any Additionally, if special circumstances arise (such as point, potential applicants should be advised so that a recall election) that might cause a delay in either the they may take it into account in deciding whether to recruitment or the selection process, it is important to pursue the vacancy. communicate any changes in the established schedule From a recruiting standpoint, assurance of con- to all applicants. fidentiality will result in more applications being Similarly, notifying all applicants as to their status, submitted, particularly from those who are currently even if they are not selected as finalists, is a basic employed elsewhere. As confidentiality is important to courtesy that will affect how the candidate views the both parties, such assurances should be honored, and local government. applicants should be given adequate time to notify their current employers before those employers are Maintaining Confidentiality Confidentiality is an contacted by the recruiting local government. important consideration in any recruitment. Present job security and long-term career opportunities could Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 11 7. The Role of the Media in the Recruitment Process M embers of the media will obviously have an inter- est in the recruitment process and their involve- ment will be dictated in part by state law and in part by As the confidentiality of résumés is a major con- cern in any recruitment and can significantly affect the number and quality of résumés received, applicants tradition. At the outset, local government officials should should be apprised of any applicable state laws in this brief the media on the timing and steps involved in the area, and the governing body, with advice from the overall process. After the deadline has passed for submit- local government’s attorney, should determine what ting résumés, the governing body may decide to brief the information will and will not be made available to the media and the community on the overall response. media. 12 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator 8. The Selection Process O nce the deadline for submitting résumés has passed and all applications have been received, the selection process begins. Principal steps are as Selection of Candidates After the review of the résumés and the initial background check, the par- ticipants in this process should meet with the govern- follows: ing body as a whole to recommend which applicants ■■ Reviewing the applications should be invited to an interview. The chosen group ■■ Determining which candidates will be interviewed of candidates should be large enough to expose the governing body to an array of personalities. In most ■■ Interviewing the candidates cases, five to ten candidates should be selected. The ■■ Making the final selection. governing body may also establish a secondary list of candidates who could be invited to the interview if Reviewing the Applications one or more of the first group of candidates decline or The selection process begins with a review of the are unable to continue with the process. applications and résumés that have been submitted. Depending on how the governing body has chosen to Informing the Candidates Once candidates have conduct the recruitment, the participants involved in been selected, the governing body representative, the this initial review may be the body as a whole, the chief staff, or the executive recruiter should contact the elected officer, a subcommittee of the governing body, each candidate by phone and do the following: the staff, or the executive recruitment firm. Alterna- 1. Inform the candidate that he or she has been tively, some local governments have used a panel of selected to be interviewed and offer congratula- chief administrators from other local governments to tions (the candidate should be made to feel that serve as a screening panel. Regardless of who performs the governing body is pleased to have reviewed the screening, the objective of the initial review is to his or her résumé). At the same time, confirm the identify those candidates who best reflect the qualities, candidate’s continuing interest in the position. characteristics, experience, and areas of expertise that 2. Advise the candidate of: the nature of the interview were defined in the administrator profile. process, including date and time, number of other candidates, whether there are any in-house candi- Major Decision Point: Determining the dates, and when a decision is expected to be made. Indicate that all the details and information will Candidates to Be Interviewed be confirmed in a written correspondence. If email The determination of the candidates to be interviewed is to be used for this correspondence, confirm the is a significant decision point in the selection process. candidate’s email address. The objective here is to narrow the total group of 3. As described in the section on applicant relations, applicants to a smaller group that will continue to the the governing body should have already determined next step. the extent to which the recruitment process will be confidential. At this point, the candidate should be Initial Background Check After the group of appli- advised if the names of candidates are to be made cants has been narrowed down to those who meet the public and be given the opportunity to withdraw. qualifications described in the administrator profile, 4. Confirm that the candidate has received the infor- the list may be further refined by confirming educa- mation package provided during the application tional credentials and conducting online checks. Such process. Indicate that a supplemental package with reviews should not violate the confidentiality of the more detailed information will be provided directly applicant pool. For online checks, it is important to to the candidate’s home in advance of the inter- consider the source and avoid drawing hasty conclu- view. The supplemental package may include: sions from these sources. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 13 ■■ A list of governing body members and their Structure of the Interview The interview process occupations should be well organized in a comfortable setting for ■■ Copies of meeting minutes from the past several both parties that invites open and relaxed discussions. months This element of the process is generally not considered ■■ The general or comprehensive plan and land use a public meeting, although the governing body, staff, maps or executive recruiter should consult with the city’s legal advisor to ensure that all requisite notices are ■■ The most recent budget sent and other legal requirements are met. ■■ A recent bond prospectus All members of the governing body should par- ■■ Any other material that would be of particular rel- ticipate in the interview with one member, usually evance, given the goals and objectives of the local the chair, designated as the discussion leader. This government and the criteria for the position. interview should last at least an hour as it is difficult As an alternative to a paper package of informa- to pursue a range of questions in less time. Further, all tion, the candidates can be directed to the locality’s candidates anticipate and deserve an opportunity to website for such information. present their qualifications to the governing body and 5. Confirm local government policy on reimburse- describe their interest in the position. It is important ment of expenses incurred in conjunction with to realize that the interview process not only provides the interview. Many local governments reimburse the governing body with an opportunity to improve candidates for all out-of-pocket expenses, including its knowledge of the candidate but also influences the reasonable transportation, room, and board. (“Rea- candidate’s interest in the position. sonable” is intended to eliminate first-class airline As part of the initial interview, the governing body tickets, four-star hotels, and gourmet restaurants.) may want to include a comprehensive tour of the com- munity. A trusted senior staff person would be a likely Such reimbursement of expenses is another way tour guide. that the local government can demonstrate its interest in the candidate. It reinforces the positive nature of Content of the Interview Questions During the first the recruitment process and is sometimes a factor in interview, the governing body will question the candi- whether the candidate is able to attend. Should there date about a variety of matters, such as overall work be strong reluctance on the part of the governing body experience, specific accomplishments, career objectives, to reimburse all expenses, the local government can alternative approaches to practical problems faced by share expenses with the candidate or can agree to the local government, and similar matters. A list of reimburse all expenses incurred after the first trip. potential questions is provided in Appendix D. The local government staff can offer to handle The interview also gives the candidate an oppor- all reservations, transportation, and related matters, tunity to evaluate the governing body as a group and but this can be cumbersome and time-consuming. In to ask questions. An important issue to discuss during most cases, the local government confirms the time the interview is the governing body’s working relation- and place and lets the candidate make his or her own ship with the administrator, clarifying all roles and arrangements. The candidates usually prefer this responsibilities. approach as well. During the formal and any informal meetings between the governing body and the candidates, Interviewing the Candidates discussions and questions should focus on the criteria for the position that were established at the outset of Most local governments use the interview approach the recruiting process. Obviously, discussions should for selecting the chief administrator. In this approach, stay within acceptable legal parameters and should the governing body will meet as a whole with each not include references to politics, religion, age, racial individual candidate. As the initial interview is usually origin, and sexual preferences. limited to an hour, a second interview with one or When the initial interview process is over, the gov- more of the finalists is generally incorporated into the erning body should avoid impulsive action but rather process. take whatever time is necessary to arrive at a comfort- Initial Interview The following provides important able and well-reasoned decision. At this point, either guidelines for conducting the initial interview. one person has emerged as the clear choice of the 14 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator governing body; or, more likely, the pool of candidates ■■ Be consistent in discussing issues with and asking has been narrowed down to two or three individuals questions of each candidate in order to provide a that the governing body would like to further pur- good basis for comparison. sue. In most cases, the process will involve a second ■■ Contact enough people to ensure a consistent read- interview of this smaller group of finalists. However, ing as to the candidate’s strengths and weaknesses. if there is one clear choice, please refer to the section If a reference can say only good things about the entitled “Making the Final Selection.” candidate, he or she should be asked directly what weaknesses the candidate has. Second Interview If, after the initial interview, there are two or three candidates that the governing body Decision Point: Inviting the Candidate’s Spouse/ would like to further consider, a couple of options Partner While the focus of the recruitment is on the exist for setting up a second interview: chief administrator, the governing body may formally 1. The governing body may invite the finalists back invite the candidate’s spouse/partner to the com- for a second, more in-depth interview, coupled munity during the interview process. Generally, this perhaps with some sort of community function. type of invitation occurs only after the first interview This arrangement often provides the governing process has narrowed the group of candidates down to body with the insight needed to make a final the top two or three. The spouse/partner should never decision. be included in the formal interview process, nor made 2. The governing body may invite the finalists back to feel as if he or she is being interrogated in any way. for a second, more in-depth interview, coupled If the governing body formally invites the spouse/ with an opportunity for community leaders and/or partner to accompany the candidate, it is important staff to provide input into the selection of the chief that this part of the process be as well organized as administrator. all the other parts that concern the candidate directly. Here, too, an important impression about the commu- In either case, finalists should be notified of their nity is being made. The interests of the spouse/partner status, congratulated for being among the select few should be carefully determined and accommodated. who will be further considered, informed of the pro- On the other hand, the governing body may use an cess, and asked for permission for the governing body informal, non-structured approach to the involvement to conduct reference checks. of the spouse/partner. Understanding that a candidate Reference Checks As the governing body is now may bring his or her spouse/partner along to explore the community as a possible future home, the govern- deciding between two or three qualified candidates, it is important at this point to conduct reference checks ing body may consider having a packet of relevant that provide additional information on which to base community information available. the decision. References should be checked to learn Decision Point: Community Involvement The gov- about each finalist’s ability to work effectively with erning body must decide whether to involve commu- people, to develop a more complete understanding of nity members or committees in the interview process. the finalist’s work experience and specific accomplish- In most cases, the local government assumes respon- ments, and to see if the finalist’s qualifications match sibility for the interviews and conducts the process the profile for the position. The following suggestions of selecting the new chief administrator without the are important for ensuring consistency and thorough- involvement of members of the community. ness when conducting reference checks: In some cases, however, governing bodies have ■■ The reference checks may be performed by mem- chosen to supplement the usual discussion between bers of the governing body, staff, or executive members and finalists by inviting community recruitment firm. In general, however, it is advis- leaders to participate. For example, finalists may able to limit the number of people performing the meet with selected community leaders to answer checks to one or two. It may be difficult, depend- questions and receive their input on matters they ing on the number of candidates, to have one consider important to the local government. If this person perform all the reference checks, especially option is taken, the purpose of the meeting should if there are three references for each candidate. be made clear to all involved. Both the finalist and Further, it can be helpful if two people compare the community members should know whether notes on the same candidates. these meetings are intended simply to provide the Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 15 finalist with additional information on the local government or whether the community group will It is important that the vote for the new chief also be involved in the actual selection process. In administrator be unanimous, if possible. This the latter case, although the input from the commu- nity will be valuable, it should be made clear that sends a positive message to the organization the governing body will make the final selection and the community. based upon a variety of factors. Decision Point: Staff Involvement The governing body must also decide whether to involve staff mem- finalist, confirm his or her willingness to accept the bers in the interview process. It may choose to supple- position, and obtain permission to conduct a very ment the usual discussion between members and thorough background check, which will be performed finalists by inviting staff members to participate. For by an outside party. This process includes interviews example, finalists may meet with selected department with individuals in the candidate’s current commu- directors to answer questions and review departmental nity, an investigation into possible criminal history, operations in more detail. and a credit check, which requires the candidate’s If this option is taken, its purpose should be made consent. clear to all involved. Both the finalist and the staff Another element of this final selection process may members should know whether these meetings are include some or all of the members of the governing intended simply to provide the finalist with additional body making an on-site visit to the finalist’s current information on the local government or whether the community. Often finalists insist that an agreement group will also be involved in the selection process. In regarding terms and conditions of employment be the latter case, although the input from the staff will agreed upon before being open to a site visit. be valuable, it should be made clear that the govern- Once the governing body is satisfied with the ing body will make the final selection based upon a results of that process, it may inform the finalist and variety of factors. move ahead to put together a total compensation package and discuss other related arrangements. How- Major Decision Point: Making the Final ever, if the governing body is unable to satisfactorily conclude negotiations with its first choice, it may need Selection to engage in discussions with one of the other final- After the second interviews, there should be one ists. Thus, it should refrain from notifying the other person who is the clear first choice of the majority, if finalists until all arrangements have been finalized not all, of the governing body. It is important to both with the first-choice candidate. the governing body and the potential new hire that From a public image standpoint, it is impera- the decision be unanimous, if possible. A unanimous tive that all candidates learn about the final selec- vote from the governing body demonstrates a commit- tion from the governing body or its representative, ment of support to the new chief administrator and as opposed to hearing about it from a third party or sends a positive message to both the organization and reading about it online or in a newsletter or profes- the community. If the governing body is divided on sional publication. A representative from the govern- the appointment and the decision is not unanimous, ing body, staff, or executive recruitment firm should however, the chosen finalist should be advised of this personally contact the runners-up prior to or at the prior to accepting the position. same time that a news release about the appointment Once the selection has been made, the governing is issued. body, staff, or executive recruiter should contact the 16 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator 9. The Negotiation Process O nce the local government has made its decision and the finalist has indicated a willingness to serve as the chief administrator, a number of final The governing body should rely on a single individual to handle its part of the negotiation process. arrangements must be completed. These include negotiating a compensation package and completing The process should be friendly and transition activities. Only after these arrangements are relaxed; the negotiator should be flexible; concluded can the new chief administrator relocate and begin work for the community. and the governing body should be realistic in its guidelines to the negotiator. Preparation for Negotiation The governing body needs to ensure that relations with the new administrator get off to a good start. At 1. Ultimately, what salary will be acceptable to the this point, nothing should happen that causes the new governing body? administrator to reconsider. 2. What is the bargaining range? It is important that the governing body identify a single individual to act as the negotiator for the local gov- 3. What is the current salary of the applicant? ernment. Depending on the approach that the governing 4. What type of salary and total compensation body has selected, the negotiator may be a member of package did the candidate discuss during the the governing body; a member of the staff, such as the interview? interim chief administrator or the municipal attorney; ICMA, the National Association of Counties, or the executive recruiter. The following are important and state leagues of cities and counties are sources guidelines regarding the structure of the negotiations: of information on the salaries of local government 1. The atmosphere should be friendly and relaxed. administrators around the country. Prior to initiating 2. The negotiator should be flexible. Negotiating negotiations, the governing body should compare its implies a willingness to consider options and salary range with that of other governing bodies in alternatives in pursuit of an acceptable package. same region of the country. There may well be more than one way to meet the financial objectives of the new administrator. Elements of Total Compensation Elements of a total compensation package typically include: 3. The governing body should be realistic. No mat- ■■ Base salary ter how beautiful and desirable the community or position may be, the finalist is unlikely to accept ■■ Deferred compensation the new position without an increase in pay over ■■ Severance pay his or her present salary. ■■ Use of government car or car allowance ■■ Use of technology or technology allowance Major Decision Point: Negotiating ■■ Retirement plan Compensation ■■ Medical and other insurance (dental, optical, life, disability) In compensation negotiations, base salary is a good place to start. The ICMA Compensation Guidelines, ■■ Vacation accrual which are provided in Appendix B, are a good source ■■ Holidays of information to help with this part of the process. ■■ Sick leave accrual The person conducting the negotiation on behalf of ■■ Membership dues, conference, and professional the local government should keep the following development attendance fees. questions in mind: Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 17 Before the negotiation begins, the governing for local governments—using appropriate safe- body should ask the candidate to provide a written guards and limits—to assist in the purchase and/or itemization of his or her current total compensation. financing of housing for the new administrator. A After receiving this information, the person negotiat- variety of options exist, including a loan or a salary ing on behalf of the governing body should outline supplement. a proposed package and provide it to the candidate. Usually there will be no negotiation on those benefits Employment Agreements It is in the interests of that are similar among local governments, such as both the community and the chief administrator to medical insurance and holidays. The variables most have a written summary of the terms and conditions often relate to base salary and particular financial of employment to which both parties have agreed. objectives, such as deferred compensation, health The stable working situation created by such an insurance, and requirements to join a state retirement agreement helps to attract and keep top-flight admin- system. istrators in a generally mobile profession. ICMA The proposed compensation package should recommends the use of employment agreements (1) leave the individual whole on basic benefits, because the detailing of salary, benefits, and other (2) provide an appropriate step forward in cash-related conditions of the administrator’s job puts those items benefits, (3) ensure an increase in take-home pay, and where they belong—in a contract where both par- (4) deal with any particular financial objectives that ties can know what is expected—and removes them the new administrator may have. from the daily agenda of the chief administrator and members of the governing body. Noncompensation Elements During the negotia- While such an agreement usually does not refer to tions, some issues will arise that do not relate to the a specific term of employment and permits either the total compensation package but may well have signifi- governing body or the chief administrator to terminate cant financial implications for both the local govern- for cause or at will, it should include a section provid- ment and the new administrator. Both parties need to ing the administrator with severance pay for a fixed be flexible and realistic in dealing with these issues: period of time if he or she is terminated. This provides ■■ Relocation expenses: It is common for local important personal and professional security for local governments to pay the one-time cost of relocating government chief administrators, as they have the the administrator and his or her family and house- rather unique situation of working at the pleasure of hold furnishings to the new local government. the governing body with the possibility of dismissal Sometimes both parties agree on a “not-to-exceed” for any reason at any time. figure based on estimates from moving companies. While not a lengthy legal document, the employ- ■■ Temporary housing: An allowance for temporary ment agreement is usually drafted by the local govern- housing is usually provided until the new adminis- ment’s attorney. The new administrator is often given trator is able to sell his or her former home and/or an opportunity to prepare a first draft for consider- relocate his or her family. Typically, this amount is ation. If an employment agreement is not used, a sufficient to cover the cost of a modern furnished formal letter of understanding, at a minimum, should apartment or condominium. Again, both parties be prepared. may agree to a fixed time period or amount. As a final note on this process, the governing body should be prepared for the possibility that it will ■■ Commuting expenses: As with temporary hous- be unable to reach agreement on compensation or ing, the local government often will agree to reim- other matters with the first-choice candidate. In these burse the administrator for periodic family visits or instances, the governing body typically enters into for the spouse/partner to visit for house-hunting negotiations with its second-choice candidate. As indi- purposes. cated previously, once an agreement has been final- ■■ Housing assistance: Regional variations in the cost ized, all other candidates should be promptly notified of housing or housing financing can complicate that they were not selected. the negotiations. There is considerable precedent 18 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator 10. The Transition Process A fter the governing body and new chief adminis- trator have reached agreement on the issues of compensation, starting date, and method and timing bankers and support to the spouse/partner in find- ing suitable employment. ■■ Orientation meetings: The governing body should of announcing the selection to both the community arrange to introduce the new chief administrator and the administrator’s former local government, the to department heads and local government staff. transition process begins. While the new administrator may have met some of these individuals during the interview process, a Announcing the Selection special meeting or reception can be a pleasant way The announcement of the selection should be well to turn over responsibility. Similar meetings, brief- planned and coordinated between the governing body ing sessions, and/or receptions can be arranged and new chief administrator. Two factors should pre- to introduce the new administrator and his or her cede any formal announcement of the appointment: family to community groups, civic leaders, and residents in general. ■■ The successful candidate has formally accepted the ■■ Local government work session, orientation, position and the negotiations have been concluded; and and review of objectives: It is desirable to have an initial work session with the new administrator ■■ The successful candidate has been given the to discuss and clarify initial expectations on both opportunity to notify his or her current governing sides and to review goals and objectives. Even body about the appointment. though some of these issues may have been raised This public announcement should be coordinated during the interview process, communication carefully to recognize the instantaneous nature of elec- from the outset can help ensure a smooth working tronic communication. relationship. ■■ Performance evaluation: Using the position’s Additional Elements goals and objectives as a starting point, the gov- Additional elements that the governing body may erning body and new chief administrator should employ to ensure a smooth transition for the new chief agree to an annual or semiannual review of the administrator are as follows: administrator’s performance. This established and formal process helps to ensure that communication ■■ General assistance: For a smooth transition, the between the parties is maintained, that progress local government should offer whatever general is monitored, and that goals and objectives are assistance the new administrator might need in reviewed and refined on a regular basis. moving, such as introductions to realtors and Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 19 11. Conclusion C hoosing a chief administrator can be the most significant action of the governing body. The chief administrator is a leader, coach, and chief of selecting the right person for the job is critical for the governing body and for the community. This guidebook addresses a number of factors to strategy for the staff team whose job it is to imple- consider in recruiting, selecting, negotiating, and hir- ment a vision, policy, and procedures; accomplish ing a professional local government manager. In doing goals; and achieve the desired output of the orga- so, it elaborates on the “best practices” for identify- nization. Similar to a chief executive officer of a ing the appropriate skills and background of a chief Fortune 500 company, the chief administrator is also administrator, noting that the governing body must responsible for serving an elected governing body, identify the qualities, characteristics, experience, and managing the financial aspects of the organization, areas of expertise that would be found in the ideal directing the employees, ensuring quality customer candidate. Throughout the entire process, clear com- service, and implementing legal and ethical stan- munication to staff, the community, and the media is dards. Furthermore, unique to public agencies, the essential for achieving the governing body’s goals. In chief administrator oversees an organization that is the end, the process of recruiting and selecting a chief focused on providing a variety of services to the com- administrator should be a positive and unifying experi- munity rather than on making a profit. ence, resulting in the appointment of an individual In addition to a very diversified portfolio of ser- who represents and embodies the governing body’s vices that must be provided and interests that must be vision for the future. served fairly, the chief administrator is responsible for ICMA and its members are resources available an organization that must balance its budget; provide for providing guidance and recommendations in the for and encourage public input into decision making; recruitment of a chief administrator. With this docu- and understand, respect, and appreciate the politi- ment, we hope we have provided a basic understand- cal environment. In summary, the position of chief ing of the process involved in selecting a professional administrator requires a variety of skill sets—not every local government manager who meets the needs of person is capable of performing the role. Therefore, the community. 20 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Appendix A ICMA Code of Ethics with Guidelines The ICMA Code of Ethics was adopted by the ICMA membership in 1924, and most recently amended by the membership in May 1998. The Guidelines for the Code were adopted by the ICMA Executive Board in 1972, and most recently revised in July 2004. The mission of ICMA is to create excellence in local governance by developing and fostering professional local gov- ernment management worldwide. To further this mission, certain principles, as enforced by the Rules of Procedure, shall govern the conduct of every member of ICMA, who shall: 1. Be dedicated to the concepts of effective and a member considering several offers or seeking several democratic local government by responsible positions at the same time, but once a bona fide offer elected officials and believe that professional gen- of a position has been accepted, that commitment eral management is essential to the achievement of should be honored. Oral acceptance of an employment this objective. offer is considered binding unless the employer makes 2. Affirm the dignity and worth of the services ren- fundamental changes in terms of employment. dered by government and maintain a constructive, Credentials. An application for employment or for creative, and practical attitude toward local govern- ICMA’s Voluntary Credentialing Program should be ment affairs and a deep sense of social responsibil- complete and accurate as to all pertinent details of ity as a trusted public servant. education, experience, and personal history. Members should recognize that both omissions and inaccuracies Guideline must be avoided. Advice to Officials of Other Local Governments. When members advise and respond to inquiries from elected Professional Respect. Members seeking a manage- or appointed officials of other local governments, they ment position should show professional respect for should inform the administrators of those communities. persons formerly holding the position or for others who might be applying for the same position. Profes- 3. Be dedicated to the highest ideals of honor and sional respect does not preclude honest differences of integrity in all public and personal relationships in opinion; it does preclude attacking a person’s motives order that the member may merit the respect and or integrity in order to be appointed to a position. confidence of the elected officials, of other officials and employees, and of the public. Reporting Ethics Violations. When becoming aware of a possible violation of the ICMA Code of Ethics, Guidelines members are encouraged to report the matter to ICMA. Public Confidence. Members should conduct them- In reporting the matter, members may choose to go on selves so as to maintain public confidence in their record as the complainant or report the matter on a profession, their local government, and in their perfor- confidential basis. mance of the public trust. Confidentiality. Members should not discuss or Impression of Influence. Members should conduct divulge information with anyone about pending or their official and personal affairs in such a manner completed ethics cases, except as specifically autho- as to give the clear impression that they cannot be rized by the Rules of Procedure for Enforcement of the improperly influenced in the performance of their Code of Ethics. official duties. Seeking Employment. Members should not seek Appointment Commitment. Members who accept an employment for a position having an incumbent appointment to a position should not fail to report for administrator who has not resigned or been officially that position. This does not preclude the possibility of informed that his or her services are to be terminated. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 21 4. Recognize that the chief function of local govern- Elections of Elected Executives. Members should not ment at all times is to serve the best interests of all engage in the election campaign of any candidate for of the people. mayor or elected county executive. Guideline Running for Office. Members shall not run for elected office or become involved in political activities related Length of Service. A minimum of two years generally to running for elected office. They shall not seek politi- is considered necessary in order to render a profes- cal endorsements, financial contributions or engage in sional service to the local government. A short tenure other campaign activities. should be the exception rather than a recurring experi- ence. However, under special circumstances, it may Elections. Members share with their fellow citizens be in the best interests of the local government and the right and responsibility to vote and to voice their the member to separate in a shorter time. Examples opinion on public issues. However, in order not of such circumstances would include refusal of the to impair their effectiveness on behalf of the local appointing authority to honor commitments concern- governments they serve, they shall not participate in ing conditions of employment, a vote of no confidence political activities to support the candidacy of indi- in the member, or severe personal problems. It is the viduals running for any city, county, special district, responsibility of an applicant for a position to ascer- school, state or federal offices. Specifically, they shall tain conditions of employment. Inadequately deter- not endorse candidates, make financial contributions, mining terms of employment prior to arrival does not sign or circulate petitions, or participate in fund-rais- justify premature termination. ing activities for individuals seeking or holding elected office. 5. Submit policy proposals to elected officials; provide Elections in the Council-Manager Plan. Members them with facts and advice on matters of policy may assist in preparing and presenting materials that as a basis for making decisions and setting com- explain the council-manager form of government to munity goals; and uphold and implement local the public prior to an election on the use of the plan. government policies adopted by elected officials. If assistance is required by another community, mem- Guideline bers may respond. All activities regarding ballot issues should be conducted within local regulations and in a Conflicting Roles. Members who serve multiple roles— professional manner. working as both city attorney and city manager for the same community, for example—should avoid participat- Presentation of Issues. Members may assist the gov- ing in matters that create the appearance of a conflict of erning body in presenting issues involved in referenda interest. They should disclose the potential conflict to the such as bond issues, annexations, and similar matters. governing body so that other opinions may be solicited. 8. Make it a duty continually to improve the member’s 6. Recognize that elected representatives of the professional ability and to develop the competence people are entitled to the credit for the establish- of associates in the use of management techniques. ment of local government policies; responsibility for policy execution rests with the members. Guidelines 7. Refrain from all political activities which under- Self-Assessment. Each member should assess his or mine public confidence in professional administra- her professional skills and abilities on a periodic basis. tors. Refrain from participation in the election of Professional Development. Each member should the members of the employing legislative body. commit at least 40 hours per year to professional development activities that are based on the practices Guidelines identified by the members of ICMA. Elections of the Governing body. Members should maintain a reputation for serving equally and impar- 9. Keep the community informed on local govern- tially all members of the governing body of the local ment affairs; encourage communication between government they serve, regardless of party. To this the citizens and all local government officers; end, they should not engage in active participation in emphasize friendly and courteous service to the the election campaign on behalf of or in opposition to public; and seek to improve the quality and image candidates for the governing body. of public service. 22 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator 10. Resist any encroachment on professional respon- indirectly, in any financial business, commercial, or sibilities, believing the member should be free to other private transaction that creates a conflict with carry out official policies without interference, and their official duties. handle each problem without discrimination on the In the case of real estate, the potential use of basis of principle and justice. confidential information and knowledge to further a member’s personal interest requires special consider- Guideline ation. This guideline recognizes that members’ official Information Sharing. The member should openly actions and decisions can be influenced if there is a share information with the governing body while conflict with personal investments. Purchases and diligently carrying out the member’s responsibilities as sales which might be interpreted as speculation for set forth in the charter or enabling legislation. quick profit ought to be avoided (see the guideline on “Confidential Information”). 11. Handle all matters of personnel on the basis of Because personal investments may prejudice or merit so that fairness and impartiality govern a may appear to influence official actions and decisions, member’s decisions, pertaining to appointments, members may, in concert with their governing body, pay adjustments, promotions, and discipline. provide for disclosure of such investments prior to Guideline accepting their position as local government adminis- trator or prior to any official action by the governing Equal Opportunity. All decisions pertaining to body that may affect such investments. appointments, pay adjustments, promotions, and dis- cipline should prohibit discrimination because of race, Personal Relationships. Member should disclose color, religion, sex, national origin, sexual orientation, any personal relationship to the governing body in political affiliation, disability, age, or marital status. any instance where there could be the appearance of a conflict of interest. For example, if the manager’s It should be the members’ personal and profes- spouse works for a developer doing business with the sional responsibility to actively recruit and hire a local government, that fact should be disclosed. diverse staff throughout their organizations. Confidential Information. Members should not dis- 12. Seek no favor; believe that personal aggrandize- close to others, or use to further their personal inter- ment or profit secured by confidential information est, confidential information acquired by them in the or by misuse of public time is dishonest. course of their official duties. Guidelines Private Employment. Members should not engage in, solicit, negotiate for, or promise to accept private Gifts. Members should not directly or indirectly solicit employment, nor should they render services for pri- any gift or accept or receive any gift--whether it be vate interests or conduct a private business when such money, services, loan, travel, entertainment, hospital- employment, service, or business creates a conflict with ity, promise, or any other form--under the following or impairs the proper discharge of their official duties. circumstances: (1) it could be reasonably inferred or Teaching, lecturing, writing, or consulting are typi- expected that the gift was intended to influence them cal activities that may not involve conflict of interest, in the performance of their official duties; or (2) the or impair the proper discharge of their official duties. gift was intended to serve as a reward for any official Prior notification of the appointing authority is appro- action on their part. priate in all cases of outside employment. It is important that the prohibition of unsolicited gifts be limited to circumstances related to improper Representation. Members should not represent any influence. In de minimus situations, such as meal outside interest before any agency, whether public checks, some modest maximum dollar value should be or private, except with the authorization of or at the determined by the member as a guideline. The guide- direction of the appointing authority they serve. line is not intended to isolate members from normal Endorsements. Members should not endorse com- social practices where gifts among friends, associates, mercial products or services by agreeing to use their and relatives are appropriate for certain occasions. photograph, endorsement, or quotation in paid or other Investments in Conflict with Official Duties. Member commercial advertisements, whether or not for compen- should not invest or hold any investment, directly or sation. Members may, however, agree to endorse the Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 23 following, provided they do not receive any compensa- Members’ observations, opinions, and analyses tion: (1) books or other publications; (2) professional of commercial products used or tested by their local development or educational services provided by non- governments are appropriate and useful to the profes- profit membership organizations or recognized educa- sion when included as part of professional articles and tional institutions; (3) products and/or services in which reports. the local government has a direct economic interest. 24 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Appendix B ICMA Guidelines for Compensation M aintaining public trust and integrity in local government requires both effective governance and management of the organization. The following The governing body should engage experts whether contracted or in house as necessary to pro- vide the information required to establish fair and guidelines are intended to establish a best practice for reasonable compensation levels. establishing and negotiating compensation for local All decisions on compensation and benefits must government executives and staff and to clarify the be made by the entire governing body in a public roles and responsibilities of the governing body, local meeting. government manager, and employee. Compensation Guidelines for Local The Principles Government Executives Compensation and personnel matters should be guided A starting point for the elected officials and local by the core principles of the ICMA Code of Ethics. ICMA government manager in any salary negotiation should affirms that the standard practice for establishing the be to compensation of local government managers be fair, reasonable, transparent, and based on comparable public 1. Determine the requirements of the job and the salaries nationally and regionally. ICMA members should experience needed to successfully perform the job act with integrity in all personal and professional matters duties. in order to merit the trust of elected officials, the public 2. Examine market conditions to learn what compa- and employees. Local government managers have an rable public sector executives earn. A best practice ethical responsibility to be clear about what is being would be to gather information using pre-deter- requested and to avoid excessive compensation. mined comparable benchmark local governments Elected officials perform a critical governance role or public sector agencies. providing oversight of the management of the organi- 3. Understand the services provided by the local gov- zation. To that end, they must be engaged in establish- ernment along with the nature of the current issues ing the process for determining the compensation for in the organization and in the community, and all executives appointed by the governing body. then compare these with the individual’s expertise Compensation should be based on the position and proven ability to resolve those issues. requirements, the complexity of the job reflected in the 4. Identify the local government’s current financial composition of the organization and community, the position, its ability to pay, and the existing policies leadership needed, labor market conditions, cost of living toward compensation relative to market conditions. in the community, and the organization’s ability to pay. 5. Weigh factors such as the individual’s credentials, experience and expertise when setting salary. The Process for Negotiating Executive 6. Consider additional compensation in areas where Compensation the cost of living is high and the governing body To establish fair and reasonable compensation, the gov- wants the manager to reside within the commu- erning body operating as a committee of the whole or as nity. In addition, other unique and special circum- a designated evaluation and compensation subcommit- stances may be taken into consideration, such as tee, should design and implement the methodology for difficult recruitment markets and the particularly setting the compensation of the local government man- challenging needs of the public agency. ager and any other appointees of the governing body. 7. Seek legal advice as needed and appropriate dur- Compensation benchmarks should be established ing periods prior to the beginning of employment based on comparable local government or public sec- when terms and conditions are being negotiated tor agencies. and finalized. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 25 Severance when requesting compensation changes so that the governing body has a comprehensive view of the Severance provisions established in the employment compensation package. agreement must be both reasonable and affordable so 2. In the interest of fairness and transparency, there that the cost of the severance is not an impediment should be full disclosure to the governing body, to fulfilling the governing body’s right to terminate a prior to formal consideration and approval, of the manager’s service, if desired, but is consistent with potential cost of any benefit changes negotiated the role and expectations of the position. The ICMA during employment. Model Employment Agreement (see Appendix F) recommends a one year severance but recognizes that 3. When the terms and conditions of employment are the length of service with an organization may justify being renegotiated with the employer and at the a higher severance. end when the employment is being terminated, ICMA members have a duty to advise the elected officials to seek legal advice. Compensation Changes 4. In the interests of transparency, the salary plan 1. Benefits and salary increases should be reasonably and salary ranges for local government positions, comparable to those that local government execu- including that of the manager, should be publicly tives receive within the designated benchmark or accessible on the agency’s website. regional market area and generally consistent with other employees. General Compensation Guidelines for All 2. Merit adjustments or bonuses should be contingent upon performance and the overall financial posi- Employees tion of the local government to afford additional 1. Each local government should establish benchmark compensation payments. Provisions regarding con- agencies, which are determined using set criteria sideration of periodic merit adjustments in salary such as, but not limited to, should be pre-determined. ■■ Geographic proximity 3. Local government managers must recognize and ■■ Similarity with regard to the nature of the ser- effectively manage conflicts of interest inherent vices provided in compensation changes. Managers should avoid ■■ Similarity in employer size/population size taking steps regarding pension and other benefits ■■ Similarity in the socioeconomic makeup of the where they will be the sole or primary beneficiary of the change. Examples include: population ■■ Other similar employers in the immediate area. ■■ Dramatically increasing salary thereby leading to pension spiking. 2. The local government should develop appropri- ■■ Recommending or implementing single highest ate compensation levels that are in line with their year to determine retirement benefits labor market. Doing so will enable the organization to establish and maintain a reputation as a com- 4. An individual should receive a single salary petitive, fair, and equitable employer as well as a that recognizes all duties and responsibilities good steward of public funds. assigned rather than different salaries for different assignments. 3. When considering any salary or benefit changes, the immediate and anticipated long-term financial 5. Local government managers should not put their resources of the organization always should be personal compensation interests before the good of taken into account. the overall organization and that of the citizens. 4. Appropriate financial practices should be followed to both disclose and properly fund any related Transparency future liability to the local government. 1. Local government managers should provide their total compensation package to the governing body 26 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Appendix C: Professional Organizations to Consider Posting Position Vacancy International City/County Management Association (ICMA) National League of Cities (NLC) 777 North Capitol Street NE, Suite 500 1301 Pennsylvania Avenue NW, Suite 550 Washington, DC 20002 Washington, DC 20004 Phone: 202-289-4262 Nation’s Cities Weekly Classifieds JobCenter Rates/Submissions: Rates/Information: www.nlc.org/news-center/nations-cities-weekly/ www.icma.org/en/icma/career_network/employers/ classifieds/ncw-submit-classified difference International Hispanic Network (IHN) American Society for Public Administration (ASPA) 2107 North First Street, Suite 470 1301 Pennsylvania Avenue NW, Suite 700 San José, CA 95131 Washington, DC 20004 Phone: 408-392-0232 Phone: 202-393-7878 Job Posting PublicServiceCareers.org (online) Rates/Submissions: Rates/Information: www.ihnonline.org/jobsaddform.asp www.publicservicecareers.org/?pageid=617 National Association of Counties (NACo) STATE MUNICIPAL LEAGUES 25 Massachusetts Avenue NW, Suite 500 Washington, DC 20001 Alabama League of Municipalities (www.alalm.org) 535 Adams Avenue Phone: 202-393-6226 or 1-888-407-6226 Montgomery, AL 36104 JobsOnline (website) and County News Job Phone: 334-262-2566 Market/Classified Ad (newspaper) Municipal Classified Ads Rates/Submissions: Posting Information: carrieb@alalm.org www.naco.org/programs/jobsonline/Pages/ JobsOnlineSubmission.aspx Alaska Municipal League (www.akml.org) 217 Second Street, Suite 200 National Association of County Administrators (NACA) Juneau, AK 99801 777 North Capitol Street NE, Suite 500 Phone: 907-586-1325 Washington, DC 20002 Email: naca@icma.org AML Classifieds Informational Brochure: National Forum for Black Public Administrators (NFBPA) www.akml.org/uploads/MunicipalClassified 777 North Capitol Street NE, Suite 807 AdGuidelines.pdf Washington, DC 20002 Phone: 1-877-636-1325 Phone: 202-408-9300 Email: info@akml.org NFBPA Career Center Ad Rates/Information: careers.nfbpa.org/rates.cfm Phone: 1-866-964-2765 E-mail (Job Posting Sales): postings@boxwoodtech.com Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 27 League of Arizona Cities and Towns (www.azleague.org) Florida League of Cities (www.floridaleagueofcities.com) 1820 West Washington Street 301 South Bronough Street, Suite 300 Phoenix, AZ 85007 Tallahassee, FL 32301 Phone: 602-258-5786 Phone: 850-222-9684 or 1-800-342-8112 Municipal Employment Opportunities FLC E-News Rates/Information: Information/Submissions: www.azleague.org/index.cfm?fuseaction=jobs.main www.floridaleagueofcities.com/Publications Email: jobs@azleague.org .aspx?CNID=179 Phone: 850-322-7221 Arkansas Municipal League (www.arml.org) 301 West 2nd Street Georgia Municipal Association (www.gmanet.com) North Little Rock, AR 72115 201 Pryor Street SW Phone: 501-374-3484 Atlanta, GA 30303 Phone: 404-688-0472 City & Town Municipal Mart Rates/Information: Classifieds/Marketplace www.arml.org/classifieds.html Submissions: Submissions: 501-374-3484 www.glga.org/SubmitListing.aspx Phone: 678-686-6209 League of California Cities (www.cacities.org) 1400 K Street, Suite 400 Hawaii (none available) Sacramento, CA 95814 Phone: 916-658-8200 Association of Idaho Cities (www.idahocities.org) 3100 South Vista Avenue, Suite 310 Western Cities Boise, ID 83705 Rates/Submissions: Phone 208-344-8594 www.westerncity.com/Western-City/ Job-Opportunities/How-to-Post-a-Job Employment Opportunities Information/Rates/Submissions: Colorado Municipal League (www.cml.org) www.idahocities.org/index.aspx?nid=213 1144 Sherman Street Denver, CO 80203 Illinois Municipal League (www.iml.org) Phone: 303-831-6411 or 1-866-578-0936 500 East Capitol Avenue Springfield, IL 62701 CareerLink Phone: 217-525-1220 Postings: www.cml.org/CareerLink.aspx Classifieds Connecticut Conference of Municipalities (www.ccm-ct.org) Information/Submissions: 900 Chapel Street, 9th Floor www.iml.org/contact.cfm?user=rturner&subject New Haven, CT 06510 =Submit%20Classified%20Ad Phone: 203-498-3000 Rates: www.iml.org/page.cfm?category=640 Municipal Job Bank Information/Rates/Submissions: Indiana Association of Cities and Towns www.ccm-ct.org/Plugs/job-bank.aspx (www.citiesandtowns.org) 200 South Meridian Street, Suite 340 Indianapolis, IN 46225 Delaware League of Local Governments (www.dllg.org) Phone: 317-237-6200 P.O. Box 484 Dover, DE 19903 Municipal Dispatch Phone: 302-678-0991 Contact Publications and Marketing Director Staff Directory: *Provides no employment listings* www.citiesandtowns.org/topic/subtopic. php?fDD=2-15 28 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Iowa League of Cities (www.iowaleague.org) Massachusetts Municipal Association (www.mma.org) 317 Sixth Avenue, Suite 800 One Winthrop Square Des Moines, IA 50309 Boston, Massachusetts 02110 Phone: 515-244-7282 Phone: 617-426-7272 Classifieds The Beacon (and online) Information/Rates/Submissions: Information/Rates: www.iowaleague.org/Pages/SubmitClassified.aspx www.mma.org/ad-rates-and-details Submissions: www.mma.org/ad-submission-form League of Kansas Municipalities (www.lkm.org) 300 SW Eighth Avenue Michigan Municipal League (www.mml.org) Topeka, KS 66603 1675 Green Road Phone: 785-354-9565 Ann Arbor, MI 48105 Phone: 734-662-3246 or l-800-653-2483 Kansas Government Journal (and online) Rates: www.lkm.org/classifieds/jobs Classifieds Submissions: classifieds@lkm.org Information/Rates: www.mml.org/classifieds/guidelines.html Kentucky League of Cities (www.klc.org) Submissions: 100 East Vine Street, Suite 800 www.mml.org/classifieds/classifiedsform.php Lexington, KY 40507 Phone: 859-977-3700 or 1-800-876-4552 League of Minnesota Cities (www.lmc.org) 145 University Avenue West City Job Opportunities Online St. Paul, MN 55103 Submissions: www.klc.org/employment_post.asp Phone: 651-281-1200 or 1-800-925-1122 Louisiana Municipal Association (www.lma.org) City Job Opportunities 700 North 10th Street Information/Rates: Baton Rouge, LA 70802 www.lmc.org/page/1/posting-city-jobs.jsp Phone: 225-344-5001 or 1-800-234-8274 Submissions: HR-CityAds@lmc.org Maine Municipal Association (www.memun.org) Mississippi Municipal League (www.mmlonline.com) 60 Community Drive 600 East Amite Street, Suite 104 Augusta, ME 04330 Jackson, MS 39201 Phone: 207-623-8428 Phone: 601-353-5854 Job Bank and Classifieds Classifieds Information/Rates: www.mmlonline.com/classifieds.aspx www2.memun.org/public/wantads/itemlist.cfm Contact MML Staff – Staff Directory: Submissions: ResourceCenter@memun.org www.mmlonline.com/contact.aspx Maryland Municipal League (www.mdmunicipal.org) Missouri Municipal League (www.mocities.com) 1212 West Street 1727 Southridge Drive Annapolis, MD 21401 Jefferson City, MO 65109 Phone: 410-268-5514 or 1-800-492-7121 Phone: 573-635-9134 Classifieds Career Center Submissions: stevel@mdmunicipal.org Information/Rates: www.mocities.com/networking Submissions: tshaw@mocities.com Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 29 Montana League of Cities and Towns (www.mlct.org) New York State Conference of Mayors and Municipal 208 North Montana Avenue, Suite 106 Officials (www.nycom.org) Helena, MT 59601 119 Washington Avenue Phone: 406-442-8768 Albany, NY 12210 Phone: 518-463-1185 Job Openings Submissions: Contact Office Manager Help Wanted Classifieds Staff Directory: www.mlct.org/about-mlct/staff.html Information/Submissions: www.nycom.org/mn_class/helpwanted.asp# League of Nebraska Municipalities (www.lonm.org) 1335 L Street, #A North Carolina League of Municipalities (www.nclm.org) Lincoln, NE 68508-2596 215 North Dawson Street Phone: 402-476-2829 Raleigh, NC 27603 Phone: 919-715-4000 Job Postings Information/Rates/Submissions: Southern City, League Letter, and/or online: www.lonm.org/careers.html Information: www.nclm.org/resource-center/Pages/jobs.aspx Nevada League of Cities and Municipalities Rates/Submissions: (www.nvleague.org/admin/about.htm) www.nclm.org/programs-services/publications/ 310 South Curry Street Pages/southern-city.aspx Carson City, NV 89703 Phone: 775-882-2121 North Dakota League of Cities (www.ndlc.org) 410 East Front Avenue New Hampshire Local Government Center (www.nhlgc.org) Bismarck, ND 58504 25 Triangle Park Drive Phone: 701-223-3518 Concord, NH 03301 Municipal Ads – Job Opportunities Phone: 603-224-7447 www.ndlc.org/index.asp?Type=B_ Classifieds BASIC&SEC={D835005A-831C-4BB1-BF46- Information/Rates/Submissions: 7D93A07A0083} www.nhlgc.org/classifieds/submitad.asp Contact NDLC Staff – Staff Directory: www.ndlc.org/index.asp?Type=B_ New Jersey State League of Municipalities BASIC&SEC={846F9FCA-A6EE-4082-B241- (www.njslom.org) 8DA3E991D99A} 222 West State Street Trenton, NJ 08608 Ohio Municipal League (www.omlohio.org) Phone: 609-695-3481 175 South Third Street, Suite 510 Columbus, OH 43215 Classifieds Phone: 614-221-4349 Information/Rates/Submissions: www.njslom.org/classifieds_jobs.html Classified Advertisements Information/Rates/Submissions: New Mexico Municipal League (www.nmml.org) www.omlohio.org/Classifieds.htm 1229 Paseo de Peralta Santa Fe, NM 87501 Oklahoma Municipal League (www.oml.org) Phone: 1-800-432-2036 201 Northeast 23rd Street Oklahoma City, OK 73105 Classifieds Phone: 405-528-7515 Information/Submissions: www.nmml.org/blog/category/classifieds/ Job Listings positions-available Information/Rates/Submissions: www.okml.webs.com/joblistings.htm 30 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator League of Oregon Cities (www.orcities.org) Tennessee Municipal League (www.tml1.org) 1201 Court Street NE, Suite 200 226 Capitol Boulevard, Suite 710 Salem, OR 97301 Nashville, TN 37219 Phone: 503-588-6550 Phone: 615-255-6416 Personnel Recruitment – Jobs Classifieds Information/Rates/Submissions: Contact Administrative Assistant – Staff Directory: www.orcities.org/JobsInterims/Jobs/tabid/816/ www.tml1.org/staff.php?ln_ses=1%7C4 language/en-US/Default.aspx Available Interim Candidates: Texas Municipal League (www.tml.org) www.orcities.org/JobsInterims/Interims/tabid/ 1821 Rutherford Lane, Suite 400 5849/language/en-US/Default.aspx Austin, TX 78754 Phone: 512-231-7400 Pennsylvania League of Cities & Municipalities Career Center (www.plcm.org) Information/Submission: www.tml.org/careercenter.asp 414 North Second Street Harrisburg, PA 17101 Utah League of Cities and Towns (www.ulct.org) Phone: 717-236-9469 50 South 600 East, Suite 150 Municipal Job Junction Salt Lake City, UT 84102 Information/Rates/Submissions: Phone: 801-328-1601 or 1-800-852-8528 www.plcm.org/index.asp?Type=B_BASIC&SEC= Job Bank {24C2F4FE-80F6-4E58-BA9F-53345F31E1D7}&DE Submissions: www.ulct.org/jobbank/index.html Rhode Islad League of Cities and Towns Vermont League of Cities & Towns (www.vlct.org) (www.rileague.org) 89 Main Street, Suite 4 One State Street, Suite 502 Montpelier, VT 05602 Providence, RI 02908 Phone: 802-229-9111 Phone: 401-272-3434 Classifieds Available Positions Information/Rates/Submissions: Information/Submissions: www.vlct.org/marketplace/classifiedads www.rileague.org/site/classifieds/available.html Virginia Municipal League (www.vml.org) Municipal Association of South Carolina (www.masc.sc) 13 East Franklin Street 1411 Gervais Street Richmond, VA 23219 Columbia, SC 29211 Phone: 804-649-8471 Phone: 803-799-9574 Marketplace – Jobs in Local Government Job Openings: Information/Rates/Submissions: Information/Submissions: www.vml.org/JOBS/Jobs.html www.masc.sc/municipalities/Pages/ Postinganadvertisement.aspx Association of Washington Cities (www.awcnet.org) 1076 Franklin Street SE South Dakota Municipal League (www.sdmunicipalleague.org) Olympia, WA 98501 208 Island Drive Phone: 360-753-4137 Fort Pierre, SD 57532 Phone: 605-224-8654 JobNet Information/Submissions: Classifieds www.awcnet.org/Jobnet/ForEmployers.aspx Information/Rates/Submissions: www.sdmunicipalleague.org/index.asp?Type= B_JOB&SEC=%7B9C4C9345-D0E6-470D-A708- 181FD9B26F51%7D Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 31 West Virginia Municipal League (www.wvml.org) Wyoming Association of Municipalities (www.wyomuni.org) 2020 Kanawha Boulevard 315 West 27th Street Charleston, WV 25311 Cheyenne, WY 82001 Phone: 304-342-5564 or 1-800-344-7702 Phone: 307-632-0398 Classifieds Classifieds Information/Submissions: wvml@wvml.org Information: www.wyomuni.org/index.asp?Type=B_ League of Wisconsin Municipalities (www.lwm-info.org) JOB&SEC={AE206698-9002-49A0-983C-9CFCD28D226} 122 West Washington Avenue, Suite 300 Submissions: wam@wyomuni.org Madison, WI 53703 Phone: 608-267-2380 Classifieds Information/Rates/Submissions: www.lwm-info.org/index.asp?Type=B_ JOB&SEC=%7B428BF440-C1B3-494D- 8B98-837FE87BCFCA%7D 32 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Appendix D: Potential Interview Questions3 It is suggested that each member of the governing body ask the same question(s) of each candidate. Candidate Traits/Experience/ Candidate Thoughts on Role of Qualifications Administrator 1. Provide a brief summary of your education and 1. In your opinion, what role should the administra- work experience. tor have in the community? 2. Please briefly describe your experience with 2. Do you believe the administrator should be an a. Land use planning active member of a service or fraternal organiza- b. Economic development/redevelopment tion? If yes, why? c. Tax increment financing 3. How do you deal with the news media? d. Business attraction and retention programs 4. How do you deal with special-interest or single- interest groups? e. Beautification programs 5. What is the best way for an administrator to deal f. Business assistance programs—e.g., façade with an angry constituent? improvement, code compliance g. Annexation h. Subdivision policies and regulations, particu- Personnel Experience larly as they relate to storm-water management 1. How and when do you delegate responsibility and i. Zoning authority? j. Building code administration 2. Have you ever been at the bargaining table and been actively engaged in negotiating an agreement? k. Municipal facilities expansion—in particular, water and wastewater utility expansions 3. Have you taken part in mediation, fact finding, or arbitration? Which ones? Please explain your 3. How would you describe your leadership and man- experience in such process(es) including your role/ agement styles? level of involvement and your thoughts regarding the outcomes of these experiences. Interaction with Governing Body 4. Have you ever had to discipline, demote, or fire an 1. What do you perceive to be the chief administra- employee? Please elaborate. tor’s role in working with the governing body, local 5. How do you educate, encourage, and motivate government attorney, and clerk? your staff? 2. What are your expectations of the governing body 6. Are you familiar with state and federal laws relat- in relation to ing to nondiscrimination, sexual harassment, a. Yourself employees with disabilities, and equal opportunity? b. Other staff 7. Have charges of violation of state or federal 3. How and when do you communicate with the employment laws or a grievance ever been filed governing body? against you or your city? Please explain. 8. What experience have you had in the preparation and implementation of personnel rules, regula- tions, procedures, and compensation plans? Please describe. 3 Adapted from the Illinois City/County Management Association’s A Guide to the Recruitment and Selection of a Chief Administrative Officer. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 33 9. What is your experience with employee benefits 8. What type of financial reports do you provide the administration, group health insurance, and risk elected body and with what frequency? management? 9. Have you read our comprehensive or general plan? 10. What in your opinion is the most serious issue What are your impressions or thoughts? today in local government personnel management? 11. How and when should private sector resources (e.g., Intergovernmental Relations Experience contractors) be used to provide village services? 1. What experience have you had in dealing with a. Councils of government/intergovernmental Financial Management Experience agencies? 1. Is there a difference between a financial plan and a b. County government? budget? If so, please explain how they differ. c. Other local governments (schools, parks, etc.)? 2. Are/were you the designated budget officer for d. State agencies? your local government? Did you prepare and pres- e. Federal agencies? ent the budget to the council, and upon adoption, f. State legislature? were you responsible for implementation? Please explain the outcomes of various budget processes g. Congress? and any challenges you encountered through bud- 2. Do you feel comfortable “lobbying”? get development through council adoption. 3. What is your experience with debt financing? External Organizational and Professional Please give an example. Association Relations 4. Have you secured and administered any type of loans or grants? Please give an example. 1. Have you been an active participant in the activi- ties of a statewide municipal league, statewide city 5. Describe the most successful capital improvement or county management association, the Inter- project you were responsible for and what made it national City/County Management Association successful? (ICMA) or other professional organizations devoted 6. Have you reviewed our annual budget and/or to local government? Please give examples of your annual report? If yes, what is your impression of activities. our financial condition? 2. Are you an ICMA Credentialed Manager? If so, how 7. What is your opinion of “pay as you go” financ- do you fulfill your annual professional develop- ing of maintenance and capital projects? Special ment requirement? assessments? Special taxing districts? 34 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Appendix E Relations with Applicants—Do’s and Don’ts Do: Don’t: ■■ Keep all candidates informed of their status at all ■■ Let the selection process last too long. times. ■■ Expect to get all the necessary information about ■■ Identify one point of contact through which every- the candidates from written material. thing flows, including contacts with candidates, ■■ Forget that you are seeking overall management reference checks, etc., in order to ensure that the ability, not technical competence in one specialized information, messages, and details are consistent field. and that the process is fair and equitable. ■■ Forget to consider candidates who are assistant ■■ Keep all information strictly confidential through- managers as well as current managers out the entire recruitment and selection process ■■ Overlook the need for candidates to possess unless state law requires otherwise. municipal administrative experience and the ■■ Create an outreach strategy that will ensure a advantages or value of college or university train- diverse candidate pool. ing, post degree training, and continued profes- ■■ After carefully reviewing all applicant submittals, sional development. select a short list of the most promising candidates. ■■ Release for publication any names or local govern- ■■ While maintaining the confidentiality, carefully ments of candidates unless state law requires it. check educational credentials and references on those candidates judged best qualified. ■■ Invite those candidates judged best qualified for initial interviews at the local government’s expense. ■■ Send the candidates under consideration an information packet that may include the outreach brochure and copies of your government’s budget, charter, annual report, and other pertinent docu- ments; or provide the information on where to find this material on the agency’s website. ■■ Pay expenses of the candidates invited to a sec- ond interview (and of their spouses/partners, if applicable). ■■ Perform detailed background checks on the final candidate(s). ■■ Visit, if possible, the local governments in which the most promising candidates work. ■■ Be prepared to enter into a formal written employ- ment agreement with the successful candidate. ■■ Promptly notify all other candidates once the selection has been made and the position has been accepted. However, it is best to wait until the selected finalist has accepted the position and the agency and candidate have mutually agreed to the provisions of the employment contract. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 35 Appendix F ICMA Model Employment Agreement Introduction Section 3: Compensation This Agreement, made and entered into this [date], by Recommended and between the [local government] of [state], [town/ A. Base Salary: Employer agrees to pay Employee city/county] a municipal corporation, (hereinafter an annual base salary of [$ amount], payable in called ”Employer”) and [name], (hereinafter called installments at the same time that the other man- “Employee”) an individual who has the education, agement employees of the Employer are paid. training and experience in local government manage- ment and who, as a member of ICMA, is subject to the B. This agreement shall be automatically amended to ICMA Code of Ethics, both of whom agree as follows: reflect any salary adjustments that are provided or required by the Employer’s compensation policies. Section 1: Term C. Consideration shall be given on an annual basis to increase compensation. Recommended A. This agreement shall remain in full force in effect Option 1 from [date] until terminated by the Employer or The Employer agrees to increase the compensation of Employee as provided in Section 9, 10 or 11 of this the Employee dependent upon the results of the perfor- agreement. mance evaluation conducted under the provisions of Section 12 of this Agreement. Increased compensation Option 2 can be in the form of a salary increase and/or a bonus. The term of this agreement shall be for an initial period of [#] years from [date] to [date]. This Agree- Option 2 ment shall automatically be renewed on its anniver- The Employer agrees to increase the compensation by sary date for a [#] year term unless notice that the [%] each year. Agreement shall terminate is given at least [#] months Option 3 (12 months recommended) before the expiration date. The Employer agrees to increase the compensation In the event the agreement is not renewed, all com- each year by the minimum of the average across the pensation, benefits and requirements of the agreement board increase granted to other employees of the shall remain in effect until the expiration of the term Employer. of the Agreement unless Employee voluntarily resigns. In the event that the Employee is terminated, as Option 4 defined in Section 9 of this agreement, the Employee The Employer agrees to increase the compensation of shall be entitled to all compensation including salary, the Employee dependent upon the results of the per- accrued vacation and sick leave, car allowance paid formance evaluation conducted under the provisions in lump sum plus continuation of all benefits for the of Section 12 of this Agreement in addition to provid- remainder of the term of this agreement. ing a fixed annual increase in the Employee’s salary based on an agreed upon economic indicator, such as Section 2: Duties and Authority the Consumer Price Index. Employer agrees to employ [name] as [title] to per- form the functions and duties specified in [legal Section 4: Health, Disability and Life reference] of the [local government] charter and by Insurance Benefits Recommended [legal reference] of the [local government] code and to perform other legally permissible and proper duties A. The Employer agrees to provide and to pay the pre- and functions. miums for health, hospitalization, surgical, vision, dental and comprehensive medical insurance for 36 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator the Employee and his/her dependents equal to that cover the full cost of retrieving and transporting which is provided to all other employees of the the Employee’s remains back to the custody of the [local government] or, in the event no such plan Employee’s family. exists, to provide coverage for the Employee and dependents. Section 5: Vacation, Sick, and Military B. The Employer agrees to put into force and to make required premium payments for short term and Leave long term disability coverage for the Employee. Recommended C. The Employee may elect to submit once per cal- A. Upon commencing employment, the Employee endar year to a complete physical examination, shall be credited with sick and vacation leave including a cardio-vascular examination, by a equal to the highest annual accrual provided to all qualified physician selected by the Employee, the other employees. The Employee shall then accrue cost of which shall be paid by the Employer. sick and vacation leave on an annual basis at the D. The Employer shall pay the amount of premium highest rate provided to any other employees. due for term life insurance in the amount of three B. Upon commencing employment, the Employee (3) times the Employee’s annual base salary, shall have access to a bank of 180 sick days to be including all increases in the base salary during the used in the case of serious medical conditions. life of this agreement. The Employee shall name This leave can only be used to provide coverage the beneficiary of the life insurance policy. during the waiting period between the onset of illness or disability and the point at which short or Option 1 long term disability coverage takes effect and may A. The Employer agrees to provide for health, hospi- be renewed after each occurrence. talization, surgical, vision, dental and comprehen- C. The Employee is entitled to accrue all unused sive medical insurance for the Employee and his/ leave, without limit, and in the event the Employ- her dependents equal to that which is provided to ee’s employment is terminated, either voluntarily all other employees of the [local government] or, or involuntarily, the Employee shall be compen- in the event no such plan exists, to provide cover- sated for all accrued vacation time, all paid holi- age for the Employee and dependents. Employer days, executive leave, and other benefits to date. shall pay all premiums for the Employee and the Employee’s dependents. D. The Employee shall be entitled to military reserve leave time pursuant to state law and [local govern- B. The Employer agrees to put into force and to make ment] policy. required premium payments for short term and long term disability coverage for the Employee. Additional Option C. The Employee may elect to submit once per cal- 1. The Employee shall annually be credited with five endar year to a complete physical examination, (5) days of executive leave. including a cardio-vascular examination, by a qualified physician selected by the Employee, the cost of which shall be paid by the Employer. Section 6: Automobile The Employee’s duties require exclusive and unre- D. The Employer shall pay the amount of premium stricted use of an automobile to be mutually agreed due for term life insurance in the amount of three upon and provided to the Employee at the Employ- (3) times the Employee’s annual base salary, er’s cost, subject to approval by Employer which including all increases in the base salary during the shall not be withheld without good cause. It shall be life of this agreement. The Employee shall name mutually agreed upon whether the vehicle is pur- the beneficiary of the life insurance policy. chased by the city, provided under lease to the city Option 2 or to the Employee, or provided through a monthly 1. The Employer shall provide travel insurance for the allowance. Employee while the Employee is traveling on the Option 1 – Monthly Vehicle Allowance Employer’s business, with the Employee to name The Employer agrees to pay to the Employee, during beneficiary thereof. Should the Employee die while the term of this Agreement and in addition to other on travel for the Employer, the Employer shall Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 37 salary and benefits herein provided, the sum of [dol- of this contribution may be used, at the Employ- lar amount] per year, payable monthly, as a vehicle ee’s option, to purchase previous service from allowance to be used to purchase, lease, or own, oper- another qualified plan. ate and maintain a vehicle. The monthly allowance shall be increased annually by [% or $] amount. The Option 1 Employee shall be responsible for paying for liability, Recognizing that effective service with the community property damage, and comprehensive insurance cover- is based in part on the stability provided through a age upon such vehicle and shall further be responsible long-term relationship, the Employer shall provide a for all expenses attendant to the purchase, operation, retirement annuity, as directed by the Employee, at a maintenance, repair, and regular replacement of said rate of [dollar amount], payable at the completion of vehicle. The Employer shall reimburse the Employee at each quarter of the fiscal year. This annuity serves as the IRS standard mileage rate for any business use of a retirement contribution and does not require further the vehicle beyond the greater [local government] area. action of the Employer. For purposes of this Section, use of the car within the Option 2 greater [local government] area is defined as travel to The Employer shall adopt a qualified 401(a) defined locations within a _____ mile (recommended fifty (50) contribution plan offered through ICMA Retirement mile) radius of [local government office]. Corporation for the Employee in the form of a money Option 2 – Employer Provided Vehicle purchase plan to which the Employer shall contribute The Employer shall be responsible for paying for liabil- [%] of salary or [%] of compensation annually. ity, property damage, and comprehensive insurance, 2A. Option: The Employee shall be required to and for the purchase (or lease), operation, mainte- contribute [%] of base salary or [dollar amount] annu- nance, repair, and regular replacement of a full-size ally on a pre-tax basis as a condition of participation. automobile. Option 3 Section 7: Retirement The Employer shall adopt a qualified 401(a) profit- sharing plan offered through ICMA Retirement Cor- Recommended poration for the Employee in the form of a money 1. The Employer agrees to enroll the Employee into purchase plan to which the Employer shall contribute the applicable state or local retirement system [%] of all performance bonuses annually. and to make all the appropriate contributions on the Employee’s behalf, for both the Employer and 3A. Option: The Employee shall be required to Employee share required. contribute [%] of base salary or [dollar amount] annu- 2. In addition to the Employer’s payment to the ally on a pre-tax basis as a condition of participation. state or local retirement system (as applicable) referenced above, Employer agrees to execute all Section 8: General Business Expenses necessary agreements provided by ICMA Retire- Recommended ment Corporation [ICMA-RC] or other Section 457 deferred compensation plan for Employee’s 1. Employer agrees to budget for and to pay for pro- [continued] participation in said supplementary fessional dues and subscriptions of the Employee retirement plan and, in addition to the base sal- necessary for continuation and full participation ary paid by the Employer to Employee, Employer in national, regional, state, and local associations, agrees to pay an amount equal to [percentage of and organizations necessary and desirable for the Employee’s base salary, fixed dollar amount of [$], Employee’s continued professional participation, or maximum dollar amount permissible under Fed- growth, and advancement, and for the good of the eral and state law into the designated plan on the Employer. Employee’s behalf, in equal proportionate amount 2. Employer agrees to budget for and to pay for travel each pay period. The parties shall fully disclose to and subsistence expenses of Employee for profes- each other the financial impact of any amendment sional and official travel, meetings, and occasions to the terms of Employee’s retirement benefit. to adequately continue the professional develop- In lieu of making a contribution to a Section ment of Employee and to pursue necessary official 457 deferred compensation plan, the dollar value functions for Employer, including but not limited 38 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator to the ICMA Annual Conference, the state league of 4. If the Employee resigns following an offer to accept municipalities, and such other national, regional, resignation, whether formal or informal, by the state, and local governmental groups and commit- Employer as representative of the majority of the tees in which Employee serves as a member. governing body that the Employee resign, then the 3. Employer also agrees to budget for and to pay for Employee may declare a termination as of the date travel and subsistence expenses of Employee for of the suggestion. short courses, institutes, and seminars that are 5. Breach of contract declared by either party with a necessary for the Employee’s professional develop- 30 day cure period for either Employee or Employer. ment and for the good of the Employer. Written notice of a breach of contract shall be pro- 4. Employer recognizes that certain expenses of a vided in accordance with the provisions of Section 20. non-personal but job related nature are incurred by Option 1 Employee, and agrees to reimburse or to pay said In the event the Employee is terminated by the general expenses. The finance director is autho- Employer during the six (6) months immediately fol- rized to disburse such moneys upon receipt of duly lowing the seating and swearing-in of one or more executed expense or petty cash vouchers, receipts, new governing body members, and during such time statements or personal affidavits. that Employee is willing and able to perform his duties 5. The Employer acknowledges the value of having under this Agreement, then, Employer agrees to pay Employee participate and be directly involved in Severance in accordance with Section 10 plus salary local civic clubs or organizations. Accordingly, and benefits in accordance with Section 10 for any Employer shall pay for the reasonable member- portion of the six months not worked. ship fees and/or dues to enable the Employee to become an active member in local civic clubs or organizations. Section 10: Severance Severance shall be paid to the Employee when Option 1 employment is terminated as defined in Section 9. Technology: The Employer shall provide Employee If the Employee is terminated, the Employer shall pro- with a computer, software, fax/modem, cell phone vide a minimum severance payment equal to one year and pager required for the Employee to perform the salary at the current rate of pay. This severance shall job and to maintain communication. be paid in a lump sum unless otherwise agreed to by the Employer and the Employee. Section 9: Termination The Employee shall also be compensated for all accrued sick leave, vacation time, all paid holidays, and Recommended executive leave. The Employer agrees to make a contri- For the purpose of this agreement, termination shall bution to the Employee’s deferred compensation account occur when: on the value of this compensation calculated using the 1. The majority of the governing body votes to ter- rate ordinarily contributed on regular compensation. minate the Employee at a duly authorized public For a minimum period of one year following termi- meeting. nation, the Employer shall pay the cost to continue the 2. If the Employer, citizens or legislature acts to amend following benefits: any provisions of the [charter, code, enabling legis- 1. Health insurance for the employee and all depen- lation] pertaining to the role, powers, duties, author- dents as provided in Section 4A ity, responsibilities of the Employee’s position that 2. Life insurance as provided in Section 4D substantially changes the form of government, the 3. Short-term and long-term disability as provided in Employee shall have the right to declare that such Section 4B amendments constitute termination. 4. Car allowance or payment of lease, or provide 3. If the Employer reduces the base salary, compensa- option to buy city vehicle at depreciated value tion or any other financial benefit of the Employee, unless it is applied in no greater percentage than 5. Out placement services should the employee desire the average reduction of all department heads, them in an amount not to exceed [$10,000 to such action shall constitute a breach of this agree- $15,000 recommended], and ment and will be regarded as a termination. 6. Any other available benefits. Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 39 If the Employee is terminated because of a convic- A. Employer shall pay directly for the expenses of tion of a felony, then the Employer is not obligated to moving Employee and his/her family and personal pay severance under this section. property from [location name] to [location name]. Said moving expenses include packing, moving, Section 11: Resignation storage costs, unpacking, and insurance charges. In the event that the Employee voluntarily resigns his/ B. Employer shall reimburse Employee for actual her position with the Employer, the Employee shall lodging and meal expenses for his/her family in provide a minimum of 30 days notice unless the par- route from [location name] to [location name]. ties agree otherwise. Mileage costs for moving two personal automobiles shall be reimbursed at the current IRS allowable rate of [cents amount] per mile. Section 12: Performance Evaluation C. Employer shall pay Employee an interim housing Employer shall annually review the performance supplement of [dollar amount] per month for a of the Employee in [month] subject to a process, period commencing [date], and shall continue for form, criteria, and format for the evaluation which a maximum of [# ] months, or until a home is pur- shall be mutually agreed upon by the Employer and chased and closed on, within the corporate limits Employee. The process at a minimum shall include of the [local government name], whichever event the opportunity for both parties to: (1) prepare a occurs first. written evaluation, (2) meet and discuss the evalua- D. Employer shall reimburse Employee for a total of tion, and (3) present a written summary of the evalu- [number] round trip air fares for Employee and ation results. The final written evaluation should be his/her family [amount of total tickets] at any time completed and delivered to the Employee within 30 during the first year of service to assist with house days of the evaluation meeting. hunting and other facets of the transition and relo- cation process. The Employee and his/her family Section 13: Hours of Work may utilize and distribute the total [enter number] It is recognized that the Employee must devote a great individual round trip tickets in any combina- deal of time outside the normal office hours on busi- tion of individual members making the trips. The ness for the Employer, and to that end Employee shall Employee shall be reimbursed for actual lodging be allowed to establish an appropriate work schedule. and meal expenses incurred by Employee or his/ her family members on any trips conducted prior Section 14: Outside Activities to relocation, as detailed herein. The employment provided for by this Agreement shall E. The Employee shall be reimbursed, or Employer be the Employee’s sole employment. Recognizing may pay directly, for the expenses of packing and that certain outside consulting or teaching opportuni- moving from temporary housing to permanent ties provide indirect benefits to the Employer and the housing during the first year of this agreement. community, the Employee may elect to accept limited F. The Employer shall pay the Employee’s tax liability teaching, consulting or other business opportunities on all Employer provided benefits for relocation with the understanding that such arrangements shall and housing. not constitute interference with nor a conflict of interest Option 1 with his or her responsibilities under this Agreement. The Employer shall pay a lump sum payment of [$] to the Employee to cover relocation costs. Section 15: Moving and Relocation Expenses Section 16: Home Sale and Purchase Recommended Expenses Employee agrees to establish residence within the cor- Recommended porate boundaries of the local government, if required, within [number] months of employment, and thereafter A. Employee shall be reimbursed for the direct costs to maintain residence within the corporate boundaries associated with the sale of Employee’s existing of the local government. personal residence, said reimbursement being lim- ited to real estate agents’ fees, and other closing 40 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator costs that are directly associated with the sale of amount equal to the percentage of original purchase the house. Said reimbursement should not exceed price, represented by the original equity investment the sum of [$]. by Employee, and adjusted to be the same percent- B. Employee shall be reimbursed for the costs inciden- age of equity in the current sale price of the home. All tal to buying or building a primary residence within closing costs borne by the seller shall be split between the [local government], including real estate fees, Employer and Employee in a proportion equal to title insurance, and other costs directly associated the equity share described above. Should the house with the purchase or construction of the house, said fail to sell within the allotted six month time period, reimbursement not to exceed the sum of [$]. Employer has the option of following the previous arrangement to continue in place or to purchase Option 1 equity, calculated as provided above, plus the original Employer shall reimburse Employee for up to three cost of all improvements made to the property. discount points within thirty (30) days following pur- chase of a home within the corporate limits of [local Section 17: Indemnification government name], in an effort to minimize mortgage Beyond that required under Federal, State or Local rate differentials. Law, Employer shall defend, save harmless and Option 2 indemnify Employee against any tort, professional Employer shall provide Employee with a _________ liability claim or demand or other legal action, whether [fixed-interest, variable-interest, interest-only] loan groundless or otherwise, arising out of an alleged act or to purchase a house. The amount of the loan shall omission occurring in the performance of Employee’s not exceed $________. The loan shall be repaid in duties as [job title] or resulting from the exercise of full to the Employer upon the occurrence of either of judgment or discretion in connection with the perfor- the following events: (i) the home, or the Employee’s mance of program duties or responsibilities, unless the interest in the home, is sold, transferred, or conveyed, act or omission involved willful or wanton conduct. or (ii) the Employee’s employment with the Employer, The Employee may request and the Employer shall not for any reason, is terminated. The Employer and unreasonably refuse to provide independent legal rep- Employee shall execute any and all documents neces- resentation at Employer’s expense and Employer may sary to document this transaction. In the case where not unreasonably withhold approval. Legal representa- the value of the home decreases, the Employee shall tion, provided by Employer for Employee, shall extend not be required to repay the loan. until a final determination of the legal action including any appeals brought by either party. The Employer Option 3 shall indemnify employee against any and all losses, Employer agrees to provide the Employee a loan for damages, judgments, interest, settlements, fines, court the purchase of a home in an amount not to exceed costs and other reasonable costs and expenses of legal [dollar amount]. Employee shall pay Employer a proceedings including attorneys fees, and any other monthly mortgage payment of [dollar amount] for liabilities incurred by, imposed upon, or suffered by interest, which is equal to the amount currently being such Employee in connection with or resulting from paid in principle and interest for the current residence. any claim, action, suit, or proceeding, actual or threat- Employee shall accrue equity at a rate of [% ] per ened, arising out of or in connection with the perfor- month. mance of his or her duties. Any settlement of any claim Upon termination of employment with the must be made with prior approval of the Employer in Employer, Employee shall have a maximum of six order for indemnification, as provided in this Section, months to sell the home while continuing to reside to be available. in it under the terms and conditions here. Should Employee recognizes that Employer shall have the home sell during the time period, Employer shall the right to compromise and unless the Employee is receive 100% of the proceeds minus the percentage a party to the suit which Employee shall have a veto of equity accrued by Employee as described above, authority over the settlement, settle any claim or suit; and minus the amount of equity originally invested unless, said compromise or settlement is of a per- by Employee. Said accrued equity and original equity sonal nature to Employee. Further, Employer agrees shall both be payable to Employee upon closing. Said to pay all reasonable litigation expenses of Employee original equity invested shall be calculated as an throughout the pendency of any litigation to which Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 41 the Employee is a party, witness or advisor to the Alternatively, notice required pursuant to this Employer. Such expense payments shall continue Agreement may be personally served in the same man- beyond Employee’s service to the Employer as long ner as is applicable to civil judicial practice. Notice as litigation is pending. Further, Employer agrees to shall be deemed given as of the date of personal ser- pay Employee reasonable consulting fees and travel vice or as the date of deposit of such written notice in expenses when Employee serves as a witness, advisor the course of transmission in the United States Postal or consultant to Employer regarding pending litigation. Service. Section 18: Bonding Section 21: General Provisions Employer shall bear the full cost of any fidelity or A. Integration. This Agreement sets forth and estab- other bonds required of the Employee under any law lishes the entire understanding between the or ordinance. Employer and the Employee relating to the employ- ment of the Employee by the Employer. Any prior Section 19: Other Terms and Conditions of discussions or representations by or between the parties are merged into and rendered null and void Employment by this Agreement. The parties by mutual writ- The Employer, only upon agreement with Employee, ten agreement may amend any provision of this shall fix any such other terms and conditions of agreement during the life of the agreement. Such employment, as it may determine from time to time, amendments shall be incorporated and made a relating to the performance of the Employee, provided part of this agreement. such terms and conditions are not inconsistent with or B. Binding Effect. This Agreement shall be binding in conflict with the provisions of this Agreement, the on the Employer and the Employee as well as their [local government] Charter or any other law. heirs, assigns, executors, personal representatives A. Except as otherwise provided in this Agreement, and successors in interest. the Employee shall be entitled to the highest level of C. Effective Date. This Agreement shall become effec- benefits that are enjoyed by other [appointed officials, tive on ______, ____. appointed employees, department heads or general D. Severability. The invalidity or partial invalidity employees] of the Employer as provided in the Charter, of any portion of this Agreement will not effect Code, Personnel Rules and Regulations or by practice. the validity of any other provision. In the event that any provision of this Agreement is held to Section 20: Notices be invalid, the remaining provisions shall be Notice pursuant to this Agreement shall be given by deemed to be in full force and effect as if they have depositing in the custody of the United States Postal been executed by both parties subsequent to the Service, postage prepaid, addressed as follows: expungement or judicial modification of the invalid provision. (1) EMPLOYER: [Title and address of relevant official (mayor, clerk, etc.)] (2) EMPLOYEE: [Name and address for tax purposes of Employee] 42 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Index Advertising campaigns Compensation package function of, 8 changes in, 26 professional organizations that post vacancies for, elements of, 7, 17–18 27–32 guidelines for, 25–26 Alabama League of Municipalities, 27 negotiation of, 17 – 18, 25 Alaska Municipal League, 27 Confidentiality, 11, 12 American Society for Public Administration (ASPA), 27 Connecticut Conference of Municipalities, 28 Applicants Council-manager government, 3 diverse, 9 external, 9 Delaware League of Local Governments, 28 internal, 9 Diverse applicants, 9 relations, 10–11, 35 status notification for, 11, 35 Elections, vacancy occurring prior to, 3 Application forms, 10 Employment agreements, 18, 26, 36 – 42 Arkansas Municipal League, 28 Association of Idaho Cities, 28 Association of Washington Cities, 31 Florida League of Cities, 28 Background checks, 13 Geographic considerations, 8 Georgia Municipal Association, 28 Candidates background checks for, 13 Housing, 18 guidelines to inform, 13–14 Hybrid recruitment method, 4, 5 interview guidelines for, 14–15 potential interview questions for, 33–34 selection of, 13 ICMA Range Riders, 2, 5, 9 Chief administrators. See also Selection Illinois Municipal League, 28 community engagement in profile of, 6 Indiana Association of Cities and Towns, 28 compensation of, 7, 17–18, 25–26 In-house expertise recruitment method, 4 management of organization during recruitment of, 2 Initial interviews, 14 performance evaluation for, 19 Interim administrators, 2 profile development for, 6, 7 Interim management, 2 reasons for vacancies of, 3 International City/County Management Association recruitment assistance from retiring, 7 (ICMA) responsibilities of, 1, 20 Code of Ethics, 1, 21–24 transition process for, 19 Compensation Guidelines, 7, 17, 25–26 Code of Ethics (International City/County Manage- Model Employment Agreement, 18, 36 – 42 ment Association), 1, 21–24 position vacancy postings through, 27 Colorado Municipal League, 28 Range Rider, 2, 5, 9 Community involvement salary information, source of, 17 in chief administrator profile, 6 Voluntary Credentialing Program, 6 in interviewing process, 15 – 16 International Hispanic Network (IHN), 27 Commuting expenses, 18 Interviews Compensation Guidelines (International City/County initial, 14 Management Association), 17, 25–26 questions for, 14–15, 33–34 Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 43 second, 15 Outside expertise recruitment method, 4 selecting candidates for, 13 Pennsylvania League of Cities & Municipalities, 31 structure of, 14 Performance evaluation, 19 Iowa League of Cities, 29 Professional organizations, 27–32 Kentucky League of Cities, 29 Questions, interview, 14, 33–34 League of Arizona Cities and Towns, 28 Recruitment League of California Cities, 28 advertising as element of, 8 League of Kansas Municipalities, 29 development of administrator profile, 6, 7 League of Minnesota Cities, 29 geographic scope as issue for, 8 League of Nebraska Municipalities, 30 hybrid method for, 5 League of Oregon Cities, 31 in-house expertise method for, 4 League of Wisconsin Municipalities, 32 initiation of, 3 Local government, 7, 10 management of organization during, 2 Local government managers, 1 outreach strategies for, 8–9 Local government work session, 19 outside expertise method for, 4 Louisiana Municipal Association, 29 schedule for, 7 Recruitment process confidentiality in, 11 Maine Municipal Association, 29 elements of, 10–11 Management, during recruitment, 2 role of media in, 12 Maryland Municipal League, 29 Reference checks, 15 Massachusetts Municipal Association, 29 Relocation expenses, 18 Media, role of, 12 Resignation, 3, 7 Michigan Municipal League, 29 Résumés Mississippi Municipal League, 29 acknowledgement of, 11 Missouri Municipal League, 29 confidentiality of, 12 Montana League of Cities and Towns, 30 review of, 13 Municipal Association of South Carolina, 31 Rhode Island League of Cities and Towns, 31 National Association of Counties (NACo), 17, 27 Salary, 17 National Association of County Administrators Schedule, recruitment, 7 (NACA), 27 Second interviews, 15 National Forum for Black Public Administrators Selection (NFBPA), 27 announcement of decision in, 19 National League of Cities (NLC), 27 application review as step in, 13 Negotiation process, 17–18 candidates to be interviewed as step in, 13 Nevada League of Cities and Municipalities, 30 community involvement in, 15–16 New Hampshire Local Government Center, 30 decision process for, 16 New Jersey State League of Municipalities, 30 interviews for, 14–15, 33–34 New Mexico Municipal League, 30 inviting candidate’s spouse/partner as step in, 15 New York State Conference of Mayors and Municipal reference checks as step in, 15 Officials, 30 staff involvement in, 16 North Carolina League of Municipalities, 30 Severance provisions, 26 North Dakota League of Cities, 30 Souses/partners, candidate, 15 South Dakota Municipal League, 31 Ohio Municipal League, 30 Staff members, involvement in candidate selection, 16 Oklahoma Municipal League, 30 State municipal leagues, 27–32 Orientation meetings, 19 Status notification, 11, 35 Outreach strategies, 8–9 Temporary housing, 18 44 R ec ru i t me n t Gu i d e l i nes for S elect i ng a Lo ca l G overnm ent Adm i nistrator Tennessee Municipal League, 31 Vermont League of Cities & Towns, 31 Termination, 3, 7 Virginia Municipal League, 31 Texas Municipal League, 31 Voluntary Credentialing Program (International City/ Transparency, 26 County Management Association), 6 Utah League of Cities and Towns, 31 West Virginia Municipal League, 32 Work sessions, initial for expectations, goals, and Vacancies objectives, 19 professional organizations that post position, 27–32 Wyoming Association of Municipalities, 32 reasons for, 3, 7 Rec rui tm e nt G u i d e li n es for S e lect i n g a Lo ca l G overnm ent Adm i ni strator 45 Manager Evaluations HANDBOOK ICMA advances professional local government worldwide. Its mission is to create excellence in local governance by developing and advancing professional management of local government. ICMA, the International City/County Management Association, provides member support; publications, data, and information; peer and results-oriented assistance; and training and professional development to more than 9,000 city, town, and county experts and other individuals and organizations throughout the world. The management decisions made by ICMA’s members affect 185 million individuals living in thousands of communities, from small villages and towns to large metropolitan areas. ICMA 777 North Capitol Street, NE Suite 500 Washington, DC 20002-4201 202-289-ICMA (4262) icma.org Copyright ©2013 by the International City/County Management Association. All rights reserved, including rights of reproduction and use in any form or by any means, including the making of copies by any photographic process, or by any electrical or mechanical device, printed, written, or oral or recording for sound or visual reproduction, or for use in any knowledge or retrieval system or device, unless permission in writing is obtained from the copyright proprietor. Contents Definition of Terms.............................................................................................................iv Members of the Task Force on Manager Evaluations.........................................................iv Preface............................................................................................................................... 1 Executive Summary............................................................................................................ 2 Successful Evaluation Tips................................................................................................3 Introduction........................................................................................................................ 4 The Purpose of Manager Evaluations................................................................................. 4 Basic Process ..................................................................................................................... 4 How to Initiate.................................................................................................................4 How to Proceed................................................................................................................5 Frequency and Timing of Manager Evaluations .................................................................7 What Others Are Doing: Survey Results............................................................................ 9 Failure to Undertake Evaluations.......................................................................................9 Lack of a Credible Evaluation Process.............................................................................. 10 Lack of Knowledge of the Council-Manager Form of Government...................................... 10 Lack of Communication.................................................................................................. 10 Supplemental Approaches ............................................................................................... 10 Self-Evaluations.............................................................................................................. 11 Periodic Check-ins.......................................................................................................... 11 360-Degree Assessments................................................................................................. 11 Conversation Evaluation System...................................................................................... 12 Data-gathering/Software Resources................................................................................ 12 Conclusion........................................................................................................................ 13 Sample Evaluation Forms for Local Government CAOs................................................... 13 Other Resources............................................................................................................... 13 ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K iii Definition of Terms • The term local government, as used in this handbook, refers to a town, village, borough, township, city, county, or a legally constituted elected body of governments. • The term manager refers to the chief executive officer (CEO) or chief administrative officer (CAO) of any local government who has been appointed by its elected body to oversee day- to-day operations. • The terms elected officials, elected body, and board refer to any council, commission, or other locally elected body, including assemblies, boards of trustees, boards of selectmen, boards of supervisors, boards of directors, and so on. • The term manager evaluation refers to the appraisal or assessment conducted by the elected body of the manager’s performance in achieving organizational goals and implementing policy. Members of the Task Force on Manager Evaluations Peter B. Austin Kay James McHenry County, IL Canandaigua, NY Chair Vice-Chair John J. Caulfield Mark A. Kunkle Greg R. Sund Lakewood, WA Ferguson Township, PA Ellis County, KS Scott M. Coren Michele E. Meade Kevin D. Trease Darien, IL Livingston Township, NJ Dewey, OK Richard J. Downey Nancy E. Novak McMahon Brian J. Valentino Kronenwetter, WI Vienna, VA Hazlet, NJ John J. Duffy Richard J. Schuettler AJ Wilson Matanuska-Susitna, AK Harrisburg, PA Fallbrook, CA James R. Stahle Alamogordo, NM Amanda Relyea Jane C. Cotnoir Nolensville, TN Portland, ME Staff Liaison Editor Preface T he evaluation of the manager is a key compo- Accordingly, it created a task force of managers from nent of any well-run local government, yet the around the United States, representing over a dozen value of a quality evaluation process and the communities, to develop a Manager Evaluations Hand- responsibility for that activity is often overlooked. book that would assist managers and their boards in Even in communities that are considered to be profes- this critical task. sionally governed, the performance evaluation of the Managers are encouraged to review this handbook local government manager can be an afterthought. with an eye toward working with their elected bodies The 2012–2013 Executive Board of the International to develop formal, mutually agreed-upon processes City/County Management Association (ICMA), led by for their own evaluations. This handbook, however, President Bonnie Svrcek, acknowledged the need for is also intended to highlight the value of a formal local government managers and their elected bodies manager evaluation process and to assist local elected to put more focus on the manager evaluation process. officials in the design of an effective evaluation tool. ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K 1 Executive Summary T he periodic evaluation of the local government of specific work-related goals and objectives for the manager by the elected body is an important coming year. Thus, all members of the elected body component of a high-performance organization. should participate in the process, both by individually The evaluation should contain performance goals, objec- completing the rating instrument and by discussing tives, and targets that are linked to the elected body’s their ratings with the other board members in order to established strategic plans, goals, and priorities, and it arrive at a consensus about performance expectations. should focus on the manager’s degree of progress toward There is no one correct way to conduct a manager organizational outcomes. To be fair, it must be based on evaluation. The key is to ensure that the evaluation criteria that have been communicated to the manager takes place in a regular, mutually agreed-upon manner in advance. Sample or generic evaluation forms, if used, and is viewed by all as an opportunity for communica- should be customized to reflect these criteria. tion between the elected officials and the manager. The purpose of the evaluation process is to It may be useful, particularly if the members of increase communication between the members of the the elected body are inexperienced in the performance elected body and the manager concerning the man- evaluation process, to use a consultant to help the ager’s performance in the accomplishment of assigned elected body prepare for and conduct the manager’s duties and responsibilities, and the establishment evaluation. 2 I CM A M ANAGE R E VALUATI O NS HA N DB OOK Successful Evaluation Tips1 Performance evaluations will allow you to Reminders: A. Recognize the accomplishments of the manager and • Keep the discussion focused on performance. show appreciation for the unique contributions to • Describe actions and results that do not meet the organization expectations. B. Clearly identify areas where the manager is • Describe areas where the manager can make a doing well greater contribution. C. Clearly identify areas where the manager can • Describe any situation or performance observed improve his or her performance that needs to be changed; be specific. D. Specify definite actions that will allow the manager • Tell the manager what needs to be done if a specific to make additional value-added contributions to the change of behavior needs to take place. organization in the future. • Focus on learning from the past and making plans E. Obtain the manager’s own opinions on progress and for the future. his or her individual contribution to collective actions • Keep this part of the discussion as positive and and achievements. encouraging as possible. Discussing tasks that the manager performs well Do’s and Don’ts • Gives the manager insight into self-awareness, inter- DO: ests, and motivation • Spend a few minutes warming up in which the • Gives the manager recognition and appreciation for agenda is laid out so everyone is reminded about achievements what to expect. Give an overview. • Creates a positive climate for the remainder of the • Always start with the positives. Be specific. review. • Explain the ratings in all areas: Talk about how the consensus was arrived. Reminders: • Be honest. Tell it like it is. • Listen intently. • Be a coach, not a judge. Managing employees is a • Reinforce the manager’s performance. lot like being an athletic coach. Effective coaching • Emphasize facts; provide concrete examples and involves a lot more than just score keeping. Simply specific descriptions of actions, work, and results. providing the score at the end of the game doesn’t • Give only positive feedback during this part of the improve performance. evaluation. • Discuss with the manager his or her reactions to the • Acknowledge improvements that the manager has ratings, making clear that you are interested in his or made. her feelings and thoughts. • Praise efforts if the manager has worked hard on • If appropriate, develop an improvement plan that something but failed because of circumstances includes areas of deficiency, developmental needs. beyond his or her control. • Describe performance that you would like to see DON’T: continued. • Rate the manager without the facts. Ratings should be on actual results. Discussing areas that need improvement • Be too general. • Gives insight into how the manager feels about • Sidestep problems. Document performance prob- change, improvement for growth lems and clearly identify what needs improvement. • Allows you to express any concerns you have about • Be vague or generalize the reasons for the perfor- the manager’s overall performance and performance mance scores. Clear and specific examples of results in specific areas should be available. • Lets you challenge the manager to higher levels of • Ambush the manager by identifying deficiencies or achievement. problems that have never been addressed in infor- mal discussions prior to the formal evaluation. • Minimize the manager’s concerns or discount his or her feelings. ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K 3 Introduction traditional evaluation approaches that have proven to be successful, along with some alternative methods that T here is some irony in the fact that managers’ may be good for your local government. Again, the key evaluations are often less formal and less struc- is to ensure that the evaluation takes place in a regular, tured than those of the managers’ employees. mutually agreed-upon manner and is viewed by all as While the manager may oversee the evaluation of an opportunity for communication between the elected hundreds of employees within an organization, his or officials and the manager. her own performance evaluation becomes the task of elected leaders who are often not formally trained in the The Purpose of Manager evaluation process or who have narrow or conflicting definitions of good performance. The fact that an elected Evaluations body with numerous members is charged with the task High-performance local governments embrace an of evaluating the manager makes the need for a clear ethos of continual improvement. Conducting regular and agreed-upon evaluation process even more impor- appraisals of the manager’s work performance is part tant. And a thoughtful and structured evaluation process of the continual improvement process. that is supported by all involved parties enhances the The purpose of the evaluation process is to ongoing communication that is fundamental to effective increase communication between the members of the board/manager relationships. elected body and the manager concerning the manag- A manager’s evaluation should contain performance er’s performance in the accomplishment of his or her goals, objectives, and targets that are linked to the assigned duties and responsibilities and the establish- elected body’s established strategic plans, goals, and ment of specific work-related goals, objectives, and priorities and should focus on whether the manager has performance measures for the coming year. The evalu- achieved the desired organizational outcomes. ation process provides an opportunity for the elected Sometimes the tone of a performance review can body to have an honest dialogue with the manager be unduly influenced by the manager’s last success or about its expectations, to assess what is being accom- failure. Judging performance on the basis of a single plished, to recognize the manager’s achievements and incident or behavior is a common problem that can contributions, to identify where there may be perfor- arise in any organization. But a single incident or mance gaps, to develop standards to measure future behavior should not be the sole focus of a performance performance, and to identify the resources and actions evaluation. That is not to discount the importance necessary to achieve the agreed-upon standards. of how a manager handles high-stress, higher-profile Keeping the focus on “big picture” strategic goals and issues, which is an important aspect of a manager’s behaviors rather than on minor issues or one-time responsibility. However, day-to-day leadership, which is mistakes/complaints leads to better outcomes. also a key responsibility of the manager, can sometimes Given that good relationships promote candor go unnoticed even though it provides the foundation in and constructive planning, the performance appraisal which high-stress, high-profile issues are handled. also provides a forum for both parties to discuss and ICMA has developed a list of 14 Practices for strengthen the elected body–manager relationship, Effective Local Government Leadership that is ensuring better alignment of goals while reducing mis- recommended to members who are considering their understandings and surprises. When elected bodies own professional development needs and activities. The conduct regular performance appraisals of the man- core areas represent much of what local government ager, they are more likely to achieve their community’s managers are responsible for on an everyday basis, goals and objectives. and competency by the manager in these practices is central to an effective, high-performing, professionally Basic Process managed local government. It is therefore the recommendation of ICMA’s Task Force on Manager Ideally, the performance appraisal process for a man- Evaluations that competency in the ICMA Practices also ager is the natural continuation of the hiring process. be considered in the manager’s performance evaluation. There is no one way, let alone one single correct How to Initiate way, to conduct an effective manager evaluation. Prior to the recruitment of candidates, the elected This Manager Evaluations Handbook will present body typically develops the goals and objectives for 4 I CM A M ANAGE R E VALUATI O NS HA N DB OOK the position of manager. Then, during the selection elected body may request that an evaluation pro- process, the candidate and the hiring body meet to cess be instituted, and the specifics for conducting discuss these items along with the long- and short- the evaluation can then be agreed upon outside of term needs and issues of the community. Through the provisions of the employment agreement. If the these conversations, the basic tenets of the manager’s request is made by the elected body, it is important to performance evaluation are identified. At this point, emphasize that the purpose of the evaluation process the performance appraisal process just needs to be is to serve as a tool for organizational improvement, formalized. When the employment offer has been not as a means of punishing the manager or setting accepted, the employment agreement should include the stage for termination. While elected officials, espe- the requirement and schedule for the manager’s cially those newly elected, may sometimes wish for a evaluation. change in management, the performance evaluation (Excellent tools for preparing the employment process should not be used to effect such a change. agreement are contained in the ICMA Recruitment Guidelines for Selecting a Local Government Adminis- How to Proceed trator and the ICMA Model Employment Agreement.) A number of issues should be considered when pre- The employment agreement should stipulate that paring for the evaluation process, including how to the performance evaluation will be a written document develop the rating instrument (and whether to use an and that all parties will meet to discuss the contents in outside consultant), how to use the rating instrument, person. It should also identify the frequency with which and whether the evaluation should be conducted in evaluations will take place (e.g., annually, semi-annu- private or in public. ally). By including this information in the employment agreement, the hiring body ensures that communica- Developing the Rating Instrument tions between the manager and the elected body will be Unlike most employee performance evaluations, in consistently scheduled, and that initiatives and objec- which the employee is evaluated by a single executive tives can be reviewed and updated on a regular basis. or supervisor, the manager’s evaluation is conducted It is especially critical for the elected body to come by a group of individuals acting as a body. As each to consensus on the initial expectations of the newly elected official likely has different expectations, the hired manager so that priorities can be assigned and board members must first come to a consensus on progress measured. Those issues that were important measures and definitions to be used. during the hiring process will logically factor into the initial evaluation process. Then, in the succeeding Using a consultant. If the members of the elected years, the document can be revised to reflect the latest body are inexperienced in the performance evalua- accomplishments and newest challenges. tion process, it might be helpful at this point to use an Of course, priorities may shift during the year. If independent consultant to assist in preparing for and that happens, make it clear to the manager that new conducting the manager’s evaluation. A consultant or changed priorities are being added into the evalua- could be used in a variety of ways. tion process. When designing the evaluation instrument, a con- If, with the passage of time, elections have taken sultant should solicit each elected official’s full participa- place and the board that is conducting the evalua- tion by asking for examples and details for each rating tion is not the same board that did the hiring, it is category. Whether this is accomplished by interviewing important that the newly elected officials immediately each official individually or by facilitating a group ses- be introduced to the established performance goals, sion, it is important to ensure that all voices are heard. measures, and evaluation process. This can be done as Use of an independent consultant is especially helpful if part of the orientation process for new board mem- there is a lack of cohesion among elected officials. bers, included in the discussion of the form of govern- Once the consultant has collected the information, ment and the role of the manager. If a new member the elected body and manager should meet in person has no experience in conducting performance evalu- to discuss the findings. It is recommended that the ations, he or she will need to receive training before in-person conversation with the manager to review the participating in this process. evaluation be conducted by the elected body with the If performance evaluations were not discussed assistance of the consultant but not by the consultant during the hiring process, either the manager or the alone. ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K 5 If funds are limited, a consultant could be used in a limited engagement to prepare an evaluation system The manager’s success in achieving the and then train the elected officials on how to conduct goals set by the elected body is related to an evaluation, which the officials may manage them- his or her competencies and behaviors with selves after the first year. respect to the specific functions identified as If the elected body decides to use a consultant, the the responsibility of the manager. Defining Society for Human Resource Management (SHRM) the strengths of the manager and identifying may be a source of referrals, as may be state munici- areas for improvement are part of the pal leagues or the local government’s regular employ- evaluation process. ICMA has a list of 14 core ment consulting firms. If a recruiter was used to assist areas critical for effective local government with the hiring process, the recruiter’s agreement management and leadership. While this could be extended to include the setup of the initial list, the ICMA Practices for Effective Local evaluation process. Government Leadership, was developed It is recommended that the evaluation process NOT for the purpose of ICMA’s Voluntary be facilitated by the local government’s corporation Credentialing professional development counsel, municipal clerk, or human resources director program, the elected body might find it because these individuals are not independent parties. helpful for identifying the specific observable In almost all cases, their positions have either a report- behaviors to be used in the manager ing or a cooperating relationship with the manager, so evaluation. It is suggested that the elected involving them in the manager’s evaluation may dam- body select what it believes to be the most age relationships that are necessary for the effective important areas for achieving its goals and and efficient operation of the local government evaluate the manager’s performance in these Proceeding without a consultant. If a consultant areas. The ICMA Practices are as follows (click is not used to facilitate the development of the here for descriptions): evaluation instrument, the elected body may wish to 1. Personal and Professional Integrity begin by reviewing the format and process used for 2. Community Engagement the other local government employees and considering 3. Equity and Inclusion the same or a revised method. It is important to 4. Staff Effectiveness understand, however, that a manager is evaluated 5. Personal Resiliency and Development in additional ways. Because of this key difference, 6. Strategic Leadership flexibility is needed to add any necessary components 7. Strategic Planning intended to assess varied goals and objectives and to 8. Policy Facilitation and Implementation facilitate a dialogue between the elected body and the 9. Community and Resident Service manager. 10. Service Delivery To be fair, the evaluation must be outcome based, 11. Technological Literacy using criteria that have been previously communicated 12. Financial Management and Budgeting to the manager and that incorporate the elected 13. Human Resources Management and body’s priorities. The use of a prefabricated generic Workforce Engagement evaluation form (even the sample forms found at the 14. Communication and Information end of this handbook) is not recommended without Sharing some customization to reflect these priorities. Measure observable behaviors and progress toward goals ideally through a strategic planning process. The manager’s job is to achieve the organization’s The members of the board must be in agreement goals and implement the policies that have been deter- about their expectations of the manager. Furthermore, mined by the elected body. Evaluating the manager’s both the manager and the board must understand effectiveness in achieving the goals necessarily means what the expectations are. that the elected body must have determined and The performance criteria established by the board communicated the goals to the manager in advance, for each of the prioritized functional areas need to be 6 I CM A M ANAGE R E VALUATI O NS HA N DB OOK specific and observable by the members of the elected itself. In addition, nothing in the evaluation ought ever body. If the criteria are quantifiable, they should to be a surprise. Ongoing conversations should be held be expressed in objective, measurable terms. For throughout the year (assuming that the evaluation is example, the manager saved 10% on the new project. done annually) to help the manager understand if he If the criteria are qualitative and subjective, they can or she is on course or if any midseason corrections are be expressed in terms of the desired outcome. For necessary. Ideally, the items in the evaluation will have example, members of the community and employees already been touched on in these conversations, so the frequently commented on the manager’s fairness dur- evaluation will serve as a written summary of them. ing this evaluation period. Public versus private evaluations Using the Rating Instrument When deciding whether to conduct the evaluation The usefulness of any performance evaluation process in a public or an executive/closed session, the depends almost entirely upon the understanding, elected officials, manager, and legal counsel should impartiality, and objectivity with which the ratings review state law. When possible, it is recommended are made. In order to obtain a clear, fair, and accurate that the performance evaluation process occur in execu- rating, an evaluator must clearly differentiate between tive/closed session between the elected body and man- the personality and performance of the manager being ager; however, many states have specific regulations rated, making an objective and unbiased assessment about whether and when the public may be excluded on the basis of performance alone. Fairness requires from attending a meeting involving the elected body or the ability to identify both the strengths and weak- from having access to certain records involving a public nesses of the manager’s performance and to explain employee. Such “sunshine” laws were first created to these constructively to the manager. increase public disclosure by governmental agencies. When an evaluation is completed by a group of The purpose is to promote accountability and transpar- people, it is important that it reflect the consensus ency by allowing the public to see how decisions are opinion of all members. All members of the elected made and how money is allocated. body should participate in the manager evaluation While all states have such laws, the exact provi- process in order to arrive at a consensus. This con- sions of those laws vary. For example, specific legis- sensus can be accomplished by having each member lation may require that all government meetings be individually rate the manager, followed by a group open to the public or that written records be released discussion to arrive at a final consensus rating for upon request. In many states, all local government each measure. Alternatively, if consensus cannot be records are available for review by the public, includ- reached, each member can individually complete the ing evaluation documents and notes, unless they are rating form, and then one member (or the consultant, specifically exempted or prohibited from disclosure by if one is used) can collect the forms and compile the state statutes. results and comments into one document, followed Regardless of whether the evaluation is conducted by group discussion. It is important that each mem- in a public or an executive/closed session, each state’s ber’s ratings, whether positive or negative, be backed statute will dictate certain procedures for meeting up with specific comments and examples so that the notification, recording of minutes, and disclosure of whole group understands the reasoning behind them. decisions made. These procedures should be reviewed If individual comments—those that do not neces- by the elected officials, manager, and legal counsel sarily represent the sentiments of the elected body as and followed throughout the evaluation process. a whole—are to be included in the final document that However, all final decisions or actions related to will be discussed with the manager, the board should the manager’s performance (e.g., employment agree- decide in advance whether those comments will be ment changes, compensation) should be made in a anonymous or attributed to the individuals making public setting. them. It is important to keep in mind that performance Frequency and Timing of evaluation is just one part of the communication toolbox between the manager and elected officials. It is Manager Evaluations intended to enhance that communication, not to result As previously noted, the manager evaluation process, in a periodic written “report card” that is an end in including the frequency and timing of the evaluations, ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K 7 take place until the elected officials and the manager Benefits of executive session/closed meeting have worked together for a year; however, short, to evaluate manager’s performance less formal evaluations are recommended on a quar- • Provides a venue for handling issues that are terly basis. After that, at least one formal evaluation best discussed in private, and ensures confi- (still with quarterly informal evaluations) should be dentiality until a decision is made regarding conducted per year, as longer intervals create a higher the manager’s performance likelihood of miscommunication and surprises. • Provides a forum that is not unduly influenced It is further recommended that the formal evalua- by outside sources tion be scheduled during the least busy time of year for both the manager and the elected officials, avoid- • Promotes a free-flowing discussion of com- ing both the budget preparation season (particularly if ments by the elected body and manager the manager’s compensation is tied to the evaluation) • Ensures the respect and privacy of person- and the election season (lest the manager’s evalua- nel dealings between the elected body and tion become an election issue). The scheduling should manager also allow adequate time for newly elected members • Improves communication between the elected of the board to become familiar with the manager’s body and the manager performance. • Reduces opportunity to politicize the perfor- mance evaluation process Relationship of Evaluation to Compensation • Provides a forum for the elected body and The primary purposes of a manager’s performance the manager to talk openly about topics that evaluation are warrant special attention, such as succession 1. To provide a tool for communication between the planning, senior staff performance, and execu- elected body and the manager tive compensation 2. To provide an opportunity for the elected body to • Enables elected officials to challenge the man- specifically indicate levels of satisfaction with the ager without fear of undermining his or her manager on mutually identified and defined perfor- authority in the community mance priorities Benefits of an open session/meeting to 3. To provide an opportunity for the manager to learn evaluate manager’s performance and improve • Can build transparency and trust by enabling 4. To allow for fair and equitable compensation members of the public to view the process adjustments based on a review of performance in • Can reduce claims of inappropriate agree- achieving mutually identified priorities and on the ments and “secrets” elected body’s level of satisfaction with the man- • Can improve elected body, manager, and ager’s overall performance. citizen relationships Performance evaluations that are tied directly to Benefits of providing a public summary once compensation decisions are often distorted by those the process is completed decisions and therefore result in less-than-honest com- munication between the elected body and the man- • Lets the public know how the elected body ager. This happens primarily because evaluates and views the manager 1. Elected officials wishing to offer upward compen- • Ensures transparency and public accountability sation adjustments may feel obliged to embellish • Promotes the embodiment of ICMA’s commit- the evaluation in a positive manner to justify the ment to openness in government compensation decision to the public. • Provides the organization with another oppor- 2. Elected officials not wishing to adjust compensa- tunity to earn the public’s trust tion may feel obligated to justify their decision with negative comments about performance mat- ters that actually are not a major concern to them. will ideally have been discussed as part of the employ- 3. The manager may be reluctant to seek full clarifi- ment agreement at the time of the manager’s hiring. It cation on issues raised in the evaluation for fear it is recommended that the initial formal evaluation not could result in a reconsideration of the compensa- 8 I CM A M ANAGE R E VALUATI O NS HA N DB OOK tion decision. second section contains an agreed-upon list of the To avoid these distortions in communication, a bal- goals to be accomplished during the next appraisal anced evaluation is necessary. That is, the evaluation period as well as any specific performance areas iden- should provide the opportunity for open communica- tified for improvement. tion and at the same time be used for compensation decisions related to identified performance achieve- What Others Are Doing: ment and corrective actions by the manager. To this end, a balanced evaluation would Survey Results 1. Establish a clear set of performance expectations In developing this handbook, the task force surveyed prior to the evaluation period. a sample of local government managers within the 2. Include a midterm evaluation without any con- United States to obtain information on current evalua- sideration of compensation in order to focus on tion practices. The key findings of the survey suggest clarity of communication and performance to date. that the evaluation process is a problem for a size- This evaluation would allow the manager to take able number of managers. Fortunately, though, most steps to address areas of performance that were of respondents did not report problems with their evalua- concern to the elected body; it would also help to tions and took the time to comment on key aspects of eliminate misunderstandings and miscommunica- successful appraisals. These comments provide clues tion between the elected body and manager. to the common pitfalls related to the evaluation pro- 3. Use a full-term evaluation to evaluate the level of cess and, more importantly, suggestions for improving performance satisfaction for the entire performance the process. This section of the handbook describes period and thus provide the basis for a fair and these survey findings. equitable compensation decision. The most common challenges managers and elected bodies face with the evaluation process revolve Often, factors other than the performance evalua- around four general areas: failure to undertake evalu- tion form the basis of compensation decisions. These ations, lack of a credible appraisal process, lack of nonperformance considerations include knowledge of the council-manager form of govern- 1. The economic climate of the community and ment, and lack of communication. Each of these top- region ics is briefly discussed below. 2. The general status of compensation decisions in the private sector of the community Failure to Undertake Evaluations 3. The compensation decisions for other employ- Employee appraisals are a standard feature of most ees of the local government workplaces. They serve as a means of enhancing 4. A general review of the competitive position employee performance as well as the overall effective- of the local government in the local government’s ness of the organization. Indeed, employee apprais- market area als serve similar purposes as performance measures 5. A comparative salary review. of programs and services. In both cases, we seek to In summary, the performance evaluation of a identify opportunities for continual improvement. professional manager can provide input into compen- Yet people avoid completing performance appraisals, sation decisions by the local elected body. However, most likely because properly completed appraisals the communication value of an evaluation is best require time and effort. Other reasons for avoidance served by a periodic evaluation not directly tied to may include fear of criticism or the underlying stress compensation. associated with the appraisal process. Neglecting to undertake regular performance appraisals, however, The Evaluation Results can lead to underachievement. Worse yet, failing to The evaluation serves as the written, formal record complete appraisals on a regular basis can lead to of the conversation between the manager and elected unfounded assumptions that all is well when it is not. body and consists of two important sections. The first It is therefore important to establish a regular pattern section is the elected body’s appraisal of the man- of appraisals. ager’s performance with respect to the previously The survey responses identified two methods to agreed-upon goals for the period under review as well help ensure that appraisals are conducted on a regular as the general performance of the organization. The basis. The most common method is to place a require- ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K 9 ment for an annual evaluation within the employment the explicit roles of the manager, elected body, and contract. The requirement should also specify a time other key staff such as attorney are clearly defined and of year—often a time that is less busy than others. documented. Removing misunderstandings and filling The other method is to establish an appraisal time at a informational voids about the form of government can regularly scheduled annual meeting, such as a board greatly improve appraisals because such efforts clarify retreat. But while this method achieves the goal of a the duties and responsibilities of both the manager scheduled appraisal, it is a less satisfactory approach and the board. because it may easily dilute the focus necessary for a good appraisal. Lack of Communication Perhaps the most important ingredient for success- Lack of a Credible Evaluation ful appraisals is effective means of communications Process between manager and elected officials. As in any human relationship, effective communication is key Another common challenge that survey respondents to understanding and removing faulty assumptions. noted is the lack of a credible evaluation process. Prob- Achieving superior levels of communication requires lems include lack of structure, little to no preparation, active listening and regularity. And the benefits of and limited understanding of appraisals, both purpose such attention are high. For instance, survey respon- and process. Process issues may be addressed through dents noting the most satisfaction with the appraisal formal training of both the manager and council. Train- process use a wide variety of means to regularly com- ing can be accomplished through work sessions with municate with their elected bodies. They meet with human resource professionals. Another approach is elected officials on an individual basis and talked with to team up with CEOs and board members of locally- them regularly via telephone. These same managers based institutions that have the same challenge and provide regular written and verbal reports, typically jointly sponsor training programs. Although not as at each board meeting, that discuss the progress on effective as training, the use of standard evaluation council goals and objectives, strategic plans, and forms, customized to a community’s goals, is another prior evaluation topics, as well as on operational and way of ensuring a more structured process. Lastly, most special topic issues. More detailed reports are provided managers who are satisfied with their appraisal pro- on a quarterly basis. In addition, many managers meet cesses noted that one member of the elected body, typi- with their elected bodies more than once a year with cally the mayor, provided active oversight of the process a single-issue focus to discuss progress, redefinition, and kept discussions on point and on track. and resourcing of established goals and objectives, strategic plans and efforts, etc. These additional meet- Lack of Knowledge of the ings provide time to focus on progress and reduce the Council-Manager Form of probability of end-of-year surprises. Creating an effective organization takes time and Government effort. It also requires regular evaluation of services Lack of knowledge about the community’s form of and operations. Evaluating employee performance, government and/or the day-to-day work of the man- especially the manager’s, is a vital element of success- ager is another factor that was cited as hindering ful organizations. Objective appraisals can be achieved quality appraisals. In this case, providing information with an accurate understanding of the manager’s and as early as possible to newly elected officials about elected officials’ duties and responsibilities. Commu- the form of government is recommended. This can nicating regularly and effectively through a variety of include meeting with those officials and discussing the means is a vital element of successful organizations manager’s duties and responsibilities as well as taking and employee appraisals.3 them on field visits. Another approach is to partner with the statewide municipal league and/or municipal Supplemental Approaches clerks association to provide seminars on the form The basic process for evaluations may be supple- of government. Managers can also use opportunities mented or expanded by using other tools, such as such as community functions to inform the general self-evaluations, periodic check-ins, 360-degree assess- public about its form of government. Some jurisdic- ments, and conversation evaluations. tions use the “policy governance” model, whereby 10 I CM A M ANAGE R E VALUATI O NS HA N DB OOK Self-Evaluations an opportunity to self-reflect on his or her performance as well as a forum to explain delays. It can also provide It is recommended that a self-evaluation component be the manager the opportunity to remind the board of the included in whatever type of evaluation is used. The 14 core areas noted in the ICMA Practices for Effective purpose of a self-evaluation is for the manager to reflect Local Government Leadership that are critical and are upon his or her level of performance in achieving the part of operating effectively on a day-to-day basis. organizational objectives, including both internal and A periodic check-in on the manager’s work plan is external accomplishments and challenges in handling also important when faces on the elected board change, specific tasks and taking organizational direction. In a such as after an election, resignation, or reassignment public setting, process and perception can be as impor- of committees. By apprising the new board members of tant as outcomes, and managers should include all the manager’s work plan, the manager is making cer- three in a self-evaluation. Thus, a manager’s self-evalu- tain that the new officials understand and are support- ation should make clear to elected officials the process ive of the projects or goals that he or she is working on. by which the manager pursued individual goals, and the perceptions of both the manager and stakeholders of the manager’s success or failure in meeting those 360-Degree Assessments goals. A manager’s self-evaluation should be custom- Another form of appraisal process is the 360-degree ized to the needs of each governmental entity. assessment, which is sometimes referred to as a “self- development” tool. Generally speaking, the 360-degree Periodic Check-ins assessment consists of an employee obtaining feed- back from supervisors, subordinates, and peers. In this There is a management philosophy that says there case, the manager completes a self-evaluation as well, should be no surprises during an evaluation. Managers with a sample of the workforce providing the subor- should be continually evaluating, assessing, measur- dinate feedback. In some instances, feedback is also ing, and communicating with employees. Providing obtained from those outside the organization, such as this type of continuous evaluation is a greater chal- citizens who have frequently worked with the man- lenge, however, for elected boards because it requires ager and use the jurisdiction’s services regularly. the participation of all board members—since the Some jurisdictions include the 360-degree assess- manager reports to a group and not a single individual ment as part of the manager’s appraisal process. The supervisor. If a process is in place for formal evalu- ICMA Voluntary Credentialing Program also uses this ations of the manager, such evaluations likely occur method as part of maintaining the credential; however, just once per year. The annual evaluation can be a ICMA’s assessments ask only behavioral questions. stressful time for all involved, and it can also be a They do not cover progress toward organizational goals. challenge to remember all that has occurred over the In most cases a 360-degree assessment is con- past year. Moreover, it is easy for annual assessments ducted digitally via the Internet. Raters are provided to skew toward recent events, challenges, and suc- evaluation forms that are returned to an independent cesses while deemphasizing activities that occurred third party via the Internet in order to ensure anonym- nine or ten months ago. In reality, an elected body’s ity and confidentiality. perception of a manager’s job performance is often One of the chief benefits of the 360-degree assess- viewed through lenses crafted by the “crisis of the ment process is that it provides feedback on compe- day” or by how smoothly the last board meeting went. tencies that are not regularly seen and therefore are A more workable alternative is periodic check-ins. not discussed in the typical performance appraisals. Periodic check-ins, such as once per quarter, can For instance, line staff will see behaviors that elected help reduce the stress and minimize the surprises that officials do not see and vice versa. Thus, a manager’s can come when a manager’s performance is evaluated performance may be improved because it is evaluated only annually. A periodic review of a manager’s work from several different perspectives. However, if the plan can help remind the elected body of the manager’s 360-degree assessment is used as part of the appraisal long-term goals (as set by the organization) so that both process, caution should be taken so that the evalua- parties can evaluate the manager’s progress toward tion doesn’t become a measure of the manager’s popu- meeting those agreed-upon goals. If progress on the work larity with staff or the public. The manager works for plan has slowed down or other challenges have arisen the elected officials and should be evaluated by them along the way, a quarterly check-in offers the manager on the basis of their stated expectations. ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K 11 Conversation Evaluation System4 expectations, 2 is below expectations, and 1 is far below expectations. For example, a 30-point factor This version of an evaluation is a conversational would have the following scale: session between the manager and the elected offi- cials. For situations where there is tension among 30–28 Far exceeds expectations (5) the elected officials or between the manager and the 28–26 Exceeds expectations (4) elected body, a facilitator can be used. 26–24 Achieves expectations (3) Step #1: Create Factors 24–22 Below expectations (2) The elected officials divide themselves into sub- 22–20 Far below expectations (1) groups—normally an equal number of officials in each. The number of groups should be small, so for These points are totaled, and then added to the a board with 7 members, there would be a group points from the section below. of 3 people and a group of 4 people. With larger boards—say a county board with 20 people—there Step #6: Select Goals might be more groups. Where the situation involves a The board—collectively and in consultation with the mayor and other elected officials, the mayor can move manager—comes up with the list of goals for the man- between the two groups or can be part of one group. ager. Together they then assign another 100 points to The manager makes up his or her own group. the goals for the year. So, for example, 50 points could The elected official groups are given a single ques- be assigned to Goal #1, Goal #2 could get 20 points, tion that they can respond to with a number of factors: and Goal #3 could get 20 points, leaving 10 points for “What should members of the elected body expect Goal #4. of the manager?” The groups place their answers on The points from the above 5 steps would be added a flipchart page. The manager also gets a question: to the 100 points possible from step number 6 and “What do you think the elected body ought to expect would be totaled for an overall score using the chart of the manager?,” to which he or she can also respond below: with a number of factors listed on a flipchart page. 400–360 Far exceeds expectations Step #2: Reach Consensus on the Factors 359–320 Exceeds expectations The subgroups come back together and discuss each 319–280 Meets expectations of the factors they listed. They work to combine their lists to arrive at between 10 and 15 factors. 279–240 Below expectations 239–200 Far below expectations Step #3: Assign Weight Values for the Factors The group divides again, and the subgroups assign In summary, this is a conversational evaluation. points to each of the factors from Step #2. They are The evaluators review the factors each year and given a total of 300 points and may assign from 10 to everybody owns them. From year to year the factors 30 points to each factor, but each factor must be given are revised as necessary to reflect the feelings of the an even number of points. More points are given to elected body, which can change each year. those items that are a higher priority. Step #4: Reach Consensus on Weight Values for Data-gathering/Software the Factors Resources The subgroups come back together again with the point values they have from their discussions. Dur- Performance evaluation software can be an effective ing this conversation, the entire group tries to come tool for the elected body to prepare manager evalu- to a consensus on how the point values from Step #3 ations. A wide variety of programs are available, should be allocated. enabling elected bodies to have as much or as little input into the rating categories as they wish. Some Step #5: Assign Rating to Each Factor for the programs come with rating categories already provided Actual Performance of the Manager for a variety of positions, some allow the customer to The elected officials distribute points to each of the provide the categories, and some are a hybrid. This factors on a 1–5 scale, on which 5 is far exceeds flexibility allows the elected officials to create a cus- expectations, 4 is exceeds expectations, 3 is achieves tomized rating tool that works best for them. 12 I CM A M ANAGE R E VALUATI O NS HA N DB OOK Some evaluation software programs allow for mul- methods of evaluation, the tools and methods used tiple raters and some for a single rater. If the program to evaluate one manager in one community may not only allows for a single rater, all elected officials convene be appropriate for another manager in a neighboring to discuss each category, agree on the rating, and offer community. To maximize legitimacy and effectiveness comments, while one elected official enters the rating and to enhance communication, a manager’s evalua- and comments into the software program. In this case, tion needs to be tailored to the issues and stated goals there needs to be trust among the elected officials that all of the elected body. opinions are being heard and recorded. It is then impor- That said, the task force also agreed that there tant that all elected officials review the final draft and are some standard elements—notably, the ICMA offer feedback before it is given to the manager. Practices for Effective Local Government Leadership— If a multiple-rater system is used, elected officials that would enhance any evaluation. These 14 core will be completing the evaluation away from the rest competencies are the framework for what a manager of the elected body, so it is recommended that there does on a day-to-day basis, and they warrant be group discussion beforehand to ensure consistency acknowledgment in the evaluation process. in the meaning of the rating categories as in opinions Finally, while this handbook offers a variety of about the manager’s performance. The elected officials ideas on the manager evaluation process, the most should also meet after they have entered their ratings important takeaway is that the evaluation must take because the evaluation is a group activity, not a mul- place and that the process must be mutually agreed tiple individual activity. upon. There are many ways to get this done, but the A word of warning regarding the multiple-rater manager and the board both deserve the structured system: It may be difficult to make sure that everyone communication that the evaluation provides. fully participates in the process. Elected officials won’t be informed by each other’s comments, and consensus Sample Evaluation Forms for can be hard to achieve. Thus, if some elected officials provide more commentary than others, it could skew Local Government CAOs the overall evaluation. • Sample Appraisal of Performance Even with the use of performance evaluation soft- • Sample Manager Evaluation Form ware, an in-person conversation between the elected • Sample Manager Performance Evaluation body and the manager is needed to review the evalua- tion and discuss the results. • Sample County Administrator Performance Evaluation As noted above, a wide variety of software pro- grams are available, including Other Resources • Online survey tools such as Survey Monkey • ICMA Practices for Effective Local Government • Performance evaluation software (SHRM can Leadership recommend) • Recruitment Guidelines for Selecting a Local • NeoGov online performance evaluation module Government Administrator • ICMA Model Employment Agreement Conclusion • ICMA Code of Ethics with Guidelines Communication. That is the essential element to main- taining a good relationship between an elected board Notes and the appointed manager. Communication comes in 1 Adapted from City Manager Performance Review, Successful many forms, but the board’s evaluation of the man- Evaluation Tips, City of Mountlake Terrace, WA ager is a formalized method of communication that 2 Integrity is not simply concerned with whether the manager’s should not be overlooked. behavior is legal; it also addresses the issue of personal and The task force that was formed to develop this professional ethics: “Demonstrating fairness, honesty, and ethical and legal awareness in personal and professional relationships handbook compiled and considered the best practices and activities.” ICMA members agree to abide by the ICMA Code for manager evaluations. The group shared numerous of Ethics. ideas and learned a great deal from each other. The 3 Perkins, Jan. “Case Study: It’s (Gulp) Evaluation Time.” PM, July final product demonstrates that just as each manager 2005. http://icma.org/Documents/Document/Document/3602 4 Adapted and used with permission from Lewis Bender, PhD, and board are unique, so too must be the evaluation Professor Emeritus, Southern Illinois University, Edwardsville, process for each manager. While there are common lewbender@aol.com ICMA MAN AG ER E VA L U AT I O NS H A NDB O O K 13 INTERNATIONAL CITY/COUNTY MANAGEMENT ASSOCIATION 777 North Capitol Street, NE @ICMA Suite 500 facebook.com/ICMAorg Washington, DC 20002–4201 linkedin.com/company/icma 800-745-8780 icma.org/kn icma.org City of Charlottesville Efficiency Study Report January 2017 January 11, 2017 Maurice Jones City Manager City of Charlottesville 605 East Main Street Charlottesville, VA 22902 Dear Mr. Jones: We are pleased to provide you with our report relative to the Efficiency Study for the City of Charlottesville. This draft report includes recommendations designed to improve the overall effectiveness and efficiency of City services. The recommendations contained in this report are based on our analysis of input and information provided by City staff and informed by industry standards and best practices applicable to Charlottesville. The City is staffed by thoughtful, dedicated employees who sincerely strive to do their best for the community and serve the organization. They are doing so by implementing many best practices we see in other high performing organizations across the country. We believe the recommendations in this report will augment staff’s ability to perform with increased efficiency and effectiveness. Thank you for the opportunity to serve the City of Charlottesville. Sincerely, Julia D. Novak President Table of Contents Executive Summary............................................................................................................................1 Summary of Recommendations................................................................................................................ 1 Methodology .....................................................................................................................................5 About the Charlottesville Community .................................................................................................6 About the City Organization ..................................................................................................................... 9 Management ................................................................................................................................... 13 Analysis and Recommendations ............................................................................................................. 16 Internal and Financial Services ......................................................................................................... 25 Analysis and Recommendations ............................................................................................................. 28 Healthy Families and Community ..................................................................................................... 55 Neighborhood and Development Services Analysis and Recommendations ......................................... 60 Parks and Recreation Analysis and Recommendations .......................................................................... 70 Infrastructure and Transportation .................................................................................................... 82 Analysis and Recommendations ............................................................................................................. 85 Public Safety and Justice ................................................................................................................ 112 Police Department Analysis and Recommendations ...................................................................... 114 Fire Department Analysis and Recommendations ............................................................................... 149 Appendix A – Community Forum Summary Appendix B - Sample Employee Recognition Programs Appendix C - Sample IT Cost Allocation Methodology The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 1 Efficiency Study Report Executive Summary Charlottesville finds itself in an enviable position. For many communities across the country, the Great Recession resulted in negative growth and a deteriorating economic climate. The City of Charlottesville, however, was able to weather the period without significant impact to service delivery or organizational structure – critical services remained fully funded and no layoffs or furloughs of City staff were implemented. This is due, in large part, to a history of sound fiscal management and prudent operational planning. Today, Charlottesville is thriving and is simultaneously working to support people in the community who find themselves living in poverty. A proactive City government cares about services for all its residents and Charlottesville has made this a priority. All major sources of revenue show positive growth, including sales tax, meals tax and lodging tax. Both residential and commercial real estate assessments continue to increase in value. Once again, the City was awarded a AAA/aaa bond rating on its latest issuance in May 2016 by both Moody’s Investor Services and Standard & Poor’s, respectively. On the economic development front, the City’s downtown continues to be a destination for the region. Vacancy rates are at an all-time low, and significant private investment continues to flood into the market. The value of commercial construction across the City in 2015 totaled more than $63 million. Throughout the community, the University of Virginia remains a positive presence. Its strong academic position contributes to a growing student population. The University, as the City’s major employer, also avoided layoffs and expects increases in student enrollment over the next decade. Charlottesville residents overall enjoy a high quality of life, according to the recently released results of the City’s 2016 citizen survey. They have come to expect, and appreciate, the City’s strong economic position. Maintaining this environment, and continuing to provide for a safe community, were identified as top priorities. It is with this backdrop that the City engaged in this Efficiency Study. Supporting and managing this thriving community is critical for the City organization, and not without its challenges. The City has invested in the organization and is building a culture of responsiveness and rooted in customer service. It is also an organization that continues to look for and implement best practices in all areas of municipal operations. As evidenced by this study, the City of Charlottesville is, by most accounts, a high performing, and efficient organization. However, the community and the City leadership continue to push the bar higher for the organization. These increasing expectations, without resources or redesigned processes to support them, have created a stressful organizational climate that is often complicated by changing priorities. The recommendations in this report are intended to help the organization more effectively meet this challenging environment and continue to provide the high quality of life that the community expects. Some of these recommendations will seem minor; others will challenge the organization by redesigning processes, procedures, and structures. Some can be implemented quickly; others will be an evolutionary process. The Novak Consulting Group Strengthening organizations from the inside out. Page 2 City of Charlottesville Efficiency Study Report By implementing these recommendations and focusing on prioritizing those services that are most important to the community, the City will enhance the services already provided by this high quality organization and further support the tremendous community atmosphere that exists throughout Charlottesville. Summary of Recommendations The following is a list of recommendations contained in this report. Management 1. Develop a prioritized annual work plan to strategically guide organizational efforts. 2. Implement a Budget Development system. 3. Utilize the results of the Employee Satisfaction Survey to prioritize organizational improvement initiatives. 4. Update the City’s employee recognition program to align with the City’s values and goals. 5. Conduct a survey to assess satisfaction with internal City services. 6. Automate the City’s agenda development process through the use of an agenda management software system. 7. Track workload in the Office of the General Registrar to determine most efficient allocation of personnel resources. Internal and Financial Services 8. Create a dedicated SAP Support Center. 9. Create a centralized risk management training program focused on reducing workplace injury. 10. Create an additional centralized Buyer position in Procurement. 11. Create turnaround time goals and track time associated with each stage of the procurement process. 12. Increase available training opportunities for City personnel involved in procurement. 13. Convert the annual property assessment process to a biennial assessment process. 14. Adjust existing cost allocation model to more equitably distribute IT service costs among departments. 15. Create a Public Safety Business Analyst position to coordinate help desk and business process issues with the Police and Fire Departments. 16. Evaluate Help Desk staffing and workload. 17. Enhance the capacity and role of departmental HR liaisons through a dedicated ongoing training program. 18. Require mandatory management and supervisory training for Charlottesville managers and supervisors. 19. Develop a formal organizational development policy and program for the Human Resources Department. 20. Create a centralized workforce planning strategy and assign implementation responsibilities to departments. 21. Implement employee retention best practices as part of workforce planning efforts. 22. Implement recruitment process improvements and cycle time targets. 23. Revise recruitment and hiring process to eliminate final HR Director approval of all hires. 24. Implement the practice of conducting employee performance reviews annually. 25. Conduct a classification and compensation study. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 3 Efficiency Study Report Healthy Families and Community 26. Engage the development community in a process to identify development review reforms. 27. Designate an Assistant City Manager as the owner of the City’s development review process and Chair of the Pre Development Meeting. 28. Implement a new development services software system. 29. Begin tracking workload data in order to make informed staffing adjustments. 30. Establish a practice and process for annually reviewing and adjusting the fee structure for Neighborhood Development Services. 31. Create a Parks and Recreation Master Plan. 32. Expand time tracking activities related to horticulture and mowing maintenance. 33. Establish service levels and maintenance schedules for custodial staff. 34. Formalize recreation program utilization goals and track utilization rates. 35. Establish annual cost recovery goals for golf operations and subsidize shortfalls in golf course revenue. Infrastructure and Transportation 36. Create an Operations Division in the Department of Public Works. 37. Create an Asset Management Division in the Department of Public Works. 38. Create an Engineering Division in the Public Works Department. 39. Create a Traffic function within the Engineering Division of the Department of Public Works. 40. Consolidate stormwater utility management in the Department of Public Works. 41. Locate the Environmental Sustainability Division in the Department of Public Works. 42. Transfer one Safety and Training Coordinator position from the Utilities Department to the Public Works Department. 43. Create a Gas Division of the Utilities Department. 44. Create a Water/Wastewater Division of the Utilities Department. 45. Create an Administration Division of the Utilities Department. 46. Create a comprehensive asset management plan for all Public Works Department assets. 47. Implement a work order system. 48. Include yard waste collection in the refuse collection contract. 49. Improve efficiency of leaf collection by utilizing the refuse contractor. 50. Shift maintenance responsibility for select Fire Department fleet to Fleet Management Division. 51. Staff the Facilities Maintenance Division to ensure staffing matches service level expectations. 52. Include annual facility maintenance and repair needs in the City CIP. 53. Review Enterprise Fund cost allocation methodology. 54. Minimize water system loss by enhancing residential and large meter testing program. 55. Resume annual transit customer surveys. 56. Approach UVA about increased ridership. Public Safety and Justice 57. Adopt the proposed organizational restructuring creating three functional divisions within the Police Department. 58. Implement a 12-hour shift schedule to create staff capacity for proactive policing efforts. 59. Track investigative caseload and clearance statistics. 60. Implement a process for review of patrol investigations by the Investigations Bureau and a quality assurance program for all investigations. 61. Establish standards for timeliness of investigations. The Novak Consulting Group Strengthening organizations from the inside out. Page 4 City of Charlottesville Efficiency Study Report 62. Update the Police Department Strategic Plan; track performance measures. 63. Implement an information-led, proactive policing strategy. 64. Review District boundaries. 65. Add financial review to spending approval process. 66. Streamline the reporting process. 67. Implement a vehicle replacement policy. 68. Periodically evaluate the Department’s take-home vehicle policy. 69. Review the impact of the Career Development Program. 70. Conduct a space needs assessment for Police Headquarters. 71. Install appropriate security measures in remote locker rooms and the parking area. 72. Develop a comprehensive false alarm reduction program. 73. Implement competency-based evaluations of firefighting, HAZMAT, and technical rescue skills. 74. Adopt validated physical agility test for use during the hiring process. 75. Partner with CARS to review medical calls for service and evaluate schedule. 76. Ensure adopted EMS service level standard for the City of Charlottesville is met. 77. Conduct a community risk assessment to inform the work plan of the Fire Prevention Division. 78. Establish accurate occupancy inventory and adopt inspection schedule. 79. Use collected data to determine appropriate staffing level for the Fire Prevention Division. 80. Adopt a preplan maintenance schedule. 81. Transfer maintenance responsibility for select Fire Department fleet to Fleet Maintenance Division. 82. Clarify Emergency Management responsibilities. 83. Civilianize the planning function of the Administration Division. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 5 Efficiency Study Report Methodology In June 2016, the City of Charlottesville retained the services of The Novak Consulting Group to conduct an Efficiency Study of the City’s organization. The purpose of this study was to analyze the organizational structures and operational efficiencies of key City departments. To complete this study, The Novak Consulting Group conducted extensive field work, meeting with elected officials, staff from each City department, and interested members of the community. In total, over 200 City staff participated in individual interviews or focus group sessions. Individual interviews were conducted with members of the City Council, and a meeting with representatives of the Charlottesville Area Development Roundtable was also held. Additionally, The Novak Consulting Group hosted two public community forums. A summary of the comments received at those two sessions is included in the appendix. The Novak Consulting Group also requested and analyzed background information provided by staff from each City department. Evaluation of budgetary information, workload measures, performance indicators, and other data resulted in a review of key departments’ core functions. The City of Charlottesville, through its budgeting process, has organized City services into primary Functional Areas: Management; Internal and Financial Services1; Healthy Families and Community; Infrastructure and Transportation; and Public Safety and Justice. Each City department falls under one of these Functional Areas, as noted in the following figure. Management Internal and Financial Services • City Council/Clerk of Council • Finance • Office of the City Manager • Human Resources • City Attorney • Information Technology • General Registrar • Commissioner of Revenue • Treasurer Healthy Families and Infrastructure and Public Safety and Justice Community Transportation • Convention & Visitors • Public Works • City Sheriff Bureau • Utilities • Commonwealth’s Attorney • Social Services • Transit • Courts and Other Support • Human Services Services • Neighborhood Development • Fire Services • Police • Office of Human Rights • Parks and Recreation Figure 1: Overview of City’s Functional Area Structure This report is organized to align with the Functional Area structure of the organization, although it should be noted that the responsibilities of City departments often cross functional areas. Each Functional Area chapter includes a high-level overview of the departments within it. Key operating departments are then analyzed in greater detail. 1Within the City’s budget, Internal Services and Financial Services are separate Functional Areas. For purposes of this study, these two Functional Areas have been combined. The Novak Consulting Group Strengthening organizations from the inside out. Page 6 City of Charlottesville Efficiency Study Report About the Charlottesville Community The City of Charlottesville has a population of approximately 45,000 residents. The City of Charlottesville is the county seat of Albemarle County, which surrounds the City. According to the 2010 Census, the City encompasses 10.24 square miles. The following figure shows the location of the City within the Commonwealth of Virginia. Figure 2: Location Map of the City of Charlottesville Population The City’s population has grown 16% since 2000. During this same period, the median age has increased from 26 to 29 years. The following table shows the population and median age according to the Census Bureau from 2000 through 2014. Table 1: Population and Median Age, City of Charlottesville, 2000-2014 Percent Population 2000 2010 2014 Change Total Population 40,099 43,475 46,597 16% Median Age (years) 26 28 29 14% Nearly half of the City of Charlottesville’s population is between the ages of 15 and 34. This median age is in part attributable to the presence of the University of Virginia (UVA) which draws in a population that may then stay in the area after graduation. The following figure shows the age distribution of the City’s population. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 7 Efficiency Study Report Population by Age, 2014 7% 13% 10% Under 15 years 15 to 24 years 25 to 34 years 21% 35 to 54 years 27% 55 to 64 years 65 years and over 20% Figure 3: Population Composition by Age, City of Charlottesville, 2014 The majority (70%) of residents in the City of Charlottesville classify themselves as White. A total of 19% of the City’s population classifies themselves as Black or African American. The following figure shows the racial composition of the City of Charlottesville. Population by Race, 2014 0.1% 0.4% 3.1% 7.1% White Black or African American 19.2% Asian American Indian and Alaska Native Native Hawaiian and Other Pacific Islander 70.2% Some Other Race Figure 4: Population Composition by Race, City of Charlottesville, 2014 Economy The City of Charlottesville’s economy is healthy, and slowly growing. According to the City’s FY2017 Budget, the metropolitan area’s unemployment rate has consistently been one of the lowest in the country, 3.5% in March 2016 as compared to the national average of 5.1% in that month. The Novak Consulting Group Strengthening organizations from the inside out. Page 8 City of Charlottesville Efficiency Study Report In 2014, the median household income in the United States was $53,482, compared to $47,218 in the City of Charlottesville. The largest employer in the City is UVA, which employs approximately 15,000 University employees and 6,000 hospital employees. Other major employers in the area include Albemarle County, the Federal Government, Martha Jefferson Hospital, State Farm Insurance, and Northrup Grumman-Sperry Marine. The area also boasts a thriving wine touring and tasting business, with over 30 local vineyards. Tourism also plays an important role in the City’s economy, with approximately two million area visitors each year.2 Nearly 40% of the City of Charlottesville’s employed population works in the educational services, and health care and social assistance industry. The following figure illustrates the leading employment industries in the City. 2.1% Employment by Industry, 2014 1.1% Educational services, and health care and social assistance 3.3% 2.6% 0.3% Professional, scientific, and management, and administrative and 3.5% waste management services 3.5% Arts, entertainment, and recreation, and accomodation and food services 3.6% Retail trade 39.8% 4.9% Other services, except public administration 8.7% Construction Manufacturing 12.8% Public administration 13.8% Finanace and insurance, and real estate and rental and leasing Figure 5: Employment by Industry, City of Charlottesville, 2014 Average annual unemployment in the City peaked in 2011 at 7.1% and has been declining since. In fact, unemployment has almost returned to pre-Great Recession levels. The following figure summarizes the average annual unemployment rate in the City of Charlottesville over the last 10 years. 2 Charlottesville’s 2015 Annual Fire Report, pg. 13. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 9 Efficiency Study Report Average Annual Unemployment Rate 8.0% 6.9% 7.1% 7.0% 6.4% 5.9% 6.0% 4.9% 5.0% 4.3% 3.9% 4.0% 3.5% 3.2% 3.1% 3.0% 2.0% 1.0% 0.0% 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 Figure 6: Average Annual Unemployment Rate, City of Charlottesville, 2006-2015 About the City Organization The City of Charlottesville operates under the Council-Manager form of government with legislative powers vested in a five-member Council. City Councilors are elected at large for four- year, staggered terms, with the Mayor and Vice-Mayor being elected from within the Council for two-year terms. Within the Commonwealth of Virginia, governmental jurisdictions do not overlap. The City of Charlottesville is independent of all other political subdivisions, including Albemarle County. As such, Charlottesville is responsible for services typically provided by counties, as well as cities, in other states, and maintains a number of departments that are managed by elected constitutional officers. The Council is responsible for appointing a City Manager to oversee staff and the professional administration of City functions not under the purview of the constitutional officers. This is evident in the City’s organizational structure as depicted in the following figure. While the constitutional officers were participants in this Efficiency Study, the majority of the analysis and recommendations in this report focuses on the operational departments under the authority of the City Manager. The Novak Consulting Group Strengthening organizations from the inside out. Page 10 City of Charlottesville Efficiency Study Report Figure 7: City of Charlottesville Organizational Chart, 2016 Budget Summary The City of Charlottesville has several different funds, including the General Fund, Enterprise Funds, a Capital Improvement Program Fund, Internal Service Funds, and other Non-General Funds. The breakdown between the General Fund, Enterprise Funds, and Other Non-General Funds is listed below. General Fund revenues increased by over $15 million in the past five years to $162,018,737 in FY2017, primarily due to a 17% increase in revenues from taxes. During this period, City/County Revenue Sharing revenues actually decreased by $2,229,028. The following table breaks down General Fund revenues by source and percentage change in revenue since FY2013. Table 2: City Budget Revenues by Fund, FY2013 - FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Revenue Source Actual Actual Actual Budget Budget Change Taxes $86,883,944 $90,308,313 $93,004,599 $96,739,283 $101,650,460 17% Licenses and Permits $9,345,830 $8,409,280 $8,722,170 $8,603,371 $9,080,523 -3% Intergovernmental $11,477,700 $12,368,027 $12,181,877 $12,337,927 $12,473,267 9% Revenue Charges for Services $11,706,280 $12,098,985 $12,298,815 $12,065,992 $12,187,131 4% Parking Fines $365,808 $349,090 $473,536 $450,000 $450,000 23% Miscellaneous $778,035 $1,127,023 $1,081,554 $928,000 $943,000 21% Revenue Carryover Funds $0 $0 $0 $141,659 $332,727 - Transfers from Other $292,600 $250,000 $575,000 $675,000 $500,000 71% Funds The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 11 Efficiency Study Report FY2013 FY2014 FY2015 FY2016 FY2017 Percent Revenue Source Actual Actual Actual Budget Budget Change City/County Revenue $12,720,948 $12,063,833 $11,467,895 $10,908,668 $10,491,920 -18% Sharing County Fire Service $526,856 $691,711 $0 $0 $0 -100% Fees Designated Revenue $12,554,634 $12,531,493 $13,176,170 $13,541,535 $13,909,709 11% TOTAL $146,652,635 $150,197,755 $152,981,616 $156,391,435 $162,018,737 10% The revenue generated by Enterprise Funds increased by less than 1% – primarily due to a decrease in Gas revenue – while other non-General Fund revenues increased by 4% over the last five years. The following table details historical Enterprise and Non-General Fund revenues between FY2013 and FY2017 and percentage change in revenue since FY2013. Table 3: City Budget Non-General Fund Revenues by Fund, FY2013 - FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Fund Actual Actual Actual Budget Budget Change Enterprise Funds Golf Course $842,786 $840,067 $888,893 $862,940 $884,340 5% Water $10,579,479 $10,717,243 $11,612,453 $11,753,839 $12,054,575 14% Wastewater $12,474,709 $13,348,466 $14,395,303 $19,325,436 $16,506,900 32% Gas $30,925,276 $34,751,748 $31,749,679 $26,818,699 $22,626,397 -27% Stormwater $0 $1,180,143 $2,281,038 $2,155,830 $2,936,080 - Other Non-General Funds Department of Social $11,714,527 $11,799,863 $11,882,016 $13,666,681 $14,039,006 20% Services Human Services Fund $4,481,630 $4,772,580 $5,314,050 $5,484,310 $5,908,462 32% Transit Fund3 $7,863,130 $10,165,082 $8,460,874 $8,874,614 $7,690,243 -2% Warehouse Fund $849,306 $835,975 $809,241 $168,390 $168,390 -80% Visitor's Center Fund $1,263,457 $1,397,732 $1,496,617 $1,508,453 $1,569,955 24% Fleet Management $2,817,899 $2,805,123 $2,370,226 $1,045,320 $1,052,000 -63% Fund IT Fund $4,122,371 $4,333,769 $3,972,202 $3,947,352 $4,129,052 0% HVAC Fund $569,013 $556,809 $524,477 $0 $0 -100% City Schools (non-GF) $13,855,366 $13,298,235 $13,516,041 $14,671,526 $14,914,382 8% TOTAL $102,358,949 $110,802,835 $109,273,110 $110,283,390 $104,479,782 2% For FY2017, the City of Charlottesville’s total budget is approximately $254 million. The largest percentage increase in expenditures was in the Local Contribution to Schools, followed by Healthy Families and Community and Public Safety and Justice. The following table summarizes the historical expenditures and the percentage change in expenditures from FY2013 in all funds by Functional Area. 3 Annual fluctuations are the result of capital needs and are impacted by State and Federal funds. The Novak Consulting Group Strengthening organizations from the inside out. Page 12 City of Charlottesville Efficiency Study Report Table 4: Total City Budget Expenditures (General and Non-General Fund) by Functional Area, FY2013- FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Functional Area Actual Actual Actual Budget Budget Change Management $3,783,380 $3,688,461 $3,728,151 $4,040,976 $4,243,274 12% Internal and $14,290,174 $14,050,553 $13,609,360 $14,728,237 $14,806,974 4% Financial Services Healthy Families and $46,681,282 $45,642,677 $46,161,786 $50,559,691 $50,960,772 9% Community Infrastructure and $75,945,455 $93,287,975 $88,771,401 $86,272,738 $79,789,166 5% Transportation Public Safety and $34,353,937 $35,015,555 $35,355,197 $36,061,317 $37,509,717 9% Justice Local Contribution to $43,106,198 $44,067,826 $45,632,399 $47,342,848 $49,330,604 14% Schools Other Designated $10,194,792 $8,723,199 $8,712,159 $7,292,000 $7,535,164 -26% Expenditures Non-Departmental $298,771 $187,377 $874,723 $460,415 $608,415 104% Expenditures Debt Service $7,050,000 $6,550,000 $6,465,000 $7,018,000 $7,468,000 6% Payment Fund Balance Target $0 $302,000 $0 $390,159 $494,611 - Adjustment Employee Compensation and $226,655 $929,151 $1,005,284 $959,105 $1,035,000 357% Training Staffing Summary Over the last five years, the total number of City employees has increased by 3% to 943.7 full- time equivalents (FTEs). The Management Functional Area saw the largest increase in FTEs (20%), followed by the Public Safety Functional Area (4%). Meanwhile, staffing levels in the Internal Services and Financial Services Functional Areas have not changed in the last five years and the number of FTEs in the Infrastructure and Transportation and Healthy Families and Community Functional Areas has increased by 2% and 1% respectively. The following table shows the historical staffing levels for each Functional Area percentage change in staffing since FY2013. Table 5: Historical Staffing levels by Functional Area, FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Functional Area Actual Actual Actual Budget Budget Change Management 23.0 23.0 24.5 25.0 27.5 20% Internal Services 33.0 33.0 33.0 33.0 33.0 0% Financial Services 60.0 60.0 60.0 60.0 60.0 0% Healthy Families and 244.0 241.8 243.8 247.5 247.0 1% Community4 Infrastructure and Transportation 288.5 288.0 289.5 295.7 295.7 2% Public Safety and Justice 270.5 270.5 280.5 280.5 280.5 4% TOTAL 919.0 916.3 931.3 941.7 943.7 3% 4 Does not include Convention and Visitor’s Bureau staff The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 13 Efficiency Study Report Management The City’s Management Functional Area is responsible for providing leadership and direction for City government. Departments under the Management umbrella include the City Council/Clerk of Council, City Manager, City Attorney, and General Registrar, as well as the Offices of Communications and Economic Development. In addition to the individual departmental budgets, funding for the Council’s Strategic Initiatives, Organizational Memberships, and Workforce Development Agencies are included in this area. While all City staff are expected to provide a high level of customer service to both internal and external customers, the Management Functional Area consists of highly visible functions which work directly with members of the public, government agencies, the media, and the business community. This area is responsible for guiding and directing the operations of the City and interacts daily with City staff and elected officials. Additionally, staff is responsible for implementing the City Council’s policies and decisions, providing legal advice, community engagement and communication efforts as well as driving the community’s economic development efforts and ensuring the integrity of the election process. The following is a general overview of each of these departments. City Council/Clerk of Council The Charlottesville City Council is the City’s legislative and governing body and is made up of five Councilors who are elected at large. The Councilors serve four year terms, and as a body they elect one Councilor to serve as Mayor and one as Vice Mayor (each serving a two year term). Councilors have staggered terms – three are elected in one year and two are elected two years later. The Council serves as the policy making arm of the City and has the responsibility for adopting the City budget, setting ordinances, levying taxes and collecting revenues. The Council is responsible for appointing the City Manager, the Director of Finance, the City Assessor, the Clerk of the Council, and numerous Board and Commission members. The Council has a designated Clerk of Council and a part-time Administrative Assistant who provide administrative support for the Councilors. The Clerk of Council is responsible for maintaining Council items such as agendas, minutes, actions, and correspondence. In addition, the Clerk serves as a liaison between Council and the public, provides customer service to the public, interacts with City staff, and coordinates Council meetings and appointments to boards and commissions. As of FY2017 the City Council Office includes 1.5 FTEs; Councilors are part- time positions and not included in the City’s FTE count. Office of the City Manager The City Manager serves as Charlottesville’s Chief Executive Officer. The City Manager’s Office is responsible for the daily operations of the City, including the implementation of the City Council’s policies and directives. The City Manager is supported by two Assistant City Managers who are responsible for the development of the City’s operating and capital budgets and the implementation of the City’s strategic plan; they also have direct oversight of departments under the City Manager’s purview. The City Manager’s Office also includes the functions of Communications and Economic Development. The Novak Consulting Group Strengthening organizations from the inside out. Page 14 City of Charlottesville Efficiency Study Report The Office of Communications serves as a liaison between the City and the public. Communications staff works directly with the media, engages in public relations efforts, and is responsible for coordinating citizen engagement and education activities. Communications is responsible for disseminating City information to the media and the public through press releases, the City's quarterly newsletter, programming on City Public/Educational/Government Access channels, social media platforms, and the City’s website. In addition, Communications staff coordinates public appearances and City events. The Office is also responsible for internal communication efforts between City management and staff and produces an employee newsletter. The Office of Economic Development is the City’s primary vehicle for economic development activities and workforce development initiatives. Staff in Economic Development are responsible for the City’s business recruitment, expansion, and retention efforts and is tasked with creating a vibrant and sustainable economy by creating quality jobs and increasing the community’s per capita income. The Office of Economic Development coordinates and administers the functions of the Charlottesville Economic Development Authority as well as a number of programs including Workforce Development (Downtown Job Center), the Business Visitation Program, and the Advancing Charlottesville Entrepreneur (ACE) Program. The Downtown Job Center assists area job seekers by offering assistance with job searches including the completion of applications, resume development, mock interviews, and administering six Growing Opportunity workforce development training programs. As of FY2017, the City Manager’s Office has 17 FTEs, including two new positions allocated during the budget process - a Redevelopment Specialist and a Communications Specialist (previously long-term temporary). City Attorney’s Office The City Attorney's Office provides legal assistance, support, and advice to the organization and City Council. Staff issues formal and informal opinions, drafts reports, ordinances and resolutions. The legal staff drafts, reviews and negotiates City contracts. In addition, matters related to zoning, procurement, insurance, and Freedom of Information Act (FOIA) are handled by the City Attorney’s Office. Staff provides assistance regarding personnel issues, coordinating with Human Resources staff, department directors, and supervisors. As of FY2017, the City Attorney’s Office has six FTEs; four attorneys and two paralegal positions. Office of the General Registrar The General Registrar is appointed for a four-year term by the City of Charlottesville Electoral Board. The Electoral Board is a three-member board appointed by the Charlottesville Circuit Court Judges. The Electoral Board is charged with conducting elections in Charlottesville and certifying the results. The Office of the General Registrar is responsible for facilitating voter registration, maintaining voter registration files, and working with the State Board of Elections. The General Registrar is responsible for the certification of candidate declarations, campaign finance management, ballot development, and the administration of absentee voting. In addition, the Office recruits and trains election workers as well as maintains and prepares voting equipment and supplies. Staff is responsible for polling place management, media relations related to the election process, and the effective implementation of all legislative mandates and policy directives relating to elections. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 15 Efficiency Study Report As of FY2017, the Office of the General Registrar has three FTEs and utilizes one long-term- temporary employee in addition to nine temporary employees to complete election related activity. Management Staffing and Budget The following table illustrates the Functional Area’s staffing levels over the last five fiscal periods, along with the percentage change in staffing since FY2013. Table 6: Management Staffing Trends (FTEs), FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Management Actual Actual Actual Budget Budget Change City Council/Clerk of Council 1.0 1.0 1.0 1.0 1.5 50% Office of the City Manager 13.0 13.0 14.5 15.0 17.0 31% City Attorney 6.0 6.0 6.0 6.0 6.0 0% General Registrar 3.0 3.0 3.0 3.0 3.0 0% Total 23.0 23.0 24.5 25.0 27.5 20% The Management Functional area has seen an increase in staffing from FY2013 to FY2017. Specifically, in FY2015 1.5 FTEs were approved to operate the City’s Downtown Job Center. In FY2017 the budget included funding for a Redevelopment Specialist, a part-time Administrative Assistant for the Clerk of Council, and the conversion of a long-term temporary position to regular full-time in the Office of Communications. The following table illustrates trends in the Management Functional Area’s expenditures over the last five fiscal periods, along with the percentage change since FY2013. Table 7: Management Expenditures, FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Management Actual Actual Actual Budget Budget Change Council Strategic $172,778 $94,204 $23,065 $127,860 $50,000 -71% Initiatives City Council/Clerk of $226,453 $229,141 $241,467 $251,323 $296,262 31% Council Office of the City $1,943,135 $1,951,286 $2,028,758 $2,122,645 $2,207,554 14% Manager City Attorney $719,119 $793,354 $821,828 $836,821 $859,509 20% General Registrar $580,726 $442,223 $430,100 $509,375 $636,417 10% Organizational Memberships, Workforce $141,169 $178,253 $182,933 $192,952 $193,532 37% Development Agencies Total $3,783,380 $3,688,461 $3,728,151 $4,040,976 $4,243,274 12% Budget increases in the Management Functional Area can be attributed to the addition of staff (Office of the City Manager, Clerk of Council) and increases in salaries, health care, and retirement costs. Offices in this Functional Area also saw an increase in Information Technology charges. The Novak Consulting Group Strengthening organizations from the inside out. Page 16 City of Charlottesville Efficiency Study Report While the Office of the General Registrar was impacted by the same increases in costs, additional increases are a result of funding allocated for temporary employees to help meet the operational needs of the office related to the 2016 Presidential Election. The funding allocated to City Council Strategic Initiatives is used to initiate, develop or expand programs that address the City Council’s priorities in alignment with the City’s goals and/or strategic plan or to fund requests from nonprofit and outside agencies for programs and events. The reduction in funding in FY2017 is due to less monies being available in the budget for this purpose. Analysis and Recommendations In addition to overseeing the operations of the organization, this Functional Area is responsible for the implementation of the City’s strategic plan and the City Council’s policy decisions as well as interacting with and providing information to the public and business community. The following recommendations focus on ways to provide more strategic direction to the organization and further develop a culture of continuous improvement in the City. Prioritization RECOMMENDATON 1: Develop a prioritized annual work plan to strategically guide organizational efforts. In 2008, under the direction of the City Manager, the organization implemented the Plan, Perform, Perfect Process (P3) process, with the goal of developing a performance management system. P3 focused on developing departmental strategic business plans, a performance measurement and management system, and a reporting mechanism. An outcome of P3 was the development and adoption of a three-year strategic plan in June 2014. Following the adoption of the strategic plan, an Implementation Team made up of City staff was established with the intent to lead the implementation of the plan and to keep staff and elected officials informed of the plan’s progress as well as any changes or updates. Currently, staff is updating the plan and will bring proposed changes to the City Council at their Fall retreat. The City’s strategic plan is intended to serve as a guide for the organization and assist in the allocation of City resources. The plan was developed with input from City management, department directors, staff members, and the City Council. In addition, over 60 City reports and documents were reviewed and used to assist in its development. The strategic plan includes the City’s vision and mission statement and establishes organizational values, goals and objectives as well as 60 strategic initiatives. In addition to P3 and the strategic plan, the City has undertaken numerous other initiatives over the past few years with the intent of guiding the organization. Additionally, to varying degrees, staff has been tasked with implementing existing plans and major initiatives including, but not limited to:  Council Vision 2025; Charlottesville Comprehensive Plan; Strategic Investment Areas; Street that Work; Zoning Code/Ordinance Audit; Urban Forest Management Plan; Bicycle & Pedestrian Master Plan; Pedestrian Safety Initiatives; Neighborhood Plans; Neighborhood Commercial Corridors; Redevelopment & Housing Authority Annual Plan; Capital Improvement Plan; Community Water Supply Plan; Sister Cities Commission Strategic Plan; Planning Commission Work Plan; Water Resources Protection Program; The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 17 Efficiency Study Report Charlottesville-Albemarle Regional Transportation Plan; Stormwater Pollution Prevention Plan; Parking Master Plan; Water Resource’s Protection Initiative; Community Climate Protection Initiatives; Business First Visitation Program; Workforce programs; and a number of master plans for City parks. In addition to these large initiatives, most departments have their own work plans, long-range plans, and projects in support of their departmental missions. The aforementioned list does not include the ongoing responsibilities of each department or new initiatives or priorities that are routinely developed. Individually, implementation of each of these plans or initiatives represents a significant investment of staff resources, as well as in some cases capital resources. Collectively, implementation of all of these represents more than the organization realistically has capacity to successfully complete. Inherently, implementation of these plans is intended to take place over several years. However, when the plans (and their specific initiatives) are not prioritized and thoughtfully incorporated into an organization’s ongoing responsibilities as a City government, timely and successful progress is rarely achieved. Rather, frustration and disappointment develop – on the part of elected officials, staff, and the community. This was evident in the interviews conducted throughout this Efficiency Study. To address this issue, the City Council, with support from City management, must provide intentional guidance regarding its strategic priorities. In order to do so, it is recommended that the City Council develop an annual work plan. An annual work plan allows the governing body to respond to the changing needs of the community while not supplanting the City’s existing planning efforts. It provides a vehicle for the Council to identify, collectively, those initiatives within the various plans that are to be prioritized by City staff in the coming year. Further, it established clear guidance and accountability to City staff. The City of Boulder is a progressive, high performing, leading edge organization with an active and engaged community, similar to Charlottesville. Last year, Boulder faced a similar situation – multiple planning efforts, developed by extensive public involvement, with high expectations for implementation, and limited staff capacity. Recognizing the potential for conflict, the Boulder City Council decided to participate in a priority setting retreat. Prior to the retreat, Council members completed a survey outlining their priorities for the 2016 work plan. Staff also provided the Council with a handout which organized their existing tasks/plans/projects by departments and included valuable information such as the time involved, staffing needs, public interest/participation requirements, and funding requirements. After reviewing this information, the Council had a question-and-answer session with the necessary staff and department directors. Once the Council had a better understanding of all the plans, projects and initiatives facing the City, the Council was able to make informed choices about their priorities and to subsequently develop a work plan for the coming year. After completing the work plan, the Boulder City Council discussed what should be done if new projects arise, particularly those that emerge from emergencies, strong community concern or unique opportunities. Council suggested the following measures to keep the workload manageable for themselves and for staff: The Novak Consulting Group Strengthening organizations from the inside out. Page 18 City of Charlottesville Efficiency Study Report  Develop criteria for when and how new items are added to the work plan in the future  Ensure staff checks with Council before adding anything to the agenda  Set a threshold for new and innovative topics  Clarify decision space on the agenda to ensure efficiency in public comment  Encourage staff to feel comfortable reminding Council how full the work plan already is  Encourage Council members to hold themselves accountable for not overloading the staff with new work items In Charlottesville, there is the perception that every inquiry and new project discussed by the City Council should be given the highest priority, which can result in confusion and inefficiency. This confusion results in staff members having difficulty determining what should be completed first and what truly is the most important. In addition, many new programs and initiatives may not be in alignment with existing plans, create duplicate work or result in adopted plans not being followed or implemented appropriately. It is important for decision makers to recognize and understand the impact that new programs and initiatives may have on staff’s existing workload and the work environment. An annual work plan would ensure the Council’s priorities receive the attention they expect, while providing clear guidance to the organization. Budget Development RECOMMENDATION 2: Implement a Budget Development system. The Novak Consulting Group reviewed the operating and capital budgeting processes utilized by the City of Charlottesville and compared them to budgeting best practices identified by the Government Finance Officers Association (GFOA). It is clear from that review that the City has implemented a number of budget process best practices. In the area of operating budget development, the City has developed a collaborative revenue development process that relies upon a committee of revenue officers, including the City’s elected constitutional officers, to develop reasonable revenue estimates for the upcoming year. These projections serve as the basis for the City’s departmental budget instructions and departmental budget request processes. Departments submit budget requests for evaluation by a Budget Development Committee. This committee supports the City Manager’s Office in the effort to analyze and evaluate those budget requests and compile a recommended budget for consideration by the Mayor and City Council. The budget is presented in a detailed format organized by functional service area, strategic plan priorities, and individual departments. The recommended budget is presented in several public sessions and deliberated upon during City Council work sessions. The Budget Office is led by the Assistant City Manager, who also serves as the Budget Director, and is staffed with two additional Budget Analyst positions. These positions provide analytical and development support during the budget process, ongoing budget monitoring processes, and the position control process. They also provide support to departments on budget related matters. Though the budget process meets many best practice standards for budget development and presentation, there are opportunities to enhance the analytical capacity of the Budget Office through system improvements. Like many departments in the City, the Budget Office has had to develop significant process work arounds to accommodate SAP restrictions. The City has not implemented the SAP budget module and, as a result, the budget is primarily developed on spreadsheets. Budget Office staff spend much time pulling personnel cost data from the Human Resources Information System (HRIS) and manually manipulating this data into spreadsheets that can be used in the budget The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 19 Efficiency Study Report process. Once adopted, the budget is manually loaded into the SAP financial system. This creates two fundamental challenges. First, it increases the likelihood of data entry error which then increases the number of budget adjustments that need to occur throughout the year. Second, and most importantly, it requires that important analytical capacity be dedicated to transactional efforts. This represents a lost opportunity to provide greater “think tank” analytical support to departments and drive special projects to completion. While the existing budget staff are able to meet the needs of the organization in terms of budget development, there are opportunities to provide enhanced analytical capacity to both City departments and elected officials by creating efficiencies in the internal budget development process. This can only be accomplished by decreasing the level and duration of transactional work required by the City’s budget analysts by implementing a budget development system that is integrated with the City’s HRIS and financial management systems. The City has two primary options available to meet this objective. The first option is to issue an RFP for development of a stand-alone budget development and reporting system that integrates with SAP through technology cross-walks. There are several benefits to this approach. First, it expands the City’s system implementation options beyond the limitations of SAP and will allow the City to select a budget development solution that best meets the City’s specific needs. Second, it will allow the City to concurrently implement reporting and performance measurement dashboard tools – which are common in most modern budget development systems. Another major benefit to this approach is that it provides a mechanism to reassess and revise the budget development and budget book production process. Most modern budget development systems include a budget document development feature. The process of implementing a new budget system will provide the dedicated project capacity (in the form of consulting support) to revisit and revise the budget presentation to improve transparency and readability for major stakeholder groups. The primary weakness of a stand-alone budget system is that it would not easily integrate with SAP without the development, and later maintenance, of technology cross-walks that integrate the human resource and financial accounting systems to the budget system. These can be expensive to develop and difficult to maintain. The second option available to the City is to fully implement the SAP budget module and to utilize the module for budget development purposes. However, as illustrated later in this report, there are a number of higher priority SAP improvements needed before the City can reasonably be expected to pursue budget module development. The primary benefit of implementing the SAP module is that the City is currently heavily invested in SAP. Regardless of past investment, the most important consideration is whether the system creates efficiencies and/or improves the budget development and reporting processes. With a disciplined implementation, a budget system has the capability to improve access to information, streamline decision making, and gain staffing efficiencies that provide enhanced analytical capacity in the organization. The Novak Consulting Group Strengthening organizations from the inside out. Page 20 City of Charlottesville Efficiency Study Report Continuous Improvement Culture RECOMMENDATION 3: Utilize the results of the Employee Satisfaction Survey to prioritize organizational improvement initiatives. The City of Charlottesville completes a regular Employee Satisfaction Survey which is designed to assess organizational climate and employee satisfaction with their work environment. The survey provides participants with an opportunity to offer ideas and suggestions on how to improve the workplace. The survey is administered by the University of Virginia’s Center for Survey Research and was conducted in 2006, 2010, 2012 and most recently in 2014. The survey includes topics such as understanding the City’s vision and values and perceptions on such things as the work environment, pay, benefits and their supervisor. By utilizing the same survey instrument, the City is able to assess changes in employee satisfaction levels over time. The results of the 2014 survey were positive overall and showed significant improvements in employee satisfaction when compared to the 2012 survey. The areas identified as needing the greatest attention were pay, benefits, performance appraisals, communication, dignity and worth as well as employee training and development.5 The organization should be commended for initiating the survey. Further, it is a best practice that should be repeated on a routine basis. Given that the most recent results are nearly four years old, it is appropriate to resurvey the organization. During interviews conducted for this study, staff reported feeling disconnected from City leadership and articulated questions and concerns about the organization’s priorities and how their individual department objectives, policies, plans and practices fit into the organizational vision. The survey provides a useful tool to objectively measure the areas of concern in the organization; more importantly, the survey results provide a mechanism to develop meaningful changes that will positively impact the employee experience in Charlottesville. To make the survey a more useful and valuable tool, the City must review the survey findings, discuss trends and issues, and develop action plans to address any areas of concerns – either organization-wide or in specific departments/divisions of the organization. If used effectively, the survey results can guide change within the organization and provide opportunities for continuous improvement. To engage staff in the improvement process, teams should be developed and tasked with helping to identify solutions to address issues raised in the survey. Allowing staff not only the chance to comment on their work environment, but also the opportunity to help improve it and become a part of the solution, encourages employee engagement, fosters creativity and communicates a message that City leadership values and trusts its employees. In addition, demonstrating that City leadership is taking steps to address the survey results indicates that the organization is dedicated to continuous improvement. RECOMMENDATON 4: Update the City’s employee recognition program to align with the City’s values and goals. Recognizing employees is an important way to improve morale and communicate that employees are valued, and appreciated. In 2005, the City adopted its current Employee Recognition Program. Recognizing that the program is now nearly twelve years old, it is appropriate for the City to review and update the existing program to ensure it is meeting its designed intent, the needs of today’s workforce, and the goals of the organization. 5 Adapted from the Executive Summary of the 2014 Employee Satisfaction Survey The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 21 Efficiency Study Report Employee recognition programs can positively impact an organization’s culture as well as boost morale, increase productivity, and reduce turnover. It is recommended that the City establish an employee recognition program aligned with the City’s values and goals to reward outstanding performance. Employees can be recognized in many ways such as through verbal recognition, certificates, plaques, gift certificates, and time off. Other ways to recognize employees can be through newsletters, on social media, on television, and publicly at meetings. The employee survey would be an ideal way to solicit feedback from employees about how they would like to be recognized. Forbes6 identified the following five best practices of employee recognition programs:  Recognize employees based on specific results and behaviors  Allow peer to peer recognition  Share recognition stories  Make recognition easy and frequent  Tie recognition to the organization’s value and goals The City’s existing program includes some of the elements listed above such as recognizing exemplary behavior, and it includes non-cash awards which allow department director’s to recognize staff and teams for outstanding work. Areas that should be addressed in an update of the City’s Employee Recognition Program include the ability for peers to nominate one another; mechanisms for sharing the stories of those staff who have been recognized; ensuring that recognition is taking place regularly (in the current program monetary awards are only given out at the end of the year), and tying the program to the City of Charlottesville’s values and goals. Most importantly, the program needs to be communicated to employees regularly and to become part of the ongoing conversations within departments in order for the City to experience the benefit of such a program. When an effective and modern recognition program is implemented and people start thanking each other, trust and engagement increase – improving employee morale, quality, and customer service.7 Sample employee recognition programs are included in the Appendix B. RECOMMENDATION 5: Conduct a survey to assess satisfaction with internal City services. As noted, the City of Charlottesville completes an Employee Satisfaction Survey. The City also recently completed the National Citizen Survey™. In addition, some City departments such as Information Technology and Public Works (Facilities Maintenance) conduct their own internal customer service surveys. The employee survey measures satisfaction levels throughout the organization, while the citizen survey gathers resident opinions across a range of City service issues. While the current surveys are useful tools, neither provides data related to the City’s internal services and the performance of individual departments whose customers are City employees. Oftentimes organizations forget that many of their most important and valuable customers are those inside the organization. For example, areas like Human Resources, Information Technology, Purchasing, Communications, the City Attorney, Finance, Facilities Maintenance 6 Adapted from – “New Research Unlocks the Secret of Employee Recognition,” Forbes, June 2012 7 Adapted from – “New Research Unlocks the Secret of Employee Recognition,” Forbes, June 2012 The Novak Consulting Group Strengthening organizations from the inside out. Page 22 City of Charlottesville Efficiency Study Report and Risk Management all provide critical support, develop programs, and allocate resources that enable other City departments to provide service to the public. It is recommended that the City conduct a survey that assesses internal services. The survey should be similar in nature to that of the National Citizen Survey, but instead of asking outside customers for feedback, it should focus on measuring internal customer service delivery. Measuring and gauging the performance and satisfaction of the City’s internal services will help the organization identify current issues or problems (what is and what is not working well), recognize needs that are not currently being met and assist in resource allocation. An internal services survey can assist in the City’s performance measurement efforts and can ultimately be tied to the City’s strategic plan. Individual departments will no longer have to complete their own customer service/satisfaction surveys, which will reduce duplication of work and streamline the process. The City could use existing staff and minimal resources to conduct an Internal Services Survey through the use of an online survey tool – such as Survey Monkey.™ However, the City could also choose to incorporate internal service delivery questions into the existing Employee Satisfaction Survey. Agenda Management RECOMMENDATION 6: Automate the City’s agenda development process through the use of an agenda management software system. The Clerk of Council is responsible for developing the agendas for the City Council meetings. Since joining the City in 2010, the Clerk has updated and streamlined a number of processes, including the agenda process. Before her arrival the City’s agenda process was paper based; those submitting agenda items were required to submit paper copies (including attachments) and copies of the agenda were printed for each meeting. Today the City is utilizing a more electronic process and Departments are no longer submitting or receiving paper documents. Today, to place an item on the agenda, the responsible staff member submits one electronic document via email to the Clerk of Council. Before submitting to the Clerk, staff is responsible for ensuring that the documents have gone through the appropriate approval and review process. From those electronic submittals, the Clerk creates one master agenda document. Once merged, the final agenda is posted online. The Councilors, staff and the public can view the electronic agenda via their iPad (or similar device) in preparation for and during the meeting. However, there is still the capability to print paper versions if needed. While the current process is a significant improvement to the previous paper process, there are still areas that are difficult to manage. Currently staff is responsible for having their agenda memos reviewed by the appropriate staff (supervisor, department director, Assistant City Manager) before submitting to the Clerk’s Office. This review process can be cumbersome and at times creates confusion as multiple versions of the memo are often circulating. In addition, specific staff members are required to approve and/or sign off on Council Agenda Memos before they can be submitted. The Clerk has no way to determine if the appropriate approvals/reviews have taken place and must assume that the documents submitted to the office are final and appropriately reviewed. In order to improve efficiencies and streamline the agenda process, the City of Charlottesville should automate the process through the use of an agenda management software system. There are a number of systems on the market which can be used to develop a comprehensive and The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 23 Efficiency Study Report automated agenda process as well as specifically address the issues related to review and approval. Benefits of an agenda management software system include the ability to:  Auto-create, assemble and update packets instantly  Track submissions using workflow automation  Identify and address bottlenecks in the process  Track agenda items after a meeting Agenda management software systems allow for the paperless submission of agenda items and attachments and have the ability to electronically route agenda items for approvals. The user has the ability to create an automated approval sequence and let the system manage the work. Selected approvers will be notified when the item is ready for their review. Approvers can review all item detail, supporting documents, make edits, as well as approve or deny the request through the system. The Clerk will no longer be receiving emails, instead would only need to access one system/site to develop the agenda. The City currently uses Granicus™ to stream City Council meetings and publish minutes; staff may want to review their agenda management module which could be added to their existing contract. The cost of an agenda management software system can vary and is dependent on a number of factors. The size of the organization, location, desired capabilities, application needs can all impact price. Additionally, the decision to house the software on the City’s server or use a web based or cloud application can also directly impact the price. The City may want to consider issuing a Request for Proposal when considering and comparing vendors and participate in demonstrations in order to determine which tools and modules best meet the organization’s needs. Registrar Workload RECOMMENDATION 7: Track workload in the Office of the General Registrar to determine most efficient allocation of personnel resources. The General Registrar is responsible for facilitating voter registration, maintaining voter registration files, working with the State Board of Elections, and carrying out other duties assigned by the Charlottesville Electoral Board. The current General Registrar took office in February 2015, and is currently in the process of administering her first Presidential Election. The Office of the General Registrar has three FTEs who are responsible for ensuring the integrity of the City’s electoral process. However, depending on the time of the year and type of election, temporary employees are used to meet workload needs. Currently, the Office is using one long- term temporary employee and upwards of 10 temporary employees. Temporary employees are used to provide office support (voter registration, forms, coordinating election details), community outreach (getting information about voter registration, election deadlines) and election equipment maintenance. The hours the temporary employees work can range from a full-time schedule to a few hours a week, depending on needs and time of year. Prior to the 2016 Presidential Election, temporary employees were used frequently in order to prepare for the election and provide office coverage during extended and weekend hours. The Novak Consulting Group Strengthening organizations from the inside out. Page 24 City of Charlottesville Efficiency Study Report While there appears to be a need for additional staffing (based on the use of a long-term temporary employee) in the Office of the General Registrar, it is difficult to quantify exactly what type or how many positions may be necessary. The FY2017 Budget allocated $51,000 to assist with additional salary and benefit costs as well as $24,000 for other expenses in order to properly staff and run the 2016 Presidential Election. Due to the fact that the General Registrar is relatively new to the position, the uniqueness of this Presidential Election and that detailed historical staffing data was not available to review, it is recommended that the Office of the General Registrar begin tracking temporary employee workload data to determine if there is a need for additional full-time and/or part-time employees. Tracking workload data can help provide decision makers with a complete picture of the type of work being completed, identify high need areas, and determine the true cost of an activity. Staff should begin capturing the following information:  Hours worked (by day)  Tasks/Projects completed  Time involved with each task Staff should work with HR and the Budget Office to develop a detailed picture of the hourly cost of each temporary employee and be able to determine the total cost attributed to temporary labor and each position for the Office. This data should provide a better understanding of needs throughout the year, and then be applied and adjusted during high traffic or busier times, such as a Presidential Election. Ultimately, the goal of capturing this workload data is to determine if it is more cost effective to hire full-time or part-time regular employees rather than continue using temporary staff indefinitely. There is a concern that the only individuals who know how to maintain and service voter election equipment are temporary employees. Temporary employees are more apt to leave, not return the next year or take another job. It could create issues within the organization if no one else knows how to maintain or operate the election equipment and the temporary employees were no longer available to work. The Registrar should look at this particular work area first and ensure the appropriate data is being collected. There may always be a need for the use of some temporary employees in the Office of the General Registrar due to the cyclical nature of the work. However, the data may indicate that it is more cost effective, and assist in managing the workload better, to augment temporary employees with additional full-time or part-time employees. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 25 Efficiency Study Report Internal and Financial Services The Internal and Financial Services Functional Area is composed of five departments: Human Resources, Information Technology, Finance, Commissioner of the Revenue, and City Treasurer. Human Resources Department The mission of the Charlottesville Human Resources (HR) Department is to “foster an environment that attracts, develops, motivates, and retains a diverse high performing workforce so the City is successful in its mission.” HR is responsible for recruitment, retention, employee benefits, wellness programming, and employee relations activities including resolving disciplinary issues, employee/supervisor conflicts, and employee development programming. As an internal services department, HR staff work closely with all other City departments and rely on Human Resources liaisons in each department to coordinate HR issues and process HR-related paperwork. These liaisons are not members of the HR Department, but work closely with members of HR to provide quality customer service to the City’s employees. This Department does not have formal divisions and most staff (7 FTEs in addition to the Director) report directly to the Human Resources Director. Information Technology Department The City’s Information Technology (IT) Department provides “quality public services through the strategic use of information technology.” The IT Department serves all other City departments and divisions and is divided into two operational divisions: Operations and Applications. The Operations division provides network, systems, and technical support to other departments primarily through the use of a centralized Help Desk. These staff respond to support calls and technical service inquiries generated from internal City customers. The Applications division includes software engineering, SAP support, and Geographic Information Systems (GIS) support for City departments. This division primarily focuses on creating custom software applications and specialized programs to assist departments with their particular needs. As of FY2017, IT is staffed with 19 FTEs. Finance Department The Finance Department includes six divisions: Administration, the City Assessor’s Office, the Office of Utility Billing, Procurement, Risk Management, and Warehouse. According to the City’s budget document, these divisions comprise two groups: Internal Services and Financial Services. Internal Services divisions include Procurement, Risk Management, and Warehouse Operations. The Procurement division consists of centralized Buyers who provide procurement support for all City departments. These Buyers shepherd the procurement process for all initiatives exceeding $5,000, as well as formal invitations to bid. The Risk Management division procures insurance policies for covering City facilities and provides a limited amount of risk management training to other City staff. Finally, the Warehouse Operations division operates the Central Warehouse at the City Yard and provides guidance and advice to departments who have their own warehouse operations. The City’s Central Warehouse serves as a central shipping and receiving point for goods, and warehouse staff are responsible for properly disposing of surplus property. Financial Services divisions include Administration, the City Assessor’s Office, and the Utility Billing Office. The Administration division provides management of the Department, accounting, and financial reporting services to City departments and staff, including accounts payable and receivable and debt management services. Additionally, this division is responsible for The Novak Consulting Group Strengthening organizations from the inside out. Page 26 City of Charlottesville Efficiency Study Report administering credit card programs and creating a variety of financial reports, such as utility rate studies, debt prospectuses, and annual financial reports. The City Assessor’s Office is responsible for assessing the City’s taxable property parcels. Assessments are currently performed on an annual basis and involve more than 15,000 property parcels in the City. In addition to assessing properties, this division administers the City’s tax abatement and supplemental assessment programs. The Utility Billing Office issues bills for water, wastewater, and gas (stormwater is a utility included on property tax bills). This office monitors accounts, processes requests to start and stop service, answers customer inquiries, issues disconnect and connection orders for customers, and works with a third-party provider to create and distribute utility bills. The Utility Billing Office also coordinates a variety of assistance and special programs, including the Gas Assistance Program; rebate programs for efficient toilets, water heaters, thermostats, and rain barrels; and assistance programs for water and wastewater services. Commissioner of the Revenue The Commissioner of the Revenue is an elected office which exists to “responsibly administer tax assessment and relief” for the City. In FY2017, it is staffed with 13 FTEs. This office primarily administers tax programs concerning personal property; business, professional, and occupational licensing; meals, transient occupancy, and consumption taxes; consumer utility tax; short-term rental taxes, vehicle license fees; public service corporation taxes; and bank stock taxes. In addition to overseeing these taxes, the Commissioner of the Revenue coordinates three special assistance programs, including Real Estate Relief for the Elderly and Disabled, Rental Relief for the Elderly and Disabled, and a Housing Affordability Grant Program. While the former two programs are primarily targeted towards elderly and disabled residents of Charlottesville, the Housing Affordability Grant Program provides grants to offset real estate taxes based on an applicant’s Federal Adjusted Gross Income and property values. City Treasurer The City Treasurer is an elected office with a mission to “promote the financial health of the City through professional collection, processing, and investment of revenue.” This office is the primary collection point for processing tax, utility, and other payments. This office also balances cash reserves and reconciles bank accounts on a daily basis. In addition to collecting and processing payments, the Treasurer’s Office is responsible for collecting delinquent revenues. The Treasurer’s Office also invests City reserves, bond funds, and school funds to maximize investment yield while minimizing risk to the City’s financial assets. The City Treasurer’s Office is comprised of 13 FTEs (in FY2017). Internal and Financial Services Staffing and Budget Authorized staffing levels across all of these Departments have remained constant since FY2013. The following table illustrates each Functional Area’s FTE staffing levels over the last five fiscal periods, along with the percentage change in staffing since FY2013. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 27 Efficiency Study Report Table 8: Internal and Financial Services Staffing Trends (FTEs), FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Functional Area Staffing Actual Actual Actual Budget Budget Change Finance Department 6.0 6.0 6.0 6.0 6.0 0% (Internal Services) HR 8.0 8.0 8.0 8.0 8.0 0% IT 19.0 19.0 19.0 19.0 19.0 0% Internal Services Total 33.0 33.0 33.0 33.0 33.0 0% Commissioner of 13.0 13.0 13.0 13.0 13.0 0% Revenue Finance Department 34.0 34.0 34.0 34.0 34.0 0% (Financial Services) Treasurer 13.0 13.0 13.0 13.0 13.0 0% Financial Services Total 60.0 60.0 60.0 60.0 60.0 0% The following table illustrates trends in Internal and Financial Services expenditures over the last five fiscal periods, along with the percentage change since FY2013. Table 9: Internal and Financial Services Expenditures, FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Functional Area Budget Actual Actual Actual Budget Budget Change Finance Department $3,395,456 $3,241,815 $3,467,416 $3,530,434 $3,281,615 -3% (Internal Services) HR $955,371 $1,024,792 $1,037,495 $1,057,733 $1,058,979 11% IT $4,639,202 $3,990,428 $3,265,545 $3,947,352 $4,129,052 -11% Internal Services Total $8,990,029 $8,257,035 $7,770,456 $8,535,519 $8,469,646 -6% Commissioner of $1,092,251 $1,058,331 $1,061,762 $1,202,989 $1,253,938 15% Revenue Finance Department $3,131,717 $3,582,833 $3,609,342 $3,765,290 $3,832,991 22% (Financial Services) Treasurer $1,076,177 $1,152,354 $1,167,800 $1,224,439 $1,250,399 16% Financial Services Total $5,300,145 $5,793,518 $5,838,904 $6,192,718 $6,337,328 20% Increases over this period were largely driven by rising healthcare costs, as well as budgeted salary increases. These were offset in Finance Internal Services by the elimination of a $325,000 transfer from Risk Management to the General Fund. Other increases driving expenditures include rising IT costs related to services and contractual software. The Novak Consulting Group Strengthening organizations from the inside out. Page 28 City of Charlottesville Efficiency Study Report Analysis and Recommendations The City’s Internal and Financial Services Departments each play a unique role in providing, processing, and accounting for specialized services critical to City operations. Staff in these departments possess a great deal of knowledge and experience and display a high level of dedication and commitment to their work. This dedication is notable on several fronts, including effectively organized utility billing and procurement operations, responsive customer service interactions, and genuinely supportive relationships among staff in each department. While these departments currently interact well and are oriented toward maximizing service delivery in their individual areas, there are opportunities to further augment practices and procedures in order to create staff capacity and achieve more efficient operations. The following sections detail specific actions the City can take to eliminate productivity roadblocks and create more productive, robust operations within these departments. SAP RECOMMENDATION 8: Create a dedicated SAP Support Center. The City implemented its current enterprise resource planning (ERP) software, SAP, in 2005. Responsibility for City-wide SAP administration is currently divided between the Finance and Information Technology Departments. The Finance Department’s authorized staffing includes two SAP Business Applications Specialists and a Program Specialist, and the IT Department is authorized with a Senior SAP Software Engineer and an SAP Software Engineer. At the time of this review, the Business Applications Specialist and SAP Software Engineer positions are filled, while the Program Specialist and Senior SAP Software Engineer positions were vacant. In addition to these dedicated resources, staff in various departments are responsible for some aspects of SAP administration in addition to their regular job duties. These staff are known as SAP “Team Leads” and are responsible for content and department-specific interface changes in the SAP system. Currently, the Business Applications Specialists assist City staff with diagnosing and troubleshooting SAP issues, testing SAP modules and system updates, reporting potential software problems to SAP Engineers, configuring SAP to better meet user needs, and developing training materials to teach SAP processes to City employees. If the nature of this work becomes technical or requires additional expertise, these staff work with the SAP Engineering positions in IT to effect changes. While the Business Applications Specialists are largely dedicated to Utility Billing, SAP Team Leads perform similar functions in other City departments. The Senior SAP Software Engineer and SAP Software Engineer are responsible for analyzing the root causes of SAP software issues and designing, developing, and implementing SAP system enhancements. If IT staff lack sufficient expertise to accomplish the requested changes, the IT Department contracts with a qualified vendor to adjust the SAP system. Given the City’s size and the complexity of SAP, it is likely each department will always need to be staffed with some personnel who are familiar with SAP and its administration, similar to the current Team Lead system. This is especially true for departments which utilize specialized modules, such as Human Resources, and for departments which perform complex tasks in SAP, such as Finance. However, while the current deployment of SAP resources creates a functional pipeline for diagnosing and troubleshooting issues, there is a systemic inability to implement systems and modules which would benefit the City, its residents, and its staff. For example, the City’s current The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 29 Efficiency Study Report SAP implementation does not utilize the software’s General Ledger accounting system, and the adoption of additional SAP modules, such as the HR Compensation module, is inhibited by the system’s current configuration. As a result, SAP solutions which could enhance staff capabilities and create capacity within the organization have not been implemented, and staff report using workarounds for processes which should properly occur in SAP. The bifurcated structure of SAP support functions has resulted in a lack of clear responsibility for SAP-related issues. Troubleshooting significant issues or creating modifications to the SAP system requires the input of staff from two departments (Finance and IT) with no centralized oversight. This can create accountability gaps between staff with SAP responsibilities due to a lack of supervisory coordination amid pressure to attend to other daily responsibilities. This observation has also been reported by other third-party consultants: in January 2016, the City received a report from Phoenix Business Consulting which outlined various challenges and opportunities associated with the current SAP deployment. While much of the report points to a need to begin utilizing SAP’s General Ledger system, the report also indicates that “there is no clear business owner for the system, nor has a dedicated functional support team been established to enhance and manage the SAP system.”8 Interviews and focus groups conducted by The Novak Consulting Group confirmed these observations. Staff reported an unwillingness to engage in SAP-related projects and cited technical as well as administrative challenges associated with providing robust support services. This issue was particularly noticeable in IT. The IT Department features an extremely robust application development team, with a proven record of creating in-house software solutions to better accommodate departmental needs. The dedication and expertise of staff in this unit is commendable and a rare occurrence in local government. However, while these staff are exceptionally talented and perform their jobs well, they avoid customization in SAP for several reasons, including a lack of in-house knowledge about SAP processes, the perception that SAP is too difficult to work with, and past experiences with SAP development that were perceived negatively by staff. In summary, the City’s challenge regarding SAP is twofold: first, staff with SAP responsibilities are not centralized, and additional coordination is required in order to effectively apply these resources to the City’s SAP deployment. Secondly, the City does not have sufficient resources to implement needed changes that will result in more effective SAP implementation and utilization, including the adoption of the General Ledger system and creating complex system customizations for internal customers. As a result of these challenges, the City finds itself in a situation where its central ERP program is not well-utilized by many staff, even 10 years after its initial implementation. The City currently pays approximately $458,000 per year in SAP user fees and spent over $110,000 contracting for SAP-related services in the last year. While these investments are significant, the overall benefit of SAP has not been fully realized due to the challenges described above. In order to maximize past and future investments in its ERP system, the City is faced with three options:  Continue with the present SAP deployment and configuration. This option perpetuates and potentially complicates current problems experienced by staff regarding SAP. In short, the challenges created by the present system will not disappear over the long term and will only become more intractable over time. As staff continue to utilize SAP in an ad-hoc manner and create independent workload processes outside SAP, the City’s 8 SAP System Review for Charlottesville Virginia. Phoenix Business Consulting. January 2016. The Novak Consulting Group Strengthening organizations from the inside out. Page 30 City of Charlottesville Efficiency Study Report approach to data collection will become more fragmented and difficult to pull together. This option requires staff to devote time to working around the SAP system as opposed to within it in order to achieve their goals and objectives.  Abandon SAP in favor of an alternative Enterprise Resource Planning program. This option presents several significant challenges to the City. First, while switching to a new ERP may present a “clean start” for the organization, the transition will not be easy for all departments. The City will incur significant monetary and time costs due to the need to draft and distribute a new RFP for ERP services, select a vendor, determine costs, create an implementation plan, and teach employees to use a new system. Additionally, data conversion costs associated with migrating existing SAP data to a new system could involve a significant amount of time, which will increase costs. While this option is a possibility, it is not recommended given the extent to which departments such as Utility Billing already utilize SAP.  More fully embrace SAP through the creation of a dedicated SAP Support Center. While this option will require restructuring staff and possibly recruiting additional staff with SAP experience, it presents significant advantages over the other options. First, this option will help ensure continuity in the City’s existing datasets. This is particularly important for City operations which are heavily invested in SAP, such as Utility Billing. Second, this approach will create a core SAP knowledge base with sufficient technical and business knowledge to recommend adapting current business practices, as appropriate. Finally, a dedicated Support Center will provide the City with options to more effectively utilize SAP, such as through the implementation of sophisticated system customizations, the creation of advanced reporting tools, and the deployment of more robust training and customer support services. Given the City’s history and continued monetary and data investment in SAP, it is recommended that the City pursue the third option and create a dedicated Support Center for SAP-related issues. This Support Center should provide not only basic SAP troubleshooting and process improvement capabilities, but include a complete process improvement methodology that is seamless within the organization. This will require intimate knowledge of customer business processes and needs, as well as significant application development skills and the ability to enhance SAP’s interoperability with existing software systems. As an end goal, the Support Center should be tasked with transforming the City’s existing relationship with SAP into one where City staff are continually utilizing, refining, and improving the SAP experience. There are two staffing options which the City can utilize to staff the proposed Support Center. The most direct and effective option is to hire additional personnel who are fully devoted to SAP tasks. While this option presents the clearest way to ensure staffing is sufficient to carry out SAP Support Center functions, it will also present the City with significant additional personnel costs. An alternative option is to reallocate SAP-related staff in the Finance and IT Departments to the SAP Support Center. Personnel assigned to the Support Center should be supervised by the existing Applications Manager. The following figure illustrates the composition of the SAP Support Center; positions transferred from the Finance Department are highlighted in green. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 31 Efficiency Study Report Figure 8: Proposed SAP Support Division Organizational Structure, 2016 This transition will result in an SAP Support Center with five SAP staff, including two Business Applications Specialists, two SAP Software Engineers, and a Project Manager, all reporting to a common supervisor. While the City will be able to leverage this structure to provide more coordinated SAP services to its departments, this staffing model will require transferring non-SAP functions from the Program Manager and Business Applications Specialists to existing department staff. This in turn will cause stresses among existing staff as new responsibilities are absorbed. It is also important to consider future staffing needs in the Support Center. As the Support Center matures, total staffing will change and is likely to be affected by a variety of factors. According to the Phoenix Business Consulting report, the Support Center should be sufficiently staffed so that each functional area in SAP has a dedicated staff member. More generally speaking, an accepted practice in SAP staffing is to balance help desk and general troubleshooting requests with business process requests so that individual SAP support staff can effectively and efficiently accomplish their workloads. Determining an appropriate staffing number is consequently dependent on the specific projects to be accomplished by SAP staff, the volume of SAP-related complaints and issues, the number of customers served, and the experience level of existing staff. It is not uncommon for organizations to provide functional business SAP support to internal clients while contracting for most technical SAP work. This is a practice currently utilized by the City which could be expanded in the future. After determining an appropriate staffing level for the Support Center, Deloitte recommends that SAP staff should measure a minimum of four performance indicators: SAP system uptime, the status of open and closed fixes, time and budget milestones for enhancements, and business requirements being met. These measures should be shared with the Support Center’s internal customers to enable more effective analysis of customer service and to identify potential process improvements in the Support Center itself. Additionally, Deloitte recommends that SAP staff attend SAP-focused training events designed to augment existing skills and teach new skills to Support Center workers. Training will help ensure staff remain current with the latest SAP developments in order to provide accurate, timely, and productive services to internal clients. The Novak Consulting Group Strengthening organizations from the inside out. Page 32 City of Charlottesville Efficiency Study Report Finally, it is important to prioritize the work of the Support Center to maximize the efficiency and effectiveness of its staff. Per the Phoenix Business Consulting report, SAP support will need to focus on several functions, including:  Prioritize enhancements through close collaboration with departments  Perform business process analysis  Configure and document the system  Collaborate with system developers  Maintain security roles and authorizations  Perform functional testing  Create web-based business process documentation  Provide formal role-based end-user training  Troubleshoot functional and technical issues reported by end users  Documentation of processes and procedures By placing greater organizational emphasis on the need to effectively utilize SAP and restructuring SAP functions to enable more focused and coordinated responses, the City will create additional institutional capacity to address SAP issues and concerns. This will position the organization to more effectively utilize SAP as a resource and continue making strategic investments in the SAP system to maximize value to the City and its staff. In particular, these strategic investments should focus on fully implementing the General Ledger system in SAP to increase the City’s capacity to effectively utilize the software. The next step is to determine appropriate SAP module implementations which will have the greatest effect on the City’s operations and budget. For example, personnel costs comprise a significant portion of the City’s annual expenditures – salary and benefits account for 30% of budgeted FY2017 expenditures in the General Fund alone – and it is appropriate to prioritize procuring and implementing Human Resource-related SAP modules as the Support Center matures. As stated previously, it will be necessary for staff in each department to provide business expertise regarding SAP systems; however, the level of complexity regarding module implementation will likely require contracting for outside assistance to support SAP Support Center and Department- level staff. Risk Management RECOMMENDATION 9: Create a centralized risk management training program focused on reducing workplace injury. Risk management activities are currently coordinated in the Finance Department, and are assigned to the Risk Management Specialist. This position reports to the Procurement Manager and is responsible for procuring insurance policies, including insurance for the City’s storage tank systems, fiduciary liability (retirement plan) insurance, volunteer insurance, general liability and property coverage, transit bus liability and property coverage, workers’ compensation excess insurance, workers’ compensation excess insurance audit, and line of duty insurance. In addition to these procurement responsibilities, this position is responsible for processing risk- related claims against the City (except workers’ compensation claims, which are processed by the Human Resources Department), and serves as a staff liaison to the City’s Safety Committee. The Safety Committee is composed of representatives from several departments and divisions, including Community Attention, Fire, Human Resources, Neighborhood Development Services, Parks Operations, Public Works (Public Services, Public Utilities, Transit, and School Bus), Recreation, Sheriff, and Social Services. The Committee responds to safety complaints and The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 33 Efficiency Study Report inquiries from City staff and receives regular updates regarding workers’ compensation claims and injuries from the Risk Management Specialist. The City’s Safety Committee does not provide or coordinate safety training opportunities for City staff, and responsibility for these training efforts falls largely to the Risk Management Specialist. These training opportunities include driver training for approximately 700 authorized City drivers on a biennial basis, as well as information sessions to communicate where City employees can access training resources provided by the City’s insurers. Outside of these opportunities, there is a lack of centralized safety and risk-oriented training provided to City staff on a regular basis. Notably, the Risk Management Specialist was recently tasked with creating a centralized training plan in conjunction with the City’s third-party administrator for workers’ compensation. The purpose of this effort is to identify gaps in training currently provided and to develop a more centralized training regimen for City staff. Some examples of these gaps include cardiopulmonary resuscitation (CPR) training, general occupational hazard and workplace safety training, as well as procedural training associated with workers’ compensation claims and other safety-related processes. The effort to augment and centralize risk management training opportunities is commendable and should be expedited as quickly as possible. Safety training is a critical component of educating staff and reducing the likelihood of workers’ compensation incidents. For example, during interviews, City staff reported that the most common cause of workplace injury is related to slip and fall accidents. In order to more effectively address the root causes of workers’ compensation claims and reduce risks to the City and its employees, the Risk Management staff should create and deploy an annual training program designed to mitigate the primary causes of injury and risk. This training program should be enacted in consultation with the HR Department. The goal of the centralized training program is to provide training which is applicable and useful to all City staff. At a minimum, this training program should consist of an injury prevention course designed to teach City employees about common injuries they may be exposed to in their lines of work. This training should be provided by the Risk Management specialist on a regular basis with support from Human Resources staff to discuss workers’ compensation issues, as appropriate. Other risk-related training may be provided by the City’s third-party administrator for workers’ compensation. As part of its existing contract with the third-party administrator, the City receives 60 hours of consultant time each year which may be applied to providing training for City employees. These hours should be dedicated to regular workers’ compensation training each year. It is appropriate for departments to offer targeted safety training which concerns highly specialized processes, activities, and environments that fall outside the scope of generally applicable risk management training. For example, it is not recommended that the Risk Management Specialist provide training regarding the use of specialized Public Works equipment, because this training is highly specific to one department. Rather, department managers should determine specialized training needs for their staff and provide access to such training independent from Risk Management’s centralized training program. In order to successfully provide this training to City staff, it is critical for supervisors and managers in all departments to recognize the importance of regular risk management training, and to make their staff available to attend such training on a regular basis. It will be necessary for the Risk Management Specialist to closely coordinate the timing and format of training events with each department in order to maximize attendance at risk-related trainings. The Novak Consulting Group Strengthening organizations from the inside out. Page 34 City of Charlottesville Efficiency Study Report Procurement RECOMMENDATION 10: Create an additional centralized Buyer position in Procurement. Procurement in the City of Charlottesville is currently handled in a decentralized manner. Each department has authorized personnel who may make purchases of $5,000 or less (or $3,000 or less if the purchase is made with Federal funds). In total, there are approximately 90 City personnel who can place these small procurement orders. These staff utilize SAP to complete purchase orders and interface directly with Accounts Payable to finalize purchases. Purchases over these amounts are processed by three central Buyers in the Finance Department who report to the Procurement Manager. Each Buyer is responsible for assisting approximately 11 departments and/or department divisions with procurement efforts, as illustrated in the following table. Table 10: Central Buyers and Assigned Departments/Divisions, 2016 Central Buyer Assigned Department/Division Budget and Performance Management City Attorney's Office Economic Development Fire Department Human Resources Buyer 1 Information Technology Neighborhood Development Services Police Department Public Works/Administration Public Works/Public Service Public Works/Public Utilities City Courts Commissioner of Revenue Commonwealth Attorney Jefferson Madison Regional Library Public Works/Fleet Buyer 2 Public Works/School Bus-Pupil Transportation Public Works/Traffic Public Works/Transit Sheriff Social Services Voter Registration and Elections City Manager's Office Community Attention Convention and Visitors Bureau Finance Department (Administration, Assessor, Procurement, Risk Management, Utility Buyer 3 Billing, Warehouse) Human Rights Parks and Recreation/Parks Parks and Recreation/Recreation The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 35 Efficiency Study Report Central Buyer Assigned Department/Division Public Works/Facilities Development Public Works/Facilities Maintenance Treasurer Central Buyers are responsible for providing these departments with support for large procurements, invitations for bid (IFB), requests for proposals (RFP), requests for quotation (RFQ), and sole source purchases. Central Buyers are solely responsible for the IFB and RFP processes. In addition to coordinating the procurement process, central Buyers draft contracts for all IFB and RFP efforts. If the procurement amount is greater than $100,000, central Buyers forward the contract to the City’s Attorney for review and approval. Central Buyers also provide drafting and review support for RFQs, although department staff are responsible for collecting quotes from vendors. In all procurement efforts, central Buyers are responsible for reviewing documentation and making awards. Additionally, central Buyer staff are responsible for term contract renewals and collectively process approximately 78 contract renewals each year. The following table illustrates the total workload assigned to these Buyers over the last several years. Table 11: Central Buyer Procurement Workload, FY2012-FY2016 Description FY2012 FY2013 FY2014 FY2015 FY2016 Invitations for Bid 69 79 89 78 52 Request for Proposals 28 23 36 21 25 Small Purchases - Reviewed/Approved 1,865 1,967 1,941 1,971 1,151 by Procurement (RFQ) Sole Source Procurements 14 17 37 15 26 Contract Renewals 78 78 78 78 78 Total Procurement Projects 2,054 2,164 2,181 2,163 1,332 Average per Central Buyer 685 721 727 721 444 The decline in average workload from FY2015 to FY2016 is attributable to a reduction in the number of small purchase/RFQ efforts requiring attention from central Buyers. This reduction is due to increasing the City’s purchasing threshold for single quotes and small purchases from $2,499.99 to $5,000.00. Even though the overall average declined in FY2016, this volume of procurement activity is significant. While not all procurements occur simultaneously and require different investments of staff time depending on type, it is not reasonable to expect that Buyers will be able to provide sufficiently detailed oversight of procurement activity while carrying this workload level. In 2012, the National Institute for Governmental Purchasing (NIGP) conducted a benchmarking study which included information on the average number of transactions performed by procurement staff. NIGP’s “Public Procurement Benchmark 2012 Survey Report” includes responses from over 200 government agencies across the country regarding procurement-related activities. Many of these agencies supplied data regarding the amount of workload allocated to each Buyer. The following table compares these benchmark figures to those performed by Charlottesville Buyers. The Novak Consulting Group Strengthening organizations from the inside out. Page 36 City of Charlottesville Efficiency Study Report Table 12: NIGP Buyer Workload Benchmarking, 2012 City of Charlottesville NIGP Benchmark Transactions FY2012-FY2016 per Buyer Average per Buyer Request for Quotes (small purchases) 28.2 593.0 Competitive Sealed Bidding - IFBs Issued 7.3 24.5 Competitive Negotiation - RFPs Issued 3.0 8.9 Sole Source Contracts Awarded 123.3 7.3 Total Transactions per Buyer 161.8 633.7 It is important to emphasize that the NIGP benchmarking survey does not provide extensive insights into the processes and methodologies of the communities who responded to the survey, but rather indicates only a high-level caseload amount. While Charlottesville’s RFQ average per Buyer is significantly higher than NIGP averages, these efforts consist largely of administrative review because department staff solicit quotes themselves. This reduces the impact of the caseload on the Buyer’s available time. Because IFB and RFP activity requires more stringent compliance processes in public-sector agencies, these indicators provide the most accurate comparison of workloads between NIGP benchmark communities and the City of Charlottesville. In both cases, Charlottesville staff are responsible for more of these transactions on average than peer staff who responded to the NIGP survey. As stated above, in addition to the procurement efforts themselves, Charlottesville central Buyers are also expected to draft contract language for each of these procurements, which adds time to the procurement process. Additionally, the number of departments assigned to each Buyer is significant and challenges the ability of Buyers to know and understand the depth of each department’s operations and needs in detail. In order to alleviate the workload burden on Buyers and to provide departments with more dedicated and personalized procurement support, it is recommended that the City add one additional central Buyer position to the Procurement division. This will allow the City to reduce each assigned Buyer’s departmental workload from 11 departments to eight departments, and reduce the annual procurement workload from an average of 660 procurements per Buyer to 495 procurements per Buyer. Adding another Buyer to the centralized Procurement staff will also create additional staff capacity to attend professional development training. As a best practice, NIGP recommends that professional procurement staff receive at least 20 hours of dedicated professional development training each year. According to the latest estimates provided by Charlottesville Procurement staff, each Buyer devotes approximately 24-40 hours each year to non-procurement related activities each year, including training provided to other City staff as well as professional development training. The additional Buyer will provide Procurement staff with an opportunity to achieve 20 hours of professional development training each year, as well as create additional capacity to engage in training efforts for other City staff, as discussed in the next recommendation. The estimated salary for an entry-level Buyer II position in the City of Charlottesville is approximately $47,500. Assuming additional overhead of 35% associated with benefits and other employee costs, the total cost to create an additional Buyer position is estimated at approximately $64,100 per year. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 37 Efficiency Study Report RECOMMENDATION 11: Create turnaround time goals and track time associated with each stage of the procurement process. The Department does not currently track cycle times or turnaround times associated with major procurement efforts, such as IFB and RFP processes. While the Department provided estimates regarding the number of days between the start of these processes and when a contract was awarded, there is currently no system in place to determine average turnaround times for various procurement types. It is important to set goals and targets regarding the number of days a typical IFB and RFP process should take. The target time should be based on the minimum amount of days required to make a procurement award given the City’s code requirements and current policies. Formalizing a target procurement time is important for several reasons. First, a formal goal creates service level expectations for central Buyers as well as internal customers regarding the average amount of time involved in significant procurements. These goals also serve as useful indicators of staff performance and allow the Department to set reasonable expectations regarding its ability to provide service given current staffing levels. In order to effectively measure its ability to meet deadlines and analyze factors that create delays in the procurement process, it is necessary to track data related to each phase of procurement. At a minimum, the Department should begin tracking timeframes associated with the following phases:  Calendar days from department request to solicitation posted  Calendar days solicitation was active  Calendar days from solicitation end to bid opening  Calendar days from bid opening to vendor selection  Calendar days from vendor selection to contract finalization and award  Percent of projects completed on time Collecting and reviewing this data will allow procurement staff to identify factors that increase procurement times and recommend adjustments to ensure procurements are conducted as speedily as possible while remaining legally compliant. RECOMMENDATION 12: Increase available training opportunities for City personnel involved in procurement. The decentralized procurement model utilized in Charlottesville is commendable in many respects. First, it provides departments with flexibility to meet immediate, low-cost procurement needs on their own without having to consult centralized procurement staff for approval. This expedites business processes in each department and empowers authorized purchasers to make appropriate procurement decisions. Additionally, the current system provides professional, centralized oversight where it is most needed, regarding high-value procurements and large procurement efforts involving the formal bidding process. However, a central challenge associated with any decentralized procurement model is the need to adequately inform staff of professional procurement standards and ethics, as well as keep all authorized Buyers current with the latest processes, procedures, and expectations for conducting procurements in an ethical and legal manner. To accomplish this, the Procurement Manager and various Buyers currently provide a number of training opportunities for other City staff, including courses on procurement ethics, small purchases, cooperative purchasing, sole source purchases, The Novak Consulting Group Strengthening organizations from the inside out. Page 38 City of Charlottesville Efficiency Study Report emergency purchasing, competitive sealed bidding, and competitive negotiation. However, these training opportunities are offered only on an annual or biennial basis. In addition to providing employee training, the Procurement Manager has created training materials (Easy Guides) to help inform staff about proper procurement practices and procedures. While the current efforts made by City staff are commendable and represent good-faith efforts to engage and educate Charlottesville employees, under the current model it is difficult to ensure that all of the City’s 90 authorized purchasers are sufficiently trained and kept up-to-date. In order to provide decentralized Buyers with current information on procurement practices and expectations, it is important to increase the amount of procurement training provided to staff by utilizing a defined procurement training calendar. This training should be provided by the Procurement Manager and centralized Buyers to authorized purchasers in each City department. At a minimum, training should be provided on a quarterly basis, and persons who are given procurement authority should receive an orientation training to familiarize them with the legal and professional requirements associated with those responsibilities. Importantly, creating a comprehensive training program of this nature will require significant staff time and attention. Given the current distribution of departments and divisions among centralized Buyers, there are 32 organizational customers for central Buyers to support. Assuming a quarterly training program will be provided for each customer and consist of one-hour long training sessions, this will require 128 hours of staff time dedicated solely to conducting internal training events, with additional time required for preparation. This is approximately 43 hours per central Buyer under the current model, and 32 hours per central Buyer if an additional Buyer position is created as described previously. Finally, it is important to coordinate these training activities with other departments and staff that provide regular training to City employees, such as the SAP Support Center, Human Resources staff, and Risk Management staff. Offering collaborative training events, where applicable and appropriate, will help maximize staff time associated with providing training as well as represent a potential time savings for staff who attend training events. Assessments RECOMMENDATION 13: Convert the annual property assessment process to a biennial assessment process. The Assessor’s Office in the Finance Department is currently staffed by the City Assessor, a position appointed by City Council. This position oversees three residential Appraisers and a Commercial Appraiser, along with an Administrative Assistant, a Transfer Clerk, and a Data Analyst. These staff are currently responsible for conducting property appraisals and maintaining assessment records for all properties in the City. Currently, Section 30-64 of the City Code requires that all taxable real estate property in the City be appraised annually for the purposes of assessing taxes. This process follows a regular pattern over the course of a year. Each January, the Assessor’s Office mails valuation notices to all property owners in the City describing their reappraised property values and assessments. Property owners then have until then end of February to appeal these assessments, and staff are largely occupied processing appeals through June. In August and September, Appraisers collect information necessary to perform reassessments and begin constructing reassessment models for properties assigned to them. This process continues through December, when reassessments are finalized and notices are prepared for January mailing. Throughout this period, Appraisers The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 39 Efficiency Study Report work with Neighborhood Development Services to provide appraisals for additions, remodels, and new construction. The actual task of calculating reassessment values is performed using a Computer Aided Mass Appraisal (CAMA) system. This system creates a statistical model of properties in a given neighborhood and computes a per square foot value given factors that affect a property’s marketability. In 2015, the Assessor’s Office replaced its previous system with VISION, and is in the process of migrating and cleaning data from the prior assessment system to the current system. During the conversion process to the CAMA system, errors in the City’s existing property appraisal dataset were discovered and require correction. Correcting these errors is largely the responsibility of the Data Analyst working collaboratively with the Assessors. Importantly, the Commercial Appraiser is solely responsible for appraisals, assessments, and appeals related to commercial and industrial properties in the City. While all Appraisers utilize the CAMA system to assess properties, commercial and industrial property appraisals and assessments rely on a different methodology and unique factors that do not apply to other property types, such as evaluating business income and expense information as well as working with industry investors. The other Appraiser positions share responsibility for evaluating residential and other taxable properties. According to the latest data provided by the Assessor’s Office, the number of taxable properties subject to assessment has increased in recent years, as has the number of tax exempt properties. The following table illustrates the total number of properties to be assessed each year by type, along with the number of parcels allocated to each Appraiser by type. Table 13: Appraisal Workload, FY2012-FY2016 Parcel Type FY2012 FY2013 FY2014 FY2015 FY2016 Exempt 521 551 571 573 576 Commercial/Industrial 1,815 1,685 1,701 1,678 1,669 Other Taxable 12,885 13,032 13,065 13,134 13,191 Total Taxable 14,700 14,717 14,766 14,812 14,860 Parcels per Commercial Appraiser 1,815 1,685 1,701 1,678 1,669 Parcels per Appraiser 4,295 4,344 4,355 4,378 4,397 The current practice of annual reassessments is a major workload driver for the Assessor’s Office, and presents two primary challenges for staff. First, the volume of appraisals creates a significant annual workload burden for Appraisers. As a best practice, the Assessor’s Office should reassess all properties simultaneously in order to provide a clear and accurate picture of property values in the City. This comprehensive assessment should include tax exempt properties as well; however, the Assessor’s Office has not been able to accomplish appraisals of tax exempt parcels due to the volume of taxable parcels. Second, the rapid annual assessment and appeals cycle leaves staff with limited time to resolve quality control issues regarding existing property records. This results in a backlog of parcels which have not been evaluated and parcel-related data which needs correction. The Novak Consulting Group Strengthening organizations from the inside out. Page 40 City of Charlottesville Efficiency Study Report While annual assessments provide more recent information on market trends and price fluctuations, the Assessor’s Office is currently unable to comprehensively assess all City parcels on an annual basis and lacks capacity to evaluate the quality of parcel information. In order to create sufficient capacity for staff to properly coordinate the assessment process, it is recommended that the City adopt a biennial appraisal period for City parcels. A biennial cycle is used by many Virginia jurisdictions, including the cities of Hopewell, Lynchburg, and Waynesboro. Moving to a biennial system will effectively spread the existing workload assigned to Assessors over a two-year period, and facilitate a more streamlined approach to assessment over a longer timeframe using existing staff. Assessing half of the City’s properties each year will create a longer timeframe in which to accomplish appraisals, including appraisals for tax exempt properties, and enable staff to devote additional attention to quality control regarding parcel information. Moving from an annual assessment to a biennial process will have impacts on the City’s property tax revenues. The primary disadvantage of a biennial process is that in active, high-value markets, the City’s assessments will lag actual market prices, meaning less revenue will be collected per parcel than would be collected under an annual assessment process. Conversely, an advantage of a biennial assessment process is that in a declining market where valuations are falling, the City will continue to receive revenue based on higher estimated property values. As an alternative to implementing a biennial assessment process, the City should consider augmenting staffing in the Assessor’s Office with the addition of at least one part-time position to help process assessments, particularly for tax-exempt properties, and to assist with quality control evaluations. Whether the City chooses to amend its process or add staff, there is also an opportunity to create capacity among existing Appraisers by implementing cross-training practices. For example, residential Appraisers could assume responsibility for a portion of commercial appraisals in order to develop new skills, which will deepen the capacity of the Assessor’s Office to address appraisals, increasing the depth of staff’s existing knowledge, and widen the pool of employees available to help process appraisals. Technology Cost Allocation RECOMMENDATION 14: Adjust existing cost allocation model to more equitably distribute IT service costs among departments. The IT Department currently charges for internal services provided to other departments using a straightforward user allocation model. In effect, the total cost for providing various IT services, such as IT operations, GIS operations, computer and infrastructure replacement, and telephone services, is divided by the total number of users who subscribe or benefit from the service. For example, the total cost of IT Operations for FY2018 is estimated at approximately $2.7 million. Given an estimated user base of 852.4 employees (including part-time employees) who are able to access the City’s network, this yields a total per-user fee of $3,137.45. Consequently, IT charges departments this fee for each full-time staff person with City network privileges, and prorates this amount for part-time staff. This approach is replicated for all services provided by IT, as shown in the following table. Table 14: Current IT Cost Allocation Model, FY2018 Estimate IT FY2018 Budget Allocation Total Budget Amount Total Amount per User IT Operations $2,674,373.00 $3,137.45 GIS Operations $64,155.00 $1,166.45 Computer Replacement $0.00 $0.00 The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 41 Efficiency Study Report IT FY2018 Budget Allocation Total Budget Amount Total Amount per User Infrastructure Replacement $250,000.00 $299.15 Telephone $223,765.00 $315.16 Total $3,212,293.00 $4,918.21 IT Operations includes salaries for IT staff, hardware/software licensing, and contractual services. GIS Operations includes Geographic Information Systems software licenses and contractual services related to GIS. GIS personnel salaries, server space costs, and other operational costs are covered under the IT Operations fee. Information Technology is not charging other departments fees for computer replacement in FY2018, but is charging an Infrastructure Replacement fee to maintain and replace servers, file storage, and other network infrastructure devices. Finally, IT also levies a fee for telephone services based on the number of extensions (including telephones, fax machines, credit card machines, paging systems, etc.) provided to each department. This cost allocation model blends fixed costs, such as software licensing fees, network access fees, and telecom utility fees, with non-fixed costs such as overhead associated with providing technical support assistance, application development services, and SAP-related support. While this model effectively allocates IT costs across City departments, it results in higher IT service fees for departments with large staffs (such as Police, Fire, and Public Works) without accounting for actual services rendered to each of these departments. While these departments may have larger numbers of users, those users may not account for a greater percentage of technical support and other requests made to the IT Department. This creates perceived inequities between the amount a department pays for IT services compared to the amount those services are actually utilized in practice. According to a 2013 publication titled “Pricing Internal Services” by GFOA, there are several models for selecting a basis of allocation for internal service costs. These include 9:  Cause-and-effect relationship: Allocate costs based on usage or causal factors relating to costs incurred by a service provider.  Benefit received: The basis for allocation should bear a relationship to the benefit the customer receives from the service.  Fairness: The method of cost allocation that will be used must be seen as fair and legitimate by the users of the costing system. The fee should be charged equitably based on use and other considerations.  Legal constraints: State laws may place constraints on how charges are developed. Many technology costs are hidden to end users because they involve annual licensing and maintenance fees, hardware and infrastructure replacement costs, and other charges common to all users in the organization. These costs generally fall into one of two categories: infrastructure- related fees and service-related fees. In a broad sense, infrastructure-related fees are assessed for hardware and software costs which comprise the backbone of the City’s technology systems, whereas service fees are related primarily to staff services such as project management, help desk troubleshooting, an application development. 9 Pricing Internal Services. Government Finance Officers Association. February 2013. http://www.gfoa.org/pricing- internal-services The Novak Consulting Group Strengthening organizations from the inside out. Page 42 City of Charlottesville Efficiency Study Report In order to improve fee allocations, the Department should proportionally allocate infrastructure- related fees to the greatest extent possible based on specific services indicators, such as the number of licensed software users for a given program, the proportion of available storage space utilized by each department, and the number of physical network connections available to each department. Once each Department’s proportional allocation has been determined for specific IT costs, these allocations should be utilized for future budgets. Proportional costs should be revisited and recalculated on a regular basis to ensure that changes in IT infrastructure, departmental staffing, and technology deployment are recalibrated to match the City’s technology environment. At a minimum, this reapportionment of costs should occur every three years. This methodology more equitably distributes IT infrastructure costs among large and small departments, and will help the City ensure that departments are responsible for a commensurate amount of these costs. A sample methodology is included as Appendix C. Information Technology Staffing RECOMMENDATION 15: Create a Public Safety Business Analyst position to coordinate help desk and business process issues with the Police and Fire Departments. While the IT Department provides technology services for all City departments and personnel, staff in public safety departments reported gaps in available IT service coverage and staff availability. As a consequence, both the Police and Fire Departments utilize their own department staff to coordinate some information technology functions and assets independently from the IT Department. In the Police Department, a Lieutenant oversees technology assets including mobile data terminals (MDTs), body-worn cameras, portable radios, cellular phones, and other technology assets. In the Fire Department, a Battalion Chief maintains the Telestaff personnel scheduling system as well as the Department’s records management system (RMS). While allocating responsibilities for these IT functions to department-level staff resolves the immediate needs of these departments in the short run, this practice is not recommended over the long term. Splitting public safety functions away from the IT Department introduces fragmentation in functional responsibilities and blurs the line between IT responsibilities and departmental responsibilities. This in turn complicates the relationship between these departments regarding technical support. For example, if Police and Fire staff act independently to acquire and configure software applications without including IT, it may be necessary for these departments to rely on additional contracted technical support rather than relying directly on IT staff. Over the long term, this is more expensive for the City and creates information gaps between IT and public safety departments. Given the evolving nature of Police and Fire operations with respect to technology assets and deployment, it is recommended that the IT Department create a Public Safety Liaison position specifically tasked with understanding the business operations of the Police and Fire Departments and the technology needs associated with these operations. This position should fulfill both a business process and technical support role for Police and Fire by providing insights into modern public safety technology practices as well as supporting each department’s existing technology assets. This position should be responsible for coordinating closely with the operations, application development, and SAP Support Center elements in the IT Department in order to maximize service delivery to public safety units while minimizing functional overlaps between public safety staff and IT staff. In short, the Public Safety Liaison position will serve as an effective bridge to link public safety technology needs to the City’s overall technology efforts, while troubleshooting and supporting technology assets already in place. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 43 Efficiency Study Report The creation of this position presents several advantages to the Police, Fire, and IT Departments. First, it represents an opportunity for the Police and Fire Departments to offload technology responsibilities to another City department with field expertise. This in turn will free up staff capacity in Police and Fire for personnel who are currently occupied with technology needs. Secondly, this position will provide IT with a full picture of each public safety department’s technical requirements and desired assets. Knowing this information will allow IT to plan more effectively in order to meet these needs while maximizing available funding and staff resources. Over the long term, this position will allow IT to become more familiar with public safety business practices and to identify technology synergies that will effectively serve both departments, saving the City time and money while reducing the need to rely on outside contractors for specific departmental support. The Public Safety Liaison position should report to the IT Operations Manager and work closely with other Technical Support Specialist positions to provide business process and technical support services for Police and Fire. Assuming an average hourly wage of $18.00, annual salary costs for this position are estimated at $37,400 per year. Applying an estimated benefits rate of 35% yields an estimated total compensation of $50,500 per year to support this position. This cost can be offset through attrition as public safety personnel devoted to technology leave the organization. RECOMMENDATION 16: Evaluate Help Desk staffing and workload. The IT Department currently tracks some Help Desk-related activity using a ticket system through SAP. This system is primarily utilized to track projects and issues which cannot be immediately addressed in a short timeframe. As a result, information in this system does not represent the entire workload of the IT Department, but rather only workload for which a ticket was created. Due to concerns by the Department about completeness and accuracy of the data entered into SAP, a specific breakdown of tickets could not be provided. There are a significant number of ticket cases addressed by IT staff on an annual basis, averaging over 3,500 each year. While the Information Technology Department generates the most overall workload, these tickets comprise a mixture of IT-specific projects as well as projects for other departments which were charged to IT cost centers (such as the procurement of new equipment or other miscellaneous tasks). Excluding calls generated by the IT Department, the Finance Department is responsible for the largest proportion of overall Help Desk ticket volume, followed by Public Works, the Department of Social Services, Police, the Treasurer’s Office, and the Parks and Recreation Department. Collectively, these departments account for 52% of tickets generated over the last three years, based on the numbers generated from SAP. In addition to the substantial number of cases addressed by IT staff, it is important to examine the cycle time associated with each ticket. Currently, the IT Department tracks the date a ticket is opened as well as the date it is closed. However, accurate information about cycle time was not available from the Department. The IT Department currently has three authorized positions to process Help Desk tickets and requests: a Senior Technical Support Specialist (currently vacant) and two Technical Support Specialist. While these staff serve as a front line of technical support, escalated requests are forwarded to other staff for review and resolution. The Novak Consulting Group Strengthening organizations from the inside out. Page 44 City of Charlottesville Efficiency Study Report The preliminary information provided regarding the volume of tickets and the significant amount of time each ticket requires appears to justify filling the currently vacant Senior Technical Support Specialist position as quickly as possible. Other recommended staffing changes will help to shift the burden for this technical workload, including the recommended Public Safety Business Analyst position in IT and the SAP Support Center. However, once data regarding the volume of tickets and the time needed to close them is verified, the City may consider adding another Technical Support Specialist position to further reduce impacts to other IT staff. Human Resources - Organizational Capacity Building Human Recourse management is a critical function of any organization. Highly functioning human resources departments provide a balance between professional human resources support to managers and employees and compliance management to ensure consistency and limit liability to the organization. There are two primary models of human resources service delivery – centralized and decentralized. Under centralized models, an organization is staffed with a robust central human resources professional staff who provide a single conduit for the resolution of personnel issues or the coordination of human resources services such as recruitment, organizational development and training, classification and compensation, performance management, recruitment and retention. The major benefit of a highly centralized model is that it creates the structure to ensure consistent interpretation and application of personnel policies and procedures. The primary negative attribute of a centralized model is that the process of filtering all personnel issues through a single department can inhibit responsiveness and negatively impact operating departments seeking to address personnel issues that impact daily operations. A decentralized model primarily relies on operating departments to manage human resource issues at the department level. Under this model, a small central human resources staff provides the policy structure and guidance for HR procedures and policies and offers support in the resolution of HR issues, but each operating department is responsible for individually interpreting and applying the organization’s HR practices. The benefit of this model is that it is responsive and flexible. It allows operating departments to act quickly to address personnel issues that impact service delivery. The primary negative attribute of this model is that it can result in the inconsistent interpretation of policies from one department to another. The most effective human resource departments are those that provide a balance between centralized and decentralized service, providing professional Human Resources support and guidance when needed while also creating the structure and support system necessary to enable departments to effectively and consistently manage personnel issues. The City of Charlottesville Human Resources Department attempts to provide that balance, but primarily utilizes a centralized approach. Staff interviews with Human Resources Department team indicate that the Department is a cohesive work unit. Staff seeks to support the work of peers and indicated a genuine effort to provide quality and responsible support to their customers in other City departments. This was verified in stakeholder interviews which largely indicated a high level of satisfaction with the responsiveness of HR personnel on day-to-day HR issues, such a recruitment questions, benefit changes or inquiries, the City wellness program, and the like. This a positive indicator for the Department and one that deserves commendation. However, there are also opportunities that deserve attention relating to process and organizational support. The Department has attempted to strike a balance between providing strong centralized oversight and support to operating departments, but primarily functions as a strong central HR department. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 45 Efficiency Study Report Though some processes and procedures are designed to primarily be managed at the department level, most require final oversight and approval from the Human Resources Department. For example, the recruitment and hiring process is primarily driven by hiring managers, but final hiring approval resides with the Human Resources Department, Budget Office, and the City Manager in cases when the job offer exceeds mid-point of salary range (a common occurrence). While largely decentralized, this process creates a bottleneck at the conclusion of some recruitments, which detracts from any efficiency gained through the decentralized approach and prolongs the hiring process. This has in turn led to some departments losing candidates who accept other positions. Though the City has attempted to create decentralized HR management capacity, professional development and training opportunities for managers and department appointed HR liaisons is limited. This in turn limits the ability of the HR Department to fully decentralize HR processes. In addition, though the department stakeholders are broadly satisfied with day-to-day HR services, there is a perception that major projects and initiatives, such as process of policy revisions, are difficult to initiate and carry forward to conclusion. For example, the HR Department has been leading an initiative to revise HR policies and procedures and the performance appraisal system for nearly a year, but has been unable to finalize and implement system changes. This creates dissatisfaction among employees who experience issues in existing processes but do not see a dedicated effort to address those issues. The Novak Consulting Group’s review of major HR projects and initiatives indicates that this issue is attributable to three key factors. First, the aforementioned difficulty in fully decentralizing HR decisions (e.g., recruitment decisions, hiring decisions) has created workload pressures at the executive level of HR. In addition, the HR Director has served as the City’s classification and compensation manager due to a vacancy. This has further limited the capacity to fully implement major policy or process initiatives in HR. Lastly, and most importantly, there is a need to prioritize the work of HR based on the City’s adopted service delivery approach and to build professional capacity within the entire organization to support that approach. Ultimately, the process of enhancing decentralized, departmental HR capacity will require a phased and thoughtful approach. The first and most important step in that process is to specifically define what functions will continue to be primarily performed at the central Human Resources Department level and which will be further decentralized to the department level. Typically, core centralized functions of Human Resources include policy and procedure development and oversight, workforce planning (e.g., retirement and succession planning), classification and compensation program management, and organizational development. It is then necessary to develop a specific training program designed to enhance, over time, the capacity of departmental HR liaisons. Doing so will create capacity in central HR to provide greater focus on strategic HR improvements. Specifically, there is need in the City of Charlottesville to develop more robust workforce planning and organizational development/training programs, and to carry forward major policy and procedure reforms that are currently underway. The following recommendations are designed to begin addressing those issues. The Novak Consulting Group Strengthening organizations from the inside out. Page 46 City of Charlottesville Efficiency Study Report RECOMMENDATION 17: Enhance the capacity and role of departmental HR liaisons through a dedicated ongoing training program. Currently, each operating department has designated individuals who serve as the point of contact or “HR liaison” for their departments. Typically, the individuals who are assigned that role are administrative support positions. Their primary HR related responsibilities include payroll, benefits questions and answers, benefits adjustments, new hire paperwork support, and other transactional HR duties. Though these positions serve as valuable resources to their departments and HR, there is little dedicated training to establish or enhance core foundational knowledge in HR practices, policies and procedures. As a result, the capacity of that staff to carry forward decentralized responsibilities consistently, and without onerous oversight from HR, is limited. This in turn impacts the HR Department’s capacity to carry forward broader strategic initiatives. Ideally, departmental HR liaisons should provide more enhanced HR service to their departments. For example, in highly functional liaison models, the positions will:  Serve as the initial contact person for all HR related questions  Coordinate the hiring process and new hire orientation  Manage the performance appraisal process  Complete all initial HRIS data entry  Serve as training coordinator and track training requirements for all employees  Write/review all job descriptions and reclassifications before submittal to HR Department for approval; and  Meet and communicate regularly with HR Department staff and other liaisons to stay abreast of current issues and policy changes If the current decentralized HR liaison model is to work effectively, each department or agency must have their own internal HR resource who is knowledgeable about their business and central HR roles and responsibilities. This model is valuable in that it provides departments and agencies with more control and flexibility in the delivery of HR services. While HR Department staff serve as a resource to each of the liaisons, the liaisons need to have a working knowledge of all HR service areas. For this to occur, it is necessary for the HR Department to provide proper training to each liaison generalist and to work closely with each liaison generalist to ensure correct and consistent application of HR policies and procedures. With more responsibility for day-to-day HR tasks shifting to the departments and agencies, the HR Department would then have the opportunity to reshape its role as a central service department. In a strategic, centralized role, HR will be able to provide dedicated attention to broad policy development, process improvement initiatives, and core service areas including compensation and classification, employment, organizational learning and development, workforce planning, and employee relations. Additionally, with less emphasis on tactical and transactional responsibilities, the HR Department will be better positioned to take on more strategic issues, such as leadership development, performance management, and other policy issues impacting the organization. Under a decentralized model, the current HR Department budgeted staffing level and organization structure would continue to be appropriate. Each HR employee would serve as the subject matter expert for their business area (e.g., benefits management, employee relations and discipline) and would provide support and consultative services to departmental HR liaisons. Those liaisons The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 47 Efficiency Study Report would take on greater responsibility for the management of day to day transactional HR issues, thereby creating capacity for each HR Department subject matter expert to serve as project lead for strategic initiatives in their areas of expertise. Currently, this role and responsibility is largely managed by one person – the HR Director – which limits the time that can be effectively dedicated toward these issues and impacts the timeliness with which such initiatives can be completed. It is important to note that the initial step in this process is to assess the capacity of existing liaisons to take on additional responsibilities. In the event that current HR liaisons are not well equipped, or interested, to take on the role, it will be necessary to evaluate the capacity within each operating department to reassign the role and responsibilities. Once HR liaison assignments are clarified and skills are assessed, a comprehensive training program should be developed by HR staff. The curriculum should be jointly developed by each of the HR Departments’ subject matter experts, who would be responsible for delivering each training module. In addition, refresher training courses should be conducted on an annual basis to ensure that changes are effectively communicated and that issues are identified and resolved as departmental capacity increases. RECOMMENDATION 18: Require mandatory management and supervisory training for Charlottesville managers and supervisors. In addition to building capacity at the HR liaison level to take on a greater role in transactional HR management duties, it is also important to build supervisory and management capacity to consistently and effectively manage employee relations and professional development in their departments and divisions. The most effective mechanism to ensure that central HR has sufficient capacity to focus on broader strategic improvements is to limit the number and frequency of personnel issues that require central HR intervention. This is best accomplished through a proactive supervisory and management capacity development program. Though the City’s organizational development and training policy is not formerly articulated, the HR Department provides a variety of training opportunities to City staff, including employee onboarding, computer training, and quarterly training to other departments on various topics. While the Human Resources Department offers management and supervisory training on specialized topics (e.g., EEO) through a third-party contractor, Department staff reported varying levels of participation due to the voluntary nature of the training. It is essential that managers and supervisors be exposed to training and best practices that educate them about their oversight role and responsibilities and equip them to be effective supervisors. As a best practice, good management training provides supervisors with a better understanding of their relationship to employees in the context of the work environment, the ethical considerations associated with supervising employees, strategies for understanding and effectively managing employee behaviors, and best practices for equitably evaluating employee performance. This training is a vital component of developing competent, informed managers who can build effective relationships with their employees, and must be tailored to fit specific considerations that affect different departments. To ensure managers and supervisory staff are continually apprised of best practices, legal issues, effective strategies, and other information associated with employee oversight, it is recommended that the City require all management and supervisory staff to attend training at least once per year. The City should continue its practice of utilizing a third party to offer management and supervisory training to all Charlottesville managers and supervisory employees. Offering this training through The Novak Consulting Group Strengthening organizations from the inside out. Page 48 City of Charlottesville Efficiency Study Report a reputable outside consultant helps ensure that all departments and supervisory employees receive instruction that is current, consistent, and tailored to their specific needs. Additionally, outsourcing this training to a third party provides a timely method to develop a training curriculum and approach that can then be carried forward on a recurring basis by Human Resources staff. It is not unusual for organizations to outsource supervisory training. According to industry surveys conducted by the Society of Human Resources Management (SHRM), approximately 46% of organizations outsource training and development programs partially or completely. Many organizations base decisions to outsource on available expertise and service level expectations. Given the considerations described above, it is important to more effectively utilize training provided by the existing third party contractor by requiring management and supervisory staff to attend training sessions. RECOMMENDATION 19: Develop a formal organizational development policy and program for the Human Resources Department. Training and organizational development is a shared responsibility in the Human Resources Department. Different HR employees are responsible for managing different portions of the training program, but there is no dedicated universal point of contact or central coordinating authority. The Employee Relations Manager serves as the Department’s training coordinator and provides training related to diversity, ethics, cultural competency, hiring practices, and supervisory training. Additionally, a substantial amount of training coordinated by this position focuses on issues pertaining to employee relations and equal opportunity employment, and the work of the position is primarily dedicated to employee relations investigations and disciplinary process oversight. Though the department offers a number of training programs throughout the year, there is no central training calendar that can be accessed by employees. More importantly, there is no broader organizational development policy and priority guidelines that determine what training is offered, when it is offered, and the expected outcomes. Organizational and workforce development is one of the most important functions of a central human resources department. The role of the Human Resources Department is to provide training and development support that allows each employee to thrive in their position and grow within the organization. To that end, it is appropriate to develop a proactive program to meet this need. The proposed policy should address the purpose and goals of the organizational development program. Additionally, it should clearly articulate the role of the HR Department, as well as the role of departments and agencies, in providing training and development opportunities. The types of training and development to be offered should be outlined, including leadership development, professional development, customer service training, and other behavioral and skill based- training. The policy should also establish minimum training requirements for all employees. Currently, departments and agencies track their own training participation. There is no centralized oversight. Once a policy has been established about the roles and responsibilities for training and development, it will be necessary to develop an effective curriculum and training calendar. The Department should continue the process of utilizing multiple staff for training delivery and, where possible, tap personnel from other departments to deliver training. However, the prioritized intent of the program and the anticipated outcomes should be clear. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 49 Efficiency Study Report Workforce Development and Employee Retention RECOMMENDATION 20: Create a centralized workforce planning strategy and assign implementation responsibilities to departments. It is anticipated that the City will experience a significant amount of turnover in the coming years. Approximately 10% of the City’s current workforce is eligible to retire with benefits. This number is likely to grow in future years as staff who have built up tenure become eligible to take retirement. Given these trends, it is important for the City to develop a comprehensive workforce planning strategy which will effectively meet its employment needs in future years. In best practice organizations, workforce planning is a strategic effort targeted toward meeting the long-range needs of the organization as well as the specific needs of each department. This is commonly achieved through several common practices, including:  Meeting annually or biennially with departments to discuss staffing issues – succession planning, upcoming retirements, organizational changes, etc.  Developing a classification system which provides for succession planning; e.g., a cadet program, internships.  Developing strategies to enhance the image of a career in government such as telecommuting, life cycle planning, and flexible schedules. To address gaps in its current workforce planning efforts, the City should create a centralized workforce planning strategy and assign implementation responsibilities to individual departments. The central component of a workforce planning strategy should be the responsibility of the Human Resources Department. HR’s role is to analyze staffing trends, recruitment patterns, and the organization’s future needs. This should be accomplished through the creation of an annual workforce planning report designed to provide a thorough overview of the City’s existing workforce. At a minimum, this report should include recruitment and retention trends, compensation information, personnel statistics, and other data which provides contextual information about the City’s workforce and sheds light on potential gaps in workforce capacity. Upon completing this report, HR staff should meet with individual departments to review the report’s findings and discuss how the findings apply to the department’s specific tasks and staffing needs. This meeting will set the stage for decentralized workforce planning work to begin. After meeting with HR to discuss trends, each department should be responsible for formulating specific workforce development plans in consultation with Human Resources. Departmental plans should include specific recommendations for addressing capacity, morale, and other needs which are high priorities for that department. This system positions Human Resources as a central evaluator of workforce trends that impact the entire organization, as well as a specialized internal services consultant for departments. Utilizing this structure to create a formal workforce planning process preserves and capitalizes on the decentralized role of many HR-related functions, while creating accountability mechanisms to address workforce development needs. Workforce planning should become a regular part of Human Resources responsibilities, and the Department should update its workforce report on an annual basis in order to stay abreast of employee trends. Departments should meet with HR staff each year after the workforce report has been updated and reviewed to update their individual workforce plans and respond to any changes that may have occurred during the last year. By routinely engaging in workforce planning efforts in this way, the City will create capacity for departments to effectively address their The Novak Consulting Group Strengthening organizations from the inside out. Page 50 City of Charlottesville Efficiency Study Report workforce needs, cultivate institutional knowledge, and identify patterns that threaten the stability of the City’s workforce. RECOMMENDATION 21: Implement employee retention best practices as part of workforce planning efforts. The City’s employee retention efforts are a second critical area in need of focus and attention. In recent years, the City’s vacancy rates have increased from approximately 29% to nearly 37% due to high turnover. The vacancy rate is the percentage of City positions which experience turnover, and is computed by dividing the number of recruitment efforts by the number of authorized staff each year, as illustrated in the following table. Table 15: City-Wide Vacancy Rate, FY2014 to FY2016 Vacancy Rate FY2014 FY2015 FY2016 Recruitment Efforts 263 286 347 Total Authorized City Staffing (FTEs) 915.11 931.24 941.64 City-Wide Vacancy Rate 28.7% 30.7% 36.9% High turnover was also reported during employee interviews and focus groups. Some staff indicated that high turnover prompts personnel in their department to “place bets” on how long new hires will stay before leaving the organization. These anecdotes, in conjunction with the vacancy rates illustrated in the table above, paint a picture of an organization that struggles to retain new employees. In addition to wearing on employee morale, high turnover rates are costly for the organization and create additional burdens for Human Resources staff, particularly through additional recruitments and time to properly train and orient new employees. Reduced employee longevity also contributes to decreased institutional knowledge and presents obstacles to building lasting rapport among staff members. Appropriately addressing high turnover and vacancies requires a thorough analysis of factors contributing to employee dissatisfaction. There are several best practices and strategies organizations can utilize to identify retention issues, address employee concerns, and foster a culture which welcomes and supports new personnel. For example, Loudoun County, Virginia recently developed a five-year workforce development plan which specifically identifies goals, strategies, and action steps designed to improve the County’s retention efforts. The County’s plan identifies actions which should be performed by Central Human Resources as well as individual departments, as outlined below:10  Centralized (through HR) o Make employee engagement and retention a County-wide strategic goal o Specifically assess the effects generational differences, gender, and minority status are having on the County’s retention through focus groups and random micro-surveying o As part of the diversity taskforce, create retention and engagement circles to discuss key retention issues related to generations, gender, and minority status o Provide retention tips as a supervisor tool on the intranet (“9 minutes on Monday”) o Review exit data quarterly to proactively address challenges  Decentralized (occurring in each department) 10 Five Year Workforce Plan Recommendations. Human Resources Taskforce. Loudoun County, Virginia. July 2016. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 51 Efficiency Study Report o Break down turnover data to provide departments with more detailed information on who has left their department in the last five years o Require departments to develop retention plans based on results and as part of their yearly workforce planning goals. Yearly retention strategies should include:  Department onboarding efforts  Mentoring/Partnerships  Training and development efforts  Potential areas for succession planning career development  Communication strategies (give meaning to employees’ work)  Employee feedback mechanisms (interviews, feedback sessions)  Change management considerations  Supervisor focus (efforts supervisors will make this year to further engage employees – 98% of employees don’t leave an organization, they leave a supervisor) Other core components of Loudoun County’s workforce planning effort include emphasizing the importance of supervisory training, enhancing work-life balance for employees, more effectively communicating each employee’s total compensation, promoting dialog on employee satisfaction, and improving the County’s exit process. Implementing similar best practices will significantly aid the City of Charlottesville’s efforts to reduce turnover and improve morale. As part of the annual workforce planning process, Human Resources staff should provide departments with some insight regarding turnover trends and work with departments to devise and implement effective employee communications strategies. This includes leveraging existing employee satisfaction surveys and acting upon the results to proactively address problems in the organization. Other strategies are more fully discussed in this report, including expanding supervisory and other training opportunities, providing effective annual performance reviews, and expanding cultural surveys of employees. By collecting this information and utilizing it to inform employee retention decisions, Human Resources staff will add value to the organization by assisting departments with individualized retention plans and suggesting strategies for more effectively addressing retention issues. Recruitment Process Improvements RECOMMENDATION 22: Implement recruitment process improvements and cycle time targets. As an internal services function, one of the most important roles of the HR Department is to ensure departments in the organization have qualified staff to fill each of its authorized positions. This includes helping departments minimize the time a position remains vacant. The need to enhance the timeliness of recruitment efforts was one of the key themes identified in conversations with HR’s stakeholder departments and hiring managers. In response to this concern, The Novak Consulting Group reviewed recruitment process time data from the City’s NeoGov recruiting system. Over the past three fiscal years, it has taken an average of 70 days, or just over two months, to fill a vacant position from the point the vacancy was created in the NeoGov system to selected candidate’s start date. In the most recent fiscal year (July 2015 through June 2016), the Human Resources Department aided departments with 347 discrete recruitments. The average cycle time for each major phase of the recruitment process is summarized below: The Novak Consulting Group Strengthening organizations from the inside out. Page 52 City of Charlottesville Efficiency Study Report Table 16: FY 2015 Recruitment Process Cycle Time Summary Recruitment Process Step Average Days to Complete Department creates recruitment record in NeoGov Process Start Human Resources issues job posting 13 days from process start Position advertisement period 25 days from position positing Application minimum qualification review and referral to 2 days from position closing hiring manager Hiring manager review and selection process employee 29 days from referral of start date applications Total Process Time 69 Days The Novak Consulting Group’s review of the key steps in the process indicates that the recruitment process cycle time is generally reasonable to advertise for a position, conduct application screenings, conduct interviews, select a candidate, extend and negotiate a job offer, and address all new hire processing requirements (background checks, physicals, etc.). However, there are two clear opportunities to potentially reduce cycle time. The first opportunity relates to the requisition process. When a department wishes to fill a vacancy they must first complete a requisition in NeoGov which is submitted to the Budget Office and Human Resources Department for authorization to fill the position. The request is reviewed within the context of financial constraints, personnel policy limitations, and assessments about whether the job description and duties remain relevant and appropriate. Once authorization is granted, departments are then permitted to initiate the hiring process. Though process time data regarding this phase of the recruitment process was not available, it is important to emphasize that this step lengthens the amount of time that departments are required to absorb vacancies and, as a result, is an operational and administrative burden. Though the review process is necessary and appropriate, it should also be conducted as quickly as possible to limit any negative impact on operating departments. As a result, it is appropriate to establish a process time target of one week from the point of department request to final determination by Human Resources and the Budget Office. The Human Resources Department should periodically evaluate the number of days this stage of the requisition process actually takes in order to identify whether departments make consistent errors which contribute to lengthy process times. The second opportunity relates to the average time that elapses from the point departments receive approval from Budget and HR to the point the position is advertised. Currently, departments are not permitted to complete the record until the initial Budget Office and HR Department review is finalized. It then takes HR an average of 13 days to post and advertise the position. In order to reduce this process time, the Department should adopt a cycle time performance target of five business days from the HR and Budget office approval to job posting and advertisement. This would fundamentally improve total process cycle time, reducing it by an average of one week. HR should also periodically review cases where performance targets are not met to identify common process impediments and address them. RECOMMENDATION 23: Revise recruitment and hiring process to eliminate final HR Director approval of all hires. The Human Resources Department is responsible for supporting the recruitment and retention efforts of City departments. In that role, Human Resources serves as the subject matter expert for the City’s electronic recruitment software, NeoGov. The recruitment process is similar to that of other jurisdictions that utilize such software. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 53 Efficiency Study Report When a hiring manager desires to fill a position, they submit a request through the NeoGov system. That request is approved by the appropriate department director and is also reviewed by the Budget Manager and the Human Resources Director to ensure that there are necessary funds for the position and to ensure that amendments to the job description are not warranted. The Human Resources Department then supports the hiring manager in drafting and issuing the job posting as well as completing the necessary job advertisements, according to both City policy and the industry specific marketing needs. Applicants submit applications the NeoGov system and, once the posting period is closed, the Human Resources Department reviews applications and conducts a screening process to filter those applicants that do not meet the basic minimum qualifications of the position. Hiring managers then conduct their own screening process for skills and experience and initiate the interview process with select candidates. Following the interview process, the hiring manager selects a candidate and develops an offer, which is entered into the NeoGov system for final review and approval by the Human Resources Director. Under the current process, hires are reviewed and approved at three levels. The first level is during the budget process. At this phase, departments identify the number of positions they intend to staff by classification. Hires are then reviewed and approved by the Budget Director and the Human Resources Director early in the recruitment process, before job advertisements are issued. The final approval step rests with the Human Resources Director who then approves the hiring manager’s candidate selection and offer. The first two hiring stages described above are entirely appropriate. However, the final stage, whereby the Human Resources Department approves the final selection, presents limitations. First, the primary responsibility of the Human Resources Department, from a screening perspective, is to ensure that applicants meet minimum qualifications. Once that process has taken place, however, it is most appropriate for the hiring manager, with approval of their department director, to make the final determination as to a job offer. It is the hiring manager who is most familiar with the needs of the position and the responsibility of position. The process of requiring an additional HR approval at the conclusion of the recruitment process unnecessarily prolongs the deliberation process and runs the risk of losing good candidates. As a result, it is appropriate to revise the recruitment process to exclude final gateway approval of each job offer, after equity and other employee relations issues are recognized. Employee Accountability One of the prevailing issues expressed by both managers and front-line employees was the perception of a low expectation of accountability in the organization. Specifically, City staff experience this issue in one of two ways. First, there is a belief that poor performers are not held accountable through normal disciplinary mechanisms or the employee performance review process. Second, there is a perception that the City’s compensation system is not structured to reward high performers, but rather treats strong and poor performers the same. This is a broad organizational issue that is the responsibility of the Human Resources Department and operating departments to address. The Novak Consulting Group Strengthening organizations from the inside out. Page 54 City of Charlottesville Efficiency Study Report RECOMMENDATION 24: Implement the practice of conducting employee performance reviews annually. One of the common concerns expressed by City staff was the lack of a consistent performance appraisal process. Managers and supervisors are not held accountable to ensure that they complete reviews in a timely manner, and reviews are not utilized to manage performance and guide professional development of employees. The City of Charlottesville utilizes a standard employee performance appraisal form that supervisors can use when evaluating employees. However, supervisors are not completing reviews consistently throughout the organization, with some employees not receiving a review for many years. The employee performance review process is a structured mechanism to ensure that supervisors and staff communicate about performance, expectations, and aspirations. The conversations that take place during the review process can strengthen management and employee relationships. The most effective performance review processes are those that are used as a professional development tool which supports employee development and organizational accountability. The review process can be stressful for both the employee and supervisor. To eliminate some of the stress, best practices indicate that performance discussions should take place frequently. When this is done, the more formal review can be a summary of what has occurred throughout the reporting period. Recognizing that employee performance reviews can serve as an essential professional development and communication tool, it is recommended that the City of Charlottesville require supervisors to complete annual employee performance reviews. To reinforce the organization’s commitment to the completion of annual performance reviews, it will be important for executive leadership to communicate their importance and explain that it is management’s expectation that all supervisors complete reviews for those they supervise. In addition, it is appropriate for the Human Resources Department to take on the responsibility of tracking performance review deadlines for each department and communicating with department directors when appraisals are overdue. It is important to note that the HR Department, and the organization at large, recognize this is an issue. The City initiated a multi-departmental study committee in late 2015 to review the performance review and appraisal process and offer recommendations to improve the functionality of the system. The City anticipates that recommendations will be offered in January 2017. It is appropriate that those recommendations be converted into an actionable implementation plan for completion by June 2017. The study process offers a unique opportunity to make timely headway on this issue and to generate greater utility in the performance review process. RECOMMENDATION 25: Conduct a classification and compensation study. One of the prevailing justifications for limited use of the performance evaluation process or system in the City is that performance reviews, or more specifically employee performance, have no direct bearing on pay increases. If pay raises are enacted, they are typically cost of living adjustments that are applied to all employees regardless of performance. In addition, there is a perception among City employees that the pay structure is low and inequitable compared to other governments. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 55 Efficiency Study Report To begin assessing this issue the City contracted with the Titan Group in 2015 to conduct a market based salary survey and compensation study comparing the pay schedules of 62 jobs against other public sector organizations within the State of Virginia. The study indicated that overall, the City pay scales for jobs are 91% of market and pay for the incumbents is, on average, 96% of market. However, there are a number of public safety and non-public safety positions whose pay scales and the salaries for incumbent positions are between 70% and 80% of the market survey data. Though in aggregate, the City is close to market, there is wide variation among job titles. This, coupled with the absence of performance-based pay incentive, has resulted in dissatisfaction with the current compensation structure among employee and managers. Given these issues it is appropriate for the City to consider conducting a full classification and compensation study to realign all positions with the market and the City’s compensation philosophy. It is also appropriate to evaluate pay and benefits systems that permit pay for performance incentives within the framework of the classification system so as to begin building the systematic tools necessary to reward and retain the City’s top performers, through rigorous and disciplined use of an enhanced performance appraisal system. Healthy Families and Community The Healthy Families and Community Functional Area consists of the Social Services, Human Services, Neighborhood Development Services (NDS) and Parks and Recreation Departments. In addition, this area includes the Charlottesville Albemarle Convention and Visitors Bureau and the Office of Human Rights. The budget for Healthy Families and Community also includes funding for various community services and programs such as the Children’s Services Act, Community Events and Festivals, Contributions to Children, Youth and Family Programs, Contributions to Education and the Arts and the City’s Housing Programs. Staff in these departments are responsible for numerous programs and services including managed development, code enforcement, and visitor services as well as ensuring the community has quality parks and recreational opportunities. In addition, the Healthy Families and Community Functional Area provides many valuable assistance programs that are designed to help residents find permanent solutions to life’s challenges and to aid self-sufficiency. Department of Social Services The City of Charlottesville Department of Social Services (CDSS) is supervised by the State, but locally administers federal, state, and local public assistance and social work service programs. CDSS provides state/federal income support and social work services to alleviate poverty and other social issues in the community. Staff assists the most vulnerable in the community, including children, the elderly, and low income families. In FY 2015, approximately 22% of the City’s population (10,251 residents) received assistance from one or more of the three largest benefit programs administered by Social Services (SNAP, Medicaid and TANF).11 As of FY2017, the CDSS has 102 FTEs, including a Director and Assistant Director. The Department is organized into three divisions - Benefit Programs, Family Services Programs, and Administration. The Benefits Division is responsible for managing benefit programs that help low income families and individuals meet basic needs for food, shelter and medical care. Staff in the 11 CDSS Advisory Board Annual Report to the City Council (FY 2015 Census Bureau) – June 2016 The Novak Consulting Group Strengthening organizations from the inside out. Page 56 City of Charlottesville Efficiency Study Report Benefits Division administer programs such as Medicaid, Supplemental Nutrition Assistance Program (SNAP) and Temporary Assistance to Needy Families (TANF). The Family Services Program Division supports the development of healthy families and protects children and adults from abuse and neglect. Staff in Family Services administer programs such as adoption services, adult protective services, and foster care. The Administration Division handles the customer service needs of the Department. Administrative staff manage the phones, screen applicants, and assist walk-in customers. Administrative staff manage the Department’s budget and accounts payable functions in addition to processing all personnel requests. Staff also assists with program coordination and evaluation as well as required statistical reporting. Department of Human Services The Department of Human Services (DHS) administers a variety human services programs and initiatives for at risk children and their families. DHS ensures the investments made by City Council in human service organizations meet their vision, values, and expected outcomes. DHS staff provide direct oversight and management of programs such as the Youth Council, City of Promise, and the Black Male Achievement initiative. As of FY2017, the Department has 35.5 FTEs and is organized into three divisions – Community Attention, Human Services and Administrative Services. The Community Attention Division assists in providing residential and community-based support programs. Programs include residential services such as the Community Attention Home (group home) and foster families and community-based services like Teens Give Service Learning, internship programs, and life skills training. The Human Services Division provides assistance and programs in the areas of juvenile justice and detention, adult offender re-entry, public housing, human rights, homelessness, mental health, community health, workforce development, and aging. The Administrative Services Division provides administrative support and manages the Department’s budget and account payable activities. In FY2016, the Community Services Program served 352 children through a variety of programs such as summer internship programs, community service programs, one-on-one skill building and mentoring.12 The Community Attention Foster Families (CAFF) Program serves approximately 110 children on any given day and the length of stay in foster care is approximately 12 months. In FY2016, 40 new families were approved as foster care placements and 86 foster families were supported by the CAFF program. In FY2016, the Attention Home served 56 children; and the length of stay ranged from two weeks to six months. Department of Neighborhood Development Services NDS was created in 1999 by combining staff from Planning and Community Development, the Public Works Engineering Division, and Building and Life Safety. The driving force behind merging staff from the different departments and divisions into one area was to create a single department 12 Fiscal Year reporting data provided by staff in DHS The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 57 Efficiency Study Report that would serve all development activities. Today, NDS is responsible for implementing high- quality design and development standards, ensuring that new development and construction in the City complies with building and code regulations, and that existing structures and properties are properly maintained according to City standards. NDS also manages the City’s U.S. Department of Housing and Urban Development (HUD) Entitlement Programs, including oversight of the Charlottesville Affordable Housing Fund (CAHF). As of FY2017, NDS has 37.5 FTEs and is divided into functional areas - Customer Service Administration, Engineering, Inspections and Code Enforcement, and Planning. Since FY2014, 3.5 FTEs have been added to the Department including an Urban Designer, Bike-Ped Coordinator, GIS Analyst, and a half-time Preservation Assistant. The Customer Service Administration functional area is the first point of contact many applicants, developers, and residents have with NDS. Staff answer the phone, direct questions to the appropriate individuals, and assist customers. Administrative staff manage the front desk, schedule inspections, accept plans, issue permits and are responsible for the Department’s accounts payable functions. The Engineering functional area includes both City Engineering and Traffic Engineering. Staff is responsible for administering and providing project management for portions of the CIP and provides support with planning and CIP/ operational budget efforts such as Computer Aided Design technology and Geographical Information Systems (GIS). Staff also provides pre-and- post construction inspections, citywide survey services, site development plan review and completes grant applications. Traffic Engineering staff are responsible for conducting traffic studies, neighborhood traffic management and bike and pedestrian master plan implementation. In addition, Traffic Engineering staff conduct site development review, traffic signal studies and traffic modeling. The Inspections and Code Enforcement functional area is responsible for interpreting the City’s Building Codes and enforcing the City’s Property Maintenance Code. Property Code Enforcement staff conduct inspections of existing structures for hazardous conditions and issue warnings and stop work orders for code related issues. Building Code Enforcement staff conduct combination residential and commercial building inspections, review building plans and site plans, provide permit application information, inspect buildings during construction, and issue certificates of occupancy. The Planning functional area is responsible for regulating land use within the City and for ensuring that approved development complies with adopted land use plans. To accomplish this, Planning staff utilize the City’s Development Review Team to provide feedback to applicants and developers. In addition to project and plan review, Planning coordinates long-range comprehensive planning projects and provides technical advice, reports, and assistance to the City Council, staff, departments, boards, and commissions. Several functions are contained within Planning such as: general planning, urban design, American’s With Disabilities (ADA) coordination, management of boards and commissions, development review, GIS analysis and mapping, long range planning, historic preservation and design, and regulation development and enforcement. Parks and Recreation Department The Parks and Recreation Department is responsible for the protection and maintenance of the City’s park system and for providing recreational activities and facilities for the community. The City’s park system includes parks, as well as the City’s trail system, thoroughfares, school The Novak Consulting Group Strengthening organizations from the inside out. Page 58 City of Charlottesville Efficiency Study Report grounds/playgrounds, the Downtown Mall, and cemeteries. There are currently 70.5 FTEs in the Department (FY2017). Staff oversees the City’s Aquatics Program which includes one indoor pool, two outdoor pools and three spray grounds. In addition, Parks and Recreation offers sports leagues, classes, and camps throughout the year. Parks and Recreation operates and manages the Carver Recreation Center which provides over 33,000 square feet of recreational space including a fitness center, fitness classes, a gym, and over 600 art, enrichment, fitness, dance and gymnastics classes each year. Staff operates the City’s market programs, which includes the City Market, Farmers in the Park, and the Holiday Market, in addition to coordinating a variety of other annual special events. Office of Human Rights The Office of Human Rights is responsible for the Human Rights Commission, which is a volunteer group charged with promoting and enforcing the Human Rights Ordinance for the City of Charlottesville. The Commission serves as a forum for the discussion of human rights issues, and is responsible for conducting ongoing efforts to engage community members in an open dialogue regarding issues of equity and opportunity. This office and Commission are responsible for working with the public and private sector to provide awareness, education, and guidance on methods to prevent and eliminate discrimination City-wide. In addition, the Office of Human rights identifies and reviews City policies and practices and assists individuals who believe they are the victim of an act of unlawful discrimination within the City. Convention & Visitors Bureau The Charlottesville Albemarle County Convention and Visitors Bureau (CACVB) provides visitor information about the area and customer service assistance to tour operators, meeting planners, weddings, reunions, and other groups. Staff at the CACVB assist customers in finding local attractions, restaurants, and hotels. The goal of the CACVB is to enhance the economic prosperity of the City and County by promoting, selling and marketing the City of Charlottesville and County of Albemarle as a tourist destination. Staff is responsible for pitching stories to the media, providing visitor relations, soliciting group/meeting business, and creative ad placement. The CACVB has an Operating Agreement with the City of Charlottesville and Albemarle County, which stipulates that the CACVB will receive 30% of the first 5% of the Transit Occupancy Tax (TOT). The funding provided from the TOT makes up the CACVB’s entire budget. The Operating Agreement sets a target return on investment (ROI) goal of 7 to 1; in FY2016 the CACVB’s ROI was 8.06 to 1.13 The methodology for determining the ROI is outlined in detail within the agreement and includes factors such as room nights booked for meeting and conference groups, group tour bookings, leisure travel expenditures, and destination awareness. The CACVB Director reports to an 11-member board of directors, and as of FY2017, the CACVB has 6 FTEs. A new position, a Sales and Marketing Project Assistant was added in FY2017. CACVB staff manage two Visitor Centers, one located in the City (open every day of the year except Thanksgiving and Christmas), and the other in Crozet (Albemarle County), open Tuesday through Saturday, and closed Thanksgiving and Christmas. In FY2016, the downtown Visitor 13 FY2016 CACVB End of Year ROA Report Card The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 59 Efficiency Study Report Center had 35,924 visitors and the County Visitor Center saw 3,822 visitors (October 2015 – June 2016).14 Additionally, staff responded to 40,102 lodging referrals. Healthy Families and Community Staffing and Budget The following table illustrates the Healthy Families and Community staffing levels over the last five fiscal periods, along with the percentage change in staffing since FY2013. Table 17: Healthy Families and Community Staffing Trends (FTEs), FY2013-FY2017 FY2013 FY 2014 FY 2015 FY2016 FY2017 Percent Healthy Families and Community Actual Actual Actual Budget Budget Change Department of Social Services 100.9 99.9 100.0 102.0 102.0 1% Department of Human Services 35.3 35.3 35.3 35.5 35.5 1% Neighborhood Development Services 34.0 34.0 37.0 37.5 37.5 10% Office of Human Rights 0.0 2.0 2.0 2.0 1.5 - Parks and Recreation 73.8 70.6 69.5 70.5 70.5 -4% Charlottesville Albemarle Convention & Visitors Bureau 6.0 6.0 6.0 6.0 7.0 17% Total 250.0 247.8 249.8 253.5 254 2% Staffing levels have remained relatively consistent over the past five fiscal years, with an increase of four FTEs from FY2013 to FY2017. Increases in staffing were made in Social Services, Neighborhood Development Services, and the CACVB; while Parks and Recreation saw a slight reduction in staffing. The following table illustrates trends in the Healthy Families and Community expenditures over the last five fiscal periods, along with the percentage change since FY2013. Table 18: Healthy Families and Community Expenditures, FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Healthy Families and Community Actual Actual Actual Budget Budget Change Department of Social Services $11,899,321 $11,801,241 $12,096,376 $13,666,681 $14,039,006 18% Department of Human Services $5,057,546 $4,852,280 $5,141,537 $5,484,310 $5,908,462 17% Neighborhood Development Services $3,127,724 $3,211,856 $3,143,748 $3,459,496 $3,505,736 12% Office of Human Rights $0 $194,047 $206,793 $233,492 $191,918 - Parks and Recreation Department $10,065,996 $10,462,258 $10,288,886 $10,467,522 $10,685,540 6% Charlottesville Albemarle Convention & Visitors Bureau $1,680,679 $1,407,784 $1,455,497 $1,508,453 $1,569,955 -7% Children's Services Act $8,366,890 $7,620,829 $7,637,883 $6,904,273 $8,234,256 -2% Community Events and Festivals $139,125 $67,954 $67,508 $110,675 $85,425 -39% Contributions to Children, Youth and Family Programs $3,350,486 $3,204,429 $3,191,724 $3,318,134 $3,451,267 3% Contributions to Education & Arts $1,669,785 $1,643,333 $1,702,199 $1,886,269 $1,970,646 18% Housing Programs and Tax Relief $1,351,914 $1,319,158 $1,229,635 $1,347,561 $1,318,561 -2% Total $46,709,466 $45,785,169 $46,161,786 $48,386,866 $50,960,772 9% 14 Visitor Center in the County began operation in October 2015 The Novak Consulting Group Strengthening organizations from the inside out. Page 60 City of Charlottesville Efficiency Study Report Increases in the Healthy Families and Community budget can be attributed to the addition of staff and increases in salaries, health care and retirement costs. Departments in this Functional Area also saw an increase in IT charges and a decrease in fuel costs. In addition, Human Services saw an increase in payments to foster parents (recoverable through the Children’s Services Act fund’s revenues). Reductions in the CAVB budget are a result of five-year reductions in office supplies, rent, and website development as well as converting a vacant part-time Regular position to Long-Term temporary status. The departments included in the Healthy Families and Community Functional Area each play a vital role in the Charlottesville community. These departments are charged with enhancing and improving the community through the implementation of successful programs and services. Social Services and Human Services continue to provide service assistance to the most vulnerable in the community. Each department manages a high case load while maintaining communication with the other as well as outside agencies. In addition, staff is constantly looking at developing new programs and services to benefit their clients and the community. Staff is performing difficult and challenging work – which is constantly evolving due to State and Federal mandates, technology and changes taking place in the realm of social services. The services, programs and benefits these two Departments are responsible for delivering directly impact the community’s children, elderly, and low income residents. The recommendations in this chapter focus specifically on the Department of Neighborhood Development Services (NDS) and the Parks and Recreation Department. Neighborhood and Development Services Analysis and Recommendations As previously noted, NDS was created in 1999 through the merging of several key development related functions – planning, engineering, zoning, codes, and building inspection. The goal was to streamline the development process and improve communication with neighborhoods and applicants. The responsibilities for NDS continue to grow and expand. NDS has 37.5 FTEs (FY2017) and is currently organized into functional areas - Customer Service Administration, Engineering, Inspections and Code Enforcement and Planning. The Director, and the management team, provide oversight and leadership of the Department’s activities, budget development and personnel. The Assistant Director serves as the Planning Manager, oversees the Planning and Customer Service functional areas, and provides staff support for the Planning Commission. The Development Services Manager supervises staff in the Engineering and Inspection and Code Enforcement functional areas as well as the VDOT Coordinator and serves as staff contact/manager for multiple construction projects. The following figure illustrates the Department’s current organizational structure. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 61 Efficiency Study Report Figure 9: Neighborhood Development Services Organizational Chart, FY2017 The Customer Service Administration functional area is responsible for providing administrative support for the Department and is often the first point of contact many applicants, developers, and residents have with NDS. Staff is responsible for managing the front desk which includes scheduling inspections, accepting plans, issuing permits, accounts payable functions and answering the phone. Staff also provide administrative support for a number of boards and commissions and assist with minutes and meeting logistics. The Engineering functional area is responsible for administering portions of the Capital Improvement Program (CIP) and providing engineering support on other CIP projects in various departments. These programs / projects relate to Erosion and Sediment Control, Virginia Stormwater Management Program (VSMP), Neighborhood Drainage Program, Floodplain Management Program, Citywide Bridge Inspections and Minor Repair programs, Citywide New Sidewalk Priority List, Small Area Plan projects, some Strategic Investment Area SIA projects, Streetscape Projects and under grounding overhead utilities projects. These projects require coordination with multiple agencies and project management of the design, right-of-way acquisition and construction phases. Engineering also provides support with planning and CIP/ operational budget efforts like: Form Base Code restructuring, Computer Aided Design technology, Geographical Information Systems (GIS), Standards and Design Manual rewrite and updates. Staff also assist with the Urban Construction Initiative Program, departmental customer service activities, pre-and-post construction inspections, citywide survey services, site development plan review process, grant applications and coordinate projects with City Council, and other local agencies and community groups. The Novak Consulting Group Strengthening organizations from the inside out. Page 62 City of Charlottesville Efficiency Study Report Engineering also includes Traffic Engineering, which shares with the Department of Public Works responsibility for the installation of traffic signage/signals and making intersection improvements to enhance traffic and pedestrian safety. Traffic Engineering staff provide neighborhood traffic management plans, are responsible for the implementation of the Bike and Pedestrian Master Plan, conduct traffic signal studies, capacity analysis, traffic studies, complete site development plan review, and issue temporary street closure permits. The Department has a Virginia Department of Transportation (VDOT) Coordinator who works closely with staff in Engineering and Traffic Engineering. This position handles the Locally Administered Program (LAP) projects, which involve multimillion dollar transportation projects like the 250 Interchange, Belmont Bridge Replacement and High Street Streetscape. The Inspections and Code Enforcement functional area consists of staff in both Building Code and Property Maintenance Code Enforcement. Property Code Enforcement staff investigate building and site complaints, conduct inspections of existing structures, issue warnings and stop work orders for code non-compliance. Building Code Enforcement staff serve as combination residential and commercial building inspectors, review building plans and site plans, provide permit application information and inspect buildings during construction (alteration or repair) for compliance with building code requirements. The Planning functional area ensures the health, safety, and welfare of citizens and property by regulating land use within the City of Charlottesville. Planning staff is responsible for ensuring that approved development complies with the City’s adopted land use plans. This area includes several functions - general planning, long-range planning, urban design, ADA coordination, the management of boards and commissions, zoning enforcement, historic preservation and design, housing, regulation and development, as well as GIS and mapping. Staff oversee land use activities, conduct design review of subdivision and site plans, meet with the public, review building plans and respond to zoning issues/complaints. Staff also manage the City’s affordable housing efforts which includes the management of City sponsored housing assistance programs. Staff within NDS also work closely with a number of Boards and Commissions – Board of Architectural Review, Board of Zoning Appeals, Board of Building Code Appeals, City Planning Commission, Community Developmentt Block Grant, Entrance Corridor Review Board, Historic Resource Committee, and the Housing Advisory Committee. The current NDS Director has been with the City for just over a year and has been working with staff to identify strengths, challenges, and areas of opportunity for the Department. NDS has experienced a backlog of projects, and the Director has been focused on working with staff to move projects forward – such as the West Main Project, Strategic Investment Areas (SIA), and Market Plaza. In addition, the NDS Director identified a need for a Redevelopment Specialist position to help coordinate and lead the City’s redevelopment efforts. According to the Budget description, this position will coordinate and manage housing and redevelopment projects in the City and manage implementation of the (SIA) Plan, including programs and activities to attract and retain businesses in the SIA, workforce development, citizen engagement, neighborhood revitalization, and human services. During interviews staff shared that the Department had recently implemented or will be making process improvements in the coming months. The Department’s Standard Operating Procedures Manual was revised and updated in 2016 to better reflect current procedures and processes. Staff has also been working diligently to improve communication with the community and internal departments as well as build trust with the neighborhood associations. Through targeted The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 63 Efficiency Study Report community outreach efforts (such as attending neighborhood meetings, additional public meetings for applications, and an NDS newsletter) staff has become more involved in the community and developed a better process for addressing complaints. Staff has also initiated changes to ordinances and updated fees. According to NDS staff, there is an improved relationship with the neighborhood associations and the number of complaints has decreased. Currently, the City of Charlottesville’s engineering functions are split between the Utilities Division and the NDS Department. The Engineering function of the NDS Department is responsible for both development review and municipal engineering (e.g., roadway projects, environmental control, and traffic engineering) activities of the City. Municipal engineering activities make up most the workload of the NDS engineering function. While the goal of the NDS restructuring in 1999 was appropriate, several structural challenges exist that hinder the organization’s ability to truly achieve the goal. For example, engineering staff in NDS are responsible for engineering services as they relate to both development review and municipal projects associated primarily with the City’s CIP. While this arrangement is not uncommon in local government, it does present challenges that can impact service delivery. It can be difficult to establish priorities (municipal vs. private development), it can also result in high workloads, and can create a disconnect between NDS and Public Works. Once a CIP project is completed by NDS Engineering staff, it is turned over to Public Works to maintain; this creates a loss of efficiency and can impact the quality of the City’s capital projects. Costly errors in design, timing, and policy have reportedly occurred in the past. In the Public Works section of this report, Recommendation 38, discusses creating an Engineering Division in the Department of Public Works focused on capital projects only. While, engineering staff in NDS would focus primarily on development review. Restructuring the engineering functions will institutionalize the relationship between the engineering and maintenance functions and create a feedback loop that will incorporate the input of operations personnel into future designs. Currently the City’s Traffic Engineering functions are housed in NDS, while the traffic signal and sign shop are located in Public Works. This has created difficulties for staff as each has a different funding stream, priorities and supervisors. The Public Works section in this report specifically addresses these concerns, and includes the recommendation to create a Traffic function within the Engineering Division of the Department of Public Works to increase the connection between design and maintenance of capital projects and traffic engineering. The structure recommended would maintain an engineering function within NDS dedicated to development review activities only. While NDS is comprised of dedicated and hardworking staff members, who are willing to work long hours and put aside other priorities to meet established turnaround times, staff indicated that they are experiencing extremely high workloads. Staff expressed a concern that they do not have the capacity to take on more projects in addition to their regular work and felt that every area within NDS was at capacity in terms of workload - planning, front desk operations, housing, zoning, inspection and engineering. This has created an environment where staff is constantly reacting or responding to issues rather than being able to plan and proactively manage the work. The sentiments expressed by staff are supported by the Department’s workload data. The Department has experienced an increase in activity in several areas:  Building/Inspection activity increased 47% (Calendar Year 2011 to 2015)  Zoning activity increased 19% (Calendar Year 2013-2015)  Planning activity increased 12% (FY2012 to FY2016) The Novak Consulting Group Strengthening organizations from the inside out. Page 64 City of Charlottesville Efficiency Study Report  Board of Architectural Review activity increased 63% (FY2012-FY2015) The following tables illustrate the Department’s activity levels along with the percentage change. Table 19: Building/Inspection Activity, Calendar Years 2011-2015 Percent Building/Inspection 2011 2012 2013 2014 2015 Change Activity 2011-2015 New Construction 3,940 4,523 5,716 5,529 5,832 48% Inspections Building Plans Reviewed 432 544 605 673 1,183 174% Demo Permits Issued 22 26 25 12 22 0% Site Plan Review 40 32 27 53 48 20% Building Permits Issued 1,742 1,881 2,130 1,887 1,992 14% TOTAL 6,176 7,006 8,503 8,154 9,077 47% Table 20: Zoning Activity, Calendar Year 2013-2015 Percent Zoning Activity 2013 2014 2015 Change 2013-2015 Zoning Enforcement Activities 81 100 96 19% (letters & Zoning Notice of Violation) Table 21: Planning Activity, FY 2012 - FY 2016 Percent Planning Activity FY2012 FY2013 FY2014 FY2015 FY2016 Change 2012-2016 Planned Unit 3 4 1 3 2 -33% Development Slope Waiver 1 3 1 2 0 -100% Entrance Corridor 5 1 4 1 3 -40% Site Plans (Plans that went to Planning 2 2 2 8 6 200% Commission) Subdivisions 2 2 2 4 3 50% Ordinance 5 5 4 6 6 20% Amendments Special Use 6 8 7 9 6 0% Permits Rezoning 1 1 1 3 3 200% Zoning Initiation 1 4 1 5 0 -100% Total 26 30 23 41 29 12% The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 65 Efficiency Study Report Table 22: Board of Architecture Activity, FY 2012 - FY 2015 Percent Board of Architecture Activity FY2012 FY2013 FY2014 FY2015 Change 2012-2015 Board of Architecture Cases 120 73 80 100 -17% Entrance Corridor Board Cases - New 5 2 6 2 -60% Construction Not BAR Administrative Actions tracked 21 20 27 100% Number of Entrance Corridor Administrative 3 8 12 3 0% Review - Non-New Construction Number of Signs in Architectural Design Not tracked 21 36 50 100% Control Areas Not Number of Signs in Entrance Corridor Areas tracked 21 24 27 100% Total 128 146 178 209 63% Oftentimes, as workload levels increase, staffing levels may need to be adjusted to keep up with activity. NDS staffing has increased 10% from FY2014 - FY2017, from 34 to 37.5 FTEs. The Department added an Urban Designer, Bike-Ped Coordinator, GIS Analyst and a .5 Preservation Assistant. In most cases, these staff members were added as NDS programs/responsibilities increased. These new positions have allowed NDS the ability to better meet the goals of the organization, City Council and the Community. The NDS activity data is merely a snapshot of the work being completed by staff. Many activities are not being tracked or recorded in the same manner as those described previously. Without additional data to quantify the staff time involved with each activity or the impact on turnaround times, it is difficult to analytically determine staff’s workload capacity. However, the data does show that workload has been increasing throughout the Department. Capturing additional workload data can help determine staff’s actual capacity and more accurately quantify additional staffing needs. It is with this context, that the following recommendations for NDS are provided. Development Review RECOMMENDATION 26: Engage the development community in a process to identify development review reforms. As noted, NDS under its current Director has made concerted efforts to engage more directly with neighborhoods as well as the development community (process improvements, community outreach efforts, communication efforts). Through some of these efforts a group known as the Charlottesville Area Development Roundtable (CADRE) was formed. CADRE is comprised of over 120 development community stakeholders (such as land owners, architects, engineers, builders, developers) with interest in the Charlottesville community. The group was formed in large part due to a common sense of frustration about the City’s development approval process. To learn more about these issues, The Novak Consulting Group met with CADRE’s steering committee. The group discussed a series of key issues that they are working to address with the City generally, and NDS specifically:  Disconnect between Council, Planning Commission, and Staff regarding vision and administration  Need for strategic planning and urban design The Novak Consulting Group Strengthening organizations from the inside out. Page 66 City of Charlottesville Efficiency Study Report  Poor interdepartmental communication and coordination  Lack of decision-making authority among staff It is evident by the stakeholder feedback as well as staff interviews, that the current relationship with the development community is strained. In order to improve the relationship and most importantly identify needed reforms in the development process, it is recommended that the City and the development community engage in an improvement exercise. Many local governments have found success in the use of a facilitated process with both staff and stakeholders working collectively to identify improvements. In such a process, a representative group of key stakeholders and select staff members from throughout the development review process would be charged with developing specific ways to realize the improvement goals established by the City. They would do so in a facilitated multi-day session, working through the issues and requirements leading to decisions about the actions required. Each of the business processes and the key elements that affect them will be examined in detail and improvement plans developed. At the conclusion of the workshop, the teams present recommendations to the City for approval. The process decisions and the initial components of an action plan are created immediately following the conclusion of the workshop. This plan contains the specific improvement actions with milestones and timelines, with accountability clearly designated. A process such as this is a powerful and meaningful way to involve all parties in the problem solving process. It enables all stakeholders to better understand each other’s issues, constraints, and opportunities, and collectively develop mutually supportive actions to realize the shared vision for the Charlottesville community. RECOMMENDATION 27: Designate an Assistant City Manager as the owner of the City’s development review process and Chair of the Pre Development Meeting. Currently all development related applications are processed and managed by staff within NDS. Front desk staff perform intake, and then an application is assigned to appropriate Planning staff. The Planner assigned to the case reviews the application and sends hard copies of the plans to the appropriate department – such as Public Works, Parks - for comment. All comments are then sent back to the Planner who compiles them and provides them to the applicant. Then it is the responsibility of the applicant to address all comments. Unfortunately, this process does not provide an opportunity to resolve issues among comments. When there is disagreement or conflict between comments, the applicant is often put in the position of mediating the resolution between departments or disciplines. The development review process in Charlottesville needs a designated owner. The owner needs to be in a position of authority in order to provide clear and consistent direction to all development review staff, regardless of their department. This position should also be the face of the process to the development community. It is recommended that an Assistant City Manager serve in this role. In addition to providing leadership to the process, the owner of the process should chair the City’s Pre Development Meetings and be responsible for helping resolve issues or conflicts that arise among disciplines or with an applicant. These meetings should provide an opportunity for staff to share their comments based on their initial review of an application and for an applicant to ask questions. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 67 Efficiency Study Report In order for these meetings to be productive, representatives from all departments and disciplines must be present in order to provide comments to applicants. Representatives (sometimes more than one) from the following departments are invited to attend the meetings: NDS, Police, Fire, Parks and Recreation, Utilities, Transit, and Public Works. Currently, one employees from the Environmental Sustainability Division and the Stormwater Administrator represent the Department of Public Works. The owner should work with staff to ensure all disciplines are represented and develop a protocol for reviewing and addressing potentially conflicting comments before they are transferred to the applicant. This level of review will ensure that the review comments are clear and do not present contradictory or confusing directives to the applicant. RECOMMENDATION 28: Implement a new development services software system. Since 2008, the City has been using a development services software program called ADEPT, which was custom designed to assist in issuing permits. The system was envisioned to serve as a tracking tool which could aid in the management of all applications from receipt to construction. However, today most staff members are not using ADEPT and have reverted to a manual/paper process because it is not easy to use and has limited capabilities. The front desk staff are responsible for intake of submittals and inputting them into ADEPT. The system is also used as NDS’ accounting software and can be used to calculate fees and create end of day reports for Finance. However, due its limited abilities, it does not always calculate fees correctly, and staff is required to assign fees and create reports manually. Once inputted into the system, an application is turned over to Planning staff, who utilizes ADEPT to update and track the status of the application as it progresses through the review process. While the ADEPT system is used to log the intake of development applications and record the fee, it does little more than track the status of the application. Planners are not using ADEPT to manage workload - once an application is submitted, the Planner reviews it for completeness and then sends the paper plans to the internal reviewers. ADEPT is not used by other departments, and therefore comments on plans cannot be shared electronically or collected through the system. Comments are sent back to the Planner on the physical plans and the Planner compiles a comment letter for the applicant. Planners either mail or email a copy of the comments to the applicant. The applicant re-submits the plan, and the comment process is repeated until all reviewers are satisfied with the plans and changes. Once the review process is complete, the Planner is responsible for updating and/or changing the application status in ADEPT. This does not always happen, as the Planner must remember to update the information. ADEPT is used during the building review and inspection processes. The reviewers for building permits are tracked in the program, and the reviewers can go into the system to “sign off” on plans. While ADEPT is used for the building inspection process, it requires the printing of inspection tickets on carbon paper (triplicate form). The building inspectors must physically pick up the inspection tickets each morning before heading out into the field and then write their notes on the tickets. Additionally, there is no mobile integration and the inspectors cannot access the system while in the field. This means staff must complete research and enter their inspection notes when they come back to the office. The ADEPT software is not intuitive to use. As such it is currently easier for staff to process/distribute/track site plans manually than to use ADEPT. Querying and creating reports The Novak Consulting Group Strengthening organizations from the inside out. Page 68 City of Charlottesville Efficiency Study Report is difficult, and staff feels that it is easier to create reports manually than trying to figure out how to use the system. Staff explained that the current software program often lengthens the time involved in permit intake and review tracking. Recognizing issues with the current system, NDS leadership tasked a group of staff in November 2015 to review the development services software needs of the department and develop a recommendation. This team identified the current deficiencies with ADEPT and identified several items that should be included in any future software purchase such as an easy to use interface, the ability for other departments to use the system for commenting purposes and the capability to accept electronic submissions.15 An NDS staff member was sent to the National Planning Conference in Phoenix this past April and reviewed the development services software products on display and spoke with eight vendors; since that time the staff has had demos with two of them. It is recommended that NDS upgrade its existing development services software to better meet the needs of the development process. An upgraded development services software system will provide staff and applicants with a more consistent process, improve efficiency and reduce duplication and errors. An upgraded development services software system will provide many benefits including:  Improved record keeping, reporting and archiving  Workflow tracking and the ability to capture workload data  Improved communication with applicants, departments and other staff members  Improved efficiency and reduce duplication of work  Concurrent review of applications and/or site plans by appropriate staff, which may serve to reduce and streamline development review and permitting time  Capability to submit plans and pay appropriate fees electronically  Ability to use a mobile interface As NDS staff compares and reviews development services software they should identify systems that are flexible and allow for customization. This will ensure the system can be tailored to Charlottesville’s development process and meet the needs identified by staff as essential. Because development review includes users outside of NDS, representatives from other key departments should be included in this process – including IT, Public Works, Parks and Recreation, and Finance. The cost for development services software can vary and is dependent on several factors. The size of the organization, location, desired capabilities and application needs can all impact price. The City should issue a Request for Proposal when considering and comparing new development services software. Staffing RECOMMENDATION 29: Begin tracking workload data in order to make informed staffing adjustments. NDS is currently tracking the Department’s activity levels for inspections, engineering and planning but does not track the specific time dedicated to each activity or in regards to special projects. In addition, NDS activity/project data is captured through a variety of means. Some staff members are using ADEPT, while others are using a more manual or paper process such as Excel spreadsheets. 15 Adapted from the NDS Permitting Software Review Progress Memo – January 2016 The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 69 Efficiency Study Report Today, in order to develop progress reports and review activity data, the information must be gathered from various places and individuals; which creates confusion, increases the possibility of errors and can result in a duplication of work. In addition, staff in various areas of the Department are collecting data based on different time frames (calendar year versus fiscal year) and using their own format for recording and capturing data. NDS staff should begin tracking workload data in a consistent and accurate manner, which will help in making informed staffing decisions. Employees should record the amount of time spent accomplishing each task, such as the time a task started and the time it was completed as well as turnaround times and the amount of time spent out of normal business hours to complete the activity. Staff shared that the City’s adopted turnaround times are being met, but in order to meet the deadlines, staff must often work outside of their normal business hours or re-prioritize tasks. Today, this data is not being captured or accounted for. It is critical that employees track and log all time spent performing activities in a consistent manner to ensure the validity of the data. As referenced in the previous recommendation, new development services software will assist in workload tracking as it will provide data in a format that is easily accessible and easy to manipulate and/or use. Having project information, status reports, and other associated data in one place that is easily accessible will be beneficial for the organization and will make responding to customer requests and inquiries much easier. However, it is important that staff start tracking data as soon as possible, and not wait for the implementation of new software. Workload data can help determine if a Department is appropriately staffed to achieve its service levels and assist in determining the cost recovery of specific tasks in relation to the associated fees. As indicated in the following recommendation, when reviewing the Department’s fee structure, staff should understand the true cost of an activity (e.g., a staff member’s hourly wage multiplied by the time involved); this data is then used to set cost recovery goals for various activities. Without tracked time data, the Department cannot accurately determine the cost of a given activity and establish cost recovery goals. Having access to accurate and complete workload data will allow staff to more accurately assess activity levels and staffing needs throughout the Department and assist in making informed decisions in regards to staffing, work assignments as well as help determine if staff has the capacity to take on additional special projects. Fees RECOMMENDATION 30: Establish a practice and process for annually reviewing and adjusting the fee structure for Neighborhood Development Services. The NDS Department is not reviewing or evaluating its fee schedule on a regular basis, and the Department does not currently have a written policy outlining the rationale for computing development fees. In January 2016, changes were made to the schedule but only for regulatory and clarification purposes. Staff did not complete a comprehensive review of the entire schedule. Most of the fees have not been reviewed or adjusted since 2006 or 2008. To help facilitate and encourage development that complies with the City’s Strategic Plan, the Department should regularly assess its fee structure and determine cost recovery goals for NDS. As previously mentioned, understanding cost recovery is important, and to quantify cost recovery staff must be capturing the appropriate data. The Novak Consulting Group Strengthening organizations from the inside out. Page 70 City of Charlottesville Efficiency Study Report The Government Finance Officer Association explains that well-designed charges and fees not only reduce the need for additional revenue sources, but promote service efficiency. GFOA provides the following recommendations when considering government fees:  Consider applicable laws and statutes before the implementation of specific fees and charges.  Adopt formal policies regarding charges and fees. The policy should: Identify the factors to be considered when developing fees (affordability, pricing history, inflation, service delivery alternatives, and available efficiencies).  Calculate the full cost of providing a service to provide a basis for setting the charge or fee. Determine cost recovery goals for the Department.  Review and update charges and fees periodically based on factors such as the impact of inflation, other cost increases, adequacy of cost recovery, use of services, and the competitiveness of current rates.  Utilize long-term forecasting to ensure that charges and fees anticipate future costs in providing the service.  Provide information on charges and fees to the public.16 Consistent and regular review of fees will allow the Department to gauge its competitiveness in the local market, and provide opportunities to adjust fees in the event of changing market conditions or Department priorities. For example, the Department may wish to adjust fees if certain project types become more relevant, if a greater number of larger projects are occurring or to ensure cost recovery goals are being met. It is important to note that setting fees and identifying cost recovery goals are policy decisions. However, recognizing that most of NDS’ fees have not been adjusted in at least eight years it may be appropriate for the City to implement a multi-year phased approach to fee increases, to mitigate the negative impact on applicants. Parks and Recreation Analysis and Recommendations Organizational Management RECOMMENDATION 31: Create a Parks and Recreation Master Plan. The Parks and Recreation Department has historically engaged in strategic planning with respect to individual parks and assets, including the City’s trail system. For example, in 2015 the Department completed a planning process for McIntire Park which contemplates improvements to the park’s amenities and infrastructure. Additionally, Park Master Plans have been developed for a number of City parks including the west side of McIntire Park, Rives Park, Forest Hills Park, Meade Park, the Meadow Creek Valley (which includes Greenbrier Park and Meadowcreek Gardens) and Azalea Park. While these planning efforts are commendable, each plan was formulated independently and does not represent a comprehensive, unified approach to planning for both parks and recreation activities in the Department. The last comprehensive planning effort which examined all City parks was the “City as a Park” study completed in 1998; however, this study examined only the park system and did not contemplate recreation issues. More recently, the City completed a parks and recreation needs assessment in 2006 which identified needs across the Department and informed decisions to renovate recreation centers and improve other park amenities. The assessment was 16 Adapted from the Government Finance Officers Association, Best Practice on Establishing Government Charges and Fees, February 2014 The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 71 Efficiency Study Report also used to inform an extensive land acquisition program which has been successful in adding over 150 acres to the City park system and provided for connective elements called for in the City’s Bike/Ped plan. The City’s commitment to ongoing park planning and the provision of quality recreation services is a primary driver behind the health and robust condition of its parks and recreation programming. However, as the Department continues to evolve and grow toward providing fully accredited services, it is important to create a comprehensive Parks and Recreation Master Plan which considers the entirety of the Department’s assets and operations. Park and Recreation organizations are accredited by the Commission for Accreditation of Park and Recreation Agencies (CAPRA), an organization sponsored by the National Recreation and Park Association (NRPA). CAPRA awards accreditation based on an agency’s compliance with 151 standards; of these, 37 are classified as “fundamental standards” which are required to be met by the agency before accreditation can be awarded. One of these fundamental standards is Standard 2.4 – Park and Recreation System Master Plan, which reads: The agency shall have a comprehensive park and recreation system plan that provides recommendations for provision of facilities, programs and services; parkland acquisition and development; maintenance and operations; and administration and management. The plan shall be officially adopted by the policy- making body, updated periodically and linked with a capital improvement budget and a phased development program. The system master plan shall implement policies adopted in the comprehensive plan for the jurisdiction. Interested and affected agencies, organizations, and groups shall be engaged in the planning process.17 Core components of the master plan required by CAPRA include agency mission and objectives statements, an analysis of recreation and leisure trends, a needs assessment, a community inventory, and formalized level of service standards. It is important to acknowledge that the Charlottesville Parks and Recreation Department has laid an excellent foundation for creating a comprehensive master plan by engaging in a number of these activities over the past several years. In order to complete the master planning process, it is essential to unify various existing plans, needs analyses, inventories, and service standards into a single document and to formally adopt the master plan. Additionally, it is not uncommon for departments to engage in community- wide surveys to determine the values, desires, and needs residents perceive regarding the parks and recreation system. As a result of the master planning process, the Department will be able to describe how its resources will be deployed to most effectively meet the City’s overall strategic goals. The creation of a comprehensive master plan for Parks and Recreation accomplishes several goals for the City. Most importantly, it establishes a broad framework for examining the Parks and Recreation Department’s infrastructure, offerings, and service levels. As the City’s needs and priorities change, the Parks and Recreation Master Plan should be updated to reflect community priorities related to infrastructure and recreational opportunities in the community. Utilized in this capacity, the Parks and Recreation Master Plan can serve as an effective roadmap to guide the Parks and Recreation Department’s budgetary and strategic decisions. 17 CAPRA 2015 Accreditation Standards The Novak Consulting Group Strengthening organizations from the inside out. Page 72 City of Charlottesville Efficiency Study Report This is particularly important when balancing service level decisions against infrastructure priorities. The Master Plan serves as an effective tool to create an appropriate mix of parks and recreation services, such as programs, classes, and events, and align these with strategic investment decisions in park infrastructure. Without relying on a Master Plan to coordinate these investments and priorities, the City runs the risk of over-emphasizing certain elements of Parks and Recreation (such as park amenities) to the detriment of other services (such as programs targeting underserved City residents). Because this balance is largely rooted in policy decisions about what programs to provide, what investments to make, and what level of service the community should expect, it is appropriate for the Master Planning process to contemplate these issues and to provide clear direction regarding the City’s Parks and Recreation priorities. Additionally, the Parks and Recreation Master Plan serves as a cornerstone of the Department’s accreditation efforts. The master planning process will present the Department with additional opportunities to fulfill additional CAPRA fundamental standards, such as the creation of a strategic plan to implement the master plan, the creation of a recreation programming plan, and the creation of maintenance and operations management standards. Through this process, the Parks and Recreation Department will be able to identify policies, practices, and procedures that support its accreditation efforts and begin taking more formal steps toward accreditation. Parks Operations RECOMMENDATION 32: Expand time tracking activities related to horticulture and mowing maintenance. The Parks and Recreation Department’s Landscape Division is led by the Landscape Manager, who supervises mowing/maintenance crews as well as landscape horticulturalists and gardeners. These crews utilize several industry best practices to schedule and accomplish their work, including an extensive inventory of areas to be mowed and regular maintenance management plans. For example, all parcels to be mowed are organized into three service level groups: Group A parcels are mowed weekly, Group B parcels are mowed biweekly, and Group C parcels are mowed on a monthly basis during the growing season. These parcels are organized into two mowing routes, with two crews assigned to mow each route. Each year, crews track and record time spent mowing specific parcels each year in order to inform the Department’s time estimates and scheduling processes. The result is an informed understanding of sites to be mowed, what service level is expected at each site, the total number of crew hours needed to mow the site, and the frequency of mowing. The following table illustrates an excerpt of mowing schedules utilized by the Department’s mowing crews. Table 23: Sample Information from Parks and Recreation Department Mowing Schedule, 2016 Site Service Level Acreage Time (Crew Hours) Frequency Walker School B 7.44 4.5 1st/3rd Monday Walker Soccer Field A 1.25 2 Weekly - Friday McIntire Park B 16.66 8 1st/3rd Monday McIntire Park (5 fields) A Unavailable 2.5 Weekly - Friday McIntire Pool B 1.68 1 1st/3rd Thursday McIntire East (Golf) C Unavailable Unavailable 1st/3rd Thursday Bypass North Linear B 10.48 6.5 1st/3rd Tuesday Interchange Banks C Unavailable Unavailable 1st/3rd Tuesday The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 73 Efficiency Study Report In total, the Department’s current mowing inventory and maintenance plan encompasses approximately 122 distinct mowing sites. While acreage and mowing time information is available for most of these sites, some lack information related to acreage and/or the amount of time necessary to mow the site. The following table summarizes these information gaps related to the Department’s existing mowing inventory. Table 24: Information Gaps in Existing Mowing Inventory, 2016 Number of Sites Sites Missing Sites Missing Service Level to be Mowed Acreage Information Crew Hours Information A 20 8 2 B 53 7 5 C 49 36 22 Total 122 51 29 It must be emphasized that this inventory gives the Department exceptional insight into its present mowing obligations, particularly with respect to high-priority sites (service level A and B sites). While much of the acreage and time information associated with these sites has been captured, there is a need to complete collecting this information for these service levels and to expand the collection of information related to service level C sites. The Landscape Division has also created a particularly useful modeling tool to capture the total amount of estimated work hours associated with horticulture and gardening activities. The Division maintains a comprehensive inventory of parks-related assets including trees, shrubs, flower beds, and the square footages associated with each maintenance area. This represents an industry best practice which has been effectively adopted and utilized by the Department. The following table presents an excerpt of inventory data collected for horticulture purposes. Table 25: Sample Information from Parks and Recreation Department Landscape Inventory, 2016 Ground Number of Trees Up to 6" Belmont/5th St. Sector Square Feet Cover/Herbaceous Shrubs Caliper Square Feet Annual Beds Avon Twins 557 Not Applicable Not Applicable Not Applicable 5th and Tonsler 592 Not Applicable Not Applicable Not Applicable Cherry and Ridge 200 Not Applicable Not Applicable Not Applicable Tonsler Park 115 Not Applicable Not Applicable Not Applicable Parks Rives Park 1,885 319 45 35 Quarry Park Not Applicable Not Applicable Not Applicable Not Applicable Jordan Park Not Applicable Not Applicable Not Applicable 4 Belmont Park 2,995 2,309 Not Applicable 13 Tonsler Park 6,347 Not Applicable 222 16 Fifeville Park Not Applicable Not Applicable Not Applicable Not Applicable Forest Hills Park 14,531 6,132 369 52 The Novak Consulting Group Strengthening organizations from the inside out. Page 74 City of Charlottesville Efficiency Study Report Information in the landscape inventory is organized according to sector, and relevant features in each sector are recorded on the inventory. For example, in the sample above, Forest Hills Park in the Belmont/5th Street Sector includes 14,531 acres of park land, including 6,132 acres of ground cover, 369 shrubs, and 52 trees. While not all areas have all features, this inventory captures the relevant assets that must be maintained by the City’s horticulturists and gardeners. The information collected on the landscape inventory serves as the backbone of a workload model built by the Landscape Division. This model is an excellent forecasting tool which estimates workload needs using national landscaping standards to estimate the time required to care for each landscaping asset. Specific maintenance activities associated with landscaping, such as pruning, fertilization, mulching, and cut-backs are scheduled on an annual and weekly basis and assigned to crews for completion. However, while the Division’s model accurately estimates workload requirements using national standards, the Department has relatively little information on the actual amount of time associated with horticulture and gardening activities. In order to build upon the robust foundation of tools and data already collected by the Division, it is important to begin tracking activity time associated with key landscaping activities in a similar manner to tracking time associated with mowing activities. This information can be easily captured using the Department’s current inventory and applied to determine actual cycle times and associated labor costs with providing landscaping service. In effect, this will allow the Department to more accurately forecast the time it takes Charlottesville crews to accomplish tasks and the total costs associated with those tasks, which will in turn strengthen the Department’s ability to articulate how changes in service levels will impact employees, costs, and overall service delivery. It should be noted that Parks and Recreation staff have begun work on a database system that will provide for scalable and relational analyses of all maintenance functions within the Department. It is important to populate this database with enhanced task time data as described in this recommendation in order to accurately capture the Department’s workload. RECOMMENDATION 33: Establish service levels and maintenance schedules for custodial staff. While the Landscape Division has robust inventories and has initiated detailed time tracking procedures, a similarly detailed maintenance management plan does not exist for custodial activities. Custodial crews are responsible for emptying trash and recycling cans in the Downtown Mall area as well as in the City’s parks. In addition, Custodial Division staff clean public restrooms and park shelters, pick up trash along designated streets and thoroughfares, and perform seasonal work such as snow removal. While these tasks are currently accomplished according to a frequency schedule, custodial staff do not utilize formal service levels or track the time associated with work tasks in a similar manner to the Landscape Division. The use of service level standards and tracking task times associated with achieving those standards is essential for accurately estimating a function’s total workload. Without this knowledge, it is difficult to determine whether services are meeting public expectations and whether staffing is appropriate to meet service levels. In order to effectively gauge the performance of custodial crews and estimate the true staffing needs associated with custodial services, it is recommended that custodial workers adopt a service level and maintenance plan model that closely mirrors the model utilized by the Landscape Division. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 75 Efficiency Study Report To accomplish this, the Custodial Division should define service levels by grouping specific tasks that must occur in a particular timeframe. For example, restrooms to be cleaned at service level “A” might require the following tasks to be completed on a daily basis:  Emptying waste containers  Cleaning and disinfecting toilets and urinals  Cleaning mirrors  Cleaning partitions and doors  Restocking paper products  Sweeping/dusting  Mopping/scrubbing floors  Clearing dust/air vents  Collecting litter and other refuse Restrooms to be cleaned at service level B may feature less intensive tasks or less frequent cleaning. After tasks associated with each service level are defined, the Custodial Division should assign a service level standard to each area and asset under its control. Locations that require many tasks to be performed on a frequent basis should be categorized at a higher service level than locations that require less intense and less frequent attention. By prioritizing workload in this manner, custodial crews will have a better sense of which areas are community priorities requiring a high level of service throughout the year, which will inform where work should be prioritized. Additionally, custodial crews should capture data associated with task times. For most custodial work, it is sufficient to capture the total time associated with cleaning an asset rather than the time to complete individual tasks. In other words, rather than track the time spent cleaning toilets and mopping floors in each restroom facility, it is appropriate to document the total time spent cleaning each individual restroom. Connecting this overall task time with the restroom’s service level will help the Department paint a more accurate picture about the time needed to achieve service standards in each restroom. By establishing clear service level expectations and recording task times associated with achieving these service levels, the Custodial Division will be able to more effectively distribute workload among staff members and quantify costs associated with cleaning activities. As this dataset is further refined and expanded, the Department will gain insight into the overall cost of its custodial operations and estimate how changes in workload will affect employees and the City’s costs. Recreation Programming RECOMMENDATION 34: Formalize recreation program utilization goals and track utilization rates. The Parks and Recreation Department currently offers a wide variety of recreation programming, including aquatics, adult and youth sports, therapeutic recreation programming, and various classes including after school programs, arts, dance, fitness, gymnastics, and martial arts. Recreation programs are typically renewed and offered in future years based on historic utilization patterns. If program attendance falls, the Department will determine whether to eliminate or renew the program. Achieving cost recovery also factors into the Department’s decision to renew programs; for example, most class offerings are expected to earn 125% of costs in order to be renewed for the following year, which generally requires at least four class participants. The Novak Consulting Group Strengthening organizations from the inside out. Page 76 City of Charlottesville Efficiency Study Report While the practice of continually evaluating programs based on metrics like attendance and cost recovery is commendable, the Department should adopt a more strategic approach to recreation program service delivery and establish formal utilization and cost recovery goals for each type of program. The advantage of formalizing utilization and cost recovery policies is that it allows the Department to operate with known, acceptable limits for subsidizing programs. As a best practice, communities that formalize cost recovery goals typically create subsidy categories and categorize programs based on their perceived value to the community. For example, the City of Boise, Idaho breaks cost recovery goals into the following tiers:  Full Direct Cost Recovery = 90-100% ‒ Adult classes ‒ Adult team sports ‒ Indoor facility rentals ‒ Idaho IceWorld ‒ Warm Springs Golf Course ‒ Adult sports field rental and preparation  Mid-Range Direct Cost Recovery = 40-89% ‒ Cemetery ‒ Day care services ‒ Junior golf ‒ Learn-to-skate ‒ Outdoor facility reservations ‒ Swim team ‒ Youth classes and camps ‒ Zoo Boise ‒ Youth sports field rental and preparation  Low-Range Direct Cost Recovery = 0-39% ‒ Youth outreach ‒ Youth sports and fitness ‒ Teen services ‒ Senior services ‒ Community forestry education and reforestation ‒ Accessibility and recreation adaptive services ‒ Outdoor pool admissions ‒ Environmental education classes ‒ Directive programs from the Mayor and City Council, the Mayor’s Council on Children and Youth, and the City Strategic Plan objectives (i.e., serving youth and youth in need, addressing community gaps in service in geographic areas of need)18 Utilizing a tiered approach allows the City of Boise to price programs based on the expectations and priorities of the governing body. Where the governing body is willing to subsidize some programs and activities, the City can adjust prices so they are lower for the community. Adopting a tiered approach for the City of Charlottesville will prove useful for the Parks and Recreation Department in several respects. While achieving 125% cost recovery and eliminating programs with low attendance shows a commitment to efficiently allocating resources, this 18 City of Boise, “Fees and Charges Policy Final Revision” The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 77 Efficiency Study Report approach may not adequately reflect the needs and goals of all recreational programs. In particular, this practice could inadvertently exclude members of underserved communities in Charlottesville from recreational opportunities. This is particularly important for programs and activities provided by the City that are not provided by the private sector, or that are out of reach for low-income residents in the private sector market. Second, establishing utilization goals for each program will require the Department to inventory all of its current offerings and compare them to programs offered by the private sector. This will provide the City with insights about which programs may have achieved market saturation and inform the goal-setting process for each program. Additionally, comparing program offerings will allow the Department to identify private sector gaps which could be filled with Parks and Recreation programs. This program inventory should be conducted as part of a comprehensive Parks and Recreation Master Plan described previously. As a result of this process, the City may choose to offer programs which are not self-sustaining and serve small, targeted audiences not served by private sector institutions. Importantly, this inventory (and establishing cost recovery standards) are also critical components of the national accreditation process and will enhance the Department’s ability to achieve accreditation. It is important to note that the Charlottesville Parks and Recreation Department currently offers a scholarship program to subsidize recreation costs. Prior to the opening of the Smith Aquatic and Fitness Center in 2010, the City’s scholarship program only provided for a 50% discount on the price of classes and did not provide any mechanism for facility access. The program’s offerings have since expanded to include recreation center and pool passes, as well as camps, classes, and programs. At the time of this writing, there are currently 607 City resident households enrolled in the program. Collectively, these resident households received over $130,000 in scholarship value in FY2016. While the scholarship program is commendable and undoubtedly provides a benefit to City residents, the program’s application process may represent an additional hurdle for low-income residents and could constitute a disincentive to apply for assistance for some residents. Creating known subsidy thresholds and subsidizing programs which target low-income residents could incentivize greater participation by eliminating the need to apply for scholarships. After determining which programs to offer, which programs should be subsidized (and at what level), and which programs should target small constituencies, it is important to accurately track attendance for each recreational program. These attendance figures should be evaluated on an annual basis to determine whether trends are increasing, decreasing, or remaining flat. Programs should not be eliminated until they no longer consistently meet their assigned utilization goal. Golf Operations RECOMMENDATION 35: Establish annual cost recovery goals for golf operations and subsidize shortfalls in golf course revenue. The City owns and operates Meadowcreek Golf Course, a 155-acre golf course constructed in 1974. Golf operations are funded through the Golf Enterprise Fund, and the golf operation does not currently rely on the General Fund for support. The City operates the golf course with four full-time staff, including a Golf Course Manager, an Assistant Clubhouse Manager, a Golf Course supervisor, and a Maintenance Crew Supervisor. The Golf Course Manager is responsible for coordinating overall golf operations, including The Novak Consulting Group Strengthening organizations from the inside out. Page 78 City of Charlottesville Efficiency Study Report contracted services (such as concessions and lesson instructors) and other course activities. The Assistant Clubhouse Manager is responsible for overseeing the operations of the clubhouse, while the Golf Course Supervisor and Maintenance Supervisor are responsible for maintaining and tending to courses and greens. Over the last several fiscal periods, total rounds of golf played at Meadowcreek have declined. This trend is illustrated in the following figure. Meadowcreek Golf Course: Rounds Played 40,000 34,326 35,000 30,092 31,410 28,512 30,000 15,281 11,881 25,000 12,370 10,210 20,000 15,000 10,000 19,045 17,722 18,302 19,529 5,000 0 FY2013 FY2014 FY2015 FY2016 Daily Fee Rounds Played Pass Rounds Played Total Rounds Played Figure 10: Meadowcreek Golf Course Rounds Played, FY2013-FY2016 While daily fee rounds rebounded somewhat from FY2015 to FY2016, total rounds played have fallen 8.5% over this period, led by a decline in pass rounds played. In FY2016, greens fees accounted for nearly half of the golf course’s revenue stream, followed by motor cart rentals, as illustrated in the following table. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 79 Efficiency Study Report Table 26: Meadowcreek Golf Course Total Revenues, FY2016 Revenue Category FY2016 Revenue Percent of Total Meadowcreek Greens Fees $359,608.94 46.8% Motor Cart Rentals $208,480.29 27.1% Multi Round Pass $50,080.97 6.5% Retail Sales $42,410.23 5.5% Golf Annual Memberships $37,727.00 4.9% Driving Range Fees $34,587.58 4.5% Golf Instruction Fees $18,273.00 2.4% Concession Receipts $8,379.62 1.1% Special Assessments $6,940.00 0.9% Sales Tax $1,107.11 0.1% Hand Cart Rentals $927.00 0.1% Other Misc. Revenue $0.00 0.0% Warehouse Outlet Sales $0.00 0.0% Total Revenue $768,521.74 100.0% As rounds played and revenues have decreased, operations costs have increased over this period compared to FY2013. In FY2016, salary and benefits account for approximately 52% of golf course operational costs, followed by other operating expenses and fixed costs. The following table illustrates the trend between revenues and expenses for golf operations over the last several fiscal periods. Table 27: Meadowcreek Golf Course Revenues and Expenditures, FY2013-FY2016 FY2013 FY2014 FY2015 FY2016 Total Revenue $842,785.68 $836,502.73 $888,893.43 $768,521.74 Total Expenses $833,087.00 $870,065.00 $865,148.24 $839,850.63 Net Profit/(Loss) $9,698.68 ($33,562.27) $23,745.19 ($71,328.89) Cost Recovery 101.2% 96.1% 102.7% 91.5% Notably, the decline in revenue from FY2013 to FY2016 is approximately 8.8%, similar to the overall decline in rounds played over the same timeframe. While the golf course has recovered its costs in two of the last four fiscal years, the decrease in profitability experienced in FY2016 is reflective of a larger, nationwide decline in the number of golf rounds being played. This national trend is influenced by several factors, including a smaller player base, the relative expense of golf compared to other sports, the amount of skill required to play successfully, and increased competition among courses. The City’s Meadowcreek course competes against six privately held courses in the Charlottesville region, including:  Birdwood Golf at the UVA campus  Old Trail Golf Club, 18 miles west of Charlottesville  Wintergreen Resort, 44 miles southwest of Charlottesville  Spring Creek Golf Club, 19 miles east of Charlottesville  Lake Monticello Golf Course, 21 miles southeast of Charlottesville The Novak Consulting Group Strengthening organizations from the inside out. Page 80 City of Charlottesville Efficiency Study Report  Greene Hills Country Club, 25 miles north of Charlottesville Meadowcreek staff have implemented several cost recovery efforts in order to maximize competitiveness in the local golf market, including reviewing annual fees every winter, benchmarking competitor offerings, partnering with other Parks and Recreation programs for marketing, and engaging the community on social media. In addition to these efforts, the City currently contracts for concessions and golf instruction lessons, and utilizes volunteers to collect range balls and perform other miscellaneous services. These efforts are commendable and represent a commitment to running a cost-effective operation; however, there are few remaining opportunities to decrease overhead costs without eliminating staff positions or impairing golf course operations. In short, the golf course’s current fiscal trajectory is unsustainable over the long term without subsidy support from the City. In addition to operating costs, the City will need to make capital investments in the golf course including irrigation line replacements, additional drainage in bunkers, cart path maintenance, and additional drainage on older greens. These expenditures will be necessary to preserve the golf course as a community asset and ensure sufficient funding is available to provide quality golf services. It is therefore recommended that the City formalize a cost recovery goal for golf and commit to regularly subsidizing golf operations in order to support the golf course and ensure services can be provided at an acceptable level. It is not uncommon for municipally-owned golf courses and other cash-intensive operations, such as outdoor swimming facilities, to be subsidized by municipalities. These operations require significant annual operating investments and feature facilities with intensive maintenance requirements. Under-funding maintenance efforts will rapidly result in a facility that is incapable of providing quality services, and under-funding operating costs will result in too few staff, supplies, and materials to effectively provide service. Without adequately funding both operations and maintenance, it is impossible to provide golf services at an acceptable service level. The use of subsidies to fund these services represents a deliberate policy choice by the community’s governing body to support the costs of an operation desired by the community. Additionally, it is important to consider the differences between public and private owners with respect to golf course ownership. The City currently pays a minimum wage of $11.00/hour, which exceeds the present federal and state minimum wage of $7.25/hour by 52%. This creates correspondingly higher personnel-related costs for the City’s golf course workers. While the City’s policy decision to pay higher hourly wages is wholly appropriate, it creates less competitive conditions for running Meadowcreek Golf Course compared to private-sector companies. Subsidizing the golf course therefore represents a mechanism for achieving the City’s wage priorities while providing the golf operation with flexibility to remain price competitive in the local market. Establishing formal cost recovery goals for the golf course will provide the City with an opportunity to articulate a maximum amount of subsidy it is willing to provide in support of golf operations. This subsidy support will enable the golf course to set competitive fees and make appropriate investments in the course’s facilities and amenities. As a best practice, the City’s subsidy and the course’s cost recovery goals should be reevaluated on a periodic basis and adjusted as necessary in order to meet the City’s policy goals while maximizing available support to the golf course. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 81 Efficiency Study Report As an alternative to subsidizing the golf operation, the City may also evaluate contracting for golf course operations. The City recently issued an RFP to evaluate options for contracting out golf maintenance services; however, a major obstacle to proceeding in this direction was the potential harm it could cause to the City’s existing golf staff. While it is appropriate to consider contracting for golf operations, consideration should be made for existing golf employees, such as providing these staff with the opportunity to continue in their current jobs under the private golf course operator. The Novak Consulting Group Strengthening organizations from the inside out. Page 82 City of Charlottesville Efficiency Study Report Infrastructure and Transportation Infrastructure and Transportation is the only Functional Area that has historically been comprised of just one department - the Public Works Department. The mission of the Public Works Department is “to responsibly manage public infrastructure, transportation, and natural resources for our community.” In order to carry out its mission, the Public Works Department consists of eight divisions and is staffed with 295.7 FTEs, as detailed in the FY2017 budget:  Administration  Facilities Development  Facilities Maintenance  Public Service  Fleet Management  Utilities  Environmental Sustainability  Transit The Administration Division is responsible for the planning, organization, direction, and budgetary/financial control of the eight divisions of Public Works. The goal of the division is to foster the safe, reliable, responsive, and cost-effective provision of services to both the citizens of Charlottesville and internal customers. The Administration Division is staffed by the Public Works Director and an Administrative Assistant. The Facilities Development Division is responsible for planning, designing and managing construction projects related to City-owned facilities, Charlottesville City School campuses and a number of facilities co-owned by Albemarle County, including new construction and development, facility renovations, expansions of facilities, and major repairs. Capital program development is coordinated with members of City staff, Schools staff and Board members, and representatives of Albemarle County and Albemarle County Schools. The Division is led by the Facilities Development Manager, and is staffed by three Project Managers, a Construction Manager, and an Administrative Assistant shared with the Environmental Sustainability Division. The Facilities Maintenance Division provides routine repair, preventive maintenance, and custodial services to buildings either owned or leased by the City, including schools. As such, the Division is responsible for all heating, ventilation, and air conditioning (HVAC), electrical, and solar photovoltaic systems. The Division is led by the Public Service Director. Employees are specialized, working in either the Custodial Services unit, Structural Maintenance unit, or HVAC/Electrical unit. For FY2017, a total of 9.0 FTEs provide custodial services. A total of 24.36 FTEs provide building maintenance services to both municipal and city school buildings. The Public Service Division is responsible for maintaining the following infrastructure: streets, sidewalks, streetlights, stormwater conveyance systems, traffic signs and signals, and parking meters. The Division also provides the following services: large item pickup, leaf collection, and emergency weather response. Staff from this Division also administer the refuse and recycling collection contracts as well as providing direct service to high-density business districts. The 49.0 FTEs included in the Division’s FY2017 budget are led by the Public Service Director. The Fleet Management Division is responsible for maintaining the City’s vehicles and equipment and providing recommendations on the purchase of replacement vehicles and equipment. The The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 83 Efficiency Study Report Division is led by the Fleet Manager and is staffed by seven Auto Mechanic III’s, one Auto Mechanic I, and an Auto Service Coordinator that coordinates the daily activities of the Division. The Utilities Division is responsible for operating and maintaining the water, wastewater, and natural gas distribution systems in addition to managing the City’s stormwater infrastructure. In addition, the Utilities division is responsible for the capital improvement program regarding the water, wastewater, natural gas, and stormwater utilities that includes planning, rehabilitation and replacement of the utility infrastructure. The Utilities Division is led by the Utilities Division Director and has 92.0 authorized FTEs in FY2017. The Environmental Sustainability Division provides services related to environmental compliance and regulatory programs, climate change, resource conservation, and water resources protection. The Division is led by the Environmental Sustainability Division Manager and staffed by a Water Resources Specialist, Climate Protection Coordinator, Water Conservation Coordinator, and an Administrative Assistant shared with the Facilities Development Division.. The Transit Division of Public Works includes Charlottesville Area Transit (CAT) and Pupil Transportation functions. CAT provides public transportation services to the greater Charlottesville area and is jointly funded by the City, Albemarle County, and the University of Virginia. Under a pre-paid arrangement with the University, UVA IDs are accepted as fare on all buses. CAT also operates the Free Trolley, connecting the University and Downtown, and staffs the Downtown Transit Station, offering information to area travelers, restrooms, and a comfortable place between bus trips. In addition to local funds and passenger fares, CAT operating expenses are covered by Federal and State grants. The Pupil Transportation function provides services under contract with the County. The Transit Division is led by the Transit Manager. In FY2017, total of 68.0 authorized FTEs staff the Transit Division. The Public Works Department provides Facility Maintenance and Pupil Transportation services to City of Charlottesville Schools. In return, City Schools funds a portion of these operations. Infrastructure and Transportation Staffing and Budget The Department’s staffing level has increased by 2% over the last five fiscal years, with the Administration, Facilities Development, and Facilities Maintenance budget function being responsible for the largest increase (of 39%) as the result of a decision to insource previously outsourced custodial services and the addition of a Facilities Development Project Manager position. The staffing level in the Public Service and Fleet Management and Transit budget functions decreased by 2% and 4% respectively between FY2013 and FY2017. The following table illustrates the department’s FTE staffing levels over the last five fiscal periods, along with the percentage change in staffing since FY2013. Table 28: Infrastructure and Transportation Staffing Trends (FTEs), FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Actual Actual Actual Budget Budget Change Administration, Facilities Development, and Facilities 15.7 15.7 16.7 21.9 21.9 39% Maintenance Public Service and Fleet 63.0 62.0 62.0 62.0 62.0 -2% Management The Novak Consulting Group Strengthening organizations from the inside out. Page 84 City of Charlottesville Efficiency Study Report FY2013 FY2014 FY2015 FY2016 FY2017 Percent Actual Actual Actual Budget Budget Change Transit 71.0 68.0 68.0 68.0 68.0 -4% Utilities and Environmental 93.0 96.0 96.0 96.0 96.0 3% Sustainability City/School Contracted Services 45.8 46.3 46.8 47.8 47.8 4% Total 288.5 288.0 289.5 295.7 295.7 2% The Infrastructure and Transportation budget makes up 9% of the City’s total General Fund operating budget. In addition to the General Fund, the operations of the Infrastructure and Transportation Functional Area are supported by the following funds: Water, Wastewater, Gas, Stormwater, Transit, Fleet Management, and HVAC. The Infrastructure and Transportation Functional Area’s total budget increased by 3% over the last five fiscal years. Expenditures have steadily decreased after peaking in FY2014 when the Transit Division invested in the replacement of many of its buses and the Utilities Division invested in system rehabilitation and replacement work. While the budget for the Administration, Facilities Development, and Facilities Maintenance service area increased by 6.2 FTEs between FY2013 and FY2017, non-personnel expenditures decreased by more than personnel expenditures increased, resulting in an overall decrease in expenditures of 8%. The budget for the Public Service and Fleet Management service area decreased by 15% during the same period. Meanwhile, expenditures in the City/School Contracted Services and Utilities and Environmental Sustainability service areas have increased by 12% and 8% respectively. The Transit Division’s budget has remained constant overall, with a peak in FY2014. The following table illustrates trends in the Department’s expenditures over the last five fiscal years, along with the percentage change since FY2013. Table 29: Infrastructure and Transportation Expenditures, FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Actual Actual Actual Budget Budget Change Administration, Facilities Development, and Facilities $3,228,315 $2,791,452 $2,953,677 $2,905,797 $2,960,051 -8% Maintenance Public Service and Fleet $10,363,165 $10,759,472 $9,790,315 $8,732,767 $8,813,996 -15% Management Transit $8,755,892 $10,966,004 $9,261,796 $9,810,893 $8,764,251 0% Utilities and Environmental $49,119,607 $63,664,478 $61,061,416 $58,573,746 $52,876,323 8% Sustainability City/School Contracted $5,706,289 $5,924,606 $5,704,198 $6,249,535 $6,374,545 12% Services Total $77,173,268 $94,106,012 $88,771,402 $86,272,738 $79,789,166 3% The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 85 Efficiency Study Report Analysis and Recommendations As this study was being conducted, the City Manager announced a restructuring of the Public Works Department into three separate departments: Public Works, Utilities, and Transit. The following figure illustrates the functional structure of the Public Works Department prior to the restructure. Figure 11: Infrastructure and Transportation Functional Area Organizational Chart, Prior to October 2016 This time of transition, in addition to this efficiency study, offers a unique opportunity for the new departments to review their organizational structures and clarify their individual purposes and plans for the future. While the functions previously housed within Public Works will be restructured into new departments, close coordination among the new departments is imperative. The functions of the newly formed Public Works, Utilities, and Transit Departments cannot be performed in isolation; overlaps exist, particularly between the Public Works and Utilities Departments. These departments will need to continue to work together, particularly in the areas of pavement management, engineering, environmental sustainability, stormwater, and equipment sharing for snow response. For example, to access underground infrastructure, utilities necessarily cut into City streets and sidewalks. Despite best efforts and instituted practices, there are instances when utility maintenance and street maintenance activities are not coordinated to prevent freshly resurfaced City streets and sidewalks from being subject to utility cuts. Sidewalk repair or construction around large universities, such as UVA, can be extremely disruptive. Annual street maintenance and utility maintenance work plans are communicated, but improvements could be made. For example, the condition of each infrastructure type should be mapped by GIS and shared so that if a water main is not up for replacement in a given year, but is known to be nearing the time when repair/replacement is imminent, the Public Works Department should postpone repairing that street, knowing that the street is likely to be disturbed in the near term. By meeting to discuss work plans on a routine basis, new departments will avoid contradictory efforts and prolong the lifespan of infrastructure. It should be noted that the condition of gas, water, wastewater, and stormwater infrastructure is currently captured in GIS. The Novak Consulting Group Strengthening organizations from the inside out. Page 86 City of Charlottesville Efficiency Study Report Throughout Public Works, the commitment of staff to serving their customers and the community was apparent, with many functions providing high levels of service. However, persistent vacancies have increased the workload of remaining employees and affected morale. The recommendations included in this section aim to support the recent organizational restructuring and ensure that the Public Works, Utilities, and Transit Departments emerge even more efficient and effective than before, particularly in the areas of infrastructure asset management and deployment of resources. Organizational Structure – Public Works Over the years, the Department, in an effort to save money and be more efficient, has combined many positions through attrition. For example, when the Public Service Manager position became vacant, those responsibilities were assigned to the Facilities Maintenance Manager. While the Department should be commended for its financial stewardship, the result of years of this approach is an organizational structure that is based not on design, but on opportunity. This piecemeal approach to restructuring the organization has resulted in individuals taking on additional responsibilities when they may not have the capacity or skillset to adequately perform in both roles. The additional workload without a corresponding position reclassification over time has impacted employee morale. Also, combining functions that are not closely related has not led to efficiency gains. The recommendations in this section move the organization toward a more intentional organizational structure that consists of four divisions: Operations, Asset Management, Engineering, and Environmental Sustainability. Structuring the Public Works Department in this manner will increase communication and coordination while also enabling the Department to make the other changes recommended in this report to improve operations. RECOMMENDATION 36: Create an Operations Division in the Department of Public Works. After the Utilities Department and the Transit Department become independent, the Public Works Department will be comprised of five divisions: Facilities Development, Facilities Maintenance, Public Service, Fleet Management, and Environmental Sustainability. The following figure shows the existing organizational structure of the functions remaining in the Department of Public Works. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 87 Efficiency Study Report Figure 12: Current Public Works Department Organizational Chart1920 It is recommended that the operational functions (facilities development, facilities maintenance, street operations, refuse, and fleet management) be combined into an Operations Division with three units: Facilities, Public Service, and Fleet. The following figure shows all the proposed changes to the organizational chart of the new Operations Division. 19 Environmental Sustainability Division not shown since that Division is not part of the recommended Operations Division 20 Traffic function is moved to the Engineering Division as discussed in Recommendation 39 The Novak Consulting Group Strengthening organizations from the inside out. Page 88 City of Charlottesville Efficiency Study Report Public Works Director 1.0 FTE Operations Director 1.0 FTE Public Service Facilities Manager Fleet Manager Manager 1.0 FTE 1.0 FTE 1.0 FTE Administrative Custodial Building Maintenance Building Maintenance Auto Service Supervisor – Supervisor – Account Clerk III Street Operations Assistant Supervisor Coordinator Structural Maintenance HVAC/Electrical 1.0 FTE Supervisor 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE Program Construction Custodial Leader Coordinator Auto Mechanic III Manager Maintenance Crew 1.0 FTE Contract Manager Energy Manager 1.0 FTE 7.0 FTE 1.0 FTE Supervisor II 1.0 FTE 1.0 FTE 6.0 FTE Refuse Supervisor Project Manager Custodian Auto Mechanic I 1.0 FTE Maintenance 3.0 FTE 4.0 FTE Security Systems Building Trades IV 1.0 FTE Worker III Coordinator 2.0 FTE 16.0 FTE 1.0 FTE Administrative Part-Time Assistant Custodian 1.0 FTE Maintenance 5 Positions Building Building Trades IV Worker II 2.5 FTE Maintenance 2.0 FTE 6.0 FTE Mechanic III 10.0 FTE Secretary II 1.0 FTE Motor Equipment Building Building Maintenance Operator Maintenance Mechanic II 5.0 FTE Mechanic IV 2.0 FTE 2.0 FTE Street Maintenance Inspector Building Trades III 2.0 FTE 6.0 FTE Workload Specialist Building Trades II 1.0 FTE 2.0 FTE Figure 13: Proposed Operations Division Organizational Chart 21 Presently, the various divisions of the Public Works Department operate in a siloed manner. Siloed organizations often struggle with communication. During the interviews and focus groups The Novak Consulting Group completed with employees, communication was repeatedly mentioned as an issue for the organization. Employees provided examples of inefficiencies that resulted from interrelated functions not communicating and also expressed concern over the lack of communication from the Department’s leadership team. In order to enhance the coordination, communication, and efficiency of the new Public Works Department, it is recommended that an Operations Division be created through the following organizational changes:  Reclassify the Public Services Manager22 to an Operations Director position reporting to the Public Works Director;  Move the Fleet Manager and the Fleet Management function to the Operations Division reporting to the Operations Director;  Move the Facility Maintenance and Facility Development functions to the Operations Division under the leadership of a Facility Manager reporting to the Operations Director. 21 Restructuring of Facilities Maintenance and Facilities Development Divisions discussed in Recommendation 36 22 The Public Services Manager position (position 3699) has been vacant since 2014. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 89 Efficiency Study Report The creation of an Operations Division will combine all of the operations functions under one position – the Operations Director – to increase coordination, communication, and efficiency. In addition to being responsible for managing the operations functions, the Operations Director will serve as an assistant to the Public Works Director. This employee will have experience managing the operational aspects of the Department, and therefore will be able to provide overall management support to the Department as needed. The person in this role must understand the various functions of each section and must also have strong communications and management abilities. Having a strong second-in-command will increase continuity within the organization, free up the Director to focus on higher-level management issues, and increase communication within the organization. Under the current structure, the Public Works Director is responsible for a wide variety of functions within the department as well as: 1) the day-to-day management associated with running a large department, 2) strategic leadership and planning, 3) engagement with City leadership and active participation on the City’s Leadership Team, and 4) the high level of external communication and engagement required of an organization that frequently interacts with the public. The Operations Director would allow the Public Works Director more capacity to focus on high priority issues as well as strategic leadership of the Department. The Facilities Development Division is responsible for all facility capital projects, including new construction, expansions, renovations, and major repairs. Meanwhile, the Facilities Maintenance Division is responsible for routine facility maintenance activities. As was previously mentioned, the Public Service Manager position has been vacant for over a year, and the Facility Maintenance Manager has since assumed responsibility for the Public Service Division. Currently, these two Divisions operate independently, but the functions they provide are closely related and will benefit from increased coordination in the following ways. First, future maintenance will become a consideration in all facility development decisions. Second, the Facilities Maintenance Division will be aware of upcoming capital projects so as not to invest valuable resources into maintaining facilities that are up for replacement or major capital repair. Finally, the Facilities Development Division’s long-term approach to planning would benefit the Facilities Maintenance Division as it seeks to replace equipment as it nears the end of its lifecycle. RECOMMENDATION 37: Create an Asset Management Division in the Department of Public Works. Asset management is the knowledge of what assets (such as infrastructure, buildings, and vehicles) are under the City’s control, where they are located, what condition they are in, and what regular maintenance is needed on each asset in order to extend its operational life. This knowledge directly informs both the work planning and capital improvement processes. Asset management guides work planning as it involves assigning regular asset maintenance tasks to crews as efficiently as possible to maximize asset life. Asset management also informs the capital improvement process when data about assets is used to prioritize capital improvement projects. The value of the City’s infrastructure assets is significant. According to the City’s 2015 CAFR, 23 the assets for which Public Works is responsible for maintaining (less accumulated depreciation) are valued at nearly $118 million.24 However, the City’s infrastructure is aging and the risks posed by this aging infrastructure are significant. 23 The CAFR approach does not represent the replacement value of the assets maintained by the Department. A current inventory using replacement values would likely yield a much higher valuation. 24 $25 million in Utilities Department infrastructure not included The Novak Consulting Group Strengthening organizations from the inside out. Page 90 City of Charlottesville Efficiency Study Report Unfortunately, with the exception of utilities, the City does not have a current, comprehensive asset inventory or repair and replacement plan for the assets maintained by the City. Rather, asset information is managed in a decentralized way. For example, the Utilities Division has (in recent years) begun inventorying and assessing the condition of its infrastructure in order to inform the repair and maintenance choices included in the Long Range Capital Improvement Program. The Public Service Division also has an inventory of City streets and uses a standard condition assessment tool, the Pavement Condition Index (PCI), to monitor the condition of these assets and plan repair and replacement efforts. While the City has a Capital Improvement Plan (CIP) in place, the lack of asset management information limits the City’s ability to strategically invest in its infrastructure. The City needs to have inventories and condition assessments of all City infrastructure that are then used to prioritize projects based on criticality. Not being strategic when it comes to infrastructure maintenance and replacement may result in the City investing in deteriorating infrastructure in a less than optimal manner. As such, it is recommended that the Department put processes in place to sustain its infrastructure assets. It is recommended that an Asset Management Division be created through the following organizational changes:  Reclassify the Administrative Assistant25 position to an Asset Manager position reporting to the Director of Public Works  Move the Senior GIS Analyst and two GIS Technicians into the Asset Management Division reporting to the Asset Manager The Asset Manager position will first be charged with supervising the creation of a comprehensive inventory and condition assessment of all City infrastructure assets (not just those in the Public Works Department). This process of identifying and assessing existing assets will create an accurate inventory, condition assessment, and valuation of the City’s infrastructure. As the inventory and condition assessment are being created, the Asset Manager will also be responsible for 1) putting systems in place that will keep the inventory and condition assessment up-to-date so that infrastructure condition will be monitored and accurately inform investment decisions with live data and 2) developing and managing the City’s infrastructure repair and replacement plan from this information. Fundamentally, the Asset Manager will be responsible for turning inventory and condition assessment data into information that will inform the City’s CIP priorities. The following figure illustrates the proposed organizational structure of the new Asset Management Division of the Department of Public Works. 25 The Administrative Assistant position (position 5622) has been vacant since 2014. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 91 Efficiency Study Report Figure 14: Proposed Asset Management Division Organizational Structure RECOMMENDATION 38: Create an Engineering Division in the Public Works Department. The true cost of infrastructure projects consists of both initial construction costs and long-term maintenance costs. The cost of maintaining infrastructure is affected by initial design, materials, construction quality, usage, environmental factors, and the level of preventative maintenance. According to the American Public Works Association (APWA) Public Works Management Practices Manual, effective feedback from maintenance and operations produces more efficient and effective designs. Considering the maintenance and operations implications of infrastructure projects can minimize lifecycle costs. Since public works professionals in any organization typically have significant experience maintaining infrastructure assets, their input should be considered during the design process and should be used to forecast the long-term costs of capital infrastructure projects. Therefore, the infrastructure engineering and operations functions must be very closely linked. Currently, the City of Charlottesville’s engineering functions are split between the Utilities Division and the NDS Department. The Utilities Division currently has an engineering function that consists of two Utilities Engineers (one position is currently vacant), one Project Manager, and one Construction Inspector (currently vacant) and is responsible for overseeing the planning, design, and inspection of engineering projects related to the water, wastewater, and gas utilities. After the restructuring of the Public Works Department (announced by the City Manager in October 2016), the new Public Works Department will have limited engineering expertise, as those functions are proposed to be located in the new Utilities Department. The engineering function of the NDS Department is responsible for both development review and municipal engineering (e.g., roadway projects, environmental control, and traffic engineering) activities of the City. According to NDS staff, municipal engineering activities make up the majority of the workload of the NDS engineering function. The City Engineer leads the NDS engineering function, which consists of one Assistant City Engineer, one Civil Engineer, one Erosion and Sediment Control/VSMP Administrator, one Engineering Tech, one Tech Supervisor, one Survey Tech, and one Project Inspector. The VDOT Coordinator, who serves as the City’s liaison with the Virginia Department of Transportation on road infrastructure projects, is also part of the NDS Department. The result of the current location of engineering expertise within the City organization is a potential loss of efficiency and quality of capital projects. According to staff, costly errors in design, timing, and policy have reportedly occurred in the recent past. Therefore, the City may benefit from creating a stronger linkage between the infrastructure engineering and maintenance functions. The Novak Consulting Group Strengthening organizations from the inside out. Page 92 City of Charlottesville Efficiency Study Report Given that most of the workload of the NDS engineering staff involves municipal engineering, rather than development engineering, it is appropriate to separate the development review and municipal engineering functions and move the municipal engineering functions to the Public Works Department. Restructuring the engineering functions in this manner will institutionalize the relationship between the engineering and maintenance functions and create a feedback loop that will incorporate the input of operations personnel into future designs. It is recommended that an Engineering Division be created through the following organizational changes:  Move the City Engineer position from NDS to the Department of Public Works reporting to the Public Works Director  Move the Assistant City Engineer position from NDS into the new Engineering Division of the Department of Public Works reporting to the City Engineer  Move the VDOT Coordinator position from NDS into the new Engineering Division of the Department of Public Works reporting to the City Engineer  Move the Erosion and Sediment Control/VSMP Administrator, Tech Supervisor, Survey Tech, and Project Inspector positions from NDS into the new Engineering Division of the Department of Public Works, reporting to the Assistant City Engineer  Move the two Utilities Engineer, one Project Manager, and one Construction Inspector positions into the new Engineering Division of the Department of Public Works, reporting to the Assistant City Engineer This recommendation strengthens the engineering function of the Department. The new Engineering Division will be responsible for capital projects, such as bridge inspections and repairs, street maintenance, sidewalk maintenance, water, wastewater, erosion control, and stormwater management. The Engineering Division will also be responsible for updating roadway and construction specifications. Meanwhile, the NDS engineering function will continue to be responsible for development review engineering activities. Having two employees dedicated to development review will ensure that private applicant needs are met and that applicants continue to receive a high level of service from the City. RECOMMENDATION 39: Create a Traffic function within the Engineering Division of the Department of Public Works. The Traffic unit of the Public Service Division is led by the Traffic Signal Supervisor and is staffed by one Maintenance Worker III, four Traffic Signal Technicians, and one Traffic Sign Fabricator. The Traffic Signal Supervisor reports to the Public Service Director. The Traffic unit is responsible for the operations of the City’s signal and sign infrastructure. The Traffic Engineer is responsible for overseeing the planning and design of traffic engineering improvements and the installation and maintenance of traffic signals and control devices. The Traffic Engineer conducts traffic studies and also responds to requests, including signal timing issues, signal requests, stop sign requests, traffic calming requests,26 and sight distance issues. This position reports to the Development Services Manager in the NDS Department. Separating the traffic design and operations functions is not the most effective or efficient structure. Splitting the Traffic Engineer, who is responsible for setting the direction of the City’s traffic program, and the traffic operations unit, which is responsible for carrying out the City’s traffic program, can result in a misalignment between the plan and the implementation. Because the 26 The Traffic Engineer receives approximately 20 traffic calming requests each year. The other request types are not tracked. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 93 Efficiency Study Report Traffic Engineer (who is located in NDS) does not control the budget of the traffic operations team (located in Public Works), the Traffic Engineer is unable to effectively balance the demands of ongoing maintenance with necessary new improvements. It is recommended that a traffic function of the Engineering Division be created through the following organizational changes:  Move the Traffic Engineer into the new Engineering Division of the Department of Public Works reporting to the City Engineer  Move the Assistant Traffic Engineer and Bike & Ped Coordinator into the new Engineering Division of the Department of Public Works reporting to the Traffic Engineer  Move the Traffic Signal Supervisor into the new Engineering Division of the Department of Public Works reporting to the Traffic Engineer  Move the Maintenance Worker III, four Traffic Signal Technicians, and Traffic Sign Fabricator into the new Engineering Division of the Department of Public Works reporting to the Traffic Signal Supervisor The Traffic Engineer must continue to collaborate with NDS through participation in the development review committee and by reviewing site plans27 for compliance with traffic system design standards. RECOMMENDATION 40: Consolidate stormwater utility management in the Department of Public Works. After separating the Transit and Utilities functions from Public Works, the stormwater utility program will involve individuals from three separate departments: Utilities, NDS, and Public Works. In the Utilities Department, the Stormwater Utility Administrator is responsible for administering the stormwater utility billing system, responding to citizen inquiries and complaints, managing the implementation of the Water Resources Protection Program, including the Water Resources Master Plan (WRPP) and the associated CIPs for drainage and water quality. In addition, the Stormwater Utility Administrator facilitates the WRPP Advisory Committee and works closely with the City Attorney’s office and the Utility Director to refine and advance City drainage policy, particularly as it relates to private drainage issues. The Stormwater Technician provides asset management functions within the GIS environment and supports the Stormwater Utility Administrator in a range of functions and roles. Both positions work closely with the Utilities Engineer to manage the $1 million stormwater system rehabilitation contract. The engineers in the NDS Department review and approve designs, accept stormwater management and conveyance system improvements, and also develop the City’s construction standards for stormwater infrastructure. The NDS Department’s Stormwater Inspector is then responsible for inspecting completed stormwater infrastructure construction. In the Public Works Department, the stormwater maintenance crew, which is part of the Public Service Division, is responsible for cleaning and flushing stormwater systems and also for performing routine repairs. The Environmental Sustainability Division of the Public Works Department manages the City’s municipal separate storm sewer system (MS4) permit in collaboration with the Stormwater Utility Administrator and grant-funded Best Management Practice (BMP) implementation projects. While all of the employees involved in the stormwater utility have done a good job of coordinating and building relationships, their jobs are made more difficult by the current organizational structure. While stormwater is a utility and operates as an enterprise fund, it has some functional differences versus the gas and water/wastewater utilities. For example, two-thirds of the stormwater 27 NDS completed 48 site plan reviews in 2015. The Novak Consulting Group Strengthening organizations from the inside out. Page 94 City of Charlottesville Efficiency Study Report conveyance system is located on private property and largely privately owned and comingled with the one-third of the stormwater conveyance system that is publicly owned. In addition, unlike the other three utilities that are separate but co-located within the improved right-of-way, the stormwater conveyance system is integrated into the improved right-of-way as it serves to drain the streets. A third important distinction is that the stormwater utility includes work related to structural stormwater management facilities and not just pipes and structures. Engineering is responsible for new construction design while operations is responsible for maintenance. Given the structure of the new Public Works Department, most of the functions with which the stormwater utility administration staff (the Stormwater Administrator and the Stormwater Technician) interact are in the new Public Works Department (environmental sustainability, NDS engineering, Utilities engineering, and maintenance). As such, the stormwater utility administration staff should be relocated to the new Engineering Division of the Department of Public Works reporting to the City Engineer. While the stormwater utility management team should be commended for its best practice approaches to assessing fees and billing, the stormwater utility is still in something of a startup mode. Most of the attention up to this point has been devoted to asset management. However, the stormwater utility is beginning to shift its focus toward surface water quality and the construction of additional stormwater BMPs. As this report was being written, the stormwater utility was planning to begin implementing the drainage and water quality projects included in the Water Resources Master Plan. It is important for the stormwater management team to continue to focus on ensuring the infrastructure is maintained. Locating the stormwater utility administration staff in the Public Works Department will make collaboration with the Public Service, Environmental Sustainability, and Engineering Divisions of the Public Works Department more efficient. The following figure illustrates the organizational structure recommended in the three recommendations related to the engineering functions in the NDS, Public Works, and Utilities Departments. Figure 15: Proposed Engineering Functions Organizational Structure The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 95 Efficiency Study Report RECOMMENDATION 41: Locate the Environmental Sustainability Division in the Department of Public Works. The Environmental Sustainability Division performs a unique set of functions. Sustainability is a City-wide priority for the progressive community of Charlottesville. The Environmental Sustainability Division works with both the Utilities and Public Works Departments as sustainability affects many aspects of each Department’s work: environmental compliance, resource conservation, waste management, environmental impacts of infrastructure development and operations, building design and maintenance, and water resources (stormwater) planning. Similar coordination efforts are conducted with all other City operational departments. It is recommended the Environmental Sustainability Division remain in the Public Works Department. The Division will need to coordinate with multiple functions in the Public Works Department (facilities development, facilities maintenance, streets, and stormwater). Additionally, the Division has been successful, as part of the Public Works Department’s structure, in advancing the City’s sustainability goals. It is further recommended the Environmental Sustainability Division Manager report directly to the Public Works Director in order to maintain organizational visibility and emphasize the policy importance of this work. RECOMMENDATION 42: Transfer one Safety and Training Coordinator position from the Utilities Department to the Public Works Department. Historically, the City of Charlottesville has taken a primarily decentralized approach to employee safety. Responsibility for most safety and training activities rests with individual departments, but select safety activities are centrally managed: workers’ compensation is managed by the HR Department; insurance is purchased by the Finance Department; and a City Safety Committee meets on a quarterly basis to review injury and accident trends and to investigate safety complaints made by employees. The Utilities Division has two Training and Safety Coordinator positions. While both of these positions were previously vacant, one has recently been filled. The Public Works Department has two safety committees that operate separate from the City Safety Committee: one for large equipment and one for smaller vehicles. Each committee meets as necessary to review all accidents, determine preventability, and make recommendations on additional training. Currently the committees are led by the Safety and Training Officers in the Utilities Division. However, due to vacancies and a lack of clarity, these committees have become inactive. One of the Safety and Training Officer positions should be transferred from the newly formed Utilities Department to the Operations Division of the Public Works Department. This position will serve as the Department’s City Safety Committee representative and will have responsibility for implementing all Public Works Department-specific guidance coming from the City Safety Committee. In addition, this position will be responsible for ensuring Public Works Department employees routinely receive the training necessary to safely do their jobs. The following figure summarizes all of the recommended changes to the functional structure of the new Public Works Department. The Novak Consulting Group Strengthening organizations from the inside out. Page 96 City of Charlottesville Efficiency Study Report Figure 16: Proposed Department of Public Works Functional Organizational Chart Organizational Structure – Utilities As in the Department of Public Works, the organizational structure of the Utilities Division has been created over time, as the responsibilities of vacant roles were transitioned to other positions. Presently, water, wastewater, and gas operations and maintenance are combined under the Utilities Operations Supervisor who reports to the Director. The Assistant Gas Superintendent/ Chief Gas Engineer manages regulatory compliance, dispatch, GIS, and training and safety – functions that support water, wastewater, and gas operations and also reports to the Director. The remaining functions (marketing, utilities program coordination, engineering, and regulatory compliance) also report directly to the Utilities Director. Combining the water and wastewater maintenance and operations units is understandable because these functions operate very similarly, so efficiencies can be gained. However, combining maintenance and operations of the water/wastewater and gas utilities does not result in any efficiencies because these utilities operate very differently, with specialized employees. Dispersing the support functions in this manner throughout the Division results in the Utilities Director having nine direct reports. Opportunities exist for the current organizational structure of the Utilities Division to be streamlined and for the Director to have an optimal number of direct reports. The following figure shows the current structure of the Utilities Division, color-coded by the primary funding source; gas-funded positions are shown in orange, water/wastewater-funded are positions shown in blue, and stormwater-funded positions are shown in purple. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 97 Efficiency Study Report Public Utilities Director 1.0 FTE Utilities Operations Gas Utility Engineer Manager 1.0 FTE 1.0 FTE Gas General Gas Service Waste Water Gen Maintenance Supervisor Maintenance Pipeline Locator Regulatory Training & Safety Supervisor 1.0 FTE Supervisor 1.0 FTE Chief Dispatcher Senior GIS Analyst Compliance Coordinator 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE Supervisor 2.0 FTE 1.0 FTE (2 Vacant) Gas Mechanic 8.0 FTE Maintenance Crew Gasline Welder Maintenance Crew (2 Vacant) Supervisor 1.0 FTE Supervisor 5.0 FTE (Vacant) Dispatcher GIS Technician Leak Survey 4.0 FTE 4.0 FTE 2.0 FTE Technician Meter Reader 2.0 FTE Motor Equipment Regulator Mechanic 3.0 FTE Operator 1.0 FTE Motor Equipment 4.0 FTE Operator 4.0 FTE Water Service Technician Maintenance Pipeline Locator 1.0 FTE Worker 1.0 FTE 10.0 FTE Maintenance (4 Vacant) Worker 9.0 FTE (2 Vacant) Combo Truck 2.0 FTE (1 Vacant) Gasline Inspector 2.0 FTE Workload Specialist 1.0 FTE Workload Specialist 1.0 FTE Storm Water Marketing Utilities Program Utilities Program Utilities Engineer Regulatory Utilities Engineer Compliance Administrator Specialist Coordinator Coordinator 1.0 FTE 1.0 FTE Administrator 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE (Vacant) 1.0 FTE Storm Water Construction Project Assistant Admin Secretary Project Manager Inspector Technician 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE (Vacant) Figure 17: Current Utilities Department Organizational Chart The restructuring of Public Works and the creation of a Utilities Department presents an opportunity to review and revise the structure of the Utilities Department. It is recommended that the operations and maintenance of the water/wastewater and gas utilities be separated and the functions that support all utilities be grouped, resulting in three divisions: Gas, Water/Wastewater, and Administration. The following figure summarizes the changes recommended in this section. The Novak Consulting Group Strengthening organizations from the inside out. Page 98 City of Charlottesville Efficiency Study Report Figure 18: Proposed Utilities Department Functional Organizational Chart RECOMMENDATION 43: Create a Gas Division of the Utilities Department. Historically, gas, water, and wastewater operations were supervised by three separate Maintenance Supervisors who were managed by a Gas Operations Manager and Water/ Wastewater Operation Manager. In recent years, as positions have become vacant, these positions have been consolidated. Now the Gas General Maintenance Supervisor and Water/ Wastewater General Maintenance Supervisor run daily operations and are managed by the Utilities Operations Manager. Currently, utility operations are currently managed by three positions when they used to be managed by five positions. The nature of gas utility work is unique from other utilities. Gas utilities are subject to strict regulations and employees receive specialized training and certification to safely work with the infrastructure that distributes natural gas. As such, consolidating gas and water/wastewater operations does not provide operational efficiencies. The specialized nature of the work warrants an organizational structure that groups gas-specific maintenance and operations functions. It is recommended that a Gas Division be created through the following organizational changes:  Reclassify the Gas Utilities Engineer as Director of Gas Operations reporting to the Utilities Director  Move gas general maintenance unit into the Gas Division reporting to the Director of Gas Operations  Move gas service unit into the Gas Division reporting to the Director of Gas Operations  Move the Gasline Welder, Regulator Mechanic, and Pipeline Locator into the Gas Division reporting to the Director of Gas Operations The reclassified Director of Gas Operations position will be responsible for managing the day-to- day operations of the gas utility. This will enable the Utilities Director to take on the expanded responsibilities associated with being a department director, including actively participating in the The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 99 Efficiency Study Report City’s Leadership Team, developing and executing a strategic direction for the Department, and managing relationships with external stakeholders. As was previously mentioned, employees that work specifically for the gas utility are spread throughout the Department. The gas general maintenance unit is responsible for all things related to the gas distribution system. The gas service unit is responsible for turning gas service on and off and for servicing customers’ gas meters. Additional positions are dedicated to the gas utility, but are not located in the service or general maintenance units. The Gasline Welder, Regulator Mechanic, and one Pipeline Locator positions are specialized gas positions and should be part of the Gas Division. The following figure shows the recommended structure of the Gas Division. Figure 19: Proposed Gas Division Organizational Chart RECOMMENDATION 44: Create a Water/Wastewater Division of the Utilities Department. While the gas utility is unique from other utilities and should therefore operate independent of them, water and wastewater utility operations are quite similar to one another. As such, it is reasonable that the City has merged these two functions over time. It is recommended that water utility and wastewater utility operations remain combined, and that the organizational structure be amended accordingly. Specifically, it is recommended that a Water/Wastewater Division be created by reclassifying the Utilities Operations Manager position as Director of Water/ Wastewater Operations reporting to the Utilities Director. The Novak Consulting Group Strengthening organizations from the inside out. Page 100 City of Charlottesville Efficiency Study Report Figure 20: Proposed Water/Wastewater Division Organizational Chart RECOMMENDATION 45: Create an Administration Division of the Utilities Department. In the Utilities Department, some positions are dedicated to the gas utility, some are dedicated to the water and wastewater utilities, and some provide support to all three utilities. Many of those positions that currently provide services to all three utilities report directly to the Utilities Director while others report to the Gas Utilities Engineer or the Utilities Operations Manager. Having shared support positions located throughout the organization makes it difficult to manage workload and results in too high of a span of control for the Utilities Director. When the organizational restructuring is complete, the Utilities Director will have additional responsibilities, making it even more difficult to manage nine direct reports. Grouping shared support functions will create capacity so that the Director can take on the additional responsibilities associated with leading a department. It is recommended that these functions be consolidated into a new Administration Division of the Utilities Department. Creating an Administration Division includes the following organizational changes:  Reclassify the Gas Pipeline Locator28 to a Director of Administration position in the Utilities Department reporting to the Utilities Director  Move the marketing, program coordination, dispatch, regulatory compliance, and training and safety functions to the Administration Division reporting to the Director of Administration The following figure shows the recommended structure of the Administration Division. 28 The Gas Pipeline Locator position (position 3584) has been vacant since 2014. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 101 Efficiency Study Report Figure 21: Proposed Administration Division Organizational Chart The following figure shows the organizational structure of the Utilities Department as discussed in the previous recommendations. Figure 22: Proposed Utilities Department Organizational Chart Work Planning and Tracking The recommendations in this section involve establishing systems and leveraging technology to deliver services more efficiently and effectively. The identified needs must be prioritized and linked with the overall IT plan for the City as, it should be noted, these recommendations will impact the service demands the Infrastructure and Transportation Functional Areas place on the City’s IT Department. The Novak Consulting Group Strengthening organizations from the inside out. Page 102 City of Charlottesville Efficiency Study Report RECOMMENDATION 46: Create a comprehensive asset management plan for all Public Works Department assets. As a best practice, the APWA Public Works Management Practices manual recommends that public works organizations conduct asset inventories and condition assessments as part of an asset management program. However, the City’s Infrastructure and Transportation Functional Area lacks a comprehensive approach to asset management planning. It is therefore recommended that the Department create a comprehensive asset management plan, which covers the full scope of the Functional Area and operations. This comprehensive asset management plan will include all major assets, such as gas, water, wastewater, equipment, facilities, streets, and stormwater infrastructure. It should be noted that asset information for water, wastewater, stormwater, and gas infrastructure already exists. Although the assets maintained in each of these categories vary widely and involve unique maintenance procedures, asset management plans across these functions share the same common elements: an asset inventory, a condition assessment, a predicted deterioration function, the likelihood of failure, the consequences of failure, and a preventative maintenance work plan. Asset inventories are the cornerstone of asset management planning. The inventory provides basic information about each asset, including an identifying number, the asset’s location, its age, when the asset was acquired/installed, its initial cost, and estimated replacement cost. Where possible, the City should utilize software to track asset inventory data in a consistent manner. While it is possible to organize this information using paper records, the use of electronic databases and asset management software will greatly expedite the process of creating, updating, and accessing asset records as well as provide more accurate and up-to-date information. These systems also provide interoperability with other software packages, such as GIS, to provide expansive locating and records management capabilities. After completing an asset inventory, the Department will have a clear list of all assets under its control, from infrastructure to vehicles to facilities. As this inventory is developed, it is important to develop systems that keep the inventory and condition assessment current. As assets are added, such systems must automatically incorporate these into the inventory as being in new condition. As infrastructure elements are repaired or updated, their condition must be recorded into the condition analysis. In this manner, the inventory and condition analysis will be kept current and not allowed to become dated and less than useful. Another integral part of asset management planning is determining the overall condition of each asset. A condition assessment provides a quantitative baseline for rating the qualitative aspects of an asset, such as its overall functionality, wear and tear, and likelihood of failure. Where possible, the Department should rely on industry standard assessment tools, as it already does with the PCI for rating City streets, in order to minimize subjective condition ratings. Life cycles, deterioration rates, and unique issues and factors such as traffic, loading or, in the case of underground utilities, the presence of corrosive or reactive soils in which these infrastructure elements are located must be factored into a “deterioration curve,” thus providing a predictive element to the asset management plan. Condition assessments are important for two reasons. First, they highlight assets which are nearing failure or expected end of life, which in turn informs the CIP and asset replacement process. Second, they provide guidance for the work planning schedule by identifying City assets that are in most need of immediate attention. This helps upper management prioritize when work should occur in order to maximize staff efficiency and ensure maintenance funding is utilized effectively. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 103 Efficiency Study Report A comprehensive asset management plan will allow each Department to create an annual work plan. Such a work plan will describe the regular maintenance activities that must occur in order to extend the useful life of that asset. The purpose of a Department-wide work plan is threefold: it serves as a master schedule of preventative maintenance tasks, it provides a tool for scheduling projects that involve multiple divisions, and it allows management to prioritize complex or time- intensive projects effectively. An asset management plan will also provide the framework for multi- year capital and maintenance budgeting. To create the work plan, each Department should determine when regular maintenance activities for each asset need to occur in order to preserve the asset’s functionality and minimize the risk of asset failure. This will generate a list of tasks that should occur at regular intervals, which should then be scheduled on an annual basis. The resulting work plan will serve as a calendar of required maintenance tasks. As divisions assume responsibilities for their portion of the comprehensive work plan, managers and supervisors will in turn be able to create individual work plans for their staff. This will allow meaningful goal-setting and provide objective measures. Without an effective work plan, City staff will be more frequently pulled into reactive maintenance tasks without knowing what preventative maintenance has been missed or delayed. This creates deferred maintenance of assets, decreasing their useful life, which ultimately increases the City’s costs by requiring asset replacement on a faster schedule. The Asset Management Division recommended previously will be responsible for driving the creation and implementation of an asset management plan for each department in the Infrastructure and Transportation Functional Area. RECOMMENDATION 47: Implement a work order system. An electronic work order system enables an organization to streamline the distribution of assignments based on the annual work plans developed as part of the asset management plan and reactive maintenance needs. From these annual work plans, work orders can be generated. A work order system will enable the Department to track what work is being completed, how quickly crews are completing that work, and the usage of resources. Tracking hours and costs will enable alternative service delivery methods to be evaluated. In addition, emergency work orders should be tracked, giving the organization a full picture of its activities. Additionally, such a system can also provide real-time data to the asset management system, proving updates and keeping the inventory and condition assessment current. This will allow the tracking of planned maintenance as well as reactive maintenance. Reactive maintenance is generally more costly than planned maintenance, thus the ratio of planned maintenance to reactive maintenance should be maximized. A work order system will allow these ratios to be tracked as a measure of efficiency. Public Works currently uses the SAP Plant Maintenance module to assign and track work. However, this system is not designed to be used as a work order system, resulting in a very cumbersome and inefficient process. Under the existing process, work orders are printed out, crews then write notes directly on the work order while out in the field, and then dispatchers or a workload specialist enter the data into SAP when crews return to the office. Sometimes crews are sent out with a work order to assess an issue and then have to come back to the office so another work order can be issued for the completion of that work. A major downside of this process is there is no data available regarding the cycle time required to complete specific tasks and, as a result, management cannot analyze whether service level and timeliness expectations are being met. This lack of data also makes it difficult for management to justify resource requests during the budget development process or objectively examine the cost of alternative service delivery options. The Novak Consulting Group Strengthening organizations from the inside out. Page 104 City of Charlottesville Efficiency Study Report Electronic work order systems that include both inventory assets and programmed preventative maintenance work plans are one of the best practices that are considered part of the APWA accreditation process. Ideally, the Public Works and Utilities Departments should purchase a work order system that can interface with the utility billing module of SAP. However, if that is not financially feasible, the City can continue to work with the IT Department to develop workarounds for the SAP system and integrate it with asset management. The first step involves data collection. City staff need the tools to consistently record the work being completed, time and materials costs, and the location of the work, all while in the field. For example, crews would have to record more than just “pothole patching” and the street name. They would enter how much cold patch was used, how long the job took, the precise street segment, and the members of the crew. Even this simple approach would provide the City with a detailed repair history and cost information, which will help pinpoint problems. It should be noted that fleet maintenance activities are unique and may require a separate module of a work order system or a separate system altogether. The Fleet Management Division uses SAP to monitor and plan maintenance activities as well as assess maintenance history and costs per vehicle. However, SAP is not designed specifically for fleet management and, as such, lacks some capabilities. For example, a vehicle’s preventive maintenance schedule has to be manually updated, only a limited number of fields relating to each vehicle can be tracked, and data from the Department’s fuel tracking software must be imported into SAP (rather than automatically being pulled). Fleet management systems are generally not very expensive - some work order systems even offer specific fleet management modules. The Public Works Department should purchase software specifically designed to meet the needs of its fleet maintenance operation. Public Works Operations RECOMMENDATION 48: Include yard waste collection in the refuse collection contract. The City contracts for refuse and recycling collection to County Waste. Residents are charged volume-based user fees for curbside refuse collection and disposal. The following table summarizes the current refuse and recycling fee schedule. Table 30: Refuse and Recycling Fee Schedule, 2016 Type/Volume Fee Amount Individual Trash Collection Sticker 13 gallon $1.05 each 32 gallon $2.10 each Annual Trash Collection Sticker 32 gallon $94.50 50 gallon $147.00 64 gallon $189.00 96 gallon $283.50 Recycling Free The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 105 Efficiency Study Report In 2015, a total of 5,881 tons of the refuse collected through the curbside collection program went to the landfill and an estimated29 4,115 tons was recycled, resulting in an estimated diversion rate of 41%. The City’s diversion rate is impressive given that the average diversion rate for permitted solid waste management facilities in the Commonwealth of Virginia is approximately 10%. While the City has contracted for refuse collection since 1993, yard waste collection and large item pickup have never been included in the contract. The Public Works Department provides large item pickup, but yard waste collection services are not available to residents (except during leaf collection season). Currently, yard waste is collected by the contractor along with refuse and deposited in the landfill, which is a poor use of limited landfill space and does not align with the City’s focus on sustainability. Best practice in the region is to collect bagged/bundled yard waste on a weekly or biweekly basis and transport this waste to composting facilities for ultimate reuse. Yard waste that is bagged is placed in containers such as paper yard waste bags that can be composted with the yard waste. The cities of Harrisonburg and Danville and the Town of Leesburg all collect bagged/bundled yard waste on either a weekly or biweekly basis. The City should, depending on costs, include yard waste collection in the next refuse collection contract and cause such waste to be transported to a composting facility. RECOMMENDATION 49: Improve efficiency of leaf collection by utilizing the refuse contractor. Every year, between November 1 and January 31, Public Service employees collect leaves. Residents may either bag up their leaves (using plastic bags distributed by the City) for weekly pickup or may rake leaves to the curb for vacuum pickup, which is guaranteed twice during the three-month leaf collection period. City employees then take the collected leaves to a nearby farm and debag them for composting. This is a very labor intensive (and therefore costly) approach to leaf collection. According to the Department, it spends approximately $272,000 per year collecting leaves. In addition to the direct and indirect costs of providing this service, there are opportunity costs associated with using Public Service staff to provide leaf collection services. For example, because of this activity, the City does not crack seal in the fall, which is the ideal time to do crack sealing. Amongst other similarly-sized communities in the Commonwealth, loose leaf collection in November and December and bagged (in compostable bags) leaf collection the rest of the year are common practice. The cities of Harrisonburg and Danville and the Town of Leesburg collect loose leaves during peak leaf season and bagged (in compostable bags) leaves outside of this period. The Town of Leesburg collects loose and bagged leaves for six weeks in the fall, but does not collect bagged leaves the rest of the year. It is recommended that the City expand its loose leaf collection operation during the months of November and December and have the refuse contractor pick up leaves, placed in compostable bags, as part of the yard waste service expansion included in the previous recommendation. This approach eliminates the labor-intensive process of collecting bagged leaves and then emptying those bags at a compost facility. Since the City presently covers the cost of leaf collection at no cost to residents, to continue this service level would require that the Department reimburse the contractor for this aspect of their work. 29 Trash is taken to a facility which further separates and diverts recyclables, so while 3,612 tons were collected through curbside recycling, additional material is diverted. The Novak Consulting Group Strengthening organizations from the inside out. Page 106 City of Charlottesville Efficiency Study Report RECOMMENDATION 50: Shift maintenance responsibility for select Fire Department fleet to Fleet Management Division. Maintaining firefighting apparatus and equipment requires specialized knowledge to ensure emergency response vehicles are available for emergency incidents. However, fire departments also require a fleet of transportation or passenger vehicles that do not require the same level of specialized knowledge. One mechanic currently maintains the Fire Department’s fleet of light duty vehicles while maintenance of heavy duty fire apparatus is contracted out to a specialized shop. The Fleet Management Division is led by the Fleet Manager. The Auto Service Coordinator prioritizes work and handles the administrative activities associated with repair and maintenance activities. A total of eight mechanics (seven Mechanic III’s and on Mechanic I) service the City’s fleet. The Fleet Management Division is currently responsible for maintaining 584 City vehicles. The Fleet Management fund currently fully recovers its operating costs by charging for labor ($64/hour) and parts; this labor rate is revisited on a regular basis and was just updated this year. The following table includes the number of vehicles the Division maintains for each Department 30. Table 31: Number of Vehicles Maintained by Fleet Maintenance Division, by Function Department/Division Number of Vehicles City Manager 2 Court 1 Facilities Development 4 Facilities Maintenance 14 Finance 1 Fleet Management 13 Human Services 1 Library 4 Neighborhood Development Services 16 Parks 77 Police 132 Public Service 96 Schools 32 Sheriff 11 Social Services 15 Transit (Pupil Transportation Vehicles) 42 Utilities 123 TOTAL 584 The National Fleet Management Association (NFMA) recommends a target mechanic-to-vehicle ratio of between 1:60 and 1:100, depending on the age, condition, and specialized nature of the fleet. The mechanic-to-vehicle ratio in the Fleet Management Division is 1:73, which is on the lower end of the recommended range, which means some capacity to take on additional responsibilities exists. 30 Department also provides administrative support for Transit and Fire vehicles. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 107 Efficiency Study Report The Department of Public Works Fleet Management Division should be responsible for maintaining the Fire Department’s 18 light duty vehicles, as discussed in Recommendation 83. Responsibility for managing the contracting out of maintenance of firefighting apparatus and specialized equipment will remain with the Fire Department. The additional vehicles would increase the Fleet Management Division’s mechanic-to-vehicle ratio to 1:75, which is within the industry standard range of 1:60 to 1:100. RECOMMENDATION 51: Staff the Facilities Maintenance Division to ensure staffing matches service level expectations. The Facility Maintenance Division is responsible for maintaining City facilities. The Division is comprised of two units: structural maintenance and HVAC/electrical services. The Division services nearly 1.7 million square feet of space and nearly 2,500 pieces of building equipment (e.g., HVAC, plumbing, elevators). The Facility Maintenance Division uses a function-based deployment model whereby individual maintenance personnel perform specialized work in multiple locations. This is the most efficient way to deploy skilled labor resources. The following table summarizes the facilities maintained by the Facilities Maintenance Division. Table 32: Summary of Facilities Maintained by Department Facility Use Square Feet School 844,784 Office 329,375 Parking 174,634 Recreation Center 73,300 Fire Station 59,660 Indoor Pool 45,709 Retail 43,658 Repair Shop 38,431 Storage 19,800 Court 16,148 Other 7,377 Indoor Pool 7,000 Vehicle Wash 1,568 The International Facility Management Association (IFMA) offers benchmark ratios to help organizations determine facility maintenance technician staffing needs. These ratios are based on the criticality of the specific facilities, their age, and the condition and complexity of the systems being maintained. For the type and condition of facilities maintained by Facilities Maintenance Division staff, based on IFMA benchmarking standards, the appropriate ratio is 50,000 square feet per technician. Applying this ratio to the 1.46 million square feet that requires technical maintenance yields a technician requirement of 29 technicians (electrical, plumbing, HVAC, structural), or one technician per 60,000 square feet given that the current FTE count is 23. Adding six more positions would cost an estimated $267,300.31 It should be noted that facilities maintenance staff are funded through the budgets of both the Public Works Department and City Schools. The staffing level of the Facilities Maintenance Division should be set at a level that ensures City departments receive services at a level that is acceptable and that all preventive maintenance 31 Based on a salary of $33,000 and estimated benefits of 35%. The Novak Consulting Group Strengthening organizations from the inside out. Page 108 City of Charlottesville Efficiency Study Report activities are completed in a timely manner. The Facilities Maintenance Division currently surveys its customers on an annual basis. In the most recent survey, the overall satisfaction level of customers was “somewhat satisfied.” Given that it may not be financially feasible for the City to add more staff to the Facilities Maintenance Division, the Department should monitor the level of service being provided to the City and only add staff if the Division is not able to meet the needs of its customers. RECOMMENDATION 52: Include annual facility maintenance and repair needs in the City CIP. The Facilities Maintenance Division keeps a thorough inventory of the existing 2,499 pieces of equipment in City-maintained facilities, such as elevators, boilers, and air conditioners. In addition to keeping an updated inventory, the Division has also developed a replacement schedule for all building equipment. As equipment ages, maintenance costs increase. Thus it is critically important for organizations to stay ahead of equipment replacement needs. In the next 10 years, the Department estimates that the City will need to invest approximately $7.2 million in facility equipment replacement. The following figure shows the forecasted building equipment replacement costs each year. Annual Estimated Replacement Cost $3,000,000 $2,815,469 $2,500,000 $2,000,000 $1,500,000 $878,851 $1,000,000 $717,129 $682,551 $560,232 $490,716 $357,775 $500,000 $260,045 $346,748 $96,000 $0 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 Figure 23: Estimated Replacement Cost As can be seen in the above figure, the replacement costs associated with facility maintenance equipment can be significant. As such, these ongoing building equipment needs should be included in the City’s CIP, and it is the responsibility of the Department to clearly communicate these needs to decision makers. An annual maintenance and repair report, that summarizes at a high level the equipment needs that have been addressed as well as those that are still outstanding, will allow City leaders to understand the impact of not adequately funding the replacement of equipment. Utilities Operations RECOMMENDATION 53: Review Enterprise Fund cost allocation methodology. It is common in local governments for the Enterprise and Special Revenue Funds to pay into the General Fund for services rendered by General Fund personnel in support of those enterprise fund operations. For example, if a General Fund financial management function of a government The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 109 Efficiency Study Report provides billing and collection services for a utilities department, then it is reasonable for the utilities department to pay for those services. Similarly, if an IT or HR Department provides support to Enterprise Fund operations, then the time and non-personnel resources dedicated to that support should ideally be reflected in the enterprise fund operation’s budget. The City of Charlottesville employs several approaches to ensure that Enterprise Fund utilities appropriately contribute to general government operating expenses. The first approach the City employs is to budget all or a portion of select support employee salaries in the Enterprise Funds. This is justifiable because those employees contribute a portion of their time administering elements of the fund’s management. For example, salaries of employees in the Utility Billing, Budget, and City Attorney Departments are paid for by the Water, Wastewater, and Gas Funds. Custodial functions are paid by the Gas Fund. The second approach the City employs is departments pay for use of services from the IT Department. Typically, the annual contribution made from Enterprise Funds to the General Fund is derived from a cost allocation study. A cost allocation study is a professional assessment of the personnel and non-personnel support provided to Enterprise Funds from General Fund personnel to determine a defensible and appropriate level of reimbursement. To ensure that current practices are defensible and represent an accurate account of support provided to enterprise and special revenue fund operations and administration, these cost allocation studies should be used to determine if the current allocations of administrative support salary and benefit expenses to Enterprise Funds are appropriate and if additional salary and benefit expenses should be allocated to those funds. RECOMMENDATION 54: Minimize water system loss by enhancing residential and large meter testing program. The City of Charlottesville purchases water and then distributes it to City residents. According to the Utilities Department, approximately 14% of water distributed by the City is unaccounted for. It should be noted that the City of Charlottesville’s water system is interconnected with the water systems of Rivanna Water and Sewer Authority (RWSA) and Albemarle County Water and Sewer Authority. RWSA is in the process of installing additional meters so the water loss percentage of the City’s water system will soon be known. Water utilities can incur real losses from pipeline leakage and improper measurement/billing of customers for water consumption. According to the American Water Works Association (AWWA), the national average water loss percentage is 15%. However, that includes large cities, which often have much higher water loss rates. While some of the City’s water loss is likely attributable to sewer cleaning activities such as flushing, this is a high percentage for a City the size of Charlottesville. For a City that prioritizes sustainability, water loss of this magnitude is not acceptable. The City should aim to have a water loss percentage of closer to 8%. Meter age and usage affect meter accuracy. As the water system and the meters age, the City can expect increasing system leakage compounded by loss of meter accuracy affecting customer sales. The current procedure in the City involves an outside consultant surveying the system on an annual basis and addressing issues. However, given the water loss percentage, this arrangement is not sufficient. In order to minimize water system loss, the City should enhance its meter testing program. The AWWA has established recommended testing frequencies for water meters with increasing frequency for larger meters. If the Department chooses to conduct residential meter testing in- The Novak Consulting Group Strengthening organizations from the inside out. Page 110 City of Charlottesville Efficiency Study Report house, it should start by testing meters in batches, replacing those that do not meet standards. If it becomes clear that many meters do not meet standards, it may be necessary for the City to implement a large-scale meter replacement program. While residential meter testing is not generally expensive, a large-scale replacement program may be cost prohibitive. In that case, the City may want to use a company that will replace meters, keeping the savings until the cost of the meter replacement is paid back. According to the AWWA, cities that implement testing programs for large water meters tend to see increased revenues. This tendency occurs for a number of reasons. First, large water meter customers often make up a significant portion of a utility’s revenue and increasing the accuracy of large meters decreases the amount of unbilled water. Second, meters generally tend to read low as they wear. Third, large meters may not record low flows accurately and as customer demand varies (often through conscious conservation efforts) they may end up with an oversized meter. Large meter testing can be expensive. Testing requires meters be removed from service and sent out for testing, maintenance, and possibly recalibration unless the City purchases the equipment necessary to test in place (or contract with a City that has test-in-place equipment). As this report was being written, the City was implementing a meter replacement project concentrating on the large meters. As part of this project, the meters are being evaluated to ensure they are the right size to minimize future water loss. This work involves upgrading the meter vault so it meets current standards and installing bypasses and test ports so the meters can be tested efficiently in the future. Transit Operations RECOMMENDATION 55: Resume annual transit customer surveys. Due to the nature of the services provided by CAT the Transit Department is a very visible organization. First, the buses themselves are frequently seen by and interact with the public. Second, since customers pay for the services provided by the Department, there are certain service-level and responsiveness expectations that come into play. The result is that CAT operations are subject to significant public scrutiny. It is not uncommon for residents to contact City Councilmembers to suggest route and other operational changes. In order to ensure that transit operations are not being directed by a vocal minority, many organizations conduct annual customer satisfaction surveys in order to inform leaders’ decisions. CAT conducted annual customer surveys in FY2010, FY2011, and FY2012. However, in FY2013, the Department did not conduct an annual customer survey, instead focusing its efforts on completing a transit study. Resuming the annual customer survey will enable the organization to better meet the needs of the majority of its approximately 2.5 million riders each year. RECOMMENDATION 56: Approach UVA about increased ridership. UVA affiliates (students, staff, faculty, medical personnel, and contractors) may ride City transit for free with a valid UVA ID. In exchange, UVA reimburses the City for this service. However, the amount UVA is paying is not keeping pace with ridership. Since 2010, UVA ridership has increased by 65%, while UVA funding has increased by only 16%. The following table includes the funding the Transit Department received from UVA and the UVA ridership each year from 2010 through 2016 as well as the percentage change in funding and ridership since 2010. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 111 Efficiency Study Report Table 33: UVA Ridership and Funding, 2010-2016 Percent 2010 2011 2012 2013 2014 2015 2016 Change UVA $202,508 $207,914 $208,785 $212,000 $218,360 $224,911 $234,560 16% Funding UVA 311,179 332,294 361,801 383,285 385,871 435,349 514,902 65% Ridership The fact that funding does not proportionately increase with ridership signals that UVA may not be covering the full cost of the reciprocal ridership arrangement with the Transit Department. It is recommended that the City amend its reciprocal ridership funding methodology to reflect actual usage of the service. The Novak Consulting Group Strengthening organizations from the inside out. Page 112 City of Charlottesville Efficiency Study Report Public Safety and Justice The Charlottesville Public Safety and Justice Functional Area includes five City Departments: the City Sheriff, Commonwealth’s Attorney, Courts and Other Support Services, Fire Department, and Police Department. City Sheriff The Office of the Sheriff provides several core public safety functions for the Charlottesville community, including courthouse security, prisoner and mental patient transports, extraditions, overseeing evictions, jury duty orientation, and serving civil documents such as summonses and trespass notices. While the City’s Police Department is the primary agency responsible for handling criminal and traffic offenses, the Sheriff’s Office can provide backup support for these activities as necessary. The main distinction between the Sheriff’s Office and the Police Department is that the Sheriff’s Office primarily handles civil law and court-related matters, while the Police Department enforces criminal laws. Commonwealth’s Attorney The Office of the Commonwealth’s Attorney is responsible for prosecuting criminal cases in the City’s courts, including the Circuit, General District, Juvenile, and Domestic Relations courts. Additionally, the Attorney provides legal advice and support to the City’s Police Department as well as other departments involved in law enforcement matters. The Commonwealth’s Attorney administers two grant-funded programs. The Victim-Witness Assistance Program provides crime victims and witnesses with support, resources, and information regarding their case and the criminal process. Domestic Violence Services helps victims of domestic violence and abuse through the court process and provides support for obtaining protective orders and other information designed to safeguard victims. Courts and Other Support Services The Courts and Other Support Services area consists of five distinct units: the General District Court, the Circuit Court, the Juvenile and Domestic Relations Court, the Court Services Unit, and the Office of the Magistrate. The General District Court is responsible for enforcing criminal law and adjudicating civil disputes, while the Circuit Court oversees criminal felony cases and civil cases involving large sums. The Circuit Court is also the City’s court of record and records real estate titles. The Juvenile and Domestic Relations Court handles family law cases and criminal cases committed by juveniles. The Court Services Unit facilitates rehabilitation and treatment services for persons who have appeared in court by providing case review, probation supervision, and after-care and domestic care for juveniles. Lastly, the Office of the Magistrate issues arrest warrants and oversees the issuance of bail. Fire Department The Fire Department provides fire prevention, preparedness, response, and recovery services. The Department consists of six divisions. The Administration division oversees the Department and its operations, while the Fire Fighting division responds to calls for service in the City and at UVA. The Fire Prevention division enforces the fire code, conducts safety inspections, reviews plans for new construction, conducts fire investigations, and engages in community education efforts. The Department’s Personnel Support division is responsible for identifying and meeting the training needs of Fire Department staff and oversees special teams such as the Hazardous Materials (HAZMAT) and special rescue teams. The Department Maintenance division maintains the Fire Department fleet including scheduling maintenance and repairs for apparatus, testing The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 113 Efficiency Study Report equipment, and procuring replacement equipment. Finally, the Volunteer Fire Department division consists of volunteer firefighters who operate alongside the City’s full-time firefighting staff. Police Department Police Department Operations consists of three organizational divisions, including the Office of the Police Chief, the Field Operations Division, and the Support Services Division. The Office of the Police Chief includes functions related to Department administration and organizational management, such as the Chief Financial Officer and the Office of Professional Standards. The Field Operations Division coordinates patrol related functions, including each of the Department’s patrol shifts, the Crime Prevention Unit, Animal Control, K9 Unit, Special Weapons and Tactics (SWAT) Team, and the Telephone Reporting Unit. The Support Services Division coordinates investigative and administrative activities, and includes the Investigations Bureau, Administrative Services Bureau, School Resource Unit, Forensic Unit, and Traffic Unit. The Jefferson Area Drug Enforcement Task Force (JADE) is part of the Support Services Division and is supported by the City of Charlottesville, the University of Virginia, Albemarle County, and the Virginia State Police. JADE is a multi-jurisdictional task force with representatives from each of these agencies, which is tasked with reducing the prevalence of drugs and illegal weapons in the community. Public Safety and Justice Staffing and Budget The following table illustrates Public Safety and Justice FTE staffing levels over the last five fiscal periods, along with the percentage change in staffing since FY2013. Table 34: Public Safety and Justice Staffing Trends (FTEs), FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Department Actual Actual Actual Budget Budget Change City Sheriff 11.0 11.0 11.0 11.0 11.0 0% Commonwealth's Attorney 13.5 13.5 13.5 13.5 13.5 0% Courts and Other Support Services 11.0 11.0 11.0 11.0 11.0 0% Fire Department 89.0 89.0 91.0 91.0 91.0 2% Police Department 146.0 146.0 154.0 154.0 154.0 5% Total 270.5 270.5 280.5 280.5 280.5 4% Personnel increases in this section have occurred in the Fire Department and Police Department, while staffing in other departments has remained flat. While sworn staffing in the Police Department has varied in recent years; it is currently at its highest point since 2010. Table 35: Police Department Sworn Staffing 2010 - 2016 Year 2010 2011 2012 2013 2014 2015 2016 Sworn Staffing 118 117 109 117 120 116 123 The following table illustrates trends in Public Safety and Justice expenditures over the last five fiscal periods, along with the percentage change since FY2013. The Novak Consulting Group Strengthening organizations from the inside out. Page 114 City of Charlottesville Efficiency Study Report Table 36: Public Safety and Justice Expenditures, FY2013-FY2017 FY2013 FY2014 FY2015 FY2016 FY2017 Percent Department Actual Actual Actual Budget Budget Change City Sheriff $1,013,367 $1,021,381 $1,042,980 $1,038,684 $1,085,206 7% Commonwealth's $931,236 $850,510 $861,516 $1,127,531 $1,146,248 23% Attorney Courts and Other $1,050,028 $1,083,283 $1,211,488 $1,157,519 $1,173,606 12% Support Services Fire Department $9,352,657 $9,544,771 $9,812,902 $9,771,687 $10,299,950 10% Police Department $14,578,453 $14,697,043 $14,777,655 $14,778,701 $15,492,199 6% Total $26,925,741 $27,196,988 $27,706,541 $27,874,122 $29,197,209 8% The Fire and Police Departments account for 35% and 53% of total expenditures in Public Safety and Justice. Recent expenditure increases are largely due to rising personnel costs, including health care costs and retirement rates. The scope of this organizational efficiency analysis was particularly focused on the City’s Police and Fire Departments. While staff from other Public Safety and Justice Departments were interviewed during field work, staff from all levels and divisions of the Police and Fire Departments were interviewed individually or in focus groups. These interviews permitted a more in-depth review of activities, services, policies, and procedures provided in these Departments, which informs the recommendations of this report. It must be emphasized that all of the City’s Public Safety and Justice Departments are staffed by competent personnel who are dedicated to fairly, judiciously, and efficiently discharging their duties and responsibilities to the residents of Charlottesville. The analysis and recommendations that follow are particularly targeted toward helping the City’s largest Public Safety Departments achieve even greater process and staffing efficiencies. Police Department Analysis and Recommendations The City of Charlottesville Police Department is responsible for all aspects of policing in the City of Charlottesville, including patrol, response to calls for service, and investigation of crimes. The City covers 10.24 square miles, serving a population of 46,597. The Department’s authorized sworn headcount is 127 for FY2016, consisting of one Chief of Police; two Captains; 9 Lieutenants; 18 Sergeants, 19 Detectives; and 78 Police Officers. Nine officers are currently in the Police Academy. The Department is in the process of filling four vacancies: two certified police officers from other agencies are currently in the hiring process; one candidate, currently employed as a Community Service Officer, has been identified to enter the Police Academy in January, 2017; and candidates for one other position are being interviewed. As a result, 114 sworn members are available for duty as of October 2016. The Department’s 38 authorized non-sworn employees include one Administrative Assistant; one Accounts Payable/Accounts Receivable/Payroll Clerk; one Quartermaster; one Information Management Services (Records) Supervisor; ten Police Records Specialists; two Forensic Support Specialists; five Community Service Officers (CSOs) assigned to traffic enforcement; two CSOs assigned to the Downtown Mall; one CSO assigned to the Telephone Reporting Unit; three CSOs assigned as School Resource Officers; one Animal Control Officer; two part-time training The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 115 Efficiency Study Report staff; one Crisis Intervention Training Coordinator; and seven part time School Crossing Guards. Three non-sworn positions are vacant at this time: one School Crossing Guard, one CSO, and one Police Records Specialist. The Department’s organization chart is shown in the following figure: Figure 24: Charlottesville Police Department Organizational Chart, October 2016 The Chief of Police is the chief executive officer of the Department, appointed by the City Manager and subject to the direction of the City Manager and the City Council. The Chief is responsible for the enforcement of laws and ordinances within the City; ensuring that the mission, vision, and values of the Department are advanced; planning, directing, coordinating, controlling and staffing all activities of the Department; and enforcement of the Department’s rules and regulations. 32 The Chief has six direct reports: one Captain assigned to the Field Operations Division; one Captain assigned to the Support Services Division; 33 a lieutenant who serves as the Chief Financial Officer (CFO); a sergeant supervising the Office of Professional Standards; an Administrative Assistant; and the Police Chaplain. Of the Chief’s six direct reports, two lead units which report directly to the Chief of Police: the Chief Financial Officer and the Office of Professional Standards. 32 General Order No. 44-99 33 Effective October 10, 2016, one Captain was promoted to the rank of Deputy Chief. One additional Captain position is proposed under the new organization chart, increasing the number of Captains to three. The Novak Consulting Group Strengthening organizations from the inside out. Page 116 City of Charlottesville Efficiency Study Report The Chief Financial Officer, a Lieutenant, is responsible for preparation of the Department’s annual budget and Capital Improvement Plan, and overall management of the Department’s finances. One sworn and three non-sworn members report to the Lieutenant. A Police Officer is assigned as the Department’s Crime Analyst. Civilian staff includes one Quartermaster; one Crisis Intervention Training Coordinator, who manages a largely grant-funded program to provide police officers with training on response to situations involving mental illness or developmental disability; and one person who handles accounts payable, accounts receivable, and payroll. The Department is functionally divided into two major divisions, in addition to the Office of the Chief of Police: the Field Operations Division and the Support Services Division. One Captain supervises the Field Operations Division, which oversees the Department’s patrol functions, including the Crime Prevention Unit, Animal Control, Canine, SWAT and the Telephone Reporting Unit. Patrol officers perform steady 10 hour shifts. The Daylight Shift works from 7:30 AM to 5:30 PM. The Evening Shift works from 3:00 PM to 1:00 AM. Sunday through Thursday, and 5:00 PM to 3:00 AM Friday and Saturday. The Midnight Shift works from 10:00 PM to 8:00 AM. The duty schedule is a rotation of four days on; two days off; four days on; and four days off. As a result, the evening and midnight shifts overlap from 10:00 PM to 1:00 AM on weekdays, and from 10:00 PM to 3:00 AM on weekends. One Lieutenant and three Sergeants are assigned to each patrol shift. The Evening Shift and Midnight Shift Lieutenants work 10 hour tours; the Daylight Shift Lieutenant works five eight hour tours, Monday through Friday. Three Sergeants are assigned to each shift to provide coverage on all tours by at least one sergeant. Two Canine Officers work the Evening Shift, providing scheduled Canine coverage seven days per week. The Animal Control Officer works the Daylight Shift, Monday through Friday, and reports to the Daylight Shift Sergeant. The Telephone Reporting Unit is normally staffed from 8:00 AM to 4:00 PM Monday through Friday by a CSO. Calls received by the Emergency Communications Center that do not require a response by a sworn officer – i.e., they simply require a report – are referred to the Telephone Reporting Unit during those hours. When the unit is not staffed, officers are dispatched. The Telephone Reporting Unit also reports to the Daylight Shift Supervisor. SWAT is a part-time assignment; members of the unit are mobilized from their regular assignments when needed. It is commanded by a Lieutenant whose full-time assignment is the Neighborhood Services Bureau, which reports to the Support Services Division. In the SWAT capacity, however, the Lieutenant reports to the Field Operations Division Captain. Authorized strength of the unit is 16 members and a Commanding Officer; currently, 13 are assigned. The unit trains on two eight-hour shifts per month. It is normally mobilized four to five times per year. SWAT activations for planned events such as search warrant executions are guided by a Risk Assessment Matrix designed to evaluate the risk and/or technical/tactical requirements of the operation.34 34 General Order 108-00. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 117 Efficiency Study Report Table 37: Annual SWAT Callouts Year Number of SWAT Callouts 2014 4 2015 5 201635 5 A Lieutenant designated as Patrol Administrator is responsible for the implementation of the Department’s body-worn camera program as well as other technology used by patrol personnel, including electronic control devices (TASERs), mobile digital terminals (MDTs), and radios. This position also oversees the Crisis Negotiation Team, the Crime Prevention Unit, and the Fleet Maintenance Officer. The Crisis Negotiation Team (CNT)36 comprises three sergeants and seven police officers who are trained to communicate with subjects holding hostages or threatening violence, such as barricaded suspects or emotionally disturbed persons. Like SWAT, the team is a part time assignment, and members are mobilized from their regular assignments when needed. They train monthly. Much of the team’s equipment, such as a vehicle used to transport equipment to incident scenes, has been funded through asset forfeiture and Police Foundation money. CNT is typically mobilized two to three times per year. One police officer is designated as the Fleet Maintenance Officer for patrol vehicles. The officer maintains maintenance records and liaisons with the Public Works Fleet Maintenance operation (City Yard) to coordinate service and repairs. The Crime Prevention Unit has an authorized strength of one Sergeant and six Police Officers and is currently staffed by one Sergeant and four Police Officers. It has experienced several changes in its mission and focus, as well as in its staffing level, which has ranged from two to six officers. The unit was originally part of the Neighborhood Services Bureau. Members are trained and certified in commercial and residential security surveys, public presentations, and CPTED (Crime Prevention Through Environmental Design). In addition to their community outreach and crime prevention education duties, the unit’s officers were assigned to address issues in four distinct geographical areas, generally focused on public housing developments. Officers maintained a neighborhood presence from substations located in the developments, and continued in their secondary public outreach role. The unit was subsequently shifted to address conditions on the Downtown Mall. When staffing shortages depleted resources in the Field Operations Division, the unit was reassigned to patrol and utilized to address conditions as they arose in specific areas. When requests for community presentation duties and crime prevention surveys increased, the unit’s focus was redirected more to that. Currently, most of its work centers on responding to requests for special events, community meetings, and crime prevention surveys. The Crime Prevention Unit Sergeant organizes community events and outreach programs, such as the Citizens’ Police Academy and the Cops for Kids Program. The Sergeant also handles the assignment of off duty overtime, oversees maintenance of the Department’s bicycles, and directly oversees the Fleet Maintenance Officer. 35 2016 callouts reflect activity as of October 2016. 36 CNT is separate from Crisis Intervention Training (CIT), a training program administered by a non-sworn employee assigned to the Chief Financial Officer. The Novak Consulting Group Strengthening organizations from the inside out. Page 118 City of Charlottesville Efficiency Study Report One Captain supervises the Support Services Division,37 which oversees the Department’s investigative and administrative functions, including the Administrative Services Bureau, the Neighborhood Services Bureau, the Public Information Officer (which is actually a dual role for the Commander of the Neighborhood Services Unit), the General Investigations Bureau, and the JADE Narcotics Task Force. Consequently, the Captain has four direct reports: the Lieutenants who command each of those bureaus. Subunits of the bureaus include the School Resource Officer Unit, the Traffic Unit, Staff Development and Accreditation, Information Management Services, the Technical Investigation Support Unit, and the Forensic Unit. The Administrative Services Bureau is commanded by a Lieutenant who has two direct reports: a sergeant who supervises the Staff Development and Accreditation Unit, and a civilian supervisor who is in charge of the Information Management Services Unit. The Staff Development and Accreditation Unit, which is supervised by a Sergeant, has two sections: Accreditation and Staff Development. The Department is accredited by the Virginia Law Enforcement Professional Standards Commission; one police officer who is designated as the Accreditation Manager maintains the records required by the accreditation process to ensure that the Department is prepared for the reaccreditation assessment conducted by a team of independent assessors every three years. The Department was re-accredited in October 2016. Staff Development is responsible for ensuring that members of the Department receive the appropriate level of training. Police Officers are required to complete 40 hours of in-service training biannually.38 A Police Officer assigned as the Training Manager ensures that all members are in compliance with that requirement and that all certifications or qualifications specific to their positions are maintained. The unit is also responsible for recruitment and for pre-employment testing of candidates. The Department’s testing process consists of a day of testing that includes a physical agility examination, written examination, and mock interview. Examinations are scored by an independent agency. Successful candidates are invited to a formal interview. In addition to the Sergeant and the Training Manager, a part-time sworn officer assists with background investigations, recruitment, and testing, and also serves as an instructor.39 The Information Management Services Unit is responsible for records management. It is staffed by one Supervisor and 10 Police Records Specialists (PRS) and operates around the clock. The staff works eight hour shifts, with four PRSs assigned to the Daylight Shift, three to the Evening Shift, and three to the Midnight Shift.40 The unit is responsible for input of all incident, arrest, and accident reports into the Department’s records Management system; warrant, Virginia Criminal Information Network (VCIN) and National Crime Information Center (NCIC) database entries; trespassing notices; conducting warrant checks and clearances; coordinating taxicab license examinations and inspections (which are done by the Traffic Unit); preparing documents needed for court; and handling telephone and walk-in traffic. PRSs monitor two windows for transaction of business: a front window for members of the public and a side window for court personnel, 37 The Captain assigned to the Support Services Division was promoted to the rank of Deputy Chief effective October 10, 2016, leaving that position vacant pending promotion of a Captain. 38 General Order 37-99, referencing Department of Criminal Justice Services requirements. 39 The officer is the lead instructor for a course entitled “Police and the Teenaged Brain.” 40 Maintaining full staffing has reportedly been challenging. The tenth PRS was recently hired, bringing the unit to full staffing, which has increased Daylight Shift staffing from 3 to 4 and Midnight Shift staffing from 2 to 3. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 119 Efficiency Study Report attorneys, and police officers. They are the first point of contact for visitors to Police Headquarters, 24 hours a day. Most reports are handwritten by patrol officers and entered into the system by PRSs; paper file copies are maintained. The Department’s current records management system, PISTOL 2000, is in the process of being replaced by a new program from New World Systems. The Neighborhood Services Bureau is commanded by a Lieutenant who serves in the additional roles of Public Information Officer and SWAT Commander. As the Public Information Officer he responds to media inquiries both on and off-duty. A media report generated by the records management system is sent to all local media outlets daily at 6:00 AM listing incidents handled during the preceding day. The Department created a Facebook page in March, 2016, which is used to publicize news, community events and safety tips. As SWAT Commander, the lieutenant reports to the Field Operations Captain; that role was discussed previously. The lieutenant has two direct reports: the School Resource Officer Unit Sergeant and the Traffic Unit Sergeant. The authorized staffing of the School Resource Officer Unit is one Sergeant, four Police Officers, and three Community Service Officers (CSOs). Three CSOs are currently assigned; the fourth was reassigned to other duties. The School Board pays a portion of SRO salaries pursuant to a memorandum of understanding that spells out their role: they do not enforce school rules, but maintain a secure environment in the schools and build positive relationships with the students. The School Board funds the positions shown in the table below. Table 38: School Board School Resource Officer Funding Position School Board Funding Amount41 SRO Sergeant (1) 50% of pay and benefits SRO Police Officer (2) 100% of pay and benefits SRO Police Officer (1) $20,000 reimbursement CSO (1) 100% of pay and benefits Police Officers are assigned to Walker Upper Elementary School (Grades 5 and 6); Buford Middle School (Grades 7 and 8) and two are assigned to Charlottesville High School. CSOs are assigned to Buford Middle School, Charlottesville High School, and Lugo McGinness School, a small, non- traditional academy serving grades seven through twelve. The officer assigned to Walker Upper Elementary School responds to the City’s six elementary schools as needed. The unit began a program at the beginning of the current school year known as “Lunch With a Cop,” in which SROs visit elementary schools and introduce themselves to students during lunch periods. The Traffic Unit is responsible for traffic and parking enforcement, school crossings, and special events under the supervision of a Sergeant. Parking Enforcement is conducted by four CSOs under the supervision of a CSO Corporal, normally working from 7:00 AM to 3:00 PM. They are vehicle-based, patrolling in marked sport utility vehicles, and use portable printers linked to a cell phone application. They assist patrol with vehicle accidents, disabled vehicles, escorts, and special events such as parades, football games, 41 Memorandum of understanding with the Charlottesville School Board, July 1, 2015. The Novak Consulting Group Strengthening organizations from the inside out. Page 120 City of Charlottesville Efficiency Study Report basketball games, and concerts. During the last fiscal year, they issued 18,738 citations resulting in revenue to the General Fund of $435,585.00. The CSO Corporal also supervises part time School Crossing Guards who perform morning and afternoon crossings. Seven School Crossing Guard positions are authorized; six are currently employed. Crossings are covered at Clarke Elementary School; Buford Middle School; Jackson- Via Elementary School; Johnson Elementary School; and Greenbrier Elementary School. The position covering Venable Elementary School is vacant. The Department is seeking approval to add one additional School Crossing Guard at Walker Elementary School. Two Police Officers are assigned to traffic enforcement. One works from 6:00 AM to 2:00 PM, and the second from 8:00 AM to 4:00 PM. They spend the majority of their patrol time on motorcycles, weather permitting, and much of their deployment is complaint-driven. The Traffic Unit handles planning for special events, particularly those held at the John Paul Jones Arena and the University of Virginia. The General Investigations Bureau, commanded by a Lieutenant, consists of three units: Investigations, the Forensic Unit, and the Technical Investigative Support Unit. The Investigations Bureau is responsible for investigation of crimes. In addition to the Lieutenant, its authorized strength is two Sergeants, 11 Detectives, and one police officer assigned as an Armorer and Fleet Maintenance Officer for Support Services Division vehicles. There is currently one vacancy in the unit. Four Detectives are assigned to major case investigations. Three are assigned to special victims’ cases, particularly investigations involving juveniles. Two Detectives are assigned to Burglary investigations, and one is assigned outside the unit in an FBI Task Force specializing in gang investigations. The Technical Investigative Support Unit provides technical expertise to support investigations. It performs computer and cell phone forensic examination; obtains and processes video footage; installs cameras and alarms; and assists in surveillance. Although it is intended to be an investigative support unit, its duties have expanded as it has been drawn into many aspects of technical support throughout the Department. The Technical Investigative Support Unit is staffed by two Detectives. The Forensics Unit is staffed by one Sergeant, two Detectives, and two non-sworn Forensic Support Specialists. The unit serves as the Department’s Evidence and Property custodian, processing and storing all property taken into the possession of the agency. It also processes crime scenes. The unit’s permanent staff are the lead forensic investigators, processing major crime scenes, assisted by eight Patrol Evidence Technicians who complete a 40 hour in-house training course and process routine scenes. The Unit is housed in a section of the City Hall building removed from the main police facility. The Jefferson Area Drug Enforcement Task Force – referred to as JADE – is a joint task force commanded by a Charlottesville Police Department Lieutenant, who reports to the Support Services Captain. It is staffed by one Lieutenant, one Sergeant, and four Detectives from the Charlottesville Police Department; one Sergeant and three Detectives from the Albemarle County Police Department; one Detective from the University of Virginia Police Department; and one Special Agent from the Virginia State Police. Although the unit commander reports to the Support The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 121 Efficiency Study Report Services Division Captain, the Task Force itself reports to a board made up of representatives of all participating agencies. The board elects a chairperson annually. The unit works from an off- site location conducting narcotics investigations in Charlottesville and the surrounding area. During the past five years, the unit has averaged 290 investigations annually, resulting in an average of 246 arrests, of which 171 were in Charlottesville and 75 in the surrounding areas. Dispatch and Workload The Albemarle County Emergency Communications Center (ECC) serves as the City’s Public Safety Answering Point for 911 calls and provides dispatch services to the Department. Members of the Department responded to 41,332 calls for service in 2015, a decrease of approximately seven percent since 2013. Table 39: Annual Police Department Calls for Service Year Number of Calls 2013 44,459 2014 45,308 2015 41,332 While Calls for Service account for a majority of the Department’s workload tasks, the Department also provided information regarding arrests, traffic stops, and other activities performed between 2013 and 2015. A table indicating the total number of activities over this timeframe is below, including a yearly average. A breakout of these activities by year was not readily available. Table 40: Workload Statistics, 2013-2015 Total 2013-2015 Annual Performance Measure Total Average Calls for Service 131,099 43,700 Arrests 6,005 2,002 Traffic Stops 14,681 4,894 Driving Under the Influence (DUI) Stops 225 75 Traffic Citations Issued 8,985 2,995 Criminal Investigations Conducted 10,333 3,444 Crime Trends The Charlottesville Police Department has made great progress in reducing crime in the City. A review of FBI Crime Statistics from 2006 through 201542 indicates that violent crime has decreased in all major categories, and overall has dropped 46%. Table 41: Violent Crime UCR Data, 2006-2015 Percent Violent Crime Type 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 Change Murder and Non-negligent 3 3 5 0 3 1 2 1 5 2 -33% Manslaughter Forcible rape 30 26 23 35 29 27 17 20 16 18 -40% 42 FBI Uniform Crime Reports, “Crime in the United States,” 2006 - 2015 The Novak Consulting Group Strengthening organizations from the inside out. Page 122 City of Charlottesville Efficiency Study Report Percent Violent Crime Type 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 Change Robbery 77 93 79 88 51 59 50 63 39 48 -38% Aggravated assault 212 151 112 124 112 96 129 127 131 107 -50% Violent Crime Total 322 273 219 247 195 183 198 211 191 175 -46% Likewise, all categories of property crime have decreased, with an overall reduction of 47% during the same period. Table 42: Property Crime UCR Data, 2006-2015 Percent Property Crime Type 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 Change Burglary 316 278 186 184 163 114 162 200 173 187 -41% Larceny-theft 1675 1524 1616 1763 1443 1252 1246 1218 1100 918 -45% Motor vehicle theft 183 136 148 123 87 101 94 53 83 52 -72% Arson 43 12 10 13 9 5 5 9 5 1 4 -67% Property Crime Total 2,186 1,948 1,963 2,079 1,698 1,472 1,511 1,476 1,357 1,161 -47% It has done so in an environment that extends beyond the City’s usually cited population of 46,597. The United States Census figures (2006 – 2010) indicate that the City’s daytime population increases by some thirty-seven percent, to 58,069.44 In addition, Charlottesville is home to the University of Virginia, with a student enrollment of 23,883.45 Policing in a college town presents unique challenges. Although the University has its own Police Department, its jurisdiction is limited to University property and a joint patrol area in the vicinity of the University where the University Police Department can take enforcement action. The Department maintains a close working relationship with the UVA Police Department; the two agencies share a firearms training center with the Albemarle County Police Department, they share access to a storefront substation in an area known as “the Corner,” which is frequented by large groups of students; and the University Police Department is represented in the JADE Task Force. However, the Charlottesville Police Department is responsible for the safety and security of thousands of young adults, most of whom are new to independent living, using the City’s retail, recreational, and cultural facilities and seeking entertainment off campus. As prior experience has shown, incidents involving students can quickly draw national attention. Policing in a college town involves all of the demands associated with serving any sizeable, culturally and economically diverse community, while being aware of the “town and gown” dynamic and being prepared to respond to major events, critical incidents, social activism, and a large segment of the population that changes every four years. It requires a Police Department that is skilled, well trained, and equipped to handle the rigors of law enforcement in such a complex community. 43 While arson incidents are included in property crime totals in this table, the FBI does not typically include arsons in property crime totals because of limited participation and varying collection procedures by local law enforcement agencies. 44 United States Census Bureau, Commuter Adjusted Daytime Population 2006-2010 45 U.S. News and World Report College Rankings, 2016. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 123 Efficiency Study Report Organizational Structure To some extent, an organization is a living thing. It expands and contracts as duties and responsibilities are added or as funding shrinks. As positions, units, and titles are added, they may be placed randomly, or their functions may change over time. Twenty-five years ago, the importance of technology and the staff needed to manage it were not even distant thoughts for many Departments. Ten years ago, as police agencies focused on crime reduction, many did not anticipate the current shift to a community service model. The organizational structure of a police department must be re-examined periodically and updated as needed. In conducting that reassessment, care must be taken to ensure that the structure is lean, effective, and suited to the agency’s needs. An organization should not be top heavy and full of silos; conversely, an organization that is too flat may lead to an insufficient chain of command, unequal representation of certain segments, and poor communication. It is important to avoid rank inflation – such as when work can be done by a Sergeant but the position is elevated to a higher rank. In the current climate, the organizational structure must recognize the nationwide shift from an enforcement orientation to a greater emphasis on community policing and outreach. It must acknowledge that the position of Chief of Police is changing as well, as the need to meet community outreach obligations and maintain a high profile outside of police headquarters reduces chiefs’ availability for hands-on management of routine matters. That creates a need for greater involvement of a command staff in the daily operations of the Department. The Charlottesville Police Department’s current structure as described previously presents several organizational challenges, including:  The command structure is flat for a department of the Charlottesville Police Department’s size. Two Captains report directly to the Chief of Police, without a Deputy Chief to coordinate their activities and perform tasks that can appropriately be delegated to a Deputy Chief to allow the Chief to function more effectively in a community relations and policy-making role.  There is some capacity for additional upper management to maximize organizational effectiveness.  Functional areas can be placed more effectively within the organization. The existing Support Services Division, for example, includes administrative functions, enforcement and outreach functions, and investigations. The Field Operations Division has assumed some technical support responsibilities.  The Crime Prevention Unit, currently part of the Field Operations Division, has been without a clear mission and focus.  Duties overlap exists in some areas. As an example, three people oversee aspects of the vehicle fleet: a Police Officer who manages Field Operations Division vehicles, a Police Officer who serves as an armorer and manages Support Services Division vehicles, and a Patrol Sergeant who oversees procurement and installation of vehicle equipment. While these challenges have affected operations in recent years, the Department is in the midst of a transition which substantially changes the structure of the agency and addresses many of these issues. The current Chief of Police was appointed in May 2016, following the retirement of a chief who had served for 15 years. Effective October 12, 2016, the Department began a major restructuring effort by promoting a Captain to the position of Deputy Chief. Promotional processes have begun for the promotion of a third Captain, as well as a Captain to replace the recently promoted Deputy Chief and lieutenants and sergeants to fill the resulting vacancies in those ranks. Other operational and structural changes are expected to occur effective January 1, 2017, The Novak Consulting Group Strengthening organizations from the inside out. Page 124 City of Charlottesville Efficiency Study Report including shifting supervisory responsibilities for the Field Operations and Support Services Divisions to the Deputy Chief, along with a newly created Criminal Investigations Division. The proposed organization chart is shown below. Figure 25: Proposed Organization Chart, effective January 1, 2017 RECOMMENDATION 57: Adopt the proposed organizational restructuring creating three functional divisions within the Police Department. The proposed restructuring formally creates the new position of Deputy Chief and reorganizes the Department into three functional Divisions, each headed by a Captain. The Executive Assistant (formerly Administrative Assistant), the Chaplain, and the Chief Financial Officer continue to report to the Chief. The Chief Financial Officer retains oversight of Accounts Payable/Receivable/Payroll and Procurement (formerly Quartermaster). In addition to three Captains, the following will report to the Deputy Chief: the Crisis Intervention Training (CIT) Coordinator; the Public Information Officer, who formerly reported to the Support Services Division; and the Professional Standards Unit, command of which will be upgraded from a Sergeant to a Lieutenant and which will oversee the Accreditation Manager, previously part of the Staff Development Unit, and the Crime Analyst, previously assigned to the Chief. The Field Operations Division will consist of the three patrol shifts. The K9 Unit will be part of the Evening Shift, and the Telephone Reporting Unit will continue to be attached to the Daylight Shift. All investigative functions will be consolidated under a newly created Criminal Investigations Division, commanded by a Captain. The Division will have three bureaus, each commanded by a Lieutenant. The Investigations Bureau will have two subunits: Crimes Against Persons and Property Crimes. The Forensic Bureau will retain Forensics and Evidence/Property management, The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 125 Efficiency Study Report and will add the Technical Investigations Unit, which will focus solely on technical investigative support. The JADE Task Force will oversee the Detective assigned to the FBI Gang Task Force, who will move from General Investigations. It should be noted that the Forensic Unit has been supervised by a Sergeant, and the proposed structure creates a new Lieutenant position. However, the Forensic Unit will include the former Technical Investigative Support Unit, and all three investigative bureaus will be equally represented at the rank of Lieutenant. The Support Services Division will consist of two bureaus. The Administrative Services Bureau will oversee the Staff Development Unit, Information Management Services (Records), and a Logistical Support Unit, which will provide general technical support and will assume many of the duties now performed by the Patrol Administrative Lieutenant, such as body cameras and computers. Fleet management will be consolidated under the Administrative Services Bureau. The Community Services Bureau will essentially replace the former Neighborhood Services Bureau. It will include the Crime Prevention Unit, the School Resource Officer Unit, and the Traffic Unit. The bifurcated event planning process, under which various aspects of event planning were split between the Crime Prevention Unit and the Traffic Unit, will be brought under one umbrella. The Crime Prevention Unit is expected to have a more defined role involving proactive outreach, arranging community outreach meetings, performing crime prevention surveys and public education, and enhancing collaboration between the Police Department and the community. This reorganization will result in an increase of one Lieutenant; however, that will be an upgrade from a Sergeant position, resulting in no increase in the Department’s headcount. This reorganization plan addresses the observed deficiencies in the existing command structure. It realigns areas of responsibility to function more efficiently, and it eliminates overlap and duplication of duties with minimal impact on the Department’s overall staffing level. Patrol Staffing Analysis of police patrol staffing levels involves many factors. The most basic element is the volume of calls for service. Staffing levels are impacted by community expectations for enforcement; the level of crime in a community; traffic patterns; community characteristics such as population, density, and socioeconomic character; daytime population increases; the presence of educational, religious, medical, and cultural institutions; and development activities. Although determining appropriate staffing can be a challenge, governing bodies must ensure that public safety agencies can appropriately respond to any contingency, while funding them in a way that ensures the future affordability of services. The core responsibility of a police department is the work performed by its patrol division, which is generally responsible for basic patrol and response to emergency calls for service, traffic enforcement, preliminary investigation, and suppression of crime. Every community handles these core functions in a slightly different way. There are a wide of variety of shift schedules, minimum staffing goals, and deployment schemes which departments may employ to effectively and efficiently allocate patrol staff. The goal of a patrol staffing analysis is to identify staffing levels and deployment practices that provide adequate coverage given an agency’s workload, as measured by Directed Calls for Service (DCFS). Effective departments balance these workload obligations while also enabling officers to engage in proactive policing. Proactive policing affords an agency the opportunity to identify problem areas or conditions, develop and implement strategies to address those conditions, establish relationships with businesses and members of the community, and gather intelligence. Proactive policing is also known as Community Policing, Problem Solving Policing, The Novak Consulting Group Strengthening organizations from the inside out. Page 126 City of Charlottesville Efficiency Study Report Data-Driven Policing, or by similar labels. Regardless of the term used, it creates opportunities for the department to strategically deploy resources and includes such practices as targeted patrols, narcotics enforcement, traffic enforcement, and community outreach. While a community’s proactive policing standard of service is a policy decision, the International Association of Chiefs of Police recommends that at least 33% of an officer’s time be allocated to proactive policing. The remaining two-thirds of the officer’s time should be divided equally between response to calls for service and administrative duties. In other words, an officer should spend about 20 minutes of each hour on calls for service, 20 minutes on the resulting administrative tasks (such as preparation of reports), and 20 minutes on proactive policing. To determine a department’s ability to meet the 33% goal for proactive policing, call data must be exported from the Computer Aided Dispatch (CAD) system and then analyzed to determine how much of officers’ time is absorbed responding to DCFS by hour of the day and day of the week. The Charlottesville Police Department relies on Albemarle County for CAD services and provided DCFS data from January 1, 2013 to December 31, 2015. By analyzing this information, it is possible to monitor crime trends, track workload, and inform shift schedule and staffing decisions. In particular, this data directly informs calculations regarding the number of patrol officers necessary to handle the Department’s call volume. It is essential to filter and clean data provided from the CAD system prior to beginning analysis, because this data frequently contains outliers, errors, and other information which may skew results. The CAD data provided by the Charlottesville Police Department contained approximately 128,000 individual call records. Approximately 247 of these records were excluded due to errors in tracking time related to dispatch or arrival, response times in excess of 10 hours (the length of one patrol shift), and/or call completion times in excess of 24 hours. Additionally, calls which featured responses from sergeants, lieutenants, captains, the Deputy Chief, and the Chief of Police were also excluded from this analysis. These positions are primarily responsible for providing supervision and backup on calls and do not constitute regular first responders to patrol calls. In order to accurately determine the workload attributable to patrol staff, approximately 3,116 records attributable to these staff were excluded. Finally, calls were categorized as reactive, proactive, or administrative in order to filter out low priority calls and gain a better sense of the Department’s reactive calls for service workload (e.g., calls reporting an accident or crime in progress). This categorization was performed in consultation with Department staff and was based on each call’s disposition type as recorded by officers. A conservative approach was utilized in order to balance proactive and reactive activity as fairly as possible. Below is a summary of that detail which shows the total number of reactive, proactive, and administrative calls for the purposes of this analysis. Table 43: Number of Calls Categorized as Reactive, Proactive, or Administrative, January 2013-December 2015 Call Disposition Type 2013 2014 2015 Administrative 972 1,111 1,042 Proactive 12,401 12,089 9,306 Reactive 29,928 31,005 26,581 All Calls Total 43,301 44,205 36,929 The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 127 Efficiency Study Report Approximately 70% of the Department’s calls can be characterized as reactive, while 27% are proactive and 3% are administrative. In total, the Department spent over 5.4 million minutes of officer time responding to calls from 2013 to 2015, and over 76% of this response time was spent reactively responding to calls. RECOMMENDATION 58: Implement a 12-hour shift schedule to create staff capacity for proactive policing efforts. By analyzing the average amount of time that is absorbed responding to calls each hour of each day, it is possible to determine how many officers are needed to meet a proactive policing standard of 33%. For example, if officers were to spend an average of 20 minutes responding to calls each hour, then only one officer would need to be on duty because 20 minutes is 33% of 60 minutes. If officers were to spend between 21 and 40 minutes responding to calls each hour, then two officers would need to be on duty to handle the workload. While other factors must be considered, such as the need for an appropriate level of backup for officers on patrol, this staffing guideline is appropriate to determine a baseline for basic staffing. Once these coverage baselines are determined, it is possible to directly compare various staffing and scheduling options to determine the most efficient allocation of staff resources. The following table shows the average number of minutes Charlottesville officers spend responding to calls each hour of each day of the week. This time is categorized according to when a call was dispatched and includes all time necessary to respond to the call and mark it as cleared. Table 44: Average Minutes Spent Responding to Calls for Service by Day of the Week Minutes Spent Responding to Calls Hour of the Day Friday Saturday Sunday Monday Tuesday Wednesday Thursday 12AM - 1AM 154 270 140 104 75 96 44 1AM - 2AM 116 209 188 79 68 87 94 2AM - 3AM 119 244 230 76 65 97 84 3AM - 4AM 77 155 152 39 43 59 47 4AM - 5AM 43 103 91 31 37 28 37 5AM - 6AM 42 92 55 38 35 32 41 6AM - 7AM 44 62 49 59 68 56 49 7AM - 8AM 122 72 49 136 127 135 100 8AM - 9AM 230 104 89 175 220 271 219 9AM - 10AM 192 128 113 174 196 215 219 10AM - 11AM 244 196 125 225 195 179 222 11AM - 12PM 239 196 154 213 215 199 209 12PM - 1PM 258 205 193 244 195 216 214 1PM - 2PM 255 208 164 227 231 256 218 2PM - 3PM 231 212 169 232 236 215 227 3PM - 4PM 242 216 191 266 251 217 256 4PM - 5PM 248 167 148 240 257 248 240 5PM - 6PM 314 185 163 233 239 250 251 6PM - 7PM 205 145 161 203 197 186 198 7PM - 8PM 177 157 186 164 192 195 174 8PM - 9PM 178 154 153 176 172 181 173 The Novak Consulting Group Strengthening organizations from the inside out. Page 128 City of Charlottesville Efficiency Study Report Minutes Spent Responding to Calls Hour of the Day Friday Saturday Sunday Monday Tuesday Wednesday Thursday 9PM - 10PM 168 163 161 151 172 184 183 10PM - 11PM 187 165 138 166 162 157 176 11PM - 12AM 220 210 119 136 131 110 164 A few notable patterns emerge from this data. Call activity is low from midnight to approximately 7:00 AM during the week (Monday through Thursday), but call activity spikes between 1:00 AM and 3:00 AM on the weekends (Friday through Sunday) before falling off. Department staff attribute this increase to a variety of factors, including the City’s nightlife and incidents related to student activities on the weekends. Secondly, daytime call activity is a significant time obligation for the Department. In general, daytime calls tend to represent a higher time obligation for officers due to the nature of reactive activities that occur in the daytime, such as filing accident reports and other incidents which involve heavier amounts of administrative paperwork, as well as a heavier traffic volume that affects travel time to calls. In short, weekdays are generally busier for the Department during daylight hours, and weekends are busier after 11:00 PM until approximately 7:00 AM. The following figure illustrates this pattern. Figure 26: Average Minutes Responding to Calls during the Week and on Weekends, January 2013 – December 2015 Dividing this hourly call workload in the previous table by 20 minutes yields the number of officers needed during that time in order to provide a proactive policing standard of 33%. This calculation is particularly useful for determining whether the Department’s current staffing practices appropriately align call volume with scheduled staff. The following table illustrates the minimum number of officers needed to provide proactive policing coverage 33% of the time during each hour of the week. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 129 Efficiency Study Report Table 45: Officers Needed to Provide Proactive Coverage Based on Available Call Data, January 2013 – December 2015 Time Period Friday Saturday Sunday Monday Tuesday Wednesday Thursday 12AM - 1AM 8 14 8 6 4 5 3 1AM - 2AM 6 11 10 4 4 5 5 2AM - 3AM 6 13 12 4 4 5 5 3AM - 4AM 4 8 8 2 3 3 3 4AM - 5AM 3 6 5 2 2 2 2 5AM - 6AM 3 5 3 2 2 2 3 6AM - 7AM 3 4 3 3 4 3 3 7AM - 8AM 7 4 3 7 7 7 6 8AM - 9AM 12 6 5 9 12 14 11 9AM - 10AM 10 7 6 9 10 11 11 10AM - 11AM 13 10 7 12 10 9 12 11AM - 12PM 12 10 8 11 11 10 11 12PM - 1PM 13 11 10 13 10 11 11 1PM - 2PM 13 11 9 12 12 13 11 2PM - 3PM 12 11 9 12 12 11 12 3PM - 4PM 13 11 10 14 13 11 13 4PM - 5PM 13 9 8 13 13 13 13 5PM - 6PM 16 10 9 12 12 13 13 6PM - 7PM 11 8 9 11 10 10 10 7PM - 8PM 9 8 10 9 10 10 9 8PM - 9PM 9 8 8 9 9 10 9 9PM - 10PM 9 9 9 8 9 10 10 10PM - 11PM 10 9 7 9 9 8 9 11PM - 12AM 11 11 6 7 7 6 9 As stated previously, the Department currently utilizes three 10-hour shifts with overlapping schedules. Minimum patrol staffing varies by day and shift. Target staffing for sergeants is two per tour, although the minimum is one. The Day shift reports from 7:30 AM to 5:30 PM each day, and the Department’s minimum staffing for this shift consists of nine officers. The Midnight shift reports from 10:00 PM to 8:00 AM each day, and the Department’s minimum staffing for this shift consists of six officers during the week and eight on weekends. The Department’s swing shift, the Evening shift, reports from 3:00 PM to 1:00 AM Sunday through Thursday, and from 5:00 PM to 3:00 AM Friday and Saturday. This offset schedule is intended to help the Department more effectively respond to weekend incidents. The Department’s minimum staffing for this shift varies daily, and includes nine officers on Sundays and Thursdays, eight officers Mondays through Wednesdays, and ten officers on Fridays and Saturdays. Currently, the Department is authorized to maintain 20 officers on Day Shift, 21 officers on Evening Shift, and 17 officers on Midnight Shift, for a total of 58 officers. For deployment purposes, the City is divided into eight Districts. District 4, which is the Downtown Mall, is within the confines of District 3. It is normally covered by two CSOs between 10:00 AM and 6:00 PM Tuesday through Saturday. On Friday and Saturday evening shifts, the additional officer assigned to the shift is assigned to the Mall, and the Midnight Shift also assigns an officer; a police officer is also assigned on the Sunday Evening Shift if resources permit. Two Districts, 7 and 8, are normally combined. Additional officers are assigned to City-wide van posts, traffic and warrant posts during the Evening Shift, “umbrella” posts, or bicycle patrol. The Novak Consulting Group Strengthening organizations from the inside out. Page 130 City of Charlottesville Efficiency Study Report While this deployment schedule provides more than adequate coverage for events occurring between 10:00 PM and 8:00 AM each day, it leaves insufficient coverage from 8:00 AM to 10:00 PM to fully cover proactive policing efforts. To determine this, the number of officers needed to staff proactive policing efforts was compared to the Department’s current staffing practices, including shift overlaps. Subtracting the number of officers needed to proactively police from the number of officers scheduled each hour illustrates areas where proactive policing is over or under- scheduled. The following table illustrates this pattern. Numbers in black represent hours where the Department has adequate coverage to staff proactive policing functions 33% of the time. Numbers in red parentheses indicate hours where the Department’s staffing does not allow all shift staff to effectively dedicate 33% of their time to proactive policing efforts. Table 46: Proactive Policing Availability – Current Schedule, 2016 Proactive Policing Week 1 Week 2 Over/(Under) Fri Sat Sun Mon Tue Wed Thu Fri Sat Sun Mon Tue Wed Thu Scheduled 12AM - 1AM 12 8 12 11 16 17 15 11 7 10 11 14 16 16 1AM - 2AM 14 11 10 13 16 17 13 13 10 8 13 14 16 14 2AM - 3AM 14 9 (2) 5 6 4 3 13 8 (2) 5 4 4 3 3AM - 4AM 5 3 2 7 7 6 5 4 2 2 7 5 6 5 4AM - 5AM 6 5 5 7 8 7 6 5 4 5 7 6 7 6 5AM - 6AM 6 6 7 7 8 7 5 5 5 7 7 6 7 5 6AM - 7AM 6 7 7 6 6 6 5 5 6 7 6 4 6 5 7AM - 8AM 10 16 17 13 13 13 11 10 16 16 13 12 12 11 8AM - 9AM (4) 3 5 2 (2) (3) (2) (3) 4 4 2 (1) (4) (2) 9AM - 10AM (2) 2 4 2 0 0 (2) (1) 3 3 2 1 (1) (2) 10AM - 11AM (5) (1) 3 (1) 0 2 (3) (4) 0 2 (1) 1 1 (3) 11AM - 12PM (4) (1) 2 0 (1) 1 (2) (3) 0 1 0 0 0 (2) 12PM - 1PM (5) (2) 0 (2) 0 0 (2) (4) (1) (1) (2) 1 (1) (2) 1PM - 2PM (5) (2) 1 (1) (2) (2) (2) (4) (1) 0 (1) (1) (3) (2) 2PM - 3PM (4) (2) 1 (1) (2) 0 (3) (3) (1) 0 (1) (1) (1) (3) 3PM - 4PM (5) (2) 10 5 7 13 6 (4) (1) 7 5 8 11 7 4PM - 5PM (5) 0 12 6 7 11 6 (4) 1 9 6 8 9 7 5PM - 6PM 3 10 11 7 8 11 6 4 11 8 7 9 9 7 6PM - 7PM 0 3 1 (3) 0 3 0 0 3 (1) (3) 0 2 1 7PM - 8PM 2 3 0 (1) 0 3 1 2 3 (2) (1) 0 2 2 8PM - 9PM 2 3 2 (1) 1 3 1 2 3 0 (1) 1 2 2 9PM - 10PM 2 2 1 0 1 3 0 2 2 (1) 0 1 2 1 10PM - 11PM 10 13 13 8 11 14 9 9 12 11 8 9 13 10 11PM - 12AM 9 11 14 10 13 16 9 8 10 12 10 11 15 10 This table demonstrates that during certain hours of the day, the Department overschedules for proactive policing efforts. In particular, the 10:00 PM to 2:00 AM timeframe features an average of 11-13 excess officers, while the 3:00 AM to 8:00 AM period features an average of five to 13 excess officers. In contrast, the daytime period from 8:00 AM to 5:00 PM is under-scheduled by one to two officers, particularly between 10:00 AM and 3:00 PM. In total, there are 76 under- scheduled hours (represented by negative numbers) in the above schedule. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 131 Efficiency Study Report It is important to emphasize that the Department’s officers are able to respond to incidents and calls responsively using the current schedule; however, the current schedule does not provide sufficient capacity for officers to consistently devote 33% of their time to proactive policing during most daylight hours. In other words, the table above illustrates periods of time where officers are too busy to engage in proactive policing, and many of these time periods fall between 9:00 AM and 3:00 PM each day. In order to ensure that staff have capacity to proactively police, staffing during these time periods should be increased in order to better align with the Department’s call volume. There are several options for realigning staffing practices with existing call volumes in order to increase officer capacity for proactive policing. The first option is to realign minimum staffing numbers and adjust timeframes under an alternative 10-hour shift schedule. Rather than schedule the existing shift overlap for late evening and early morning, the Department should implement a shift schedule that more effectively addresses staffing needs during the day. This involves modifying minimum staffing as well as shift times as illustrated in the following table. Table 47: Current Schedule Compared to Alternative 10-Hour Shift Schedule Current Proposed Current Alternative 10-Hour Shift Minimum Minimum Schedule Schedule Staffing Staffing Day Shift 7:30AM to 5:30PM 9 8:00AM to 6:00PM 12 Evening Shift (Sun- 3:00PM to 1:00AM 8 to 9 1:00PM to 11:00PM 8 Thu) Evening Shift (Fri-Sat) 5:00PM to 3:00AM 10 5:00PM to 3:00AM 8 Midnight Shift 10:00PM to 8:00AM 6 to 8 11:00PM to 9:00AM 6 This schedule eliminates much of the under-scheduling for proactive policing created by the Department’s current arrangement, and provides additional coverage for peak call volumes during daytime hours. While call volume will still interfere with scheduled proactive policing during certain periods of each day, the number of officers on each shift will still support adequate capacity to respond to calls for service, and will enable most officers to engage in proactive policing efforts. The following table illustrates the effect of the alternative 10-hour schedule on the availability of staff to engage in proactive policing efforts. Numbers in red parentheses indicate periods when there are fewer officers scheduled than what would be required to ensure that all officers can engage in 33% proactive policing. Table 48: Proactive Policing Availability – Alternative 10-Hour Shift Schedule Proactive Policing Week 1 Week 2 Over/(Under) Scheduled Fri Sat Sun Mon Tue Wed Thu Fri Sat Sun Mon Tue Wed Thu 12AM - 1AM (2) 1 9 2 3 1 3 (2) 3 10 2 4 2 3 1AM - 2AM 0 4 7 4 3 1 1 0 6 8 4 4 2 1 2AM - 3AM 0 2 5 4 3 1 1 0 4 6 4 4 2 1 3AM - 4AM 2 (2) (1) 6 4 3 3 2 (1) 0 6 5 4 3 4AM - 5AM 3 0 2 6 5 4 4 3 1 3 6 6 5 4 5AM - 6AM 3 1 4 6 5 4 3 3 2 5 6 6 5 3 6AM - 7AM 3 2 4 5 3 3 3 3 3 5 5 4 4 3 7AM - 8AM (1) 2 4 1 0 (1) 0 (1) 3 5 1 1 0 0 The Novak Consulting Group Strengthening organizations from the inside out. Page 132 City of Charlottesville Efficiency Study Report Proactive Policing Week 1 Week 2 Over/(Under) Scheduled Fri Sat Sun Mon Tue Wed Thu Fri Sat Sun Mon Tue Wed Thu 8AM - 9AM 6 12 14 11 7 4 7 7 15 17 13 9 5 7 9AM - 10AM 2 5 6 3 2 1 1 3 7 8 5 3 1 1 10AM - 11AM (1) 2 5 0 2 3 0 0 4 7 2 3 3 0 11AM - 12PM 0 2 4 1 1 2 1 1 4 6 3 2 2 1 12PM - 1PM (1) 1 2 (1) 2 1 1 0 3 4 1 3 1 1 1PM - 2PM (1) 1 13 10 9 7 10 0 3 13 9 8 7 9 2PM - 3PM 0 1 13 10 9 9 9 1 3 13 9 8 9 8 3PM - 4PM (1) 1 12 8 8 9 8 0 3 12 7 7 9 7 4PM - 5PM (1) 3 14 9 8 7 8 0 5 14 8 7 7 7 5PM - 6PM 5 12 13 10 9 7 8 7 13 13 9 8 7 7 6PM - 7PM (2) 2 1 (1) (1) (2) (1) (1) 2 1 (2) (2) (2) (2) 7PM - 8PM 0 2 0 1 (1) (2) 0 1 2 0 0 (2) (2) (1) 8PM - 9PM 0 2 2 1 0 (2) 0 1 2 2 0 (1) (2) (1) 9PM - 10PM 0 1 1 2 0 (2) (1) 1 1 1 1 (1) (2) (2) 10PM - 11PM (1) 1 3 1 0 0 0 0 1 3 0 (1) 0 (1) 11PM - 12AM 4 5 1 1 0 0 (3) 5 6 2 1 1 1 (3) This schedule achieves two goals with respect to proactive policing: it eliminates significant overscheduling between 10:00 PM and 3:00 AM that occurs under the current schedule, and it provides increased officer coverage during daytime hours. While this schedule does not eliminate all periods where officers will be too busy to engage in proactive policing 33% of the time, it reduces the impact of busy periods on proactive policing efforts. Under this schedule, Evening Shift officers will be less able to perform proactive policing activities between the hours of 6:00 PM and 11:00 PM. However, the number of under-scheduled periods is reduced from 76 to 43, resulting in increased capacity to perform proactive policing activities. To achieve the minimum staffing levels described in the alternative 10-hour schedule above, the Day Shift will require 22 officers, the Evening Shift will require 16 officers, and the Midnight shift will require 12 officers, for a total of 50 patrol positions. However, it is also necessary to account for leave taken by officers in order to ensure sufficient staff are available to provide for minimum coverage even when staff are sick, on vacation, or otherwise unavailable. This is known as a staffing factor calculation, and provides a complete estimate of the personnel required to effectively staff patrol operations because it accounts for leave taken by patrol personnel. Completing a staffing factor calculation requires dividing the total hours an officer is assigned to work by the average number of hours a typical officer actually works, after accounting for leave. A 10-hour schedule consisting of four days on, two days off, four days on, and four days off cycles every two weeks and consists of 80 hours each cycle. Over a yearlong period, officers on this schedule will work approximately 2,080 hours each year. This represents the total assigned hours for a patrol officer. Police officers in Charlottesville have averaged 239 hours of leave each year over the last several years, after accounting for vacation, sick, and other leave. Subtracting these hours from 2,080 assigned hours means officers are actually available to work 1,841 hours each year, on average. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 133 Efficiency Study Report The final step is to divide 2,080 annual hours by 1,841 available hours, which yields a staffing factor of 1.13. This means that for every position required according to the Department’s schedule, the Department must hire 1.13 officers to provide adequate coverage. Staffing factors are applied to patrol staff on a per-shift basis in order to ensure that each shift is assigned sufficient staff to do its work. This helps to ensure that officers do not have to cross shifts. The number of positions on each shift is multiplied by the staffing factor and rounded to the nearest whole number, as illustrated below:  Day Shift: 22 positions needed * 1.13 staff per position = 24.86, or 25 staff required to full staff the shift  Evening Shift: 18 positions needed * 1.13 staff per position = 18.08, or 18 staff required to full staff the shift  Midnight Shift: 12 positions needed * 1.13 staff per position = 13.56, or 14 staff required to full staff the shift After applying the staffing factor to this proposed schedule, the Day Shift requires 25 officers, the Evening Shift requires 18 officers, and the Midnight Shift requires 14 officers, for a total of 57 officers. A second scheduling option which improves capacity for proactive policing involves changing to a 12-hour schedule. A 12-hour schedule allows the Department to more efficiently allocate staff in order to address periods of high demand while maintaining capacity for proactive policing efforts. To accomplish this, the Department should create two 12-hour shifts: the Day Shift should operate from 8:00 AM to 8:00 PM, and the Midnight Shift should operate from 8:00 PM to 8:00 AM. Notably, this schedule eliminates the use of an Evening swing shift. The following table compares the proposed 12-hour schedule to the Department’s current 10-hour schedule. Table 49: Current Schedule and Proposed 12-Hour Shift Schedule, 2016 Current Proposed Current Proposed 12-Hour Shift Minimum Minimum Schedule Schedule Staffing Staffing Day Shift 7:30AM to 5:30PM 9 8:00AM to 8:00PM 15 Evening Shift (Sun- 3:00PM to 1:00AM 8 to 9 None None Thu) Evening Shift (Fri-Sat) 5:00PM to 3:00AM 10 None None 10:00PM to Midnight Shift 6 to 8 8:00AM to 8:00PM 10 8:00AM As indicated in the table above, a minimum staffing level of 15 officers will enable the Day Shift to address peak demand periods with minimal interruption to proactive policing efforts. Similarly, a minimum staffing of 10 officers on the Midnight Shift provides sufficient capacity to cover weekend peaks as well as early morning calls throughout the week. While staffing at this level does not eliminate periods where officers will be too busy to engage in proactive work, it represents the most efficient staffing balance of the schedules compared, and avoids significantly over- or under-scheduling for proactive policing efforts. The effect of this proposed schedule on proactive policing is illustrated in the following table. The Novak Consulting Group Strengthening organizations from the inside out. Page 134 City of Charlottesville Efficiency Study Report Table 50: Proactive Policing Availability – Proposed Schedule for 12-Hour Shifts, 2016 Proactive Policing Week 1 Week 2 Over/(Under) Scheduled Fri Sat Sun Mon Tue Wed Thu Fri Sat Sun Mon Tue Wed Thu 12AM - 1AM 2 (4) 2 4 6 5 7 2 (4) 2 4 6 5 7 1AM - 2AM 4 (1) 0 6 6 5 5 4 (1) 0 6 6 5 5 2AM - 3AM 4 (3) (2) 6 6 5 5 4 (3) (2) 6 6 5 5 3AM - 4AM 6 2 2 8 7 7 7 6 2 2 8 7 7 7 4AM - 5AM 7 4 5 8 8 8 8 7 4 5 8 8 8 8 5AM - 6AM 7 5 7 8 8 8 7 7 5 7 8 8 8 7 6AM - 7AM 7 6 7 7 6 7 7 7 6 7 7 6 7 7 7AM - 8AM 3 6 7 3 3 3 4 3 6 7 3 3 3 4 8AM - 9AM 3 9 10 6 3 1 4 3 9 10 6 3 1 4 9AM - 10AM 5 8 9 6 5 4 4 5 8 9 6 5 4 4 10AM - 11AM 2 5 8 3 5 6 3 2 5 8 3 5 6 3 11AM - 12PM 3 5 7 4 4 5 4 3 5 7 4 4 5 4 12PM - 1PM 2 4 5 2 5 4 4 2 4 5 2 5 4 4 1PM - 2PM 2 4 6 3 3 2 4 2 4 6 3 3 2 4 2PM - 3PM 3 4 6 3 3 4 3 3 4 6 3 3 4 3 3PM - 4PM 2 4 5 1 2 4 2 2 4 5 1 2 4 2 4PM - 5PM 2 6 7 2 2 2 2 2 6 7 2 2 2 2 5PM - 6PM (1) 5 6 3 3 2 2 (1) 5 6 3 3 2 2 6PM - 7PM 4 7 6 4 5 5 5 4 7 6 4 5 5 5 7PM - 8PM 6 7 5 6 5 5 6 6 7 5 6 5 5 6 8PM - 9PM 1 2 2 1 1 0 1 1 2 2 1 1 0 1 9PM - 10PM 1 1 1 2 1 0 0 1 1 1 2 1 0 0 10PM - 11PM 0 1 3 1 1 2 1 0 1 3 1 1 2 1 11PM - 12AM (1) (1) 4 3 3 4 1 (1) (1) 4 3 3 4 1 Under this schedule, Saturdays between 12:00 AM and 3:00 AM and Sundays between 2:00 AM and 3:00 AM represent periods where call activity will interfere with proactive policing; however, this schedule increases the proactive capacity of officers compared to 10-hour shifts. In order to achieve minimum staffing goals for each shift, the Department will need to fill 30 positions for Day Shift and 20 positions for Midnight Shift. It is necessary to apply a staffing factor to each shift in order to accurately compare the implications of this schedule with the existing 10-hour schedule. Staff working a 12-hour schedule consisting of two days on, two days off, three days on, two days off, two days on, three days off are available for an estimated 2,196 hours per year. Subtracting 239 leave hours yields 1,957 working hours each year, which results in a staffing factor of 1.12. Applying this factor to each 12- hour shift yields a total staffing estimate of 34 officers for Day Shift and 23 officers for Midnight Shift, for an estimated total staffing of 57 officers. Because the 12-hour shift schedule more effectively schedules staff to achieve proactive policing, it is recommended that the Department pursue this schedule as an alternative to its current 10- hour shift structure. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 135 Efficiency Study Report It is important to note that this analysis is an evaluation of the Department’s capacity to proactively police while engaging in its core function: response to DCFS. There are additional factors that must be considered in determining the appropriate level of staffing for a police department that do not lend themselves to such data driven analysis; they are based on a community’s unique needs and tolerances, local knowledge of conditions, and are ultimately dependent on policy decisions. An initial example is the determination of the community’s desired level of service. Although the IACP guidelines cited previously call for a minimum of 33% proactive time, many communities choose to staff to a higher level to allow for greater community interaction, quicker response time, or additional patrol capacity such as business district foot patrol. Geography is a second major consideration. Although a certain number of officers may be sufficient to meet the average calls for service workload, additional officers may be required to provide adequate coverage, visibility, backup, and availability for emergency response. The Charlottesville Police Department, for example, is responsible for an area in excess of 10 square miles, with periodic heavy traffic conditions. Policy determinations regarding staffing should account for sufficient staffing to ensure that adequate and timely backup is available, given the size of a community and the presence of any geographical barriers. Capacity to respond to unplanned events must also be considered. Charlottesville is a university community, which creates certain demands. It has shopping areas, a central pedestrian mall, a hospital, and numerous bars and entertainment venues. Adequate staffing should be available at appropriate hours to handle the early stages of major incidents to a degree that meets the standards expected by the community and by the governing body. These factors should be used as an overlay to the statistical staffing model when determining a final staffing level. Its foundation, however, should be adequate, accurate, and reliable data. Investigations RECOMMENDATION 59: Track investigative caseload and clearance statistics. Data regarding basic indicators, such as investigative caseload and clearance rates, is invaluable for investigative units, as it is in all aspects of policing. It provides police and municipal administrators an empirical basis for evaluating performance, making staffing and deployment decisions, and submitting budget, grant, and other funding requests that are supported by facts. It enables elected officials and other decision makers to make informed choices, and validates to residents and businesses the return on their investment of tax dollars. Two measures generally used to assess investigative work are clearance rates and case load. The clearance rate – essentially the percentage of cases that are solved -- reflects individual performance, as well as the overall performance of a unit in successfully completing investigations. Case load is a measurement that provides a snapshot of the workload of a detective at a given point in time: the number of open cases for which he or she is responsible. Both metrics should be immediately available and reviewed on both a monthly and an annual basis, in order to track short term needs for adjustment of deployment or redistribution of work, long term staffing needs, and performance in both the long and short term. The General Investigations Bureau has provided basic statistics regarding case intake, as shown in the table below. The Novak Consulting Group Strengthening organizations from the inside out. Page 136 City of Charlottesville Efficiency Study Report Table 51: General Investigations Bureau Case Intake, 2013-2016 Year 2013 2014 2015 2016 YTD46 Total cases 902 932 831 552 Arrest 158 150 118 71 Suspended 406 489 412 196 Prosecution declined 59 37 22 13 Victim declined prosecution 16 13 18 8 Unfounded 46 37 28 22 Transferred to other agency 68 68 64 24 Non-Criminal 79 40 40 9 Warrants obtained 2 4 9 9 Note that this data does not accurately track the Division’s clearance rate, since many investigations are not opened and closed within a calendar year. Some cases can be closed quickly. Others – particularly those involving serious or complex investigations – can remain open for years. No data regarding detectives’ caseloads in Charlottesville is available; the Department’s Records Management System is not configured to produce such information. A cursory review of the data provided indicates that the General Investigations Bureau opened an average of 888.33 cases per year between 2013 and 2015, or 74 cases per month. Since ten Detectives are assigned cases (one additional Detective is assigned to the FBI Task Force), the Bureau opens an average of 7.4 cases per detective per month. However, without additional data, it is impossible to adequately assess whether Detectives’ workload is appropriate. There are many factors that enter into such an assessment. In 2015, for example, 831 cases were opened, and 711 were closed by arrest or other means. Of those cases, 64 were transferred to other agencies. Many computer/technology crimes, such as identity theft and Internet fraud, are referred to other agencies that have better resources for such investigations, an area that is likely to require additional personnel and technological resources in the future, not only for Charlottesville but for almost all agencies. Available data does not indicate how many referred cases were for jurisdictional reasons or were referred based on availability of resources. It is not possible to determine the number of additional cases that remained open from prior years, or how many were assigned to certain detectives based on their areas of specialization, such as property crimes versus crimes against persons. The amount of effort required by a particular case or category of investigation can vary widely. For example, a complicated homicide investigation can require numerous interviews and canvasses, invoicing of evidence, surveillance, multiple search warrants, coordination with outside agencies, repeated conferrals with prosecutors, and production of witnesses for multiple hearings. A simple theft case may require little beyond an interview with the victim and perhaps review of security video. Consequently, a single-digit caseload for one detective may be equally or more demanding than another detective’s caseload that numbers in the dozens. It is important to acknowledge that the investigative process is not linear; cases are not received, investigated, and closed in an assembly line fashion. Based on workload, witness availability, and 46 2016 figures are as of October, 2016. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 137 Efficiency Study Report the occurrence of priority incidents, detectives work on cases as time allows, frequently touching on multiple cases during a shift. When a major case is received – a homicide or an officer involved shooting, for example – the entire unit may be occupied with that investigation for weeks, and unable to work on their regular caseloads. Detectives do not do interviews or apprehend suspects alone; although a case may be assigned to a particular detective, several others may be involved in the investigation, and that time is not necessarily reflected in their own caseloads. Overall, the criminal investigative function has become more complex. Search warrants are now required in many cases that in the past would have required only a subpoena or even a request. Technology has given rise to an entirely new category of crime. It has also made investigations more complex and time-consuming. Property crime investigations, for example, which in the past often required only a few inquiries to determine whether witnesses or physical evidence were available, now often require obtaining and reviewing surveillance video footage and cell phone information. Advances in digital technology, DNA evidence, and the availability of video evidence have increased the likelihood of success in many investigations, but they have also increased the workload of investigators, public expectation for successful outcomes, and the need for funding equipment. Precise accounting for every minute of a detective’s time is virtually impossible; however, a reasonable estimate of investigators’ activity in a user-friendly system can yield valuable results that will inform decisions regarding performance, staffing, and allocation of resources. It will also assist in documenting that time spent assisting on cases that are officially assigned to other detectives, which can consume a substantial portion of an investigator’s time. The Department should work with its software vendor to update the records management system to ensure that it provides ready access, in a user friendly manner, to up-to-date case closure and caseload statistics, and that it accounts for the time invested in investigations by detectives. Access to that information on both a daily snapshot basis and on an annual basis would assist in the assessment of both short term and long term staffing and deployment needs. The data available at this time does not support a reliable assessment of Investigations Bureau staffing needs. RECOMMENDATION 60: Implement a process for review of patrol investigations by the Investigations Bureau and a quality assurance program for all investigations. Although the General Investigations Bureau has opened an average of 833 cases annually since 2013, that is only a portion of the investigations conducted by the Department. During the past three years, an average of 1,520 major crimes47 have been reported to the Department; detectives investigate only about 58% of that number. Many cases, including most misdemeanors, are investigated at the patrol level. Department procedures governing case screening 48 place responsibility on the shift supervisor for determining whether to suspend investigation of an incident, refer it to the Investigations Bureau, or retain it for investigation by patrol personnel. Under these guidelines, certain crimes require immediate assignment of a Detective, such as homicides, major sex offenses, child abuse requiring immediate medical treatment or placement, kidnappings and abductions, certain categories of missing persons, robberies and felonious assaults with aggravating factors. The supervisor may routinely assign certain cases to the Investigations Bureau unless he or she feels that it is more efficient to retain the case for patrol investigation. They include burglaries, arson, threatening or annoying phone calls, vandalism in 47 Violent crimes and property crimes as recorded in the FBI’s Uniform Crime Reports 48 General Order 24-98, “Case Screening” The Novak Consulting Group Strengthening organizations from the inside out. Page 138 City of Charlottesville Efficiency Study Report excess of $2000 with suspects, larceny over $500 with suspects, stolen vehicles, armed robbery, shots fired with evidence or witnesses, rape and sodomy, missing persons, extortion, and credit card fraud/identity theft. Shift, Division, and Investigations Supervisors also have discretion to refer cases based on an assessment of specified solvability factors, sensitivity of the crime, community interest, the unusual nature of the crime, or the existence of a pattern of similar crimes. Department procedures on investigations specify appropriate steps to be taken in completing investigations,49 including:  Non-criminal cases o Interviewing complainants and witnesses o Locating missing persons o Determining if information or suspicious activity relates to criminal activity o Distributing information to the proper persons or agencies o Locating lost property and returning same to the owner o Investigating deaths, overdoses, suicides, and injuries to determine if a crime was committed o Making necessary notifications or conducting necessary inspections o Recording information in field notes and Pistol 2000  Criminal cases o Reviewing and analyzing reports of preliminary investigations o Recording information in Pistol 2000 (the Department’s records management system) and when applicable, preparing case file jacket o Survey crime scene to identify, preserve and collect additional crime scene evidence and/or assist forensic technicians o Reviewing Departmental records for investigative leads o Seeking additional information (from other officers, informants, contacts in community, other investigators/agencies) o Interviewing victims and witnesses o Interrogating suspects o Arranging for the dissemination of information as appropriate o Reviewing results from laboratory examinations o Identifying and apprehending suspects or the offender o Checking the suspect’s criminal history o Determining if the suspect has committed other crimes o Consulting with the commonwealth attorney in preparing cases for court presentation and assisting in the prosecution of the case o Notifying victims and witnesses when their presence is required in court unless the Commonwealths Attorney’s office takes responsibility o Testifying in court o Arranging for polygraph examinations, if necessary The Department’s guidelines in this area are thorough, and affording patrol officers with the opportunity to investigate appropriate cases broadens their professional horizons, increases the number of cases that are investigated despite limited Investigative Bureau resources, and allows detectives to focus on more complex investigations. One area of concern, however, is that the Shift Supervisor is the final authority in most incidents on the level of investigation a case receives. Currently, there is no overall review of incident reports – open or suspended – to ensure that all investigations that warrant investigation by detectives are appropriately referred or, more importantly, that all incidents are reviewed to identify trends and patterns. Investigations Unit 49 General Order 100-00, “Investigations – Preliminary and Follow-up.” The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 139 Efficiency Study Report supervisors review referred cases and assign them to detectives, but do not regularly review cases suspended at the patrol level or retained by patrol for investigation. There are also no formal quality control processes in place to review the quality of investigations by either patrol or investigative personnel. The Department should implement procedures under which Investigative Unit supervisors review all cases as a safeguard to ensure that cases are properly referred and that trends or patterns are not missed (a function which should also be performed by the Department’s Crime Analyst). That responsibility currently rests with patrol shift supervisors, but should be fixed at the Investigations Bureau level to ensure that a more global view is taken of all reports received on all shifts. There should also be a quality assurance process by which samples of cases are routinely audited to ensure that appropriate investigative measures have been taken. Although as a general rule case referrals are properly made by shift supervisors and all investigations are well supervised by both patrol and investigative supervisors, the goal in implementing procedures is to minimize the potential for error when there may be gaps. RECOMMENDATION 61: Establish standards for timeliness of investigations. The Department’s Records Management System reportedly does not alert staff when cases are assigned. Currently, Investigations Unit Supervisors review referred cases and assign them to detectives. The practice is to review and assign cases within twenty four hours of occurrence. However, there is one area of exposure. If a report is not completed and approved prior to the reporting officer’s or approving supervisor’s days off, a gap of several days can result. If those days off border the weekend, when the Investigations Unit is not staffed, there can occasionally be a delay of three to five days before a case reaches an investigator. The Department should establish guidelines for timely assignment of cases to investigators to minimize such occurrences. There should also be clear guidelines for case progress and follow- up. For example, assigned cases should have a general target date for completion, such as 30 days from receipt, and there should be routine calendared follow-ups by supervisors at set intervals, such as 30, 60, and 90 days. As indicated earlier, each case has its own timeline based on numerous factors, such as availability of witnesses, the number of interviews to be conducted, the availability of evidence, and the amount of labor required in the preparation and execution of search warrants. The goal is not to impose hard deadlines that will discourage thorough investigation, but to ensure that case progress is monitored and kept on track. Policing Practices and Management RECOMMENDATION 62: Update the Police Department Strategic Plan; track performance measures. The Department’s Strategic Plan is dated; most of the plan was conceived in 2005 to 2007, and the most recent update provided by the Department was dated March 6, 2009.50 However, the Department does track a number of performance indicators focused on community relations that are posted on the City of Charlottesville website as part of “City Council Vision 2025,” which began with the Strategic Plan of 2005, was updated as recently as 2011, and posts statistics as recent as the first quarter of 2016. Measures tracked include51:  Number of police/citizen outreach meetings  Number of police/citizen neighborhood events 50 “Charlottesville Police Department Strategic Planning Document (Modified 3-06-09).” 51 http://www.charlottesville.org/measuresup The Novak Consulting Group Strengthening organizations from the inside out. Page 140 City of Charlottesville Efficiency Study Report  Number of crime prevention/general education programs  Number of hits on website  Number of hours spent interacting with students in public schools  Number of problem-solving projects  Total reported violent crime  Number of violent and disorder related calls for service  Number of Police Department tours  Number of foot and bike patrol hours  Number of participants in Citizens’ Police Academy The Department should continue to monitors these metrics. As noted previously, the collection of data regarding a department’s community outreach efforts is an invaluable tool during this time of shifting focus in policing. Performance measurement is important to the success of any business or government entity, and the Department tracks a number of indicators. Some, cited previously, are:  Calls for service  Arrests  Traffic stops  Driving Under the Influence (DUI) stops  Traffic Citations issued  Criminal Investigations conducted As indicated previously, the Department should track several key indicators regarding its investigative workload:  Cases opened  Cases cleared, by category (arrest, investigation suspended, warrant obtained, etc.)  Caseload per investigator The Department will benefit from tracking the following measures, if they are not already monitored:  Total overtime hours  Overtime hours at Court  Number of overtime hours reimbursed  Sick leave utilization  Calls for service  Response time: the average time from receipt of a call for service to the arrival of an officer on scene  Service time: the average time spent on a call for service from receipt through disposition Finally, a great deal has happened in the Department and in the nation since 2009. The current transition in the Department – the appointment of a new Chief of Police, the major restructuring of the organization, the introduction of a new command staff, and the need for renewed vision and direction in American policing – makes this an ideal time to engage in a strategic planning process in order to chart a clear course for the Department’s future. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 141 Efficiency Study Report RECOMMENDATION 63: Implement an information-led, proactive policing strategy. There is currently no formal process for communicating intelligence regarding crime trends to officers on patrol. The Department is of sufficient size to warrant a structured means of sharing intelligence information, ensuring that its multiple divisions, bureaus, and units are collaborating effectively, and that communication across the agency is seamless. The recent appointment of a Deputy Chief to whom all three divisions will report, along with the restructuring of the organizational chart, provides an opportunity to formalize that level of cooperation. The means by which this is achieved must be tailored to the size, structure, and culture of the organization. Many municipalities have adopted and found success with the Compstat model. Compstat was employed by the Charlottesville Police Department for a number of years. It was replaced about two years ago by a program known as PROS – Plan, Review, Organize, Strategize. Under the PROS program, unit commanders would attend monthly meetings to report on crime conditions, initiatives, personnel issues, and operational matters. Lacking the high-level support that is critical to the success of such a program, it was essentially discontinued during the Department’s leadership transition. There is a great deal of room for innovation in this area. Whether the program is Compstat, PROS, or a completely different initiative designed to fit the needs of a particular jurisdiction, the basic Compstat principles are a foundation for effective policing, collaboration, and assessment of the progress of virtually any initiative:  Timely and accurate intelligence  Effective tactics  Rapid and effective deployment; and  Relentless follow-up and assessment The implementation of these concepts can differ significantly in each jurisdiction, but the basic components of the process are the same: efficient collection and analysis of crime statistics or other performance indicators; dissemination of relevant information to supervisors and line personnel to form the basis for personnel deployment and enforcement initiatives; and assessment, often in the form of command-level meetings that ensure that appropriate information has been shared, that all units within the agency are coordinating their efforts and providing necessary support, and that all members of the agency are actively engaged in its mission. A publication by the Police Executive Research Forum (PERF) summarized the impact of Compstat: “…instead of merely responding to calls and investigating crimes after they were committed, police gathered accurate, timely information to identify emerging crime trends, held regular meetings to discuss countermeasures, and deployed resources to break up crime patterns and prevent crimes. (And they succeeded; the national violent crime rate in 1994 was 66 percent higher than the comparable figure for 2009; and the property crime rate was 53 percent higher in 1994 than in 2009, according to the FBI.)52 An information-driven program should include not only analysis of crime statistics, but processes for monitoring data that tracks patrol and investigative performance, as well as community outreach efforts. Community outreach plays as important a role in the crime reduction process as does enforcement, particularly in developing information about conditions of concern to the residents. It must be recognized equally, and subject to the same level of accountability and analysis, as traditional enforcement. The Department’s positive relationship with the community it serves will be an asset in this area. 52 Police Executive Research Forum, “Subject to Debate,” Vol. 25, No. 2, March/April 2011 The Novak Consulting Group Strengthening organizations from the inside out. Page 142 City of Charlottesville Efficiency Study Report It is recommended that the Police Department implement a proactive, information-led crime reduction strategy based on the principles originated by the Compstat model that includes:  A formal crime analysis component to identify crime trends and put relevant intelligence into the hands of the staff who can apply it in the field through deployment of personnel and enforcement initiatives  Assessment, in the form of periodic command-level meetings or other methods most suitable to the needs of the Department, to ensure that appropriate information has been shared, and that all units within the agency are coordinating their efforts and providing necessary support; and  Accountability, to ensure that all members of the agency are actively engaged in its mission As part of this process, it is necessary to assign personnel with appropriate rank and position within the agency to coordinate the implementation of strategies and accountability for the performance of personnel and cooperation between units, as well as personnel capable of assembling the necessary data. The Department has a Crime Analyst; the recent appointment of a Deputy Chief provides the necessary command level coordination; and the creation of three Division Commander positions provides an ideal opportunity for communication, collaboration, and execution of strategies. The establishment of a structured process in conjunction with the proposed reorganization of the Department affords an additional opportunity to establish and reinforce the importance of intra-Departmental collaboration. RECOMMENDATION 64: Review District boundaries. The City is divided into eight patrol districts for deployment purposes:  District 1 covers the South East corner of the City and primarily includes residential areas  District 2 covers the South West corner of the City and includes both residential and business areas  District 3 covers the North East end of the City and primarily includes residential areas  District 4 is the Downtown Mall itself, and entails the entirety of the businesses located area  District 5 covers the Northern most portion of the City and includes both residential and business areas  District 6 covers the West Central portion of the City and includes both residential and business areas  District 7 covers the South half the City’s center and includes both residential and business areas  District 8 covers the North half of the City’s center and primarily includes residential areas The current District boundaries have been in place for decades, and in some cases may not reflect the impact of new residential and commercial development, shifting neighborhood demographics, and current demands for service. The Department should review the boundaries and make necessary adjustments to ensure that they provide for effective deployment of resources. A map of the District boundaries is provided on the next page. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 143 Efficiency Study Report Figure 27: Charlottesville Police Department District Map The Novak Consulting Group Strengthening organizations from the inside out. Page 144 City of Charlottesville Efficiency Study Report Police Department Administration and Policies RECOMMENDATION 65: Add financial review to spending approval process. The Police Department’s Chief Financial Officer and staff are responsible for the Department’s financial management: preparation of the annual budget recommendations, accounts receivable and payable, payroll, and procurement. Although budgets are prepared based on the needs of the Department’s divisions and bureaus, their annual allocations are not routinely communicated to them. The spending approval process in many cases bypasses financial review. For example, there is a single training budget for both divisions. The Department’s finance staff is often not made aware of expenditures until money has been spent, periodically leading to overspending. There is no point in the process at which the finance staff has the opportunity to verify the availability of sufficient funds prior to approval. As part of its spending process, the Department should include advisory review by the Department’s finance staff to ensure that sufficient funds are available prior to final approval. In addition, the Department should make division commanders aware of the annual budget allotments for their areas. RECOMMENDATION 66: Streamline the reporting process. Scheduling is currently a paper-based process. Information Management Services Support (Records) personnel spend a good deal of time inputting handwritten reports prepared by police officers into the records management system. Printed copies of reports are kept on file. Time records are kept manually. A new records management system (New World Systems) and a new electronic scheduling system (In Time Solutions) are being introduced and may address some of these issues. The scheduling system, which will be used only for Field Operations Division personnel, was expected to become operational in October 2016. The Department’s technology needs are managed by the City’s IT Department. As the new systems are rolled out, it is essential that both departments verify that all aspects of these systems are maximized to ensure that personnel have the ability to file reports from the field, that routine tasks such as scheduling are computerized, and that the need for the preparation and retention of paper documents is minimized. RECOMMENDATION 67: Implement a vehicle replacement policy. The Department operates a fleet of 135 vehicles. Of those vehicles, 59 are assigned to the Field Operations Division and 61 to the Support Services Division. Fifteen vehicles are “deadlined,” or permanently out of service, 11 of those are assigned to the Field Operations Division, and four to the Support Services Division. An additional nine vehicles have been proposed for deadlining: three vehicles listed on the fleet inventory and six vehicles not listed on the vehicle inventory. The fleet includes: 71 sedans; 29 sport utility vehicles; 4 motorcycles; 2 pickup trucks; 4 trailers; and 7 vans.53 Vehicle maintenance is provided by Public Works. Repairs that exceed the Yard’s capacity are outsourced to private vendors. There is no formal vehicle replacement policy; vehicles are replaced on a one-for-one basis based on assessment of age, mileage, and repair costs. Police Department and Public Works Fleet personnel identify vehicles to be replaced based on their repair history as documented in the SAP database. Police Department command staff and Public Works staff work together on the selection and procurement of vehicles, which are purchased under State contract. 53 Fleet inventory does not include special use vehicles assigned to SWAT/Crisis Negotiation Team/Bearcat. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 145 Efficiency Study Report A police department cannot operate effectively without safe and reliable vehicles. It appears that the current process generally meets the needs of the Department. However, best practice is to establish guidelines for vehicle replacement, a policy that promotes an acceptable vehicle lifecycle without the disruption that can arise during times of financial challenges, political disagreement, or changes in managerial styles. A good policy protects both the Police Department, by ensuring that the fleet will be maintained in good condition, and the governing body, by ensuring that technically sound and fiscally prudent replacement guidelines are in place. A well designed policy bases replacement criteria on multiple factors, such as age, mileage, type of use (take home vehicle vs. fleet vehicle subject to around the clock use; marked emergency response vehicle vs. unmarked administrative vehicle; sedan vs. truck), mechanical condition, and repair history. Therefore, the City should implement a formalized vehicle replacement policy. RECOMMENDATION 68: Periodically evaluate the Department’s take-home vehicle policy. The Department has an extensive take-home vehicle program.54 Take-home vehicles are provided to:  Command staff  Sergeants and Detectives  Members assigned to positions subject to off-duty call-out, including: o SWAT Team personnel o Crisis Negotiation Team personnel o Forensic Technicians o Evidence Technicians o Traffic Unit Investigation Team o Other positions designated by the Chief of Police  Sworn Police officers who meet the following criteria: o Have completed probation o Have had not more than one avoidable crash in the previous 12 months o Have received no more than one sustainable complaint within the previous 12 months o Have at least a satisfactory performance rating for the last evaluation period o Have at least three years of service and live within the City of Charlottesville o Have at least five years of service and live within 10 miles of the City limits The program was recently expanded to include Field Training Officers. Although Department policy states that officers who travel more than 10 miles from the City limits are required to reimburse the City for excess mileage,55 that practice has been discontinued. There are certain benefits associated with take home vehicles for both the staff and the municipality. From officers’ perspectives, it is a convenience to use a department vehicle for travel to and from work with necessary patrol equipment stored in the vehicle. There is a financial benefit in reducing wear and tear on one’s personal vehicle and the associated maintenance costs, as well as the savings on fuel. Officers consider the vehicles an important element of compensation in a Department whose salaries are considered lower than those of neighboring agencies. From 54 General Order 03-01 55 “All personnel who travel more than ten miles one way from the city limits to their place of residence will be responsible for mileage costs for the excess mileage. The total mileage subject to reimbursement will be calculated by multiplying the total number of miles driven in excess of ten miles from the city limits (twenty miles for round trip) by twenty (20) cents per mile by number of days worked in the period. The reimbursement rate may be adjusted annually by the Chief of Police.” (General Order 03-01). The Novak Consulting Group Strengthening organizations from the inside out. Page 146 City of Charlottesville Efficiency Study Report the City’s perspective, although a take home program requires a larger fleet, vehicles typically last longer and have reduced maintenance costs as a result of having fewer operators and officers’ sense of ownership of the vehicle. Personnel subject to mobilization are able to respond directly to incidents more rapidly and with necessary equipment available. There is a benefit from the increased visibility and deterrent effect of marked police vehicles being parked around the City. However, take home vehicles require ongoing cost/benefit analysis. Escalating fuel and maintenance costs make the program more important to officers; however, the City must regularly assess its financial sustainability. Since most officers live outside the City, their vehicles do not provide the desired deterrent effect. In addition, any expansion of the program must be evaluated carefully to ensure that it has been fully reviewed and that it produces a benefit to the City as well as to the affected members.56 The Department should periodically review the scope of its take home vehicle program to ensure that it remains cost effective and fiscally sustainable. RECOMMENDATION 69: Review the impact of the Career Development Program. The Department has a Career Development Program57 that provides full-time sworn police officers not holding supervisory ranks an opportunity for career development and financial incentives based on training, education, and work experience. The program creates four program status levels as shown below. Table 52: Career Development Program Status Levels and Compensation Level Required Service Compensation Police Officer 1 Three years with CPD 5% of hourly base pay Senior Police Officer Three years as Police Officer 1 10% of hourly base pay Master Police Officer Three years as Master Police Officer 15% of hourly base pay Career Officer 15 years of service and three years as Master 20% of hourly base pay Police Officer In addition to the financial stipend, Senior, Master, and Career Officers are routinely given supervisory responsibilities suitable to their rank and experience, including conducting roll call and roll call training; review and approval of reports; supervisory tasks identified by the Shift Commander or Sergeant; supervising incident scenes in the absence of the on-duty supervisor; and Master and Career Officers may substitute for shift supervisors when staffing necessitates it. Officers apply to the program, which is voluntary, by submitting a detailed resume. Advancement is based on a matrix of requirements in eight categories:  Experience  Entry Level Competency Test  Disciplinary Actions  Police Vehicle Accidents  Firearms Proficiency  Education  Compliance Review Form  Specialized Duties 56 For example, take home cars were recently issued to Field Training Officers as part of an incentive package to attract officers to the position. 57 General Order 78-99 The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 147 Efficiency Study Report The Career Development Program is a well-developed program that provides officers with both professional and financial incentives, and it appears to be appreciated by the officers who are given the opportunity. However, the stipends associated with the program, although they are factored into officers’ overtime rates, are not included in the calculation of retirement benefits. They also have the potential to exceed the compensation provided to members in advanced ranks. Detectives, for example, receive an annual stipend of $1,200.00, a clothing allowance of $1,000.00, and a take home car. Field Training Officers receive a stipend of $4,000.00 and a take home car. The salary of a police officer under the Career Development Program can exceed that of a Detective, Field Training Officer, or supervisor, positions with added responsibilities, consequently creating a potential disincentive for officers to seek such positions. The Department, in coordination with the HR Department, should evaluate the ongoing impact of the program to ensure that salaries and benefits across the Department do not create a situation in which this beneficial and highly regarded program serves to discourage officers from competing for advanced rank. Physical Plant RECOMMENDATION 70: Conduct a space needs assessment for Police Headquarters. The Police Department is housed in a building at 606 East Market Street. Four units are housed in leased space separate from Police Headquarters at 705 Dale Avenue and 108 5th Street (Rooms 308 and 310) in Charlottesville: the Office of Professional Standards, the Accreditation and Crime Analysis Units, and the JADE Task Force. The Department also maintains several off site storage spaces. Firearms training is conducted at a recently opened joint Firearms Training Facility operated by the Charlottesville Police Department, the Albemarle County Police Department, and the University of Virginia Police Department on land donated by the university at 2300 Milton Road in Charlottesville. The Police Headquarters facility has exceeded maximum capacity. Locker rooms and the report room are located in the basement of a garage across the street from Headquarters. Of particular concern is the Forensic Unit, which is located in a basement level of the City Hall building separate from the Police Department’s offices. The unit stores approximately 16,400 items of evidence and invoiced property in a space built to hold 10,000 items. It uses additional storage area in the basement of Police Headquarters and an area at the City Yard for storage of bicycles and similar items. The unit’s mini-lab, utilized for processing crime scene evidence, has insufficient space for installation of a table for examining large items, which have to be processed in a piecemeal fashion. The unit had to close the lab for a period of about three months to store 300 items of evidence from a major case while they were being processed in batches at the Commonwealth’s Central Lab in Richmond. Both of the Forensic Unit’s functions – processing crime scene evidence and maintaining custody of evidence and property taken into the custody of the Department – are critical to the Department’s operations. Evidence and property management, in particular, requires sufficient space for the storage of invoiced property in a manner that is amenable to inspection, retrieval, and routine inventory, as well as work space to ensure that material is inventoried and processed properly. The Information Management Services Unit (Records) is also in need of additional file storage space. Moving toward paperless reporting should help to alleviate some of that space concern, but many documents will continue to require preservation in hard copy form. The Novak Consulting Group Strengthening organizations from the inside out. Page 148 City of Charlottesville Efficiency Study Report Although Police Headquarters is situated in a central location just off the Downtown Mall, its current physical layout is not ideal for police usage. Parking is in a section of a municipal garage across the street from the building, and is inadequate to meet all of the Department’s needs. The garage entrance and exit is on a narrow street with only one exit; the opposite end of the street is blocked by bollards where it meets the Downtown Mall. An improperly parked vehicle can shut down egress from the street, severely hindering the Department’s capacity to respond to an emergency. Construction or renovation of a police facility is a major financial undertaking, especially in light of the price and limited availability of real estate in Charlottesville. Whether the choice is to construct a new facility or renovate the existing building, additional space will be needed to meet the Department’s needs into the future. The City should commence a space needs assessment so it can begin the process with an understanding of the potential scope and cost of the project. RECOMMENDATION 71: Install appropriate security measures in remote locker rooms and the parking area. Male and female locker rooms and the report room are located in the basement of a parking garage across the street from Police Headquarters. They share a hallway leading to the rear portion of a Postal Service facility. Although the rooms are relatively new, well maintained, and serviceable, few security measures are in place. Entrance doors are secured only by card-access magnetic locks. Other than a street-facing camera located near the entrance to the small garage area of Police Headquarters, there are no alarms or security cameras covering the report and locker room area. Likewise, no security measures are in place in the section of the municipal garage used for parking of Department vehicles, despite the fact that vehicles contain police equipment and weapons, and vandalism has occurred in the garage in the past. The Department should augment security in these areas, particularly with the installation of security cameras with recording capability at the outside of the report/locker area entrance and common hallway, and in the parking garage. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 149 Efficiency Study Report Fire Department Analysis and Recommendations The Charlottesville Fire Department (CFD) has been the primary fire protection provider for the City of Charlottesville since 1856. The Department’s responsibilities include the protection of a diverse array of residential, commercial, educational, historical, sporting, entertainment, and other special properties. In addition to fire suppression services, the CFD provides the City and UVA with emergency responses to hazardous materials incidents, special technical rescue incidents, and emergency medical incidents including sudden severe illnesses, accidents, and injuries. The Department has a service area of 10.24 square miles plus the UVA campus, which includes 1.89 square miles of land and 502 buildings. Residential structures are the majority of the buildings in the City. TYPE V-B (unprotected wood frame single-family dwellings) and more modern construction TYPE V-A (protected wood-frame multi-family dwellings) are the typical type of construction in the Fire Department’s service area. The Department has received outside recognition for the quality of the services it provides, First, according to the 2016 National Citizen Survey, residents feel positively about the services provided by the Department; 92% of respondents rate fire services positively, 90% rate ambulance/EMS services positively, and 79% rate fire prevention services positively. Second, the CFD has previously been accredited by the Commission on Fire Accreditation International (CFAI) and is currently in the process of seeking reaccreditation. The CFAI accrediting process is a rigorous analysis designed to determine if the Fire Department's programs and services are successfully meeting the needs of the community and if the Department has achieved a high level of performance and efficiency. Finally, in 2014, the City received a superior Class 1 rating as the result of an Insurance Services Organization (ISO) analysis of the City's fire suppression services. At the national level, ISO reports only 60 jurisdictions achieving such distinction, which places the City of Charlottesville in the top 0.12% of fire-safe communities nationally. The Fire Department operates out of three stations. The Ridge Street Station (“Headquarters”) was built in 1959 and is located at 203 Ridge Street in downtown Charlottesville. Station 1 was built in 1962 as a satellite station and is located at 345 250 Bypass on the northeast side of the City. Station 10 was built in 2012 and is located at 2420 Fontaine Avenue on the west side of the City near the UVA campus. Station 10 houses the Department’s training facility. Prior to Station 10’s construction, Department administration was located at The Ridge Street Station. The following figure shows the service area of each station. The Novak Consulting Group Strengthening organizations from the inside out. Page 150 City of Charlottesville Efficiency Study Report Figure 28: Fire Station Service Areas The Fire Department consists of the following six divisions: Administration, Fire Fighting, Fire Prevention, Personnel Support, Department Maintenance, and the Volunteer Fire Department. The responsibilities and staffing of each division are discussed below and in the following section. The Administration Division of the Fire Department is responsible for the development, coordination and oversight of the Department’s mission and for providing the Department with the administrative support necessary to complete its mission. The Administration Division is staffed by the Fire Chief, the Administration Deputy Chief, one Executive Assistant to the Fire Chief, one Planning Battalion Chief, one Planning Captain, and one Assistant Accreditation Manager. The Fire Fighting Division of the Fire Department consists of 78 officers and firefighters who are directly responsible for responding to emergencies in the City and UVA campus, and as a mutual aid provider in designated areas of the County. The Department does not operate its own ambulances. However, the Fire Department provides two Firefighter/Medics between 7:00 AM and 6:00 PM Monday through Friday to operate one unit of the Charlottesville Albemarle Rescue Squad (CARS) volunteer EMS provider under an agreement with that agency. There are formal agreements in place with UVA and Albemarle County that cover some of the costs associated with serving areas beyond the City’s limits. The formal agreement with CARS covers some of the cost of providing EMS transport services within the City limits during weekday/daylight hours. The Fire Fighting Division is led by the Operations Deputy Chief and is staffed by three Operations Battalion Chiefs, 17 Captains, and 49 Firefighters. All Fire Department emergency response personnel are required to have a minimum emergency medical service (EMS) training certification level of Emergency Medical Technician – Basic (EMT-B). Many of the Department’s response personnel are trained to the Advanced Life Support (ALS) level and practice as EMT- Intermediates and EMT-Paramedics. The Department staffs three 24-hour shifts, with each shift being led by a chief officer and a combination of four fire engines and two aerial devices, along with the chief officer in a command vehicle. Each fire engine and aerial device is staffed daily with a minimum of three firefighters, and the command vehicle is staffed with a chief officer. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 151 Efficiency Study Report This results in a minimum daily staffing level of 19 per shift including one Battalion Chief, a minimum of three Captains, and a minimum of 15 firefighters) per shift. In order to reach this minimum daily staffing level, each shift is staffed with 26 personnel. The Fire Prevention Division is responsible for fire safety inspections, enforcement of the Fire Prevention Code, fire investigations, and public fire education. The Division also reviews plans for new construction to ensure that fire safety requirements (such as sprinklers, standpipes, alarm systems, and fire apparatus access) are properly planned for and incorporated into the construction of new buildings. For FY2017, the Fire Prevention Division is staffed by one Fire Marshal, along with one full-time and one part-time Assistant Fire Marshal. The Personnel Support Division works to identify Department training needs and develop training programs to assist firefighters in becoming more proficient in emergency service delivery, emergency incident management, and safety. Also, they provide oversight of the Department’s hazardous materials and special rescue teams, as well as specify and purchase the specialized equipment required for those activities. For FY2017, the Personnel Support Division is staffed by one Battalion Chief, a Training Firefighter, and the EMS Administrator. The Department Maintenance Division is responsible for the Department’s vehicles, facilities, and equipment. The Division is staffed by the Resources Captain and the Fire Equipment Mechanic. The Fire Equipment Mechanic ensures that the Department’s vehicles are kept operational and ready for use at all times. Routine repairs and preventative maintenance are completed in-house while all other repairs are contracted out. The Resources Captain is responsible for purchasing and maintaining all equipment and for coordinating all facility maintenance activities. The Volunteer Fire Department responds to fires and other emergencies alongside the full-time members of the Charlottesville Fire Department. The Volunteer Fire Department operates one vehicle and has members who are capable of operating the Charlottesville Fire Department’s pumpers to provide additional resources or backup during emergencies. However, since volunteers have not historically undergone the same physical screenings or received the same training as full-time firefighters, the Volunteer Fire Department has had a more limited role in recent years. The new City Fire Chief and the Volunteer Fire Company Chief have been working together to encourage an active and involved volunteer company and a total of 10 volunteers recently underwent the necessary medical screenings. While the Volunteer Fire Department can take donations, it does not fundraise the way many volunteer departments do. For FY2017, the Volunteer Fire Department has a budget of $26,232, which covers training, protective equipment, and uniforms. The current Fire Chief has been in command of the Department since September 2015. During the transition to the new Chief, the Department developed and adopted a strategic plan that will guide the Department’s activities and deployment of resources. Having a strategic plan sets the Department up for success. While fire prevention activities had not been a priority in the past, one of the new Fire Chief’s key goals is to broaden the scope of this function beyond basic fire prevention to community risk management and make it a priority for the Department. However, there is still a lot of work to be done in this area. Staffing and Scheduling The CFD responded to 5,884 incidents in 2015. Total calls for service have increased by 13% over the last three years. During that time, fire calls (excluding false alarms) decreased by 28%, EMS calls increased by 21%, and other calls (such as false alarms, HAZMAT, and mutual aid The Novak Consulting Group Strengthening organizations from the inside out. Page 152 City of Charlottesville Efficiency Study Report incidents) increased by 7%. The following table shows the number of incidents to which the CFD responded between 2013 and 2015. Table 53: Incidents by Type, 2013-201558 Incident Type 2013 2014 2015 % Change Fire 213 180 154 -28% EMS 2,749 2,818 3,321 21% Other 2,255 2,237 2,409 7% TOTAL 5,217 5,235 5,884 13% The Fire Chief is responsible for the Department’s operations. Two Deputy Chiefs, one of operations and one of administration, assist the Fire Chief in managing the activities of the Department. For FY2017, Fire Department has 91.0 authorized FTEs. The following figure illustrates the Department’s current organizational structure. Figure 29: Fire Department Organizational Structure, FY2017 Evaluating staffing levels requires an analysis of coverage requirements and staffing availability. These factors are used to determine the appropriate number of personnel to assign to each shift. Because full-time staff are eligible for paid time off, additional staff are required to ensure that enough firefighters are available to meet minimum coverage standards. The number of firefighters on duty - a department’s minimum staffing level - is based on the level of service expectations of the community. The CFD currently operates with a minimum staffing level of 19 firefighters. However, in order to ensure the minimum staffing level is consistently achieved, more than 19 firefighters must be 58 Data provided by Department The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 153 Efficiency Study Report assigned to work each shift. The goal of a staffing analysis is to determine the appropriate number of firefighters to assign given typical leave patterns. A staffing factor represents the number of employees needed to cover each position on a shift, after accounting for leave (such as sick time and vacation). Because the Department utilizes three shifts to provide fire coverage throughout the year, each shift is responsible for covering approximately 2,920 hours (one third of the 8,760 hours – 24 hours, 365 days – covered by all three shifts together) on an annual basis. Overall, operations staff at all levels (Battalion Chief, Captain, and Firefighter) utilize an average of 633 hours of leave per year. The table summarizes the average leave used by all positions responsible for fire suppression by leave type. Table 54: Average Annual Leave Usage among Firefighting Division Employees, by Leave Type59 Average Annual Leave Type Leave Hours Used Administrative Leave 16 Bereavement Leave 5 Education Leave 12 Family Sick Leave 41 FMLA 37 Holiday 205 Injury Leave 3 Military Leave 9 Personal Sick Leave 103 Special Days Off 12 Vacation 190 TOTAL 633 Subtracting leave hours from the 2,920 total coverage hours results in an average of 2,287 hours worked by shift staff per year. In order to determine the total number of staff required after accounting for leave, total coverage hours are divided by the number of hours actually worked on average. This yields a staffing factor of 1.28 (2,920 / 2,287 = 1.28). This means that 1.28 staff are required per shift position in order to adequately cover leave taken. This staffing factor can then be applied the Department’s existing minimum staffing model in order to compute appropriate staffing levels. The following table applies the staffing factor to the Department’s minimum of 19 firefighters per shift. Table 55: Shift Staffing Requirements to Meet Established Minimum Staffing Level of 19 Firefighters Minimum Shift Total Positions Total Positions Minimum Shift Positions Needed for Shift Staffing Needed Across Staffing Positions Multiplied by Adequate Shift all Shifts Staffing Factor Coverage Shift Battalion Chief 1 1.28 1 3 Shift Captain 4 5.12 5 15 Firefighter 14 17.92 18 54 TOTAL 19 24.32 24 72 59 Three year average based on leave information provided by Department The Novak Consulting Group Strengthening organizations from the inside out. Page 154 City of Charlottesville Efficiency Study Report Currently 78 firefighters (57 Firefighters, 18 Captains, and 3 Battalion Chiefs) are assigned to the three shifts, and each shift is staffed with 26 firefighters (one Battalion Chief, six Captains, and 19 firefighters). Based on the Department’s staffing factor outlined in the previous table, the Department has sufficient authorized personnel to consistently meet the established minimum staffing level of 19 firefighters on each shift as 26 firefighters are assigned to each shift. However, the Department only requires 24 firefighters on a shift in order to consistently meet the minimum staffing level of 19 firefighters on duty. This represents 72 firefighters needed across all three shifts. It should be noted that, over time the Department’s staffing factor will change as the tenure of employees change, thus increasing their paid time off. The results of the staffing analysis show that some capacity exists in the Fire Fighting Division. In order to more fully leverage this capacity, the Department can assign shift personnel additional responsibilities. For example, the Fire Chief is interested in appointing an operations captain that would also serve as a dedicated safety officer on each shift. Given the staffing analysis conducted by The Novak Consulting Group, it should be possible for the Department to take on these roles within the current staffing level. The Department may also decide to dedicate additional personnel to fire prevention activities, as discussed later in this analysis. False Alarms In 2015, the Department responded to a total of 5,884 calls for service. Most of the Department’s calls for service (56%) are EMS calls. Of the non-EMS calls, 62% are false alarms. This is an unusually high number of false alarms generated by detection and alarm systems when compared to the national average of 22%.60 The following table includes the number of false alarms to which the Department responded for the last five years and the percentage change in the number of false alarms since 2011. Table 56: Fire Department Top 10 False Alarm Calls by Type, 2011-2015 Percent False Alarm Type 2011 2012 2013 2014 2015 Change Malicious, Mischievous False Call 13 93 26 22 22 69% System Malfunction 153 786 205 165 187 22% Unintentional 605 537 530 483 563 -7% Other False Alarm 30 190 48 51 50 67% TOTAL 801 1,606 809 721 822 3% The recommendation in this section addresses the high number of false alarms in the City of Charlottesville. RECOMMENDATION 72: Develop a comprehensive false alarm reduction program. The current level of false alarm activity creates a number of challenges for the Department. False alarms result in the deployment of expensive equipment and staff, tying up limited emergency response personnel when a genuine emergency could occur elsewhere. In addition, repeated false alarms undermine the confidence of occupants in the reliability of the system and potentially reduces their response to the alarm. 60 National average for false alarms as a percentage of non-EMS calls. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 155 Efficiency Study Report In order to proactively address the prevalence of false alarms in the community, the Department should create a comprehensive false alarm reduction program. This program should be modeled on the National Fire Protection Association (NFPA) best practices associated with reducing unwanted alarms. A recent NFPA report titled “Development of a Risk-Based Decision Support Tool to Assist Fire Departments in Managing Unwanted Alarms” describes several strategies for reducing false alarms and case studies of other communities. A copy of this report will be provided to the Department by The Novak Consulting Group. The City does not currently have a comprehensive false alarm reduction program in place. Such programs typically incorporate education and management elements that seek to reduce the cost of dispatching costly apparatus and personnel to false alarm calls, increase reliability and confidence in the systems, and create a financial disincentive for multiple false alarms. In order to effectively address unwanted alarms, the Department should identify trends, patterns, and top offenders and create targeted efforts to combat unwanted alarm activity. One common approach is to establish an alarm system and installer registration ordinance in conjunction with a fee schedule for repeat false alarms. The registration process can be leveraged to educate alarm users regarding ways in which false alarms can be avoided. In engaging with alarm users, the Department should stress that the impact of a false alarm is not just negative for the Fire Department, but also for the occupant who suffers lost time and opportunity for revenue generation. The primary goal of assessing a false alarm fee is to encourage improved maintenance of systems and reduce unnecessary response from firefighters, thereby ensuring that response capacity is available for true emergencies. A secondary goal of false alarm fee assessment is the recovery of costs associated with repeatedly deploying resources to the same site unnecessarily. Albemarle County currently has a false alarm ordinance in place which requires alarms to be registered and charges $100 for the third false alarm in a 12-month period. It is recommended that the City utilize an escalating fee schedule for multiple false alarms within a given period. An escalating fee rate allows the community to increase penalties for repeat offenders and is designed to maximize deterrence, minimize false alarms, and create a more reliable alarm reporting system. A second common approach is to modify the Department’s response to commercial fire alarms when no additional information is provided that indicates an actual emergency is taking place. For example, the Department may send only one non-emergency response unit to investigate the alarm prior to calling for emergency crews. While this approach would increase response times in the event of an actual emergency, it will save time and mobilization costs each time an alarm turns out to be false or unwanted. Training and Testing RECOMMENDATION 73: Implement competency-based evaluations of firefighting, HAZMAT, and technical rescue skills. The Insurance Services Office (ISO) recently completed a Public Protection Classification (PPC) survey related to the CFD. While ISO is not a fire service standard, it serves as a useful benchmark for establishing training standards when used in conjunction with state and national recommended best practices. Adopting ISO recommendations helps to ensure comprehensive training is being provided to Department staff and potentially improves the community’s overall ISO score. These benchmarks, when used in conjunction with state and national recommended practices, fire service standards, and materials developed by the International Fire Service Training Association can assist in developing a comprehensive training program. The Novak Consulting Group Strengthening organizations from the inside out. Page 156 City of Charlottesville Efficiency Study Report ISO’s training categories for firefighter staff are illustrated in the following table, along with the amount of credit earned by the Fire Department compared to the total credit available. Table 57: ISO Training Categories, 2016 ISO Category ISO Recommended Department ISO Credit Minimum Annual Firefighter Credit Available Training Hours Earned Facilities and Use 18 23 35 Company Training 192 24 25 Classes for Officers 12 6 12 New Driver and Operator Training 60 5 5 Existing Driver and Operator Training 12 5 5 Training on Hazardous Materials 6 1 1 Recruit Training 240 (during recruit’s first year) 5 5 Pre-Fire Planning Inspections Company Inspection Program 6 12 TOTAL 540 75 100 The Department should be commended for its focus on training and its work toward meeting the standards set by ISO. It is important that the Department remain focused not just on the quantity of training provided to employees, but the quality. ISO does not measure the quality of the training provided by departments. As many departments begin to rely more heavily on online training, it is important to not sacrifice the skills gained through hands-on training. The NFPA develops (through a consensus of more than 250 technical committees which include nearly 9,000 volunteer committee member seats) and publishes codes and standards that are intended to eliminate death, injury, property and economic loss due to fire, electrical, and related hazards. In addition to providing training program guidance to department, the NFPA also has standards aimed at verifying training program outcomes. The NFPA 1400 standard will assist in developing a comprehensive firefighter skills training program. The NFPA 472 standard specifies minimum competencies for those responding to hazardous materials incidents. The NFPA 1006 standard is for individuals seeking verification that their technical rescue skills meet minimum job performance requirements while the NFPA 1670 standard outlines the level of functional capability for the organization as a whole. All CFD response personnel meet the NFPA guidelines for hazardous materials operations as this level of certification is required for firefighters in the Commonwealth of Virginia. A total of 29 personnel are certified at the technician competency level. Technical rescue is comprised of many different disciplines (e.g., rope, confined space, trench). CFD does not have any minimum competency requirements for technical rescue, so response personnel are at varying competency levels when it comes to each discipline. Department personnel routinely train to respond to fire, technical rescue, and hazardous materials events. However, the efficacy of the training is not currently being tested. Competency-based assessments will enable the Department to evaluate firefighting, HAZMAT, and technical rescue skills. As this report was being written, the Department reclassified a Firefighter position as a Captain and tasked it with developing and implementing a core competency program that meets the NFPA standards included in this recommendation. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 157 Efficiency Study Report RECOMMENDATION 74: Adopt validated physical agility test for use during the hiring process. As part of the hiring process, the Department requires applicants to successfully complete a physical agility test. This test, which was developed by the CFD, is intended to evaluate the applicant’s physical potential to effectively perform critical firefighting tasks. The Department is also planning to use this test as part of its annual work performance evaluation process for existing staff. Firefighting is a physically demanding occupation and the employer has a legitimate interest in ensuring applicants are capable of performing all aspects of the job. However, physical assessments such as these have undergone scrutiny for potential disparate impacts particularly for female applicants, and it is critical that employers be able to demonstrate validity and job relatedness of any test. The International Association of Fire Chiefs (IAFC) and the International Association of Fire Firefighters (IAFF) jointly developed a physical exam called the Candidate Physical Ability Test (CPAT) in recognition of the challenge fire departments face when trying to assess the ability of candidates to meet the physical demands of the jobs in a valid way; the CPAT has been reviewed by the Department of Labor. Agencies wishing to use the test must perform a transportability study to verify it is valid for their specific operation. There is also a requirement that applicants be provided orientation, preparation, and training sessions prior to the test being administered. The CFD should adopt the IAFF/IAFC CPAT since it has been proven to be both job related and valid in both construct and parameters for scoring. Administering the CPAT process in house can be time consuming and burdensome for a department. Therefore, the Department should consider either having an independent third party administer the CPAT process or developing a regional hiring pool with other departments and offering the testing process on a set schedule. Since agencies across the country offer the testing process to potential firefighters and provide the candidates with a certificate of passing, adopting the IAFF/IAFC CPAT will enable the CFD to allow candidates to show compliance by providing a certificate that has been issued within a predetermined period of time, further decreasing the burden associated with testing candidates. EMS RECOMMENDATION 75: Partner with CARS to review medical calls for service and evaluate schedule. EMS services are provided to Charlottesville residents through a regional provider, the Charlottesville Albemarle Rescue Squad. CARS is primarily staffed by volunteers, with CFD providing supplemental coverage. CARS does not bill for service. Instead, it fundraises the funds necessary to support the operation. The City staffs one medic unit (two Firefighter/Medics) from 7:00 AM to 6:00 PM, five days per week. In addition to staffing one medic unit during the week, the CFD invests in maintaining ALS response (i.e., engines, personnel, training), but not transportation. In return, CARS has paid the City $130,000 per year since the MOU was first signed in 2014. Currently, the Department relies heavily on firefighters coming in for overtime to staff the medic unit because it requires two paramedics and not all CFD firefighters are paramedics. Therefore, when two paramedics are not on duty, they must be called in to work overtime. On average, CFD employees work over 18,000 hours of overtime per year,61 approximately 200 hours per employee. During interviews conducted by The Novak Consulting Group, employees indicated that they do not appreciate the constant need for overtime and that it strains employee morale. 61 Based on overtime data from 2013-2016. The Novak Consulting Group Strengthening organizations from the inside out. Page 158 City of Charlottesville Efficiency Study Report Therefore, the Department should evaluate whether this is the best approach to providing supplemental coverage. While the Department and CARS have a collaborative relationship, data was not available regarding the workload profile of CARS. The Department should continue working with CARS to review the regional EMS provider’s call volume by hour of the day and day of the week. It may be that EMS calls for service do in fact peak between 7:00 AM and 6:00 PM, in which case having the additional medic unit work an 11-hour shift makes sense. However, depending on the workload, it may be possible for Charlottesville to staff a unit for just eight hours a day, in which case assigning two medics (three employees in total would be necessary to cover leave) to the CARS unit, working eight-hour shifts, would be more efficient and would limit the strain caused by overtime. As this report was being written, CARS approached the CFD about potentially providing 24-hour coverage. RECOMMENDATION 76: Ensure adopted EMS service level standard for the City of Charlottesville is met. It is common for communities to establish service level standards for EMS operations, particularly when EMS services are not provided directly by the City organization. As this report was being written, the City and CARS developed and agreed upon a service level, the Emergency Medical Services Benchmark Service Delivery Level Objectives. Level of care and response time are common components of an EMS service level standard. The level of care provided by EMS providers is either ALS or BLS. The difference between ALS and BLS is the level of Emergency Medical Technician (EMT) training employees have achieved; ALS providers must staff each unit with at least one EMT-Paramedic while BLS providers have responders with less training (EMT-Basic or EMT-Intermediate). Some communities, as part of their service level standard, even require that ALS medic units be staffed with two paramedics. Response time is the amount of time elapsed between when the dispatchers notify responders of the call and when the responders arrive on the scene. The NFPA response time standard for EMS calls has two levels, one for ALS calls and one for BLS calls. To ensure that City of Charlottesville residents are receiving adequate services, it is recommended that the City ensure that the EMS service level standard is met. If CARS is not able to provide the desired level of service, the City may consider directly providing EMS services. Based on call data provided by the Department, CARS responded to an estimated of 6,872 EMS calls62 in 2015. It is estimated that the Department would require three units to handle this call volume in-house. A common measure of system capacity for EMS is the unit utilization rate for the staff and equipment involved. The simplest methodology is to calculate the number of hours for which there are staffed ambulances in service and divide that number into the number of calls for service. While there are many variables in how long a given call may commit a unit, for the purpose of calculating a simple Unit Hour Utilization (UHU) rate, it is assumed that an EMS call commits a unit for an hour. An ambulance staffed 24/7 results in coverage of 8,760 hours annually. In order to keep a UHU of less than the recommended 0.35, the CFD would need to staff three units (6,872 calls/26,280 hours of coverage), in order to handle the 6,872 EMS calls, which would result in a utilization rate of .27 (6,872 calls /26,280 hours). 62 Includes calls outside of the City limits. Number of calls within CFD service are would need to be estimated. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 159 Efficiency Study Report Prevention and Public Education Since the new Fire Chief took command in 2015, the Department has begun transitioning from a traditional fire prevention model towards a broader community risk reduction model. According to the National Fire Academy, community risk reduction is defined as “those programs, initiatives, and services that prevent and/or mitigate the risk of or effects from fire, injuries, natural disasters, hazardous materials incidents, acts of terrorism, etc.” As such, traditional fire prevention programs are incorporated as part of a broader community risk reduction model. The recommendations included in this section of the report aim to support the Department’s shift toward a more holistic approach to fire prevention and to enable the Department to efficiently and effectively engage in fire prevention activities. RECOMMENDATION 77: Conduct a community risk assessment to inform the work plan of the Fire Prevention Division. The Department tracks all emergency incidents using its records management system based on the National Fire Incident Reporting System (NFIRS). As such, a wealth of information about the Department’s historical workload profile is available. However, this data is not being used to guide the work of the Department. Understanding the community and its incident history is the first step toward adopting a community risk reduction approach. A community risk assessment involves identifying and prioritizing risks in order to plan prevention and mitigation activities. According to the Institute of Fire Engineers,63 it is important to first review the community demographic profile and historical experience to identify risks and hazards. The next step involves prioritizing the identified risks. The final step is to use the results of the assessment to inform the Department’s work plan. The Fire Prevention Division is currently completing a community risk assessment to guide the Department’s community risk reduction activities as part of the reaccreditation process. Once the community risk assessment has been completed, the results should be used to develop the work plan of the Division in the short term and the Department as a whole in the long term. RECOMMENDATION 78: Establish accurate occupancy inventory and adopt inspection schedule. The Virginia Statewide Fire Prevention Code (SFPC) empowers local fire marshals to “inspect all structures and premises for the purposes of ascertaining and causing to be corrected any conditions liable to cause fire, contribute to the spread of fire, interfere with firefighting operations, endanger life, or any violations of the provisions or intent of the SFPC.” The SFPC goes on to mention that the local Fire Marshal is required to annually inspect all: residential care facilities operated by any state agency; assisted living facilities; student-residence facilities owned or operated by public institutions of higher education; and public schools. It also states that the City's fire department shall have responsibility to serve as the local enforcing agency for the SFPC. Fire prevention services are provided by the Community Risk Reduction Battalion Chief/Fire Marshal, one full-time, and one part-time Assistant Fire Marshal. The Department does not have an inventory of the number of occupancies in the City of Charlottesville, which is a listing of all the buildings in the City by type (e.g., multifamily dwelling, warehouse, and restaurant). As such, a clear picture of the Fire Prevention Division’s inspection workload does not exist, and it is not possible to tell if the Department is meeting State inspection requirements. 63Community Risk Assessment: A Guide for Conducting a Community Risk Assessment. http://strategicfire.org/wp- content/uploads/2016/04/Community-Risk-Assessment-Guide-v1.5.pdf The Novak Consulting Group Strengthening organizations from the inside out. Page 160 City of Charlottesville Efficiency Study Report The Fire Prevention Division has been working with the City Assessor to create an occupancy inventory. However, as this report was being written, the Division started working with NDS to ensure that the occupancy module of that Department’s new software system (Image Trend Elite) is implemented. This module will include a fully updated occupancy inventory. Once the occupancy inventory is complete, targets for how frequently each occupancy type should be inspected must be established (ranging from annually to every three years depending on the occupancy type). In a 2008 study titled “Measuring Code Compliance Effectiveness for Fire Related Portions of Codes,” the NFPA identified several practices that improve the effectiveness of compliance activities. One of those is to implement a risk-based inspection program. The City of St. Paul, Minnesota is noted for using actual fire experience instead of theoretical risk assessments to determine priority of inspections. Three classifications are used: those occupancies determined to be the highest risk are inspected annually, the second tier bi- annually, and the third group on a three-year rotation. It is recommended that the Department create a system similar to that of St. Paul to prioritize the workload. The Department is on track to complete approximately 231 inspections in 2016. The following table includes the number of first inspections completed between January and September 2016 and does not reflect returns for code enforcement follow ups, (e.g., second or third inspections to follow up on code issues found on first inspection are not included in this inspection list). Table 58: Fire Department Inspections Completed, January–September 2016 Occupancy Type Number of Inspections UVA Fraternity/Sorority 40 City Parks and Recreation Facility 37 City Building 20 Hotel 19 Private School 13 City School 12 Bed and Breakfast 9 City After School Programs 5 Business 5 Adult Homes 4 Day Care 3 Restaurant 3 Sprinkler System Follow Up 3 TOTAL 173 It should be noted that producing the data included in the above table is a cumbersome process for the Division because inspections are currently only tracked on paper. The Department is in the process of upgrading to a new RMS software called ImageTrend® and has already purchased the inspection tracking module. Once implementation of the new system is complete, the Fire Prevention Division should begin tracking all inspections electronically and should consider moving towards a paperless program incorporating the use of tablet-style computers. The data collected in this system can then be used to monitor the ability of the Division to meet inspection standards. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 161 Efficiency Study Report RECOMMENDATION 79: Use collected data to determine appropriate staffing level for the Fire Prevention Division. Once the City has a complete understanding of the inspection workload, the next step is to determine whether the Fire Prevention Division requires additional staff. A new full-time position – Assistant Fire Marshal – was created in 2016 and given responsibility for completing inspections. It is reasonable to expect one full-time inspector to conduct an average of 800 to 1,000 inspections per year.64 This estimate includes travel, administrative, and inspection time. 65 This estimate can be used to calculate the number of staff the Fire Prevention Division will need to inspect all occupancies on the recommended schedule. Since each community’s occupancy makeup is unique, once the Division begins conducting routine inspections it should calculate its own annual inspection target when more data becomes available rather than applying an average target. If the workload of the Division does not warrant an additional full-time position, or if funding is not available for an additional position, there are other ways the Department can support the work of the Fire Prevention Division without adding staff. One such option is to create an Assistant Fire Prevention Officer position for each shift. Employees in this position would maintain their core emergency response functions but would receive additional training and assume a technical support role for each shift. They would be the first resource for questions from company officers, conduct re-inspections, provide back-up for system testing, and carry enforcement authority. The Assistant Fire Prevention Officer should be assigned a vehicle to use to perform his/her duties and respond as needed to emergency calls during the day and rejoin his/her assigned crew at night. One benefit of this approach is that the Assistant Fire Prevention Officer would be a resource outside of the Fire Marshal’s regular hours. This would allow the Fire Marshal to keep pace with their workload and also focus on the higher priority tasks. Another option is to restart the engine company inspection program. Not only does this increase the number of inspections conducted, but the firefighters also gain a greater familiarity with the buildings in their district. Implementing an engine company inspection program involves assigning a portion of the lowest risk group to the engine companies. The implementation of such a program should be staged to allow initial training for crews that will perform the inspections and should include a data capturing element for both engine companies, as well as fire prevention specialists to allow the Department to track and predict the amount of time it takes to conduct inspections. In addition to appropriately staffing the Fire Prevention Division, the Department must ensure that staff in this Division receive adequate training to maintain the necessary skills and certifications. Currently, the Division is not tracking the training Fire Prevention staff receive and is not planning for future required training. RECOMMENDATION 80: Adopt a preplan maintenance schedule. As part of a comprehensive approach to delivering high quality fire suppression services, fire departments engage in a practice of conducting pre-incident planning activities. These efforts focus on identifying specific hazards posed by a structure, occupancy type, or operational activities of a business and proactively develop tactics and strategies to minimize the danger to responders and address known life-safety concerns for occupants. These preplans identify core components of the building that need to be addressed by firefighters as part of their initial fire response. 64 Based on over 200 studies conducted by TriData, a public safety consulting firm 65 Measuring Code Compliance Effectiveness for Fire-Related Portions of Codes. The Fire Protection Research Foundation, 2008. The Novak Consulting Group Strengthening organizations from the inside out. Page 162 City of Charlottesville Efficiency Study Report The Department has a database of preplans that it created a few years ago. The Department estimates that existing preplans are anywhere from one to three years old as they have not been maintained in recent years. The existing preplans are housed on an internal drive, to which the Battalion Chiefs have access in their command vehicle computer. Since the Department recently installed Mobile Data Terminals (MDTs) in the fire apparatus, the Planning function of the Administration Division has been transitioning existing preplans over to those devices. In order to ensure the safety of responders and occupants, the Department should adopt a preplan maintenance schedule that involves reviewing all preplans for accuracy approximately every five years, prioritizing based on risk. Facilities and Equipment The CFD has best-in-class equipment and has had access to the resources it needs to provide high-quality emergency services to the public. However, some inefficiencies exist that the recommendation in this section aims to improve. RECOMMENDATION 81: Transfer maintenance responsibility for select Fire Department fleet to Fleet Maintenance Division. The Fire Department has a total of 37 pieces of equipment (18 light duty vehicles, 14 heavy duty vehicles, and five trailers). The Fire Equipment Mechanic, who operates out of the Ridge Street Station, is responsible for completing recurring preventive maintenance and emergency repairs for the Department’s 18 light duty vehicles and for maintenance of equipment (e.g., chain saws, hoses, lights). The more complex maintenance and repairs required by the Department’s heavy duty apparatus are completed by an Emergency Vehicle Technician (EVT) certified shop in a neighboring city.66 Many fire departments prefer to have a dedicated vehicle maintenance operation located within their department for several reasons. First, fire equipment is very specialized, requiring mechanics to have an EVT certification. Second, having an in-house vehicle maintenance operation means fire departments do not have to compete with other departments when it comes to the prioritization of repairs. Third, in-house operations can minimize the amount of time equipment is out of service. Finally, departments prefer to have direct control over the level of service they receive from the fleet maintenance shop. While it is understandable that the Department prefers to have its own dedicated vehicle maintenance operation, this arrangement is not the optimal organizational approach for several reasons. First, the Department does not have enough equipment to warrant a dedicated mechanic. The National Fleet Management Association (NFMA) recommends a target mechanic- to-vehicle ratio of between 1:60 and 1:100, depending on the age, condition, and specialized nature of the fleet. The mechanic-to-vehicle ratio in the Department Maintenance Division is 1:37, which is well below the recommended range and does not take into account the fact that major repairs are contracted out. For FY2017, the Department Maintenance Division has a budget of $88,091 (approximately $82,000 of which covers personnel expenses). Second, while the job description for the Fire Equipment Mechanic states that the position “diagnoses, adjusts, repairs, maintains and services a wide variety of medium and heavy duty fire and pump apparatus and aerial truck hydraulic systems,” the incumbent is not required to be EVT certified and does not complete those activities. As such, the Maintenance Division is not performing any specialized repairs that would require a dedicated vehicle maintenance operation. Third, the facility out of 66 The shop is 70 miles away, but transports equipment for the Department The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 163 Efficiency Study Report which the Fire Equipment Mechanic operates is not ideal; specifically, it does not have a lift, it is small, and there is no way to secure the parts inventory. It is recommended that the Department begin using the Department of Public Works fleet maintenance operation. The Fleet Maintenance Division charges City departments for the cost of parts and labor ($64/hour). It is expected that this recommendation would save the Fire Department money as it would not require more than 1,28067 hours of labor for the 18 passenger vehicles and various pieces of equipment given the industry standard mechanic-to-vehicle ratio. It may be desirable for the Department to train firefighters from each shift to handle very minor maintenance (bulb changes, etc.), in order to limit how often vehicles must be go to the Public Works fleet maintenance shop. In order to successfully transition responsibilities for Fire Department passenger vehicles to the Public Works Department, expectations will need to be clear regarding what the fleet maintenance service standards should be for the Fire Department. To facilitate such expectations, a service level agreement should be developed between the Public Works Department’s Fleet Management Division and the Fire Department. The service level agreement will outline the mutual expectations of service, identifying target standards with quantifiable measures of success and avenues to resolve any service level issues that may arise, Emergency Management RECOMMENDATION 82: Clarify Emergency Management responsibilities. Emergency management has taken on an increased level of importance in municipal government during the last decade as the scope of natural and manmade disasters, the expectation of preparedness for any contingency, and the need for coordinated interagency response at the local, state, and federal levels has become abundantly clear. Interagency coordination is not only an operational necessity; it is a federal mandate pursuant to the National Incident Management System (NIMS), which requires interoperability of communications and equipment, training of all potential first responders, and a seamless response under the Incident Command System, which is a standardized on-scene incident management concept. The Charlottesville-UVA-Albemarle County Emergency Communications Center (ECC) provides emergency communications and emergency management for Albemarle County, the City of Charlottesville, and the University of Virginia. The ECC receives all 9-1-1 calls in the area and serves as a central dispatch for the three local police departments, three rescue squads, and fire calls. The regional emergency management program maintains the regional Emergency Operations Plan and coordinates across the City, County, and University on emergency preparedness, training, and in times of disaster. The ECC reports to the ECC Management Board (the City of Charlottesville Fire Chief is a member) and is jointly funded by the County, City, and UVA. ECC employees are County employees. The ECC’s full-time Emergency Management Coordinator is responsible for the following:  Writing a joint Emergency Operations Plan (EOP)  Implementing the EOP in times of disaster  Coordinating City, County and University response to a disaster  Acting as liaison between local, state and federal disaster officials  Educating the public on disaster preparedness The hours of labor that could be purchased (at $64/hour) for $82,000 (the salary and benefits costs of the Department 67 Maintenance Division). The Novak Consulting Group Strengthening organizations from the inside out. Page 164 City of Charlottesville Efficiency Study Report  Coordinating, planning and conducting the annual City, County and University disaster exercise There are typically four first responder agencies in a disaster situation: Police, Fire, EMS, and Public Works. It is essential that during an emergency, first responders are aware of predetermined lines of responsibility and can transition into Incident Management without allowing conflict to interfere with the operational response. What appears to be unclear, however, is the delineation of who assumes command as the Emergency Operations Coordinator and when that responsibility is triggered. That can be situational, e.g., the Fire Department assumes Incident Command for a storm/earthquake/tornado, but the Police Department assumes command for an explosion/potential crime scene; or it can be singular, e.g., the Police Chief or Fire Chief is the Emergency Operations Coordinator when an emergency is declared. While the ECC Emergency Management Coordinator is responsible for overall planning in the region, there is some confusion regarding who within the City is the designated Emergency Operations Coordinator. The previous City Manager was the designated Emergency Operations Coordinator but, when the current City Manager took over, that responsibility is thought to have been assigned to an Assistant City Manager. Emergency preparedness appears to be handled in a siloed manner within the City of Charlottesville. In addition, there are concerns that City departments do not routinely engage in training or exercises together and that not all departments are in compliance with NIMS training requirements. NIMS is the federally-recognized approach to preparing for and managing the response to emergency incidents. This is particularly important when multiple departments (Fire, Police Public Works) are involved in a situation or it crosses multiple governmental jurisdictions. The NIMS training modules are designed to train participants in emergency responses to be able to work together in a cohesive manner. Various levels within an organization need to meet different training levels depending on their responsibilities or roles. The level of compliance with the training expectations are tracked and reported. Compliance is a precursor to receiving federal disaster aid and grants. A key to successful emergency management is for questions regarding interoperability to be tested and decided long before the incident occurs to avoid distraction in the midst of an emergency event. Therefore, emergency management responsibilities should be clarified, compliance with NIMS training requirements should be verified, and an ongoing program of interagency training should be implemented. The ECC is an asset that the City should leverage as it seeks to implement this recommendation. Planning RECOMMENDATION 83: Civilianize the planning function of the Administration Division. The Planning function of the Administration Division is staffed by the Planning Battalion Chief, Planning Captain, and part-time Assistant Accreditation Manager (who is a retired Captain). The Planning function is responsible for: providing the research, reporting, statistical data analysis, and GIS mapping needed to define the community’s fire and EMS problem; supporting the Accreditation process; and providing IT support for the Department. The responsibilities of the planning function as defined by the CFD do not require firefighter- trained personnel if supervised by managers with fire service experience. Staffing the planning function with civilian employees may enable it to continue to meet the needs of the Department while also saving money. The core responsibilities of the function (i.e., IT support, research and analysis, and accreditation support) can be completed by civilian personnel. As such, this recommendation involves the following specific actions: The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 165 Efficiency Study Report  Transfer responsibility for Fire Department IT systems (and the Planning Battalion Chief FTE) to the IT Department  Convert the Planning Captain position to a civilian Fire Data Analyst position  Convert the part-time Assistant Accreditation Manager position to a full-time temporary68 civilian Accreditation Manager position Currently, the Planning Battalion Chief is responsible for implementing and then supporting those Fire Department-specific systems (i.e., Telestaff and ImageTrend) that the City IT Department does not support. While the Battalion Chief should be commended for stepping in and taking on these responsibilities, this is not the best use of a Battalion Chief position in the long run. Instead, the Department should transfer both the position and responsibility for supporting fire systems to the City’s IT Department. The City’s IT staff have the knowledge and skills necessary to support the Department’s systems and the additional staff will ensure that the IT Department is able to meet the demands of the Fire Department. The Department has been fortunate to have a retired Captain that was willing to return part-time to assist with accreditation efforts. However, the responsibilities of this position could be managed by a civilian. As the Department moves toward pursing accreditation, the workload of this position will increase, so it is recommended that this position become full-time for approximately two years. Once accreditation is complete, this position can transition back to part-time. Finally, the Department does not have much administrative or analytical support and has not been using data to inform its decisions (as discussed in other recommendations). Having a position dedicated to the analysis of fire data would give the Department access to the information it needs to make informed decisions. The Fire Data Analyst position would be responsible for the following:  Participate in the development of the Fire Department’s annual budget and prepare supporting documents as necessary  Review existing Fire Department revenue sources, performance agreements, and contracts to ensure compliance with specified agreements  Analyze and prepare statistical and monthly fiscal reports, prepare special reports relating the progress of specified Fire Department activities  Assist the Fire Chief with the analysis of revenues and expenditures of the Fire Department; recommend amendments to the budget as appropriate  Compile and analyze data and make recommendations on the formation of Fire Department policies, procedures, staffing, and organizational services  Represent the City in organizational meetings as required  Work with the City Auditor to correct possible deficiencies  Conduct surveys, perform research, and prepare recommendations and coordinator City Council reports as they pertain to the Fire Department  Assist with Fire Department cost of service studies; analyze rates, fees and taxes; and propose ordinances detailing revenue fee adjustments The following figure includes the current and proposed organizational structure of the planning function of the Administration Division. 68 Once accreditation is complete, the responsibilities of this position may be reduced to part-time. The Novak Consulting Group Strengthening organizations from the inside out. Page 166 City of Charlottesville Efficiency Study Report Figure 30: Current and Proposed Planning Function Organizational Structure The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville Page 167 Efficiency Study Report Conclusion This Efficiency Study was undertaken to identify opportunities for efficiency and improved service to the Charlottesville community. The recommendations were developed to build on the City’s foundation of high quality service delivery. Charlottesville is very fortunate to be staffed with employees who care deeply about the community and the residents they serve. They are passionate about providing timely, quality customer service. There are many areas across the City where Charlottesville is a model organization. The fact that the City decided to undertake this study represents a strong commitment to learning and improving. Using this report as a guide, Charlottesville can now further improve its operations and services. Implementation of these recommendations will take time and hard work to be successful. The challenge to the City is to make the decision to implement needed changes and to complete implementation in a prioritized manner. The Novak Consulting Group Strengthening organizations from the inside out. Appendix A – Community Forum Summary On October 18-19, 2016, The Novak Consulting Group hosted two community forums at the Carver Recreation Center. These forums were advertised by the City and open to any member of the public. In total, 10 individuals participated in the conversations; 2 individuals observed. During each session, participants were asked to discuss among themselves a series of questions about their experience with and perceptions about City services. The following is a summary of the discussion.69 Healthy Families and Community 1. When you think of Healthy Families and Community, what specific services or activities do you appreciate?  Parks heavily used – community value  But don’t always think the best decisions are made  Downtown Mall  Parks Department, availability, strong knowledge of the slate of activities for families – good coordination between what is available from Schools to Parks, etc. including our pools o Not sure why the City supports the YMCA when they have competitive programming o Personally object to financial subsidy for YMCA  Therapeutic recreation is done really well and we’d like to see even more  Human Services – Disproportionate Minority Contact – appreciate citizen input in this process; volunteers from UVA doing professional work – there are more ways to tie the community in – appreciate this even though it isn’t perfect  City Social Services does a great job – better than other social services in the community; more available and does a good job – there may be efficiencies, but it is more effective 2. What opportunities for efficiency do you see in the Healthy Families and Community operations of the City?  Could be more on elder care options  Don’t know who to call – no ap like See Click Fix o A lot of run around, 10 people have to touch the paper  Not as many picnic shelters – City should allow people to rent for less than 1 full day  Not prorating the fee for swimming during the day – unfair for working families o Person going at 5 pm pays the same as someone who arrived at 10 am  All the developers complain about review process o What is the public cost of development? How much time are we spending reviewing each application? Are we designing the projects for them? Do we have clear standards? 69 The meetings were not recorded, and this represents a summary of the conversations, not verbatim comments by all participants. The Novak Consulting Group Strengthening organizations from the inside out.  Housing – widely known and widely accepted that housing is in serious disarray, don’t think it can be fixed at the local level o Spend a significant amount to maintain properties  Pool prices are not affordable (people noted subsidies are available)  NDS needs to be split up – there is a conflict between developers, codes and enforcement; there is no ombudsman for citizens who call with a question  We hire a lot of contractors to do work – who’s watching them?  Neighborhood Commercial Corridors – not well defined, planners don’t know everything, need more dialogue with neighborhoods vs. developer needs  Have issue with language in the Comprehensive Plan – discussion of small area plans and how that is a guide, but there is no reference to Belmont. Plan was developed in 2001 and no one seems to know it exists, except me because I have been around for a while  No one knows who does things at the City. We need one person who deals with the public and addresses issues concerns and questions  Lack of athletic fields noted in the Comprehensive Plan – we don’t take advantage of the opportunity to meet what is outlined in the Plan – we don’t prioritize this above other “needs” that emerge in the moment  Snow enforcement needs to be figured out  Concerned about lack of expertise in traffic engineering Infrastructure and Transportation 1. When you think of Infrastructure and Transportation, what specific services or activities do you appreciate?  Snow removal  City doing better on coordinating projects – but not convinced it is happening holistically across the organization  CAT Ridership questions – Someone said we don’t have counts – lots of good news coming from CAT let’s get the statistics out there – put data out there so everyone can see it! o CAT Board member provided some stats 2. What opportunities for efficiency do you see in the Infrastructure and Transportation operations of the City?  No water fountains on the Mall – they are needed to encourage healthy drinking  Belmont Bridge – why did it take so long? Why did procurement take so long?  Publish GPS maps so we can see where the snow truck are  Streets that Work Initiative – would make sense to relook at snow removal routes against most populated streets  CIP – seem to be having a bad streak of problems o Huge failure with a fire station – worst managed construction project  Sidewalk repair happens in one office and new sidewalks happen in another – hard to get sidewalks repaired or new sidewalks o They need to be maintained and managed since we are promoting walkability o No excuse to have unsafe sidewalks  We have moved traffic engineering to NDS, but certain maintenance (Downtown Mall and building maintenance) is in Parks and Recreation, signage is in Public Works, and now creating new Parking Department The Novak Consulting Group Strengthening organizations from the inside out. o Mobility and Transportation Department would bring all of these pieces together  Explore more innovative ways to manage parking systems o Permit parking is archaic  A lot of issues in terms of Planning in general o Quasi parking crisis but City has been in control for 30 years o Solution by the City is to create a Parking Department – who needs to find parking spaces but for 30 years we have taken away parking  Pool issues – over chlorinated  Seen people that are not skilled in project management who are assigned to manage projects o Staff not trained well enough to manage projects, contractors, consultants  Milling of our street took months o Wasn’t done in a cordial and collegiate way  Infamous above ground vault installed on my property  UVA started a bike share program, but it isolated to mostly UVA area o Had a pop up bike share on Mall for a short period – would like to see more of this  Communication is a problem in these area – you get voicemail and then you may or may not get a response; sometimes I know who to call, we need more than voicemail. I want live people to answer phones. Never know who to call or who you need to talk to – City employees have multiple roles or if one person is out you never know who to contact  Inefficiencies o Saw five guys doing something that required zero skilled labor – painting asphalt to look like concrete – just standing around chatting while one person worked o Road with no traffic – people on either side of road work, one with yield, one with stop sign; very inefficient and not necessary (took photos, and they changed it, it wasn’t a safety issue)  Don’t need to hire more people. Our staff just needs to be more efficient. Someone in a department should be able to guide you in that department.  We have gone over the top with computers. Not everyone has one – losing contact with the neighborhoods  Bike paths are dangerous – the counter flow ones like on South Street – they are very dangerous – no one knows who authorized it, whether it was vetted, looked at, etc. They did it because they wanted a short cut.  CAT – an area where there could be more citizen participation with the users – let them have input on what would improve the bus system Public Safety and Justice 1. When you think of Public Safety and Justice, what specific services or activities do you appreciate?  Don’t think anyone has a better police force than we do – amazing level of understanding of the law, professional, courteous  Had prostitution and drugs in our neighborhood – police worked diligently with us to deal with the problems  Fire department does a great job and they haven’t been listened to when it comes to street improvements The Novak Consulting Group Strengthening organizations from the inside out. 2. What opportunities for efficiency do you see in the Public Safety and Justice operations of the City?  Seems expensive to have two truck roll on every call  Aren’t always officers on the Mall, especially late at night  Community Ambassadors/Parking Service Officers back up traffic on Monticello checking for parking violations  Fire Department needs to merge with the County – a lot of political capital spent between the two jurisdictions o This was studied 6-7 years ago, and it all seemed great but it never happened  Benefits of City were 2x the benefits of the County firefighters  But County’s benefits are much more compatible with the City now o E-911 not very efficient for this scale of operation  Exceptional volunteer rescue squad  Police Department – never waive, windows rolled up, never communicate with residents – otherwise don’t know how they do their jobs o Neighbor recommended doing a ride-a-long  Wasteful for a big truck to go out with every medical call – expensive and inefficient use of resources both manpower and equipment o Rescue calls them to assist and they have to drive the vehicle they are assigned to  Need to be sure street design anticipates needs for emergency equipment  Are we buying the right equipment? Do we need hook and ladders at each station? They do a great job but if our issues are residential, is there something else that could be used? Need to really coordinate this and ensure the right vehicle is sent for the right street  NDS Is very important to Public Safety and Justice – street design, etc. needs coordination  Even within departments citizens get bounced around – “it’s not my job is an attitude” – infuriating!  Staff don’t want to communicate via email – they don’t want a paper trail  Inefficiencies cause rancor, but individual city staff are generally really responsive, but they are part of all that! Staff aren’t the cause of this…they want to be part of a solution. Economic Development and Communications 1. When you think of Economic Development and Communications, what specific services or activities do you appreciate?  Communication really making an effort over the last two years – more electronic notice – FB , email event communication has gotten much better; I have had to learn how to get it, but they are doing a good job getting ahead of the curve – how do you quantify the reach though? What are plans to grow them  Economic Development does a great job – really helpful staff, they come up with good ideas  Enjoy the newsletter in my water bill 2. What opportunities for efficiency do you see in the Economic Development and Communications operations of the City?  Economic Development needs to be more proactive, more strategic, more aggressive outreach, more coordination with companies coming to the region  Make it easier for people to commute into the city – we just aren’t going to be affordable for everyone The Novak Consulting Group Strengthening organizations from the inside out.  Councilors have said things that can be interpreted as hostile to certain businesses, planning department has been hostile to certain businesses – especially mom and pops  Not a lot of zoning enforcement  Several long term businesses that have approached planning about wanting to expand were rejected; within a few days of purchasing land outside City, the City asks you what they can do to get you to stay  Closer coordination between NDS and ED – maybe some things need to move from NDS to PW – maybe NDS is too big  There are times when policy gets overridden in the field in order to keep projects moving o Used to be able to make things work in the field  All of our ordinances need to be reviewed and revised for clarity o Starting to do a code audit o Need much more clarity and less redundancy in our ordinances  A lot of people have four day work weeks – not efficient for the community  Need a better data storage system – a lot of things that can’t be found  Supposedly we have a fantastic work order system – but no record of my call  Is posting signs still effective? Are they placed correctly? o City will say they do exactly what needs to be done, but they need to do more than the minimum  Need to do post-mortems and evaluate the effectiveness of various communication methodologies  Experience with communications not as good – forwarded questions when I was part of Leadership Institute and didn’t get questions answered  Communications just seems to send out press releases – don’t go beyond. Putting everything out on social media is not enough  Need varied communication – can’t do everything on line – need to mail, use newspaper, etc. we need to effectively communicate with everyone and their individual preferences  “It’s on the website” – do you know how big that website is? There are 20 things on each page even if you get a link to a page! Putting it on the website is not the same as making people aware – that is not enough  Try to watch programming – try to watch meetings live – they are getting better but you really don’t have good quality. They are looking around and not speaking into microphones; just started re-televising things – do they not have enough staff?  Have to know something to even know to go and look for something  Resident opposition to building hotels – employment numbers and increase in tourism industry employment, and occupancy rates tell us that building hotels is justified and needed, that needs to be communicated – residents complain but City needs to tell them we need this!  Need more front porch conversations! It’s not all about technology. Financial and Internal Services 1. When you think of Financial and Internal Services, what specific services or activities do you appreciate?  Finance is awesome – answer the phone – when I go into any of these departments the staff is wonderful – IF YOU GO THERE, yes – but if you call you get voicemail!  Registrar is very responsive  Assessor is very responsive  Any department with a human touch and people answering the phone The Novak Consulting Group Strengthening organizations from the inside out.  Commissioner of revenue very helpful and responsive working with you to be sure you get bills, etc.  Finance department – work with them on CIP and they try to be very responsive and have a good process for putting the CIP together. 2. What opportunities for efficiency do you see in the Financial and Internal Services operations of the City?  Need See Click Fix  Need a good work order system that works well  Website has been improved by still bulky and clunky  Impossible to get someone to answer the phone in the Assessor’s Office  How much does the study cost?  Bus system study 5-6 years ago – took a very close look at it, from a business and landlord perspective o Most of the routes pretty much useless o Take huge busses around in 8 hour shifts – but most ridership is in the am and pm, why can’t you run them like school buses, change the schedule to match the needs o Too many one way routes o More coordinate with UVA  Valuable communication shot in foot by voicemail  IT and Communications – how does IT support communications o How will this information get out to the efficiency study or will it be lost? o IT needs to connect with a person to get the word out  Use technology to put out information on what will be paved, etc.  Need to make it easy for people Other issues raised by participants  Trash pickup is horrible, particularly downtown o Trash containers left open on rainy days o Not left where they were found – on the street o Downtown not picked up enough, not enough capacity and they are overflowing  No branch pick up  Back in 1965 – had higher level of services than we have now o Trash is more expensive for less service o No leaf pick up – other than the bagged o Diminishing of services  The few people who come to meetings do not speak for the rest of the community  Citizens should have been involved in this process from the very beginning and more people would have been here  Where is communication between departments happening? That is the common theme!  Adding responsibilities to city staff – very big concern – can’t just contract things out because someone has to be knowledge about the task  Does this meeting mean anything to the study or did we just check a box on your workplan? o Didn’t even ask for our contact information – so there will be no follow-up – people who came today are the informed ones The Novak Consulting Group Strengthening organizations from the inside out.  Neighborhoods can say NO but if it is by right, NDS says no control so we can’t do anything about it  Neighbors upset about lack of parking for restaurant growth in the Neighborhood Corridor – not happening o Did three athletic field studies and nothing done o Streetscape for Elliott Ave – nothing happening  We don’t need consultants to evaluate City staff. We need strong leadership from City Manager and his people and stop hiring outside contractors – this public private concept they have gotten into leads to a path where they don’t value it  Staffing is an issue – what are staff doing – they don’t have time to do things the neighborhood wants.  Structure o Department heads are like CEOs and there isn’t enough oversight higher up in the City  when in doubt we go “wider” – add to breadth of span of control rather than focusing in on something o Parks did a master planning study and didn’t use any of the contact information they gathered, didn’t re-invite people to engage in the process  Public input is about checking the box – needs to be managed  There is a need for follow-up for any issue raised by citizens AND we need point people for dealing with departments. That would be more efficient. The Novak Consulting Group Strengthening organizations from the inside out. Appendix B - Sample Employee Recognition Programs The Novak Consulting Group Strengthening organizations from the inside out. CITY OF CLEARWATER ACHIEVEMENT AWARDS PROGRAM OVERVIEW Purpose The City of Clearwater’s Achievement Awards Program (AAP) appreciates, recognizes and rewards employees whose work and attitudes reflect the values of the city. The program aims to motivate and encourage employees to continuously strive for excellence. Identifying and rewarding employees who reflect the values in their day-to-day work and actions encourages other employees to emulate these behaviors. As a result, we “raise the bar” and the quality of service provided. Behaviors and practices which support the City’s mission, strategy and goals are the basis of the AAP, and should be celebrated. The values are: • Caring • Well-Run • Integrity • Outstanding Quality • Future-Oriented Decision-Making Our Most Important Asset The AAP is based on the philosophy that our employees are our most important asset. Without them, the City would not be able to serve its 100,000+ citizens. By rewarding and recognizing employees for the work they do, we let them know that they are valued. The AAP is designed to invest in our people, and hopefully, see a great return in terms of employee loyalty, productivity, and quality and morale. Strategic Goals To achieve the desired results, the AAP will focus on the following goals: 1. Improve the quality of work (“raise the bar”) and increase productivity 2. Reinforce behaviors and actions that are valued by the City 3. Boost employee morale and motivation 4. Instill a sense of pride in quality work 5. Foster teamwork 6. Reward employees the way they want to be rewarded The Achievement Awards Committee To better represent the needs of the individual departments, a 17-member, cross-functional team of employees, the Achievement Awards Committee (AAC), Revised 8/11 Effective 1/1/12 was developed. The committee provides feedback on the types of recognition employees want, assists with the development of the programs, including criteria for nominations, procedures, and eligibility, and selects which employees will receive the rewards and recognition. In addition, the AAC: • Evaluates and fine-tunes the program as needed • Aids in promoting the program and increasing participation • Motivates and inspires other employees • Filters the City-wide goals of the program down to a department level and implement recognition and rewards on a smaller scale • Meets monthly to make selections and plan and evaluate programs • Works with subcommittees as needed to develop and implement employee appreciation parties, special events and other activities The Achievement Awards Committee consists of the Human Resources Analyst who serves as Chairman, and employees appointed by the Human Resources Department, Department Directors, and the appropriate group as follows: 1 Police 1 - Fire 1 - Engineering 1 - Public Utilities 1 - Public Services 1 - Gas 1 - General Services 1 - Parks & Recreation 1 - Marine & Aviation 1 - Library 1 - Finance/Budget 1 - Planning & Development 1 - Solid Waste 1 - City Hall 1 - Information Technology/Public Communications 1 Human Resources Any member who misses four (4) consecutive meetings and does not send a representative is subject to replacement. Awards and Recognition Programs The AAP encompasses the following individual programs which aim to meet the goals: Revised 8/11 Effective 1/1/12 I. Service Awards Employees will be recognized for duration of employment with the City. The Human Resources Department notifies each department with the name(s) of employees receiving the awards and instructions for selection and presentation. Employees may receive the awards at a City Commission meeting if desired. The awards are as follows: 5 years Pin 10 years Desk clock/thermos/$25 Target Gift Card 15 years Plaque/desk or pocket pen set/$50 Target Gift Card 20 years Watch/Crystal desk memento/$75 Target Gift Card 25 years Day off with pay and $100 gift certificate to one of the following: Target/Beachcomber/Outback/Olive Garden/Home Depot 30 years Day off with pay, $300 travel certificate, $300 Target Gift Card, or other gift valued at $300 35 years Day off with pay and $350 Target Gift Card or other gift valued at $350 40 years Day off with pay and $400 Target Gift Card or other gift valued at $400 II. Retirement Awards Any employee retiring on pension or Social Security with 20 years of service receives a $200 gift. The department should decide what to give the employee and should request a check from Human Resources for the desired vendor. Cash is not permitted. Employees retiring on pension must have at least 20 years of service and be age 55 OR have 30 years of service regardless of age OR have 10 years of service and be age 65, except hazardous duty positions (police and fire) which is 20 years of service regardless of age OR ten years of service and age 55 OR early retirement with ten years of service and age 50. III. Employee of the Month and Employee of the Year Award Each month, an employee is selected by the Achievement Awards Committee for Employee of the Month and will receive an engraved desk clock, a day off with pay, and a certificate. At the end of the calendar year, one employee will be selected as Employee of the Year and will receive an engraved gift and a check for $150. All regular full-time and part-time employees are eligible and any employee may nominate any other employee. See application and procedures for details. Revised 8/11 Effective 1/1/12 IV. Bimonthly Team and Team of the Year Awards In February, April, June, August, October, and December, the AAC selects one team for the Bimonthly Team. The award is based on the accomplishment of a specific task or set of tasks. Teams may consist of employees within the same department or different departments. Team members will each receive a $15 check and a certificate. At the end of the calendar year, one team will be selected as the Team of the Year and each member will receive an engraved gift and a check for $25. All regular full-time and part-time employees are eligible and any employee may nominate any other employee. See application and procedures for details. V. Motivational Mentor Award The Motivational Mentor Award recognizes employees who devote time to facilitate, develop, advise, motivate, and train other employees. The AAC makes its selection of up to four recipients per quarter. All employees are eligible and any employee may nominate any other employee. Employees receive a letter of recognition and a day off with pay. See application and procedures for details. VI. Volunteer Service Award The Volunteer Service Award recognizes employees who have made substantial contributions to the community by donating their time and talents to charity events, City co-sponsored activities, or any community activity outside of their job responsibilities. The AAC makes its selection of up to four recipients per quarter. All employees are eligible and any employee may nominate any other employee. Employees receive a letter of recognition and a day off with pay. See application and procedures for details. VII. PEER Award The PEER award, Promoting Employee Excellence through Recognition, recognizes employees who “go the extra mile” to provide excellent customer service. Employees or customers can nominate an eligible employee by completing a PEER nomination form. All employees are eligible and any employee may nominate any other employee. Employees will be recognized publicly and in a timely manner with a write-up signed by the Department Director. There is no limit to the amount of employees who may receive the PEER award. Employees receive a letter of recognition and a $20 gift certificate. See application and procedures for details. Revised 8/11 Effective 1/1/12 VIII. Applause Cards Applause Cards are used as a way to say “thanks” immediately and on-the- spot for a job well-done. Any employee may present any other employee with an Applause Card. The cards are three-part: one copy to the employee, one to the supervisor, and the third to Human Resources. From those received, four names will be drawn each month for a $10 gift certificate. For more information For applications or more information, please contact a member of the Awards Achievement Committee or Debbie Ford at 562-4880. Revised 8/11 Effective 1/1/12 City of flagstaff REWARDS & RECOGNITION PROGRAM Awards: CITY MANAGER’S EXCELLENCE AWARDS – The employees of the City of Flagstaff strive to provide excellent customer service in every program and service we provide to each other and to our community. While customer service is expected of each of us, there are some employees that go beyond our expectation and achieve the extraordinary in service delivery and customer satisfaction. To recognize those individuals and to hold them up as examples, employees may be presented with one of the City Manager’s Excellence Awards. Since the City’s slogan/motto is “Service at a Higher Elevation” the awards were named after the highest points of the San Francisco Peaks. The Humphrey's is the highest award and will be given to one employee each year that exemplifies all of the values of the City to an extraordinary degree. Recipients will receive an engraved award; a monetary award and a day off with pay. The award will be memorialized on a plaque to be displayed in the City Hall lobby. The Agassiz awards will be given to an individual or group that provides an outstanding example of at least one of the values of the City. The recipients of the Agassiz Award will also be given a unique nametag, an engraved award, a $50 gift certificate and a day off with pay. Their award will also be memorialized on the City Hall plaque. The Fremont awards will be given to an individual or group excelling in at least one of the Values of the City. The recipients of the Fremont Award will receive a unique nametag, an engraved award and a half-day off with pay. The award will be memorialized on the City Hall plaque. Tenured and exempt employees in good standing are eligible. Awards will be presented by the City Manager at a televised City Council Work Session. QSI (Quality Service Increase) – A QSI provides recognition to those employees whose performance substantially exceeds an acceptable level of competence and has sustained this level of performance over a period of time is eligible for this award. Tenured and exempt employees are eligible to receive an increase equivalent to the average merit increase. WOW - Wonderful Outstanding Worker increases are intended to provide immediate recognition to those employees whose skills, knowledge, or conduct exemplify the City’s values of reliability, responsiveness, professionalism, teamwork, and problem solving. Tenured and exempt employees who have completed one year of service are eligible for a WOW Increase. Employees may receive any amount up to a maximum of $500. 7K - 7K awards recognize employees who have provided excellent customer service (beyond normal working expectations) and have supported the mission and values of the City of Flagstaff. All tenured and exempt employees in good standing are eligible to participate. Recipients will receive a “Thank You” certificate, entitling them to 4 hours off with pay. A copy of the certificate and supporting documentation will be placed in the employee’s 201 file and the employee will be eligible for consideration for the City Manager’s Excellence Awards. An employee may receive more than one 7K Award during the fiscal year. ON THE SPOT AWARDS (5 total) – Above & Beyond High Five You Got Caught Making a Difference You Rock You’re an Essential Piece On the Spot awards allow city employees to recognize one another throughout the year. There are five different awards in order to give the nominator a variety to pick from and the ability to nominate individuals whenever they feel the duty performed deserves recognition. Employees are eligible to receive multiple awards throughout the year. SERVICE – Employees are eligible to receive the following awards for service which is administered through the Human Resources Division: 5 years – employee receives a City pin. 10 to 35 years - in five-year increments – an employee is eligible to choose from a catalog any item of their choice. City Manager's Excellence Awards QSI Awards WOW Awards 7K Awards On the Spot Awards Service Awards Nomination Process: For the following awards, employees are nominated by their supervisor or someone in city leadership: • City Manager’s Excellence Award • QSI Award For the following awards, employees can nominate other employees: • WOW Award • 7K Award • On the Spot Award For the following award, employees receive based on years of service: • Service Award City of Tamarac, FL Reaching for the Stars Employee Recognition Awards for 2011 Achievements Guidelines and Criteria Any employee may nominate any other employee for a Reaching for the Stars Award. Employees may be recognized for achievements in any category. By using a criteria-based recognition system, there may be more than one winner in each category. Likewise, awards will not necessarily be presented in every category every year. The goal is to provide a forum that allows for the recognition of the outstanding achievements of our employees. Reaching for the Stars Criteria and Mechanism Employees may be nominated who, in the opinion of their co-workers, and/or supervisors clearly demonstrate the following achievements and meet the eligibility requirements for the awards. Any City employee can nominate any other City employee or team of employees by completing the nomination form and submitting it to the nominee’s Department Director by the designated deadline. Forms may be typed or handwritten. Department Directors are not eligible for these awards except where noted. Employees may self-submit their own nomination form for the Dorothy “Dodi” Cummings Award for Community Service. Nomination forms are not required for the North Star Award for Excellence in Attendance, as attendance records are generated by the Financial Services Department. Nomination forms are available in Tamarac template/Adobe format (see “Reaching for the Stars Form”) as well as in each department. Requests for forms can be made to the department Administrative Coordinator or to the Human Resources Department. To determine award recipients, the City Manager and the Recognition Review Committee will evaluate the nomination forms submitted by Department Directors according to program criteria. Any use of personal days awarded by this program must be scheduled in advance with the approval of the department. These additional personal days have no monetary conversion value and must be used by the end of the calendar year. For purposes of this program, a personal day will be equal to the duration of a regularly scheduled workday, not to exceed ten (10) hours. For example, if a regularly scheduled workday for a recipient is eight (8) hours, that recipient will receive eight (8) hours of personal leave. The hours awarded must be taken as a day, not broken down into increments. Due to the Compressed Work Schedule, the “regularly scheduled workday” may vary in length from one day to the next; however, the number of hours awarded will be consistent with the number of hours that the employee was expected to work on the day that was taken as a “Day Off.” For accounting purposes, there may be occasion where the hours in an individual’s accrual account for the “Time Off” category exceed the hours taken by one or two hours. Any remaining hours in the “Time Off” category, following the use of the awarded “Day Off,” will not be deemed usable on another day, and may not be rolled into another accrual account. Nomination Form Content: It is important to stress that each individual who prepares a nomination form needs to provide a narrative that specifically identifies the individual’s accomplishments and why the accomplishment is beyond the expectations of the employee’s job description. The nomination should demonstrate why the individual’s accomplishment is outstanding enough to be recognized in a competitive category. The nomination should be specific about activities that merit the recognition. If the person writing the nomination has difficulty in determining which category is appropriate for the individual’s accomplishments, or is having difficulty putting those accomplishments into words, then that person is encouraged to contact a member of the Recognition Review Committee or the Human Resources Department. As outlined in the Reaching for the Stars program information, the Department Director of the employee being nominated is to screen each nomination form for content, completeness, and the appropriate time frame. The Department Director is encouraged to add comments to the nomination form as designated. City of Tamarac, FL Reaching for the Stars for 2011 - Process and Criteria Responsibilities Employees Any employee may nominate another employee in any given category. Nominations for annual awards should be submitted to the nominated employee’s Department Director by no later than Tuesday, January 17 (extended due to the Monday holiday). If a nomination is inter-departmental, that nomination form should be forwarded to the Director of the nominee’s department for review. If the nomination is for an inter-departmental team, it should be forwarded to the Department Director of the group leader or chair of the team being nominated. Department Directors Department Directors will review completed award nominations for each award, and then forward appropriate nominations to the Recognition Review Committee. Nominations are due to the City Manager’s Office by January 31 of each year. Recognition Review Committee This group will review all nominations for awards as submitted by the Department Directors. The recommendations of the Committee will be made to the City Manager by February 28 of each year. The Committee will also be responsible for reviewing the recognition program and making recommendations for program improvements. Any member of the Recognition Review Committee who is nominated for an award may not participate in the evaluation of that award category. City Manager The City Manager will make appointments to the Recognition Review Committee. Also, the City Manager will make the final decisions on recommendations from the Committee. The City Manager may make administrative changes to this program as needed. Awards Categories & Criteria North Star Award for Excellence in Attendance Eligibility: Must be a full-time regular employee, either FPE or Administrative classification in order to qualify. Employees covered by IAFF are not eligible for the “Day Off”, since this issue is covered in the Fire Department’s Labor Contract. Nomination forms are not required, as a listing of eligible employees will be generated by the Payroll Division of the Financial Services Department. Completion of one calendar year (January 1 – December 31) without the use of any sick time. Dorothy “Dodi” Cummings Award for Community Service Eligibility: Available to all full and part-time, regular employees including Department Directors. Made outstanding contributions off duty by participating in or implementing community and public service projects (such as volunteerism with various non-profit organizations) May not be awarded twice for the same contributions to the community. Golden Star Award for Heroic Action Eligibility: Available to all employees including Department Directors for actions on or off duty. Demonstrates all or most of the following characteristics: Voluntarily risked life to save the life of another person, to prevent injury or to prevent damage to or loss of property in an emergency Demonstrated outstanding judgment, courage, or ability in an emergency Regarding Fire Rescue Department heroic actions, the supervisor or Fire Chief and/or designee will determine if a “heroic action” is above and beyond the call of duty, and therefore eligible for this award. Page 2 of 4 City of Tamarac, FL Reaching for the Stars for 2011 - Process and Criteria Galileo Award for Excellence in Innovation Eligibility: Available to all full and part-time, regular employees Demonstrates all or most of the following characteristics: Establishes new and outstanding methods, practices, plans, and/or designs which result in improved delivery of services to internal and/or external customers Demonstrates unusual initiative or creative ability in the development and improvement of methods, procedures, or devices resulting in substantially increased productivity, efficiency, economy, or reduction in paperwork Understands and nurtures creative thinking Contributes an idea that is initiated and recognized as a quality idea Idea or project must be written and documented. If idea or project is not implemented, highlight difficulties in reaching or obtaining achievement Contributes idea that enhances the City’s Green Initiative Implements an idea that results in efficiency or cost savings Mercury Award for Excellence in Customer Service Eligibility: Available to all full and part-time, regular employees. Demonstrates all or most of the following characteristics: Provides exemplary behavior, attitude and productivity that far exceeds the norm and inspires others to achieve performance excellence, exemplary meaning so good or admirable that others would do well to copy it Is recognized by peers and co-workers as someone who consistently exceeds the expectations of the customers (internal and external customers) Solves an extraordinary customer-based problem Seeks input and feedback from customer base Consistently demonstrates “Play Your “PART” Constellation Award for Excellence in Teamwork Eligibility: Available to all full and part-time, regular employees. Teams of two or more individuals are eligible. Inter-departmental teams are encouraged. Not intended for entire divisions. Possesses all or most of the following characteristics: Displays a consistent spirit of teamwork and cooperation Assists others in areas outside their responsibilities Joins in and participates fully-- in discussion, task completion and execution of project For large teams, this recognition is meant for the key members of the team. Not every member of a team may qualify for this teamwork award. Note: Individuals are no longer eligible for this award and should be considered in other categories. Crystal Star Award for Excellence in Leadership Eligibility: Available to all full and part-time, regular employees at all levels in the organization, excluding Department Directors. Demonstrates leadership in one or more of the following: Leads change and innovation, builds teams, develops and empowers people, and fosters diversity Demonstrated outstanding ability, skill, leadership, or creativity in devising and implementing or administering major programs Communicates effectively, encourages participation by all employees, and inspires others to reach full potential Demonstrates all or most of the following characteristics: High levels of productivity Works collaboratively Understands and/or nurtures creativity Provides recognition for achievement Sets goals and achieves them Contributes original ideas Page 3 of 4 City of Tamarac, FL Reaching for the Stars for 2011 - Process and Criteria Supernova Award for Exemplifying Excellence Always Eligibility: Available to all full and part-time, regular employees Meets the following criteria: Consistently adheres and exemplifies the essence of the Mission Statement by fostering and creating an environment that: Responds to the customer Works as a team Creates and innovates Achieves results Makes a difference As stewards of the public trust, values: Vision Integrity Efficiency Quality Service Individuals who receive this award clearly reflect the highest standard of being “Committed to Excellence Always.” REMEMBER! Nomination forms for annual awards should be submitted by Tuesday, January 17, 2011, to the Department Director of the employee being nominated. [Template is available on the Intranet - / Human Resources/Recognition/Forms]. Nomination forms may be submitted at any time of year. If you need help, call a current or past member of the Recognition Review Committee or Human Resources at 954-597-3600. Page 4 of 4 City of Shoreline, Washington Employee Recognition Program The City of Shoreline has an employee recognition program that allows employees to recognize one another for exemplifying the organization’s values. Employees fills out the “Thank You” card and present it to their co-worker. The recipient then submits the bottom portion of the card to HR (or various locations throughout the organization) to be entered into a drawing. This program has been used successfully in the organization to boost morale, encourage employee engagement and to incorporate and reaffirm the values of the organization. Revised 05/06 EMPLOYEE RECOGNITION PROGRAM Guidelines for Radford University Purpose In creating a high-performance workplace, recognition is a motivating factor that provides employees with increased job satisfaction and encouragement to perform their jobs more effectively. Recognition programs are excellent motivators and critical to employee retention. When employees are recognized for their accomplishments – and done so in a manner that is meaningful to them, they feel appreciated for their efforts and feel their work is valuable. Recognition programs that acknowledge employees’ contributions to the overall objectives and effective operation of Radford University will promote good employee relations, improve morale, and increase productivity. Funding Vice presidents, deans, directors, and department heads will ensure the availability of funds to support reasonable costs incurred by employee recognition programs for their work units. Work units will be defined by vice presidents. Most programs will be department-based and, therefore, department-funded. Departments are encouraged to plan for employee recognition awards in their budget. The expense of presenting awards will be paid from institutional funds and will not be deducted from employee award amounts. Recognition Approaches Either an informal or formal approach may be used to recognize individuals or teams who have made significant contributions toward the university’s goals, priorities, and successful operations. Informal Recognition An informal approach provides recognition at any time, typically by the employee’s supervisor. Examples include on-the-spot awards to recognize teamwork, project completion, a new or modified work practice, exemplary effort, employee appreciation, etc. Formal Recognition Departments or divisions may want to plan a more formal approach to acknowledge employee accomplishments. Examples include awards for attendance, safety, customer service, productivity, honoring separating employees, outstanding achievements, etc. Awards Employees may be recognized with monetary and/or non-monetary awards and recognition leave. An employee may receive the maximum for each type of award. All recognition awards will be documented, reported, and processed with the Employee Recognition Award form (Attachment C). Obtain approvals and mail form with original signatures to Human Resources. The original record for recognition leave will be maintained in Human Resources. For monetary and non-monetary awards, the original record will be forwarded to Accounting Services. Revised 05/06 Monetary and Non-Monetary Awards Full-time and part-time classified, probationary, and wage employees are eligible for monetary and non-monetary awards. In accordance with state policy (1.20 Employee Recognition Programs), no employee will receive more than $1,000 in a fiscal year. The highest levels of monetary awards will be the institutional awards. Lesser monetary awards will be decentralized to divisions and departments so that employees may be recognized in accordance with the values and priorities of their respective work units. Non-monetary awards will be held to a level so as not to result in tax liability for the employee. NOTE: In years when the budget does not allow for monetary awards, recognition leave will be substituted. Monetary awards • Subject to income taxes so an employee never receives the face value of the award. • Will not be added to an employee’s base pay. • Up to $750 for institutional awards. • Up to $500 for awards funded by a division or department. • Will be processed using the PR40. • Examples of monetary awards are cash, check, and savings bonds. Non-monetary awards • Cumulative value will not exceed $50 per employee in a fiscal year (de minimus value making it non-taxable as income to the employee). • Department heads will be responsible for keeping records to ensure that the cumulative value of awards does not exceed $50 in a fiscal year. These records will be subject to audit. • May be purchased through normal purchasing procedures using object code 1417 for employee recognition awards. Copies of the Employee Recognition Award form should be maintained with departmental purchasing records and/or provided to Accounts Payable as required. • To add non-refundable money to an employee’s RU Express account, complete the Employee Recognition Award form and send copy to the RU Express Office. • Examples of non-monetary awards include thank you notes; non-refundable money deposited to an employee’s RU Express account; non-refundable gift certificates; plaques; trophies; certificates; pencils, pens, desk items; cups, mugs; caps, shirts, sweatshirts; and other items such as tools, electronics, radios, sports equipment, and timepieces. Revised 05/06 Recognition Leave Full-time and part-time classified employees are eligible for up to 40 hours of recognition leave in a calendar leave year (January 10 – January 9). Wage employees are not eligible for recognition leave. The value of leave awarded will not be included in the $1,000 award limit per employee per fiscal year. Awards of recognition leave are decentralized to departments and are typically used as “spot” awards. • The amount of leave and the reason for awarding leave may be determined by the supervisor but must be approved by the department head. • The department head will monitor the cumulative hours to ensure that no more than 40 hours are approved. • The department will immediately send a copy of the Employee Recognition Award form to Human Resources when leave is approved. • Recognition leave lapses within 12 months from the date it is awarded. • If the employee is unable to use the leave, the rules outlined in State Policy 1.20 will apply. HOW TO PLAN FOR EMPLOYEE RECOGNITION Incentives only work if they are meaningful and if the goals set are realistic, attainable, and measurable. Recognition programs that are evaluated subjectively are tougher to develop because employees may not perceive them to be fair. The key is to set goals and evaluate employee behavior objectively, i.e., improve safety record with a lower number of accidents, improve attendance with fewer days missed. These are objective criteria and can be easily understood by participants. Here are some guidelines for planning a more structured employee recognition program: Brainstorm with your staff. Seek their input on goals to work toward and/or ways to make the particular employee recognition program a success. Make it fair and unbiased. State the program objectives and eligibility for participation; describe process for selecting employees for recognition; state objective criteria upon which award decisions will be made; describe awards and manner of presentation; describe method for informing employees about the program; and estimate expenses. Set a schedule. Determine the intervals at which progress is going to be measured. For example, if a recognition program is slated to run for three months, announce the rankings every two weeks to keep the program at the front of everyone’s mind. Give meaningful recognition. Employees will be most inspired if they feel rewards are worth the effort. Consider personalities when thinking of rewards. Think creatively. Revised 05/06 SUGGESTED WAYS TO RECOGNIZE EMPLOYEES “Way To Go!” Cards. Human Resources will make available specially printed thank-you cards on which to write a note and hand out to employees who do exceptional work. Ten Ways To Say Thank-you. Telling employees “You’re doing a great job” isn’t specific enough. Give praise that is detailed and relevant. Here are ten “openers” that you can use to make your praise specific: “I’m impressed with…” “What an effective way to…” “You got my attention with…” “You’re right on the mark with…” “One of the things I enjoy most about you is…” “We couldn’t have done it without your…” “You’re doing top quality work on…” “You can be proud of yourself for…” “You’ve made my day because of…” “You really made a difference by…” Thank-you Bucks. A department may want to make up some fake dollars to recognize and reward employees for a job well done or just to appreciate their hustle that day. Ten bucks could be traded for a $50 non-refundable deposit (funded by the work unit) to an employee’s RU Express account. Achievements Box. This is a way to improve morale in your department. When something positive happens, write it down and put it in the box. At the next staff meeting, read each piece of paper to employees to give everyone a lift. Encourage employees to contribute their own positive news to the box by drawing one employee note at random for a small prize. Weekly Planner. Employees who feel appreciated are much less likely to look for another job. Go through your weekly planner for the next three months. Write the name of a different employee on each week. When that employee’s week comes up, catch him or her “doing something right” – and dish out the praise. Perfect Attendance Award. Employees with perfect attendance for three months win eight hours of recognition leave or non-refundable money (funded by the work unit) deposited to their RU Express account Check Out These Books from the HR Department’s Resource Library for Ideas: • 1001 Ways to Energize Employees by Bob Nelson • 1001 Ways to Reward Employees by Bob Nelson • Motivating Today’s Employees by Bob Nelson • 180 Ways to Walk the Recognition Talk by Eric Harvey Appendix C - Sample IT Cost Allocation Methodology The Novak Consulting Group Strengthening organizations from the inside out. IT Cost Allocation Methodology In 2016, The Novak Consulting Group partnered with the City of Boulder, Colorado to develop a comprehensive IT cost allocation model for the City which sought to more equitably distribute software, hardware, storage, server, and network costs. Practices utilized in the creation of that model are described below to help the City of Charlottesville identify options for allocating IT costs more effectively. The City of Boulder’s IT costs were allocated to departments according to the following methodology: Table 1: IT Cost Allocation Methodology Expenditure Category Cost Allocation Methodology Department-Owned 100% of total costs paid by Department. Software Total enterprise software annual replacement and maintenance Enterprise Software costs allocated based on ratio of department PCs to organization- wide PCs. Total PC/workstation annual replacement and maintenance costs Infrastructure Costs allocated based on ratio of department PCs to organization-wide (PCs/workstations) PCs. Infrastructure Costs Total data storage costs allocated based on ratio of department’s (Storage) total utilized storage to organization-wide utilized storage. Infrastructure Costs Total network infrastructure costs allocated based on ratio of (Network Switches) department’s switches to organization-wide switches. 100% of Department-specific server costs paid by Department. Enterprise server maintenance and infrastructure costs allocated Server Costs based on ratio of department’s switches to organization-wide switches. Total cost of dedicated VOIP infrastructure (servers, routers, VOIP Infrastructure gateways, switches, licenses, services) allocated based on the ratio Costs of department’s phone lines to total phone lines utilized organization- wide. Detailed information on the cost allocation as applied to a General Fund department (the City Attorney’s Office) and an Enterprise Fund Department (Public Works Utilities Division) is illustrated in the following table. Table 2: City of Boulder, Example IT Cost Allocation City of City Attorney’s Public Works Utilities Year 1 Ratios and Costs Boulder Office Division Department-Owned Software Not Applicable 100% 100% Ratio Department-Owned Software Not Applicable $15,000 $0 Costs Enterprise Software Ratio Not Applicable 1.86% 13.04% Enterprise Software Costs $675,002 $12,571 $87,991 Infrastructure (PCs/Workstation) Not Applicable 1.86% 13.04% Ratio City of City Attorney’s Public Works Utilities Year 1 Ratios and Costs Boulder Office Division Infrastructure (PCs/Workstation) $132,059 $2,459 $17,215 Costs Infrastructure (Storage) Ratio Not Applicable 3.26% 15.40% Infrastructure (Storage) Costs $108,710 $3,539 $16,746 Infrastructure (Network) Ratio Not Applicable 1.83% 16.62% Infrastructure (Network) Costs $353,757 $6,461 $58,811 Server Ratio Not Applicable 1.83% 16.62% Server Costs $72,053 $940 $11,037 VOIP Ratio Not Applicable 2.14% 14.68% VOIP Costs $71,023 $1,517 $10,426 Not Overall Allocation 1.05% 4.97% Applicable Overall Costs $4,065,105 $42,487 $202,227 Department-Owned Software Software licensing and maintenance costs were forecasted over a ten-year period, and the replacement costs of department-specific software were charged to departments on an annual basis. For example, the City of Boulder Attorney’s Office is scheduled to replace a software program in 2020, with an estimated replacement cost of $75,000. This five-year funding timeframe results in an annual fee of $15,000 to cover the anticipated cost of this replacement. In contrast, the Boulder Public Works Utilities Division utilizes only enterprise-wide software programs and was not assessed an annual fee for specific software. Enterprise Software The number of personal computers (PCs) and workstations utilized by each department was calculated, along with the ratio of each department’s PCs to the total number of PCs organization- wide. The City of Boulder has over 1,700 PCs in total; 32 are utilized by the City Attorney’s Office and 224 are utilized the by the Public Works Utilities Division, resulting in ratios of 1.86% and 13.04% respectively. The determination to utilize the number of PCs as a ratio was made because a PC represents a platform which may be capable of running software and services shared across the enterprise. In cases where more specificity is known, such as the number of licenses attributable to each department, the City of Charlottesville may choose to allocate annual costs according to these metrics. Infrastructure (PCs/Workstations) Allocating costs for PC and workstation replacement followed a similar methodology to allocation for Enterprise Software. The first step in this process is to determine expected replacement costs for the City’s workstations based on usage and life expectancy. This cost is then allocated across departments based on the number of PCs and workstations operated by each department. In the City of Boulder, the estimated annual cost for maintaining enterprise-wide software is $675,002. Applying the PC ratio of 1.86% and 13.04% for the City Attorney’s Office and Public Work Utilities Divisions yields allocations of $12,571 and $87,991, respectively. Infrastructure (Storage) The Boulder model allocates storage area network (SAN) costs based on each department’s current storage utilization in bytes. For example, the Boulder City Attorney’s Office utilizes 0.45 terabytes of City storage space, while the Public Works Utilities Division utilizes 2.15 terabytes. Across all departments the City’s total storage utilization is 13.9 terabytes, yielding ratios of 3.26% and 15.4% for the City Attorney’s Office and Public Works Utilities, respectively. This ratio allows the City to more accurately assess SAN costs across all departments based on how much data each department actually utilizes. Given estimated annual SAN costs of $108,710, the City Attorney’s Office is responsible for $3,539 and the Public Works Utilities Division is responsible for $16,746. Infrastructure (Network) Network storage ratios were calculated based on the cost of network switches utilized by each department. The annual replacement cost of all switches was computed and amount to approximately $480,000 per year. Switches serving the Boulder City Attorney’s Office amount to $8,766, while switches serving the Public Works Utilities Division amount to $79,799. This results in a ratio of 1.83% for the City Attorney’s Office and 16.62% for the Public Works Utilities Division. Going forward, these ratios can be applied to overall network infrastructure costs in order to more accurately assess departments for network infrastructure services. In situations where departments share network switches, there are several options for allocating costs. These could include dividing the cost of the switch by the number of departments with access, the number of employees per department with access, or by performing an in-depth network traffic analysis to determine which departments send the most traffic across the switch. The choice of methodology to use in this case should be determined by the overall cost of the switch compared with the need for accuracy in allocating costs. Server Costs Departments utilizing their own discrete servers should be fully responsible for those servers and associated costs. In the Boulder model, enterprise-wide server costs were allocated based on the network switch ratio, because each server is accessed via the City’s internal network. VOIP Costs Voice over Internet Protocol (VOIP) telephony costs were allocated by comparing the total cost of all dedicated VOIP infrastructure to the number of VOIP-enabled lines utilized by each department. For example, the Boulder City Attorney’s Office utilizes 31 VOIP lines, compared to 213 for the Public Works Utilities Division, out of a total of 1,451 VOIP lines across the City. This results in a ratio of 2.14% for the City Attorney’s Office and 14.68% for the Public Works Utilities Department, which informed the overall cost allocation. The essential methodology utilized in the Boulder model is to allocate costs at the department level as cleanly and efficiently as possible, utilizing ratios that are easily calculated and updatable in future years. This enables a straightforward recalculation of IT costs over periodic intervals and creates greater transparency in the internal service assessment process. City of Charlottesville Efficiency Study January 2017 Today’s Agenda • Provide overview of the Efficiency Study • Project Purpose & Methodology • Present Key Strengths and Recommendations • Next steps • Questions 2 Project Purpose & Methodology Project Purpose • Purpose • Evaluate the effectiveness of the City’s current organizational and management structure • Evaluate and review policies, procedures, use of technology, staffing levels, and management practices in key departments • Identify opportunities for enhanced efficiency and effectiveness 4 Project Methodology • Methodology • Interviewed members of City Council • Met with over 200 staff members throughout the organization using individual interviews and employee focus groups • Hosted Charlottesville Area Development Roundtable meeting • Analyzed City programs and services, budget information, workload measures, and other relevant data • Developed 83 recommendations to enhance efficiency and effectiveness throughout the organization • Policy and operational recommendations • Organized by Functional Areas used in the budget 5 Key Strengths Key Strengths • City is a lean organization staffed with dedicated employees passionate about providing high quality services to the public • Staff have implemented effective policies and procedures throughout the organization 7 Key Strengths • Healthy Families and Communities • Developers Roundtable Forum has opened communication with development community • High park maintenance standards and comprehensive recreation service offerings • Infrastructure and Transportation • Focus on environmental sustainability • Maintained service levels despite vacancies 8 Key Strengths • Public Safety and Justice • Positive changes currently underway under new Police Chief • Fire Department strategic planning efforts support existing strong facilities and equipment • Internal and Financial Services • AAA/aaa bond rated community; strong financial policies and budgeting practices • Significant in-house technology and application development expertise • Efficient risk management processes 9 Key Policy Recommendations Policy Recommendations • Management and Internal Services • Develop a prioritized annual work plan to strategically guide organizational efforts • Clearly communicate priorities to departments and create a framework for evaluating inquiries and requests • Conduct a classification and compensation study • Align all positions with the City’s compensation philosophy and link performance reviews to pay 11 Policy Recommendations • Healthy Families and Community • Improve the development review process • Engage development community in process improvement and designate an owner of the process • Review NDS fees annually • Most fees have not been updated since 2006 – 2008 • Create a Parks and Recreation Master Plan • Represents a comprehensive, unified approach to planning for parks and recreation assets and services • Formalize recreation program utilization goals and establish cost recovery goals for golf operations 12 Policy Recommendations • Public Safety and Justice • Staff the Police Department to meet the City’s demand profile and community policing standards • Department currently able to meet its minimum staffing levels, but not the industry standard proactive policing target during daytime; requires 12-hour shifts • Partner with CARS to review medical calls and ensure EMS services meet City’s standards • Regional EMS provider relies on fundraising and volunteer • Develop Comprehensive False Alarm Reduction Program • 62% of non-EMS calls are related to false alarms 13 Key Operational Issues Key Operational Issues • Management • Budgeting and Agenda Development Systems • Employee Engagement and Recognition • Internal Services Assessment • Internal and Financial Services • SAP Support and Utilization • Workload and Performance Tracking and Management • Streamlined Recruitment Process • Comprehensive Training Touchpoints • Workforce Planning 15 Key Operational Issues • Healthy Families and Community • Software and Work Tracking • Custodial Service Levels and Maintenance Schedules • Infrastructure and Transportation • Organizational Structure • Municipal Engineering • Asset Management and Work Planning • Refuse Contract – Yard Waste and Leaf Collection 16 Key Operational Issues • Public Safety and Justice • Strategic Planning and Data Tracking • Police Facility Space Needs • Validated Training and Testing Procedures • Fire Inspections and Prevention • Emergency Management Responsibilities 17 Next Steps Next Steps • City Council received final report and City Manager received a detailed implementation plan for each recommendation • Policy issues will be brought to the Council as the organization works through implementation • Implementation will take time, and Council support will be critical as the organization works through implementation of the operational recommendations 19 Thank You! Questions? Julia Novak, President Michelle Ferguson Organizational Assessment Practice Leader City of Charlottesville Efficiency Study Recommendations City Staff Comments Rec # Recommendation Staff Comments Citywide/Continuous Improvement/Strategic Areas 1 Develop a prioritized annual work plan to strategically guide organizational efforts This recommendation will help staff and Council further enhance and implement those efforts that are already underway. For example, City Council recently started work on a Strategic Plan refresh which will have improved reporting and measurement capability. This new Strategic Plan will build off of the current Strategic Plan and be effective as of July 1, 2017. If this plan is to be the guide for the City along with other tools we have in place such as the annual budget, that would be very helpful for all - Council, staff and the community - to help guide the direction of the City and communicating those priorities. 2 Implement a Budget Development system Budget Office staff have for a while now been looking at best practices in the form of new software and applications to help in these areas. We will continue to pursue these options and cost them out for future budget processes. 3 Utilize the results of the Employee Satisfaction Survey to prioritize organizational Some of this has been done in the past. For instance, the employee parking benefit improvement initiatives resulted from the results of a previous employee survey as did the Employee Appreciation Lunch and the use of smaller surveys to drive specific changes/issues such as those around benefits and pay. And, as a result of the survey done in 2014, staff held several meetings with employees to talk about the results and next steps. That was the first time that had been done following an employee survey. From those meetings and the input heard by staff, the Office of Budget and Performance Management decided to hold employee focus groups as part of the feedback loop for the preparation of the FY 2018 budget. Those focus sessions have been very fruitful and employees seem to appreciate being asked for their input into a process that has usually been quite a mystery. While more work needs to be done linking the results to actual action items in a more comprehensive way, staff has already begun this and can work to expand these initiates further using already in place valuable resources, such as the iTeam (innovation team) and the Employee Appreciation Committee. 4 Update the City’s employee recognition program to align with the City’s values and This is currently underway and has been a staff effort for several months now. Called goals Doin’ Good, this initiative will allow employees to recognize other employees for their good work as related to the organizational values. This initiative is ready to roll out very soon. Another committee has been working on a citywide pay for performance program for several months now as well. This program is under review now that the committee has submitted some recommendations. When that will roll out is still to be determined. 5 Conduct a survey to assess satisfaction with internal City services Several departments already do some version of an internal survey - two examples in particular include Information Technology (Help Desk user survey), and Facilities Maintenance (custodial services user survey). There are other areas that can benefit from a survey and staff will be looking at these areas and how they can also implement survey tools. 1/17/2017 1 Rec # Recommendation Staff Comments 6 Automate the City’s agenda development process through the use of an agenda Staff believes this is a viable recommendation and should be explored. management software system Voting Registrar 7 Track workload in the Office of the General Registrar to determine most efficient Staff believes this is a viable recommendation and should be explored. allocation of personnel resources S.A.P./Citywide 8 Create a dedicated SAP Support Center There is agreement that additional FTE's are needed to support and enhance S.A.P. However, there is not agreement that putting those FTEs in I.T. makes sense. I.T. provides S.A.P. technical support in the same manner we do all other software systems. To be effective, each department should be the “owner” of their S.A.P. module(s) to provide the necessary functional knowledge and project prioritization. The primary obstacle to leveraging S.A.P. is the lack of departmental staff to participate in requirements gathering and functional testing. Risk Management/Procurement 9 Create a centralized risk management training program focused on reducing There is general agreement with this recommendation, but there needs to be a more workplace injury detailed discussion about what efforts are done on a centralized, coordinated basis by Risk Management, what is done by the Safety Committee and individual departments and the resources that would need to be behind this effort. 10 Create an additional centralized Buyer position in Procurement Staff believes this is a viable recommendation and should be explored. 11 Create turnaround time goals and track time associated with each stage of the There is general agreement with this recommendation but much thought will need to go procurement process. into the statistics the City tracks, or wants to track, to make this a useful and meaningful exercise and decisions making tool. 12 Increase available training opportunities for City personnel involved in procurement Given the decentralized nature of procurement in the City, staff believes this is a viable recommendation and should be explored to ensure compliance and the needs of the end- user are met. City Assessor Convert the annual property assessment process to a biennial assessment process Staff disagrees with this recommendation. Typically, communities which are having revenue stresses are recommended to go to annual assessments to try and capture real estate upside more quickly. The Assessor’s Office is now fully staffed and the new assessor is re-examining how they do business. It is also an unknown as to how this impacts the City’s largest revenue source and would be a radical shift. 1/17/2017 2 Rec # Recommendation Staff Comments Information Technology - Cost Allocation and Staffing 14 Adjust existing cost allocation model to more equitably distribute IT service costs Currently, the fee allocation process for IT’s 6 funds takes two months. Data must be among departments merged from 4 different systems (City Network, I.T. Helpdesk, S.A.P. and Telephone Billing system) with results being validated by departments. Novak’s cost allocation methods may have been effective 10-15 years ago, or in organizations with a less sophisticated infrastructure but would not be effective for the City. For example: Infrastructure costs attributable to storage - the model recommended assumes that the cost for all storage is the same. At the City, we use Storage Area Network (SAN) technology to dynamically shift data from slow storage (cheap) to faster storage (expensive) based on frequency of use. It would be impractical to measure true cost attributable to each department. Additionally, charging our customers based solely on the raw storage count would encourage them to limit the data they store in ways that may jeopardize business continuity. The proposed model would seek to charge according to switch port counts which is even less relevant to the City’s IT infrastructure. For instance, the report suggests calculating the cost of telephone services by the dedicated switches used. This methodology was used for PBX technology. The City has a converged infrastructure that uses the same switches to deliver all network services (data, internet, telephony, CCTV, etc.). To properly leverage technology, we must focus on ensuring each department has what it needs to do their work instead of trying to allocate costs. I.T. Services are as integral a part of the business as Finance and Human Resources. Instead of adding complexity to a cost allocation model that may have out lived its usefulness, the organization may be better served by eliminating the administrative overhead of fee calculation for General Fund departments and add I.T. support as part the administrative fee charged to non-general fund departments and agencies (e.g. Library). 15 Create a Public Safety Business Analyst position to coordinate help desk and Police, Fire and IT have discussed this concept over the last few years. IT is generally in business process issues with the Police and Fire Departments favor of the idea since the Helpdesk workload and project complexity has drastically increased over the last 5 years with no additional FTEs. However, the cost indication may not be realistic. Additionally, a person with that level of knowledge and experience would only be suitable to address base-line user support. The functions that better align with a true IT Business Analyst would command a significantly higher salary due to the education, skills and experience needed to be successful in this role. 1/17/2017 3 Rec # Recommendation Staff Comments 16 Evaluate Help Desk staffing and workload As clarification, City I.T. uses an in-house developed tracking system to assign and monitor progress of most customer requests. Currently only the S.A.P. Software Engineer posts time to S.A.P. internal orders. Not all requests are entered into the system. If the technician can answer the question or resolve the issue quickly, a ticket is not entered in order to reduce administrative overhead. Some staff are diligent documenters and others are not. Additionally, the counts don’t accurately reflect the Helpdesk support required by each department since all requests for IT services are routed through the Helpdesk. A large number of support requests are routed to systems, network and applications engineers and others are projects involving multiple teams. Looking at the average number of days to complete a request is highly misleading since it does not take into account the complexity of an issue or delays caused for reasons outside I.T. control. For example, the average annual tickets for the Police Department only include one request for the implementation of the new CAD which was a huge drain on the entire I.T. Operations Team resources (Helpdesk, Systems and Networking).I agree that an evaluation should be done on I.T. workload versus resources. I think it would be valuable to do a complete review of services offered, resources available (with a skills assessment). We plan to begin by contracting with InfoTech (an I.T. industry research group) to do an assessment of the Helpdesk team to serve as a baseline. Human Resources 17 Enhance the capacity and role of departmental HR liaisons through a dedicated Staff agrees with this and some steps are already in place to establish this. ongoing training program 18 Require mandatory management and supervisory training for Charlottesville Staff agrees that training needs to be mandatory. This training has been in place for a managers and supervisors number of years but not mandatory. Will also look at ways to continue to enhance the tools available to managers and supervisors. 19 Develop a formal organizational development policy and program for the Human Staff believes this is a viable recommendation and should be explored. Resources Department 20 Create a centralized workforce planning strategy and assign implementation Staff believes this is a viable recommendation and should be explored. responsibilities to departments 21 Implement employee retention best practices as part of workforce planning efforts Staff believes this is a viable recommendation and should be explored. 1/17/2017 4 Rec # Recommendation Staff Comments 22 Implement recruitment process improvements and cycle time targets Report states that 70 days is excessive and staff believes that is a reasonable target given the nature of the process.  Some clarification is needed on the application process. Applications are screened by NeoGov using applicants’ responses to questions submitted with their applications. Departments do have responsibility for identifying those applicants who will be offered an interview. It is their responsibility to ensure the applicants’ statements about their qualifications are supported by the work experience they list on their job application. The review by HR at the time of the job offer is to ensure this has occurred. Failure to do so can result in hiring offers being rescinded which negatively affects not only the department but the applicant as well. Staff will review this recommendation further and make any adjustments that will improve the process which will include working with departments on their timelines and other processes. 23 Revise recruitment and hiring process to eliminate final HR Director approval of all The previous City Manager put this policy in place many years ago to ensure that hires departments were complying with personnel policies, requests were within budget, the hiring process had been followed, etc. In addition, the vacant Compensation Analyst position job description was rewritten and advertised as a Sr. Human Resource Analyst which will include the compensation analyst job duties as well as others that will assist in responding to some of the study’s recommendations which will include working with departments on the initial and final review. 24 Implement the practice of conducting employee performance reviews annually Agree and there is a staff committee in place ready to recommendation a pay for performance system to the City Manager and department heads. 25 Conduct a classification and compensation study Staff agrees with this recommendation and funding was already identified to do this. Neighborhood Development Services 26 Engage the development community in a process to identify development review NDS initiated this recommendation in February 2016. As a matter of fact, the reforms development community has folded the Developers Roundtable Forum started by NDS into a formal countywide interest organization. NDS Director meets with the organization from time to time. The idea is to discuss mutual ways of addressing improvement to the review process. The development review process will always be a work in process. The developer’s roundtable can be utilized to provide feedback and suggestions. 27 Designate an Assistant City Manager as the owner of the City’s development review Staff agrees that a comprehensive review of the development process is necessary. process and Chair of the Pre Development Meeting. Staff agrees that a consistent process that ensures responses to applicants that have been reached through a cooperative inter-departmental process is absolutely critical. Staff would like to further explore the efficacy of the model suggested and the connection to the City Manager’s office. 28 Implement a new development services software system NDS completed an internal review process of the development review and decided that it needs new software that would improve review process, including serving as a management tool. A CIP funding request has been submitted for implementation and currently being considered. 1/17/2017 5 Rec # Recommendation Staff Comments 29 Begin tracking workload data in order to make informed staffing adjustments Consultant noted the need for data collection; however, they did not recommend the type of data and modality for collection. We request that the consultant provide a plan which denotes the data which should be collected and a timetable for implementing the data collection. (It will need to be done over time and not all at once) 30 Establish a practice and process for annually reviewing and adjusting the fee The recommendation is okay, resources would need to be provided to do a study (similar structure for Neighborhood Development Services to the one Albemarle did) in order to get the details requested. Until then, we will do the best we can in house. Parks and Recreation/Golf 31 Create a Parks and Recreation Master Plan Staff concurs with this recommendation. While funding has not been approved for such a survey and Parks and Recreation Leadership staff determined several weeks ago to manage the current FY17 budget in a manner to accomplish this survey within existing funding during FY17, anticipating that the carryover request would not be approved. Staff has the ability and experience to design the survey instrument and we will work through the procurement process to engage a firm to conduct the survey. Such a survey is the foundation of a community-wide Master Plan; the data it provides informs decisions regarding community values, desires and needs. The remainder of the Master Planning process can be accomplished in-house with existing staff and potentially the engagement of an on-call design firm to assist with graphical products. 32 Expand time tracking activities related to horticulture and mowing maintenance Staff concurs with this recommendation. Staff has also been working for many months on a database system that will provide for scalable and relational analyses of all maintenance functions within the Department. The database is now complete and staff will begin populating it over this coming winter. It currently includes all horticulture functions and when complete will contain all maintenance functions: turf, custodial, golf course, aquatics, playgrounds and recreational facilities. The database can also be used by other City Departments as a tool to track other maintenance responsibilities. 33 Establish service levels and maintenance schedules for custodial staff Staff concurs with this recommendation and is currently working on this. Please see comments related to Recommendation 32- these are closely aligned. 1/17/2017 6 Rec # Recommendation Staff Comments 34 Formalize recreation program utilization goals and track utilization rates Staff concurs with the overall recommendation but disagrees with the consultant’s recommendation regarding the scholarship program. Regardless, the establishment of formal cost recovery goals for programs, services and facility access has long been a goal of the Department and as fiscal realities continue to impose difficult budgetary decisions, it is a critical step. Additionally, should City Parks and Recreation begin the process of seeking national accreditation, these standards are a required Accreditation element entitled ‘Comprehensive Revenue Policy’. Staff disagrees that the scholarship program in place currently is a barrier to participation. We believe it has been very successful. There are currently 607 City resident households in the program, providing access to facilities, programs, classes and camps. In FY16 over $130,000 in value was received by those in the scholarship program for access passes, summer pool passes, classes, camps, etc. It should be noted that prior to the opening of the Smith Aquatic and Fitness Center in 2010, the City’s scholarship program only provided for a 50% discount on the price of a class and did not provide any mechanism for facility access. 35 Establish annual cost recovery goals for golf operations and subsidize shortfalls in Staff concurs with this recommendation and anticipates the beginning of this golf course revenue conversation to occur in the current FY18 budget process. Public Works/General Organization/Infrastructure 36 Create an Operations Division in the Department of Public Works The study underestimates the complexity of the missions of the Facilities Development and Facilities Maintenance divisions, and overestimates the necessity and benefits of coordination between Facilities and other Public Works operational units. Recommend that an Operations Division organizational chart exclude Facilities, and that the Facilities division(s) continue to report directly to the Public Works Director. 37 Create an Asset Management Division in the Department of Public Works The intent of this recommendation will enable the department to accomplish mission critical objectives outlined in Recommendations 46 and 47. However, the recommendation to move Utilities Department GIS personnel to Public Works overlooks the interaction between GIS personnel and Utilities operations. Utilities assets are many and complex, and there are federal and state regulatory requirements which must be met; the Public Works Department would become, in effect, a manager of the Utility assets. It is also questionable whether the existing personnel would have the capacity to continue providing their current level of service to support Utility operations while achieving the years-long effort to implement Recommendations 46 and 47. 38 Create an Engineering Division in the Public Works Department This will require extensive discussion and work between NDS, Public Works and Utilities to determine the feasibility and pros and cons of this recommendation. 1/17/2017 7 Rec # Recommendation Staff Comments 39 Create a Traffic function within the Engineering Division of the Department of Public This will require extensive discussion and work between NDS, Public Works and Utilities Works to determine the feasibility and pros and cons of this recommendation. 40 Consolidate stormwater utility management in the Department of Public Works The departments believe that this recommendation warrants a more extensive exploration of the pros and cons than has been provided and the feasibility recognizing the stormwater utility is an enterprise fund and the use of these funds is strictly dictated by the state enabling legislature. 41 Locate the Environmental Sustainability Division in the Department of Public Works This will require extensive discussion and work between Public Works and Utilities to determine the feasibility and pros and cons of this recommendation. 42 Transfer one Safety and Training Coordinator position from the Utilities Department to The priority of the safety coordinators is to implement the required federal and state gas the Public Works Department training programs. Both positions have been difficult to fill given the available applicant pool and other gas FTEs have had to fill the role at determent to their current roles and responsibilities. With a new emphasis on federal and state regulatory compliance, the plan is to fill the other position and both positions will concentrate on gas priorities and needs in the future. Further discussion will need to be done between Public Works and Utilities to determine the feasibility and pros and cons of this recommendation. Utilities/Organizational Structure 43 Create a Gas Division of the Utilities Department Regarding recommendations 43, 44, and 45, Utilities has concerns about these 44 Create a Water/Wastewater Division of the Utilities Department recommendations. The current organizational structure fosters close coordination and 45 Create an Administration Division of the Utilities Department cross training which provides institutional resiliency. The formation of three divisions has the potential to create separation and barriers, thus unnecessarily "siloing" a structure that is effective in its current arrangement. Public Works/Work Planning and Tracking 46 Create a comprehensive asset management plan for all Public Works Department This recommendation will require extensive work between many departments to assets determine the feasibility and pros and cons. 47 Implement a work order system Staff believes this is a viable recommendation and should be explored. 48 Include yard waste collection in the refuse collection contract Currently, citizens have the option to either bag yard waste for collection by our refuse contractor (which is landfilled) or to call in a Large Item Pickup (which is then composted). To ensure that all materials are composted, a separate city-wide collection effort would need to be performed. Assuming a monthly collection were provided, the roughly estimated cost (based on half our cost for recycling) would be ~$150,000/year, to provide a service which is not in demand. This additional service would not eliminate the need for collection of large branches via the Large Item Pickup program. 49 Improve efficiency of leaf collection by utilizing the refuse contractor Staff believes this is a viable recommendation and should be explored. 1/17/2017 8 Rec # Recommendation Staff Comments 50 Shift maintenance responsibility for select Fire Department fleet to Fleet Management The department is concerned by the conclusion of the study. The current mechanic-to- Division equipment ration is 1:93, on the high end of the recommended range. The addition of 18 vehicles would bring that ratio to 1:95. Further, the advanced age, poor condition and highly specialized nature of much of our fleet asset pool represent a significant challenge and affect the acceptable range. See recommendation #81 for more information. 51 Staff the Facilities Maintenance Division to ensure staffing matches service level The department supports this recommendation. As previously noted, Facilities expectations Maintenance currently has 23 field maintenance employees (Building Trades IV, III or II, Building Maintenance Mechanic IV, III or II). This includes 2 employees managed by the City – working side-by-side with other employees, in both City and School buildings – but formally employed by the Schools. As School employees retire, their replacements are hired as City employees. Reaching an employee count of one field maintenance person/50,000 SF would require a total of 6 additional employees. At $44,550 each (figure used in draft study), the total amount of additional funding required would be $267,300. 52 Include annual facility maintenance and repair needs in the City CIP The department supports the recommendation that equipment replacement/repair needs submitted during the CIP process be fully funded, but recognize as well that full funding may be difficult to achieve. Utilities Operations 53 Review Enterprise Fund cost allocation methodology Staff believes this is a viable recommendation and will be explored during cost of service study for the utilities. 54 Minimize water system loss by enhancing residential and large meter testing program Documenting and minimizing water loss has been a priority for Utilities for many years. Utilities supports this recommendation and will continue to implement the program. Charlottesville Area Transit 55 Resume annual transit customer surveys Transit staff will be working with CA-MPO on a plan to do customer surveys later this calendar year. 56 Approach UVA about increased ridership This has been discussed with UVA in the past and staff acknowledge that a formal agreement and an alternative pricing structure needs to be agreed upon between the City and UVA. Police Department 57 Adopt the proposed organizational restructuring creating three functional divisions This recommendation was completed November 2016. within the Police Department 58 Implement a 12-hour shift schedule to create staff capacity for proactive policing Staff believes this is a viable recommendation and should be explored. efforts 1/17/2017 9 Rec # Recommendation Staff Comments 59 Track investigative caseload and clearance statistics Agree that this recommendation will provide commanders with information to properly manage resources. However, clearance rates are a very poor indicator of individual performance but can be useful when assessing specific crimes. New unit and division commander assigned November 2016. Tracking caseload and clearance rates will begin January 2017. In the very near future, the unit commander will be required to provide either a monthly or quarterly report. These details are currently being discussed, with an estimated date of full implementation March 2017. 60 Implement a process for review of patrol investigations by the Investigations Bureau This recommendation will be included in the efforts for recommendation #59. and a quality assurance program for all investigations 61 Establish standards for timeliness of investigations This recommendation is already established via formal policy. 62 Update the Police Department Strategic Plan; track performance measures Staff believes this is a viable recommendation and should be explored. 63 Implement an information-led, proactive policing strategy Staff believes this is a viable recommendation and should be explored. 64 Review District boundaries Staff believes this is a viable recommendation and should be explored. 65 Add financial review to spending approval process Staff believes this is a viable recommendation and should be explored. 66 Streamline the reporting process Staff believes this is a viable recommendation and should be explored. 67 Implement a vehicle replacement policy This recommendation was completed with Fleet in December 2016. 68 Periodically evaluate the Department’s take-home vehicle policy Staff believes this is a viable recommendation and should be explored. 69 Review the impact of the Career Development Program This recommendation is pending to be completed sometime in 2017. 70 Conduct a space needs assessment for Police Headquarters Staff believes this is a viable recommendation and should be explored. 71 Install appropriate security measures in remote locker rooms and the parking area This is a viable recommendation and funding for a gate into the parking area was approved as part of the FY 2016 Year End Appropriation in December 2016. 72 Develop a comprehensive false alarm reduction program Staff believes this is a viable recommendation and should be explored. Fire Department 73 Implement competency-based evaluations of firefighting, HAZMAT, and technical In October 2016, one Firefighter position was moved to the Training Section and has rescue skills been reclassified to the Captain. The Training Captain has been tasked with developing and implementing a core competency program that addresses all high-risk operations at the individual, company, and battalion level. This program will be rooted in the NFPA standards noted in the narrative. 74 Adopt validated physical agility test for use during the hiring process The consultant is recommending we adopt the Candidate Physical Agility Test (CPAT). The CPAT was developed over 15 years ago by the International Association of Firefighters (IAFF) and was reviewed by the Department of Justice to ensure a non- discriminatory pre-employment physical agility test. Implementing the CPAT requires a license from the IAFF along with a commitment to fully implement all aspects of the IAFF- IAFC Joint Wellness Fitness Initiative. The challenge with CPAT program implementation is, quite simply, cost. Many departments no longer utilize the CPAT for this very reason. Also, the CPAT has itself been challenged in court. 1/17/2017 10 Rec # Recommendation Staff Comments 75 Partner with CARS to review medical calls for service and evaluate schedule The City and the Department have been working closely with CARS leadership to implement EMS billing in the City. The current staffing model is being evaluated as well. CARS has recently approached the City to inquire about CFD providing 24-hour coverage. Those discussions are underway. 76 Ensure adopted EMS service level standard for the City of Charlottesville is met The City and CARS recently developed and agreed to the Emergency Medical Services Benchmark Service Delivery Level Objectives document. The service level objectives in this document mirror best-practices for urban/metro EMS systems and are grounded in NFPA, CPSE-CFAI, and AHA standards and guidelines. A new electronic patient care reporting system was placed in service in December, 2016. The department is currently developing reporting tools that will, for the first time in the history of the system, allow for a comprehensive analysis of EMS system performance. 77 Conduct a community risk assessment to inform the work plan of the Fire Prevention The Community Risk Assessment is being completed as part of the re-accreditation Division process. 78 Establish accurate occupancy inventory and adopt inspection schedule The CRR section is currently coordinating with Neighborhood Development Services to ensure that the occupancy module of the new Image Trend Elite software package includes a fully updated occupancy inventory that will support a robust risk-based inspection program that will include shift inspectors, company level business inspections and pre-fire planning. 79 Use collected data to determine appropriate staffing level for the Fire Prevention The Community Risk Reduction Section is in the final stages of migrating from paper- Division based documentation to an electronic records management system. The completed migration will allow for a data-driven analysis of workload and staffing needs. 80 Adopt a preplan maintenance schedule The CRR section is currently coordinating with Neighborhood Development Services to ensure that the occupancy module of the new Image Trend Elite software package includes a fully updated occupancy inventory that will support a robust risk-based inspection program that will include shift inspectors, company level business inspections and pre-fire planning. 81 Transfer maintenance responsibility for select Fire Department fleet to Fleet CFD generally concurs with this recommendation. Fire departments utilizing centralized Maintenance Division. repair facilities typically struggle to receive timely service. In order for this recommendation to be successful, there would need to be a very clear understanding, perhaps in the form of an agreed-upon business process or SOP, regarding responsiveness, especially during non-business hours. See recommendation #50 in Public Works for more information. 82 Clarify Emergency Management responsibilities Staff concurs with this recommendation. The current structure will not support the degree of clarity in command authority that will be required in the case of a major disaster. 1/17/2017 11 Rec # Recommendation Staff Comments 83 Civilianize the planning function of the Administration Division The sole reason for the Planning Battalion Chief’s current IT role is due to the IT department’s inability to consistently provide adequate support for a 24-hour emergency services organization. While I concur with the consultant’s recommendation to civilianize fire department IT functions, this position should be part of the department’s FTE complement. The fire department’s FY18 budget submission includes a request for a full- time IT Support Technician. Complete details on the scope and scale of fire department hardware and software IT systems requiring support beyond that historically provided by City IT are included in the FY18 Budget supplemental request. 1/17/2017 12 City of Charlottesville Neighborhood Development Services Review Report February 9, 2018 February 9, 2018 Mr. Maurice Jones City Manager City of Charlottesville 605 East Main Street Charlottesville, Virginia 22902 Dear Mr. Jones: We are pleased to present this report regarding the City of Charlottesville’s Neighborhood Development Services (NDS) Department. This review could not have been accomplished without the input of NDS staff and community stakeholders, and we are grateful for the participation of these groups in the review effort. Feedback received during the stakeholder input process, along with the results of individual interviews with NDS staff, guided the recommendations included in this report. These recommendations are intended to support the Department’s effort to refine and streamline service delivery, particularly with respect to the development review process. Thank you for the opportunity to work with the City of Charlottesville on this project. Sincerely, Michelle Ferguson Organizational Assessment Practice Leader Table of Contents Executive Summary............................................................................................................................1 Background and Methodology ...........................................................................................................3 NDS Stakeholder Input .......................................................................................................................7 Analysis and Recommendations .......................................................................................................21 Structure and Management ................................................................................................................ 22 Development Review Process Improvements .................................................................................... 31 Technology and Performance ............................................................................................................. 34 Conclusion .......................................................................................................................................44 Appendix A: Current By-Right Development Review Process .............................................................45 The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 1 NDS Review Executive Summary The City of Charlottesville’s Neighborhood Development Services (NDS) Department is made up of a “group of civic-minded professionals whose focus is to create a superior built environment for the Charlottesville community. [Staff] strive to provide excellent customer service, planning, engineering, and code enforcement services and work to ensure high-quality design and development that protects [the] community’s assets.” 1 Staff is tasked with the overarching goal to create and develop a safe built environment, which is in alignment with the vision established by both the community it serves and its policy makers. In 2017, The Novak Consulting Group completed an efficiency study of all City departments. This study discussed various challenges impacting NDS and its ability to provide services as an encourager and enforcer of development regulations. These challenges largely centered on the need for an owner over the development review process, structural changes to the Department, and a greater departmental emphasis on performance measurement. While the Efficiency Study recommended several strategies for addressing these issues, the scope of the study did not permit a detailed dive into the Department’s operations and practices. Following the Efficiency Study, the City of Charlottesville approached The Novak Consulting Group to conduct a more in-depth review of NDS. The purpose of this study was to better understand the Department’s operations in the context of customer service expectations, and to identify more specific recommendations for improving the Department’s management structure, services, and operations. The results of this examination into NDS and its role in the development process are the focus of this report. NDS benefits from a well-defined planning and development review processes, an engaged development community, active neighborhoods, and dedicated staff. However, the Department faces several challenges, including a heavy reliance on paper-based and manually-intensive tasks, a lack of centralized data and performance tracking, reportedly heavy workloads, and a lack of management capacity. Additionally, members of the development community and neighborhood groups interviewed by The Novak Consulting Group both expressed a desire for increased communication and interaction with NDS staff. Development community stakeholders largely requested more interaction regarding site plan review and comments, while neighborhood leaders desire more of a liaison relationship between NDS staff and neighborhoods. To address these challenges, the Department should pursue improvements designed to maximize internal efficiency, streamline processes, identify workload drivers, improve staff performance, and foster more collaborative relationships with developers and neighborhoods. The recommendations in this report achieve these goals by adjusting how functional responsibilities are allocated among staff, defining appropriate process improvements, and highlighting ways that additional investments in technology can support the Department’s work. The following table illustrates recommendations discussed in this report. Table 1: Report Recommendations 1 City of Charlottesville FY2018 Adopted Budget The Novak Consulting Group Strengthening organizations from the inside out. Page 2 City of Charlottesville, Virginia NDS Review Number Recommendation Structure and Management 1 Create a Support Services Manager position. 2 Reallocate job duties among internal support staff. 3 Rebalance neighborhood areas assigned to Planning staff. Create a new Planner position on the Planning Team and refocus the role of the Senior 4 Planner/Urban Designer. 5 Establish a protocol for responding to Council inquiries. Development Review Process Improvements Create a comment review meeting between NDS staff and applicants for eligible by- 6 right projects. Technology and Performance 7 Provide staff with the appropriate technology to complete their work. 8 Develop specific performance measures and leverage software to track them. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 3 NDS Review Background and Methodology In 2016, the City of Charlottesville engaged The Novak Consulting Group to conduct an organization-wide efficiency study of the City’s departments, including NDS. During this effort, The Novak Consulting Group identified several recommendations to improve NDS and its services. These recommendations included relocating engineering functions to Public Works, improving software and data tracking practices, creating more defined staff ownership over the development review process, and regularly reviewing the Department’s fee structure and schedule. In May 2017, the City of Charlottesville requested an additional review of NDS to identify opportunities for improving the Department. To accomplish this work, The Novak Consulting Group utilized a variety of methods to gather first-hand perceptions of the Department from staff and stakeholders. This included 26 individual interviews and a focus group with NDS staff. In addition, 19 individuals attended internal and external focus groups consisting of City staff and development, nonprofit, and neighborhood stakeholders. In addition to in-person interviews and focus groups, The Novak Consulting Group developed a survey to solicit input regarding stakeholder interactions with various disciplines throughout NDS, from the Department’s Front Desk to Engineering, Planning, and beyond. This survey was distributed to 152 external community stakeholders and received 52 responses – a response rate of 34%. Feedback received through these interviews, focus groups, and survey informed the analysis and recommendations discussed in this report. About the NDS Department The City’s FY2018 budget includes 38 authorized full-time equivalent (FTE) employee positions in the NDS Department. This represents a 12% increase compared to actual staffing in FY2014, as illustrated in the following table. Table 2: NDS Staffing History, FY2014-FY2018 FY14 FY15 FY16 FY17 FY18 Percent Change FTEs Actual Actual Actual Budget Budget FY14-FY18 General Fund 31 34 35.5 36.5 37 19% Other Funds 3 3 2 1 1 -67% Total 34 37 37.5 37.5 38 12% NDS is organized into four functional areas: Customer Service Administration, Planning, Engineering, and Inspections and Code Enforcement. Each area is composed of employee teams with specific functional assignments. Currently, the Customer Service Administration and Planning functions are supervised by the Assistant Director, while Engineering and Inspections and Code Enforcement functions are supervised by the Development Services Manager. The Department’s current functional areas, teams, and reporting relationships are illustrated in the following figure. The Novak Consulting Group Strengthening organizations from the inside out. Page 4 City of Charlottesville, Virginia NDS Review City Manager Director of NDS Office Administrator 1.0 FTE 1.0 FTE Assistant Director/ Planning Manager 1.0 FTE Development Services Manager 1.0 FTE Preservation & Zoning/E&S Housing Planner City Engineer Design Planner Administrator 1.0 FTE 1.0 FTE 1.0 FTE 1.0 FTE VDOT Coordinator Assistant Zoning Planner II Grants Coordinator 1.0 FTE Administrator Assistant City (Historic 1.0 FTE Traffic Engineer 1.0 FTE Engineer Preservation) 1.0 FTE 1.0 FTE 1.0 FTE Project Manager Senior Planner/ Zoning Housing 1.0 FTE Civil Engineer Urban Designer Assistant Traffic 1.0 FTE 1.0 FTE Engineer 1.0 FTE (Vacant) Planner II Engineering 1.0 FTE Design and Preservation Bike/Ped (GIS/ADA) Technician 1.0 FTE 1.0 FTE Coordinator 1.0 FTE Transportation Capital Projects GIS Analyst Coordinator Principal Planner 1.0 FTE Traffic Engineering 1.0 FTE 1.0 FTE E&S/VSMP Building Code GIS Administrator Official Planner II 1.0 FTE Property Maint. 1.0 FTE 2.0 FTE Code Official 1.0 FTE Survey Technician Deputy Code Planning Secretary II 1.0 FTE Property Maint. Official 3.0 FTE Inspector 1.0 FTE 2.0 FTE Project Inspector Support Staff 1.0 FTE Building Inspector Property Maintenance 2.0 FTE Codes Engineering Building Codes Figure 1: NDS Organizational Structure, FY2018 The following paragraphs provide a brief description of each functional area as well as teams of staff that operate in each area. Customer Service Administration provides administrative support for the Department, including customer service at the front desk, answering phones, scheduling inspections, issuing permits, processing payments and fees, managing the NDS Director’s calendar and appointments, reconciling purchase orders and invoices, and performing intake functions for development plans. In addition, staff provides administrative support for several boards and commissions and assist with the agenda creation, minute taking, and meeting logistics. Four FTEs are currently responsible for these functions, including the Office Administrator and three Secretary II positions located in the Support Staff team. The Planning functional area is responsible for long-range and general (current) planning and zoning tasks, coordinating the development review process, and managing the City’s housing, Community Development Block Grant (CDBG), Americans with Disabilities Act (ADA), Geographic Information Systems (GIS), and historic preservation programs. Staff within the Planning area also work closely with several boards and commissions, including the Planning Commission, Board of Architectural Review, Board of Zoning Appeals, Entrance Corridor Review The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 5 NDS Review Board, the Place Design Task Force, the Community Development Block Grant Historic Resource Committee, and the Housing Advisory Committee. The Planning function is staffed by five teams of employees: • The Design and Preservation Team consists of the Preservation & Design Planner, a Planner II, and a Senior Planner/Urban Designer. The Preservation & Design Planner and Planner II positions are primarily involved with reviewing projects in Architectural Control Districts and staffing the Board of Architecture Review and the Historic Resources Committee. The Senior Planner/Urban Designer is responsible for general planning tasks as well as urban design review and staffing the Place Design Task Force. • The Planning Team consists of a Principal Planner and two Planner II positions. These positions (along the with the Senior Planner/Urban Designer) are responsible for coordinating the development review process in assigned geographic areas. Additionally, these positions engage in long-range planning processes such as revising the City’s comprehensive plan. • The Zoning Team consists of a Zoning Administrator and Assistant Zoning Administrator. These staff members are responsible for the administration and enforcement of the City’s zoning ordinances and investigate and inspect zoning cases. The Zoning Team reviews and certifies building permits and issues sign permits, and provides provisional use permits when necessary. Staff work closely with the Planning Team and review site plans and conduct site visits to ensure compliance. Staff also assist the Board of Zoning Appeals by coordinating meetings, submitting reports, and providing technical assistance. • The GIS Team is made up of an ADA Coordinator/GIS Planner and a GIS Analyst. This team is primarily responsible for the management and ongoing maintenance of the Department’s GIS layers and related data. Staff are responsible for gathering, compiling, and updating data from a variety of sources and performing GIS analysis using mapping tools. The ADA Coordinator/GIS Planner also reviews site plans to ensure that proposed pedestrian infrastructure meets ADA requirements. • The Housing Team includes a Housing Planner and Grants Coordinator. Staff are primarily responsible for developing and creating policies and implementing the City’s affordable/workforce housing program. This team develops, administers, and monitors the Charlottesville Affordable Housing Fund (CAHF) budget and its associated fiscal activities. Staff also oversee and manage the City’s Community Development Block Grant (CDBG) Program. The Engineering functional area is responsible for administering portions of the Capital Improvement Program (CIP) and providing engineering support on other CIP projects in various departments. Staff also assist with the Urban Construction Initiative Program, departmental customer service activities, pre- and post-construction inspections, citywide survey services, site development plan review process, and grant applications, and coordinates projects with other departments, the City Council, state and federal agencies, and community groups. This functional area is staffed by the following three teams: • The Engineering Team consists of eight FTEs: the City Engineer, Assistant City Engineer, a Civil Engineer, Engineering Technician, Capital Projects Coordinator, Erosion and Sediment (E&S)/ Virginia Stormwater Management Program (VSMP) Administrator, a Survey Technician, and a The Novak Consulting Group Strengthening organizations from the inside out. Page 6 City of Charlottesville, Virginia NDS Review Project Inspector. The Engineering Team participates in the development review process and reviews plans, provides comments, and inspects private and city construction projects. Engineering staff provide support with planning and CIP/operating budget efforts, such as Form Base Code restructuring, Computer Aided Design (CAD) technology, and GIS. Staff is responsible for managing the City’s E&S and VSMP programs, Neighborhood Drainage Program, BMP Inspection Program, Floodplain Management Program, and Citywide Bridge Inspections and Minor Repair programs. In addition, the Engineering Team oversees the citywide new sidewalk priority list and several special projects like small area plans, Strategic Investment Area (SIA) projects, streetscape projects, and burying overhead utilities. • The Traffic Engineering Team consists of the Traffic Engineer, Assistant Traffic Engineer, and the Bike/Pedestrian Coordinator. Traffic Engineering staff provide neighborhood traffic management plans, are responsible for the implementation of the Bike and Pedestrian Master Plan, conduct traffic signal studies, capacity analysis, traffic studies, complete site development plan reviews, and issue temporary street closure permits. Additionally, Traffic Engineering works closely with the Department of Public Works to install traffic signage/signals and make intersection improvements to enhance traffic and pedestrian safety. • The Transportation Team includes a Virginia Department of Transportation (VDOT) Coordinator and a Transportation Project Manager. An additional Transportation Project Manager position is currently vacant, but is anticipated to be filled by the end of FY2018. These staff members handle the Locally Administered Program (LAP) transportation projects, which involve multimillion dollar projects like the 250 Interchange, Belmont Bridge Replacement, and High Street Streetscape. Staff are responsible for both securing grant funds and project management. The Inspections and Code Enforcement functional area consists of staff in both the Building Code and Property Maintenance Code Enforcement teams. These teams are responsible for enforcing the City’s property maintenance codes and building codes, and issuing building permits. • The Property Code Enforcement Team includes the Property Maintenance Code Official and two Property Maintenance Inspectors. Staff investigate property maintenance complaints, coordinate remediation and abatement efforts, and conduct elevator inspections within City limits. • The Building Code Enforcement Team consists of the Building Official, Deputy Code Official, and two Building Inspectors. Staff serve as combination residential and commercial building inspectors for a variety of trades (such as electrical, mechanical, and plumbing), review building plans and site plans, provide permit application information, and issue warnings and stop work orders for code non-compliance. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 7 NDS Review NDS Stakeholder Input Many of the key observations resulting from this assessment were derived from straightforward, confidential conversations with NDS staff, other City staff who frequently interact with NDS, and through focus groups with community and neighborhood leaders. In addition, a confidential survey was distributed to approximately 152 community stakeholders, members of the development community, neighborhood representatives, and other individuals who interact with NDS. Approximately 52 respondents submitted surveys, resulting in an overall response rate of 34%. This stakeholder input provided valuable insights into staff perceptions of NDS, the level of customer service provided to the public, and the development review process. Key themes that emerged from the stakeholder input process include the following: • NDS staff are courteous, professional, and responsive. Survey respondents and focus group participants indicated that they were satisfied with the courteousness and professionalism of NDS staff; the level and quality of staff work; and the timeliness of staff responses to requests, calls, inquiries, and scheduling inspections. • The Department fosters a team environment. During interviews, NDS staff widely described the Department as a good place to work with a strong focus on teamwork and collaboration. The Department’s functional areas and team work units create a close-knit community that enables staff to support one another. • NDS is neighborhood focused. Stakeholders and survey respondents indicated that they believe NDS does a good job of reaching out to residents and providing adequate information about upcoming events and status updates across a variety of media, including public announcements, emails, mobile message boards, and signage. • New technology could benefit NDS. Stakeholders and staff indicated that they felt NDS could benefit from the use and implementation of additional technology, specifically in the areas of communication, online application submittal, and data entry. • Stakeholders desire additional communication throughout the development review process. Stakeholders and survey respondents pointed to challenges with the usefulness of staff comments in the development review process, as well as a lack of opportunities to engage all NDS disciplines regarding site plan review. Stakeholder Survey Many perceptions from the development community and neighborhood representatives were gathered from the stakeholder survey created by The Novak Consulting Group. The survey utilized a variety of questions to gauge respondents’ perceptions of and satisfaction with NDS teams and functions. The following sections provide a broad overview of the survey results. It should be noted that respondents were invited to provide feedback only where they had recently interacted with NDS. Additionally, not all questions were required, and several questions invited respondents to check all answers that applied to The Novak Consulting Group Strengthening organizations from the inside out. Page 8 City of Charlottesville, Virginia NDS Review their experience. As a result, the number of responses to the questions often varies from the total number of respondents who participated in the survey. Respondent Profile Survey respondents interact with NDS in a variety of roles, including as a homeowner or resident, developer, architect or engineer, neighborhood association representative, and/or as part of a nonprofit organization. The following table illustrates the number and percentage of respondents who identified with each of these roles. Table 3: Respondent Roles Describing Interactions with NDS Please indicate the role(s) which describe how you interact with NDS. Number Percent Homeowner or Resident 18 18% Developer 14 14% Architect or Engineer 13 13% Neighborhood Association Representative 13 13% Nonprofit Organization 13 13% Builder or Contractor 10 10% Other (please specify) 8 8% Real Estate Professional 6 6% University or College Representative 3 3% Board of Architectural Review 1 1% Total 99 100% Other roles identified by respondents included interacting with NDS as a member of City staff or a City board or commission, business owners, and local activists. Respondents most frequently interact with NDS staff at the Front Desk, but over half of respondents reported interacting with Planning and Development Review as well as Engineering staff within the last year. Nearly half of respondents interacted with Transportation and Traffic Engineering staff during the same timeframe. Property Maintenance Code Enforcement & Inspections had the least number of reported interactions within the last year. The following figure illustrates respondent interactions with NDS in the last 12 months by functional area. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 9 NDS Review Respondent Interactions with NDS in the Last Year, by Area Front Desk 79% Planning and Development Review 70% Engineering 69% Transportation and Traffic Engineering 49% Historic Preservation and Board of Architectural Review 43% Zoning 41% Building Code Enforcement/Building Inspections 40% Affordable Housing, CDBG, HOME Program 38% Property Maintenance Code Enforcement & Inspections 31% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% Figure 2: Respondent Interactions with NDS Staff by Functional Area The following sections describe respondents’ perceptions of NDS by functional area. Front Desk Thirty-seven respondents indicated they had interacted with Front Desk staff in the last year. These interactions were chiefly related to development review and building permits, as illustrated by the following figure. Front Desk Transactions Other (please specify) 27% Development Review Related 35% Directions to Other Locations 6% Traffic Related 8% Building Permit 24% Figure 3: Front Desk Transaction Types The Novak Consulting Group Strengthening organizations from the inside out. Page 10 City of Charlottesville, Virginia NDS Review Nearly one-quarter of respondents supplied their own answers to this question, citing event planning, general information inquiries, and parking pass stamps as reasons for interacting with NDS Front Desk staff. Respondents were complimentary of Front Desk staff and believe they are responsive, courteous, and professional both in person and on the phone. Areas of 50% or greater overall agreement (Strongly Agree and Agree) or overall disagreement (Disagree and Strongly Disagree) are represented in bold font. Table 4: Statements About Front Desk Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree Staff at the front desk were courteous and professional. 37% 40% 20% 3% Staff at the front desk were responsive to my requests. 31% 57% 9% 3% Staff on the phone were courteous and professional. 32% 53% 15% 0% The length of time it took at the front desk was 26% 60% 6% 9% appropriate. Total 32% 53% 12% 4% Engineering Thirty-one respondents reported interacting with Engineering staff in the last year. These respondents primarily worked with Engineering on Plan Review and Inspections activities. Engineering Transactions Inspections 25% Plan Review 52% Other (please specify) 23% Figure 4: Engineering Transaction Types Other transactions reported by respondents included discussions and information requests related to Engineering issues, stormwater runoff, and plan amendments and development. Respondents generally agreed with positive statements about Engineering staff and believe they are courteous, professional, responsive, and timely. Respondents also agreed that they understood the engineering plan review process and how to schedule engineering-related inspections. However, more The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 11 NDS Review than 50% of respondents believe that the information and comments provided by Engineering staff during plan review are unhelpful. These sentiments are illustrated on the following table. Table 5: Statements About Engineering Please rate your level of agreement with the Strongly Strongly Agree Disagree following statements. Agree Disagree Engineering staff were courteous and 29% 35% 16% 19% professional. Engineering staff were responsive to my 23% 32% 19% 26% requests. I understand the engineering plan review 20% 50% 17% 13% process. My inspection occurred on time. 9% 57% 22% 13% The information/comments provided to me by 13% 33% 30% 23% engineering plan review staff were helpful. The process for scheduling my engineering 12% 44% 28% 16% inspection was clear. Total 18% 42% 22% 18% Transportation and Traffic Engineering Twenty-two respondents reported interacting with Transportation and Traffic Engineering staff within the last year. These respondents interacted with staff in a wide variety of ways, including plan design and review, traffic issues, transportation construction, and temporary street closure permits. These interactions are listed on the following table. Table 6: Transportation and Traffic Engineering Transaction Types What type of transaction do you typically have Number of Percent addressed with Transportation and Traffic Engineering? Responses of Total Transportation Project - Design Phase 10 26% Plan Review 9 23% Concerns About Traffic (Speed, Volume, Parking) 7 18% Other (please specify) 4 10% Transportation Construction Phase 4 10% Temporary Street Closure Permit 3 8% Transportation Project - Right-of-Way Phase 2 5% Total 39 100% Other transaction types described by respondents primarily concerned general information requests and meetings with Transportation and Traffic Engineering staff. Respondents agree that Transportation and Traffic Engineering staff are courteous, professional, and responsive, and that the process for obtaining temporary street closure permits is easy to follow. In contrast, most respondents do not find staff comments helpful and believe staff could be more responsive to customer requests. These perceptions are illustrated on the following table. The Novak Consulting Group Strengthening organizations from the inside out. Page 12 City of Charlottesville, Virginia NDS Review Table 7: Statements About Transportation and Traffic Engineering Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree The comments provided to me by staff were helpful. 15% 20% 45% 20% The process for obtaining a temporary street closure 17% 50% 17% 17% permit was easy to follow. The responses by staff were done in a timely manner. 11% 37% 16% 37% Traffic Engineering staff were courteous and 20% 35% 30% 15% professional. Traffic Engineering staff were responsive to my 15% 30% 25% 30% requests. Transportation staff were courteous and professional. 16% 58% 21% 5% Transportation staff were responsive to my requests. 16% 42% 26% 16% Total 16% 39% 26% 20% Respondents who had interacted with Transportation and Traffic Engineering staff were also asked to provide specific ideas for improving process efficiencies. Nine respondents provided open-ended suggestions, including responding promptly to email and phone requests, hiring additional staff, utilizing software such as See Click Fix, training staff in current urban planning practices (particularly regarding pedestrian-oriented development), and prioritizing traffic and street development. Planning and Development Review Thirty respondents reported interacting with Planning and Development Review staff in the last year. These interactions consisted primarily of site plan and other discretionary plan reviews (such as rezonings), as well as issues involving the City’s comprehensive plan. The frequency of respondent interactions with Planning staff are illustrated in the following table by type. Table 8: Planning and Development Review Transaction Types What type of transaction do you Number of Percent typically have addressed with Planning? Responses of Total Site Plan Review 22 28% Discretionary Reviews (Rezoning, SUP) 15 19% Comprehensive Plan 9 11% Neighborhood Inquiries 8 10% Subdivision Review 8 10% Area Plans 7 9% Special Projects 7 9% Other (please specify) 3 4% Total 79 100% Other transactions cited by respondents included informational meetings, expressing concerns about development, and inquiring about grant funding for projects. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 13 NDS Review Much of the feedback regarding Planning and Development Review was negative. While respondents agree that staff thoroughly review plans in accordance with applicable law, they do not believe interacting with Planning and Development staff results in a higher-quality development. More than three-quarters of respondents believe development regulations are a hindrance to development and are dissatisfied with the current development review process, from intergovernmental coordination to stormwater regulations. Respondents also believe the development review process is difficult to understand. The following table illustrates respondent agreement with positive statements about Planning and Development Review. Table 9: Statements About Planning and Development Review Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree Current development regulations do not hinder 8% 12% 38% 42% development in the City. Engaging in the City’s development review process 7% 36% 39% 18% resulted in a higher quality project. Inter-governmental cooperation and coordination are positive aspects of the development review process in 7% 11% 33% 48% the City. Review comments were received within the parameters 4% 48% 20% 28% outlined in the local and state laws. Staff reviews were thorough. 4% 56% 28% 12% The application submittal process worked well. 4% 25% 33% 38% The City’s process for development review compares 4% 12% 44% 40% favorably with other jurisdictions. The City's stormwater regulations ultimately had a 4% 33% 33% 29% positive impact on my project/development. The review process is easy to understand. 8% 13% 38% 42% Total 6% 27% 34% 33% While respondents are dissatisfied with the development review process, interactions with the City’s approving authorities were generally reported in positive terms. Most respondents perceive the Board of Architectural Review, City Council, and Tree Commission as having positive impacts on development projects, as illustrated in the following table. However, the impact of the Planning Commission is perceived negatively by most respondents. Table 10: Impact of Approving Authorities Very Very Please rate the level of impact the City's approving Positive Negative Positive Negative authorities had on your project. Impact Impact Impact Impact Board of Architectural Commission 6% 56% 25% 13% City Council 0% 55% 35% 10% Planning Commission 4% 29% 54% 13% Tree Commission 6% 69% 19% 6% Total 4% 52% 33% 10% The Novak Consulting Group Strengthening organizations from the inside out. Page 14 City of Charlottesville, Virginia NDS Review Fourteen respondents supplied open-ended ideas for improving Planning processes and efficiency, including changing the organization’s leadership, hiring additional staff, revising the development code, empowering staff to make additional administrative changes, increasing interactions with neighborhood associations, and implementing an electronic application process. Building Code Enforcement & Inspections Seventeen respondents indicated they had interacted with Building Code Enforcement and Inspections staff in the last year. These interactions were chiefly related to plan review and inspections activities, as illustrated in the following figure. Building Code Enforcement & Inspections Transactions Enforcement 21% Plan Review 36% Inspections 43% Figure 5: Building Code Enforcement & Inspections Transaction Types Respondents are generally pleased with Building Code Enforcement and Inspections, and agree that staff are courteous, professional, responsive, and timely. Respondents also broadly agreed that scheduling inspections was easy and that comments provided by staff were helpful. Table 11: Statements About Building Code Enforcement & Inspections Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree Building Code Enforcement & Inspections staff were 53% 41% 6% 0% courteous and professional. Building Code Enforcement & Inspections staff were 53% 41% 6% 0% responsive to my requests. My inspection occurred during the time period it was 18% 76% 6% 0% scheduled. Scheduling my inspection was easy. 24% 53% 18% 6% The plan review comments provided to me were helpful. 47% 35% 18% 0% Total 39% 49% 11% 1% The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 15 NDS Review Property Maintenance Code Enforcement & Inspections Thirteen respondents reported interacting with Property Maintenance Code Enforcement & Inspections staff within the last year. These interactions chiefly involved property maintenance issues and related inspections. One respondent provided an open-ended response citing reports of unfair enforcement practices by staff among the City’s various neighborhoods. Property Maintenance Code Enforcement & Inspections Transactions Inspections 29% Property Maintenance Other (please specify) Issues 7% 64% Figure 6: Property Maintenance Code Enforcement & Inspections Transaction Types Respondents approve of Property Maintenance Code Enforcement activities and believe that issues are handled effectively and in a timely manner. Respondents also agree that staff are courteous, professional, and responsive to requests. Table 12: Statements About Property Maintenance Code Enforcement & Inspections Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree My property maintenance issue was handled effectively. 23% 54% 15% 8% My property maintenance issue was handled in a timely 27% 55% 9% 9% manner. Property Maintenance Enforcement & Inspections staff 33% 42% 8% 17% were courteous and professional. Property Maintenance Enforcement & Inspections staff 29% 50% 14% 7% were responsive to my requests. Total 28% 50% 12% 10% Historic Preservation and Board of Architecture Review Fifteen respondents reported interacting with NDS historic preservation functions, including the Board of Architecture Review. The Novak Consulting Group Strengthening organizations from the inside out. Page 16 City of Charlottesville, Virginia NDS Review Historic Preservation and Board of Architectural Review Transactions Other (please specify) 21% Design Review 41% Historic Preservation Program 17% Entrance Corridor Review 21% Figure 7: Historic Preservation and Board of Architectural Review Transaction Types Other transactions identified by respondents include overlay districts, the appropriateness of development in historic districts, contributing structure designations, and the comprehensive plan. Respondents agree that the application process is easy to understand regarding historic preservation efforts, and that the current process helps to preserve the City’s historic assets. However, a majority of respondents indicated that comments provided through the design review process were not helpful. Table 13: Statements About Historic Preservation and Board of Architectural Review Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree The application process is easy to understand. 13% 44% 31% 13% The current process helps to preserve the historic assets of 18% 35% 29% 18% the City. The design review comments provided to me were helpful. 19% 25% 38% 19% Total 16% 35% 33% 16% When asked to identify specific ideas for improving the historic preservation process, five respondents supplied open-ended answers. These ranged from leaving the process alone to more rapidly determining whether proposed projects fall into historic district areas. Other respondents suggested shortening the Board of Architectural Review process to speed up the revision process, more thoroughly tracking how comments were addressed during the review process, and comprising the Board of Architectural Review with builders and architects. Affordable Housing, CDBG, and HOME Programs Fifteen respondents indicated they had interacted with NDS regarding affordable housing, CDBG, or HOME programming within the last year. CDBG was the subject of most transactions, followed by Affordable Housing and the HOME program. Three respondents submitted open-ended answers describing meetings held with NDS staff regarding these programs. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 17 NDS Review Affordable Housing, CDBG, HOME Transactions Other (please specify) 13% HOME Program 12% CDBG Program 46% Charlottesville Affordable Housing Fund 29% Figure 8: Affordable Housing, CDBG, HOME Transaction Types Respondents expressed satisfaction with the availability of information about the Affordable Housing, CDBG, and HOME programs, and indicated that the application process for all programs is easy to understand, as illustrated on the following table. Table 14: Statements About Historic Preservation and Board of Architectural Review Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree I can easily find information about the CAHF, CDBG, and 8% 69% 15% 8% HOME programs. The CAHF application process is easy to understand. 11% 44% 33% 11% The CDBG/HOME funding application process is easy to 8% 50% 33% 8% understand. The programs are easy to access. 9% 55% 18% 18% Total 9% 55% 25% 11% Zoning Seventeen respondents indicated they had interacted with NDS zoning staff in the last year. A majority of these transactions included zoning review and inspections. Less than ten percent of reported transactions included home occupation, homestay/accessory apartment applications, or vending/café applications, respectively. Two respondents supplied open-ended answers, including business referrals and certificate of occupancy requests. The Novak Consulting Group Strengthening organizations from the inside out. Page 18 City of Charlottesville, Virginia NDS Review Zoning Transactions Home Occupation 7% Homestay/Accessory Apartment Application 3% Inspections 26% Zoning Review 52% Other (please specify) 6% Vending/Cafe 6% Figure 9: Zoning Transaction Types Respondents are satisfied with zoning timeframes and the courteousness and professionalism of zoning staff. However, a majority of respondents do not believe their zoning issues were handled effectively and did not agree that the comments provided by zoning staff were helpful. Respondents were evenly split regarding the responsiveness of zoning staff to customer requests. Table 15: Statements About Zoning Please rate your level of agreement with the following Strongly Strongly Agree Disagree statements. Agree Disagree My zoning issue was handled effectively. 19% 13% 50% 19% My zoning issue was handled within required timeframes. 20% 53% 0% 27% The comments provided to me by zoning staff were helpful. 19% 25% 38% 19% Zoning staff were courteous and professional. 25% 44% 13% 19% Zoning staff were responsive to my requests. 19% 31% 25% 25% Total 20% 33% 25% 22% Neighborhood Outreach Most respondents believe the City provides adequate information for upcoming events and status updates, as illustrated on the following figure. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 19 NDS Review Does the City provide adequate information for upcoming events and status updates? No 22% Yes 78% Figure 10: City Outreach for Upcoming Events and Status Updates Six respondents provided additional open-ended comments, including recommendations to streamline email notifications, improve the legibility of Board of Architectural Review and parking closure signs, updating the website, pushing messages via a phone app, and improving the consistency of communications. Twenty-seven respondents reported attending a public meeting or hearing regarding development activity in their neighborhood in the last year, while ten respondents did not attend such meetings. Public Meeting Attendance 20 19 18 16 14 12 10 10 8 8 6 4 2 0 Within the last 6 months Within the last 12 months Never Figure 11: Attendance at Public Meetings in the Last 12 Months Respondents were also asked whether they believe the City works hard at balancing the viewpoints of site plan applicants and neighborhoods. Thirty-four respondents answered this question; half agree that the The Novak Consulting Group Strengthening organizations from the inside out. Page 20 City of Charlottesville, Virginia NDS Review City works hard to balance viewpoints, while the other half disagreed. Those who disagreed were asked to provide open-ended responses describing what the City could do differently. Fifteen respondents provided various suggestions, including improving communication, reducing adversarial interactions between applicants and neighborhoods, avoiding favoritism (particularly of neighborhoods) and advocating more for development projects, and focusing on collaboration between stakeholders and City staff. Open-Ended Feedback Respondents also provided open-ended feedback regarding improvements to NDS which, in their view, would improve customer service or efficiency. Five respondents provided suggestions focusing on customer service improvements, such as increasing the friendliness of staff, improving the timeliness of staff reviews, and performing data entry tasks more rapidly. Respondents also suggested changing specific processes, such as creating more appeals processes for challenging staff decisions, flagging projects in historic districts for early review, and improving the certificate of occupancy review process. Staff and technology needs were also highlighted by respondents. Four respondents directly suggested adding staff, particularly at the front desk. An additional four respondents described technology improvements that would help customers, such as updating the website, starting a 311 hotline, and utilizing better software to aid staff. Other improvement areas mentioned included changing NDS leadership, updating the code to eliminate unclear provisions, and providing additional feedback opportunities to customers. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 21 NDS Review Analysis and Recommendations NDS currently performs a wide array of functions and tasks designed to ensure development in the City is aligned with the vision established by the Council and the community and meets existing development regulations. In an environment of increasing development activity and stakeholder involvement, the Department’s ability to provide services and address stakeholder concerns has become constrained. The limitations impacting NDS are not limited to inefficiencies in a single process or function. Rather, a series of factors and influences have created a working environment that strains NDS staff capacity and prevents the Department from working in a more proactive and efficient manner. NDS must address challenges in three key areas in order to more effectively utilize its existing resources, address customer service needs, and plan for its future. These challenges include: (1) realigning the Department’s structure and management practices to improve reporting relationships and workload assignments; (2) amending the development review process to address stakeholder concerns; and (3) investing in technology and performance management infrastructure to provide better insight regarding the Department’s operations. Following the January 2017 City of Charlottesville Efficiency Study, the NDS Department submitted a request for a new Civil Engineer position as a part of the FY2019 budget process. While staffing levels within the Engineering Division have remained consistent over the last 20 years, workload as well as expectations for staff have been increasing.2 It is anticipated that this proposed position will be responsible for conducting plan reviews for both private development and City CIP projects and will be available to perform in-house design services. An additional position in Engineering will enable NDS to complete more infrastructure projects, improve turnaround time for plan review, and provide enhanced customer service for both internal and external customers. In addition, it will allow staff the opportunity to update policies and manuals and keep design standards and regulations current. While this Report does not specifically address the need for additional Engineering staff, due to the limited availability of workload data, The Novak Consulting Group supports staff’s budget request for an additional Engineering position and stresses the importance of developing specific performance measures and tracking workload data moving forward. The recommendations in this report are intended to help the Department more appropriately balance staff resources and provide services in a more efficient and effective manner. At the same time, these recommendations provide NDS with the tools and resources it needs to more effectively gauge its performance and future staffing needs, which will enable the Department to proactively reallocate resources as the development environment changes. Implementing the recommendations contained in this report will result in the creation of two new positions 3 and adjustments to current reporting relationships in the Department. The proposed organizational structure of NDS is illustrated in the following figure. This includes the recommended positions in this report and the addition of a new Civil Engineer as proposed by staff in the FY2019 budget process; new positions are shown in green. The details of these recommendations are included in the next section. 2 City of Charlottesville Efficiency Study Report, January 2017 3 Does not include staff’s proposed Civil Engineer position for the FY2019 budget The Novak Consulting Group Strengthening organizations from the inside out. Page 22 City of Charlottesville, Virginia NDS Review City Manager Director of NDS Office Administrator 1.0 FTE 1.0 FTE Assistant Director/ Planning Manager 1.0 FTE NDS Support Development Services Manager Services Manager 1.0 FTE 1.0 FTE Preservation & Zoning/E&S City Engineer Design Planner Administrator 1.0 FTE 1.0 FTE 1.0 FTE VDOT Coordinator 1.0 FTE Planner II Assistant Zoning Housing Planner Traffic Engineer Assistant City (Historic Administrator 1.0 FTE 1.0 FTE Engineer Preservation) 1.0 FTE 1.0 FTE Project Manager 1.0 FTE 1.0 FTE Zoning Grants Coordinator Senior Planner/ Assistant Traffic 1.0 FTE Civil Engineer Urban Designer Engineer 2.0 FTE 1.0 FTE 1.0 FTE (Vacant) 1.0 FTE Housing Engineering Bike/Ped Design and Preservation Technician Coordinator 1.0 FTE 1.0 FTE Transportation Planner II Capital Projects Traffic Engineering (GIS/ADA) Coordinator Principal Planner 1.0 FTE 1.0 FTE 1.0 FTE Building Code E&S/VSMP Official GIS Analyst Administrator Property Maint. 1.0 FTE Planner II 1.0 FTE 1.0 FTE Code Official 2.0 FTE 1.0 FTE Deputy Code GIS Survey Technician Property Maint. Official Planner II 1.0 FTE Inspector 1.0 FTE 1.0 FTE 2.0 FTE Secretary II Project Inspector Building Inspector Planning 3.0 FTE 1.0 FTE Property Maintenance 2.0 FTE Codes Support Staff Engineering Building Codes Figure 12: Proposed NDS Organizational Chart, 2018 Structure and Management NDS is a large Department that spans many functional areas. To improve reporting relationships and more effectively balance staff roles and responsibilities, adjustments to the Department’s supervisory structure and functional assignments are necessary, as described in the following recommendations. Recommendation 1: Create a Support Services Manager position. A central management challenge in NDS involves the distribution of staff assigned to management positions. Aside from the Director, the only upper management staff in the Department consists of an Assistant Director and the Development Services Manager. The Assistant Director reports to the Director and is responsible for supervising the Development Services Manager along with staff in the Planning and Customer Service functional areas. The Development Services Manager supervises staff in the Engineering and Inspections and Code Enforcement functional areas. Under the current staffing structure, the Assistant Director has 15 direct reports, including the Development Services Manager, who in turn has seven direct reports.4 The difference in the number of staff reporting to these positions is largely attributable to the use of more middle managers within 4 This includes a Project Manager position on the Transportation Team which is currently vacant. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 23 NDS Review Development Services. Teams under this functional area, such as Engineering, Traffic Engineering, Property Code Enforcement, and Building Enforcement, all have individual supervisors who report to the Development Services Manager. In contrast, staff in the Customer Service Administration and Planning functional areas report directly to the Assistant Director. The Historic Preservation Assistant is the only staff member in these functional areas who does not report directly to the Assistant Director; this position instead reports to the Preservation & Design Planner. In organizations of Charlottesville’s size, it is unusual for Assistant Directors to be responsible for supervising so many positions, particularly when these positions are front-line staff and not middle managers. While it is appropriate for the Assistant Director to focus on the Department’s operations and staffing, it is unreasonable to expect the Assistant Director to oversee 15 direct reports. This level of oversight responsibility requires the Assistant Director to become too involved in day-to-day administrative functions for the Department such as resolving personnel issues, overseeing the budget, and general customer service and office administration. Because of this significant span of control, the Assistant Director has comparatively little time available for other operational work, such as work planning for Department staff, reviewing employee performance, hiring new staff, budget preparation, and reviewing checks, invoices, and payments. These tasks also compete with the need to manage important processes, such as the CDBG and the development review processes, to ensure staff are performing effectively and that the Department is achieving customer service goals. In addition, it is important to note that the Assistant Director is a staff liaison to the Planning Commission and often attends City Council and other public meetings. The Assistant Director is often expected to make presentations on proposed development issues and address questions, and leads various special projects and planning studies like the Comprehensive Planning Update. These responsibilities, coupled with the current staffing arrangement, create an environment that burdens the Assistant Director with an unreasonably broad role in the organization. To reduce the Assistant Director’s span of control, streamline reporting relationships, and more effectively allocate workload, it is recommended that the Department create a Support Services Manager position. The Support Services Manager should report to the Assistant Director, and should be given oversight of the administrative and internal services functions of the Department, including the Department’s GIS, Housing, and Customer Service teams. Assigning these teams to the Support Services Manager will result in several direct advantages for NDS, its staff, and its customers. First, transferring the GIS, Housing, and Customer Services teams to the Support Services Manager will immediately reduce the Assistant Director’s span of control by six direct reports. As a result, the Assistant Director will be responsible for nine total direct reports, including the Support Services Manager and the Development Services Manager. Each of these Manager positions will in turn be responsible for seven direct reports. Second, in addition to reducing the Assistant Director’s span of control, the Support Services Manager will be able to undertake several departmental functions currently performed by the Assistant Director. These include budget and grant management, payroll, and the Department’s hiring/personnel process. Assigning these functions to the Support Services Manager is appropriate because many of the staff under this position’s responsibility are closely involved with grant processes, payroll, processing purchase orders and invoicing, and other internal services tasks. Additionally, the Support Services Manager will be able to The Novak Consulting Group Strengthening organizations from the inside out. Page 24 City of Charlottesville, Virginia NDS Review engage in more comprehensive management of these staff on a day-to-day basis, including the development of work plans, administering performance reviews, and troubleshooting problems as they arise. Reassigning internal services functions to the Support Services Manager creates capacity for the Assistant Director to provide enhanced services in a variety of areas. Specifically, the Assistant Director will be able to provide greater oversight of the development review process and special projects, and to assist the Director with broad strategic decision-making tasks. This is particularly important given feedback received through the stakeholder input process. Stakeholders desire improved relationships with NDS, particularly in the development review process. Implementing this recommendation will provide capacity for the Assistant Director to play a more proactive role in communicating with applicants and developers. Recommendation 2: Reallocate job duties among internal support staff. NDS currently has four administrative staff positions, including an Office Administrator and three Secretary II positions. The responsibilities of these positions vary considerably. The Office Administrator provides direct support to the NDS Director by taking phone calls, making appointments, and scheduling. This position provides limited support to the Assistant Director and Development Services Manager. In addition, this position processes some internal payments, such as invoices and purchases orders, and reconciles the credit cards for the Department. Two of the Secretary II positions are located at the front desk. These positions serve as the Department’s main point of contact with the public. Current responsibilities include answering phones, assisting walk- in customers, routing inquiries to appropriate staff members, performing intake for all NDS applications and permits, issuing permits, scheduling inspections, and processing related payments (intake fees, permit fees, etc.). Additionally, these staff are also responsible for many internal Department functions such as issuing and paying purchase orders, processing department invoices, maintaining the Department’s financial records and budget information, generating monthly, fiscal, and calendar year data reports, and ordering office supplies. The third Secretary II position is responsible for taking minutes for the Planning Commission, Place Design Task Force, Board of Architectural Review, and Board of Zoning Appeals. Most of these boards meet once a month, although the Planning Commission may meet more frequently depending on development schedules. Some of these minutes are transcribed verbatim, while others are summary-based, depending on the preference of each board/commission. This position is also responsible for composing notifications and mailings related to board/commission activities and formal development processes, such as rezonings. The current division of workload responsibilities among these positions has created several challenges for the Department and its customers. First, the presence of only two Secretary II positions at the front desk creates coverage challenges in the event of leave or other absence. Staff reported that phone backlogs and long customer service lines are not unusual, and noted that customer service degrades when front desk staff take breaks, leave for lunch, fall ill, or otherwise use leave. As a consequence, these staff report limited ability to take breaks for fear of creating additional backlogs. Second, the responsibility of staff to cover for each other in the event of an absence is not uniformly understood. While all of these administrative positions should be able to cover for front desk staff, this coverage is inconsistent, and staff report various levels of knowledge and comfort regarding the The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 25 NDS Review performance of front desk job duties (i.e. how to schedule an inspection, take a payment, or issue a permit). As a consequence, other staff members including the Assistant Director and the Property Maintenance Code Official sometimes provide coverage for front desk staff. This is an inefficient use of time among higher-level positions. Third, the allocation of functions among these positions has evolved largely based on the skillsets of personnel in each position. While this creates efficiencies in the short-term, it exacerbates structural problems regarding workload. Front desk staff are currently responsible for all external customer service functions, including time-intensive tasks like answering phone calls, providing in-person assistance, scheduling inspections, and processing payments for development applications. At the same time, these staff are also expected to perform time-intensive internal services functions, such as reconciling purchase orders and invoices. To address these challenges and foster a more equitable distribution of workload tasks among administrative support staff, it is recommended that the Department reassign administrative support functions using a two-step approach. The first step involves distinguishing internal and external service functions, and assigning these functions to the appropriate staff. Specifically, the Secretary II positions at the front desk should be assigned responsibilities for external customers service functions, while the Office Administrator and the third Secretary II should share responsibilities for internal service functions, as follows: External NDS Functions • Answer the phone • Managing the front desk and addressing the public • Intake of applications • Schedule inspections • Update information in Adept (NDS system) • Issue permits • Collect payments • Deposit cash • Data reporting Internal NDS Functions • Calendaring/scheduling of Director • Processing of all Department invoices and purchases orders (set-up of purchase orders, processing invoices and purchase orders) • Department budget functions (Finance spreadsheet) • Oversight and responsibility for office supplies and equipment (ordering of office supplies, maintenance of copier, etc.) • Credit card reconciliation • Minute taking of Department boards, commissions, and task forces • Setup and meeting preparation for all Department boards, commissions, and task forces • Department mailings/notifications Redistributing workload in this fashion will create more capacity for front desk staff to focus on customer service functions, while distributing internal services tasks to administrative personnel who do not regularly staff the front desk. The Novak Consulting Group Strengthening organizations from the inside out. Page 26 City of Charlottesville, Virginia NDS Review The second step toward rebalancing administrative workload involves cross-training administrative staff on core functions. All support staff should be expected to perform the core functions of their counterparts to facilitate seamless coverage in the event that personnel take breaks or utilize leave. In particular, it is essential for these staff to have a good working knowledge of inspections scheduling, issuing permits, minute taking, and the processing of purchase orders/invoices. Cross-training staff in this way avoids the need to utilize management-level positions to cover for front-line staff. While this recommendation specifies an approach to rebalancing responsibilities based on internal and external customer service functions, it is also important for the Department to obtain a better working understanding of staff time and process times associated with these activities. This is particularly important for processes and tasks with intensive time requirements, such as scheduling inspections, note- taking, and the permitting process. Tracking staff time as well as workload tasks will allow the Department to more effectively assign staff based on actual workload drivers. The Novak Consulting Group has developed a list of several performance measures that the Department should utilize to better gauge administrative staffing needs. These measures can be found in the Technology and Performance section of the report. After implementing these measures and gathering sufficient data, Department management will be able to analyze staffing needs for administrative functions in a more robust, data- driven manner. Recommendation 3: Rebalance neighborhood areas assigned to Planning staff. For planning and workload purposes, NDS has divided the City into geographic quadrants, with each consisting of four to seven neighborhoods. Each of the three Planners and the Senior Planner/Urban Designer is assigned a quadrant. All development, such as rezonings, site plans, subdivisions, and special use permits taking place in the associated neighborhood/quadrant, is the responsibility of the assigned Planner. Assigning projects based on geographic quadrants allows each Planner to become attuned to the issues facing individual neighborhoods and areas. These assignments also create opportunities for staff to develop a rapport and history with neighborhood leaders. However, it is important for Department leadership to analyze the activity in each quadrant to assure that the distribution of development review projects assigned to staff remains equitable. During interviews and focus groups, both NDS staff and stakeholders shared concerns about the Department’s workload. There was consensus among these groups that development activity generally has increased in terms of overall volume as well as intensity. Because this growth has occurred in various parts of the City, the workload balance among Planning staff has shifted. The following chart provides an estimated three-year workload for each of the City’s Planners by quadrant. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 27 NDS Review Table 16: Planning Workload by Quadrant/Planner for past Three Years (Cumulative Total) 5 Estimated Workload, 2015-2017 Planner 1 Planner 2 Planner 3 Planner 4 Rezonings 2 5 1 8 Special Use Permits 10 4 7 8 Site Plans 50 20 27 39 Site Plan Amendments - 38 31 - Subdivisions - 40 22 38 Total 62 107 88 93 Based on the information provided by staff, each Planner has been assigned on average 87.5 projects over the last three years, or approximately 29 projects per year. Only one Planner has experienced less than the average in projects completed, while two are much higher. Importantly, these figures represent only the number of projects assigned and not their intensity; staff report that formal processes such as special use permits and rezonings are frequently more intensive than other projects, while the difficulty of site plan review can vary depending on the project. That said, there are large variations in the types of project assigned to each staff member over the last three years due to development patterns in the community. To combat this and provide a more equitable workload distribution for staff, NDS has begun assigning new projects based on workload volume in certain quadrants, as well as other factors such as special projects. In addition to current development review activities, Planners also are responsible for all long-range planning efforts for the City. Given these trends and reported development patterns in the community, it is recommended that NDS rebalance neighborhoods assigned to each Planner based on workload volume as well as workload intensity. As development patterns continue to evolve, the Department should reevaluate neighborhood assignments on a regular basis (such as biennially) to ensure workload equity and assist in assigning special projects. Recommendation 4: Create a new Planner position on the Planning Team and refocus the role of the Senior Planner/Urban Designer. The Department currently utilizes four planning positions to coordinate long-range planning activities and provide current planning functions, such as formal and by-right development review. Three of these positions are part of the Planning Team, including a Principal Planner and two Planner II positions. The fourth position is a Senior Planner located in the Design and Preservation Team. Department staff refer to this position as the “Urban Designer” or the “Senior Planner/Urban Designer,” and it appears on the Department’s internal organization chart as the Urban Designer position. According to NDS staff, the Urban Designer position was initially created to provide an urban design review for all new development projects throughout the City. The urban design review is intended to foster a sense of placemaking through a best practice examination of the development’s site plan and publicly accessible amenities. It should be noted that this review is not based on codified City standards related to urban design, but rather the Urban Designer’s professional recommendation and best practices. The recommendations made as a result of the urban design review are optional, and developers are not required to incorporate urban design review comments to secure plan approvals. 5 Data provided by NDS staff, estimates only by Planner (not available by neighborhood) The Novak Consulting Group Strengthening organizations from the inside out. Page 28 City of Charlottesville, Virginia NDS Review Ideally, the Urban Designer would have the time and availability to provide an urban design review for all new development in the City. However, the Urban Designer is currently utilized as a traditional Senior Planner, rather than solely as an Urban Designer, and is performing standard development review activities. The Urban Designer has been assigned planning responsibilities for one of the four City quadrants. Responsibilities include pre-application meetings with developers and applicants, coordinating applications and submittals, reviewing plans, compiling and distributing comments to applicants, and attending public meetings. In addition, to traditional planning responsibilities, the Urban Designer is responsible for “urban design” responsibilities such as staffing the Place Design Task Force, and completing an urban design review for all new development throughout the City. However, assigning regular development review as well as urban design review responsibilities to the Urban Designer poses several challenges to NDS and its customers. First, having the Urban Designer provide comments based on codified requirements as part of the plan review process, as well as best practice comments as part of the urban design review can be confusing to applicants – especially when the comments are coming from the same individual. In focus groups and survey results, stakeholders indicated that it is sometimes difficult to distinguish between comments based on codified requirements and comments that represent the Planner’s recommendation of a best practice. While staff have made efforts to highlight regulatory requirements by indicating specific code sections related to each comment, assigning two different review types to the same position exacerbates existing confusion. Second, as development activity increases throughout Charlottesville, the Urban Designer experiences greater development review workload. This in turn decreases available time to conduct urban design reviews and reduces the Department’s capacity to a foster a sense of placemaking in new projects. Conversely, to properly devote time to urban design review, the Urban Designer may be less available to undertake new planning projects occurring in his/her assigned geographic area. This may result in shifting workload to other Planner positions who are also responsible for their own development review activities. Finally, assigning these responsibilities to the Urban Designer creates operational tensions between this position’s team roles. The Charlottesville community has historically emphasized the importance of urban design and historic preservation activities, and much of these activities are assigned to Design and Preservation Team staff. The City currently maintains an inventory of 74 individually registered historic properties and utilizes eight Architecture Design Control (ADC) overlay districts to regulate design restrictions on properties within each district. The Urban Designer is assigned to the Design and Preservation Team to provide urban design guidance for properties outside of ADCs. Instead, this position spends a significant amount of time performing non-urban design reviews and working with the Planning Team. Given the City’s interest in historic preservation and placemaking, it is appropriate for the Department to maintain a position fully dedicated to urban design. Importantly, the need for dedicated urban design support was discussed by NDS stakeholders during this review effort as well as during the 2017 Efficiency Study conducted by The Novak Consulting Group. 6 To maximize staff capacity for urban design review, the Department should create a new, dedicated Planner position on the Planning Team and refocus the Urban Designer’s responsibilities solely on urban design review. 6 2017 Efficiency Study The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 29 NDS Review The new dedicated Planner position will be responsible for all planning functions outside of urban design review which are currently assigned to the Urban Designer. This includes all development review activities that occur in the Senior Planner/Urban Designer’s geographic area; handling general inquiries from the public; formal development review within assigned neighborhoods; reviewing and coordinating by-right projects, special use permits, and rezonings; and attending public and community meetings. Eliminating regular planning responsibilities will provide the Senior Planner/Urban Designer with additional capacity to perform urban design reviews for new development projects across the City. Additionally, the Senior Planner/Urban Designer will have increased capacity to work with the Place Design Task Force and to continue developing appropriate best practice recommendations and guidelines for placemaking. An additional important function that may be assigned to the Senior Planner/Urban Designer involves neighborhood outreach and communication. During focus groups and in survey results, neighborhood stakeholders articulated a desire for increased communication and advocacy from NDS staff regarding developments in their local areas. While the Department routinely provides neighborhoods with opportunities to provide comments and feedback on proposed projects, there is an opportunity for the Senior Planner/Urban Designer to work with neighborhoods in a more direct manner. This increased interaction may occur in a variety of ways. While it is inappropriate for staff to directly advocate for neighborhoods during the development review process, there is an opportunity for NDS to work closely with neighborhoods on the creation of neighborhood-level plans that help to capture the neighborhood’s vision and goals for their community. The Senior Planner/Urban Designer can begin to address this opportunity by working with interested neighborhoods on local area plans that incorporate design goals and placemaking elements sought by residents. These plans can then be used to inform the developers and applicants about the community’s desired vision for new developments in their area. By creating additional capacity for the Senior Planner/Urban Designer to focus on urban design review, and particularly on how neighborhoods can contribute to the urban design review process, NDS can more effectively accomplish its workload while building additional bridges with developers and residents alike. Recommendation 5: Establish a protocol for responding to Council inquiries. The City of Charlottesville has an engaged City Council. During interviews, staff throughout the Department indicated having various levels of direct communication with members of the City Council. This communication includes direct contact between Councilmembers and line-level staff in NDS, as well as email communications and phone calls. Sometimes, but not always, the City Manager and NDS Director are courtesy copied on emails. These communication practices have contributed to a sense of confusion among staff. When a request is received from a member of the City Council, it is perceived by staff as a top priority, and all other projects, activities, assignments are placed on hold to attend to the Councilmember’s request. While Councilmembers may not intend for their inquiry or request to be perceived as having a high level of urgency, staff nevertheless place a high priority on responding as quickly as possible. There is currently no defined protocol instructing NDS staff throughout the Department on how to handle or respond to Council requests. Some staff members spoke with their supervisor before responding, while others did not. Some knew to copy the City Manager’s Office, again while others did not. Employees new The Novak Consulting Group Strengthening organizations from the inside out. Page 30 City of Charlottesville, Virginia NDS Review to the organization, and new to working in a local government setting with a governing body, had not received training or guidance on how best to respond. To reduce confusion and streamline communications practices, it is important for City management and Department leadership to establish a clear protocol regarding communications with the City Council. Many organizations encourage a more traditional or formal form of communication between elected officials and staff to eliminate confusion and the perception of the governing body directing staff. A recent International City/County Management Association publication by Kevin Duggan and Mike Conduff provides relevant guidance on this point: Regardless of variations in rules, regulations, and expectations regarding elected official contact with agency staff, it is a fundamental principal of the council-manager form of government that council members will not direct staff other than through the manager. In some cases, all direct contact is discouraged. In other cases, asking questions is considered acceptable, particularly if directed at higher level employees such as department heads. 7 To establish an effective communications protocol between elected officials and staff, the City and the Department should implement the following communications steps: 1. In situations where staff receive emails directly from a Councilmember, those emails should be forwarded to the Director and/or Assistant Director for follow-up. 2. The Director and/or Assistant Director should review the Council inquiry/request. 3. The Director and/or Assistant Director (or staff, under the direction of the Director or Assistant Director) should respond to the Councilmember, acknowledge the request and indicate that the Department is working on a response and when a response will be provided; the City Manager and Assistant City Manager should be copied on the email. 4. The Director and/or Assistant Director should assign the request to the appropriate NDS staff member and ask for a response within an appropriate time. 5. The staff member should provide the Director and/or Assistant Director with the information requested via email or electronic memo. 6. In the event the request takes longer than the anticipated time frame, the Councilmember should be notified and provided an updated timeframe. City Manager and Assistant City Manager should be copied. 7. The Director and/or Assistant Director (or staff, under the direction of the Director or Assistant Director) should respond to the Councilmember’s inquiry with the appropriate information. The City Manager and Assistant City Manager should be copied on the email. There are several reasons why all Council communication should go through the Director/Assistant Director instead of line-level staff members. It ensures that the Council has not overstepped their role by directing staff members, and it helps keep management informed of the frequency, type, and number of requests made by the governing body. Line-level staff should never be placed in a situation where they are expected to communicate and respond directly to City Council inquiries and requests. This allows staff to stay focused on their day-to- day work while allowing the Director/Assistant to maintain a positive and supportive relationship with the 7 “Making it Work: The Essentials of Council-Manager Relations”, Kevin Duggan and Mike Conduff, 2016 - https://icma.org/documents/making-it-work-essentials-council-manager-relations The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 31 NDS Review City Council. Staff should be provided the tools and permission to refer a Councilmember to the Director/Assistant or City Manager in situations where they may be contacted directly. Development Review Process Improvements Ownership of the Process In the January 2017 City Efficiency Study, The Novak Consulting Group recommended that an Assistant City Manager be designated as the owner of the City’s development review process and Chair of pre- development meetings. Since the publication and review of that study, the City has funded a new NDS position. However, there has been much discussion about the focus of that position and its organizational location. The intent of the original recommendation was to have someone own or oversee the development review process within the organization – specifically to help resolve issues of conflict among disciplines, ensure deadlines are met, and ensure that appropriate staff attend meetings. As noted elsewhere in this report, opportunities for staff to internally resolve comment conflicts as a group are limited to DRT meetings, which occur prior to initial review deadlines for staff. If conflicting internal staff comments are unresolved, the applicant is often put in the position of mediating the resolution between departments or disciplines. This is problematic for staff as well as applicants. To resolve these challenges and facilitate improved communications with applicants, it is important for the City to designate an owner over the development review process. This owner needs to be in a position of authority to provide clear and consistent direction to all development review staff, regardless of their department. This position should also be the face of the process to the development community. Because this role will require significant institutional authority, it is recommended that ownership of the development review process be assigned to an Assistant City Manager. 8 Notably, The Novak Consulting Group’s original recommendation did not include language advocating for the creation of a new position. Rather, the Efficiency Study indicated that a position at the Assistant City Manager level should ultimately have the authority to take ownership of the development review process. In this context, ownership of the development review process does not include day-to-day oversight of staff involved in development review. Management oversight of these staff should be left to the NDS Director and Assistant Director, including assigning work to staff, reviewing staff reports, working with relevant boards and commissions, and attending meetings when necessary (including pre-application, pre-development, DRT, Comment Review, and Site Plan Conference meetings). In contrast, the Assistant City Manager would be utilized at a much higher level and brought into projects that are high-profile, involve extensive conflicting comments, poor staff performance, or other significant challenges. The Assistant City Manager may also get involved in the development review process when a proposed project becomes very politically charged or sensitive. In short, the City should designate an Assistant City Manager to manage the development review process when challenges, issues, and opportunities require escalation at a higher level than the NDS Director and Assistant Director can provide. The intention of this recommendation is not to require an Assistant City Manager to attend more development review meetings, unilaterally change processes, or otherwise insert themselves into the development review process simply for the sake of becoming more involved. 8 Ibid The Novak Consulting Group Strengthening organizations from the inside out. Page 32 City of Charlottesville, Virginia NDS Review Rather, the goal is to create a deeper connection between NDS and the City Manager’s Office regarding development review which can better accommodate high profile projects and resolve significant challenges in a constructive manner. It is not anticipated that this workload will merit hiring an additional Assistant City Manager position; rather, these responsibilities should be assigned to the Assistant City Manager currently overseeing NDS. To facilitate growing this relationship, the assigned Assistant City Manager, NDS Director, and NDS Assistant Director should establish regular monthly communication meetings to keep each other informed of upcoming projects and to determine which projects and meetings the Assistant City Manager may need to be involved in and attend. The Assistant City Manager should also offer advice and insights regarding projects, staff activities, and the development review process where appropriate. Rather than use the newly-funded FTE position to hire a new Assistant City Manager dedicated to overseeing development review, the City should consider utilizing the funded FTE to fill other positions as recommended in this report, such as the Support Services Manager position or the Planner position. Rapidly filling these new positions will have a positive impact on the Department and the development review process. Current Process Elements The City development review process is well-defined and includes several steps designed to inform applicants as well as community members about proposed developments. Like other communities across the country, the City utilizes several mechanisms to address development needs. Development projects that involve formal components, such as special use permits and rezonings, involve pre-application meetings with applicants and public hearings where residents can provide feedback to relevant boards and commissions (like the Board of Zoning Appeals and/or the Planning Commission). Other development processes, such as the City’s by-right development process, are less formal. A by-right development does not require approval from a City board or commission, and its application process is coordinated and approved entirely by NDS staff. While the Department’s formal development review processes appear to provide ample opportunity for input by applicants and the public, stakeholders articulated dissatisfaction with the by-right development process. When an application for a by-right project is submitted, it is assigned to a Planner based on geographic area. The Planner is responsible for distributing the application, plans, and supporting materials to relevant disciplines in NDS and other City departments for review. This distribution is entirely manual and involves making duplicate paper copies and routing them via interoffice mail. Each discipline is expected to return written comments regarding the application to the assigned Planner within three weeks. City staff usually provide these comments to the Planner via email. In the interim, the Planner schedules two meetings related to the project. The first meeting involves the Development Review Team (DRT), which is composed of City staff from various disciplines who discuss the project submittal and provide an overview of major comments related to the application. DRT meetings typically take place at least two weeks after the application’s submittal. This allows staff to listen to comments and feedback from other disciplines, and creates an opportunity for resolving conflicts prior to the comment deadline. This meeting is coordinated and led by the assigned Planner. The second meeting is called the Site Plan Conference, which typically occurs three weeks after application submittal (this is also generally the week after the DRT meeting). The Site Plan Conference is largely an opportunity for the applicant to provide information about the project to interested residents, and for The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 33 NDS Review residents to provide feedback on the project to the applicant. The assigned Planner attends the Site Plan Conference to answer questions about the development review process, but the meeting primarily serves as a contact point for applicants and area residents to share perspectives. This meeting is chaired or led by the applicant/developer. After receiving comments from all disciplines, the assigned Planner compiles an initial review letter and includes all comments supplied by City staff. This letter is sent to the applicant and the property owner (if different from the applicant) via email and hard copy. The applicant is then responsible for reviewing the letter, addressing staff comments, and filing a resubmittal. The assigned Planner then distributes the resubmittal for plan review with a comment deadline of three weeks. If additional comments need to be addressed, the Planner will compile them and send them to the applicant and property owner. This process repeats until the application is approved or the applicant withdraws the application. A flowchart depicting the major phases of by-right development review is included in Appendix A of this report. Recommendation 6: Create a comment review meeting between NDS staff and applicants for eligible by-right projects. Feedback from NDS stakeholders indicates that applicants are dissatisfied with opportunities to meet with City staff to discuss comments received on initial by-right submittals. After submitting their application and plans, applicants receive no formal feedback from the City until the assigned Planner compiles staff comments and distributes the initial review letter. Applicants are then responsible for parsing and following up on comments with individual staff members and do not meet with the DRT. Stakeholders expressed a strong desire for opportunities to meet with staff regarding their applications, and indicated that in prior years the City had engaged with applicants to discuss comments in person. Given this feedback and the current structure of the by-right review process, there is an opportunity to improve communications with applicants and, by extension, community members who are interested in by-right development projects. To maximize valuable feedback for applicants and better prepare them for Site Plan Conferences, the Department should create a Comment Review meeting consisting of the applicant and DRT staff. The purpose of the Comment Review meeting is to provide the applicant with an opportunity to meet with all disciplines regarding the initial submittal and to review major staff comments associated with the submittal. Establishing a Comment Review meeting between applicants and City staff to review initial comments presents several advantages for developers and staff. First, it provides the applicant with an opportunity to discern nuances associated with staff comments and solicit feedback from all staff simultaneously. Second, it provides staff and the applicant with an opportunity to discuss key aspects of a project in person, keeping everyone in the loop regarding the information exchanged and decisions made for each application. Third, it creates additional accountability for the applicant and staff regarding important comments to be addressed and provides an opportunity for emphasizing significant comments and concerns. Because meetings like DRT involve significant numbers of staff, it is important to schedule Comment Review meetings in a way that avoids unnecessary drains on staff time. Currently, NDS reserves Wednesdays each month for DRT meetings and Site Plan Conferences, alternating weeks on which these meetings occur. For example, in any given month, Wednesdays in Weeks 1 and 3 are reserved for DRT meetings, while Wednesdays in Weeks 2 and 4 are reserved for Site Plan Conferences. To continue utilizing this approach and minimize scheduling impacts on staff, a two-step approach to establishing Comment Review meetings is recommended. The Novak Consulting Group Strengthening organizations from the inside out. Page 34 City of Charlottesville, Virginia NDS Review First, Comment Review meetings should be required only for by-right development projects that exceed specific thresholds, such as the amount invested in the project, the size/square footage of the project, and/or the type of project being constructed. NDS staff should establish specific criteria that trigger automatic Comment Review meetings for significant projects. This minimizes additional meetings for small-scale projects and allows staff to emphasize intensive communication for high-value and/or high- profile projects. Second, because Comment Review meetings will be composed of the same staff that attend DRT meetings, NDS should reserve time following each DRT meeting for Comment Review. While this arrangement may require DRT staff to meet for longer periods each week, it capitalizes on a time when most DRT staff are available and reduces the need for additional scheduling. Applicants should be scheduled for a Comment Review meeting after receiving initial comments from staff; for example, the assigned Planner should indicate the Comment Review meeting date in the applicant’s initial review comment letter. This provides the applicant with some time to review and process staff’s initial comments prior to reviewing them in person. The Comment Review meeting, like the DRT meetings, would be led or chaired by the assigned Planner. The following table illustrates major milestones associated with the current by-right review process compared to the recommended approach of utilizing a Comment Review meeting. Table 17: Comparison of Current By-Right Process to Proposed By-Right Process Week Current By-Right Process Proposed By-Right Process • Application submitted and routed • Application submitted and routed Week 1 to staff to staff • Initial plan review • Initial plan review Week 2 • DRT Meeting • DRT Meeting • Staff comments due • Staff comments due • Site Plan Conference • Site Plan Conference Week 3 • Initial review letter sent to • Initial review letter sent to applicant applicant • Comment Review meeting • Applicant addresses comments with Week 4 • Applicant addresses comments with individual staff individual staff The creation of a Comment Review meeting for eligible projects is unlikely to increase the time associated with development review because it will occur the week after the applicant receives comments. Over the long term, the Comment Review meeting may serve to shorten development review times if applicants and staff take full advantage of the meeting to improve communication about comment requirements. Technology and Performance To provide efficient and effective services, it is critical for organizations to utilize technologies that streamline routine work while facilitating the collection of appropriate workload and performance measurement data. Because NDS relies on manual processes and does not utilize centralized software solutions, the Department cannot accurately describe how workload is divided among staff or reliably forecast future staffing needs. This contributes to a service delivery approach that is more reactive than proactive, which in turn contributes to dissatisfaction among staff and stakeholders. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 35 NDS Review The following recommendations are designed to highlight specific hardware, software, and performance measurement initiatives that will position the Department to more effectively track and analyze workload and employee performance. This information is essential for Department leadership to make informed decisions about staffing and customer service goals. Recommendation 7: Provide staff with the appropriate technology to complete their work. As noted in the 2017 Efficiency Study report, the NDS Department is heavily reliant on paper and manual processes to accomplish tasks such as plan review, permitting, and inspections. Many of these paper transactions are logged into a custom software program, ADEPT, which largely serves as a central data repository for the Department. However, the ADEPT program has not been updated in some time and does not capture sufficient data to meet the Department’s present needs. As a result, the 2017 Efficiency Study recommended implementing a new software system to better meet the needs of all NDS disciplines. Subsequently, NDS staff received authorization to issue a request for proposals (RFP) designed to procure software to replace ADEPT. Staff initially developed an RFP that mirrored the original design specifications for the ADEPT system. During this process, other departments (such as Public Works) expressed interest in partnering with NDS to procure a single software platform that could meet workload tracking and performance measurement needs City-wide. As a result of these discussions, staff are currently rewriting the software RFP to better reflect broader organizational needs. In addition to software needs, the age of computer hardware in NDS is also a source of concern. The Information Technology (IT) Department completed an inventory and assessment of NDS computer hardware in June 2017. Of the Department’s 42 computers, approximately 70% were purchased prior to calendar year 2015. The median age among all NDS computers is approximately four years, and the Department’s oldest computer is more than eight years old. The following figure illustrates the number of computers purchased in NDS by calendar year. NDS Computers Purchased by Year, 2009-2017 12 11 10 8 7 7 6 6 6 4 4 2 1 0 0 0 2009 2010 2011 2012 2013 2014 2015 2016 2017 Figure 13: Number of NDS Computers Purchased by Calendar Year, 2009-2017 In addition to age, the IT Department evaluated NDS computers based on available memory, processor speed, and suitability for upgrades. This information was used to assign each computer a classification The Novak Consulting Group Strengthening organizations from the inside out. Page 36 City of Charlottesville, Virginia NDS Review based on a three-point scale. Computers classified as “green” indicated little need for upgrades or replacement. Computers classified as “yellow” indicated a need for memory or other upgrades to perform acceptably, while computers classified as “red” indicated a need for replacement. Nearly one-third of NDS computers were classified as “Red”, or needing replacement, and over two-thirds require memory or other upgrades to achieve acceptable performance. The following table illustrates these results. Table 18: Status of NDS Computer Systems, 2017 IT Department Classification Number of Computers Percent of Total Green 1 2% Yellow 28 67% Red 13 31% Grand Total 42 100% Replacements and upgrades to these systems were suspended in mid-July 2017 due to the IT Department’s increased emphasis on upgrading all computers City-wide to Microsoft Office 2016™ and Windows 10™. As part of this shift, the IT Department suspended computer replacements unless machines became totally inoperable. In short, while the Department has begun to make progress replacing outdated software and hardware systems to better meet the needs of staff and customers, both of these developments have been put on hold or otherwise delayed. While these delays have occurred for rational purposes, NDS will be unable to make significant progress regarding customer service improvements, workload measurement, performance tracking, and streamlining process efficiencies without proper technology investments. Therefore, it is imperative for the City to prioritize technology upgrades and replacement. As the Department endeavors to procure technologies that better equip staff to perform their work, several factors should be considered to ensure maximum utility for NDS. For example, any software procured for NDS should include the following functions at a minimum: • A permitting function that facilitates online permit applications, acceptance, and payment. Over- the-counter permit transactions should be automated to the greatest extent possible. Electronic permit applications should get automatically routed to the appropriate reviewer based on geographic location or other criteria. • A development review function that creates a digital repository of all submitted plans, projects, and related permits. Planners should get automatically assigned to new submittals based on geographic location or other appropriate criteria. Staff in other disciplines involved in plan review should receive a digital notification that a new plan is eligible for review, and comments should be made within the software program. Comments should be visible to all other staff associated with the development project. • As part of the development review function, external customer service enhancements should be included, such as the ability to electronically submit (and resubmit) applications, review staff comments, review permits status, submit payments, and schedule inspections. The system should provide applicants, residents, and interested parties the ability to track an application or project throughout the process. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 37 NDS Review • An inspections function that facilitates scheduling, tracking, and reporting on multi-disciplinary building inspections as well as property maintenance code enforcement inspections. The software should enable staff to record notes in the field and sync relevant pictures, videos, and other data related to the inspections process. The software should also standardize and streamline enforcement procedures such as violation notices, stop work orders, and abatement activities. In addition to these functions, the software chosen by NDS should be capable of automatically time- stamping and tracking milestones associated with core processes, such as the dates and times applications were received and approved by staff, when materials were returned to applicants, resubmittal dates, and the dates of inspections. Where possible, software should also calculate staff time devoted to core tasks, such as plan review and inspections, and track workload and performance measures as described elsewhere in this report. By evaluating potential software solutions against these criteria and the requirements of other departments, NDS will lay the groundwork for procuring technology that will truly help the Department evolve to provide more efficient services. This will result in a software package that not only replaces ADEPT, but allows NDS to change its processes to better serve customers and evaluate its performance. Similar considerations must be undertaken regarding the Department’s hardware. While there is no universal standard to determine when computer replacements are necessary, factors such as age, technical specifications, software capabilities, security concerns, and how personnel interact with hardware should all be considered. In this context, NDS should work closely with ITS to quickly procure hardware that can run the Department’s software and meet the mobility needs of users. By prioritizing investments in the Department’s software and hardware needs, the City will enable NDS to pursue process improvements in a data-driven manner. This in turn will allow the Department to cultivate and implement more efficient processes rather that prop up existing, inefficient practices. Recommendation 8: Develop specific performance measures and leverage software to track them. NDS currently tracks certain workload measures and data points designed to help measure progress toward achieving the City’s strategic planning goals. These measures are in turn compiled in the City’s Clearpoint system, which visualizes progress on strategic initiatives through a dedicated online portal. 9 Specific measures currently tracked using this system include: • Number of supported affordable housing units created per year • Continuum of housing options • Housing support for improved economic mobility • Supply and demand of housing • Price and turnover of housing stock • Inventory of rental housing • Number of Entrance Corridor Review Board (ERB) cases per month • Number of Board of Architecture Review (BAR)/ERB administrative reviews per month • Number of sign permits reviewed in Design Control Districts • Planning projects completed • Site plans approved by the City 9 This portal is accessible at widget.charlottesville.org/strategicplan.htm The Novak Consulting Group Strengthening organizations from the inside out. Page 38 City of Charlottesville, Virginia NDS Review • Linear feet of sidewalk constructed • Number of permits issued • Number of building permit inspections • Number of building plans reviewed • Total construction value of permits issued • Fees collected for all permits • Number of property maintenance inspections conducted • Number of rezoning/Special Use Permit applications submitted per month • Number of site plans submitted • Number of parking requests reviewed per month • Number of traffic calming requests handled • Number of BAR cases per month • Historically designated properties While these indicators are useful and help shed light on the Department’s compliance with strategic planning goals, NDS is unable to provide detailed information regarding employee workloads, process times, and other analytical information that may be used to inform staffing calculations or improve services. This is primarily because the workload measures above largely involve the number of processes and tasks performed by the Department, but do not provide context on the amount of staff time associated with each process, the total turnaround time for various processes, or the number of processes/tasks that are completed within acceptable timeframes. Effective performance measurement involves tracking three types of measures. The first is workload measures, or inputs. These are measures that define the volume of work managed by personnel, as well as discrete work activities. Many of the performance measures currently tracked by NDS are workload measures, as discussed above. However, the workload measures currently tracked by the Department are not sufficiently granular to facilitate an in-depth analysis of workload distribution among the Department’s staff. The second type of workload measure is outcome measures. These are calculated using inputs (e.g., workload measures) to develop ratios and indicators of performance, such as the percentage of plan reviews completed on-time, or the number of inspections completed within appropriate timeframes. Outcome measurement is useful because it provides organizations with a greater understanding of how current processes meet customer and internal expectations. Developing appropriate outcome measures and tracking performance in this way helps organizations to fine-tune process areas that are out of sync with goals and expectations. The third type of measure is an efficiency measure. These measures indicate the relative cost, in terms of dollar value and labor hours, required to meet workload demands. For example, the average number of labor hours required per inspection and the total staff time involved in plan reviews of various types both illustrate resource requirements needed to address specific workload patterns. While the Department has created a framework for tracking basic inputs, expanding performance measurement practices to evaluate a “family” of workload, outcome, and efficiency measures is an essential component of improving efficiency and customer service. The following table details a series of additional performance measures that NDS can begin tracking to more effectively measure performance and service delivery, particularly in the context of permitting, inspections, and development review. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 39 NDS Review Table 19: Example NDS Performance Measures Performance Inputs Required Calculation Steps Measure Permitting and Inspections • Divide permits received by total • Number of permits received by permit processors to calculate an Ratio of permits permit type annual ratio of permits per processor received to permit • Number of permit processors • Evaluate annual change in ratio to processors (intake staff) determine whether workload is increasing or decreasing • Number of inspections • Calculate an annual inspections ratio completed by inspection type by dividing inspections completed by (e.g. property maintenance, type by the number of inspectors Ratio of inspections building, mechanical, available to perform inspections completed to plumbing, etc.) • Evaluate annual change in ratio to available inspectors • Number of inspectors by type determine whether workload is (e.g. property maintenance, increasing or decreasing and inform building inspectors) staffing decisions • Calculate the average number of staff • Number of minutes spent minutes performing inspections of performing inspections, by each type Average time per inspection type (e.g. property • Evaluate changes in average minutes inspection by type maintenance, building, trades, spent per inspection rough-ins, etc.) • If changes are significant, investigate potential causes • Number of inspections • For each type of inspection, divide scheduled, by inspection type the number of inspections completed and date by the number of inspections Percentage of • Number of inspections scheduled to determine the inspections completed, by inspection type percentage of inspections completed completed on and date on-time schedule • For incomplete inspections, • Evaluate inspections not completed record a reason why the on-time to determine major causes inspection did not take place of inspection delays (e.g. reschedule, no-show, etc.) • For each inspection, subtract the date inspections were completed from the date inspections were scheduled to Average length of • Dates inspections were determine the amount of time time between scheduled, by inspection type between scheduling and receiving an inspections • Dates inspections were inspection (e.g. in days or hours) scheduled and completed, by inspection type • Compare the average amount of time completion between inspection schedule and completion to NDS customer service goals The Novak Consulting Group Strengthening organizations from the inside out. Page 40 City of Charlottesville, Virginia NDS Review Performance Inputs Required Calculation Steps Measure • If this time is excessive, investigate causes that contribute to delayed inspections • For each type of inspection, divide • Number of inspections, by the total number of inspections that inspection type, that achieved achieved compliance by those that compliance failed inspection • Total number of inspections • Compare the compliance rate of each Inspection performed, by inspection type inspection, by type, to NDS customer compliance rate • For failed inspections, record a service goals reason why the inspection did • If compliance rates fall short of not achieve compliance (e.g. Department goals, investigate no action taken since last contributory causes and determine inspection, code violation, etc.) action steps to improve compliance (such as education campaigns) Development Review • For each type of development review application, subtract the date initial plan review was completed from the initial application submittal date Average number of • Calculate the average number of days • Date applications were days between initial each application spent in review, by submitted, by type application application type • Date initial plan review letters submittal and initial • Evaluate application review goals were issued, for each plan review against the Department’s target time application, by type completion of 21 days for initial plan review • If the average number of days exceeds the 21-day target, identify causes contributing to lengthy initial review times • For each type of development review application, subtract the date application was resubmitted from the date initial plan review letters were Average number of • Date initial plan review letters issued days between initial were issued, for each • Calculate the average number of days plan review application, by type each applicant spent revising completion and • Date applications were applications, by application type application resubmitted, for each • Utilize the average amount of time resubmittal application, by type applicants spend revising applications to inform the development community about approximate process times The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 41 NDS Review Performance Inputs Required Calculation Steps Measure • For each type of development review application, subtract the date the Average total time • Date applications were application was approved/denied from initial submitted, by type from the date the application as application • Date applications were initially submitted submittal to project approved, by type • Calculate the average total time each approval/denial application type spent in the development review process • Compare the average total development review time of each Percentage of project, by type, to NDS customer development • Average total time from initial service goals review projects application submittal to project • Utilize this data to provide applicants completed on approval, by project type with estimates regarding turnaround schedule times and inform customer service goals • For each type of development review application, calculate the average number of staff hours each reviewer Average hours • Number of staff hours spent spent performing reviews spent performing reviewing applications and • Evaluate trends in average review plan review plans, by type times by application type to determine whether workload is increasing or decreasing and inform staffing decisions • For each staff member, calculate the total number of development review projects assigned, by type • Multiply the number of development • Number of development review projects assigned by the Change in review applications assigned to average hours spent performing plan development NDS staff for review, by type review review workload and geographic location • Evaluate the total estimated hours assigned to staff • Average hours spent associated with plan review for each performing plan review staff member, by type and geographic location • Where necessary, adjust staffing or rebalance workload among staff to more equitably distribute tasks Administrative Support • Sum total interactions by type and • Number of phone calls, emails, Change in customer multiply the total by the estimated in-person contacts made by interactions amount of time required to attend to administrative staff, by type the customer service request The Novak Consulting Group Strengthening organizations from the inside out. Page 42 City of Charlottesville, Virginia NDS Review Performance Inputs Required Calculation Steps Measure • Estimated time associated with • Evaluate the total number of each contact type interactions and total estimated staff time to determine whether administrative staffing levels are adequate • For each inspection request, calculate the total time staff spent scheduling inspections by subtracting the time inspections were requested from the Percentage of • Time inspection request was time the inspection request was inspections made to administrative staff made scheduled within • Time inspection request was • Compare the average time required acceptable scheduled by administrative to schedule inspections to NDS timeframes staff customer service goals • If request processing times exceed service standards, evaluate factors that contribute to lengthy process times • For each payment processing function, record the number of staff hours required to accomplish the process • Staff time associated with each • Calculate the average amount of staff Average payment payment processing function labor hours necessary to accomplish processing time (e.g. credit card reconciliation, payment processing, by type purchase orders, invoicing) • Evaluate whether administrative capacity is sufficient to accomplish processing tasks based on average actual processing times • Record the number of staff hours associated with compiling minutes for all boards and commissions • Calculate the average number of staff hours required to compile minutes in Average • Staff time associated with each year transcription time composing minutes for boards • Evaluate whether administrative for board and and commission meetings, by capacity is sufficient to accomplish commission board/commission type compiling minutes given current minutes practices • Evaluate opportunities to adopt summary minutes or other minutes formats that reduce associated staff times The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 43 NDS Review The above example performance measures are not intended to be inclusive. In any performance measurement system, it is important to gather data that informs the Department and ultimately serves to guide staffing and process improvement decisions. While the measures described above are intended to help the Department begin answering these questions, the Department should periodically evaluate and refocus performance measures where necessary. Additionally, the inputs required to calculate the performance measures above are significant and require the ability to associate granular data with individual staff members, permits, plans, applications, and processes. To avoid burdening staff with significant tracking activities, the Department should seek a software solution that automates the collection of this input data as described elsewhere in this report. Another advantage of utilizing software is the ability to automatically generate reports that calculate these performance measures, further reducing staff workloads associated with reporting data. Where automated collection is not possible, the Department should create benchmark targets for tracking sufficient data to enable reasonable estimates. In other words, it is not necessary for staff to record every minute of every day for performance measurement to be successful. Data should not be gathered simply for the sake of gathering data, as this dilutes the purpose of performance measurement. To provide reasonable estimates, the Department should instead target a specific sample size of processes and measure inputs associated with that sample size. For example, the Department may choose to track process times associated with 30 permit reviews and 15 plan reviews, and extrapolate estimates based on the data collected from those sample sizes. The goal of performance measurement is not to displace the core work of staff or to force legalistic accountings of staff time. Rather, by leveraging technology to automate the data collection and recording process and collecting granular data on core processes, the Department will be better equipped to evaluate the effectiveness of its customer service goals. Data obtained throughout the performance measurement process can then be used to educate staff and the public about reasonable customer service goals and to identify additional opportunities for improvement. The Novak Consulting Group Strengthening organizations from the inside out. Page 44 City of Charlottesville, Virginia NDS Review Conclusion NDS is poised for success, with employees who are committed to creating a superior built environment, ensuring high-quality design and development, and providing excellent customer service to the Charlottesville community. The recommendations contained in this report identify opportunities that, if pursued, will build upon the strengths of the Department. By restructuring its organization and management practices, modifying the development review process, and leveraging technology to better equip staff and track performance, the Department will lay the groundwork for additional adaptation and innovation. Without these changes, staff will continue to operate in a largely reactive manner, and the Department will lack the data it needs to better understand how it operates and how processes may be improved. While the recommendations discussed above represent the first step toward improving NDS, it is important to emphasize the role of leadership in cultivating organizational change. Successfully implementing these recommendations will require consistent management oversight, support, budgetary resources, and evaluation on the part of City Management and Department leadership staff. Without dedicated attention, management oversight, and encouragement, efforts to transform the Department and change outmoded practices will be more likely to fail. Buy-in from all levels of the organization, including peer departments, will be necessary to support the work of improving NDS over the long term. The Novak Consulting Group Strengthening organizations from the inside out. City of Charlottesville, Virginia Page 45 NDS Review Appendix A: Current By-Right Development Review Process The Novak Consulting Group Strengthening organizations from the inside out. By-Right Site Plan Review Process - Intake NDS Front Desk / Other NDS Applicant NDS Planning Notes Admin Support Disciplines No Complete and Verify application submit application, Calculate and required plans, supporting appropriate fees materials are materials complete Application complete? Pay fees Yes Photocopy Collect fees and file application and application with distribution sheet appropriate Planner and create review packets Comments generally Mail review packets due in 3 weeks. to appropriate State statute disciplines with due requires 60 days for date for comments Intake initial submittal. DRT occurs every Schedule other week. Allow at Development least 2 weeks Review Team between application (DRT) meeting receipt and DRT. Create and mail Site Site Plan Plan Conference Conferences occur notification to Schedule Site in gap weeks properties within Plan between DRT 500 feet of project Conference meetings (typically 3 weeks from submission). Receive application packet and materials Prepare for Proceed to Site Plan Initial Review Conference By-Right Site Plan Review Process – Initial Review NDS Front Desk / Other NDS Applicant NDS Planning Notes Admin Support Disciplines Prepare for Proceed to Site Plan Initial Review Conference Conduct Planning Conduct discipline review review Chair DRT Attend DRT Meeting Meeting Site Plan Conference Attend Site includes applicant Plan meeting with Initial Review Conference neighborhood. Compile comments Email comments to in review letter to assigned planner applicant Send initial review letter to applicant and property owner with comments via email and hard copy Review letter and Applicant has 60 begin addressing days to respond to comments comments. Answer applicant Answer applicant questions as needed questions as needed Prepare Resubmittal By-Right Site Plan Review Process – Resubmittal NDS Front Desk / Other NDS Applicant NDS Planning Notes Admin Support Disciplines Prepare Resubmittal Distribute Comments generally File resubmittal with resubmittal due in 3 weeks. letter illustrating documents as State statute allows how comments appropriate to max 45 days for were addressed disciplines resubmittal review. Conduct Planning Conduct discipline review review Resubmittal Review Compile staff comments No Have all comments been addressed? Yes Proceed to permitting and construction 2017 Department of Human Resources Assessment and Strategic Plan Update: July 2019 Structure and Functional Allocation 1. Create an Assistant HR Director position. Status: New Deputy Director job description has been created and is pending City Manager approval. 2. Assign responsibility for Benefits Administration, Recruitment, Compensation and Classification, and Workers’ Compensation functions to the Assistant HR Director. Appropriate reporting will be assessed once the Assistant position is created. Status: The position has not been funded. Pending City Manager approval and restructuring of HR Department. 3. Clarify core responsibilities and functions among Human Resources staff. Status: This is being re-launched in line w/ COOP planning and restructuring of core functions within the HR Department. Main concern and focus is redundancy of core operations. Job evaluations should also be conducted to clarify who is responsible for what. Many of the HR job descriptions are out of date and do not reflect current practices and functions. Status: in progress. 4. Create cross-training opportunities to improve HR staff capacity. Status: More formal documentation will be created over the next several months clarifying core functions and responsibilities assigned to each position as well as succession and replacement planning. Status: in progress. 5. Document current HR procedures and update documentation as procedures change. Status: The department will be undergoing in-house business process mapping to identify core functions and areas for improved efficiencies through both COOP planning as well as IT streamlining. Engaged with Our Stakeholders 6. Build relationships between HR staff and HR liaisons through a formal engagement process. Status: We are ready to move this project along as it has been on hold for over six months. The new personnel regulations is a great time to pick this back up as it will provide the framework for the overall training program. We should also consider rolling this out to more than just HR Liaisons who are typically Admin Assistant Is or IIs and should provide basic HR training to hiring managers and supervisors as well. Status: ready. Trained & Supported Workforce 7. Create a formal workforce development program. This is in the development stage. Training is being provided at both department and corporate level. HR has provided both HR technical training (e.g., FMLA, How to Hire an employee, and sexual harassment prevention). Three supervisory management and leadership classes for new and experienced supervisors have also been completed. Status: A subgroup of the i-Team is developing an overarching learning and development program as part of the employee engagement and retention strategy. This will hit on career and competency development, skill sharing, e-learning and other forms of skill building. This will also identify minimum training requirements and a curriculum and calendar. Updated Policies 8. Create a permanent Policy Advisory Committee and formalize standards for communicating policy revisions to HR stakeholders. Status: The new personnel regulations provide minimum review requirements by a committee but do not specify the exact parameters of the committee or assign members to the committee. The City Manager should work with HR to formalize that group, draft a charter and establish meeting frequencies and processes for policy review going forward. Streamlined Processes 9. Coordinate with the Information Technology Department to reduce reliance on paper-based processes, particularly in benefits administration and onboarding. Status: IT is also being engaged on various data projects and ways in which the HR Department can become more paperless and efficient. One of those is cleaning up the personnel transactions process and proliferation of forms. Business process mapping and COOP planning will reveal other areas for digitization and efficiency. Focused on Continuous Improvement 10. Develop comprehensive performance measures for the HR Department’s strategic plan. Status: This should be much more comprehensive than what’s mentioned above but will likely be developed after the HR Director position has been permanently filled. 2017 Novak Fleet Maintenance Efficiency Study Number Recommendation 1 Implement targeted fleet right-sizing initiatives. • Fleet Advisory Committee (FAC) was established in January 2018 to review utilization and replacement, this is to ensure right-sizing of the fleet based off of vehicle and equipment needs. The FAC has representation from Fire, Police, Neighborhood Development, Parks, Transit, Public Service, and Fleet. • FAC established policy on managing replacement cycles and determining utilization rates. Currently, FAC votes on vehicle and equipment replacement across the organization, sending recommendations to Fleet Manager due to the lack of a Vehicle & Equipment Replacement Fund (VERF). The role of the FAC should focus on standardization of the fleet and bi-annual assessment of a replacement schedule. • Right-sizing the fleet will require all departments to adhere to the replacement schedules agreed to in the FAC. 2 Adopt a Charlottesville fleet utilization target. • An initial fleet utilization target of 3000 miles annually has been established by the FAC with other consideration in the utilization (i.e. vehicle intended daily use). The FAC is still in the process of working on utilization target for equipment. The committee has a draft policy that will be sent to the City Manager’s Office for approval 3 Purchase and implement a fleet and fuel management work order system. • In the process of implementation of FASTER, currently IT is working on what need to be integrated with SAP. Implementation expected to be completed by August 2019. 4 Develop monthly fleet and fuel management reports for departments. • Fuel reports will be able to be easily extracted when the fleet maintenance software is in place. 5 Implement a centrally-managed, utilization-based preventive maintenance scheduling process. • The fleet maintenance software will be able to manage and maintain PM scheduling, in the interim Fleet has been working on updating QuickBase with help from the Fleet Advisor Committee to capture state inspection dates and current meter readings. QuickBase data will be merged into FASTER during implementation in FY19. 6 Utilize the Fleet Management System to accurately track and report wrench time per fleet unit. • FASTER will be able to track and report wrench time per fleet unit, when implemented. 7 Develop wrench time and shop productivity targets. • Once the FASTER is implemented the system will be capable of tracking wrench time, the initial target for these rate will be 70% based off of industry standards. Completion for FY20 operating budget consideration. More importantly, the internal charge-back for Fleet keeps the division running a deficit. Industry best practice is for fleet operations to have a maintenance fund and use metrics to measure effectiveness. 8 Adjust the fleet rate calculation methodology. • Fleet hourly rate is being reviewed and a proposed overhead rate will be modeled to reflect accurate costs including facility, training, equipment, and fully burdened labor. Again, the Fleet Division should have a budget and move away from department charge-back. 9 Utilize fleet and fuel management system to capture all government-wide fleet ownership costs. • FASTER will be capable to capture and report fleet ownership costs. 10 Realign mechanic specializations and certifications. • Fleet mechanics will be reclassified FY20 to Vehicle & Equipment Technicians to address ASE, EVT, and other certification requirements. 11 Implement a skill-based career ladder for Mechanics. • Fleet mechanics will be reclassified FY20 to Vehicle & Equipment Technicians to address ASE, EVT, and other certification requirements. The new class specification will provide employee development and upward mobility based on obtaining certifications. 12 Adopt a formal tool allowance policy and review schedule. • Conducted an evaluation of other local jurisdictions tool allowance policy, in process of drafting a policy for tool allowance based on metrics of other similar localities. 13 Continue efforts to implement an accurate inventory and warehouse management program for parts and adopt policies and procedures. • The FASTER has the capability to manage accounting of inventory and warehouse management, also in process of drafting Fleet internal operating procedures. A Public Works inventory barcode system is in the process of implementation prior to FY20. 14 Work with the City’s Finance Department to simplify the parts procurement process. • Integration of FASTER will optimize this business process. Procurement will assist with aligning existing cooperative contracts to reduce the number of vendors to manage. Additionally, reducing the brands and models in the fleet will reduce carrying a large parts inventory. 15 Implement a barcoding system. • FASTER has barcoding system capability. 16 Create a Fleet Advisory Committee. • FAC was established January 2018 and meets monthly, committee has been working on vehicle replacement and utilization. Vehicle optimization in the departments is a challenge. 17 Begin conducting an annual customer satisfaction survey. • Customer satisfaction surveys will be conducted annually starting January 2020 and administered by the Public Works Administration. 18 Clarify City-wide take-home vehicle policy to enhance consistency and limit use of take- home vehicles for non-operational purposes. • A revised vehicle take home policy is being drafted currently that addresses operation needs and the Charlottesville Police Department take home vehicle initiative initiated in 2003. Policy should include GPS/AVL and periodic audits for compliance. 19 Expand utilization of the Equipment Replacement Fund. • In process of reviewing current data to work on utilization of equipment, once data has been collect it will be presented to FAC for review. Virginia Charters Charlottesville, City of History of incorporation Charter, 1899-1900, c. 1012; repealed, 1946, c. 384. Charter, 1922, c. 109; c. 411; repealed, 1946, c. 384. Current charter Charter, 1946, c. 384. Editor's note: Amendments to the current charter are numerous; see amendment listing at the end of the document. § 1. Body politic and corporate name. The inhabitants of the territory comprised within the present limits of the City of Charlottesville as hereinafter described, or as the same may be hereafter altered and established as provided by law, shall continue to be one body politic and corporate in fact and its name shall be the City of Charlottesville. The City of Charlottesville shall have and may exercise all the powers which are now or hereafter may be conferred upon or delegated to cities under the Constitution and the general law of the Commonwealth of Virginia as fully and completely as though said powers were specifically enumerated herein, and no enumeration of particular powers by this Charter shall be held to be exclusive. Additionally, the City of Charlottesville shall have, exercise, and enjoy all the rights, immunities, powers, and privileges and be subject to all the duties and obligations pertaining to and incumbent upon the City of Charlottesville as a municipal corporation, and the said City of Charlottesville, as such, shall have perpetual succession, may sue and be sued, may contract and be contracted with, and may have a corporate seal which it may alter, renew, or amend at its pleasure. The present boundaries of the City of Charlottesville shall be as described in Chapter 384 of the Acts of the Assembly of 1946, as enlarged by subsequent orders of the Circuit Courts of Albemarle County and the City of Charlottesville or as otherwise provided by law. (1946, c. 384; 2020, cc. 813, 814) § 2. (1946, c. 384; repealed, 2020, cc. 813, 814) § 3. Same--University of Virginia excluded. The grounds, walks, driveways and all the land which on January 1, 1939, belonged to "Rector and Visitors of the University of Virginia" a corporation, although embraced within the boundaries of the City of Charlottesville as described in § 2, shall nevertheless be deemed to be excluded therefrom and shall be, remain and continue in all respects and for all purposes a part of the county of Albemarle; provided that this exception shall not apply to any of the lands now used and embraced within the streets and roads known as West Main Street, Fry's Spring Road, the old Lynchburg Road, Rugby Road, State Highway No. 250, State Highway No. 29, nor any sidewalks on such roads, nor to any portion of the right of way of the Chesapeake and Ohio Railroad, and all of said streets, roads and rights of way within the boundary lines set out in § 2 hereof shall be in and a part of the City of Charlottesville. (1946, c. 384; 1948, c. 124) § 4. Wards. The said city shall be divided into wards as now constituted, but the number of wards may be hereafter increased or diminished and the boundaries thereof changed by the city council as authorized by law. (1946, c. 384) 1 1/24/2022 12:00:00 § 5. Elective officers; qualifications and terms of certain officers; form of government; corporate powers vested in city council. (a) The municipal authorities of the said city shall consist of a council of five members, one of whom shall be mayor, as hereinafter set forth, unless and until this form be changed in manner prescribed by law, a clerk of the circuit court, an attorney for the Commonwealth, a treasurer, a sheriff, and a commissioner of revenue, who shall be elected by the qualified voters of the City of Charlottesville at elections held at the intervals and on the day prescribed for such elections by the laws of the State. All persons who are qualified voters of the City of Charlottesville shall be eligible to any of the said offices. The terms of offices of all of said officers shall begin and continue for such length of time as is prescribed by law. All the corporate powers of said city shall be exercised by said council, or under its authority, except as otherwise provided herein. (b) The form of government for said city shall be the city manager plan as follows: All corporate powers and legislative and executive authority vested in the City of Charlottesville by law shall be and are hereby vested in a council of five members to be elected at large from the qualified voters of the city, except as hereinafter provided. (c) Each of said councilors shall receive an annual salary from the city for their services to be set by the council in accordance with the general laws of the Commonwealth. (d) In accordance with the general laws of the Commonwealth, the election of councilors shall be held in November of 2021 and biennially thereafter. At the election in November of 2021 there shall be elected two members of council and at the election in November of 2023, there shall be elected two members of council to fill vacancies occurring on the first of January in the years following the year in which they are elected. Councilors shall serve terms of four years. The members of the council on the effective date of this charter amendment are hereby confirmed in office until the thirty-first day of December in the final year of the term of office for which they were elected. (e) The council shall elect a city manager, at the salary to be fixed by the council, who shall serve at the pleasure of the council. In all other respects the said council shall have and be vested with the same authority heretofore exercised by the council, and in all other respects their duties and liabilities shall be regulated by the general laws of the Commonwealth, not in conflict therewith. (1946, c. 384; 1950, c. 413; 1962, c. 463; 1964, c. 137; 1972, c. 184; 1974, c. 7; 2020, cc. 813, 814) § 5.01. City manager. Subject to general control by the council as provided in § 4 (b) hereof, the city manager shall have full executive and administrative authority and shall have the right to employ and discharge all employees under his control. All departments of city government, including the fire department and police department, shall be under the general supervision of the city manager. The city manager shall give a bond for the faithful performance of his duties in such sum as the council may require. Subject to the general power of the council as provided in § 5 (b) hereof and except as the council may by ordinance otherwise provide, the city manager shall have the powers vested in city managers in accordance with the general laws of the Commonwealth. (2020, cc. 813 , 814) § 5.02. Director of finance; audit. 2 1/24/2022 12:00:00 The council shall appoint a director of finance, who shall serve at the pleasure of the council. The director of finance shall have general management and control of the fiscal affairs of the city, including the city's accounting, purchasing, collection, risk management, debt management, financial reporting, and real estate assessment functions. The city manager shall provide supervision of the director of finance. The director of finance shall contract with a certified public accountant to conduct an audit of the city's and each constitutional officer's accounts and records by June 30 of each year in accordance with standards established by the Commonwealth's Auditor of Public Accounts. The certified public accountant shall provide a detailed written report of the city's audit to the council by December 1 of each year. A copy of the audit shall be available for inspection by the public. (2020, cc. 813, 814) § 5.1. The council shall have authority to order, by resolution directed to the circuit court of the city, the submission to the qualified voters of the city for an advisory referendum thereon any proposed ordinance or amendment to the city charter. Upon the receipt of such resolution, the circuit court of the city shall order an election to be held thereon not less than thirty nor more than sixty days after the receipt of such resolution. The election shall be conducted and the result thereof ascertained and determined in the manner provided by law for the conduct of general elections and by the regular election officials of the city. If a petition requesting the submission of an amendment to this charter, set forth in such petition, signed by qualified voters equal in number to ten per centum of the largest number of votes cast in any general or primary election held in the city during the five years immediately preceding submission of the petition, each signature to which has been witnessed by a person whose affidavit to that effect is attached to the petition, is filed with the clerk of the circuit court of the city, they shall forthwith certify that fact to the court. Upon the certification of such petition, the circuit court of the city or the judge thereof in vacation, shall order an election to be held not less than thirty nor more than sixty days after such certification, in which such proposed amendment shall be submitted to the qualified voters of the city for their approval or disapproval. Such election shall be conducted and the result thereof ascertained and determined in the manner provided by law for the conduct of general elections and by the regular election officials of the city. If a majority of those voting thereon at such election approve the proposed amendment such result shall be communicated by the clerk of the circuit court of the city to the two houses of the General Assembly and to the representatives of the city therein with the same effect as if the council had adopted a resolution requesting the General Assembly to adopt the amendment. Nothing contained in this section shall be construed as affecting the provisions of § 14 of this charter. (1960, c. 327; 1962, c. 332; 2020, cc. 813, 814) § 6. Clerk of council; minutes; ordinance book. The council shall elect a clerk of council to serve at the pleasure of the council. The clerk of the council shall attend the meetings of the council, shall keep a record of its proceedings, and shall have custody of the seal of the city. At each regular meeting of the council, the minutes of the last regular meeting and all intervening called meetings shall be presented by the clerk of council, and thereupon be corrected, if erroneous, and signed by the mayor. The clerk shall record the minutes in the council's journal of proceedings. 3 1/24/2022 12:00:00 The council shall also require to be kept by its clerk a separate book, termed the General Ordinance Book, in which shall be recorded all ordinances and resolutions of a general and permanent character, properly indexed and open to public inspection. Other documents or papers in the possession of the clerk of the council that may affect the interest of the city shall not be exhibited nor copies thereof furnished, except as may be required by the general laws of the Commonwealth. There may be elected by the council additional officers and clerks as the council deems proper and necessary, who shall serve at the pleasure of council, and any one or more of said offices may be held and exercised by the same person. It may be competent for the council, in order to secure the services of a suitable person, to elect non-residents, but such officer, other than the clerk of the council, shall reside in the city during the officer's tenure of office. (1946, c. 384; 1972, c. 184; 2010, cc. 147, 217; 2020, cc. 813, 814) § 7. Oaths of office and qualification of officers; failure to qualify. The councilors, and other officers elected by the people shall each, before entering upon the duties of their offices, take the oaths prescribed for all other officers by the general laws of the Commonwealth, and qualify before the circuit court of said city, and in the cases of the mayor and councilors a certificate of such oaths having been taken, shall be filed by them, respectively, with the clerk of the council, who shall enter the same upon the journal thereof; but if any or either of said officers shall fail to qualify, as aforesaid, for ten days after the commencement of the term for which said officer was elected, or shall neglect for a like space of time to give such bond as may be required of said officer or said officer's office shall be deemed vacant. (1946, c. 384; 2020, cc. 813, 814) § 8. Vacancy in office of mayor or councilor; vacation of office. Whenever, from any cause, a vacancy shall occur in the office of mayor, the council shall elect one of its members as mayor for the remainder of the term. A vacancy in the office of councilor shall be filled by that body in accordance with the general laws of the Commonwealth. An entry of said election shall be made in the journal of proceedings and the General Ordinance Book. If the mayor or a councilor shall remove from the city limits, such removal shall operate to vacate such mayor's or councilor's office. (1946, c. 384; 2020, cc. 813, 814) § 9. Council--Mayor and vice-mayor. At its first meeting in January 2022 and biennially thereafter, the council shall elect one of its members to act as mayor, who shall preside at its meetings and continue in office two years. If a vacancy occurs in the office of mayor before the end of their term, such vacancy shall be filled as provided in § 8. At the same time the council shall elect one of its members to be vice-mayor, who shall preside at such meetings in the absence of the mayor, and who, when the mayor shall be absent or unable to perform the duties of their office, by reason of sickness, or other cause, shall perform any and all duties required of, or entrusted to, the mayor. The mayor, or the vice-mayor, when authorized, as above stated, to act, shall have power at any time to call a meeting. The mayor, or vice-mayor when performing the duties of the mayor, shall be entitled to a vote on all questions as any other councilor, but in no case shall they be entitled to a second vote on any question.(1946, c. 384; 1972, c. 184; 2020, cc. 813, 814) 4 1/24/2022 12:00:00 § 10. (1946, c. 384; repealed, 2020, cc. 813, 814) § 11. (1946, c. 384; repealed, 2020, cc. 813, 814) § 12. Same--Council meetings and rules. The council shall fix by ordinance the time for holding their stated meetings, and no business shall be transacted at a special meeting, unless by unanimous consent, except that for which it shall have been called, and every call for a special meeting shall specify the object thereof. Three councilors shall constitute a quorum for the transaction of business at any meeting of the council. The council shall have authority to adopt such rules as it may deem proper for the regulation of its proceedings, and for the convenient transaction of business, to compel the attendance of absent members, to punish its members for disorderly behavior, and by vote of two-thirds of all the members elected to it, expel a member for malfeasance or misfeasance in office. The council shall keep a journal of its proceedings, and its meetings shall be open, except when it votes to hold an executive or closed session pursuant to the general laws of the Commonwealth. (1946, c. 384; 1972, c. 184; 2020, cc. 813, 814) § 13. (1946, c. 384; 1972, c. 184; repealed, 2020, cc. 813, 814) § 14. Council powers enumerated. The council of the city, except as hereinbefore provided, shall have the power within said city to control and manage the fiscal and municipal affairs of the city and all property, real and personal, belonging to said city; they shall have power to provide a revenue for the city, and appropriate the same to its expenses, also to provide the annual assessments of taxable persons and property in the city, and it may make such ordinances, orders, and by-laws relating to the foregoing powers of this section as it shall deem proper and necessary. The council shall also have power to make such ordinances, by-laws, orders and regulations as it may deem desirable to carry out the following powers which are hereby vested in them: First. Streets and Sidewalks -- Generally. To close, extend, widen, narrow, lay out, grade, improve and otherwise alter streets and public alleys in the said city, and have them properly lighted and kept in good order, and it may make or construct sewers or ducts through the streets or public grounds of the city, and through any place, or places whatsoever, when it may be deemed expedient by the said council. The ownership of any land included in any street that is closed shall be in accord with the general laws of the Commonwealth. Council may have over any street or alley in the city, which has been, or may be ceded to the city, like authority as over streets or alleys, and may prevent or remove any structure, obstruction or encroachment over, or under, or in a street or alley, or any sidewalk thereof. Second. Obstructions; cleaning sidewalks. To prevent the cumbering of the streets, avenues, walks, public squares, lanes, alleys, or bridges in any manner whatsoever; to compel the occupant or owner of buildings or grounds to remove snow, dirt or rubbish from the sidewalks in front thereof. Third. Fires and fire prevention. To extinguish and prevent fires, prevent property from being stolen, and to compel citizens to render assistance to the fire department in case of need, and to establish, regulate and control a fire department for said city; to regulate the size of materials, and construction of buildings hereafter erected, in such manner as the public safety and convenience may require; to remove, or require to be removed, any building, structure, or 5 1/24/2022 12:00:00 addition thereto which, by reason of dilapidation, defect of structure, or other causes, may have, or shall, become dangerous to life or property, or which may be erected contrary to law; to establish and designate from time to time fire limits, within which limits wooden buildings shall not be constructed, removed, added to or enlarged, and to direct that all future buildings within such limits shall be constructed of stone, natural or artificial, concrete, brick or iron. Fourth. Breadth of tires on vehicles. To regulate and prescribe the breadth of tires upon the wheels of wagons, carts, and vehicles of every kind and description used upon the streets of said city. Fifth. Preservation of health; hospitals; births and deaths. To provide for the preservation of the general health of the inhabitants of said city, make regulations to secure the same, prevent the introduction of spreading of contagious or infectious diseases, and prevent and suppress diseases generally; to provide and regulate hospitals within or without the city limits, and to enforce the removal of persons afflicted with contagious or infectious diseases to hospitals provided for them; to provide for the appointment and organization of a board of health or other board to have the powers of a board of health for said city, with the authority necessary for the prompt and efficient performance of its duties, with power to invest any or all the officials or employees of such department of health with such powers as the officers of the city have; to regulate the burial, cremation, or disposition of the dead; to compel the return of births and deaths to be made to its health department, and the return of all burial permits to such department. Sixth. Cemeteries. To acquire by purchase, condemnation, or otherwise, either within or without the city, lands to be appropriated, improved and kept in order as places for the interment of the dead, and may charge for the use of the grounds in said places of interment, and may regulate the same; to prevent the burial of the dead in the city, except in public burying grounds; to regulate burials in said grounds; to require the keeping and return of bills of mortality by the keepers (or owners) of all cemeteries, and shall have power within the city to acquire by purchase, condemnation, or otherwise, such lands, and in such quantity as it may deem proper or necessary for the purpose of burying the dead; provided, however, that no part of such cemeteries, when established or enlarged, shall be within one hundred feet of any residence without the consent of the owner of the legal and equitable title of such residence, and provided further that the provisions of the general laws of the Commonwealth, as now existing or hereafter amended, for condemnation of land thereunder so far as applicable shall apply to condemnation proceedings by the city hereunder. The title to any land acquired by condemnation hereunder shall vest in the City of Charlottesville. Seventh. Quarantine. To establish a quarantine ground within or without the city limits, and such quarantine regulations against infectious and contagious diseases as the said council may see fit, subject to the laws of the State, and of the United States. Eighth. Nuisances, etc. To require and compel the abatement and removal of all nuisances within the said city, or upon any property owned by said city, without its limits, at the expense of the person or persons causing the same, or the occupant or owner of the ground whereon the same may be; to prevent and regulate slaughter houses, and soap and candle factories within said city, or the exercise of any dangerous, offensive or unhealthy business, 6 1/24/2022 12:00:00 trade or employment therein; to regulate the transportation of all articles through the streets of the city; to compel the abatement of smoke and dust; to regulate the location of stables, and the manner in which they shall be constructed and kept. Ninth. Stagnant water or offensive substances on property. If any ground in the said city shall be subject to be covered by stagnant water, or if the owner or occupant thereon shall permit any offensive or unwholesome substance to remain or accumulate thereon, the said council may cause such ground to be filled up, raised, or drained, or may cause such substance to be covered or removed therefrom, and may collect the expense of so doing from the said owner or occupant by distress or sale, in the same manner in which taxes levied upon real estate for the benefit of said city are authorized to be collected; provided, that reasonable notice shall be first given to the said owner or occupant or their agent. In case of nonresident owners, who have no agent in said city, such notice may be given by publication for not less than ten days, in any newspaper published in said city, such publication to be at the expense of said owner, and cost thereof to be collected as a part of the expense hereinbefore provided for. Tenth. Explosives and flamables; carrying concealed weapons. To direct the location of all buildings for storing gunpowder or other explosives or combustible substances; to regulate or prohibit the sale and use of dynamite, gunpowder, firecrackers, kerosene oil, gasoline, nitroglycerine, camphene, burning fluid, and all explosives or combustible materials, the exhibition of fireworks, the discharge of firearms, the use of candles and lights in barns, stables and other buildings, the making of bonfires and the carrying of concealed weapons. Eleventh. Animals and fowl generally. To prevent the running at large in said city of all animals and fowls, and to regulate and prohibit the keeping or raising of the same within said city, and to subject the same to such confiscation, levies, regulations and taxes as it may deem proper. Twelfth. Use of streets; abuse of animals. Insofar as not prohibited by the general laws of the Commonwealth, to prevent the riding or driving of animals at improper speed, to regulate the speed and manner of use upon the streets of said city of all animals or vehicles; to prevent the flying of kites, throwing of stones, or the engaging in any employment or sport in the streets or public alleys, dangerous or annoying to the public, and to prohibit and punish the abuse of animals. Thirteenth. [Repealed] Fourteenth. Offenses generally. To prevent vice and immorality; to preserve public peace and good order, to prevent and quell riots, disturbances and disorderly assemblages; to suppress houses of ill-fame, and gaming houses; to prevent lewd, indecent or disorderly conduct or exhibitions in the city, and to expel from said city persons guilty of such conduct. Fifteenth. [Repealed.] Sixteenth. Ordinances necessary for general welfare; effect on other powers. And the said council shall also have power to make such other and additional ordinances as it may deem necessary for the general welfare of said city; and nothing herein contained shall be construed to deprive said city of any of the powers conferred upon it, either by general or special laws of the State of Virginia, except insofar as the same may be inconsistent with the provision of this charter. 7 1/24/2022 12:00:00 Seventeenth. Official bonds. Said council shall have power to require and take from such officers and employees, as they may see fit, bonds with security and in such penalty as they may prescribe, which bonds shall be made payable to the city by its corporate name, and conditioned for the faithful discharge of their duties; such bonds shall be filed with the clerk of the council. Eighteenth. Gas works, water works, and electric light works. Said council shall have power to erect, or authorize or prohibit the erection of gas works, waterworks, or electric light works in or near the city, and to regulate the same. Nineteenth. Pollution of water. To prohibit the pollution of water which may be provided for the use of the city. Twentieth. Additional and incidental powers; jurisdiction beyond corporate limits. To pass all by-laws, rules and ordinances, not repugnant to the Constitution and laws of the State, which they may deem necessary for the good order and government of the city, the management of its property, the conduct of its affairs, the peace, comfort, convenience, order, morals, health, and protection of its citizens or their property, including authority to keep a city police force; and to do such other things, and pass such other laws as may be necessary or proper to carry into full effect any power, authority, capacity, or jurisdiction, which is, or shall be granted to, or vested in said city, or officers thereof, or which may be necessarily incident to a municipal corporation; and to enable the authorities of said city more effectually to enforce the provisions of this section, and any other powers conferred upon them by this charter, their jurisdiction, civil and criminal, is hereby declared to extend one mile beyond the corporate limits of said city. Twenty-first. [Repealed.] (1946, c. 384; 1950, c. 413; 1972, c. 184; 2020, cc. 813, 814) § 14-a. Before the Charlottesville Redevelopment and Housing Authority undertakes any public housing project within the city, it shall obtain the approval of the council on each construction site, as hereinafter set forth. The application for approval shall have a plat, certified by a registered surveyor or engineer, or a plat prepared from the current city land book showing city parcel numbers of the land concerned and attested by the City Assessor, attached to and made a part of such application. The plat shall identify the proposed site and show the proposed development of the site. The council shall advertise for at least two weeks in a newspaper published in the city that the authority has applied for the approval of the council under this section and shall give notice therein of the time and place for a hearing on such request, which hearing shall be at least thirty days from the date of the first advertisement. The council may approve such application following such hearing. (1960, c. 230; 1962 c. 332; 1970, c. 93; 1973, c. 359) § 14-b. (1962 c. 332; repealed, 2020, cc. 813, 814) § 15. (1946, c. 384; 1950, c. 413; repealed, 2020, cc. 813, 814) § 16. Special assessment for local improvements. Local assessments upon abutting landowners for making and improving the sidewalks upon the streets and improving and paving the alleys, and for either the construction or for the use of 8 1/24/2022 12:00:00 sewers, may be imposed not in excess of the peculiar benefits resulting therefrom to such abutting landowner. And the same shall be regulated as prescribed by the general laws. (1946, c. 384) § 17. Enactment of ordinances, etc.; punishment for violation; enjoining violation; use of county jail; appeal to circuit court. To carry into effect the powers herein enumerated, and all other powers conferred upon said city and its council by the laws of Virginia, said council shall have power to make and pass all proper and needful orders, by-laws, and ordinances not contrary to the Constitution and laws of said State, and to prescribe reasonable fines and penalties, including imprisonment in the city jail, which fines, penalties or imprisonment shall be imposed, recovered and enforced by the courts of the Commonwealth. The city may maintain a suit to restrain by injunction, the violation of any ordinance, notwithstanding such ordinance may provide punishment for its violation. All fines imposed for the violation of the city charter, by-laws, or ordinances, shall be paid into the city treasury. (1946, c. 384; 1972, c. 184; 2020, cc. 813, 814) § 18. (1946, c. 384; repealed, 2020, cc. 813, 814) § 19. Fiscal year; budget; levy of taxes. The city's fiscal year shall begin on July 1 of every year and conclude on June 30 of the following year. The city manager shall prepare and submit to the council a budget. The budget shall serve as a financial plan for the city, and the city manager in the budget message shall describe the important features of the budget, indicate any major changes from the current financial and expenditure policies, and include such other material as the city manager deems desirable or as the council may from time to time require. The budget shall show all estimated income, indicating the property tax levy, and all proposed expenditures, including debt service and capital program, and shall be in a form the manager deems desirable or the council may require. The total of proposed general fund expenditures shall not exceed the total of estimated general fund income. A brief synopsis of the budget shall be published in a newspaper or newspapers having general circulation in the city, and notice shall be given of a public hearing as provided for by the general laws of the Commonwealth. After the conclusion of the public hearing, the council may insert new items of expenditures or may increase, decrease, or strike out items of expenditure in the budget. Prior to the end of each fiscal year, the council shall pass an appropriation ordinance, which shall be based on the budget submitted by the city manager, and shall levy such taxes for the ensuing fiscal year as may be necessary to meet the appropriations made and all sums required by law to be raised for account of the city debt. The total amount of appropriations shall not exceed the estimated revenues of the city. (1946, c. 384; 2020, cc. 813, 814) § 20. In order to execute its powers and duties and to meet the wants and purposes of the city, the council is hereby vested with power and authority to levy taxes upon persons, property, real and personal, privileges, businesses, trades, professions and callings and upon such other subjects of taxation and in such amounts as the council shall deem necessary and proper to provide such sums of money as they shall deem expedient without limitation as to subject, except such as may be expressly provided by general laws or Constitutional provision and 9 1/24/2022 12:00:00 without limitation as to rate except such as may be provided by the Constitution of this State. Taxes assessed against real estate subject to taxes shall be a lien on the property and the name of the person listed as owner shall be for convenience in collection of taxes. The lien for taxes shall not be limited to the interest of the person assessed but shall be on the entire fee simple estate. There shall be no lien when for any year the same property is assessed to more than one person and all taxes assessed against the property in one of the names have been paid for that year. When taxes are assessed against land in the name of a life tenant or other person owning less than the fee or owning no interest, the land may be sold pursuant to the general laws of the Commonwealth. (1946, c. 384; 1948, c. 124; 1950, c. 413; 1958, c. 111; 2020, cc. 813, 814) § 21. Appropriations for advertising city. The council may each year make appropriation out of the city revenues of an amount not exceeding three cents on each one hundred dollars of the assessed value of the property in the city assessed for taxation for use in purposes which will, in the judgment of the council, advertise the city. (1946, c. 384) § 22. Licenses and license taxes; regulation of vehicles for hire. License taxes may be imposed by ordinance on businesses, trades, professions and callings and upon the persons, firms, associations and corporations, engaged therein and the agent thereof without limitation as to subject or rate except such as may be provided by the Constitution of this State and the Constitution of the United States. License taxes not inconsistent with general law may be imposed upon vehicles using the streets of the city, and the council may prescribe a schedule of charges for vehicles using said streets for hire. (1946, c. 384; 1950, c. 413) § 23. Collection of revenue; custodian of city funds. The revenue from these and other sources shall be collected, paid over, and accounted for at such times and to such persons as the council shall order, and pursuant to such ordinance as now exists or may hereafter be passed by the council. The city treasurer shall be the custodian of all the funds of the city. (1946, c. 384) § 24. (1946, c. 384; 1972, c. 184; repealed, 2020, cc. 813, 814) § 25. Borrowing. The council may, in the name and for the use of the city, incur indebtedness by issuing its negotiable bonds or notes. Bonds, and notes in anticipation of bonds when the issuance of bonds has been authorized as hereinafter provided, may be issued for any purpose for which cities are authorized to issue bonds by the Constitution of Virginia or general laws of the Commonwealth. Notes in anticipation of collection of revenue may be issued, when authorized by council, at any time during the fiscal year, provided the notes shall mature not later than twelve (12) months after date of issue, and in an amount not in excess of the revenues anticipated. Bonds and notes of the city shall be issued in the manner provided by the general laws of the Commonwealth. In the issuance of bonds and notes, the city shall be subject to the limitations as to amounts that are contained in Article VII, Section 10 of the Constitution of Virginia. (1946, c. 10 1/24/2022 12:00:00 384; 2020, cc. 813, 814) § 26. (1946, c. 384; repealed, 2020, cc. 813, 814) § 27. (1946, c. 384; 1950, c. 413; 1970, c. 93; repealed, 2020, cc. 813, 814) § 28. Sale of public utilities; approval by voters. The rights of the city in its gas, water and electric works and sewer plant, now owned, or hereafter acquired, shall not be sold, until and except such sale shall have been approved by a majority of the qualified voters of the city, voting on the question at a special election ordered by the council as provided by the general laws of the Commonwealth. (1946, c. 384; 2020, cc. 813, 814) § 29. City sheriff. The city sheriff shall attend the terms of the circuit court of the city and shall act as the officer thereof; the sheriff may appoint one or more deputies, who may be removed from office by the sheriff, and may discharge any of the duties of the office of sheriff, but the sheriff and their sureties shall be liable therefor. The city sheriff shall also have all power and authority and perform all duties imposed by general law upon sheriffs of cities. (1946, c. 384; 1972, c. 184; 2020, cc. 813, 814) § 30. Authority of officers appointed by council. The officers of said city elected or appointed, by the council shall, during the time they are in office have all the power and authority of like officers in the State under its general laws, unless the same be abridged or restricted by the council. (1946, c. 384) § 31. (1946, c. 384; repealed, 2020, cc. 813, 814) § 32. (1946, c. 384; 1950, c. 413; repealed, 1972, c. 184) § 33. (1946, c. 384; 1964, c. 137; 1972, c. 184; 1973, c. 22; repealed, 2020, cc. 813, 814) § 34. Salaries fixed by council. The salaries of all officers who receive stated compensation for their services from the city shall be fixed by the council. (1946, c. 384) § 35. (1946, c. 384; repealed, 2020, cc. 813, 814) § 36. Granting franchises. The regulation and restrictions for granting any franchise in the city shall be as provided by the general laws of the Commonwealth. (1946, c. 384; 2020, cc. 813, 814) § 37. Receipt and disbursement of moneys by treasurer. All moneys belonging to said city shall be paid over to the treasurer, and no money shall be paid out by him except as the same shall have been appropriated and ordered to be paid by the council, and the said treasurer shall also pay the same upon warrants approved in such manner as may be prescribed by ordinance of the council. (1946, c. 384; 2020, cc. 813, 814) § 38. Recovery against treasurer and sureties. If the said treasurer shall fail to account for and pay over all of the moneys that shall come into their hands when required by the council, it shall be lawful for the council, in the corporate name of the city, by motion before any court of record having jurisdiction in the City of Charlottesville, to recover from the treasurer and their sureties, or their personal representatives, any sum that 11 1/24/2022 12:00:00 may be due from said treasurer to said city on ten days' notice. (1946, c. 384; 2020, cc. 813, 814) § 39. Collection of fines. All fines imposed for any violation of any city ordinance or State law shall be collected by the clerk of the district court; and if said clerk shall fail to collect, account for, and pay over all the fines in their hands for collection, it shall be lawful for the council to recover the same, so far as the same are accruing to the city, by motion, in the corporate name of the city, before the circuit court of said city, against the said clerk, their sureties on their said bond, or any or either of them, the clerk of the sureties' executors or administrators, on giving ten days' notice of the same. (1946, c. 384; 2020, cc. 813, 814) § 40. Animals running at large. The council shall have power to make such ordinances, by-laws, orders and regulations as they may deem necessary to prevent dogs, hogs and other animals from running at large in the limits of the city, and may subject the owners thereof to such fines, regulations and taxes as the council may deem proper, and may sell said animals at public auction to enforce the payment of said fines and taxes; and may order such dogs, as to which there is default, to be euthanized as provided for by the general laws of the Commonwealth. (1946, c. 384; 2020, cc. 813, 814) § 41. Taking or damaging private property. The city shall not take or damage any private property for streets, or other public purposes, without making to the owner, or owners, thereof just compensation for the same. But in all cases where the city council cannot by agreement obtain title to the ground necessary for such purposes, it shall be lawful for it to apply to the circuit court of the county in which the land shall be situated, or to the proper court of the city having jurisdiction of such matters, if the subject lie within the city, to condemn the same. (1946, c. 384) § 42. Encroachments upon streets. In every case where a street in the city has been or shall be encroached upon by any fence, building or otherwise, the city council may require the owner or owners, if known, and if unknown the occupant or occupants of the premises so encroaching to remove the same. If such removal shall not be made within the time ordered by the city council, it may impose a penalty of five dollars for each and every day that it is allowed to continue thereafter, and may cause the encroachment to be removed, and collect from the owner all reasonable charges therefor, with cost, for which there shall be lien on the premises so encroaching, which lien may be enforced in a court of equity having jurisdiction of the subject. No encroachment upon any street, however long continued, shall constitute an adverse possession thereto, or confer any right upon the person claiming thereunder as against said city. (1946, c. 384; 2020, cc. 813, 814) § 43. Filing claim for damages condition precedent to action against city. No action shall be maintained against the said city for damages for a injury to any person or property alleged to have been sustained by reason of the negligence of the city, or any officer, agent or employee thereof, unless a written statement of the claimant, their agent or attorney, of the nature of the claim and of the time and place at which the injury is alleged to have occurred or been received shall have been filed, as provided by the general laws of the Commonwealth. (1946, c. 384; 1972, c. 184; 2020, cc. 813, 814) § 44. Continuance of rights, etc., of city; ordinances, etc. 12 1/24/2022 12:00:00 All rights, privileges and properties of the City of Charlottesville heretofore acquired and possessed, owned and enjoyed by any act now in force, not in conflict with this act, shall continue undiminished and remain vested in said city under this act; and all laws, ordinances and resolutions of the corporation of Charlottesville now in force, and not inconsistent with this act, shall be and continue in full force and effect in the City of Charlottesville, until regularly repealed. (1946, c. 384) § 45. (1946, c. 384; repealed, 2020, cc. 813, 814) § 45-a. School board. The City of Charlottesville shall constitute a single school district. The school board of the city shall consist of seven members. In accordance with the general laws of the Commonwealth, three of the school board members shall be elected in November 2021 and four members shall be elected in November 2023 to fill vacancies occurring on the first of January in the years following the year in which they are elected. School board members shall serve terms of four years. The members of the school board on the effective date of this Charter are hereby confirmed in office until the thirty-first day of December in the final year of the term of office for which they were elected. The board shall have all powers and perform all duties granted to and imposed upon school boards of cities by the general laws of the Commonwealth. (1948, c. 124; 2020, cc. 813, 814 ) § 46. Water supply and sewerage system. That the corporate authorities of said city be, and they are hereby, authorized and empowered to erect suitable dams and reservoirs, and to lay suitable pipes to supply said city with an adequate supply of water, and to establish and construct a sewerage system for said city; and for such purpose to acquire, either by purchase or by condemnation, according to the provisions of the general laws of the Commonwealth for the condemnation of lands by incorporated cities, such lands and so much thereof as may be necessary for the aforesaid purposes. (1946, c. 384; 2020, cc. 813, 814) § 47. Elections. All elections under this charter shall conform to the general laws of the Commonwealth in regard to elections by the people. (1946, c. 384; 2020, cc. 813, 814) § 48. County property within city limits; arbitration; school property in Charlottesville school district; Miller School. The property now belonging to the county of Albemarle within the limits of the City of Charlottesville shall be within and subject to the joint jurisdiction of the county and city authorities and officers, and shall not be subject to taxation by the authorities of either county or city; and if the county and city aforesaid cannot agree upon the terms of joint occupancy and use of such property in regard to which settlements may not have already been effected, the right of said city to such joint occupancy and use being hereby recognized, then the board of arbitration herein provided for shall determine the terms of such joint occupancy and use, and said board of arbitration shall determine what rights, if any, the city aforesaid has in all other county property; but this is subject to the recognition of the right of the city, as well as the county (through the district school board or otherwise) in the school property in Charlottesville school district; and nothing herein contained shall affect the rights of the inhabitants of said city to participate in the benefits of the Miller School in said county. (1946, c. 384; 2020, cc. 813, 814) 13 1/24/2022 12:00:00 § 49. Board of arbitrators; duties; awards. A board of arbitrators composed of three members, one to be selected by the board of supervisors of Albemarle County, one by the council of Charlottesville, and they to choose a third is hereby established, whose duty it shall be to adjust and decide the matters hereinbefore submitted to them, and all such other questions as may arise between said city and county, growing out of the extension of corporation limits, and the establishment of a city government. The awards of said arbitrators shall be entered upon the records as the judgments of the city court or the county circuit court, as the arbitrators may designate. (1946, c. 384) § 50. Same person may hold county and city office. And it is further provided that the same person shall be eligible to and, if elected, may hold a county office and a city office, if the said offices be of the same nature, at the same time; provided, such officer lives within the city limits; and any person otherwise qualified, who is a resident of the City of Charlottesville shall be eligible to election or appointment to any county office of Albemarle County. (1946, c. 384) § 50.1. City of Charlottesville shall have all powers granted to localities by the Constitution of Virginia and the general laws of the Commonwealth, provided, however, that in no event shall a conflict between the general laws of the Commonwealth and this Charter be held to reduce or limit any powers heretofore possessed by the City of Charlottesville pursuant to Chapter 384 of the Acts of Assembly of 1946, approved March 28, 1946, as amended. (1962, c. 56; 1964, c. 137; 1970, c. 93; 2020, cc. 813, 814) § 50.2. (a) Search warrants. In addition to the means and conditions under which search warrants may be issued pursuant to provisions of general law, a magistrate, or a judge of any court having jurisdiction of the trial of cases to whom complaint is made, if satisfied that there is a probable cause therefor, shall issue a warrant to search specified places for the following conditions: violations of ordinances of the City of Charlottesville related to health and safety, of persons and property including violations of ordinances concerning minimum housing standards, health and sanitation regulations, and plumbing, building, and fire prevention codes. A search warrant issued pursuant to the authority granted in this charter section shall be directed to persons charged with the responsibility of enforcing State statutes and local ordinances relating to health and safety of persons and property and shall command such person to search the place or places described therein for violations of State statutes and local ordinances relating to health and safety of persons and property. (b) Affidavit preliminary to issuance of search warrants. No search warrant shall be issued until there is filed with the officer authorized to issue the same an affidavit of some person reasonably describing the area, house, place, vehicle or baggage to be searched, the things or conditions to be searched for thereunder, alleging briefly material facts, constituting the probable cause for the issuance of such warrant and alleging substantially the offense or group of potential offenses in relation to which such search is to be made. Facts which may be pertinent are (1) department or board experience showing the need of periodic area inspections, (2) the pattern of the last inspections made, and (3) department or board judgment that an inspection is now needed, particularly in light of the time elapsed since the last inspection. Such affidavit shall be certified by the clerk of the circuit court of the City of Charlottesville and shall by said clerk be preserved as a record and shall at all times be subject to inspection by the 14 1/24/2022 12:00:00 public. For the purposes of this section, probable cause shall be satisfied upon the showing of the reasonableness of a need to conduct periodic area-wide inspections with respect to health and safety of persons and property. (1970, c. 93; 2020, cc. 813, 814) § 50.3. Qualifications of members of advisory boards and commission. General provisions of law notwithstanding, the planning commission and members of boards or agencies appointed by city council, the mayor, or by the city manager, who serve without pay and who serve only for the purpose of making studies or recommendations, or advising or consulting with city council, shall not be prohibited from such service merely because they contract directly or indirectly with the city. Any such member of an advisory board or agency who knows, or may reasonably be expected to know, that they have a material financial interest in any transaction in which the agency of which they are an officer or employee is or may be in any way concerned, shall disclose such interest and disqualify themselves from voting or participating in any official action thereon in behalf of such agency. If disqualifications in accordance with this section leave less than the number required by law to act, the remaining member or members shall have authority to act for the agency by majority vote, unless a unanimous vote of all members is required by law, in which case authority to act shall require a unanimous vote of remaining members. (1970, c. 93; 2020, cc. 813, 814) § 50.4. Terms of Charlottesville Redevelopment and Housing Authority commissioners; authority of council. There shall be not less than five nor more than seven members of the Charlottesville Redevelopment and Housing Authority Board of Commissioners. Commissioners shall hold their offices at the pleasure of council for terms not to exceed four years; provided, that the city council may at any time, and from time to time, adopt an ordinance terminating the terms of all the commissioners and designating one or more council members as commissioners of the Charlottesville Redevelopment and Housing Authority. The remaining members of the Board, if any, shall be appointed by council from the public at large. The Board shall possess all powers and duties granted to or imposed upon redevelopment and housing authorities by the general laws of the Commonwealth; provided that notwithstanding any other provision of law to the contrary, a city council member shall receive no compensation for serving as a commissioner of such Authority, nor shall they continue to serve as a commissioner after they cease to be a member of city council. (1978, c. 709; 1990, c. 28; 2020, cc. 813, 814) § 50.5. Authority of city council to adopt and enforce a noise ordinance. A. The city council by ordinance may prohibit or regulate loud, disturbing or excessive noises originating within its jurisdiction. Such ordinance may prescribe the decibel levels, degrees or types of sound which are unacceptable within the city limits, but the ordinance must exempt from its prohibitions during the daytime (6:00 a.m. to 10:00 p.m.) the following: 1. Band performances or practices, athletic contests or practices and other school-sponsored activities on the grounds of public or private schools or the University of Virginia. 2. Athletic contests and other officially sanctioned activities in city parks. 3. Activities related to the construction, repair, maintenance, remodeling or demolition, grading or other improvement of real property. 15 1/24/2022 12:00:00 4. Gardening, lawn care, tree maintenance or removal and other landscaping activities. 5. Church bells or carillons. 6. Religious or political gatherings and other activities protected by the First Amendment of the United States Constitution. 7. Activities for which the regulation of noise has been preempted by federal law. 8. Public and private transportation, refuse collection and sanitation services. B. The decibel level of any such noise may be measured by the use of a sound level meter which measures sound pressure levels. Such measurements shall be accepted as prima facie evidence of the level of noise at issue in any court or legal proceeding. The accuracy of the sound level meter may be tested by a calibrator. In any court or legal proceedings in which the accuracy of the calibrator is in issue, the court shall receive as evidence a sworn report of the results of any test of the calibrator for accuracy. Such report shall be considered by the court or jury in determining guilt or innocence. C. Any individual operating a sound level meter pursuant to the provisions of this section and the local noise ordinance shall issue a certificate which will indicate: 1. that the sound level meter used to take the decibel level reading was operated in accordance with the manufacturer's specifications; 2. that the city has on file a sworn report which states that the sound level meter has been tested within the past twelve months and has been found to be accurate; 3. the name of the accused; 4. the location of the noise; 5. the date and the time the reading was made; and 6. the decibel level reading. The certificate, as provided for in this section, when duly attested by the operator taking the decibel level reading, shall be admissible in any court in any criminal or civil proceeding as evidence of the facts therein stated and of the decibel level reading. A copy of such certificate shall be delivered to the accused upon the request of the accused or the accused's attorney. (1989, c. 122; 2020, cc. 813, 814) § 50.6. Authority of city council to impose civil penalties for wrongful demolition of historic buildings. A. Notwithstanding the provisions of any state law which authorize civil penalties for the violation of a local zoning ordinance, city council may adopt an ordinance which establishes a civil penalty for the demolition, razing or moving of a building or structure without approval by the board of architectural review or city council, when such building or structure is subject to the city's historic preservation zoning ordinance. The penalty established by the ordinance shall be imposed on the party deemed by the court to be responsible for the violation and shall not exceed twice the fair market value of the building or structure, as determined by the city real 16 1/24/2022 12:00:00 estate tax assessment at the time of the demolition. B. An action seeking the imposition of such a penalty shall be instituted by petition filed by the city in circuit court, which shall be tried in the same manner as any action at law. It shall be the burden of the city to show the liability of the violator by a preponderance of the evidence. An admission of liability or finding of liability shall not be a criminal conviction for any purpose. The filing of any action pursuant to this section shall preclude a criminal prosecution for the same offense, except where the demolition, razing or moving has resulted in personal injury. C. The defendant may, within twenty-one days after the filing of the petition, file an answer and without admitting liability, agree to restore the building or structure as it existed prior to demolition. If the restoration is completed within the time agreed upon by the parties, or as established by the court, the petition shall be dismissed from the court's docket. D. Nothing in this section shall preclude action by the zoning administrator pursuant to the general laws of the Commonwealth either by separate action or as a part of the petition seeking a civil penalty. (1990, c. 302; 2020, cc. 813, 814) § 50.7. Powers relating to housing and community development. In addition to the powers granted by other sections of this charter and any other provision of the general laws of the Commonwealth, the city shall have the power: (a) To make grants and loans of funds to low- or moderate-income persons to aid in the purchase of any land, building, dwelling, or dwelling unit in the city; and to offer real estate tax deferral to low- or moderate-income persons who own any land, building, dwelling, or dwelling unit within the city. The city shall offer private lending institutions the opportunity to participate in local loan programs established pursuant to this subsection; and (b) To make grants of funds to owners of dwellings or dwelling units in the city for the purpose of subsidizing, in part, the rental payments due and owing to any such owner by a low- or moderate-income person. For purposes of this section, the phrase "low- or moderate-income persons" shall have the same meaning as the phrase "persons and families of low and moderate income" as that phrase is used in the Virginia Housing Development Authority Act, and shall be applied using the income guidelines issued by the Virginia Housing Development Authority for use in its single family mortgage loan program. In addition to being able to exercise the above-mentioned powers with city funds, the city is authorized to participate in any state or federal program related thereto and to use state, federal, or private funds in the exercise of such powers. The expenditure of any public funds as authorized in this section is hereby declared to be in furtherance of a public purpose. (2006, cc. 268, 311; 2020, cc. 813, 814) § 51. Severability. If any portion of this Charter is declared unconstitutional, invalid, or illegal by a court of last resort of this State in proper case such invalidity shall not affect or invalidate any other clause, sentence, paragraph or part of this Charter but shall be confined exclusively to the portion so held invalid. All portions of this Charter not expressly held to be unconstitutional, invalid, or 17 1/24/2022 12:00:00 illegal shall remain in full force and effect. (1946, c. 384; 2020, cc. 813, 814) Editor's note: Complete amendments listing for the City of Charlottesville: Current charter Charter, 1946, c. 384. Amendments to current charter 1948, c. 124 (§§ 3, 20, 45-a [added]) 1950, c. 413 (§§ 5, 14, 15, 20, 22, 27, 32) 1958, c. 111 (§ 20) 1960, c. 37 (§ 5.1 [added]) 1960, c. 230 (§ 14-a [added]) 1962, c. 56 (§ 50.1 [added]) 1962, c. 332 (§§ 5.1, 14-a, 14-b [added]) 1962, c. 463 (§ 5) 1964, c. 137 (§§ 5, 33, 50.1) 1970, c. 93 (§§ 14-a, 27, 50.1, 50.2 [added], 50.3 [added]) 1972, c. 184 (§§ 5, 6, 9, 12, 13, 14, 17, 24, 29, 32 [repealed], 33, 43) 1973, c. 22 (§ 33) 1973, c. 359 (§ 14-a) 1974, c. 7 (§ 5) 1978, c. 709 (§ 50.4 [added]) 1989, c. 122 (§ 50.5 [added]) 1990, c. 28 (§ 50.4) 1990, c. 302 (§ 50.6 [added]) 2006, cc. 268, 311 (§ 50.7 [added]) 2010, cc. 147, 217 (§ 6) 2020, cc. 813, 814 (§§ 1, 2 [repealed] 5, 5.01 [added], 5.1, 6, 7, 8, 9, 10 [repealed], 11 [repealed], 12, 13 [repealed], 14, 14-b [repealed], 15 [repealed], 17, 18 [repealed], 19, 20, 24 [repealed], 25, 26 [repealed], 27 [repealed], 28, 29, 31 [repealed], 33 [repealed], 35 [repealed], 36 through 40, 42, 43, 45 [repealed,] 45-a through 48, 50.1, 50.2, 50.3, 50.4, 50.5, 50.6, 50.7, and 51) Editor's note: Chapter 84 of the Acts of Assembly of 1970 was the charter for the merger of the City of Charlottesville and Albemarle County, provided the consolidation agreement was ratified and approved. The consolidation agreement did not pass; therefore, the charter is not in effect. 18 1/24/2022 12:00:00 High Level Focus Document Policy Initiatives Necessary Activities Barriers (No Particular Order, i.e., non-prioritized!) Policing—Implement 21st Century Policing • Permanent City Manager • Lack of Permanent City Manager, Police Blueprint • Permanent Police Chief Chief and Human Resources Director • Written Plan of Action with Milestones • Lack of Established Long-Range Written (hiring, training, operations) Plan of Action, with Milestones and • Marcus Alert Plan Performance Measures, developed by • Restructuring of Job Descriptions, Pay City Manager and Police Chief, working Steps, Promotion Procedures together • Knowledge of Impact of Collective • Lack of an Action Plan for Bargaining Program Implementation of Collective Bargaining • Fully operational PCOB • Lack of Budgeted Funding for Implementation of all of the above Internal Equity Program—All City • Updated City Employment and Personnel • Lack of definition of “equity” for Government Operations Policies (including restructuring of job implementation descriptions, pay steps, etc.) • Imprecise job description for DCM-REDI • Updated Standard Operational • Lack of organizational chart establishing Procedures for Public-Facing Programs programs/ offices under the internal and Operations umbrella of “REDI” • Definition of “Equity” to be adhered to • Lack of Permanent Human Resources organization-wide Director • ADA Coordinator/ Updated Transition • Lack of budgeted funding (and Plan for organization organizational prioritization) Human Resource Management— • Updated City Employment and Personnel • Lack of Permanent Human Resource Organization-wide plan for a post-COVID, Policies (including restructuring of job Director efficient, responsive, accountable workforce descriptions, pay steps, etc.) • Lack of Deputy HR Director • Performance Management Procedures • Lack of sufficient staff to administer an • Permanent Human Resources Director updated HR program • Deputy Director of Human Resources • Lack of organization-wide class and • EEOC Officer for Organization compensation plan pg. 1 High Level Focus Document Policy Initiatives Necessary Activities Barriers (No Particular Order, i.e., non-prioritized!) • Knowledge of Impact of Collective • Lack of an Action Plan for Bargaining Program Implementation of Collective Bargaining • Additional Staff to administer updated • Lack of Budgeted Funding (and regulations and procedures Organizational Prioritization) to • Continuity of Operations Procedures and implement all of the above Plans—department-level SOPs for contingencies (protocols for inclement weather; chain of command structure identifying personnel to cover decisions/ operations in the absence of a key official; • Update all standard operating policies and procedures that detail orders of operations—not dependent on a person but on organizational needs, equity, efficiency) Collective Bargaining • Permanent HR Director • Lack of permanent HR director • Consultant with experience in collective • Lack of adequate funding for consultant bargaining to assist with planning for initial • Long-range plan for costs and staffing implementation needed to implement collective • Lack of prioritization of City bargaining departments/bargaining units to be included in initial roll-out • Lack of Funding Plan for Long-Range Costs Capital Improvements Program and Plan to • Accommodation of both School and • Use of the CIP as a wish list: lack of a reflect and allow fiscal planning for major General City government needs practical, “project-scope”/ “shovel- anticipated Capital Projects and equipment • Updated ADA Transition Plan—sidewalk ready” based approach to CIP Planning infrastructure and related improvements and prioritization pg. 2 High Level Focus Document Policy Initiatives Necessary Activities Barriers (No Particular Order, i.e., non-prioritized!) • Updated Infrastructure Policies • Lack of budget-related (and policy- (maintenance and planning for new/ initiative-related) prioritization criteria to replacement facilities) apply to each year’s CIP development • Plan for Utilization and Evaluation of • Lack of inter-connections among: CAHF funding—by both nonprofit and Comprehensive Plan Land Use Plan, for-profit entities (ROI analysis tools, Affordable Housing Strategic Plan, Parks performance measurement tools and & Rec Master Plan, Transit Long-Range personnel) Plan, and City Budget • Master Plan for Downtown Public Spaces • Lack of commitment to seeing a project (including parks) through to the end, after spending has • Parks & Recreation Master Plan commenced • More efficient internal Project • Length of time it has been taking to Management and Accounting, for VDOT “scope” projects, and implement them to funded/ locally administered projects completion • Plan for City Hall space planning (office reconfigurations; re-designed City meeting spaces; technology upgrades) Address Homelessness • Long-Range Plan for Prevention • Council Prioritization in Budget • Service Coordination—City staff • CMO Prioritization in Administration/ Ombudsman needed Offices Climate Action Plan • Designated City Staff “Lead” • Lack of commitment by prior CMO(s) • Funding for Supporting Studies and Services and Public Engagement • Lack of Budget prioritization of the • Internal coordination and cooperation necessary staff and support services (City vehicles and operations policies) Budget Process Reform; Long-Range Funding • Fiscal Projections for Long-Range City • Lack of Cooperation and Long-Range Plan School Operating Needs; evaluation of Focus, between City Council and CMO Costs of City Services provided In-Kind to • Lack of Priority-Based Decision-Making Procedures, tied specifically to a current pg. 3 High Level Focus Document Policy Initiatives Necessary Activities Barriers (No Particular Order, i.e., non-prioritized!) City Schools by Public Works, Parks & Council Strategic Plan, the Comp Plan and Rec, and Transit the CIP • Fiscal Projections for Long-Range City • Lack of “ROI” Information, for both City Government Operating Needs Council and CMO • Scoping of Actual Costs of Council’s Top- • Mid-year budget requests which deviate Priority Initiatives (including Collective from planned budget Bargaining and HR Pay/ Policy Updates) • Lack of knowledge of the amount of • Consistent annual commitment to CAHF money which may actually be available • Budget Policies addressing Reserve within a budget for shorter-term use (i.e., policies; cashflow management; reliance money “squirreled” away/ earmarked for on real estate tax increases projects that haven’t happened over a • Grant Process Reform (NOFA), and course of years) Performance Measurement, for Public • Lack of state enabling legislation for Funding for Non-profits innovative tax structure or sources of • CHAP- review and revisions revenue other than RE taxes • Updated policies for contracts management, credit card usage and spending Zoning and Development/ Redevelopment • Balance of Identified Needs • Lack of permanent City manager to set Procedures • Affordable Dwelling Unit Program, tied to organizational expectations for internal the approved AH Strategy and CAHF process reform (NDS, Utilities, Public spending priorities Works, Parks, etc.) • Process and Procedure Reform • Lack of Climate Action Plan • Integrated Community Engagement • Lack of funding for software to support Strategy the permit and application review • Incorporate important environmental processes objectives • Lack of funding for contract services on • Related changes to subdivision related changes ordinance, utility ordinance, water pg. 4 High Level Focus Document Policy Initiatives Necessary Activities Barriers (No Particular Order, i.e., non-prioritized!) protection ordinance and Standards and design manual • Defined role(s) and function(s) of the Office of Community Solutions Long Range Public Transit Plan (Updated) • Long Range Plan to Increase ridership • Lack of Climate Action Plan (schedule & service changes) • Lack of Plan for Regional Transit • Regional Transit Authority Authority • Climate Action Plan • Lack of Information about Costs and • Collective Bargaining Plan (Costs and Impacts of Collective Bargaining Impacts) • Lack of Statement of Council Budget • Updated Pupil Transportation Plan and Priority for all Necessary Components personnel Fire and EMS Services—Long Range Plan • Resolve CARS status (operational and • Lack of statement of Council Budget financial) Priority • Collective Bargaining Plan (Costs and • Lack of buy-in from CARS Impacts) • Long-range projections for personnel and equipment needed for fire and EMS services • Updated UVA Fire Services Agreement Emergency Management • Establish “emergency coordinator” • Lack of Budget funding for position within position within the Office of the City the CMO Manager • Maintain City-wide training in NIMS procedures • Maintain regional disaster readiness through relationship with the EOC pg. 5 High Level Focus Document Policy Initiatives Necessary Activities Barriers (No Particular Order, i.e., non-prioritized!) Public Records • Each Department head needs an • Lack of departmental awareness of electronic records management system obligations under VPRA tied to State Library Retention Schedules, • Lack of business records management and staff to monitor compliance systems (filing systems) that are VPRA • FOIA and Public Records Officer for the compliant City government, with background and • Lack of funding for personnel and credentials to provide consulting on software necessary for compliance record-keeping systems, VPRA training and compliance, and FOIA training and compliance (should the officer “reside” in CMO? Communications office? City Council office?) Office of Human Rights—updated roles and • Enhanced Statutory duties re • Lack of Budgeted Funds for enhanced responsibilities discriminatory actions and practices role(s) • Analysis of other potential roles within City government • Clarify Role in relation to both City Council and the City Administration (including CMO and PCOB) Update/ Redefine role of the • Define/ redefine roles in relation to City • Definitions, roles and responsibilities Communications Office Council and City Manager • Expectations of City Council • Define Responsibilities re planning and • Budgeted Funds implementation of Community Engagement Strategies • Training and interaction with Police, Fire/EMS—Crisis Communications in coordination with City departments Technology • Plan for Using Software and Technology • Funding for organization-wide software to solve organizational problems to integrate records management from • Storage solutions ALL forms of communications devices (computers, phones, tablets) pg. 6 High Level Focus Document Policy Initiatives Necessary Activities Barriers (No Particular Order, i.e., non-prioritized!) • Updated Policies for Employees using • Funding for storage of public records Technology electronically, to meet state recordkeeping requirements • Funding for Personnel to support implementation of policies and procedures within each department (software solutions for records management and FOIA) Economic Development Plan • Updated Long-Range Economic • Lack of Council and CMO focus on Development Plan economic development since 2017 • Sustainability Plan for Downtown Mall • Need to identify goals and values to be and Downtown Businesses incorporated into recruitment strategies • Strategies for attracting responsible • Lack of updated Zoning Ordinance and employers, and for offering incentives development procedures based on performance outcomes • Lack of Budgeted Funding for incentives • Update/ re-evaluation of parking needs • Availability of space and ease of access at for the City government, City and County various locations within Albemarle courts, and Downtown businesses County • Implementation of Courts Project with • Lack of coordination with Zoning and County Redevelopment Planning and Initiatives • Sustainability Plan for City Market pg. 7