HomeMy WebLinkAboutWK June 13, 2001
CITY OF ANDOVER
1685 CROSSTOWN BOULEVARD N.W. . ANDOVER, MINNESOTA 55304. (763) 755-5100
FAX (763) 755-8923. WWW.cJ.ANDOVER.MN,US
SPECIAL COUNCIL WORKSHOP
STRATEGIC PLANNING SESSION
Conference Room A, City Hall
June 13,2001 -7:00 p.m.
TENTATIVE AGENDA
1. Call To Order
2. Adopt Agenda
3. Strategic Planning
a. Review of Previous Planning Goals
b. Progress Report
c. Review Mission/Value Statements
d. Council Discussion
e. Action Items
4. Management Expectations .
a. Presentation of Staff Report
b. Council Discussion
c. Action Items
5. Council-Administrator Team Building
a. Presentation of Staff Report
b. Council Discussion
c. Action Items
6. Adjourn
CD
/ CITY OF ANDOVER
1685 CROSSTOWN BOULEVARD N.W. . ANDOVER, MINNESOTA 55304 . (763) 755-5100
FAX (763) 755-8923. WWW.CI.ANDOVER,MN.US
TO: Mayor and Councilmembers
FROM: John Erar, City Adrninistrator
SUBJECT: Strategic Planning Update
DATE: June 13,2001
INTRODUCTION
The City Council held a strategic planning workshop on June 8, 2000 that led to the
identification of a number of internal and external goals, and the formulation of value staternents
that support Council's community vision. In light of the fact that there are now two new
mernbers of the City Council, it is both timely and appropriate to revisit the outcornes of the
strategic planning process to affirm, revise or identify additional issues as may be determined by
the Council.
In addition to the Strategic Planning Retreat held last year, information is attached relative to a
planning effort conducted on March 8, 1999. Planning outcomes [rom this previous effort
resulted in a mission statement and vision staternents regarding the following issues: 1)
development; 2) Public Safety; 3) Council Leadership Responsibilities; 4) City Staff and 5)
CitizenlPublic Sector Input. For historical purposes, I have attached a copy of this information
for Council review and file.
DISCUSSION
In review of the strategic planning process conducted by Council and staff in 2000, relative to
challenges facing the City, it appears that several of the perceived challenges facing the City are
interrelated in terms of their respective irnplication for the community and/or organization. The
table on the following page illustrates four major categories of strategic concerns and assigns
respective issues to the category based on their associative values. Some of the challenges
identified may fit one or more strategic categories. In addition, given that there may be rnore
comrnents or concerns, additional space is provided for Council rernarks.
Mayor and Council
Strategic Planning Workshop
June 13,2001
/ Greatest Challem es Facin!!: the City
Growth Mana!!:ement Or~anizational Issues
1. Preserving the City's Open Spaces 1. Maintaining Integrity with the Council
2. Transportation Issues 2. * The recruitment and retention of
3. *Economic Developrnent Firefighters
4. 3.
5. 4.
5.
6.
City Services Plannin~
1. Providing Adequate Law Enforcement 1. Developing a Long-Range Plan for the
2. *Balancing Services w/Available City
Resources 2. Being able to finance City Projects
3. *The recruitment and retention of 3. *Economic Development
Firefighters 4. *Balancing Services w/Available
4. Resources
5. 5.
6.
* Appears in more than one category.
.
/
2
Mayor and Council
Strategic Planning Workshop
June 13,2001
HIGHEST PRIORITY EXTERNAL GOALS
Goal # I To Prudentlv Manage the City's Growth
Status . Through the continued development and implementation ofthe Development
Policy Guideline limiting the amount of urban development to come on line each
year, the City has effectively managed growth.
. Efforts are continually being made to improve communication and convey to
prospective developers the City's development policy guidelines and associated
development time frames. A good example of this is the 2002/2003 property
owner/developer meeting on April 30, 2001.
. The completion and acceptance of the 2020 Comprehensive Plan will be an
important growth management tool for City policy makers.
. Continued review of existing policies to ensure appropriateness with changing
develooment dynamics.
Comments
Goal #2 To Enhance Communication with the Public
Status . The City uses a number of different communication channels including a monthly
newsletter, City website and public access channel.
. City staff will be exploring ways to enhance the City's website over the next
several months. For example, adding forms, handouts and other miscellaneous
customer information.
. To promote effective Customer Service policies through employee training and
continued educational opportunities
. To improve multi-media presentation capabilities and voice transmission quality
within the Council Chambers.
Comments
Goal #3 To Develop and Update the City's Capital Improvement Program
Status The City is currently working to produce a Five Year Capital Plan that will identify
proposed capital projects for each ofthe next five years. Completion of this goal should be
achieved by November of this year. A draft plan will be submitted to Council for review
and approval.
Comment
Goal #4 To Broaden the City's Tax Base Through Increased Industrial and Commercial
Development
Status . The development of Andover Station and the continued marketing of the area has
produced new commercial business including, The Courtyards of Andover, 1st
Regions Bank, Pine Ridge Pet Care Center, Northwest Commercial
Office/Warehouse Building and a number of other office/warehouse building
south of the Andover Cinema.
3
Mayor and Council
Strategic Planning Workshop
June 13,2001
. The acquisition of Anoka Auto Wrecking on the north side of Bunker Lake
Boulevard marks the removal of the last of eight recycling yards in the City.
. The future development of the area north of Bunker and west of Hanson Boulevard
will continue to broaden the City's tax base.
Comments
Goal #5 To Develop a Long-Term Transoortation Plan
Status Additional discussion will need to occur regarding this item. The backbone of the city's
transportation system is the County highway system. The county does have a long range
study/plan for their system. The parameters of a city transportation plan will need to be
identified in order to move forward with this study/plan.
The process of developing a long-term transportation plan is generally conducted through a
separate review process involving Council and appropriate staff. It may include the use of
a facilitator, and professional consultants to develop an initial draft plan. Scheduling
public information meetings with the community to receive feedback on recommended
transportation components would be required. As road expansions and long-term route
designations will have implications to City residents, it would be appropriate to include
residents in the process.
Comments
Goal #6 To Effectivelv Balance the Services that the City Provides with Available Resources
Status . The City will be looking for opportunities to implement user fees for services that
generally benefit a specific or limited segment of the City's residential/customer
base. It is generally held by most municipalities that services provided and
received by a select group of users/customers should not be underwritten through
the general tax levy.
. Implementing a new budgeting model in the development of the 2002 Budget
leading to greater participation and recognition of service costs. The budget model
will continue to migrate to cost center accounting practices to more fully recognize
specific service related costs.
. Adoption offormal financial Policies
. The development of a five year Capital Improvement Plan will identify both
sources and uses of project funding. Prioritization of projects will be a critical
element in project scheduling.
. The introduction of a separate Capital Project Levy to fund capital outlays and to
build a capital reserve fund to avoid levy spikes and ensure a consistent, and
specifically earmarked revenue source.
. To promote the use of technology to increase staff efficiency and reduce
unnecessary labor intensive costs.
. To look at opportunities to realign and restructure the organization to streamline
unnecessary duplication, reduce overly bureaucratic procedures and improve
interdeoartmental communications.
Comments
)
4
Mayor and Council
Strategic Planning Workshop
June 13,2001
OTHER GOALS AS IDENTIFIED BY COUNCIL
5
Mayor and Council
Strategic Planning Workshop
June 13,2001
/ HIGHEST PRIORITY INTERNAL GOALS
Goal #1 The need to improve communication between the Council and staff
Status . Keeping communication lines open and consistent have been facilitated
through the use of weekly Management Reports.
. The introduction of a new standardized rnemorandum format for Council
agenda should also provide Council with a more efficient way of reading
staff reports.
. Scheduling an Annual Goal-setting Workshop with Council will afford
additional opportunities to share ideas, thoughts and concerns.
. Adopting policies that articulate specific communication protocols between
Council, the administrator and City departrnents
Comrnents
Goal #2 The need to recruit, retain and develop high quality employees
Status Management practices, policies and programs will be updated and refined to
promote the retention of existing staff, the recruitrnent of high quality candidates
and the continued development of staff in the areas of building skills and leadership
through training, education and professional development opportunities.
With. the addition of a Human Resources Manager, the City will be in a better
position to effectuate changes in support of these key objectives.
As the City continues to grow in terms of complexity, service population and work-
load, employee performance programs will need to be implemented; customer
service policies will need to be decentralized; and compensation and benefit
packages will need to be enhanced to ensure competitiveness with sirnilarly sized
cornmunities to attract and retain talented, high quality staff.
Comments
Goal #3 The need to establish rules that will result in more efficient Council meetings.
Status With respect to Council procedures, I would like to explore the adoption of Council
By-Laws that address the following issues: 1) Citizen Participation policies; 2)
Revise the Council Agenda to better define and categorize Council agenda items; 3)
Identify and clarify Council procedures with respect to gaining efficiency and
economy in the discussion of agenda business items; and 4) Promote the
enforcement of rules of order that allow the presiding officer (Mayor) to rnore
effectively move business items to closure and voting. If Council concurs with this
concept, my office will draft the necessary provisions for Council review and
adoption.
Cornments
6
Mayor and Council
Strategic Planning Workshop
June 13,2001
\
Goal #4 The need to provide a positive work environment for City staff
Status Feedback frorn City departments suggest that a positive work environment currently
exists. Promoting participation, teamwork and professional standards of conduct
will continue to support this objective.
Cornments
Goal #5 The need to rnore effectively utilize the resources of the City's Commissions and
advisorv committees.
Status Continue to hold joint rneetings with City commissions; promote training and
educational opportunities for appointed members of City commissions; Adopt
policies that clarify how Council will receive, interpret and act on recommendations
from City cornmissions, advisory committees and City staff.
While the very nature of advisory commissions and committee are to assist Council
in the decision-rnaking process by studying specific issues and providing "advisory"
recommendations to Council, Council should clearly cornmunicate its prerogative
in policy matters in a manner that is constructive, supportive and encouraging to its
advisory cornmissions/committees, yet assures that Council, as the elected body,
reserves its rights to make independent decisions.
Meeting with each commission is an important tool in clarifying expectations and
keeping communication lines open. Prefacing Council actions that may be contrary
to commission/committee recommendations with specific reasons or facts would be
helpful to promote respectful and non-adversarial working relationships.
Look at scheduling an annual City Cornrnission appreciation dinner to recognize
volunteers who give of their time and talents.
Comments
Other
Goals
/
7
Mayor and Council
Strategic Planning Workshop
June 13,2001
Mission/Value Statements (Attachment G)
/
In addition to a discussion of high priority external/internal goals, Council is respectfully
requested to review, discuss and select one of the Proposed Mission Staternents or, in the absence
of consensus regarding one of the existing statements, develop a different City Mission
Statement. The use of an approved rnission staternent would create a unifying vision for the City
and could be incorporated in a variety of comrnunication materials such as City letterhead,
newsletter, public programming on cable television etc.
With respect to the value statements articulated under Attachment G, Council review,
modifications, if any, and approval of these statements are requested. With Council approval, the
City would then use these statements to promote rnunicipal service themes with the general
public. The development of brochures that would be available at department service counters,
institutionalizing service values within the organization through ernployee training curriculums
and the placernent of this information on the City's website would allow the City to promote its
commitment to exceptional public services.
ACTION REQUIRED
Council consideration is respectfully requested in the following areas.
I) Affirm, revise or add to the list of challenges/opportunities facing the City.
2) Affirm, revise or add to the Highest Priority External Goals; discuss additional action
items Council would like staff to explore.
3) Affirm, revise or add to the Highest Priority Internal Goals; discuss additional action
items Council would like staff to explore.
4) Select a proposed City Mission Staternent as identified in Attachment G.
5) Consider approval of the Proposed Values Statements for the City as identified in
Attachment G.
Attachments
)
8
Attachment G
/
!PROPOSED REVISED CITY MISSION STATEMENTI
OPTION #1 "The City of Andover shall be guided by the principles of quality
development, protection of natural resource, and people"
OPTION #2 "Our mission is to provide high quality public services to address
citizen and community needs in a fiscally responsible, customer-
friendly manner"
OPTION #3 "Our mission is to provide high quality public services that
effectively address changing citizen and community needs in a
fiscally responsible and customer-friendly manner"
OPTION #4 "Our mission is to deliver excellence and quality of services with
integrity and effectively realize changing citizen and community
needs in a fiscally responsible and customer-friendly manner.
OPTION #5 "Our mission is to achieve excellence in providing public services to
the residents of Andover and to do so in a fiscally responsible,
customer-friendly manner"
I
25
Attachment G
I (continued)
jPROPOSED VALUES STATEMENT FOR THE CITYI
THE FOLLOWING VALUES ARE FUNDAMENTAL TO THE CITY OF ANDOVER'S
SUCCESS AND THE FULFILLMENT OF OUR MISSION:
1) EXCELLENCE AND QUALITY IN THE DELIVERY OF SERVICES
WE BELIEVE THA T SERVICE TO THE PUBLIC IS OUR REASON FOR BEING,
AND STRIVE TO DELIVER QUALITY SERVICES IN A PROFESSIONAL AND
COST-EFFECTIVE MANNER.
2) FISCAL RESPONSIBILITY
WE BELIEVE THAT FISCAL RESPONSIBILITY AND PRUDENT
/ STEWARDSHIP OF PUBLIC FUNDS IS ESSENTIAL IF CITIZENS ARE TO
HA VE CONFIDENCE IN GOVERNMENT.
3) ETHICS AND INTEGRITY
WE BELIEVE THAT ETHICS AND INTEGRITY ARE THE FOUNDA TION
BLOCKS OF PUBLIC TRUST AND CONFIDENCE AND THA TALL
RELA TIONSHIPS ARE BUlL T ON THESE VALUES.
4) TREATING THE CITIZEN AS OUR CUSTOMER
WE BELIEVE THA T THE CITIZEN IS OUR CUSTOMER AND; AS SUCH,
SHOULD BE TREA TED WITH COURTESY, RESPECT, AND DIGNITY.
5) OPEN AND HONEST COMMUNICATION
WE BELIEVE THA T OPEN AND HONEST COMMUNICATION WITH EACH
OTHER AND THE PUBLIC WE SERVE IS THE KEY TO HAVING AN
EFFECTIVE ORGANIZA TION AND INFORMED CITIZENS.
26
Attachment G
(continued)
6) POSITIVE RELATIONS WITH THE COMMUNITY
WE BELIEVE THA T POSITIVE RELA TlONS WITH THE COMMUNITY AND
THE PUBLIC WE SERVE LEADS TO POSITIVE, IN VOL VED, AND ACTIVE
CITIZENS.
7) COOPERATION AND TEAMWORK
WE BELIEVE THA T THE PUBLIC IS BEST SERVED WHEN OFFICIALS AND
CITY EMPLOYEES WORK CO OPERA TlVEL Y TOGETHER RA THER THAN AT
CROSS-PURPOSES.
8) PROFESSIONALISM
WE BELIEVE THA T CONTINUOUS IMPROVEMENT IS THE MARK OF
I PROFESSIONALISM, AND ARE COMMITTED TO APPLYING THIS
PRINCIPLE TO THE SERVICES WE OFFER AND TO THE DEVELOPMENT
OF OUR EMPLOYEES,
I
27
Attachment E
/
ISUGGESTED GOALS PROGRAM FOR THE CITYI
I HIGHEST PRIORITY - EXTERNAL I
GOAL #1 TO PRUDENTLY MANAGE THE CITY'S GROWTH
GOAL #2 TO ENHANCE COMMUNICATION WITH THE PUBLIC
GOAL #3 TO DEVELOP AND UPDATE THE CITY'S CAPITAL IMPROVEMENT
PROGRAM
GOAL #4 TO BROADEN THE CITY'S TAX BASE THROUGH INCREASED
INDUSTRIAL AND COMMERCIAL DEVELOPMENT
/
GOAL #5 TO DEVELOP A LONG-TERM TRANSPORTATION PLAN
GOAL #6 TO EFFECTIVELY BALANCE THE SERVICES THAT THE CITY
PROVIDES WITH AVAILABLE RESOURCES
/
17
Attachment E
j (continued)
!SUGGESTED GOALS PROGRAM FOR THE CITYI
I HIGHEST PRIORITY. INTERNAL I
GOAL #1 TO IMPROVE COMMUNICATION BETWEEN THE COUNCIL AND
STAFF
GOAL #2 TO RECRUIT, RETAIN, AND DEVELOP HIGH QUALITY
EMPLOYEES
GOAL #3 TO CONDUCT MORE EFFICIENT COUNCIL MEETINGS
/
GOAL #4 TO PROVIDE A POSITIVE WORK ENVIRONMENT FOR CITY
EMPLOYEES
GOAL #5 TO MORE EFFECTIVELY USE THE CITY'S COMMISSIONS AND
ADVISORY COMMITTEES
18
Attachment C
,
ANTICIPATED CHANGES THAT WILL IMPACT THE
CITY IN THE NEXT FIVE YEARS
I MOST SIGNIFICANT CHANGES I
1) The continuing growth of the city's population
2) Changes in federal, state, and metropolitan council mandates
3) The city's commercial and industrial growth
4) Dealing with issues related to the city's two new schools
5) Changes in the transportation needs of the city
6) An increasing emphasis being placed on planning
I OTHER CHANGES I
7) An aging population with different service needs
8) Changes in the economy
9) Changes in the services the city provides
10) Changes in personnel with the council and staff
14
Attachment A
I GREATEST CHALLENGES FACING THE CITYI
1) "Growth management" .
2) ."Balancing the services the city provides with available resources" *
3) "Being able to finance the city's projects"
4) "Developing a long-range (ten year) plan for the city"
5) "Providing adequate law enforcement as relates to the city's growth"
6) "Economic development"
7) "Maintaining integrity with the council"
8) ''Transportation issues"
9) "Preserving the city's open space"
10) "The recruitment and retention of the city's fire fighters"
. Indicates multiple responses
7
,
CITY OF ANDOVER
I MEMORANDUM
DATE: March 8, 1999
TO: Mayor and City Council
FROM: Richard Fursman
RE: Council/Staff Workshop - Item # 2
Included with this memo you will find an agenda and a mission
statement brief. The mission statement was developed during
a two day work session in the summer of 1995.
The brief includes staff suggestions for alternate language
and some comments that were not part of the original
document.
,
MISSION STATEMENT
I The elected and appointed officials of the City of Andover shall be guided by the
principles of providing for the good and betterment of the community, through quality
developrnent, protection of natural resources and regulation of the use of property to
ensure the safety and well being of all residents.
Community
These objectives promote a sense of community, identity and pride.
A) A new or enhanced City logo will be created for better community identity.
B) Community and business events will be held to promote identity and enhance
a sense of community pride.
Comments: Andover Family Fun Fest, Arbor Day
C) The City shall plan and direct development of community facilities for rneetings,
recreation and other public needs in conjunction with other public entities within
the City.
Development
Focuses on the safety, values and interests of future residents and business.
J A) It shall be a City Policy to develop or plan for, pedestrian walkways, trails and
rights-of-way for alternate transportation in not only new developments but
throughout the City. (Engineering - lead, Cornpletion Goal - June '96)
Proposed Alternate A) It shall be City Policy to develop and/or plan for alternative modes of
transportation within the City. This shall include but not be limited to;
transportation trailways, lateral trailwavs within develoDments and Dedestrian
sidewalks.
Comments: to-date the City has implemented the comprehensive plan in relation to the
construction of the transportation trailways typically located within road rights-
of-way. Lateral trailways and/or sidewalks have not consistently been applied
to new developments. A clarification on including these onfuture development
reviews is needed.
B) The City will adopt its own Wetlands Conservation and Marginal Land Use
Ordinance to define and protect land within the City from inappropriate
development. (Planning - lead, Engineering - support - Sept. '96)
Proposed Alternate B) The City will utilize the Planned Unit Development Ordinance and
Wetland Buffer Ordinance to protect marginallandfrom inappropriate
development.
I
C) The Planning and Zoning Commission and the City Council shall review land
zoned for retail, commercial and light industrial, to assure an optimal siting
throughout the City for the convenience of citizens and to provide for an
expanded tax base. (Planning - lead, Engineering - support - Sept. '96)
,
.
Proposed Alternate C) The City through the use of staff, EDA and various commissions and
committees shall promote economic development throughout the City
considering convenience to citizens, local employment and to providefor an
expanded tax base.
D) The Tree Preservation Policy shall be amended to require tree planting as well as
preservation of trees in developrnents.
(planning - lead, Engineering - support - Sept. '96)
Proposed Alternate D) It shall be the City Policy to encourage and promote tree preservation and
reforestation within the City.
Comments: The Tree Preservation Policy currently has limited enforcement capabilities. At
the present, time staff encourages developers and builders to preserve trees
within the City. This is currently being implemented through recommendations
and encouraging custom grading within new developments. The jury is still out
on its effectiveness. If this is an acceptable level of preservation for the
council, we will continue to encourage preservation whenever possible.
E) To accommodate a maturing population, elderly housing units will be encouraged
in appropriate areas. Such options shall include consideration of transportation,
convenience for shopping and medical assistance.
(Planning -lead, June '97)
/
Proposed Alternate E) The City will encourage the development of senior housing units in
appropriate areas of the City.
F) The City shall develop an ordinance on unit clustered housing which will allow
diversity in density and provide for green space. Such green space shall, at a
minimum, be no less than for an unclustered development within the same zoning
district. (Planning - lead, Engineering - support - June '96)
Proposed Alternate F) The City shall promote the use ofp1anned unit developments when
appropriate to enchance the appearance, use and livability of neighborhoods.
G) The City shall identify public transportation needs and develop either public or
private plans to meet those needs.
(PlanninglEngineering - June '97)
Proposed Alternate G) The City will identify transportation needs and investigate alternatives.
H) Within areas reachable by City water and sewer services, a master plan will be
developed to serve such areas, along with a financial plan on determining costs
and financing. (Engineering/Planning/Finance - Sept. '96)
Proposed Alternate H) It shall be city policy to maintain and keep up-to-date a comprehensive
water and sanitary sewer plan for the City.
2
Comments: The City's Comprehensive Water Plan was redone in 1997. The Comprehensive
Sanitary Sewer Plan is currently being reevaluated by Howard R. Green and
J Assoc. Cost estimates from these plans will be incorporated into the Capital
Improvement Plan for the City.
I) The City shall develop stormwater districts with appropriate areas of the City and
develop the necessary financing tools to implement the districts
(EngineeringlFinance - Adoption of Plan - June '97
Irnplementation in January of 1998)
Proposed Alternate I) The City shall develop storm water districts within the City in order to
maintain the City's stormdrainage system at a level which will help insure the
health, safety and welfare of the residents.
Comments: Storm water districts have not yet been established for the City. The City
currently uses generalfund $ to maintain the system. As our system ages
additionalfunding will be necessary to maintain the systems we have.
It is recommended to combine H and I as follows: It is the policy of the City to
maintain the infrastructure of the City at a level which will help insure the health,
safety and welfare of the residents.
Examples of specific tasks associated with this item are:
1. Deve10p and maintain a comprehensive water and sanitary sewer plan for the City.
2. Develop and maintain a pavement management system for the City.
3. Develop storm water districts for the City to provide for tire maintenance of tire City
storm sewer system.
1) Negotiations shall be held with the City and Anoka County to negotiate
expansions and improvements in the County roadway system within the City.
(Administration - lead, Engineering - support - Ongoing)
K) Development within the City shall minimize impacts on farm and agricultural
tracts. (A - 1)
Public Safety
A) The City will, on an annual basis, determine the adequacy of its police and fire
protection and publish a report for the citizens.
(Fire, Sheriff, Health Span - May '96)
I B) Pavement Management Systems: Both new and existing streets will be
maintained to a plan which will address routine maintenance schedules and
standards. (EngineeringlPublic Works June '97)
3
--
.
C) All plats shall require streets and roads to assure access to and between all nearby
developable properties. (Ongoing)
,
POLICY: It shall be the policy of the City to locate public safety facilities
throughout the City to provide for a minirnum response time.
Council Leadership Responsibilities
A) All City services shall be reviewed to determine if a charge should be levied to the
beneficiaries of the service, and what that fee should be. This review shall be
completed during budget process.
(Finance Dept. - June '96)
Proposed Alternate A) It shall be the policy of the City to charge fees for services to appropriate
beneficiaries.
B) The City shall adopt ordinances to encourage telecommunications suppliers to
provide new services to the citizens of the City and allow the use of
telecommunications options. Fees shall be established for all uses of rights- of-
way. (Clerks Office - lead, Engineering - support - March '96)
Prnnosed Alternate B) The City shall adopt an ordinance regulating the use of the City's rights-
of-ways and charge fees accordingly.
Comments: The City Engineers' Association is working on an ordinance. There was one
proposed ordinance from the League of Minnesota Cities and another from
Tom Creighton, our cable commission attorney.
C) The City shall aggressively seek competition each year prior to budgeting,
between the City, private providers and other governmental units to procure the
service requirements of the City.
(All Departments - Ongoing)
Proposed Alternate B) The City shall consistently review services for more cost effective delivery
including out sourcing.
D) Council shall hold at least one town rneeting every six months as a forum for
citizens of the community to voice their views on the state of the City, its
direction and other matters.
(City Clerk -lead - September 1996 & March 1997)
Proposed Alternate D) Council shall hold town meetings as aforumfor citizens of the
community to voice their views on the state of the City, its direction and other
matters.
4
E) The Planning and Zoning Commission, Council and Staff, with input from Citizen
; Advisory Conunittees, shall review and report those ordinances which are either
outdated, unenforceable or otherwise suggested to be removed from the City
regulation. Such review shall take place in each even number year.
(Administration - lead, Staff. support - Dec. '96)
Proposed Alternate E) Ordinances Shall be revised and updated on a regular basis.
F) The City shall develop a Capital Improvernents Program.
(Finance - lead, Staff - support - June '96)
G) On significant issues, input into the Council decision making process will be
sought through citizen forums and focus group.
(Council - Ongoing)
Policy: The City shall investigate the use of its facilities, equipment and staff by
other entities, as a profit center for the City.
City Staff
A) City staff shall develop professional relationships with representatives of their
respective state, county and other agencies.
B) Each City employee and Council member shall be encouraged to attend at least
one education or training session in their field each year.
C) The City shall provide adequate space, equipment and facilities to meet the needs
of staff. (All above - Ongoing)
D) Staff shall advise Council once each year as to progress made within their various
departments during the year and department goals for the coming year.
(All Departments - May - June '96)
Citizen/Public Sector Input
A) Meeting with officials of neighboring cities, the school district and the County
will be held to define areas of mutual benefit.
B) A task force will be created to review the need for parks, prioritize the needs and
develop methods of financing needed improvements.
/ 02/25/99FILE:DA T AlDEPT/ ADMINIMISION98.DOC
5
6)
'. CITY OF ANDOVER
)
1685 CROSSTOWN BOULEVARD N.W. . ANDOVER, MINNESOTA 55304 . (763) 755-5100
FAX (763) 755-8923. WWW.CLANDOVER.MN.US
TO: Mayor and Councilrnembers
FROM: John F. Erar, City Adrninistrator
SUBJECT: Organizational Managernent Expectations
DATE: June 13,2001 ~.
INTRODUCTION
A review of organizational management expectations and practices that I would like to discuss
with Council are presented for your review and consideration. These suggested changes have
been identified as a means of stimulating dialogue on issues where alternate approaches would
suggest a more appropriate and efficient rneans of addressing organizational rnatters.
DISCUSSION
/ 1) Discuss whether there is a continued need for a City Personnel Committee. This particular
standing committee reviews personnel activities that are essentially an
administrativelorganizational responsibility under the City Code. When the need arises to
inform Council on specific personnel matter, a meeting with the full Council is a more
appropriate and desirable mechanism to communicate personnel issues. As indicated
previously, Council involvernent in personnel actions as prescribed by the City Code are
limited to rnatters pertaining to ratifying adrninistrative recommendations on full-time staff
appointments and/or termination actions. These two actions are specifically identified and
authorized in the City Code. I
2) Discussion on the appropriateness of having Council legislatively approve organizational
policies, specifically personnel policies, as stipulated in the City Code? As personnel policies
control organizational issues, Council should not have a formal need to adopt policies
legislatively, but rather' should expect that appropriate policies be promulgated by the
adrninistrator as provided for in City personnel policy.
I Ordinance No. 216, Section 2. Major Areas of Accountability.
2 Ordinance No. 216, Section 2. Major Areas of Accountability.
3 Section 1. Purpose. subd. (c) The City Council hereby provides the City Administrator, or designee, with the
responsibility and authority to interpret and administer the Personnel Policy, and promulgate appropriate rules,
regulations and implement administrative policies and procedures.
Mayor and Council
Organizational Management Expectations
June 13,2001
Page 2 of3
J
I have reviewed this aspect of the city code with the City Attorney, and he concurs with this
position. In attending a recent labor/human resources seminar, cities are also being advised
not to have personnel policies adopted through the governing body as legislative approval
elevates policies to a more restrictive level of City law. In rnost cases, personnel policies
follow both federal and state ernployrnent laws eliminating the need for Council to adopt
policies. With respect to policies that rnay have a budgetary implication, programs will
generally be included in the annual budget process or be brought to Council directly if they
fall outside of normal budgetary appropriations.
The City Code authorizes the adrninistrator to develop appropriate internal controls,
procedures and policies as needed and/or necessary. If Council would like copies of new or
modified personnel policies as they are irnplemented, I would be happy to include Council on
the distribution list, and generally prefer to keep Council apprised of new or revised policies.
Again, my rationale for including this item for discussion is related to organizational
management issues associated with administrative responsibility and accountability for
rnanaging the organization and delivery of City services in the most efficient, cost-effective,
and professional manner possible. Should Council concur with this concept, an amendment
to City Ordinance No. 216 would be required that would eliminate the need to bring
personnel policies to Council for formal adoption.
J
3) With respect to City Personnel Policy, Section 29. Employee Complaint Procedure Sub (f),
this provision appears to be in direct conflict with City ordinances relative to Council's
involvement in employee cornplaint resolution. As rnentioned previously, under the City
Code, the Council's role is specifically limited to final ratification of appointment and
termination recommendations, with organizational disciplinary matters addressed through
administrative processes. However, this policy section provides that Council sit as "court of
last resort" contrary to the limitations expressed within City ordinance.
The more desirable and appropriate procedure at this stage in the process is to refer
complaints to an arbitrator or an administrative law judge to make a final determination based
upon the facts of the situation. Very rarely, if at all, do governing bodies actually participate
in the grievance process in order to avoid the undesirable politicalization of the situation and
minirnize potential personal liability associated with Council participation. The City Attorney
has indicated his concerns with respect to Council's involvement in the disciplinary process.
4) ~iscussion on how resident complaints, which are brought to a Council member's specific
attention, should be handled. It is assumed that the citizen may want action taken
irnmediately. Relative to communication protocol, I have attached a proposed policy for
Council review and discussion.
/
Mayor and Council
Organizational Management Expectations
June 13,2001
Page 3 on
/
5) Discussion on establishing guidelines for the conduct of City Council meetings and the
participation of citizens at Public Hearings. If Council wishes to review and discuss this item,
I have attached a proposed policy for Council's consideration.
6) Proposed policies on Council-staff communication protocols; Council expectations of Staff
Work Assignments; Council-Management Team Staternent of Commitrnent to Productive
Working Relationship are also included for Council review and consideration. It has been rny
observation that rnany of these concepts are, in effect, practiced on a daily basis. Committing
these practices to written policies will serve to reinforce and clarify these irnportant
mechanisms of Council-staff working relationships.
ACTION REQUESTED
Council review and discussion of the items as listed. These proposed Council policies have been
discussed and reviewed by the City attorney and management team. Council action relative to
policy adoption is respectfully requested.
Attachments
COUNCIL POLICY - PROPOSED
Council MeetinglPublic Hearing Citizen Participation Protocol
I
POLICY PURPOSE
The purpose of this policy is to establish guidelines for citizen participation at public meetings that will ensure that
the following Council objectives are achieved.
. Welcome and encourage citizen comments on matters of interest or concem
. Preserve and promote the accurate exchange of information
. Preserve the equal rights of citizens to communicate their views
. Provide for an orderly, courteous and efficient meeting
. Provide adequate time for Council to review and consider agenda items
COUNCIL MEETING
The following Council meeting guidelines are established and shall be enforceable by the Mayor or presiding
Council member. The following guidelines may be amended by a majority vote of Council.
I. Questions are to be addressed to Council during the meeting; citizens are encouraged to contact City
staff prior to or following the Council meeting for further information. Council is free to call upon or
direct a question to staff as necessary or appropriate.
2. A citizen desiring to speak may do so only after being recognized by the Mayor. Upon recognition, the
citizen should approach the podium and clearly state his/her name and address.
3. To allow for equal time, citizens are limited to (5) five minutes to address Council.
4. Complaints or concems expressed during 'Resident Forum', and not on the regular Council meeting
agenda, will be responded to by the next regularly scheduled Council meeting and placed on Council
Agenda. Citizens will receive a copy of the City's response prior to the next meeting.
PUBLIC HEARING
Citizen testimony, opinions or questions at a public hearing are encouraged, and are considered by Council in their
respective deliberations. The following guidelines are established by Council and are enforceable by the Mayor or
the presiding Council member.
I. A member of the City staff will introduce and explain the agenda item.
2. The Mayor will invite public comment and set a time limit for each speaker so that all citizens desiring
to address the issue may have the opportunity to do so. A group of persons may select one
spokesperson to speak for group; that person may be granted more time at the Mayor's discretion.
3. A citizen desiring to speak may do so upon recognition by the Mayor. He/she shall approach the
podium and state their name and address. Citizens not recognized by the Mayor should refrain from
interrupting a speaker who has been recognized as a matter of general courtesy.
4. Questions should be addressed to the Mayor, Council and/or staff as appropriate. Council is free to call
upon or redirect a question to a, staff member. Citizens are encouraged to contact staff members prior
to or following the public hearing to obtain further information.
5. Each citizen will be permitted to address Council once during the meeting. At the Mayor's discretion,
second comments may be heard if time exists or ifnew information is to be presented.
6. After citizen comments have been heard, Council will close the public portion of the hearing and then
hold its own discussion on the issue. A decision may be made at this time or postponed until a later
meeting. No further public comment on the topic will be allowed unless specifically invited by the
Mayor.
These guidelines may be amended upon a majority vote of Council.
/
Draft Copy 1/20/98
COUNCIL POLICY - PROPOSED
Council-Resident Complaint Resolution Process
/
The handling and resolution of resident cornplaints is a very high service priority for Council and
staff. In order to effectively and efficiently address resident complaints brought directly to
Council rnembers, the following procedures and value statements are proposed:
a) If a Council member is uncertain as to the proper referring department of a resident
service complaint, she or he is encouraged to contact the City Administrator, or if the
referring service department is known, the Council member is encouraged to contact
the Department Director directly. Consequently, all resident service complaints or
process questions should be taken either to the City Administrator or to the affected
Department Director to rnaintain consistency in service communications, accuracy,
appropriate managernent accountability and general courtesy to the rnanaging
director.
b) All resident service complaints or concerns are important, however, in order to
effectively resolve the issue and rnaintain consistency in resolving existing service
priorities, a reasonable amount of time rnay be required to address the issue in the
order received. In cornplaint situations where the level of difficulty is high and/or
sorne amount of time is needed to focus organizational resources on the issue,
Council members and the respective resident will be updated on status.
c) In situations, where either the City Adrninistrator or Department Director is
unavailable, leaving a detailed message on voice mail is encouraged. Staff will
respond to these rnessages within a reasonable amount of time, usually within the day
/ or next business day at the latest.
d) The reporting Council member will receive service feedback on the complaint by the
responding departrnent director/designated staff person or the City Administrator
upon resolution or as rnay be requested by the Council rnember.
e) Once a resident service cornplaint is brought to the attention of the City
Administrator/Department Director, it is expected that staff will handle the issue
exclusively to ensure direct comrnunications with the resident, and will handle the
issue in question according to the City Code, professional judgement and reasonable
service time frames.
f) Council members are encouraged to refer the resident to the appropriate department
director, or indicate that the administrator or department director will contact them on
their respective concerns.
COUNCIL POLICY - PROPOSED
\ Council-Staff Communication Protocol
I
In order to maintain a consistent, open and mutually productive relationship, it is encouraged that
Council members communicate with the administrator or appropriate department director on all
service related issues. It is important that when a service related issue affecting the organization
is in question, that the administrator or affected departrnent director is notified to provide
Council with a senior level management response.
COUNCIL POLICY - PROPOSED
Council Expectations of Staff Work Assignments
All City-related issues will be objectively and professionally reviewed by staff. Staff research
and concluding opinions will be based upon all available relevant sources of data, and based
upon respective staff expertise. Staff is hired to provide Council with professional expertise on a
variety of subjects and issues to be presented in an unbiased, objective manner. Council is free at
all times to question staff rationale, process and procedures issues and associated background
information, but should allow staff to exercise their professional judgement with confidence.
In situations where Council disagrees with a particular staff recommendation(s) or action
requested items, Council is free at all times, and staff will respect Council's prerogative to take
different courses of action based upon alternative legislative viewpoints. In such cases, however,
staff is obligated to identify the implications or consequences of an alternative Council action
with respect to administrative, operational and legal considerations.
COUNCIL POLICY -101-04-1997
Council-Management Team Statement of Commitment to Productive Working
Relationship
Council and staff roles are rnutually supportive and respectful; comrnitted to working together as
a team. Keeping communication lines open, mutually respectful and honest are key to a
productive, high-quality and mentally healthy work environment. Staff respects Council's role as
that of preeminent policy maker on all issues affecting the comrnunity. Conversely, Council
respects the managernent team's role as professional, competent managers committed to
implementing Council policies in a credible, considered and objective manner.
..
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/
CITY OF ANDOVER
COUNTY OF ANOKA
STATE OF MINNESOTA
ORDINANCE NO. 216
An Ordinance repealing Ordinance No. 31 adopted Septernber 16, 1975 and Ordinance
No. 3lA adopted May 13, 1976.
AN ORDINANCE ESTABLISHING THE POSITION OF CITY ADMINISTRATOR
AND DEFINING DUTIES AND RESPONSIBILITIES.
The City Council of the City of Andover hereby ordains as follows:
The position of City Adrninistrator is hereby established providing for the Administrator
to be the Chief Administrative Officer of the rnunicipality.
Section 1. Position Summary.
Directs and manages all City operations as delegated by the City Council within the
J parameters of state statute and City policy to ensure the effective and efficient operation
of all City departments through a subordinate departrnent head structure. Serves as
primary liaison with the City Council to inform them ofrelevant projects and issues.
Recommends policy changes and communicates council decisions to appropriate City
staff. Guides the developrnent and implementation of departmental managernent,
human resource and labor relations policies and practices. Serves as the City's key
representative in cooperative efforts with other governmental or private entities.
Responds to citizen questions and complaints either directly or through appropriate
personnel.
Reports to and serves at the discretion of the elected mayor and council. Exercises
supervisory authority over all City employees, through a department structure.
Oversees all hiring, promotion, and termination recornmendations as well as rewards,
discipline, grievances, training, performance aJ?praisaI and other employment
conditions.
Directs and oversees the development of annual City budget and periodically monitors
revenues and expenditures against approved budgets to ensure the soundness of City
fmances.
Section 2. Maior Areas of Accountability.
1
I
/ Supervise directly or indirectly all personnel of the City, making recommendations to
the City Council regarding employment and dismissal. Budgeted temporary personnel
may be hired and discharged by the City Administrator.
Administer personnel rnatters for the City consistent with City personnel policy.
Develop and issue administrative rules, policies and procedures necessary to ensure the
proper functioning of all departments.
Negotiate or delegate the negotiation of terms and conditions of employee labor
contracts for presentation to the City Council.
Inform the City Council on matters dealing with administration of the City and prepare
and submit to the City Council for adoption an administrative code encompassing the
details of administrative procedure (personnel policy).
Attend and participate in all meetings of the City Council. Coordinate the preparation
of the City Council, Planning and Zoning and Park COlmnission agendas. Recommend
to the City Council such measures as deemed necessary for the welfare of the citizens
and the efficient administration of the City. May attend at own discretion or at the
direction of the Council, other committee and commission rneetings.
Represent the City at functions as directed by the Council. Maintain good public
/ relations with the citizens of the community.
Consult with officials of both public and private agencies as may be required, while
maintaining knowledge offederal, state and county prograrns which affect the
municipality.
Oversee the preparation of annual fiscal budget and capital improvement plan. Maintain
fmancial guidelines for the City within the scope of the approved budget and capital
program. Ensure reports are submitted to the Council on the fmancial condition of
municipal accounts, and ensure the annual fmancial statement is prepared in accordance
with Minnesota Statutes.
Supervise the purchasing function of the City, by ensuring all purchases are in
accordance with approved municipal budgets.' Has the authority to sign purchase orders
for routine services, equipment and supplies for which the cost does not exceed one
thousand dollars ($1,000). Present to the City Council all claims resulting from orders
placed by the City for Council audit.
Negotiate or delegate contract negotiation responsibilities for any kind of merchandise,
materials, equipment or construction work for presentation to the City Council.
J Coordinate municipal programs and activities as directed by Council. Monitor all
consultant and contract work perfonned for the City. Coordinate the activities of the
City attorney.
2
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I
Take an oath of office, be bonded at City expense with a position bond to indemnify the
City.
Perfonn such other duties as prescribed by law, required by ordinance, resolution
adopted by the Council and as apparent or assigned.
Section 3. Background and Experience.
Bachelor's degree (Master's degree preferred) in public or business administration,
fmance, economics or related field and ten years experience in municipal government
administration with at least five years in a responsible managernent position,
Considerable knowledge of municipal government operations, procedures, public
relations, finances, purchasing and all administrative requirements for proper municipal
operation. Have knowledge of or access to all laws affecting the municipality.
Have the ability to provide hannonious relations with municipal employees and the
general public. Have the ability to plan development, to collect material and analyze for
reporting and to conduct and irnplement standards of procedure, operation and
organization.
Excellent oral and written communication skills.
Bondable at City expense, through a position bond which will indemnify the City.
Section 4. Term of Office.
The administrator shall be chosen by the City Council solely on the basis of training,
experience and administrative qualifications. The City Administrator shall be appointed
for an indefinite period by a majority ofthe City Council and may be removed from
office only by a majority of the City Council in accordance with the rules and
procedures set forth in the City personnel policy.
Adopted by the City Council of the City of Andover on this 17th day of March, 1998.
ATTEST: CITY OF ANDOVER
Victoria Volk, City Clerk 1. E. McKelvey, Mayor
3
- (a) Immediate Supervisor: The employee shall discuss the concern with their immediate
supervisor in an attempt to resolve the concern. If the employee is not satisfied, the employee
- may file a complaint with the Department Head, or designee.
(b) Department Head: In filing a complaint with the Department Head, or designee, the
employee shall forward a written complaint to the Department Head. Upon receipt of the
,- written complaint, the Department Head, or designee, shall meet with the employee in a
timely manner to hear and consider the complaint. A written response will be given the
employee in a timely manner. The Department Head, or designee, shall take steps to
I investigate the employee's complaint and take necessary actions, such as:
(I) Take action appropriate tothe authority of the Department Head, or designee, to resolve
the employee complaint, or;
I (2) lnfoffil the employee there is no basis for City action.
(e) Administrative Level: If the employee is not satisfied, the employee may submit the
I complaint to the City Administrator, or designee. The City Administrator, or designee, shall
review as necessary and issue a written statement of disposition of the complaint in a timely
manner.
I -? @ City Council: If the employee is not satisfied with the disposition of the complaint by the
City Administrator, or designee, the employee may request a hearing with the City Council.
The City Council shall hear the complaint, review as necessary, and issue a decision. The
decision of the City Council shall be final.
I
Sec. 30. Employee Conduct.
I (a) Employees are expected to use available working hours to the best adVantage in carrying out
work -related duties.
I (b) The conduct of an employee on the job shall not bring negative public opinion upon the City.
)
(c) Employees are expected to treat each other in a professional, respectful manner. Hurtful,
I disparaging, cutting remarks illfended to defame, demoralize, disrespect or otherwise
demean others will not he tolerated. Instructive comments and suggestions for
improvement are encouraged provided they are given in a positive, constructive way.
I (Revised 6/01/99)
(d) Following are general rules of behavior relative to an employee's political activities.
I (I) An employee of the Ci.ty may express personal opinions on political subjects and
candidates and take an active part in political management and campaigns as long as it
does not interfere with job perfoffilance or duties and such activities occur outside of the
workplace.
(2) An employee ofthe City may not, directly or indirectly, during working hours or on City
property, solicit or receive funds for political pUrposes.
(3) An employee of the City may not, at any time, use authority or official influence as a
result of their employment to compel any person to do any of the following: apply for
membership in any political organization; payor promise to pay any assessment (other
than their own), subscription, or contribution for political purposes; or take part in any
political activity.
Sec. 31. Outside Employment.
\ The purpose of this section is to establish standards for the reporting of outside employment to
~ protect both the City and employees from engaging in an activity which might be construed to be
a conflict of interest between the employee's regular duties with the City and the outside
employment.
17
@
\ CITY OF ANDOVER
)
1685 CROSSTOWN BOULEVARD N.W. . ANDOVER, MINNESOTA 55304 . (763) 755.5100
FAX (763) 755-8923. WWW.C1.ANDOVER,MN.US
TO: Mayor and Councilrnembers
FROM: John Erar, City Administrator
SUBJECT: Council-Adrninistrator Team Building Session
DATE: June 13,2001
INTRODUCTION
Discuss the purpose, scheduling and facilitation of a Council-administrator team building
seSSiOn.
DISCUSSION
The purpose of holding a team-building work session is best described as an opportunity to
strengthen working relationships between the Council and administrator in the areas of
communications, leadership, governance roles and performance expectations.
More specifically, it allows the Council, as a board, to communicate its vision and expectations
of how the Board and the administrator should work together. Secondly, to encourage a dialogue
of appropriate Council and administrator roles relative to mutually understood governance rnodel
principles and concepts. Thirdly, depending upon the framework and dynamics of the work
session, it allows individual council rnembers to express their views and thinking on how to
better work together as a.team. And, finally, it generally increases the Board's awareness and
appreciation of the differences and sirnilarities between individual members, and to harness those
distinct characteristics into meaningful and productive leadership outcomes.
In anticipation of scheduling a proposed work session, I have solicited a proposal from Mr. Jirn
Brimeyer to serve as the session facilitator. His experiences as a former City manager, current
Council member and managernent consultant should provide the Council with a balanced,
insightful and productive work session. The elements of the proposed work session include the
completion of a DISC profile, a leadership assessment tool; a discussion of conternporary
governance model principles and concepts - see attachment on Carver Governance Model;
Council-administrator roles, responsibilities and decision-making processes; and a review of
Council's adrninistrative performance expectations.
BUDGET IMPACT
\ The professional service proposal as submitted by Mr. Brimeyer carries a total cost of$I,225 for
/
a 4 hour session and five DISC profiles. Funding for this work session would be available in the
2001 Budget.
ACTION REOUIRED
Consider the following dates for a Council-administrator work session: Thursday, July 19;
Wednesday, August 8 or Thursday, August 9. The work session times could begin at 6:00 p.m
with dinner provided and would allow for adjournment at 10:00 p.m.
R~oct~,
'I .
J Erar
ity Adrninistrator
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The Brlmeyer Group, Inc.
\ EXECUTIVE SEARCH CONSULTANTS
J
Fifty South Ninth Avenue, Suite #101
Hopkins, MN 55343
City of Andover RECEIVED
Proposal for Consulting Services JUN 0 4 2001
CITY OF ANDOVER
Objective
Conduct a session with the Council and Administrator to develop a more effective team.
Discuss the framework for decision making utilizing the Carver Governance Model
Methodology
Phase I
Pre-session
/ June 18 to July 6, 2001
Participants complete DiSC Profiles, a self-assessment tool designed to
identify behavior styles, management strategies, and how participants
can work effectively with each other.
Phase II
Session with Council and Administrator
Possible dates: July 19, August 8, or August 9
4:30 to 9:00 PM
Conduct session with Council and Administrator
- Discuss behavior styles
- Review individual Profiles
- Review results of information gathering
Introduce Governance Model
Discuss current situation
- Council policy development
Discuss framework for decision making.
/ Determine next steps.
(952) 945-0246 . fax (952) 945-0102
, \
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Page Two - Proposal for Consulting Services
Phase III
(As part of the City Administrator six month performance evaluation)
Assess:
- Decision making process
- Definition of roles and responsibilities
- Status of policy direction
FEE
Phase I and II $800.00
DiSC Profiles $85.00 per participant
I
The Policy Govemance@ Model http://www,carvergovemance.comlmodel.htm
\ I carvergovernance.com I
,
Policy Governance@ Defined
John Carver's Policy Governance@ rnodel is the world's only complete, universal theory of
governance-a conceptually coherent paradigm of principles and concepts (not of structure). The
model enables boards-as "servant-leaders" of shareholders, public, members (or other
"ownership" equivalent)-to ensure that organizations achieve board-stated goals and conduct
themselves with probity.
. Because it is a complete theory, it informs board planning, mission, committee work, agenda
control, budgeting, reporting, CEO evaluation, management relationships, fiduciary
responsibility, and all other aspects of the board job.
. Because it is universally applicable, it works for organizations that are new or mature, large
or small, profit or nonprofit (including government), and troubled or successful.
· Because it is carefully crafted, it enables an efficient summing of board wisdom capable of
adequate control without micromanagement.
Policy Governance@ in a Nutshell
,
Leadership is an important, yet elusive concept. It takes on different forms in different settings. The
intent of Policy Governance@ is to give operational definition to "leadership" as it applies in the
specific context of a governing board. It addresses the questions: "How can a group of peers be a
responsible owner-representative, exercising authority over activities they will never completely see,
toward goals they cannot fully measure, through jobs and disciplines they will never master
themselves? How can they fulfill their own accountability while not, at the same time, infringing
unnecessarily on the creativity and prerogatives of management? How can they do so when within
themselves they disagree, there is a limited time for the task, and there is an unending stream of
organizational details demanding inspection?"
All fields of endeavor encounter their peculiar dilemmas and challenges. It is common in natural
development of any pursuit for experience to yield helpful tips and shortcuts. To the extent a field
continues to advance, frameworks or paradigms of thought develop in which the principles and
concepts provide more effective guidance than tips ever can. Management as a social science has
certainly seen such a growth over the centuries - most strikingly in the past few decades.
Technologies of management from time-and-motion, to MBO, to CPM, to Total Quality have
characterized the rapidly growing integrity of the management function.
But while the performing function (management) has undergone impressive growth in this century,
the purposing function (governance) has remained the least developed element in enterprise,
typically the orphan of management more than its master, This is true in business, nonprofit and
governmental bodies, though the typical flaws differ some from one setting to the other. We
regularly accept a level of mediocrity in board process that would never be accepted in
management. Policy Governance is a departure from that primitive state of conceptual
development. It is a radical redesign of board leadership that makes new sense of the board-staff
relationship, planning, evaluation, and all other aspects of the board job. Unlike virtually every other
./ approach to the board challenge, Policy Governance is a conceptually coherent model, intended as
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The Policy Govemance@ Model http://www.carvergovemance.comlmodel.htm
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a complete replacement of the deeply flawed traditional wisdom about boards.
\, In light of the leadership opportunities made possible by Policy Governance, governance as
J traditionally and widely practiced in all settings appears ill conceived, ineffective, and wasteful.
Watching a city council, school board, social service board, or trade association board reveals
varying degrees of ritual, rework, trivia, and failure to act as a group, Watching a corporate board
reveals a CEO-driven charade in which directors are more advisors in the CEO's service than
governors in the service of stockholders. Our missions and our own integrity demand that boards
govern rather than either rubber stamp or meddle. Our busy lives demand that time, energy and
wisdom be well used and that boards and managements should both be optimally empowered in
their work.
The message of Policy Governance is not that individual boards should work harder toward what
has long been held out as the ideal for board behavior, but that the ideal itself is flawed. By far most
literature currently available to help boards is written within the patchwork ideas of the past. Books,
articles, course work, seminars, consultants, and associations teach outdated forms of governance
we should have discarded long ago. This is a primitive field, indeed.
And it means that school boards, city councils, corporate boards, social service boards, trade
association boards and a host of others are wasting the bulk of their potential leadership and
wasting their operational staff resource due to inadequate leadership(whether laissez faire or
intrusive). It means that virtually all sources to which they turn for help only assist in miring them
more deeply in outdated governance ideas, Thus it is that most board training is merely teaching
boards how to do the wrong things better than they did them before.
It has long been said that boards should stick to making policy and leave administration to
managers. But conceptual development of principles and rules for policy making has been scant,
consisting mostly of ideas inappropriately borrowed from internal management rather than crafted
for the specialized role of governance. Policy Governance, as its name implies, is about governing
by policy, but it is policy of a more sophisticated nature than policy as we have heretofore loosely
defined it. It has also long been said that boards should be (a) more involved and (b) more
arm's-length, The truth is that boards should be more involved in some things and less involved in
others. Only a creditable model - not anecdotal wisdom - can reliably and powerfully help a board
and its CEO know which is which.
The model is a thorough working theory of board leadership that cannot be fully presented in a brief
exposure. Nevertheless, here are a few of its basic tenets. Let's begin with the purpose of any
governing board's job:
The purpose of [1] the board job is, [2] on behalf of some ownership, [3] to see to it that the
organization[4] achieves what it should and [5] avoids what is unacceptable.
1. The board job. It is the board's responsibility to govern; the board has a commensurate
authority to govern. Individual board members do not. That is, whatever authority is
legitimately wielded by a board is wielded by the board as a group. Hence, a CEO is bound
by what the board says, but never by what any board member says. A board should pledge
to its CEO that it will never hold him or her accountable for keeping board members happy
as individuals and will never hold him or her accountable for any criteria except those
expressed officially by the full board. In other words, the board as a body is obligated to
protect its staff from the board as individuals.
For nonprofit and governmental organizations, the "one voice" aspect of governance is
regularly lost by having a host of board committees running about involving themselves in
issues ostensibly delegated to staff. Staff members end up taking direction from segments
of the board. Common committee roles do grave damage to the integrity of CEO delegation.
Personnel, finance, program, publicity, and other such committees are the prime offenders.
The board should not have committees either to help or instruct staff, Board members can
serve on staff committees if asked (removing their board hats in the process), but foisting
I
20f4 5/31/200 I II :24 AM
The Policy Govemance@ Model http://www.carvergovemance.com/model.htm
board help and advice, at best, makes a mockery of the board-CEO relationship and, at
worst, renders the CEO no longer a CEO.
,
I The suggestion here, also, is that the board has a specific job to do, a specific set of "values
added" that justify its position. This differs from having a job that is essentially looking over
everyone else's shoulders, reacting, and largely being steered around by whatever staff have
been doing (the show-and-tell board meeting of staff reports) or are thinking about doing
(reviewing and approving detailed plans). That a board has its own job to do means, if the
board is responsible for getting its own job done, that board agendas should be the board's
agendas, not the CEO's agenda for the board, Yet most board agendas are products of
those who work for the board - a practice that would rarely occur anywhere else in an
organization.
2. On behalf of some ownership. Boards rarely "own" an organization themselves. They
ordinarily are a microcosm of a larger ownership, The owners may be legal owners
(stockholders for an equity corporation) or more a "moral" ownership(the whole community
in the case of a local social service organization).But in any event, the board speaks on their
behalf, a task that requires (a) knowing who the owners are and what their desires are, (b)
being able to distinguish owners from customers (clients, students, patients) and other
stakeholder groups. Finding ways to link with owners even more than with management is a
major challenge to any board, Most nonprofit and governmental attempts to do so
deteriorate into linkage with disgruntled customers instead(watch any city council or school
board meeting).
3. To see to it. Seeing to it implies a commitment to assure, not simply to hope that things
come out right. Seeing to it that things come out right requires three steps: First, the board
must describe "right" - that is, the criteria that would signify success. These are noted below.
Second, the board must hold someone accountable for reaching these criteria. This is most
easily done by using the CEO function, for that role allows the focusing of performance in
one individual even though actual performance occurs due to many individuals. Proper use
of the CEO role has been hard to achieve in business and in some non profits and
; government in that boards abdicate to their CEOs until disaster is full blown. Proper use has
been hard to achieve in many non profits and government (though not so much in business)
in that boards interfere with their CEOs, not cleanly delegating sufficient authority to them.
Third, the board must systematically and rigorously check to see if criteria are being met,
that is, the board must monitor performance regularly.
Traditional board operation fails in all three areas, especially in the first and third, Outcome
expectations (what difference is to be made in recipients' lives) are rarely or incompletely
stated. Acceptability of practices and methods is rarely clarified. Hence, when a board tries
to monitor, it has no criteria against which to do so. The result is not monitoring, but foraging
about. Observe any board approving a financial statement or a budget: the board has no
idea what it would disapprove, for it has given the CEO no criteria to be met. Traditional
board "development" will help a board to follow this path with more ability to read financial
statements, but does nothing to help the board find a more effective way to use its time.
4. Achieves what it should. What should any organization achieve? This is the most
important aspect of instructing the CEO. The only achievement that justifies organizational
existence is that which causes sufficient benefits for the right recipients to be worth the cost.
What good is this organizations to accomplish, for whom, at what cost or relative worth? (I
refer to these ways of describing achievement as "ends" as opposed to means.)Traditional
approaches to governance have allowed boards to sidestep this crucial determination. We
have focused far more on what activities the organization will be engaged in, not the
consumer results to be achieved.
Consequently, boards give their CEOs credit for programs, services, and curricula rather
than demanding data (even crude data arebetter than none) on whether the right recipients
received theright results at the right cost. In order to lead, boards mustlearn that services,
I programs and curricula have no value exceptas they produce the desired ends. Therefore,
30f4 5/31/200111:24AM
The Policy Governance@ Model http://www.carvergovernance.comlmodel.htm
boards are well-advisedto look past these operational means and on to the ends that
reallymatter.
\
5. Avoids what is unacceptable. Putting the board's emphasis on ends is a powerful tactic for
board leadership, but the board cannot forget that it is also accountable for the means as
well. "Means" include not only practices and methods, but situations and conduct as well _ in
other words, all aspects of the organization that are not ends (given the definition
above).Concerning itself with means, however, is ordinarily an opening for boards to become
entangled in operational details. This is where micro-management and meddling are born. It
is a dilemma: on the one hand, boards are accountable for staff practices and situations, yet
dealing with them directly trivializes the board job. Policy Governance offers a safer way for
boards to deal with this dilemma: The board can simply state the means that are
unacceptable, then get out of the way except to demand data (monitor) that the boundaries
thus set are being observed,
As counterintuitive as this approach sounds, it works magically, The board can succinctly
enumerate the situations, circumstances, practices, activities, conduct, and methods that are
off-limits, that is, outside the authority granted to the CEO. For most boards, this can be done in a
half-dozen pages dealing with staff treatment, financial management, compensation, asset
protection, and a few other areas of legitimate board concern. These proscriptions avoid telling the
CEO how to manage, but do tell him or her how not to manage, Although verbally phrased in an
intentionally negative or limiting way (to avoid the board's tendency to slip back into prescribing
means), this approach is psychologically quite positive. The message to the CEO is, with regard to
operational means, "if the board has not said you can't, you can."
To fulfill board leadership in this more effective way, the board produces four categories of policies
in Policy Governance: (1) policies about ends, specifying the results, recipients and costs of results
intended, (2) policies that limit CEO authority about methods, practices, situations, and conduct, (3)
policies that prescribe how the board itself will operate, and (4) policies that delineate the manner in
which governance is linked to management. These are exhaustive policy categories; except for
, I bylaws, there is nothing else for the board to decide. Moreover, they are policy categories designed
for the job of governing, not for the job of managing as are traditional categories used for board
policy-making,
There is a great deal more to the Policy Governance@ model - some critical principles have been
omitted from this brief summary - but these comments provide a glimpse of the wide differences
between conventional practice and the Policy Governance redesign of board leadership. The
implication is no less than an assertion that what most boards do most of the time is a waste of
time and inimical to good governance and good management. It is a hopeful model, in that it
asserts that the process is more the problem than the people. (Good managers on boards, by the
way, are caught up in almost the same errors as non-managers,) No matter how dedicated or
intelligent, people cannot be all they can be in a poor system - and that is exactly what boards have
been handicapped with. Policy Governance provides an advanced framework for strategic and
visionary board leadership.
, ,
40f4 5/31/2001 11 :24 AM