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HomeMy WebLinkAbout12/12/2000, 2C - GOAL-SETTING PROCESS FOR 2001-03 DCouncil 2 vD A ac,Enba Report CITY OF SAN LUIS OBISPO FROM: Ken Hampran, Assistant CA O� Bill Statler, Director of Finance SUBJECT: GOAL-SETTING PROCESS FOR 2001-03 CAO RECOMMENDATION Approve the goal-setting process for 2001-03. DISCUSSION Background On October 17, 2000, the Council approved the preliminary schedule for preparing the 2001-03 Financial Plan and conceptual approach to Council goal-setting as part of this process. Under this approach, we will continue using a multi-year budget that begins with the Council setting goals for the most important things for the City to accomplish over the next two years. Based on our experience over the past ten years, this has been a successful process in assuring that the fundamental purpose of the City's budgetary process is achieved: linking what we want to accomplish for our community over the next two years with the resources necessary to do so. Focus and "Tighter"Priorities As a Theme We are not recommending any major changes to the basic approach we have used in the past. However, we are proposing some modifications that will improve our ability to more sharply focus on our highest priorities in actual implementation. This has been a recurring concern over the last two years, expressed both by Council and staff: we are trying to do too many things at the same time. The reasons for this perspective are rooted in two areas: 1. Insufficiently recognizing existing,ongoing work programs. 2. Occasionally"cobbling together" multiple goals and objectives into a single goal. The recommendations in this report, along with a companion report at this meeting (Item 2.13) are responses to this concern. The overarching goal is to set the work program bar at a high but achievable level. Two-Step Approach We again recommend using a "two-step" approach to the Council goal-setting process. As previously approved by the Council,Don Maruska will serve as our facilitator at both workshops. 2C-1 Council Agenda Report—Goal-Setting Process for 2001-03 Page 2 1. Community Forum. Held on the evening of Wednesday, January 17, the purpose of this forum is to solicit suggested goals and work programs from Council advisory bodies, community groups and interested individuals. In notices sent to these groups, we have requested that written suggestions be provided to us by January 5, 2001. To ensure that adequate space is available for this workshop, it will be held at The Forum. 2. Council Goal-Setting Workshop. Following the receipt of written and oral comments on January 17, the goal-setting workshop will be held on Saturday, February 3 in the City/County Library Community Room. Overview of Proposed Changes from 1999-01 The proposed approach is very similar to the one we have successfully followed in the past. However, based on feedback from Council members and others, we recommend the following improvements (which are described in greater detail below and in the attached exhibits): 1. Community Forum. While we recommend retaining the opportunity for individual presentations at the forum, we also want to provide more of an opportunity for group participation and feedback. To make time for this, we plan to shorten introductory comments and encourage speakers to limit their presentations (with a target of two minutes per speaker) and to note others with similar views rather than repeat the same points. Hopefully, this will provide an opportunity for "break-out" groups to discuss the ideas presented and briefly report back to the group as a whole. Following this, each participant will be asked to complete a simple "feedback" form. While this will not be a "scientific" sampling of community thinking, it should provide better insight than a simple "testimony only" approach. 2. Council Member Goals. Two years ago, the adopted guidelines requested that Council members submit five to seven suggested goals. Rather than a range, we recommend seven as the target number, and we have provided a form the Council can use for this purpose. The more concisely stated these initial objectives, the easier it will be for Council members to develop finalized goal statements at the Saturday workshop. 3. Composite Listing of Goals. To help in quickly identifying common areas of interest, we plan to again consolidate Council member goals into one listing, which we will provide to all Council members in advance of the workshop. We suggest concurrence among Council members not to publicize their individual submissions. This will avoid premature position taking and give each member more flexibility to find areas of agreement with others. Staff will provide a verbatim composite list by topic of all candidate goals from Council members. This listing will become the starting point in discussing and finalizing candidate goals at the workshop. 4. Focus. For the most part, Council goals for 1999-01 were clearly focused and addressed specific initiatives. However, in a few cases, multiple and distinct objectives were "cobbled" together, resulting in less focused, more diffused goals. For this reason, one of the 2C-2 Council Agenda Report—Goal-Setting Process for 2001-03 Page 3 facilitator's roles at the workshop will be to help the Council more rigorously define the scope of each goal statement, focusing on only one major initiative per goal. 5. Detailed Work Programs: Major City Goals. In the past, we have prepared detailed work programs in advance of the Preliminary Financial Plan for all of the goals. This has meant preparing up to 30 work programs in the same level of detail regardless of each goal's relative priority. To provide greater focus on the highest priority initiatives—and to reduce the significant resource commitment needed to prepare detailed work programs for all of the goals—we recommend that detailed work programs only be prepared in advance of the Preliminary Financial Plan for the Major City Goals. This does not mean that detailed programs and projects will not be prepared for these other goals and objectives; it simply means that they will be presented as integral parts of the Preliminary Financial Plan (most likely as significant operating program changes or CEP projects). Goal-Setting Process Exhibits A, B and C describe the proposed objectives, guidelines, schedule and roles for both the community forum and goal-setting workshops, summarized as follows: Community Forum The January 17 community forum is intended to solicit suggestions from Council advisory bodies, community groups and interested individuals on proposed City goals. As described in Exhibit A, the proposed approach retains the opportunity for individual presentations at the forum while also providing more of an opportunity for group participation and feedback. City staff will summarize the results of the forum and distribute them to the Council by Monday, January 22, 2001. Council Goal-Setting Workshop At the all-day February 3 workshop, the Council will review the consolidated summary of goals presented by Council members to ensure clarity, completeness and understanding; and then narrow the list to finalist goals that are supported by at least three Council members. After this step, the staff will prepare a final listing that the Council can use in prioritizing goals. In 1999- 01, the Council used a ranking system of 5 through 1 for each candidate goal, summarized as follows: 5—Most important, highest priority for City to achieve over the next two years. 4—Very important goal to achieve. 3—Important goal to achieve. 2—Address if resources are available. 1—Defer to 2003-05 for consideration. r Note. Before agreeing on this scale in 1999, the Council discussed whether "0" should be a ranking option. The consensus was "no," based on the idea that the finalist goals were supported by at least three Council members, and as such, deserved at least a "1" rating. Either scale will work as long as there is agreement before hand. 2C-3 Council Agenda Report—Goal-Setting Process for 2001-03 Page 4 Depending on the number of candidate goals, total points available to individual Council members has ranged in the past from 50 to 75—about 3 points per candidate goal. For example, if there are 15 goals in the final listing, then 50 points might be about right; if there are 25, then 75 might be appropriate. Staff will summarize the results of the Council's ranking during a break at the workshop. Based on our past experience, it is likely that three priority "tiers" will emerge from this process: 1. Major City goals. These represent the most important, highest priority goals for the City to accomplish over the next two years, and as such, resources to accomplish them should be included in the 2001-03 Financial Plan. If the work program approved by the Council for a Major City Goal is not included in the CAD's Preliminary Financial Plan, compelling reasons and justification must be provided as to why resources could not be made available to achieve this goal. 2. Other important goals. Goals in this category are important for the City to accomplish, and resources should be made available in the 2001-03 Financial Plan if at all possible. 3. Address as resources permit. While it is desirable to achieve these goals over the next two years, doing so is subject to current resource availability. If needed, continued consideration of goals for 2001-03 is scheduled for the next regular Council meeting following the workshop (February 6, 2001). Council Homework Assignment Provided in Exhibit D is the Council's "homework assignment" for the February 3 workshop. It requests that Council members prepare and submit their seven candidates for Major City Goals by Friday, January 26. These will then be consolidated with other Council member goals based on common themes and distributed to all Council members on Tuesday, January 30 for review and consideration before the workshop. Major City Goal Criteria Provided in Exhibit E is the suggested "criteria for major City goals" which have been used by the Council for the past ten years. Extensive Notification We have made extensive efforts to invite community and advisory body participation in this process, including: 1. Briefing with advisory body chairs on October 12 on their role in the process at the quarterly Mayor/Advisory Body Chair meeting; and follow-up reminder to advisory body chairs. 2C-4 Council Agenda Report—Goal-Setting Process for 2001-03 Page 5 2. Notices to over 230 community groups and interested individuals inviting them to submit written suggestions, participate in the community forum and attend the goal-setting workshop. 3. "Community Budget Bulletin' inserts in our utility bills requesting goal suggestions from our citizens and inviting them to participate in the community forum. This will reach about 14,000 households. 4. Notice in our Winter parks and recreation program brochure about the goal-setting process; over 18,000 copies of this brochure are distributed. 5. Display ads will be run in January in The Tribune and New Times. Goal-Setting Workshop Notebooks To help organize all the background information that Council members will receive as part of this goal-setting process, notebooks will be distributed by Wednesday, January 10, 2001 with the following ten sections: 1. Agendas for the January 17 community forum and February 3 goal-setting workshop. 2. Status of current goals and objectives. 3. Suggested goals received by January 5 from community groups and interested individuals (additional submissions received after this date will be distributed to the Council in a three- hole punch format for inclusion in the notebook). 4. Suggested goals received from Council advisory bodies. 5. Responses from the "Community Budget Bulletin' survey. 6. Summary of results from the January 17 workshop (to be distributed by January 22). 7. Five-year fiscal forecast (to be distributed by January 22). 8. Consolidated Council member goals (to be distributed by January 30). 9. Other background information such as the 2001-03 Financial Plan schedule, outlines for the community and goal-setting workshops, Council homework assignments, criteria for major City goals and Financial Plan policies. 10. Notes and space for other supplemental materials that the Council may receive. Council Goal Work Programs: Major City Goals After the Council finalizes goals and objectives for 2001-03, the staff will prepare detailed work programs for each of the Major City Goals. Based on past experience, it is important for the Council to reach consensus not only on the objective for Major City Goals, but also on the program, action plan and resources that will be needed to accomplish it as well. Unless the staff fully understands the scope and timeframe that the Council intended, we cannot identify needed resources; and without this understanding, the Preliminary Financial Plan may significantly over (or under)fund the&sired work effort. 2C-5 Council Agenda Report—Goal-Setting Process for 2001-03 Page 6 In short, before the staff begins to build the Preliminary Financial Plan around Major City Goals, it is essential that we have a clear understanding of what the Council hopes to achieve with each Major City Goal over the next two years. Accordingly, the purpose of each work programs is to: 1. Define and scope the adopted goal. 2. Ensure that there is a clear understanding of the goal so appropriate resources are allocated, and progress can be measured in achieving it. This is especially important in the case of objectives where fully achieving the goal is likely to extend well beyond the two-year Financial Plan period. However, we can measure progress— and our success in accomplishing the goal—by clearly defining the specific actions we plan to undertake over the next two years. We plan to present the work programs for Major City Goals to the Council on April 12, 2001. As discussed above, programs and projects related to goals in the other two priority categories will be reflected (and highlighted) in the Preliminary Financial Plan. Goal-Setting Calendar The following summarizes key dates leading to the February 3 goal-setting workshop: Council Goal-Setting Calendar When What Friday,January 5 Finance receives suggested goals from advisory bodies,community groups and interested individuals. Wednesday,January 10 Council receives goal-setting notebooks. Wednesday,January 17 Council holds community forum. Monday,January 22 Council receives written results from community forum and five-year fiscal forecast. Friday,January 26 Council members submit goals to Finance. Tuesday,January 30 Finance distributes consolidated goals organized by similar themes. Saturday,February 3 Council holds goal-setting workshop. Next Steps The Financial Plan calendar approved by the Council on October 17, 2000 is provided in Exhibit F. After the goal-setting workshop,key dates in the budget process include: 2C-6 Council Agenda Report—Goal-Setting Process for 2001-03 Page 7 Remainin Keri Dates When What Tuesday,February 6 Follow-up to Council goal-setting if needed. Continued consideration Regular Meeting of goal-setting at the next regularly scheduled Council meeting following the February 3 workshop if needed. Monday,February 26 Mid-year budget review. Consider the City's fiscal status at the mid- Special Budget Workshop point of the fiscal year and make appropriation adjustments as necessary. Tuesday, April 12 Major City goal work programs. Review and approve detail work Special Budget Workshop programs to accomplish major City goals;provide other budget direction as needed. Tuesday, May 15 Preliminary Financial Plan. Receive 2001-03 Preliminary Financial Plan and Appendices A&B: Significant Operating Program Changes and Capital Improvement Plan (CIP)Projects. Tuesday,May 22 Budget workshop. Review the Financial Plan and consider General Special Budget Workshop Fund operating programs. Thursday, May 24 Budget workshop. Consider General Fund CIP projects. Special Budget Workshop Tuesday,May 29 Budget workshop. Consider Enterprise Fund operating programs,CIP Special Budget Workshop projects, revenue requirements and rates. Tuesday,June 5 Public hearing. Continue to discuss and receive public comment on Regular Meeting the Preliminary Financial Plan. Tuesday,June 19 Public hearing. Continue to discuss and receive public comment on Regular Meeting the Preliminary Financial Plan; adopt the budget. SUMMARY Council goal-setting is an important "first step" in the City's Financial Plan process. In fact, it is important to stress just this fact—it is the beginning of the budget process, not the end. Setting goals—and subsequently approving work programs for major City goals—is not adoption of the budget. As reflected in the budget schedule above, this will not occur until June 2001, following issuance of the Preliminary Financial Plan and extensive budget workshops and hearings. EXMITS A. Outline for Community Workshop (January 17) B. Outline for Council Goal-Setting Workshop (February 3) C. Guidelines for Council Members During the Goal-Setting Process D. Form for Council Members to Submit Candidate Goals E. Criteria for Major City Goals F. Financial Plan Calendar G. Goal-Setting and Budcr Process Overview G:Financel2001-03 Financial Plan/Council Goal-Setting/Agenda RepomlGoal-Setting Process 2C-7 Exhibit A Community Forum 6:30 p.m.9:30 p.m. Wednesday, January 17, 2001 The Forum 6:30 Welcome Mayor 6:35 Process, Goal Criteria,Fiscal Summary CAO 6:45 Public Comment--request 2-minute summaries: focus on a) what you recommend, b) why it's important, and c) how it might be achieved--identify others with similar views rather than repeat the same points. [Staff record comments and post them on the walls in the appropriate budget categories.] 8:15 Group Discussions by Budget Category—i) summarize major themes, ii) discuss link with current programs, iii)explore alternatives, and iv) rank benefits vs. resources -- as time permits. [Staff serve as facilitators.] 9:00 Brief Report from Each Group [citizen volunteer] 9:25 Participants Complete Summary Feedback Form 9:30 Participation Prizes and Close Preparation • Prepare handouts on budget process and current fiscal situation to expedite review. • Provide poster boards for each of the six major budget categories with current and continuing program activities and budget allocations. • Set up the room with a gathering area for each of the six categories. • Assign staff members to facilitate group discussions. • Prepare summary feedback form for attendees to note suggested priorities and recommendations. • Give participants coupons for final prize drawings (City t-shirts, mugs, etc.) to reward those who stay to discuss issues with their neighbors. Outline of Summary Feedback Form • For each budget category: - Current level of satisfaction with City services? - Should category receive more emphasis, less emphasis, about the same? - What's the most promising candidate goal in the category? • If the number of categories for more emphasis exceeds the number to receive less, what can City do to attract more resources to meet additional needs? • Other comments about process and next steps? 2C-8 Exhibit B Council Goal-Setting Workshop 8:30 a.m.-4:00 a.m. Saturday, February 3, 2001 City-County Library Community Room 8:30- 9:00 a.m. Refreshments 9:00 - 9:05 a.m. Welcome and Introductions Mayor 9:05 - 9:10 a.m. Purpose,Process & Guidelines Facilitator 9:10 - 9:25 a.m. [Council may accept further comments from the public that have not been previously presented] 9:25 —Noon Review Goals by Category Council Discuss Relationship of Goals to Current Activities Formulate and Select Candidate Goals [staff writes candidate goals on flip charts] Noon - 1:00 p.m. Lunch Break [staff compiles candidate goals] 1:00 - 2:00 p.m. Discuss and Weight the Goals Council Clarify Goal Statements Each Member Prepares a Written Ballot Ranking the Goals 2:00 - 2:30 p.m. Tabulate Results Staff 2:30- 3:15 p.m. Review and Identify Major City Goals Council 3:15 -4:00 p.m. Note Areas Needing Further Consideration Council/Staff Preparation • Staff compiles and distributes composite list of candidate goals to Council members • Staff prepares a template for Council ballot sheet • Assign staff to record goal statements as Council formulates them 2C-9 Exhibit C Suggested Guidelines for Council Members During the Goal-Setting Process 1. Encourage advisory boards, community groups and citizens to submit written comments about desired goals. 2. Invite citizens to participate in Community Forum and to listen and learn from their neighbors. 3. Receive comments from community and acknowledge their input without prematurely expressing your point of view. 4. Assure the community that you are willing to listen openly to all perspectives. 5. Focus your submission of suggested goals on a short list of key priorities to target City resources. 6. Avoid publicizing your submission of suggested goals. Let staff compile your submissions verbatim into a composite list of goals by category without identification of who made each suggestion. This enables you to see the whole picture. 7. Give yourself flexibility by not publicly staking positions in advance of the February 3r' Council Goal-Setting Workshop. 8. Use this process as a way to learn from citizens and Council colleagues about what's important. 9. Explore areas where the Council can come together for positive action. 10. Recognize that this is an important step, but only the first step, in the planning and budgeting for the next two years. 2C-10 Exhibit D Council Member Candidate Major City Goals Please write your 7 candidates for Major City Goals below and submit them to Finance by January 26, 2001. finance will then compile a verbatim, composite list by topic without identifying who submitted the particular statements. Please refrain from releasing your personal list so that each Council member has flexibility to review all of the submissions and discuss them at the Council Goal-Setting Workshop before staking a position. Electronic versions of this form will be provided to you. O A 4 O O 2C-11 Exhibit E Criteria for Major City Goals 1. Be legitimate to our beliefs (real, supported). 2. Agreed upon by a Council majority. 3. Reduced in number for comprehension, communication and focus. 4. Set forth in one document—the Financial Plan. 5. Be clear and understandable. 6. Established as a high priority and a real commitment. 7. Translated into the objectives of employees at all levels of the organization. 8. Created within a supportive atmosphere where participants are not afraid to state their suggestions for improving goals or objectives. 9. Accepted to the point where resistance to them is reduced or eliminated. 2C-12 Exhibit F 2001-03 Financial Plan Schedule When What October 12, 2000 • CAO and Director of Finance brief advisory body chairs on their role in the process at quarterly meeting with the Mayor. October 17, 2000 • Council approves conceptual Financial Plan process and calendar. November 2000 • Finance sends letters requesting participation in goal-setting process from advisory bodies, community groups and interested individuals; and begins inserting Community Budget Bulletins in utility bills. • Finance begins preparing five-year General Fund fiscal forecast. December 12, 2000 • Council reviews status of major City goals and amends action plans as needed; considers Financial Plan organization and policies; and finalizes plans for goal-setting process. January 5, 2001 • Finance receives written comments from advisory bodies,community groups and interested individuals. January 17,2001 • Special Budget Workshop. Council holds community forum. January 22, 2001 • Finance distributes five-year fiscal forecast and community workshop results to Council. February 3, 2001 • Special Budget Workshop. Council holds goal-setting workshop: reviews status of major City goals;discusses candidate goals presented at January 17 workshop;considers results of fiscal forecast;discusses Council member goals distributed on January 29; prioritizes and sets major City goals. February 6,2001 • Council finalizes goals and priorities. February 26, 2001 • Special Budget Workshop. Council considers mid-year budget review. March to May 2001 • Departments submit budget requests. • Budget review team analyzes requests and meets with departments. • CAO finalizes budget recommendations. April 12, 2001 • Special Budget Workshop. Council approves detailed goal work programs. May 15, 2001 • Finance issues preliminary budget. May 22, 24, 29, 2001 • Special Budget Workshop. Council holds evening budget workshops: — May 22: Financial Plan overview and General Fund operating programs. — May 24: General Fund CIP projects. — May 29: Enterprise Fund programs, CIP projects and rates. May 23, 2001 • Planning Commission reviews CIP for General Plan consistency. June S, 19, 2001 • Council holds continued hearings; adopts budget. 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