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Home My WebLink About2011-05-09 City Council Agenda PacketCITY OF PALO ALTO Special Meeting CITY COUNCIL Civic Center Plaza May 9, 2011 4:00 PM Agenda posted according to PAMC Section 2.04.070. A binder containing supporting materials is available in the Council Chambers on the Friday preceding the meeting. 1 May 9, 2011 MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS. Call to Order 4 P.M. Study Session Public Comments: Members of the public may speak to the Closed Session item(s); three minutes per speaker. 1.Bicycle Boulevard Bike Ride 4:00pm Meet at Civic Center Plaza 4:10pm Churchill & Castilleja Start of Bike Blvd Project 4:20pm Park Blvd & Leland Av Transition from Castilleja Av onto Park Blvd 4:40pm Park Blvd & Fernando Av Discussion of the El Camino Real & Matadero Av Intersection 5:00pm Wilkie Way & Charleston Rd End of Proposed Bike Blvd Return back to City Hall via Bryant St Bike Blvd 5:30pm Refreshments at City Hall 6 P.M. Study Session -COUNCIL CHAMBERS 2.Bicycle Tour and Study Session: Bicycle and Pedestrian Transportation Plan Update Special Orders of the Day 3.Proclamation Bicycle Month Proclamation. 2 May 9, 2011 MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS. 4.Commendation from Supervisor Liz Kniss for the Safety Fair 5.Youth Community Service (YCS) -Non-Profit Presentation 6.Proclamation Foster Care Month. 7.Proclamation In Memory of Nathan Oliveira and his Contributions to the Artistic and Local Community 8.Appointments for Four Positions on the Public Art Commission for Three Year Terms Ending April 30, 2014 City Manager Comments Minutes Approval Approval of City Council Minutes from April 4, 2011 Oral Communications Members of the public may speak to any item not on the agenda; three minutes per speaker. Council reserves the right to limit the duration of Oral Communications period to 30 minutes. Consent Calendar Items will be voted on in one motion unless removed from the calendar by two Council Members. 9.Adoption of a Resolution Authorizing the City Manager to File an Application for 2011/2012 Transportation Development Act Funds in the Amount of $55,597 for Bicycle and Pedestrian Projects 10.Appeal of the Director’s Individual Review Approval of a New Single Family Residence at 258 Tennyson Avenue 11.Finance Committee Recommendation to Accept the Report on the Status of Audit Recommendations (April 2011) 12.Finance Committee Recommendation for Approval of The Fiscal Year 2011-13 Human Services Allocation Process (HSRAP) Contracts 3 May 9, 2011 MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS. 13.Appointments for Four Positions on the Historic Resource Board for Three Year Terms Ending May 31, 2014 14.Recommendation From Council Appointed Officers Committee for Selection of the City Auditor Recruitment Firm Agenda Changes, Additions and Deletions HEARINGS REQUIRED BY LAW: Applications and/or appellants may have up to ten minutes at the outset of the public discussion to make their remarks and put up to three minutes for concluding remarks after other members of the public have spoken. Action Items Include: Reports of Committees/Commissions, Ordinances and Resolutions, Public Hearings, Reports of Officials, Unfinished Business and Council Matters. 15.Approval of Agreement with Sherry L. Lund Associates in an Amount of $37,875 (Subject to Potential $1,500 Discount) for Completion of Annual Council Appointed Officer Performance Reviews 16.Public Hearing: Adoption of a Resolution Approving the the Proposed Fiscal Year 2011/12 Community Development Block Grant (CDBG) Funding Allocations and the 2011/12 Draft Action Plan Council Member Questions, Comments and Announcements Members of the public may not speak to the item(s) Adjournment AMERICANS WITH DISABILITY ACT (ADA) Persons with disabiltities who require auxilliary aids or services in using City facilities, services or programs or who would like information on the City’s compliance with the Americans with Disabilities Act (ADA) of 1990, may contact (650) 329-2550 (Voice) 24 hours in advance. PUBLIC COMMENT Members of the Public are entitled to directly address the City Council/Committee concerning any item that is described in the notice of this meeting, before or during consideration of that item. If you wish to address the Council/Committee on any issue that is on this agenda, please complete a speaker request card located on the table at the entrance to the Council Chambers, and deliver it to the City Clerk prior to discussion of the item. You are not required to give your name on the speaker card in order to speak to the Council/Committee, but it is very helpful. 4 May 9, 2011 MATERIALS RELATED TO AN ITEM ON THIS AGENDA SUBMITTED TO THE CITY COUNCIL AFTER DISTRIBUTION OF THE AGENDA PACKET ARE AVAILABLE FOR PUBLIC INSPECTION IN THE CITY CLERK’S OFFICE AT PALO ALTO CITY HALL, 250 HAMILTON AVE. DURING NORMAL BUSINESS HOURS. Additional Information Standing Committee Meetings Public Improvment Corporation Agenda May 9, 2011 Standing Committee Packets from the City Manager Standing Committee Packets from the Administrative Services Schedule of Meetings Schedule of Meetings from the City Clerk Tentative Agenda Tentative Agenda from the City Clerk Informational Report Utilities Resource Management Operating Policies and Plans Letter from Mayor Nakagawa of Tsuchuira City Public Letters to Council Public Letters to Council from the City Clerk City of Palo Alto (ID # 1552) City Council Staff Report Report Type: Study SessionMeeting Date: 5/9/2011 May 09, 2011 Page 1 of 5 (ID # 1552) Council Priority: {ResProject:ClearLine} Summary Title: Study Session: Bicycle and Ped Plan Update Title: Bicycle Tour and Study Session: Bicycle and Pedestrian Transportation Plan Update From:City Manager Lead Department: Planning and Community Environment Recommendation Staff recommends that Council: 1.Receive the staff report outlining planned and prospective pedestrian and bicycle transportation projects and programs, and 2.Participate in Optional Bicycle Tour of the Future Park Blvd Bicycle Boulevard Project and Provide discussion and input to Staff and Alta Planning + Design related to the 2011 Bicycle & Pedestrian Transportation Plan. No action by the Council is requested. Executive Summary The Bicycle Transportation Plan serves as the City’s guide for identifying and prioritizing bicycle transportation projects and programs in the community. The last update to the Bicycle Transportation Plan occurred in 2003. The 2011 update provides for a new Pedestrian element to the Bicycle Transportation Plan, allowing a unique opportunity to include more robust projects, programs, and general policies and recommendations to encourage alternative transportation mode uses, including trail projects, for both commute and recreational purposes. Recommendations from the Bicycle & Pedestrian Transportation Plan will be included in the upcoming Transportation Element of the City’s Comprehensive Plan and will form the basis for future Capital Improvements Program (CIP) projects. An up-to-date Bicycle & Pedestrian Transportation Plan is also essential for accruing funding from regional grant sources. The City’s design consultant for the project, Alta Planning + Design, in conjunction with staff, has held study sessions with the Palo Alto Bicycle Advisory Committee (PABAC), the City School May 09, 2011 Page 2 of 5 (ID # 1552) Traffic Safety Committee, and the Planning & Transportation Commission. A citywide community workshop was also held on March 24th, 2011 with over 75 participants, and community input is still being collected through an active on-line survey available at www.cityofpaloalto.org/bike. Background In December, 2009, City Council directed staff to proceed with the update to the 2003 Bicycle Transportation Plan with the added Pedestrian element as required by regional policy mandates from both the Metropolitan Transportation Commission (MTC) and the Valley Transportation Authority (VTA). Following the Request for Proposals process, the City contracted with Alta Planning + Design in the Fall of 2010 to assist the City in preparation of the new Bicycle & Pedestrian Transportation Plan in 2011. The general framework of the new Plan will include the following categories: ·Existing Conditions Analysis ·Future Needs Assessment ·Recommended Program Network ·Best Practices and Design Standards ·Local Policies for Encouragement ·Implementation Strategies, and ·Funding Alta Planning + Design has submitted working papers periodically throughout the Plan development as each of the above sections are developed. Discussion To date, City staff and Alta Planning + Design have met with the PABAC, a working group of the City-School Traffic Safety Committee, and the Planning and Transportation Commission (PTC). Input from the PTC focused around enhancing connections on and along arterials and transit facilities (Attachment B). Input from PABAC has helped to frame recommendations for new on- and off-street connections in the recommended draft plan (Attachment C)). The working group of the City-School Traffic Safety Committee input was focused mainly on highlighting connections to schools, including recommendations to highlight trail connections that may not be known to the public at large or youth (Attachment D). Staff also briefly presented the update to the Parks and Recreation Commission and will return to them for a more complete session in late May. On March 24th, the Consultants and Staff held a citywide community workshop at Terman Middle School that included design interaction opportunities for various related community topics of interest, including: Safe Routes to Schools (Attachment E), Trails, Downtown Project Opportunities, and Bicycle Boulevards. The community workshop also served as an opportunity to inform residents and users of the city’s existing bicycle and pedestrian networks, to discuss May 09, 2011 Page 3 of 5 (ID # 1552) project progress, and to allow an opportunity for residents to highlight areas of focused interest for the plan. An online survey for the Bicycle & Pedestrian Transportation Plan 2011 is available online at: www.cityofpaloalto.org/bike. As of mid-April, the City has received over 250 responses to the online survey including input from the city’s student population through an aggressive outreach effort with the local high schools and the City-School Traffic Safety Committee. Development of the Plan also includes data collection efforts regarding current policies, bicycle and pedestrian traffic volumes, infrastructure/facility information, collision records, and field data gathering. May 09, 2011 Page 4 of 5 (ID # 1552) Preliminary Strategy and Implementation Recommendations for the City Council to consider and provide input on include: a.Bicycle-friendly roadway design features, such as: ·Custom Wayfinding Signage ·Green Bicycle Boxes and non-intrusive detection alternative at signalized intersections ·Colored Bicycle Lanes b.Pedestrian-focused design features, such as: ·Citywide Pedestrian Countdown Signals ·Trail connections to Schools, Parks, and Communities ·Downtown Pedestrian Safety Enhancements c.Preliminary Infrastructure Project Recommendations: ·New Bicycle Boulevards –Webster St., Amarillo Ave.-Moreno, Wilkie Way-Miller Ave. ·Cycletracks –Fabian Way (Class I bicycle trails adjacent to streets) ·Regional/Multiple Agency Projects –Rail Corridor, San Francisquito Creek, Matadero Creek The consultant and staff will present these concepts to the Council and public at the study session and would like the Council to respond to which of these potential enhancements or programs are most desired or what further information is needed for evaluation. Next Steps Following the City Council Study Session, the Draft Final Program, Policy, and Project recommendations for enhancing the Bicycle & Pedestrian Transportation Plan will be finalized and presented at the following community meeting opportunities before returning to the City Council for final adoption in July: ·May 19, 2011 City/School Traffic Safety Committee ·May 24, 2011 Parks and Recreation Commission ·June 7, 2011 Palo Alto Bicycle Advisory Committee ·June 22, 2011 Planning & Transportation Commission Public input through the City’s online survey available at: www.cityofpaloalto.org/bike will continue to be available through the end of May. Resource Impact Development of the Bicycle & Pedestrian Transportation Plan 2011 is funded through a combination of capital improvement program fund sources ($25,000) and a grant from the Metropolitan Transportation Commission (MTC) -Transportation Development Act (TDA) program ($55,000). Future projects that receive partial grant funding will be evaluated in the context of available General Fund resources and other infrastructure priorities. May 09, 2011 Page 5 of 5 (ID # 1552) Policy Implications Development of the Bicycle & Pedestrian Transportation Plan 2011 is being implemented at the direction of the City Council and will follow policies consistent with the most current Comprehensive Plan and/or will update the policies identified in the 2003 Bicycle Transportation Plan. The Bicycle & Pedestrian Transportation Plan will be incorporated by reference into the City’s update of the Comprehensive Plan. Environmental Review Upon completion of the development of the Bicycle & Pedestrian Transportation Plan 2011, and prior to Council action, environmental review pursuant to the California Environmental Quality Act (CEQA) will be prepared for evaluation concurrent with Council review of the Plan. ATTACHMENTS: ·Attachment A: Palo Alto Proposed Bikeways Map -DRAFT (PDF) ·Attachment B: Excerpt Minutes of the P&TC Meeting of Feb. 23, 2011(PDF) ·Attachment C: Jan. 4, 2011 PABAC Meeting Notes (PDF) ·Attachment D: Map with notes from City School Traffic Safety Committee Meeting on February 9, 2011 (PDF) ·Attachment E: Meeting Notes from the March 24, 2011 Community Workshop regarding Safe Routes to School (PDF) ·Attachment F: PA BIKE PLAN STUDY MAY 9th LTR from Pamela Radin (PDF) Prepared By:Jaime Rodriguez, Chief Transportation Official Department Head:Curtis Williams, Director City Manager Approval: James Keene, City Manager !! ! ! ! ! ! ! ! ! ! ! ! ! !!!!!!! !!! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! ! ! ! ! ! ! !!!!!!!!!!!! ! !!!!! ! ! ! ! ! ! ! ! ! ! ! ! ! !!! !!!!!!!!!!!! !!!!! !!!!!!!!!! !! ! ! ! ! !! ! ! ! ! ! ! ! ! !!!! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! !!!! ! ! ! ! ! ! ! !! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! !! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! !!!!!!!! ! ! ! " " " "b "b "b "b !!!!!!!!!!!!!!!!!!!!!! ! ! ! !!!!!!! ! !!!!!!!!! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! !! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! !!!! ! !! ! !! ! !! ! !! !!!!!!!!!!! !! ! ! ! ! ! ! ! ! !! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! !! ! ! !! ! !! ! !!!! ! ! !!!! !!! ! ! ! !!!!!!! ! ! !!!!!!!! !!!!!!! ! ! !!! ! ! ! !!! !!! ! ! ! ! ! ! !! !!! ! ! ! ! ! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !!!!!!!!!!!! !!!!!!!!!!!!!!!! !!!!!!!!!!! !!!!!!!!!!!! !!!!! !!!!!!!!!!!!!!!! !!!!!!!!!! !!!! !!!!!!!!!!!! !!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!! !!!!!!!!!!!!!!!!!!!! ! !!! !!!! !!!!!!!!!!!! !!!!!!!! !! !!!!!! ! !!!!!!! !!!!!!!!! !!!!! !! !!!!!!!!!!!! !!!! ! ! !!!!!!!!! !!!!! !!!!! !!!! !! !!!!!!! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! ! !!!!!!!! !!!!!! £¤101 Stanford University Unincorporated Santa Clara County San Francisco Bay Baylands Preserve Don Edwards National Wildlife Refuge City of Mountain View City of East Palo Alto Ci t y o f L o s A l t o s Santa C l a ra San M a te o CastillejaSchool EscondidoElementarySchool Lucille NixonElementarySchool Town of Los Altos Hills GreendellSchool/Cubberly City of Los Altos ·|}þ82 Ca m pus Dr TermanMiddleSchool Walter HayesElementary AddisonElementary OhloneElementarySchool Palo VerdeElementarySchool Juana BrionesElementary School Barron ParkElementarySchool Palo AltoHighSchool Jane LathropStanfordMiddle School Jordan MiddleSchool El CarmeloElementarySchool HooverElementarySchool DuveneckElementarySchool GunnHighSchool C o w p e r S t E l C a m i n o R e a l M i d d l e e l d R d L o u i s R d R o s s R d Page Mill Rd P a r k B l v d W e b s t e r S t Fo o t h i l l E x p y C h a n n i n g A v e Oregon Expy A l m a S t Meado w D r Sand Hill Rd Stanford Ave Hamilton Ave E m e r s o n S t U niv ersity Ave B a y s h o r e R d Br y a n t S t San An t o n i o R d New e l l R d Linc o l n A v e Palm D r College Ave Charle s t o n R d H a n o v e r S t Colorad o A v e G r e e r R d Aras t r a d e r o R d M i r a n d a A v e Homer Ave Lasuen S t Loma Verde A v e Everett Ave W i l k i e W a y Galvez S t Welch R d Churchill Ave Matadero Ave California Ave Cent e r D r Barron Ave Los Robles Ave Hil l v i e w A v e Old Page Mill Rd E s c o n d i d o R d Fabi a n W a y A r b ore tu m Palo Alto Oak R d E m b a r c a d e r o R d Coleridge Ave D e e r C r e e k R d C o y o t e H i l l R d A s h S t Amarillo Ave Em b a r c a d e r o R d S e r r a M a l l E m e r s o n S t S e a r s v i l l e R d H a l e S t A l v a r a d o R o w S a n t a T e r e s a S t Fremon t R d Lom i t a D r P a n a m a S t L a g u n a A v e P o r t e r D r N e l s o n D r Serra St Del Medio Ave B i r c h S t Hansen Way Gr e e r R d A m a r a n t a A v e K i p l i n g S t El Carmelo Ave Man u e l a A v e Ge n g R d Em b a r c a d e r o W a y G e o r g i a A v e Maybell Ave Ol d A d o b e R d Arguel l o W a y Matadero Canal Lasuen M a l l Clark Way Hea t h e r L n D o n a l d D r California Ave R o t h W a y Mi d d l e e l d R d Monroe Dr M a c k a y D r Creekside Dr Fa b e r P l C a s e y A v e Santa Rita Ave G o v e r n o r s A v e Old Trace Rd G u i n d a S t J a r v i s W a y Al m a S t Melville Ave B r y a n t S t Addison Ave Ca s t i l l e j a S t Quarry R d El Camino Real F o o t h i l l E x p y Palo Alto A ve Lytton Ave E m e r s o n S t Co w p e r S t Colorad o A v e Hanover St Park B l v d Kingsley Ave Moreno Ave Matadero Creek Ado b e C r e e k Montr o s e A v e Bol P a r k P a t h Boyce A v e University Ave E l C a m i n o W a y R a m o n a S t Channing Ave 1 2 3 4 5 6 7 8 9 10 See reverse side for explanatary notes City of Palo Alto Proposed Bikeway Network City of Palo Alto Proposed Bicycle Facilities !!!!Class I Multi-Use Path !!!!Multi-Use Path or Trail (Multi-Jurisdictional Project) Class II Bicycle Lane Enhanced Bikeway (Class II) Class III Shared Roadway (Sharrows) !!!!!Bicycle Boulevard Across Barrier Connections (VTA) Across Barrier Connections (East Palo Alto) Bicycle Accommodation To Be Determined " Existing Bicycle Facilities Class I Multi-Use Path Class II Bicycle Lane Combination Bicycle Lane/Opposing Sharrows¢ Class III Bicycle Route Bicycle Boulevard (Class III) Pedestrian/Bicycle Grade-Separated Crossing Private Paths Park Paths b Caltrain Station Schools Trip Attractors andGenerators Commercial Neighborhood Commercial Mixed Use Employment District Parks and Open Space !I 0 10.5 Miles Source: Data obtained from MTC,Santa Clara VTA, Santa Clara County,San Mateo County. Author: Tony Salomone INITIAL DRAFT NETWORK RECOMMENDATIONS Discussion Purposes Only / Future Revision(s) to Include Spot Improvements 1. Long-term vision is San Francisquito Creek Trail, shorter-term improvements needed at Sand Hill/El Camino/Alma/ Palo Alto Ave; Need more focused attention on Stanford Hospital Expansion package in terms of relationship to plan implementation. 2. Homer/Channing is one of the highest priorities and needs further analysis (best chance for dedicated facilities approaching downtown); Explore some combinaton of contraow bike lane(s), traditional bike lanes, and sharrows to east to Guinda/Channing (see #4); Seek extension of contraow bicycle lane on Homer to at least Emerson for improved downtown access; Remove the substandard Lytton bike lanes but improve downtown with intersection treatments, bicycle parking, and shared lane markings to encourage on-street commercial access. Locate future potential bicycle share stations. 3. Work with Stanford University to complete El Camino frontage trail and crossing to Homer underpass, and to upgrade Stanford Ave with Class I path (Bay to Ridge Trail); Improve connections to and along Churchill at Paly High and between Coleridge on Bryant Blvd. 4. School Commute Corridor/Civic Park Campus Concept: Explore making 7am-7pm bicycle lanes permanent with upgrades on Channing and Newell, and work with PAUSD to widen existing sidewalk at Walter Hayes; Designate Webster as bicycle boulevard and consolidate Addison/Melville bikeways on Kingsley for better network spacing (also allows for returning daytime parking to Addison). Work with PAUSD on connecting to Ross bicycle boulevard through Jordan campus in the long term. 5. Explore extending Bol Park Path through Stanford Research Park parking lot along historic railroad way; Widen and connect existing sidewalks on Page Mill and Hanover Streets to yield Class I path through major employment center toward California Ave and future El Camino Real bus rapid transit station; Work with private TDM programs to promote/invest in the forthcoming bicycle share program; Further south, connect the Bol Park and Hetch Hetchy/Los Altos Paths with a short o-street path segment along Arastradero Rd and Gunn High frontage. 6. Rene and integrate Matadero Creek Trail concept with future Caltrain/Alma undercrossing proposal; Develop the Margarita/Matadero Ave bicycle boulevard with a focus on improving the El Camino crossing; Explore bicycle lanes on Alma Street and the reorganization of the Alma/Meadow intersection(s) with future repaving; Reconsider opportunities on Alma Street when High Speed Rail future is determined. 7. Further study feasibility of bike lanes on El Camino Real from Page Mill to Maybell through limited parking removal and lane reduction (as proposed in 2003 El Camino Master Plan) for improving commercial access; Potential to improve safety and comfort of El Camino Way/Los Robles crossing of El Camino Real by upgrading/converting substandard bike lanes to protected cycletrack/Class I path segment; Major intersection improvement needed further south at Charleston/Arastradero. 8. Continue to prioritize and advance a year-round Hwy 101 crossing improvement at Adobe Creek; Improve connections along Adobe Creek to Meadow St, and/or along Fabian Way by reducing the number of travel lanes and providing buered bike lanes or a two-way cycletrack. 9. Prioritize better bicycle access to Midtown Shopping Center along Middleeld Rd, Moreno/Amarillo bicycle boulevard, and Matadero Creek Trail; Initial exploration indicates implementation of Matadero Creek Trail in segments is highly feasible here, while lane reduction on Middleeld Rd requires further environmental analysis; Upgrade the informal highway underpass at Matadero Creek to formal Class I standards. 10. Improve the existing overpass at Embarcadero/Hwy 101 and connections to Bay Trail; Consider on or o-street improvements on Embarcadero Rd from Hwy 101 to airport. Initial Discussion Notes: Page 1 Planning and Transportation Commission1 Verbatim Minutes2 February 23, 20113 4 EXCERPT5 6 Study session to review progress on Pedestrian and Bicycle Transportation Plan Update 7 and provide input on policy, funding and implementation.8 9 Mr. Jaime Rodriguez, Chief Transportation Official: Good evening Chair Tuma and members of 10 the Commission. Yes, we are very excited to be here tonight. After a lengthy period of waiting 11 we are excited to be here and hope that you still have the energy to give us the feedback that we 12 really need from you tonight. This is the first of two opportunities that we will have to come 13 before you to solicit your input regarding the development of the Bicycle and Pedestrian 14 Transportation Plan for the City of Palo Alto. Today we are going to have Casey Hildreth from 15 Alta Planning and Design kind of walk you through some of the existing conditions that he has 16 kind of gone though in identifying the existing inventory within the City of Palo Alto, and really 17 kind of focus his presentation around some of the best practice standards around the industry, 18 and really solicit your input regarding guidance that you would like to see the plan move forward 19 over the next few months. With that I will hand it over to Casey so we can kind of keep moving 20 quickly.21 22 Mr. Casey Hildreth, Consultant: Thank you, Jaime. Thank you Commission for having us. I 23 will move in directly to the presentation so we can move along.24 25 So the City of Palo Alto hired Alta to update what is a 2003 Bicycle Plan. So we are certainly 26 not starting from scratch. We have a great comprehensive plan to build upon. A lot has 27 happened since 2003 from a policy perspective, particularly at the state level with SB 375, and at 28 the national level with a lot of innovative new treatments for particularly bicycle facilities as well 29 as just non-motorized planning and design in general. So we want to bring some of that really 30 updated information and design focus into this plan. Also, we are expanding the plan to include 31 a pedestrian component as well.32 33 You see here some of the bullets. We also think that in addition to the best practices treatments 34 we really want to focus on bringing more of an online presence to the information that is 35 presented in the plan. The old plan has a lot of good information that is quite buried and we 36 want to make sure that is more open and transparent to the public.37 38 We are coming to you as short of a shift in sort of the phases of this plan. We have taken a lot of 39 time looking at the existing policy framework for the city, obviously the past plan, as well as 40 several other plans, gathering data. We are really sort of at the stage now moving into compiling 41 that into a report and really giving our assessment of need for the city. So it is going to be a lot 42 of heavy lifting from here on out. So before we do that we wanted to get your input before 43 coming back to you with more of a draft of a more fully developed plan.44 45 Page 2 So we have touched base with PABAC, the advisory committee, as well as the School-Traffic 1 Safety Committee, and we will be going to City Council later on in the process. As far as 2 broader public engagement we will have one public workshop. We have a scheduled date of 3 March 24, which is a Thursday. Then think when we get towards the end of the plan, more the 4 final draft products, really do want to take advantage of the online presence that we just 5 mentioned as well as a new bike plan specific website.6 7 We realize the Comprehensive Plan is being updated at about the same time so we really don’t 8 want to be reinventing the wheel or creating a separate set of goals and objectives, at least goals 9 anyway. The Comprehensive Plan actually does provide very specific guidance on pedestrian 10 and bicycle facilities so we are really wanting to insert ourselves into that process using the 11 Bicycle and Pedestrian Plan Update to really feed the Comprehensive Plan Update. So we have 12 developed this policy framework. I am not going to go through it in detail. Essentially we think 13 where we want to get to is a list of policies, programs, and actions, and how we are going to 14 organize that is through what we know as the five E’s of Transportation Planning. These are 15 Engineering, Encouragement, Education, Enforcement, and Evaluation. I will note that those are 16 the categories that the City will be critiqued on as far as from the American League of Bicyclists 17 as far as a bicycle-friendly city. Currently Palo Alto is a gold city, and I think it is widely known 18 that we want to take that to the next level and become one of the very few platinum bicycle-19 friendly cities across America. So wanting to sort of really make sure we are hitting those 20 criteria points that will be looked at down the road.21 22 I mentioned that a lot has happened since 2003 from a design perspective. Probably the greatest 23 advance has been the focus on facilities that really speak to a broader set of the public. We 24 typically breakdown the categories of cyclists into the strong and fearless, the folks who are 25 vehicular cyclists, they don’t really need a bicycle lane per se, and they feel comfortable in 26 mixed traffic. There is another level of that where you are not sort of the strong fearless going 27 30 miles a day, but you do feel comfortable on sort of medium traffic streets. Really the majority 28 of potential cyclists, and for the city to really expand the number of cyclists, we call this group 29 the interested but concerned. They understand that it is fun, that it is good for the environment, it 30 can be more convenient, but they have a lot of fear about mixing with traffic. So across the 31 country we are seeing a lot of unique design treatments. This sort of gives you a range from 32 sharing the road, and this really speaks to an arterial street not necessarily a bicycle boulevard 33 where there is some different design treatments. You see a lot more sort of in that yellow and 34 green category and even the blue category now across the country and in North America. Where 35 very different than in the past where sidewalk riding was and still is if you don’t design for it 36 properly is really discouraged. There is this sort of unique middle ground where you actually do 37 design specifically for separating that bicycle traffic from both pedestrians and traffic. So these 38 are the kinds of treatments for the larger streets, or the more heavily trafficked streets that we 39 will be looking at. 40 41 Here is a good example. This is Loma Verde east of Alma. You see the parent riding in the 42 bicycle lane, which is a nice wide bicycle lane, but still the children are riding on the sidewalk. 43 This is just a good example of sort of reiterating what we know from national and local data.44 45 Page 3 One of the other themes that we really want to stress is integration. I think from a sustainability 1 standpoint sort of working in silos and having sort of single purpose projects as much as possible 2 we want to be asking what else, or how many multiple objectives can we be meeting with one 3 project and one design? These are two examples, a raised crosswalk can serve as traffic calming 4 the street as well as providing a nicer facility for pedestrians travel across the street. This subset 5 image here is called a two-can crossing because both bicycles and pedestrians can cross. These 6 are typically valuable where you have a median crossing like you see here, or where you have 7 trails sort of dead ending or starting on roadway facilities. I think Palo Alto actually has quite a 8 few of. So we are looking at these sorts of best practice treatments within the city. 9 10 So our Next Steps, as I mentioned, the heavy lifting comes from here producing a lot of the maps 11 that will be used for making sure the plan is compliant with Caltrans standards, setting up the 12 public workshop. We will also be having an online survey that will hopefully go up before the 13 public workshop. Again, just tools trying to get input as much as possible. Then through March 14 and April are really the heavy lifting months, and we will come back in May with sort of a draft 15 plan for wide review from the public as well as this body.16 17 So our initial assessment, we are looking at the existing conditions map. Generally speaking we 18 have a really good network with good coverage throughout the city, at least proposed and 19 existing. So I think our focus is not going to be a lot on expanding this network it is going to be 20 refining it, making key connections within in this. So making sure that the quality of these lines 21 that a bike lane has a consistent amount of quality across it, that there aren’t gaps, that there 22 aren’t substandard lanes. So that is going to be one of our main focuses.23 24 One of our other takeaways is that it is not really an intuitive network. You have a lot of left 25 turning and right-turning streets, or you have to jog over to a different street. So I think things 26 that pop out from somebody who is now ridden the network several times but is not intimately 27 familiar with it I think wayfinding will go a long way for improving this network. Just making 28 sure folks are aware that hey you just one street over from that connection that is going to get 29 you across town. We will talk about Bicycle Share Program, the VTA program that is coming to 30 Palo Alto in the Caltrain corridor. When you are asking folks who are not riding every day, who 31 are novice riders giving them that encouragement that hey, you are almost there, you hop on the 32 network and you will figure it out through wayfinding. Those are going to be key points for the 33 plan.34 35 So we are going to propose some focus area, these are the areas where we are really looking at as 36 we get into project prioritization and development. I think the goal tonight is to just make sure 37 that we are going to give you sort of representative sample projects. These are not necessarily 38 the highest priority projects, just sort of giving you a litmus test of where we are headed,and 39 wanted to get your feedback. So we are throwing out a variety of projects to give you a sense of 40 the breadth.41 42 So the first focus is the school commute corridor. This is where we have a lot better data than 43 we have sort of on a citywide scale. There is a lot of good planning that has gone into this 44 network identifying both corridors and intersections. We believe that a lot of the work on 45 Page 4 prioritizing –a lot of this network actually is represented in the 2003 plan. So this does represent 1 the bulk of the network. 2 3 One project idea that came out of some early recommendations and the past plan is looking at –4 this is Embarcadero right in front of Walter Hays. Currently we have a sidewalk that is adjacent 5 to the facility. Again, this is sort of the new wave of looking at segregated facilities. We think 6 this is an opportunity. We have a sidewalk with very few curb cuts, lots of room to expand 7 without having to move the curb, and a lot of sort of funky connections to this site coming at 8 different angles, different parts of town. Adding what we call a side path to this, widening the 9 sidewalk potentially putting a separate path for cyclists versus walkers helps provide access to 10 the school and makes some key connections across the north-south part of town.11 12 When you do that, when you sort of stack a facility to one side you have to really focus on the 13 connections at the intersections. My understanding is that there already is a pedestrian scramble, 14 which is essentially an all walk phase, but it is only for a slight AM morning period. These two 15 images represent sort of treatments that you can do to heighten the visibility of those kinds of 16 traffic signal treatments. These are things, again, that we are going to be looking at, things that 17 have become more popular in the last couple of years even since the plan from 2003 was 18 developed.19 20 Another issue that we see on this network, the school commute network and throughout the city 21 is wider residential streets, some with no curbs and sidewalks at all, others with rolled curbs. 22 Building out new sidewalks and gutters is very expensive and not really a practical solution 23 throughout the city. Looking at key corridors where there are proposed bicycle boulevards I 24 think these are images of chicanes. I think a lot of this is not new ideas. I think it is the 25 application to the bicycle boulevard network. I think there is a lot of opportunity to do these sort 26 of lower cost treatments, give a sense of priority for pedestrians and cyclists, while still 27 accommodating through traffic for motor vehicles. So we want to be making sure that we are 28 prioritizing the streets and these kinds of treatments on the school commute corridor.29 30 Here is an example of taking that chicane concept to the next level and having what we call 31 bicycle pinch points. This is in Portland, Oregon. Where you sort of move that chicane off the 32 curb a little bit more giving space for cyclists and potentially, if you can imagine that rolled curb 33 sidewalk scenario, having pedestrians and cyclists sort of use that buffered area.34 35 I mentioned wayfinding, very important for sort of your mental map of the city being able to 36 travel from one part to the other. Again, not having an intuitive straight shot connection this 37 becomes more important. There are various ways. The top images are things that the City has 38 already been planning and implemented or is implanting. Bottom, there are some different ways 39 approaching how you can differentiate the street signs for bicycle boulevards, things that have 40 been done in Berkeley. Roadway markings indicating directions, as well as looking at the Bay 41 Trail and some more graphically oriented or more branded trails and seeing how that integrates 42 with the citywide network.43 44 Another focus area will be an active transportation, really trying to align and link up some of the 45 open space access goals of the City and the bicycle boulevard network. Trying to get a better 46 Page 5 conceptual framework on what is really the core network if you are a novice rider or if you want 1 to go out and really experience the more scenic aspects of the city. Portland again has done this 2 well. This is not coming out very well, but the idea of the Bay to Ridge Trail. It is a line on a 3 map. I am not clear sort of what the steps are to implement it and take it to the next level. I 4 think we want to really engage this concept of the Bay to Ridge Trail, potentially add some spurs 5 to it. Again, it is a good organizing principle for the network. I think again, because it is not 6 intuitive this is something I think will be helpful to the city. 7 8 Accessing not only open space but the commercial centers doing a great job prioritizing key 9 areas, the California Avenue project is a wonderful opportunity for the city. I am very excited 10 about it. Making sure that because you have a lot of sidewalk riding issues a lot of that is the on-11 street network and the on-street bicycle parking is not readily available. So looking at key 12 strategies that will help sort of improve access to these commercial areas. Again, if you want to 13 be expanding bicycle trips and walking trips you really have to focus not on just the commute 14 periods but focusing on those discretionary trips, making it convenient to run to the store and 15 back. 16 17 El Camino Real, I think obviously everyone knows it is a barrier. That subset image there is 18 Stanford and El Camino. The broader image is at Matadero Margarita, which is part of that 19 school commute corridor network. This particular intersection has a jog intersection, which 20 makes walking across El Camino even longer than it is just as a straight shot. So looking at 21 opportunities, what is the next generation of Stanford and El Camino projects? I think this is one 22 area that we are particularly interested in, again, looking at a skewed intersection,a key access 23 point to the Barron Park neighborhood and school from the Ventura neighborhood. Is there 24 something we can do here at what is not a heavy lifter intersection, frankly it is a smaller 25 intersection, but important for pedestrians and bicycles. Can we do something that is a little 26 more aggressive? This could actually improve operations for transit and traffic along El Camino 27 since we are simplifying what is a more complicated intersection. So we think there are 28 opportunities to do something aggressive from a pedestrian and bicycle standpoint that could 29 actually be quite favorable to the BRT that is being planned for El Camino, and is not going to be 30 impacting the capacity of El Camino.31 32 I mentioned Bicycle Share, the VTA will be doing a separate outreach and planning for the 33 Bicycle Share program, but we can’t help but be excited about it, and well positioned to get a 34 head start on some of the other municipalities in the VTA in terms of planning. So my firm, and 35 myself, we both bring expertise on bicycle share. We have seen this across the country. It is an 36 emerging market. There is a lot of –there is a huge learning curve whenever it is being 37 implemented. We think we can bring some of the best practices that we have taken from across 38 the country and apply them to Palo Alto.39 40 In terms of access to Caltrain we do have this large CIP project, the Multimodal Transit Center. 41 A grand vision. A wonderful project, but really there have to be other steps that we are taking in 42 the interim to improve access before that project is fully funded. Here is an example at Lytton 43 and Alma where we can introduce some of those new concepts that we talked about. The green 44 lanes, a bicycle box, which looks like this on the ground. Essentially you allow cyclists to get 45 ahead of the queue of vehicles. This is going to be helpful where you have a lot of right turning 46 Page 6 vehicles. So folks are less likely to get hooked by a right turning vehicle. Or if you have a 1 bicycle wanting to make a left hand turn it really facilitates them getting in front of the queue, 2 feeling much more comfortable taking the lane. So if you can imagine, this is now looking 3 south. If you are coming down Lytton and wanting to go underneath and access the other side of 4 the tracks you have to make a left and then a left. So these kinds of treatments a bicycle box, a 5 green lane leading into that bicycle box, so that puts you in front of the queue, and then you have 6 just a short distance to go before you can access going underneath the tracks. We have these 7 shared lane markings, which the city has a few today, but these are something where you can’t 8 quite fit in a full bike lane really helps alert motorists to watch out for cyclists, give cyclists more 9 encouragement that they actually have the right to take the lane, and also provides wayfinding, 10 again, at a relatively low cost.11 12 Then the last focus area is just making sure that all the policy work that has been passed 13 pertaining to complete streets hits the ground. What does that mean for actually planning, 14 designing, and scoping projects? So what we would like to do is we are trying to get as much 15 data as we can on other capital projects, the paving program is one that comes to mind. Try to 16 look at some of the utility work that is being mapped out for the next several years and try and 17 overlay those and see where the opportunities are so we can really use our resources most 18 efficiently and get more bang for our buck. 19 20 Here is an example of how you could complete a street. This is Bryant coming through 21 downtown between Lytton and University. You have a parking garage. I don’t know the exact 22 numbers but I imagine it is a quite heavily used facility. Maybe that is a conflict point you want 23 to call out with some green treatment and some signage. That is one level. There is a mid-block 24 crossing maybe you actually want to make that a raised crossing. Again, what that also does 25 now it alerts motorist to pedestrians but also calms Bryant Street. So if you are on the bicycle 26 boulevard, you are coming through downtown it still has a feel that you can take the full lane. 27 Then with Bicycle Share in the future maybe this becomes a node where you can park and bike, 28 or park and walk, and really the street takes on a much different character than it has today.29 30 So those are just sort of broad-brush examples. I think at this point I will stop and see if you 31 guys have questions.32 33 Chair Tuma: Okay, great. Thanks. Before we get to questions from the Commission we are 34 going to go to the public. We have three members of the public here tonight so we will go at five 35 minutes apiece. Penny Ellson can get us started followed by Cedric de La Beaujardiere.36 37 Ms. Penny Ellson, Palo Alto: Hello. I am here as a member of the Palo Alto Council of PTA’s 38 Traffic Safety Committee. First I want to say thank you to Staff and to Alta for their outreach to 39 the City School Traffic Safety Committee. Although, one of these days you are going to get the 40 name right, City School Traffic Safety Committee.41 42 The physical and developmental abilities of school commuting children are very different from 43 those of experienced adult road users. We really appreciate that you are considering those 44 differences in the planning process. I was glad to see the fantastic numbers, that big jump in 45 bicycling we saw this year again at both Gunn and Paly. It was very exciting to see that chart up 46 Page 7 there today. Our programs are really working and I think the engineering components that are 1 starting to be outlined in this planning process are going to help us along some more.2 3 There are some general items that I wanted to just talk about really quickly.One, I think it is 4 important to extend the school commute corridors network to integrate areas with new housing. 5 An example of that might be East Meadow Circle’s and the BUILD projects need school 6 commute corridor connections to bring children into the schools. Once the school commute 7 corridors network is updated then I hope that we will be including language in the revised 8 Comprehensive Plan that refers to the network, and the policies associated with it relating to 9 prioritization for safety improvements.10 11 We want to make sure that all the PAUSD sites are represented on the map because they are not 12 presently. That Los Altos Hills school commute routes are included up to the city boarder, 13 because right now they are not.14 15 It might be wise to require new housing developments to identify school commute routes for 16 their sites, and provide mitigations before they build that serve future school commuting children 17 who will live there. So we won’t be doing this backpedaling so to speak that we are doing right 18 now with East Meadow and the BUILD project.19 20 I really love that they are going to be looking at regional bicycle and pedestrian transportation 21 collaboration. One of the areas where I hope from a Safe Routes to School perspective we can 22 do that is with the Town of Los Altos Hills to more coordinate better school bicycle/pedestrian 23 connections between our two communities. A lot of Los Altos Hills parents drive their kids to 24 school and that creates some of the impacts that we see on Arastradero because they don’t feel 25 like their connections are safe.26 27 I personally hope that you will be giving priority to the El Camino Real-Arastradero intersection 28 improvements that were recommended in the Charleston-Arastradero Plan, and complete this 29 very long awaited school commute corridor project.30 31 We are thrilled about the suggested routes to school maps that the City is going to be working on 32 for use at school sites district wide and for the web page materials. This has been a gap that we 33 really needed to fill. We want to make sure that all the maps, the city maps and the school 34 commute corridors maps, point people to those secret off-road paths that those of us who ride a 35 lot know about and the rest of the people are like clueless about. The idea of using wayfinding 36 signage to get people there I think is terrific. Our current bike route maps, both the school 37 commute corridors network map and the city map, neither one of them shows pathways through 38 Mitchell Park behind Cubberley Community Center. A gazillion little paths that you and I 39 probably know about but a lot of people don’t.40 41 I am going to take my Safe Routes to School hat off for a moment. As the spouse of a bike 42 commuter who rides to Sunnyvale from Palo Alto every day I would like to ask you to prioritize 43 year-round bike connection at Adobe Creek to the Baylands and the new wonderful regional 44 connections that are there through Moffett Park and the new bike bridges that are south of here. 45 Page 8 I would also like to support at least one grade separated crossing of the train tracks to serve 1 South Palo Alto and Midtown. We don’t have one.2 3 I also want to ask that we look at how treatments like charos are working on school commute 4 routes where we have many concerned parent bicyclists. Charos are one of the road treatments 5 that I am getting some feedback from families about that I would like us to explore a little bit. 6 Kids are smaller, they are less skilled cyclists, there is a lot of space between those icons for 7 them. It doesn’t feel as secure as a bike lane. 8 9 I like the general direction of the plan. It gets us closer to a community where people of all ages 10 and abilities can share the road safely. Thank you.11 12 Chair Tuma: Thank you. Cedric de La Beaujardiere followed by Doug Moran.13 14 Mr. Cedric de La Beaujardiere, Palo Alto: Thank you. Thanks for doing your best on my name. 15 I am the Chair of the Bicycle Advisory Committee and PABAC does support this plan. It is 16 really an essential plan. Having projects on the plan is essential for getting funding for the 17 projects. So it could be that there are more projects in the plan than we could conceivably make 18 all happen before the next iteration of the plan, but it is still important to have all those projects 19 on there. It gives Staff the flexibility to pursue whatever funding or grant opportunities arise. 20 We are looking forward to the plan being more graphical and accessible to the public. We are 21 very supportive of the wayfinding, increased signage, through the city. We are happy that we are 22 getting some of that now already. We are looking forward to reaching a greater percentage of 23 the population and getting those interested but concerned riders to leave their cars at home and 24 either ride or walk the streets. So I am here if you have any questions that Rafael or Jaime can’t 25 address. Thanks.26 27 Chair Tuma: Thank you. Our last speaker Doug Moran.28 29 Mr. Douglas Moran, Palo Alto: I live in Barron Park. Lots of thanks for including pedestrians in 30 this and talking about the interested but concerned riders. I didn’t see a lot of that in the 31 presentation. I hope the Commission would add emphasis for this. Since they do it in State of 32 the Union Addresses let me use personal examples. My own street of Matadero, which is a 33 major connector between the bike paths paralleling El Camino, the Park Boulevard, and the 34 regional bike path to Hanover, which people then connect from one side to the other and then 35 often go onto the Bryant Street bike path. I have been working on bicycle and pedestrian related 36 issues since the mid 1990s, and to this point I have had only one success and that was getting 37 valley gutters on Matadero Avenue for pedestrians and bicyclists. Matadero for improvement for 38 a bike path made it onto the 2003 list as a high priority. It was $20,000 to implement and for the 39 past five years it has been the next thing on the list. It would be very important for the 40 Commission to have the projects, to manage expectations. People know why things are on the 41 list and why not. A lot of people in the community assume that the bicycle project is only for the 42 elite bicyclers, the strong and fearless. Many of the people in my neighborhood look and say 43 there is no provision for us to get out of the neighborhood, to cross El Camino, to cross Page 44 Mill, to cross Arastradero to get to places. That needs to be given more.45 46 Page 9 The old regime had a thing of a lot of decisions were made behind closed doors with certain 1 interests, after rejecting or ignoring what was said in the public workshop. So I think you need 2 to make a stronger outreach to the community to convince them that there has been a change and 3 it is not just business as usual as it has been for the past ten to 15 years. Please, understand my 4 cynicism and a little bit of bitterness.5 6 One thing that was missed was having bike designations oriented towards keeping the pavement 7 in good shape. For example, they showed the illustration of El Camino and Matadero. We have 8 permanent cuts for utilities. Well, semi-permanent. They sit there for months. These are the 9 sort of cuts that plates and other bad fill that Palo Alto has recently had to settle a lawsuit over. 10 We have one that just got filled the last couple of days where it is in the place where people 11 speed up to make a light. It was forcing bicyclists out into the road, out into the speed cars. 12 Before this, and Commissioner Tuma can tell you about this because he travels it every day, was 13 another one which forced bicyclists in the middle of the road right where the road narrowed 14 where people were turning off El Camino and still coming up at speed. At night it was fearsome. 15 16 Laguna Avenue has been on the schedule for being rebuilt for 30 years, since Barron Park 17 became part of Palo Alto. The edges of the street have been creeping in and in and in further so 18 that it is not safe for a bicyclist to move to the side. You have to really time what is going on and 19 that makes bicyclists very fearful of taking one of the major parallel streets to El Camino.20 21 I hope the plan takes into account the needs for the full spectrum as I said, because we have had 22 problems where certain groups have had virtual veto rights. For example, for the fix on 23 Matadero there were going to be bike lanes near El Camino but the decision was that those lanes 24 for the adult bicyclists would be too tempting for the elementary school students crossing. So 25 there was no improvement made. Similarly for further up on Matadero for pedestrians.Make 26 better use of local knowledge. Matadero is used by wheelchair people coming down, patients 27 from the VA. You don’t see that in a simple survey. It happens off and on. Sometimes it is 28 virtually every day, sometimes there are months with nobody going by. We tried to get 29 provision for wheelchair crossing but I know ADA can make wheelchair improvements very 30 difficult to do.31 32 I hope there is flexibility in the rules. Barron Park is very different, and a lot of the rules we 33 have had problems with speeding on Matadero where we have situations where cars doing 40 34 miles an hour will brush by a woman with a baby in a carriage. We brought this to the City 35 under the old regime and were told that we did not qualify because our street was different. This 36 makes it very dangerous not just for pedestrians but for bicyclists. We have contractors on the 37 street doing construction projects and their flagmen are appalled at how much speeding and 38 danger there is on this street, yet we don’t meet the criteria. So again, better rules. Thank you 39 very much.40 41 Chair Tuma: Thank you. With that we will close the public hearing and come back to the 42 Commission. I think to reiterate something I had said in the pre-meeting memo and also what 43 we discussed in the pre-Commission the other day is that the Staff is looking for direct input 44 particularly around specific streets, intersections, or sort of projects that could be incorporated 45 into this plan. So with that sort of focus I have Commissioner Keller followed by Garber.46 Page 10 1 Commissioner Keller: So first I would like to thank Staff and Alta for their hard work on this. I 2 also particularly want to express thanks to our new Chief Transportation Official who in a few 3 scant months seems to have accomplished a great deal. If that is what you can do in the first few 4 months of your tenure I am sort of wondering what is in store for you in the future. You will 5 have a hard time having an encore.6 7 Secondly, I would like to thank the members of the public who have been firstly very patient 8 through all the cell phone discussions. Secondly, I know that Penny and Cedric have done a lot 9 in terms of working for the community along with others in terms of bicycle safety and in terms 10 of promoting good practices in bicycle use. I think that the community owes a great deal of debt 11 to both of you.12 13 So with that as a preliminary, a couple of interesting things. I was interested in the idea of the 14 cycle tracks. I am just curious why, maybe I will just throw this out there, but if we ever do 15 anything like Charleston-Arastradero Road again the idea of cycle tracks was not brought up as 16 far as I know with respect to Charleston-Arastradero and placing the cars inside of the roadbed 17 and putting the bike lanes on the exterior as what I saw in one of those diagrams. I myself have 18 been concerned about the problem of people opening car doors and forcing bicyclists out into the 19 street and that issue. It seems like cycle tracks would solve that.20 21 With respect to pinched chicanes which is an interesting thing to consider. It seems to me that a 22 good place for considering pinched chicanes in terms of that is where you have speed tables and 23 rolled curbs. I personally have witnessed cars that try to speed over the rolled curbs on Louis 24 Road between Adobe Creek and Charleston. By going sort of off the rolled curb onto the 25 sidewalk they only have one set of tires bumping up and down rather than the other, and they go 26 pretty fast. Those little metal things don’t seem to work very well to keep them out of there. I 27 have seen those broken often. So it seems like a pinched chicane would sort of –in fact, if you 28 put a pinched chicane there you would actually not require the bicyclists to have to go over this 29 speed table, and it would actually improve the speed table by providing a visual barrier not only 30 to slow down but you have to avoid hitting that pinched chicane. So that seems like an 31 interesting combination to consider.32 33 I am especially intrigued and pleased about the idea of roadway markings particularly if you look 34 at this initial assessment map. A lot of these bike routes seem to wiggle. The roads wiggle and 35 you have to turn left and turn right. So pavement markers to tell you how to get in South Palo 36 Alto from Bryant Street, which goes along pretty straight, and then once you cross East Meadow 37 all hell breaks loose and you have to go in different directions. That I think would be an 38 excellent candidate for that.39 40 In terms of your walk bikes on sidewalks I have noticed people bicycling on the sidewalks on41 University Avenue, which has been particularly dangerous. I yelled at one of the bicyclists on 42 there, and he says, what do you mean? I am allowed to do this. He parked right by the corner, 43 and I pointed at the marking on the sidewalk that says ‘walk bikes on sidewalk here.’ Better 44 signage would be useful on that. Perhaps putting a bike lane on Hamilton as well as Lytton 45 might be a way of directing cyclists who wanted to go around that to be in that. That might be 46 Page 11 also an interesting thing along one of my favorite ideas, and this is converting Hamilton and 1 Lytton to have their lights timed in such a way that people take Hamilton in an eastbound 2 direction, and take Lytton in a westbound direction. Whether you change the lanes or whatever, 3 simply timing the lights in that direction will cause traffic to naturally flow there in that useful 4 way.5 6 Looking at this initial assessment there seems be interesting gaps that I notice. One is that – do 7 you want me to continue or do you want me to stop? Okay. Let me just finish the few gaps and 8 then I will have another turn.9 10 So if you look at Lytton there is a gap from Lytton where it hits Middlefield. It seems to me that 11 it would make sense to continue that to Guinda and have a bike boulevard on Guinda that 12 connects from Guinda all the way to where Channing is in some sense, so that you can sort of 13 make your way to there. That would make sense.14 15 I actually, frankly, am horrified by the idea of encouraging bicyclists to take Lytton to Alma, and 16 then make an unprotected left turn with cars that can’t see them onto University Avenue. I 17 would recommend instead that you consider High Street as a much better route. Encourage them 18 to make a left on High, turn right on University Avenue, or vise-versa and use that route to get to 19 the underpass. The other one makes me fearful of how many splats of bicyclists there are going 20 be with cars that can’t see them. I will continue on with more things later.21 22 Chair Tuma: Could you put the initial assessment slide up on the screen? The next up is 23 Commissioner Garber.24 25 Commissioner Garber: In no particular order let me lead off by echoing Commissioner Keller’s 26 thanks for both Staff’s and public’s participation and work on all of this.27 28 I would agree that as part of the initial assessment wayfinding is probably high on the order 29 there. As you have already noticed, all I see up there is a drunken spider web of lines. It would 30 be very helpful for me to be able to see the hierarchy of the different routes that are going 31 through the city. Presumably there are routes that cut-through the city either from Menlo Park to 32 Mountain View, etc. that should somehow take dominance. I should be able to know and 33 understand implicitly, and I should be able to glance at the map and say yes, that is where I am 34 relative to that line or those lines that get me from one end to the other. I, like Penny have, not a 35 husband or a wife that commutes daily by bike, but I do have friends that commute daily to 36 Sunnyvale and Mountain View, Menlo Park, etc.and I don’t know what their routes are. I know 37 that their routes change a lot. It would seem to me that to be able to identify what those things 38 are and put energy and focus on those things would go a long way to helping not just me but the 39 entire city know and help us organize around those particular routes.40 41 In the same sense, the routes that are going perpendicular to those, that go between the Bay and 42 the hills, I know that when I get on a bike and I am not traveling to get to work or something of 43 that sort, I am going because I want to go to the Bay or the hills. In the same way, seeing those 44 big through routes and knowing how to get there and being able to sort of conceptualize in my 45 brain as well as on a graphic piece of paper what those primary routes are would be very helpful 46 Page 12 to once again creating an identifiable network, identifiable network of how the city is organized 1 around these things. Granted, I have to turn corners. Hopefully there will be an arrow telling me 2 where to go, etc., etc., but I am thinking more of the brand, the idea, the identity of this network, 3 which doesn’t really exist anywhere.4 5 One of the key issues I have whenever I bike, as was pointed out by Mr. Moran, is the condition 6 of the paving. That is by far the most constraining aspect on my behavior. I don’t like going 7 through the dips. I have thin tires on my bike. I am trying to avoid cracks that have the same 8 width. I am avoiding all the stuff that is on our streets. There is needless to say a lot of it. I 9 know that I am not the only one that is weaving around the street trying to find the smoothest 10 route so I am not thrown from my bike, or my bike isn’t getting screwed up in some way as a 11 result of that. So I don’t know if there is a way to associate for instance with these big through 12 routes, or the big boulevards, or hierarchaly opportunities to create different types of pavement 13 or a greater focus in terms of our public utility and how those streets are paved, or how they are 14 organized to keep them from getting cut up, or when they are cut up there is a higher level of 15 attention put into those particular routes even if it is just along the bike path itself. I don’t know 16 what that is but having that sort of synergy would be an extraordinarily helpful synergy. 17 18 One of the other things is, again, this is just another way of thinking about this. That is, we are 19 talking about bicycle paths, but there are places in our community where we tend to gather and 20 we like to focus a lot of that energy into neighborhoods and the zones that we describe as 21 neighborhood centers. As has been described over a variety of different circumstances be they 22 different projects, and different items that have come before us the neighborhood center has three 23 characteristics. There is a synergy between adjacent housing, some retail, and then an open 24 space that you can gather between those two. So the analogy here is that you are coming from 25 your home, walking or bicycling, to get a cup of coffee and then hanging out with your friends. 26 So the pedestrian circumstance/experience is well supported typically by having chairs or 27 benches and things of that sort. I wonder if there isn’t a way to sort of brand them more so that 28 bicycling is supported in there as well. Is there a cluster of bicycle stands? Is there a way in 29 which you can stand with your bike? I don’t know what it is but it seems to me that there is an 30 opportunity there, a synergy that we could take advantage of that really focuses us and the 31 relationship that we have with the bike that isn’t us being on it. I bicycle to get coffee. I go and 32 get the coffee and I usually just lean my bike against the storefront of Starbucks or something 33 because I pretend I can keep an eye on it. It there, occasionally it falls down, you go over and 34 you pick it up, or you wait until you get your cup of coffee and come back out. I don’t know 35 what that interaction is but it seems to me there is a great opportunity there. I know lots of my 36 friends that go out and bicycle with groups of friends. They will go out, they come back, and 37 they will end up 20 people at Pete’s and all the bikes are everywhere. They are coming back to 38 Starbucks or whatever. Those sorts of opportunities are another place for us to be able to brand 39 how it is the city involves bikes and the use of bikes in our community.40 41 There is some more, but that is enough for now.42 43 Mr. Rodriguez: I have comment in response to that. It does exist at I believe in at least one 44 location in Palo Alto, but on-street bike parking has been sort of a really wave of popularity 45 recently. It is great because it does two of the things I think directly speaking to your point. 46 Page 13 One, it provides just a typically located where there is high retail or next to popular open spaces. 1 It brings not only more parking but it brings more visibility to those facilities. You can be on a 2 roadway and very easily see it versus pockmarked racks here and there. Then secondly, when 3 you do have those moments where you have a lot of riders coming and parking they are not 4 impacting the walkway for pedestrians. So you sort of get the double advantage there.5 6 Commissioner Garber: The one caution that I have with some of the new bicycle racks that are 7 existing, the ones that you sort of ride up into things is although they look cool it requires a good 8 bit more effort to use them as opposed to just leaning it against something, which is a far more 9 convenient way of utilizing something.10 11 Chair Tuma: Okay, Commissioner Tanaka.12 13 Commissioner Tanaka: I wanted to thank Staff for this work. It looks pretty good. I also want 14 to thank members of the public for staying so late. I certainly appreciate that.15 16 I also want to echo some of the comments said earlier about connections to other cities. I 17 actually now recently bike to Sunnyvale and I am still trying to figure out the ideal route. So I 18 think having stronger connections to other cities is important, not just because of myself but also 19 because Palo Alto is a destination for a lot of employees. Having very easy ways to bike to the 20 city is important. Especially the nearby cities like Menlo Park and Mountain View because it is 21 not really worth it if you add up the cost for Caltrain to take Caltrain and then try to bike or walk 22 into your work. I think what you are trying to do to collaborate with the other cities is really 23 important and really making those networks strong and obvious, and having it well marked so 24 you are not having to pull out a map as you bike to figure out which is the right way, or have 25 people try figure it out themselves. It looks like you guys are working in that direction already 26 so that I great.27 28 One area of particular focus is the California Avenue area. We are going to be doing some 29 streetscape work there, perhaps even wider sidewalks, and making sure that elementary school 30 kids or junior high kids going from College Terrace to Jordan have a good path. That tunnel is 31 also a little bit problematic for various reasons. I realize that is a lot of money to fix. The vise-32 versa where the kids from Evergreen going over to Escondido as well so we are making a really 33 strong and easy path for young children to be able to go to school. I think this is very important 34 because as we all know we have increasing school population and there are more and more kids 35 in our schools. If we could have more kids biking to school instead of being dropped off by their 36 parents I think that is a really good thing for the environment and for the city’s congestion.37 38 I appreciate Penny’s comments about school map and making sure they all match up. I think that 39 sounds pretty obvious, and hopefully it is actually being done. Beyond that just in terms of 40 maps, when I try to go somewhere I use Google Maps. Google Maps has how walk, how to 41 bike, how to take public transit. Unfortunately a lot of these bike routes are not necessarily in 42 Google Maps. I don’t know if there is a way to do that because that is actually very convenient 43 for a lot of people who have PDAs or smart phones. They are able to look up how to get from 44 here to there. I don’t know how many people actually carry them. I actually carry a map but it is 45 very inconvenient. I would rather use my phone because I have it with me all the time. So 46 Page 14 having strong integration with that or equivalent services, it doesn’t have to be Google Maps, 1 would be really, really helpful.2 3 Actually on the California Avenue discussion one of the examples that Chair brought up was 4 AOL in terms of how they give bikes to workers to bike down to California Avenue. I think that 5 is a great thing and if there is something the City could do to promote that so that it is not just an 6 exception that AOL does that. I am not talking just for California Avenue but maybe also for 7 other parts of the city like University where there is some sort of incentive or encouragement so 8 that during the lunchtime hours there is not such a crunch for parking. Make it very easy and 9 make it a positive experience but also make a strong enough incentive for them to do that, for the 10 employees to actually do that versus jump into the car and drive down half a mile. I think that 11 would be a great thing. So I think overall it looks like great work. Thank you.12 13 Chair Tuma: Commissioner Martinez.14 15 Commissioner Martinez: I had a question about Portland. Portland you know has all these high 16 marks on bicycles but they have crummy streets. I think they don’t have sales tax. They don’t 17 have very many signs and markings and like that. Some of the neighborhoods are kind of 18 challenging for bikes like the northwest side is real hilly. How do they get such high marks for 19 their bicycle program?20 21 Mr. Hildreth: I came from Seattle just recently and we have a lot of Portland envy in Seattle. 22 They got a lot of things right early on as far as not necessarily the bicycle network but as far as 23 committing to transit over highway expansions in the 1970s so that helps. They are a much 24 flatter city than at least other major cities. They really did take a concerted effort in the late 25 1990s or early 2000s. Back in the mid-1990s they were not known for what they are today. 26 They really expanded, went beyond the minimum standards for a lot of bike facilities. So they 27 just took streets and they put in six-seven foot lanes versus five-foot lanes. They went to these 28 green treatments and these experimental treatments much sooner than other cities. 29 30 Once you get that sort of critical mass, and I think Palo Alto is really has it or can improve upon 31 it, is that you start building the culture of cycling. I think once that sort of sets hold that really 32 takes off and has its own character. I think Portland just for a number of reasons their bike 33 culture really took off, and I think that just really feeds the fire. I think the last couple of years 34 they have seen a lot more facilities. I don’t when your experience up there has been. I have seen 35 some of their facilities and I have been very impressed. I think like everywhere else they have 36 more need than funding to improve upon it. 37 38 Mr. Williams: I was going to say I was in Portland not too long ago for almost a week. The first 39 few days I had similar feelings but then I started coming across quite a few areas where they 40 actually had the curb with the separated bike lanes. They of course have a lot of the bike share 41 parking, bike parking, or areas in some of these, as you were talking about, in the street. You 42 would have six or eight spaces in front of a restaurant or something like that. 43 44 I think Portland intrinsically has a lot of what Palo Alto has, which is a lot of streets without a lot 45 of traffic on them. A grid in many places, which like Palo Alto I think many people ride here 46 Page 15 regardless of the facilities just because you have that street, nice shady streets that are residential 1 but they connect through to places. So that makes a lot of difference compared to a lot of 2 suburban type cities where you get cutoff in a cul-de-sac or something, you always have to have 3 some special facility to make a connection. So yes, I think they were doing those kinds of things 4 before we were or others.5 6 Mr. Hildreth: One other thing they do quite well, and I think has direct relationship to Palo Alto 7 is they looked at their bicycle boulevard network and they really made a concerted effort to bring 8 in some of their other citywide goals so that it is a green stormwater infrastructure. So they 9 really actually call their bicycle boulevard network their neighborhood greenway network. So I 10 think the slide that I had that pointed to sort of how can we take some of the conceptual 11 frameworks of the beta, the hills trail, and really expand that to include some of those key 12 bicycle boulevards. I think there is a lot of opportunity here in Palo Alto to do a lot of the same 13 thing.14 15 Commissioner Martinez: I am kind of bike-light so pardon me when I say this. In some places 16 kids riding on the sidewalk are okay with me. I think like Midtown in front of Safeway and 17 those stores headed towards Jordan. I would rather see kids on the sidewalk rather than the street 18 because the streets have no place for bicycles. Same with Alma, I would rather see people 19 charging down Alma on the sidewalk than fighting people driving 40 or 50 miles an hour down 20 the street when there is no place for them. I don’t know whether there is in the works some ideas 21 about how, especially in the south part of the city,to make Alma safer for bikes, but I am hoping 22 that there is something in the works that will address that. As I mentioned in the pre-23 Commission meeting it is the most dangerous street in the city. I think I said in the world but I 24 was exaggerating. Then hopefully we do something about that.25 26 Then finally, I am not a big fan of a lot of signs. I hope that we pick them strategically. 27 Wayfinding is great but too many signs and charos and this and that, but really are not that 28 effective I think we should really be sensitive to.29 30 One last thing, and I am not going to count it as my time but I would like to hear from Jaime 31 about some of the things you had to say about the City process that you were talking about in our 32 pre-Commission meeting.33 34 Mr. Rodriguez: When I think about the City process, we started to make a lot of changes 35 already. I think the biggest thing that we are taking advantage of probably more now than we 36 have in the past is really our resurfacing program. That is where we get really some of the 37 biggest bang for the buck in trying to get our bicycle improvements implemented really quickly. 38 We are actually very fortunate that come the completion of this plan we actually have set aside 39 funds for the next upcoming fiscal year there is going be a lot of bicycle programs and projects. 40 That will tie in line with other say school projects that are coming up at the same time. So in my 41 mind, the fiscal year 2011-12 and 2012-13 will be a very exciting time for the City of Palo Alto 42 to be implementing a lot of very innovative projects and programs that will be very unique 43 within the Bay Area. Like Casey was mentioning Seattle envies Portland, I think the rest of the 44 Bay Area is going to envy us and we will be up in line with San Francisco about bicycle activity 45 within our community. So it is the policies that we have to take advantage of as far as making 46 Page 16 sure like Casey mentioned that the resurfacing program prioritizes more bike boulevard projects 1 and we do that with PABAC already, making sure that we coordinate with Utilities that when 2 they are going to do significant work in that area that we also take advantage of that project to 3 put things back. 4 5 The biggest thing that we do now that we didn’t do in the past, I think I might have mentioned 6 this to this committee in the past, is that we now in Transportation take the lead in telling Public 7 Works how they have to sign and stripe the streets. That didn’t happen before. So if we wanted 8 to get a bike boulevard we were scrounging in the past, or a bike lane. Saying hey you just 9 resurfaced a street but don’t put it back the way it was put it this way instead. That causes a lot 10 of problem during construction but we plan ahead now, and that is one of the biggest benefits I 11 think we have started to see. It is a simple issue but it didn’t happen in the past.12 13 Commissioner Garber: You are really asking for a lot there.14 15 Chair Tuma: Okay. I want to pick up where Doug left on some of the Barron Park things. First 16 I am wondering whether it is time to revisit some of the Barron Park guidelines with the bike and 17 pedestrian things in mind. I think some of those things have been around for a long time and I 18 wouldn’t try to turn it all upside down but there is a lot of new thinking. That neighborhood is 19 just a beehive of activity, in the evenings and in the mornings people are out walking, riding. 20 There is just a lot of pedestrian and bicycle activity. Because there are not sidewalks for most of 21 it, there are sidewalks in some places, the roads are essentially the pedestrian path. So I think 22 some of the new thinking and things that you guys have been working on could be overlaid. 23 Think about revisiting some of the guidelines within Barron Park and updating some of them 24 based on things that you guys bring to bear.25 26 It is interesting to me, if you get on a bike at let’s say Ramona and Meadow heading towards 27 Barron Park not too far after that you are going to cross Alma Street which is kind of a bit dicey. 28 Fortunately during school hours there is a crossing guard there but maybe it is a place for the 29 grade separation that Penny was talking about. I don’t know it is probably too difficult. This is 30 an issue that I raised at another hearing very recently. Once you cross that and you make that 31 right hand turn onto El Camino Way it is a disaster during commute hours. The reason is 32 because the Keys School is apparently not complying with their use permit, and they have their 33 pick up times a very, very limited amount of time. That area of El Camino Way curves which is 34 dangerous, and then as you come to the intersection you have all these cars backed up from 35 Keys. If you have not done it, ride that stretch during that time. It is bad. But what happens 36 then is staying on what is marked on here on the bike path, you come across El Camino to Los 37 Robles, and the bike path ends. I am wondering sort of why that. 38 39 I will tell you from going from Barron Park to Fair Meadow in the morning I see just a hoard of 40 kids coming the other direction that all look to me to be high school age as if they are heading 41 toward Gunn. So it would seem to me that one way to keep people off of Arastradero and 42 coming through the neighborhood on bikes would be to have a better connection all the way 43 down to Gunn that way. I am sure Penny knows better why that doesn’t happen or whether that 44 should happen or what have you, but my observation there is there could be some benefit there. 45 The other thing is even though that is marked as a bike path, as you are on Los Robles heading 46 Page 17 towards El Camino the interface between the cars that are parked on the side of the road and the 1 bicyclists is terrible. It is very dangerous. So that whole stretch I think could be enhanced as a 2 way to bring kids down to Gunn and connect, because there are quite a few kids from the whole 3 Meadows neighborhoods that do go to Gunn. That is their school. So instead of bringing them 4 down Arastradero if we could make that whole connection work a little bit better I think there 5 could be some real gains there.6 7 I want to echo what Commissioner Tanaka said about incentives for these programs for the 8 businesses. I was incredibly impressed with the program that AOL has put together on their 9 own. But, they are in a location that has good proximity to California Avenue but you have to go 10 up and down Park. That stretch of Park, especially going back to AOL, where there is a bike 11 lane but there are all these turnoffs it is in the context of the plan that we are working on for that 12 area the biking capability could be made better, particularly when the Fry’s site gets redeveloped. 13 Whether you have mixed use, or housing, or more commercial the connectivity to California 14 Avenue is going to be really important. So to the extent that we can make the bicycling more 15 safe through that area you are just going to get a lot more activity.16 17 That covers my comments. Commissioner Keller.18 19 Commissioner Keller: So firstly, with respect to….20 21 Chair Tuma: I’m sorry, let me just say it is almost eleven o’clock so maybe we could do this 22 round at two minutes apiece or so and get us out of here before midnight.23 24 Mr. Rodriguez: Actually, if I could make the offer to you, we are doing regular phone 25 conferences with Alta. Commissioner Keller, we are more than happy to invite you to attend one 26 of those if you can make yourself available. 27 28 Commissioner Keller: Sure.29 30 Mr. Rodriguez: Then you could have some more direct contact with Casey.31 32 Commissioner Keller: I would appreciate that. Thank you. With respect to what Commissioner 33 Tanaka mentioned perhaps that could be considered as a Transportation Demand Management 34 measure and thereby count it that way. It sounds to me like Chair Tuma is complaining that the 35 safety issue from California Avenue to AOL is a particular turnoff. 36 37 So I think that the issue of connectivity is important and Commissioner Tuma mentioned some 38 of those. One of the interesting things particularly for pedestrians is Embarcadero-Cowper. It is 39 a long stretch of Embarcadero before you can cross it, and putting a traffic light at Embarcadero-40 Cowper would make a lot of sense so you don’t have to go all the way around either to Waverley 41 or to Middlefield. That might allow the continuation of the bike lane on Cowper to reach all the 42 way to Addison.43 44 Charleston-Louis is also an issue where it is hard to cross that intersection, particularly as cars 45 have just made the merge in a westbound direction from two lanes to one lane. One thing that 46 Page 18 would help at least is a yield to pedestrians in crosswalk signage.Maybe we should have more 1 signage like that not withstanding the comments of excess signage from the point of view of 2 Commissioner Martinez. But that is a place where I think such a sign might make sense and 3 perhaps those lighted things like they have on San Antonio Road. I am not sure if that makes 4 sense or not, or maybe road enforcement or whatever, traffic enforcement.5 6 Also, the Homer bike tunnel on this map doesn’t go anywhere. You have a Homer bike tunnel 7 and then it doesn’t connect with anything. It should connect with some sort of bike route 8 somewhere to get somewhere, and tell people what to do. So that is kind of odd.9 10 I also think that the discussions by Doug Moran about Matadero and adding that onto the route, 11 adding Los Robles onto the route, and perhaps El Camino way in the other direction to connect 12 with Maybell. The connection from Maybell to Gunn is missing and I am not sure why that is.13 14 Just a few quick things. One is San Antonio Way through to Montrose and connect that through 15 the Greendale School, or if there is a housing development make a condition of that housing 16 development that they provide connectivity to Greendale. 17 18 I am not sure why there is not a bike route over the Chaucer Street Bridge connecting that across. 19 That seems to make sense, telling people there is a way to go on bikes as opposed to going on 20 Middlefield. 21 22 The Ross Road bike boulevard we should rethink whether that is an interesting thing, and to the 23 extent that there is potential connectivity to or through Jordan Middle School. 24 25 Finally, why not allow some part of City Hall Plaza to be used for bicycle parking? It would 26 basically make it a prominent, visible location. It is kind of central to a lot of Palo Alto. It 27 would basically make a way for which there is space to allow people to bike here and then 28 wander around walking downtown.29 30 Chair Tuma: Okay. Commissioner Garber.31 32 Commissioner Garber: A couple of quick comments. I am with Commissioner Martinez 33 regarding the use of Middlefield for Jordan. I live a half a block away from there. Early in the 34 morning and in the afternoon the amount of traffic of kids and bikes crossing Oregon 35 Expressway there is very, very high. Granted it only occurs a couple of times a day, but I do 36 know that when I travel along Middlefield I never bike in the street. I am always on the sidewalk 37 because I don’t feel safe on Middlefield. Walter Hays, the big scramble there, doing something 38 visually probably makes a lot of sense. Right at the moment it is handled really through traffic 39 guards, and that seems to sort of work okay. It probably makes sense to do something visually 40 there to emphasize what that is. Now, granted there are a lot of hours of the day that it is not 41 going to be utilized that way, so I don’t know if there is a tradeoff to be made there.42 43 Alma is another street that I wouldn’t be caught dead on, on a bike. In your spectrum of types of 44 bikers, two weeks ago I was traveling just after twilight south and there was a guy bicycling on 45 Alma headed south adjacent to the railroad tracks. He was off the left end, after fearless, damn 46 Page 19 fool was there. All the cars were backed up behind him trying to get over to the left hand side to 1 get around. That is just crazy. Maybe I don’t understand it or something but it doesn’t make 2 sense to me. 3 4 A couple of just cautions, and they are about sharing the road stuff. That is that a lot of the roads 5 do in fact have a primary function of also serving cars. Be that as it may, I am very cautious. I 6 know that you had offered this image simply as an image of what you can do, but if we were to 7 actually look at this would we really want for instance a raised pedestrian walkway on that 8 particular street in mid-block, etc.? The answer is probably no. Not to say that that isn’t 9 important in some places I just think we need to be careful where they occur and do that sort of 10 evaluation.11 12 Chicanes, I have seen them in a variety of other communities. The image I have in my head 13 right at the moment is Menlo Park close to the Bay. A lot of those small streets back there have 14 many of those. Yes, they do work to slow down traffic. They do help create a more 15 neighborhood feel, but they are not kept up. They clearly look temporary. They have been there 16 for 12 years. They just are not any benefit to the quality of the type of environment that we want 17 to have in our community. Unless they do have the opportunity to pass between them and the 18 sidewalk I don’t really see how they really help us. They help in some things but not in 19 everything, so some cautions there. That is it for me.20 21 Chair Tuma: Commissioner Martinez.22 23 Commissioner Martinez: Really a quick question. What are you all going to bring back to us for 24 the Comprehensive Plan?25 26 Mr. Rodriguez: I am sorry. Can you ask that question again? 27 28 Commissioner Martinez: I was asking what are the suggestions, policies, programs that you are 29 going to be looking at to provide us for the Comprehensive Plan Update.30 31 Mr. Rodriguez: Well a lot of the policy recommendations that get developed out of this plan will 32 roll into the Transportation Comprehensive Plan Element. We are actually very fortunate again 33 because of the timing of this. The end time of this project is the start of the Transportation 34 Element Update. We actually just received a grant to help us actually revise the Transportation 35 Element. So we will take a lot of the recommendations from here, develop a lot more policies 36 and programs when we come back to you probably end of summer or early fall for the 37 Transportation Element Comprehensive Plan Update.38 39 Commissioner Martinez: Does that work for you, Curtis?40 41 Mr. Williams: I don’t know what your schedule is and your reviewing the policies for the 42 Transportation Element, but I think that is probably realistic that we need to get through this, and 43 then the broader Transportation Element and does that feed into the policies for the chapter.44 45 Page 20 Commissioner Martinez: Well, we are starting Transportation next and I imagine that will be 1 sometime in March. So I guess we are just going to have placeholders for you.2 3 Mr. Williams: Okay, I think that is fine.4 5 Chair Tuma: Okay. Thank you all very much, appreciate it. Did you guys get what you 6 needed?7 8 Mr. Rodriguez: Yes, and if I can just very quickly close on our side with a thank you for your 9 participation. This is exactly what we were looking for. We got exactly the specific project 10 concerns that we had wanted. We got the neighborhood areas of concerns that we will continue 11 to refine with Alta. Again, this is kind of where the rubber hits the road for us as far as 12 developing brand new programs and projects. So once we have our large citywide community 13 meeting and that City Council working session meeting in April then when we come back to you 14 you are going to have really first kind of rough cut look at the real final plan, after some initial 15 PABAC feedback as well. So great timing. Thank you very much for your help.16 1 Bike and Pedestrian Plan Community Workshop on March 24, 2011 Comments noted at Safe Routes to School Table General concerns mentioned by one or more participants: • Need way to reduce speed on school commute routes • Countdown timers for ped signals on main arterials or near schools – and education for adults and students on not starting across when red hand starts flashing • Can we have signs for main school commute routes on busy streets, to help make drivers aware? • Drivers dropping off kids in bike lanes • Need to include “Safe Routes from Schools” for students going to sports practice fields or pools, not just going back home. Mainly older elementary plus middle school, high school kids including those who play on club teams • Need safer crossing for kids biking to soccer fields at Page Mill and El Camino Real Specific Locations: • El Camino Real and Charleston Road intersection: o Bike lane marked for WB cyclists going straight, to separate them from right turning cars, current situation a real problem since so many drivers are turning (2) o What about green bike box for WB cyclists? o Sidewalk on Charleston is too narrow, should be for pedestrians only o Vegetation grows out into sidewalk on both sides of Charleston between Alma and El Camino. Ditto leaf and debris accumulation on sidewalk. On pickup days, trash/recycling containers make this area even more hazardous. Should be a priority for enforcement or educating residents. o Pork chop islands are real concerns for EB Gunn/Terman students in afternoon, lots of turning cars o Red light running is serious issue in peak periods, especially turning left • Maybell Bike Boulevard: o South side of street has intermittent sidewalk, fix to reduce kids walking out in the street o Too many drivers use this as alternate route to Gunn, unsafe mixing of peds, cyclists, drivers • Middlefield and San Antonio: Add green bike box • Path behind Gunn: o Needs lights between the school and the junction – many students involved in after school sports practice or drama etc feel unsafe using this path at night. • Bryant and East Meadow: o During commute hours, need bike triggered traffic signal for those crossing East Meadow -- or bike/ped button like they use on Embarcadero near Paly? Kids ride wrong way on sidewalk since they can’t get across street safely • Cowper and Loma Verde intersection: o New problem: International School in the Catholic Church @ 3233 Cowper – parents in a drag race to get their kids to school on time. No concern for safety of others o Lots of kids biking or walking to JLS, Fairmeadow and Hoover via Cowper, also El Carmelo on Loma Verde – very unsafe now o Need traffic circle to slow cars down at intersection o Need chicanes to calm traffic on Cowper 2 • Amarillo and Louis: o Backups for cars in morning on Louis SB and Amarillo WB and in school drop-off area: what about no left turn during these periods? o Could school instruct drivers to turn right only out of front of school, then go NB or SB to their destination at Greer? o Drivers who come from Greer and want to turn left into drop-off area can cause gridlock. What about parking and walking from Greer? • Oregon Expressway and intersections at Louis, Middlefield and Bryant: Add green bike box • Middlefield and Embarcadero Intersection: o Not enough space on sidewalk especially at northwest corner during peak periods. No space for cyclists on street + in morning, WB Paly bound cyclists barrel through without stopping, hazardous for both cyclists and peds. Need safer solution. • Monroe Park students crossing to Los Altos schools on west side of El Camino at Los Altos Avenue (Bullis charter school plus Santa Rita neighborhood elementary, Egan Middle, Los Altos High): o About 50 Palo Alto families who are in Los Altos school district rather than PAUSD live in this neighborhood. o Appreciate City providing adult crossing guard but there’s a problem with which side bicyclists should be on, asking students to dismount and walk across. o Challenging to walk or bike across this intersection at any age. Specific school commute issues include many drivers exiting Los Altos Avenue in the morning. Those making left turns get backed up by students crossing, sometimes no one gets to turn when light is green so they turn left on red. o Cars turning right off of El Camino onto Los Altos, or turning right onto El Camino from Los Altos go too fast, intimidating for those walking or biking, unsafe for children (due to pork chop islands on west side of intersection). o Another problem is that there aren’t real bike lanes on the Los Altos side, and vehicles are often parked in them especially westbound. May 4th 2011 City of Palo Alto Attn: Palo Alto City Council Members 250 Hamilton Avenue Palo Alto, CA 94303 RE: Make Ross Road Top Priority on the Palo Alto Bike Plan Rev.May 9th Council PA Bike PlanStudy Dear City Council Members. The past five years I have dedicated my community work to enhancing bike paths and pedestrian safety. Both myself and the City have received public input regarding the City’s Bike plan from residents along the way and I want council to know many of our residents want Ross Road Bike Blvd. as a Top Priority. For the Council Bike Study I make two requests . First, the City prioritize and fund Ross Road Bike Blvd placing it as First Priority on the new Revised Bike Plan Schedule. Please engineer and fund the Oregon Expressway to Louis Road at Ross Road segment of the Ross Road Bike Blvd. [This will connect the new Mitchell Park Community Center, Ross Road YMCA, and Jordan]. And Second, the City evaluate existing bike path easements along the Ross Road Bike Blvd. at: Louis Court. By opening this access, Louis Court provides bike access from Ross Road, to an already existing bike path that accesses Stratford School. Though circuitous, the same is true with Bryant Bike Blvd. at the Circles. This existing access is important. (please see attached photo). 720 Garland Court. By opening this access, Ross will provide important bike path connectivity from Ross to JLS, and if it were to connect via Ross to Newell – this bike path access would become a citywide bikeway with great public benefit. Ross Road serves several benefits.  Please take school children off Middlefield Road and put them on a safer route.  Provide Residents E. of Middlefield close Bike Boulevard access [as Bryant does W. of Middlefield Road to residents]  Provide the only Bike Boulevard access from South Palo Alto to North Palo Alto. Give us bike path access to business, schools, public buildings, parks. I have heard hundreds of comments from north palo alto and south palo residents combined and there is great support. At the most recent Bike Plan meeting held by the City at Terman, many residents asked staff that Ross Road Bike Blvd. be Top Priority. Thank you for Councils consideration, Pamela Radin CITY OF PALO ALTO PROCLAMATION BIKE MONTH 2011 WHEREAS, the City of Palo Alto joins cities and counties throughout the country in promoting May as National Bike Month, and Friday, May 12, 2011 as Bike to Work Day; and WHEREAS, various education and advocacy organizations such as the League of American Bicyclists, the American Lung Association, the Metropolitan Transportation Commission, the Bay Area Air Quality Management District, Valley Transportation Authority, the California Bicycle Coalition, and the Silicon Valley Bicycle Coalition, will participate in the Bay Area’s Bike to Work Day on May 12, 2011; and WHEREAS, Palo Alto acknowledges that cycling is a successful transportation mode that promotes healthy living, alleviates traffic and parking congestion, reduces air pollution, and decreases fuel consumption; and WHEREAS, both National Bike Month and Bike to Work Day are effective in converting drivers into bicyclists and educating citizens about the environmental importance of biking to school or work regularly. NOW THEREFORE, I, Sidney A. Espinosa, Mayor of the City of Palo Alto, along with my colleagues on the City Council, do hereby proclaim the month of May 2011 as National Bike Month and recognize May 12, 2011 as Bike to Work Day. Presented: May 2011 ___________________________________ Sidney A. Espinosa Mayor City of Palo Alto (ID # 1631) City Council Informational Report Report Type: Special Orders of the Day Meeting Date: 5/9/2011 May 09, 2011 Page 1 of 1 (ID # 1631) Council Priority: Community Collaboration for Youth Well-Being Title: Youth Community Service -Non-Profit Presentation Subject: Youth Community Service (YCS) -Non-Profit Presentation From:City Manager Lead Department: Community Services Attachments: ·YCS Factsheet 5-9-11 (PDF) Prepared By:Robert De Geus, Manager Department Head:Greg Betts, Director, Community Services City Manager Approval: James Keene, City Manager Youth Community Service Youth Community Service was founded in 1990 by City of Palo Alto, City of East Palo Alto, Palo Alto Unified School District, Ravenswood City School District, YWCA, Stanford Haas Center and Palo Alto Rotary Club – to bring the two communities closer together through youth service. Our mission: to promote the ethic of service, foster student leadership, build community and enhance education. “Service to others” connects young people to a wide range of positive experiences, values and support. Using our 20-year experience in service-learning strategies, YCS has engaged over 17,000 young people in service opportunities to learn more about themselves and their community. They have provided over 110,000 hours of service to more than 40 local community groups. Youth Community Service has been designated by the California Dept. of Education CalServe Initiative as the Service Learning lead for educators in our five-county region. YCS also participates in a statewide STEM training initiative (Science-Technology-Engineering-Math) to use service-learning strategies to engage underrepresented students to solve real-world problems through critical thinking. YCS Clubs and YCS-180-Degrees Life Skills Classes - Jordan Middle School - Redwood High School - JLS Middle School - Onetta Harris Community Center - Terman Middle School - Ronald McNair Middle School - Gunn High School - Cesar Chavez Academy - Palo Alto High School - Belle Haven Community School - Menlo Atherton High School - Egan Junior High School YCS Summer of Service Program - Based at Ventura Community Center, Palo Alto - 150 midpeninsula middle school students in summer of service day camp YCS Fellows and YCS Freshmen Leadership Corps Programs - High school leadership training for Palo Alto and East Palo Alto students - Middle school leadership training for Palo Alto students - Peer-mentoring for East Palo Alto, Menlo Park and Redwood City students attending Carlmont and Menlo Atherton High Schools Community Service Events - Make a Difference Day in October - Martin Luther King Service Day in January - Gunn High School and Palo Alto High School Service Days in March - Family Service Day and Community Fair in April - Celebration of Service in May Funding Support for Youth Community Service YCS is a community-based organization that expresses the commitment of local organizations and individuals to our mission of intergenerational service, learning and engagement. The annual budget is $900,000, of which 73 percent goes to salaries, 19 percent to program, and 8 percent to administra- tion and development. Foundations provide 65 percent of funding; public agencies provide 13 percent and generous individuals contribute 10 percent. Youth Community Service 4120 Middlefield Road P-8, Palo Alto CA 94303 1798 B Bay Road, East Palo Alto 94303 Web: www.youthcommunityservice.org Phone: 650.858.8021 Fax: 650.858.8002 IRS Tax-Exempt Corporation Number: 20-8099150 CITY OF PALO ALTO PROCLAMATION Foster Care Month WHEREAS, there is nothing more precious to Santa Clara County than the healthy growth and development of our youth, who will determine the future direction of our community; and WHEREAS, families serve as the primary source of love, identity, self-esteem, and support, and are the very foundation of Santa Clara County communities; and WHEREAS, in Santa Clara County, there are more than 1,100 children and youth in the foster care system who are being provided a safe, secure, and stable home environment, along with the compassion and nurturing of a foster or relative foster family; and WHEREAS, foster families open their homes and hearts to children whose families are in crisis, and thus play a vital role in helping children and families heal, reconnect, and launch children into successful adulthood; and WHEREAS, dedicated foster families frequently adopt foster children, resulting in a continual need for more foster families; and WHEREAS, Foster Care Month provides the opportunity to thank the families who embrace the often thankless responsibility of providing a home and family to children in need of affection, love, and security, and to support the efforts of foster parents who dedicate their time to children. NOW, THEREFORE, I, Sidney A. Espinosa, Mayor of the City of Palo Alto, on behalf of the City Council do hereby proclaim the month of May 2011 to be Foster Care Month. Presented May 2011 ______________________________ Sidney A. Espinosa Mayor CITY OF PALO ALTO PROCLAMATION In Memory of Nathan Oliveira and his Contributions to the Artistic and Local Community WHEREAS, internationally acclaimed artist Nathan Oliveira died at his Stanford home on November 13, 2010 at age 81, leaving a legacy of artistic and educational achievement that has benefitted the entire community; and WHEREAS, Nathan Oliveira grew up in the San Francisco Bay Area, attending Mills College and the California College of Arts and Crafts (where he received his B.A. and M.F.A); and WHEREAS, Nathan Oliveira began his teaching career at Stanford University in 1964, continuing as an active faculty member until his retirement in 1995, in the process mentoring and inspiring hundreds of artists and scholars; and WHEREAS, the paintings and prints of Nathan Oliveira have been broadly exhibited and collected at prestigious institutions around the world, including the Tate Gallery, the Metropolitan Museum of Art, the Art Institute of Chicago, the Museum of Modern Art, the Fine Arts Museums of San Francisco; and WHEREAS, Palo Alto’s own fine arts press Smith Andersen Editions has published several editions of Nathan Oliveira’s prints since 1970; and WHEREAS, the Palo Alto Art Center featured one of the last significant exhibitions of Nathan Oliveira’s work and the first exhibition focusing entirely on the artist’s sculpture, Nathan Oliveira: the Painter’s Bronzes in 2008; and WHEREAS, Nathan Oliveira gave the City’s Art in Public Places collection one of his lithographs, Blue Nude from 1975 for the benefit of the citizen’s of Palo Alto; and WHEREAS, until his passing, Nathan Oliveira had been an active member of the local community. His studio was located on the corner of Emerson and Hamilton in downtown Palo Alto for 25 years, he was a longtime Stanford resident, and his children attended Palo Alto schools. NOW, THEREFORE, I, Sidney A. Espinosa, Mayor of the City of Palo Alto, on behalf of the City Council do hereby proclaim that the City gratefully records and extends its sincere appreciation to Nathan Oliveira for his significant contributions to Palo Alto and the artistic community. Presented: May 2011 ______________________________ Sidney A. Espinosa Mayor CITY OF PALO ALTO OFFICE OF THE CITY CLERK The Honorable City Council Palo Alto, California May 9, 2011 Appointments for Four Positions on the Public Art Commission for Three Year Terms Ending April 30, 2014 On Monday, May 9, 2011 the City Council should vote to appoint four members for three year terms on the Public Art Commission ending on April 30, 2014. The Candidates are as follows: Joahnna Hutchison Robin Theil Amanda Ross Larisa Usich Trish Collins Ally Richter Joahnna Hutchison Voting will be by paper ballot. Five votes are required to be appointed. The first four candidates that receive at least five votes will be appointed. REPORT PREPARED BY: Ronna Jojola Gonsalves, Deputy City Clerk Department Head: Donna Grider, City Clerk City of Palo Alto (ID # 1633) City Council Staff Report Report Type: Consent Calendar Meeting Date: 5/9/2011 May 09, 2011 Page 1 of 3 (ID # 1633) Council Priority: {ResProject:ClearLine} Summary Title: Adoption of Resolution for Transportation Funds Title: Adoption of a Resolution Authorizing the City Manager to File an Application for 2011/2 012 Transportation Development Act Funds in the Amount of $55,597 for Bicycle and Pedestrian Projects From:City Manager Lead Department: Planning and Community Environment Recommendation Staff recommends that Council adopt the attached Resolution (Attachment A) authorizing submittal of Transportation Development Act (TDA) grant application documents for Fiscal Year 2011-12 requesting $55,597 for Bicycle Detection at traffic signals in the City of Palo Alto. Background The Santa Clara Valley Transportation Authority (VTA) issued a call for bicycle and pedestrian projects on February 24, 2011 for the Fiscal Year 2011-12 Transportation Development Act – Article 3 funding program. The deadline to submit project applications to VTA was on April 15, 2011 (with which staff complied). A Resolution adopted by the City Council supporting the project submittals is due to VTA on May 27, 2011. VTA staff will review the project proposals for eligibility, completeness and compliance. The resulting countywide list of projects will be reviewed by the VTA Advisory Committees before adoption by the Board of Directors in June. The countywide list will be forwarded to the Metropolitan Transportation Commission and MTC will issue funding allocations in the fall. There are two components to the TDA –Article 3 program in Santa Clara County: 1.Bicycle Expenditure Program Per VTA Board policy, 25% of Santa Clara County’s TDA fund is dedicated for projects that are on the Valley Transportation Plan 2030 Countywide Bicycle Plan Bicycle Expenditure Program (BEP) list. There is $150,000 available for BEP capital projects this year. Palo Alto is not requesting funds under the Bicycle Expenditure Program for this fiscal year. May 09, 2011 Page 2 of 3 (ID # 1633) 2.Guarantee Funds The remaining 75% of this year’s TDA funds ($1,008, 742) will be assigned to the Guarantee Fund. The monies in the Guarantee Fund are distributed to local jurisdictions on a population-based apportionment formula. These monies are available to local jurisdictions exclusively for eligible projects of their choosing as per TDA guidelines. There is no competition amongst local jurisdictions to acquire these funds for eligible projects. Palo Alto’s total guaranteed amount, including banked funds from the previous year, is $55,597, the amount of funding requested for this project. Discussion Staff proposes to request an allocation of $55,597 in TDA funds this year from the City’s Guarantee share for the Bicycle Detection at Traffic Signals project. This project consists of installing microwave-based detectors at signalized intersections that distinguish between bicycles and vehicles. Only when bicycles are detected will an input to the traffic signal controller be provided allowing for the implementation of dynamic bicycle signal timing strategies such as longer minimum greens or extended green indications to help bicyclists better clear larger intersections. The detectors also allow the City to collect bicycle counts to monitor trends in bicycle-commute patterns. The detectors will be installed along bicycle lane and bicycle boulevard routes. This project will provide for both equipment procurement and installation. Palo Alto Bicycle Advisory Committee Review (PABAC) As required by the MTC grant application policies, the project mentioned above was reviewed by PABAC at its April 5th meeting and the committee supports this project and funding for its implementation. TDA Grant Requirements The TDA grant funds are allocated on a three-year basis. The funds are claimed by the City on a reimbursement basis. MTC requires that City Council adopt a Resolution authorizing staff to submit applications requesting TDA funding. The findings attached to the resolution as Exhibit A are required by MTC; this staff report provides the background supporting those findings. Resource Impact No local match is required for TDA Guarantee funds. However, because TDA funds are disbursed on a reimbursement basis, the City will have to spend the budgeted funds and then apply for reimbursement by TDA funds. The capital funding and the staff resources in the Planning and Transportation Division are available to implement this project in the coming years. Policy Implications The recommended actions in this report are consistent with Comprehensive Plan transportation policies, the Bicycle Transportation Plan and the Transportation Strategic Plan. May 09, 2011 Page 3 of 3 (ID # 1633) Environmental Review The proposed installation of bicycle detectors at traffic signals is a minor upgrade to existing residential and commercial street right-of-way and would not result in any new impacts to the existing environment. This project is considered as a minor alteration to the existing street system, and is therefore categorically exempt from the provisions of the California Environmental Quality Act (CEQA) pursuant to CEQA guidelines section15301(c). ATTACHMENTS: ·A: Resolution 2011-2012 Bicycle and Pedestrian Projects (DOC) ·B: TDA Article 3 Project Application Form (DOC) ·C: Memorandum from Santa Clara Valley Transportation Authority (PDF) Prepared By:Ruchika Aggarwal, Department Head:Curtis Williams, Director City Manager Approval: James Keene, City Manager * NOT YET APPROVED * 110504 sh 8261581 1 Resolution No. ____ Resolution of the Council of the City of Palo Alto Authorizing the City Manager to File an Application for 2011/2012 Transportation Development Act Funds for Bicycle and Pedestrian Projects WHEREAS,Article 3 of the Transportation Development Act (TDA), Public Utilities Code (PUC) Section 99200 et seq., authorizes the submission of claims to a regional transportation planning agency for the funding of projects exclusively for the benefit and/or use of pedestrians and bicyclists; and WHEREAS, the Metropolitan Transportation Commission (MTC), as the regional transportation planning agency for the San Francisco Bay region, has adopted MTC Resolution No. 875, Revised, entitled “Transportation Development Act, Article 3, Pedestrian/Bicycle Projects,” which delineates procedures and criteria for submission of requests for the allocation of “TDA Article 3” funding; and WHEREAS, MTC Resolution No. 875, Revised requires that requests for the allocation of TDA Article 3 funding be submitted as part of a single, countywide coordinated claim from each county in the San Francisco Bay region; and WHEREAS, the City of Palo Alto desires to submit a request to MTC for the allocation of TDA Article 3 funds to support the project described in Attachment B to this resolution, which are for the exclusive benefit and/or use of pedestrians and/or bicyclists. NOW, THEREFORE, the Council of the City of Palo Alto does RESOLVE as follows: SECTION 1.The City of Palo Alto declares it is eligible to request an allocation of TDA Article 3 funds pursuant to Section 99234 of the Public Utilities Code. SECTION 2. There is no pending or threatened litigation that might adversely affect the project described in Attachment B to this resolution, or that might impair the ability of the City of Palo Alto to carry out the project. SECTION 3. The City of Palo Alto attests to the accuracy of and approves the findings set forth in Attachment A to this resolution. SECTION 4. A certified copy of this resolution and its attachments, and any accompanying supporting materials shall be forwarded to the congestion management agency, countywide transportation planning agency, or county association of governments, as the case may be, of County of Santa Clara for submission to MTC as part of the countywide coordinated TDA Article 3 claim. * NOT YET APPROVED * 110504 sh 8261581 2 SECTION 5. The Council finds that the project described in Attachment B to this Resolution is exempt from review under the California Environmental Quality Act (“CEQA”) pursuant to CEQA guidelines section 15301(c). INTRODUCED AND PASSED: AYES: NOES: ABSENT: ABSTENTIONS: ATTEST: ________________________________________________________ City Clerk Mayor APPROVED AS TO FORM:APPROVED: ________________________________________________________ Sr. Deputy City Attorney City Manager ______________________________ Director of Planning and Community Environment ______________________________ Director of Administrative Services * NOT YET APPROVED * 110504 sh 8261581 3 ATTACHMENT A The Council of the City of Palo Alto hereby makes the following findings: 1.That the City of Palo Alto is not legally impeded from submitting a request to the Metropolitan Transportation Commission for the allocation of Transportation Development Act (TDA) Article 3 funds, nor is the City of Palo Alto legally impeded from undertaking the project described in “Attachment B” of this resolution. 2.That the City of Palo Alto has committed adequate staffing resources to complete the project described in Attachment B. 3.A review of the project described in Attachment B has resulted in the consideration of all pertinent matters, including those related to environmental and right-of-way permits and clearances, attendant to the successful completion of the project. 4.Issues attendant to securing environmental and right-of-way permits and clearances for the project described in Attachment B has been reviewed and will be concluded in a manner and on a schedule that will not jeopardize the deadline for the use of the TDA funds being requested. 5.That the project described in Attachment B complies with the requirements of the California Environmental Quality Act (CEQA, Public Resources Code Sections 21000 et seq.); it is exempt from CEQA review pursuant to CEQA Guidelines section 15301(c). 6.That as portrayed in the budgetary description of the project in Attachment B, the sources of funding other than TDA are assured and adequate for completion of the project(s). No sources of funding other than this grant are required for completion of this project. 7.That the project described in Attachment B is for capital construction and/or design engineering; and/or for the maintenance of a Class I bikeway which is closed to motorized traffic; and/or for the purposes of restriping Class II bicycle lanes; and/or for the development or support of a bicycle safety education program; and/or for the development of a comprehensive bicycle and/or pedestrian facilities plan, and an allocation of TDA Article 3 funding for such a plan has not been received by the City of Palo Alto within the prior five fiscal years. 8.That the project described in Attachment B which is a bicycle project has been included in a detailed bicycle circulation element included in an adopted general plan, or included in an adopted comprehensive bikeway plan (such as outlined in Section 2377 of the California Bikeways Act, Streets and Highways Code section 2370 et seq.). 9.That any project described in Attachment B that is a “Class I Bikeway,” meets the mandatory minimum safety design criteria published in Chapter 1000 of the California Highway Design Manual. 10.That the project described in Attachment B is ready to commence implementation during the fiscal year of the requested allocation. 11.That the City of Palo Alto agrees to maintain, or provide for the maintenance of, the project(s) and facilities described in Attachment B, for the benefit of and use by the public. * NOT YET APPROVED * 110504 sh 8261581 4 ATTACHMENT B Palo Alto Bicycle Detection at Traffic Signals Project: This project will provide for the procurement and installation of microwave-based detection units for deployment at signalized intersections that can distinguish between bicycles and vehicles. Detecting bicycle-only demand allows for traffic signal timing features that focused on enhancing bicyclist to be deployed dynamically. Examples of bicycle-focused signal timing features include longer Minimum Green or Maximum Green timing strategies to assist bicyclists in progressing through an intersection before the traffic signal cycles to the next vehicle movement. The microwave-based detection units will be deployed along high bicycle-use corridors such as Bicycle Boulevard or Bike Lane corridors. ATTACHMENT B TDA Article 3 Project Application Form Fiscal Year of this Claim:2011/2012 Applicant: City of Palo Alto Contact person: Ruchika Aggarwal Mailing Address:P.O. Box 10250 Palo Alto CA 94303 E-Mail Address:ruchika.aggarwal@cityofpaloalto.org Telephone: 650-617-3136 Secondary Contact (in event primary not available):Jaime Rodriguez E-Mail Address:Jaime.rodriguez@cityofpaloalto.org Telephone: 650-329-2136 Short Title Description of Project: Bicycle Discrimination at Traffic Signals Amount of claim: $55,597 Functional Description of Project: This project consists of installing microwave-based technology that discriminate between bicycles and vehicles on the roadway to detect and implement bicycle-focused traffic signal timing strategies at signalized intersections along bicycle boulevards (a Class II bikeway) and other bicycle route facilities. Financial Plan: List the project elements for which TDA funding is being requested (e.g., planning, environmental, engineering, right-of-way, construction, inspection, contingency, audit). Use the table below to show the project budget. Include prior and proposed future funding of the project. If the project is a segment of a larger project, include prior and proposed funding sources for the other segments. Project Elements:Cost includes purchasing the detectors units, labor, installation and contingencies. Project Eligibility: YES?/NO? A.Has the project been approved by the claimant's governing body? (If "NO," provide the approximate date approval is anticipated). Approval is anticipated on May 9th. no B.Has this project previously received TDA Article 3 funding? If "YES," provide an explanation on a separate page.no C.For "bikeways," does the project meet Caltrans minimum safety design criteria pursuant to Chapter 1000 of the California Highway Design Manual? (Available on the internet via: http://www.dot.ca.gov). D.Has the project been reviewed by a Bicycle Advisory Committee? (If "NO," provide an explanation).yes E.Has the public availability of the environmental compliance documentation for the project (pursuant to CEQA) been evidenced by the dated stamping of the document by the county clerk or county recorder? (required only for projects that include construction). no F.Will the project be completed before the allocation expires? Enter the anticipated completion date of project : June 2012 G.Have provisions been made by the claimant to maintain the project or facility, or has the claimant arranged for such maintenance by another agency? (If an agency other than the Claimant is to maintain the facility provide its name: ) yes Funding Source All Prior FYs Application FY Next FY Following FYs Totals TDA Article 3 55,597 55,597 list all other sources: 1. 2. 3. 4. Totals 55,597 Short description of the project: This project will provide for the installation of bicycle discrimination detection equipment at signalized intersections along Bike Boulevards/Route facilities.The bicycle discrimination will allow the city to implement dynamic bicycle-focused signal timing strategies for improved accessibility and safety.This project will provide for both equipment procurement and installation. Page 1 of 5 MEMORANDUM TO: TDA Article 3 Bicycle and Pedestrian Program Grant Applicants Technical Advisory Committee Members FROM: Bill Hough, Transportation Planner III DATE: February 24, 2011 SUBJECT: Call for Projects, Transportation Development Act Article 3 FY 2011/12 Program TDA Article 3 Funds Available This memorandum serves as the General Call-for-Projects for the FY 2011/12 Transportation Development Act (TDA) Article 3 Program funding cycle. There are two components to the TDA Article 3 program: 1. Bicycle Expenditure Program The VTA Board of Directors took action on December 9, 2004 to dedicate 25% of Santa Clara County’s TDA Article 3 funds to projects on the countywide Bicycle Expenditure Program (BEP) list through 2030. On November 5, 2009, the Board committed $150,000 of the TDA3 BEP set-aside to County Expressway Pedestrian Projects. Therefore, there is $150,000 available for BEP projects this year. Projects must be on the current Board-adopted BEP project list. BEP project sponsors must submit MTC’s TDA Article 3 Project Application Form. Project sponsors must include a transmittal letter that states when they expect the project begin construction. In the event that BEP applications are oversubscribed, preference will be given to projects that are ready for construction and/or have other funding sources that could be jeopardized if the project is not delivered in a timely manner. 2. Guarantee Funds Table 1 below shows each city and the County’s “Guarantee” share of MTC’s TDA Article 3 Fund Estimate. There is $1,008,742 available for “Guarantee” projects this year. The guarantee share is based on California Department of Finance (DOF) population projections and funds banked or rescinded from previous years, where applicable. An agency’s total applications cannot exceed its guarantee share listed in the following table: Page 2 of 5 Table 1 2011/12 TDA ARTICLE 3 ESTIMATE FOR SANTA CLARA COUNTY Agency Guarantee Amount (Includes banked and rescinded funds from prior years.) Campbell $19,552 Cupertino $103,179 Gilroy $24,895 Los Altos $13,811 Los Altos Hills $7,677 Los Gatos $14,739 Milpitas $34,238 Monte Sereno $6,670 Morgan Hill $19,258 Mountain View $36,264 Palo Alto $55,597 San Jose $489,546 Santa Clara $56,860 Saratoga $15,311 Sunnyvale $67,205 Santa Clara County $43,942 $1,008,742 Rescind/Reallocation Requests The guidelines for rescinding and reallocating TDA Article 3 projects have been amended by MTC. Previously, sponsors were allowed to rescind projects and reallocate the funds to other projects immediately. However, agencies may now only allocate up to their estimate in any given year. Sponsors may still rescind projects, but VTA cannot reallocate them until the next TDA funding cycle. Funds rescinded in 2011 will be added to the sponsor’s guarantee in 2012. It is the responsibility of the project sponsor to monitor project expiration deadlines and to apply for rescind/reallocation of funds in a timely manner. Failure to do so will result in the sponsor losing the funds. Banking of Funds TDA Article 3 funds may be banked for up to two years plus one year to program funds. To bank TDA funds, project sponsors must submit a letter or email stating that funds will be banked. If banked funds are not programmed by the end of the 3rd Year, they will be redistributed to the countywide TDA Article 3 pool for the following fiscal year. If you are planning to bank funds, please send a letter or email to that effect to Bill Hough at the address below. A member agency must inform VTA in writing of its intent to either claim or bank its TDA3 guarantee funds; failure to do so means that the funds revert to the countywide pool in the next cycle. Page 3 of 5 Project Types and Guidelines Your TDA Article 3 project must be ready to implement within ONE year of the application cycle. Eligible Project Types The following project types are eligible for TDA Article 3 Funding: Design & construction of on and off-street bicycle facility projects – including but not limited to bicycle parking. Design & construction of on and off-street pedestrian facility projects Maintenance of Class I bikeways (unlimited) Maintenance of Class II bikeways. Countywide, the total funds allocated to Class II bikeway maintenance cannot exceed 20% of the total countywide TDA estimate. Call Bill Hough at (408) 321-5735 if you plan to exceed 20% of your agency’s guarantee amount. Bicycle Safety Education Programs (not more than 50% of the project’s budget and not more 5% of the countywide TDA Article 3 funds) Comprehensive Bicycle & Pedestrian Facilities Plans (not more than once per jurisdiction every 5 years) Projects identified in a recent (within 5 years) comprehensive local bicycle or pedestrian plan Annual TDA Article 3 Audits Other Eligibility & Procedural Issues Environmental clearance is required for construction projects only. If you are submitting an application for design, you are not required to submit a County stamped notice. Additional information on the TDA Article 3 procedures and criteria can be found in the MTC TDA Article 3 Rules and Procedures, which is available on the Metropolitan Transportation Commission website at: http://www.mtc.ca.gov/funding/STA-TDA/RES-0875.doc Bicycle Advisory Committee and Bicycle Plan Requirement Cities and counties may not receive TDA Article 3 funds for bicycle projects unless the jurisdiction has established a Bicycle Advisory Committee (BAC) and the project is included in an adopted plan as stipulated in the MTC TDA Article 3 Rules and Procedures. This requirement does not apply to pedestrian projects. VTA Bicycle Technical Guidelines The VTA Board of Directors approved the VTA Bicycle Technical Guidelines update on December 13, 2007. The purpose of the Guidelines is to provide a uniform set of optimum standards for the planning, design, and construction of bicycle facilities that are part of the countywide bicycle system. Bicycle projects funded by TDA Article 3 funds Page 4 of 5 must comply with the Guidelines. For a copy of this document, please contact Michelle DeRobertis at (408) 321-5716 or Michelle.DeRobertis@vta. org. It is also available on the VTA website at http://www.vta.org/schedules/bikeways_program.html Application Submittals MTC’s TDA Article 3 Project Application Form and resolution boilerplate is located at: http://www.mtc.ca.gov/funding/sta-tda/tda_article_3_claim_forms.doc Project sponsors must use this form to submit applications. Late applications will not be accepted. Complete one application for each project. PLEASE NOTE: VTA should receive 2 copies of each project application. . 2011/12 TDA Article 3 Detailed New Project Submittal Requirements Number of Copies Item 1 per agency Cover letter that indicates whether application is for guarantee and/or BEP funding. The cover letter must include a statement that the project must be ready to implement within ONE year of the application cycle. 2 per agency Governing body resolution wording and Council Resolution supporting the project(s) (due on May 27, 2011). The sample is on the Metropolitan Transportation Commission website: http://www.mtc.ca.gov/funding/STA-TDA/ 2 per project MTC’s TDA Article 3 Application (See Application Form – available on the Metropolitan Transportation Commission website: http://www.mtc.ca.gov/funding/STA-TDA/) 2 per project A vicinity map showing the project’s general location in your jurisdiction 2 per project A detail map showing the project and phases where applicable 2 per project Documentation of environmental clearance (for applicable projects). The county clerk must stamp the environmental document. Completed project applications should be submitted to VTA by 4:00 p.m. on Friday, April 15, 2011. Please send applications to: Bill Hough, Transportation Planner III Santa Clara Valley Transportation Authority Programming & Grants 3331 North 1st St., Bldg. B2 San Jose, CA 95134-1906 Page 5 of 5 Evaluation Process, Programming and Drawing Programmed Funds VTA staff will review project applications. The resulting countywide program will be reviewed by the VTA advisory committees before adoption by the VTA Board of Directors at its June 2011 meeting. The VTA Board adopted project priorities will be forwarded to MTC for review and adoption. Once MTC has adopted the program, MTC’s Finance Section will issue allocation instructions to your agency. Please read these instructions carefully, they will provide your agency with guidance on invoicing and annual audit and reporting requirements. All project invoicing goes directly to MTC. All work must be completed by June 30, 2014 and MTC needs to receive reimbursement requests by August 1, 2014. TDA Audit Information In accordance with MTC Resolution 875, all claimants that have received an allocation of TDA funds are required to submit an annual fiscal and compliance audit to MTC and to the Secretary of Business and Transportation Agency within 180 days after the close of the fiscal year. Your audits are due to MTC by December 31 of each year. Failure to submit the audit will prohibit MTC from making a new TDA allocation. If no TDA funds were expended during the fiscal year, the applicant should file a statement to that effect with MTC. Please contact MTC’s TDA program manager Bob Bates, at 510-817-5733 or bbates@mtc.ca.gov, for additional information on audit requirements. City of Palo Alto (ID # 1611) City Council Staff Report Report Type: Consent Calendar Meeting Date: 5/9/2011 May 09, 2011 Page 1 of 5 (ID # 1611) Council Priority: {ResProject:ClearLine} Summary Title: Appeal Director’s Individual Review Approval Title: Appeal of the Director’s Individual Review Approval of a New Single Family Residence at 258 Tennyson Avenue From:City Manager Lead Department: Planning and Community Environment Recommendation Staff recommends that the City Council decline to hear the appeal of the Individual Review (IR) application (file 10PLN-00000-00389)for a new two story home at 258 Tennyson Avenue, thereby upholding the Director of Planning and Community Environment’s approval. Executive Summary This request is an appeal of the Director’s approval of a Single Family Individual Review (IR) application for a new two-story home at 258 Tennyson Ave. Four or more Council Members’ votes would be needed to remove this item off the consent calendar to set the matter for a future hearing. Appellants Roger Smith and Judy Kay, owners of 270 Tennyson Ave. located directly adjacent to the subject property along the northern property line, were mailed all decision and hearing notices regarding the project. The Manager of Advanced Planning conducted the Director’s Hearing on March 10, 2011, and upheld the tentative approval. The appellant’s objection is directly related to the overall health and safety of the coast live oak tree located on the appellant’s property, of which the trunk is approximately 56 inches away from the shared property line and canopy overhanging the 258 Tennyson Avenue project site. No objections to compliance with the IR Guidelines were stated by the appellant in the appeal letter (Attachment B) seting forth the appellant’s position. Although the health of the live oak tree is relevant to planning approval and was separately considered in the planning process as described in the Director’s approval letter (Attachment A), it is not a factor that may be considered as part of the IR review. Therefore, the basis for this appeal is inappropriate and the appeal should be denied. Background May 09, 2011 Page 2 of 5 (ID # 1611) Council Review Authority The City’s Individual Review (IR) procedure provides for City Council “call up” of appeals. When the Director approves an IR application after a Director’s Hearing and a directly affected property owner appeals the decision, the project is placed before Council on the consent calendar for final action. The Council has two options. First, it may approve the item on consent, adopting the findings and recommendations of the Director. Second, if four Council members vote to remove the project from the consent calendar, the Council may determine whether to set a new hearing before the City Council. If the Council agrees to hear an appeal, a hearing is scheduled as soon as practical (PAMC 18.77.075). Project Review and Director’s Approval The single-family individual review rules are design guidelines intended to mitigate the effects of second-story construction on neighboring homes in residential neighborhoods. The Director’s approval letter (Attachment A) sets forth the applicable PAMC sections and notes that the project on the subject property met all of the IR guidelines and R-1 zone regulations to allow the approval. The IR application was submitted on November 8, 2010. Written comments were received from the appellant on November 19, 2010. The concerns expressed by appellant included: 1) the safety and health of the 23” diameter coast live oak tree (oak tree) located on their property, 2) potential privacy concerns from the proposed two-story development and 3) the approval process for IR applications. On November 22, 2010, staff and the appellant met to discuss the appellant’s concerns. During that meeting the IR issues previously voiced by the appellant were reviewed and confirmed by staff to be compliant with tree and other regulatory criteria: the IR Guidelines, zoning code requirements and the tree ordinance (Palo Alto Municipal Code, Chapter 8.10). The primary concern remained the health of the oak tree and how the construction of a new two–story home with a basement could adversely impact the root structure of the oak tree. It was further explained to the appellant during this meeting the steps the applicant was taking to ensure the long term health of the oak tree. In response to both department staff comments and neighbor concerns the applicant submitted revised plans on January 11, 2011. The revised application was tentatively approved on January 18, 2011. Prior to the effective approval (14 days after the tentative approval date), the appellant requested a Director’s Hearing on February 1, 2011. The appellants’ request for a hearing was expressly to discuss the conditions of approval provided in the January 18, 2011 approval letter specifically related to the oak tree and to gain a better understanding of the tree protection zone (TPZ). During the hearing, the appellants also reported that some selective trimming had already occurred to the oak tree in the summer of 2010 and that additional trimming for the IR project may be harmful to the tree. The applicant spoke to the steps that were taken to revise the plans to address the concerns of both staff and the appellant. Further explanation regarding the revisions made to the plans is provided in the Discussion section of this report. May 09, 2011 Page 3 of 5 (ID # 1611) On March 24, 2011, following the Director’s Hearing, the Director approved the application with additional conditions. On April 7, 2011, the appellant officially appealed the Director’s decision to approve the IR application for 258 Tennyson Ave (Attachment B), based on two main issues: 1. The root destruction to the oak tree from the planned basement construction; 2. The conditions of approval specifically related to the oak tree. Discussion The project meets all five of the guidelines for Individual Review, complies with the R-1 Zone District regulations for development, and satisfies the tree ordinance protection measures required. The two tree-related issues appellant has identified are not factors that may be considered under the IR guidelines. The IR guidelines include criteria related to: basic site planning; neighborhood compatibility for height, mass and scale; resolution of architectural form, massing and roof lines; visual character of street facing facades and entries; and placement of second-story windows and decks for privacy. The project’s compliance with the IR guidelines has not been questioned by the appellants. The individual review program applies to construction of second stories and is intended to mitigate the effects of that construction on neighboring homes. (Palo Alto Municipal Code §18.12.110(a)). Development applications subject to IR must be consistent with these guidelines. (PAMC §18.12.110(d)). Since the appellants have not identified any adverse affects of the proposed project or misapplication of any of the guidelines, and the IR program is “intended only to mitigate the effects of second story construction” (PAMC §18.12.110(a)), the appellant’s challenge raises no relevant issues related to the IR approval and the Director’s decision should be upheld. Tree Protection While the tree protection issue is not the basis for appeal of an IR application, compliance with the City’s tree ordinance and technical manual is required for this project, and extensive conditions and measures have been taken to assure the protection of the oak tree, to the satisfaction of the City’s Planning Arborist. Consistent with the provisions of the Tree Technical Manual (TTM), Planning staff required a tree preservation report (TPR) prepared by an ISA certified arborist (Barry Coate), because the IR project would occur within the dripline of the oak tree. The TPR (Attachment C; Page 27) provided for the IR project was peer reviewed by the Planning Arborist and deemed to be adequate to maintain health and safety of the oak during demolition and construction of the IR project. The Planning Arborist determined there were specific measures and work precautions in place to ensure permanent injury would be reasonably minimized to less than significant. These measures, including mandatory arborist inspections and activity reporting to staff, were then incorporated into the IR project documents to be implemented by the sponsor. Tree Considerations in Development Plan May 09, 2011 Page 4 of 5 (ID # 1611) The original IR application was for the demolition of an existing single-story home to be replaced with a new two-story that included a basement. The original plan called for a portion of the new basement to be 11 feet from the oak tree, putting the basement within the dripline (radius 10 times the trunk diameter) of the oak tree. Staff explored options with the applicant to provide added buffer for the tree, and the applicant agreed to move the basement further from the oak to approximately 16 feet from the tree trunk. The estimated root impacts are expected to be an acceptable 10% or less as documented in the TPR provided by Barrie Coate and Associates (whereas national standards prescribe 15% root loss as a threshold). Reports or opinions from ten (10) additional arborists were voluntarily provided by the applicant and are provided as Attachment C of this report. The initial protective measures identified in the TPR regarding protection for the tree were incorporated into the approval conditions. The appellant’s arborist has objected (Attachment D) that the construction should be maintained completely out of the dripline of the tree, a distance of approximately 19 feet. The City’s Planning Arborist (peer review of professional reports submitted) has confirmed that the project site arborist’s tree protection zone of 16+feet is adequate. The TPZ is a ‘site-specific’ determination that typically addresses protective measures within the dripline. ALTERNATIVE TO STAFF RECOMMENDATION The Council’s alternative to the staff recommendation is outlined in Municipal Code Section 18.77.075(g)(2): “Remove the recommendation from the consent calendar, which shall require four votes, and set the application for a new hearing before the City Council, following which the City Council shall adopt findings and take action on the application.” If the Council so directs, staff will identify a date for the hearing and will provide appropriate public notice in advance of the hearing. POLICY IMPLICATIONS The Appeal is based on issues that are not required to be considered in the IR process, or relevant to the IR guidelines. The Director’s decision to approve the application is consistent with staff’s implementation of the Individual Review Guidelines, and with the policies and intent of the Individual Review Process. In addition, the project is consistent with the City’s tree protection regulations. ENVIRONMENTAL REVIEW This project is exempt from the provision of the California Environmental Quality Act (CEQA) per Section 15303(a) of the CEQA Guidelines. ATTACHMENTS: ·Attachment A: Director Approval Letter (PDF) ·Attachment B: Appellant's Letter of Appeal (PDF) May 09, 2011 Page 5 of 5 (ID # 1611) ·Attachment C: Applicant's Arborist Reports (PDF) ·Attachment D: Appellant's Arborist Report (PDF) ·Attachment E: Applicant's Attorney's Letter (PDF) ·Attachment F: Applicant's Summary Letter (PDF) ·Attachment G: Project Plans (TXT) Prepared By:Jason Nortz, Planner Department Head:Curtis Williams, Director City Manager Approval: James Keene, City Manager 2073.txt Attachment G: Project Plans Page 1 May 9, 2011 The Honorable City Council Palo Alto, California FINANCE COMMITTEE RECOMMENDATION TO ACCEPT THE REPORT ON THE STATUS OF AUDIT RECOMMENDATIONS (APRIL 2011) Recommendation We recommend the City Council accept the attached Report on the Status of Audit Recommendations (April 2011). Summary The Municipal Code requires the City Auditor to issue an annual follow-up report on the implementation status of recommendations from completed audits. Attachment A of this report summarizes the status of 82 open audit recommendations from 13 different audit reports. This includes 46 recommendations that were outstanding after our last status report as of June 30, 2009, and 36 new recommendations from audit reports issued during Fiscal Years 2010 and 2011. The report shows the original department response to the recommendation, and the City Auditor’s update for subsequent years, based on information provided by City staff. In October 2010, the City Auditor’s Office presented a Report on the Status of Audit Recommendation as of June 30, 2010 to the Finance Committee. At that meeting, the Finance Committee requested that the City Auditor’s Office return to the Finance Committee in midyear with a revised report that addressed long outstanding audit recommendations. In response to those suggestions, the City Auditor’s Office has worked with the City Manager’s Office and City staff to address these issues. In addition, as a result of the April 2010 Audit of Fleet Utilization and Replacement, the Finance Committee directed the Public Works Department to return in January 2011 with an assessment of their implementation of the audit recommendations and requested the City Auditor’s Office identify any audit recommendations staff was not adequately implementing. This report is also intended to respond to this request. Significant Accomplishments In 2008, there were 142 outstanding audit recommendations. During the last two years, the Auditor’s Office has made a concerted effort to work with each department to identify challenges and next steps towards implementation. As a result, City staff completed or resolved 125 (88%) of these backlogged recommendations. Presently there are 32 recommendations that are in process, 24 of which are from audits issued since April 2010. In addition, there are nine recommendations related to the Infrastructure Report Card that the City Auditor’s Office recommends be deferred until CITY OF PALO ALTO OFFICE OF THE CITY AUDITOR June 2012 when the Infrastructure Blue Ribbon Commission (IBRC) completes it work and the City Council has had an opportunity to act on the IBRC’s recommendations. The City made substantial progress on several long-standing audit recommendations since October 2010, including completion of both a Fair Labor Standards Act and Fire Department Standards of Coverage study. Since our last update as of June 30, 2009, City staff has worked to completely implement all of the remaining recommendations on seven audit reports. Following are highlights of the impact from implemented audit recommendations: o Improvements in City Telephone Rates and Charges In September 2009, the City Auditor’s Office issued an Audit of Telephone Rates and Charges containing 3 recommendations. The Administrative Services Department (ASD) implemented all of the recommendations. Specifically, ASD obtained a telecommunications contract with competitive rates and coordinated with the City’s service provider to consolidate over 30 billing accounts with different billing cycles, into 4 accounts on the same billing cycle. In addition, the City has already experienced savings from the lower rates and anticipates achieving the on-going annual savings of approximately $235,000 identified in the audit report. o Improvements and Savings in Ambulance Billing and Revenue Collections In February 2009, the City Auditor’s Office issued an Audit of Ambulance Billing and Revenue Collections containing 17 recommendations. The Fire Department and ASD implemented 11 of the 17 recommendations during FY 2009 and completed the remaining 6 recommendations during FY 2010. Implementation of the audit recommendations has led to significant decreases in the accounts receivable balance ($600,000 decrease since the audit report), increased cash receipts (increase estimated at $550,000 in FY 2009 and $308,000 in FY 2010), and an additional $45,000 in on-going contract savings through the negotiation of a lower commission rate. o Completion of the 2005 Street Maintenance Audit Recommendations The completion of the audit recommendations demonstrated the following improvements:  Public Works and ASD staff successfully correlated the City’s Pavement Maintenance Management System scores with the Metropolitan Transportation Commission (MTC) Streetsaver system. As a result of this effort, MTC agreed to include the City’s Pavement Condition Index (PCI) scores in their annual report, released for 2009. The report shows Palo Alto has a PCI score of 72, which is in the “Good” range.  Public Works implemented a policy to coordinate street work and minimize damage to newly surfaced streets and sidewalks.  Public Works increased funding for street maintenance to help address the street maintenance backlog. o Parks Maintenance Audit Recommendations Community Services Department (CSD) Parks Maintenance staff completed their evaluations of contracting out parks maintenance and identified $251,000 in savings. These savings were incorporated into the FY 2011 Operating Budget. o Audit of Fleet Utilization and Replacement The City formed a Fleet Review Committee (FRC) consisting of Public Works Department (PWD) Fleet Management, ASD and the City Manager’s Office to review size and utilization issues and continue to evaluate fleet replacement decisions. The FRC has recommended 42 vehicles be removed from direct assignment to the departments. Of these 42 vehicles, 16 are being moved to a communal motor pool and 26 removed from fleet inventory, a reduction of over 10% of the non-safety fleet vehicles. Going forward, staff plan to adjust the pool mix while maintaining an appropriate level of vehicles. o Completion of FLSA Study The City completed a Citywide FLSA study that evaluated position classifications and overtime pay eligibility. This study resulted in the completion of 3 audit recommendations that had been outstanding since 2003 and will result in an annual cost savings to the City of more than $50,000 from reduced overtime pay. In addition, the Human Resources Department made progress toward completing the remaining 3 audit recommendations for the Audit of Overtime Expenditures, which the Department anticipates completing by the end of calendar year 2011. o Completion of Standards of Coverage Study TriData and International City/County Management Association conducted a utilization and resource deployment analysis for the Fire Department that assessed the appropriateness of current Fire Department minimum staffing levels in the context of call volume, response times, use of overtime, deployment practices and employee safety. The study resulted in the completion of an audit recommendation outstanding since 2003. The consultants presented the report, which included recommendations, to the City Council in February 2011. Outstanding Audit Recommendations to Note  Infrastructure Report Card Recommendation # 2 (page 43 of Attachment A) The report recommended that the City adopt Government Finance Officers Association’s best practices by developing and maintaining a complete inventory of all capital assets, including engineering description, location, physical dimensions and condition, “as-built” documents, warranties, maintenance history, book value and replacement cost, and operating cost information. The development and maintenance of a complete inventory of all capital assets is one of the highest priority outstanding recommendations. This inventory is essential to both the work of the IBRC and the completion of the other Infrastructure Report Card recommendations. Staff reported they are developing a comprehensive list of capital assets for the IBRC’s use in analyzing infrastructure needs and anticipates completing this project in May 2011.  Audit of Employee Ethics Policies Recommendation # 7 (page 40-41 of Attachment A) The audit recommended the City Manager form a working group to (1) establish policies and procedures for handling employee complaints of waste, fraud, and abuse through normal supervisory channels; (2) establish and monitor a hotline for anonymously reporting fraud, waste and abuse; (3) develop procedures for reporting, investigating, handling, and following up on hotline reports; and (4) develop whistleblower policies and procedures. In July 2010, the Policy and Services Committee recommended the City Council establish a fraud, waste, and abuse hotline organized under the City Auditor’s Office. The Committee also recommended the hotline be for employees only and that policy and procedures be established prior to the hotline implementation. The City Auditor’s Office will update the City Council in June 2011 on a proposed hotline implementation. The update will include the cost of a third party vendor and proposed protocols for receiving and responding to complaints received through the hotline. The Auditor's Office will work with the City Manager's Office and the City Attorney to develop general protocols for receiving and responding to complaints. Update on Audit of Fleet Utilization and Replacement Recommendations City staff have made significant progress toward implementing many of the 22 recommendations related to the Audit of Fleet Utilization and Replacement. To date, 6 recommendations have been fully implemented or resolved and 14 are in process. As noted above, the City formed a FRC consisting of PWD Fleet Management, ASD and the City Manager’s Office to review size and utilization issues and continue to evaluate fleet replacement decisions. The FRC has recommended 42 vehicles be removed from direct assignment to the departments. Of these 42 vehicles, 16 are being moved to a communal motor pool and 26 removed from fleet inventory; a reduction of over 10% of the non-safety fleet vehicles. Two recommendations, whose current status are outlined below, have not been started. Recommendation # 14 (page 62 of Attachment A): The audit recommended PWD Fleet Management routinely review the database inventory for completeness and accuracy and develop necessary processes for departments to provide accurate and timely utilization data. PWD stated that staffing shortages have delayed the implementation of this recommendation, although they are currently in the process of recruiting a Fleet Services Coordinator, who should be hired by mid-April. The Fleet Services Coordinator’s first assignment will be the database inventory review. Recommendation #18 (pages 64-65 of Attachment A): The audit recommended PWD Fleet Management and the City Manager's Office develop a strategy to align future fleet replacement with the City's other strategies that promote Climate Protection Plan (CPP) goals. PWD reported that although a formal strategy has not yet been developed, the vehicle analysis/assessment form includes criteria for evaluating the suitability of available alternatively-fueled and hybrid vehicles, so that CPP goals will be considered during the purchase review and approval process. Staff stated they will work to develop a formal strategy to align fleet purchases with the CPP goals and include this strategy in the revised Vehicle/Equipment policy. The City Auditor’s Office would like to thank the City Manager’s Office, the City Attorney’s Office, and the Administrative Services, Community Services, Fire, Human Resources, Library, Police, Public Works, and Utilities departments for their assistance in compiling this report. On April 19, 2011, the Finance Committee unanimously accepted the attached report and also recommended the City Auditor’s Office return to the Finance Committee in 16 months with an updated report. Respectfully submitted, Michael Edmonds Interim City Auditor Attachment A: Finance Committee Meeting Minutes Excerpt (April 19, 2011) Attachment B: Report on the Status of Audit Recommendations as of April 2011 Attachment A FINANCE COMMITTEE – DRAFT EXCERPT Regular Meeting Tuesday, April 19, 2011 Chairperson Scharff called the meeting to order at 7:17 p.m. in the Council Conference Room, 250 Hamilton Avenue, Palo Alto, California. Present: Scharff (Chair), Schmid, Shepherd, Yeh Absent: None 6. Report on Status of Audit Recommendations Michael Edmonds, Interim City Auditor, stated this item was brought to the Finance Committee in October 2010, and the City Auditor’s Office was directed to return to the Finance Committee with a follow-up report that addressed long outstanding audit recommendations, as well as making sure that the recommendations associated with the Fleet Utilization Audit were being adequately implemented. Ian Hagerman, Senior Performance Auditor, provided background on the report, stating that in 2008, the City had approximately 142 outstanding audit recommendations; 88% of those were closed in the last two and a half years. Currently, there are 32 outstanding audit recommendations, and the City Auditor’s Office is recommending 9 audit recommendations related to the Infrastructure Report Card be deferred until after the Infrastructure Blue Ribbon Commission (IBRC) completes its work. He stated the City recently completed a Fair Labor Standards Act (FLSA) study that resulted in the completion of three audit recommendations that were outstanding since 2003. The City also completed a Fire Department Standards of Coverage Study that resulted in completing another long-standing audit recommendation. He said staff had completely closed out recommendations from seven different audits since 2009. Some of the positive impacts that resulted from various audit recommendations include a cost savings of more than $200,000 due to the Audit of Telephone Rates and Charges. We Attachment A have seen a cost savings of about a quarter million dollars by contracting out parks maintenance. The City is currently entering its third year of deferrals in fleet purchases; the economic benefit of the Fleet Audit continues to grow. He stated the City has likely received an economic benefit of more than $7 million because of this audit. The City has established a Fleet Review Committee (FRC) to review size and utilization issues and continues to evaluate fleet replacement decisions. The FRC has recommended that 42 vehicles be removed from departments – 16 of those to be assigned to a centralized pool and the rest to be removed completely. This would constitute a reduction of over 10% of the non-safety fleet vehicles. He stated that in October 2010 the Finance Committee also requested that the City Auditor’s Office prioritize outstanding audit recommendations. The City Auditor’s Office has highlighted two recommendations in particular. One of those is related to the Infrastructure Report Card dealing with developing an inventory of all capital assets in the City. There have been various studies done throughout the years which have brought pieces of information together. Staff is projecting to have this recommendation completed in about a month. A second recommendation being highlighted is related to the Audit of Employee Ethics Policies. The audit recommended the City Manager form a working group to (1) establish policies and procedures for handling employee complaints of waste, fraud, and abuse through normal supervisory channels; (2) establish and monitor a hotline for anonymously reporting fraud, waste and abuse; (3) develop procedures for reporting, investigating, handling, and following up on hotline reports; and (4) develop whistleblower policies and procedures. The City Manager’s Office has an ethics consultant who is working on a number of the recommendations pertaining to this audit. Their office is hoping to have these recommendations completed in about a year. In July 2010, the Policy and Services Committee recommended the City Council establish a fraud, waste, and abuse hotline organized under the City Auditor’s Office. He stated the City Auditor’s Office will update the City Council in June 2011 on a proposed hotline implementation. The update will include the cost of a third party vendor and proposed protocols for receiving and responding to complaints received through the hotline that the City Auditor's Office will work with the City Manager's Office and the City Attorney to develop. Of the 22 recommendations related to the Audit of Fleet Utilization and Replacement, 6 have been fully implemented or resolved and 14 are in process. He suggested that the City Auditor’s Office follow up with an updated report in 2012 to get back on track on the June 30th schedule. If the City Auditor’s Office returned in June Attachment A 2011, the report would look identical to this one given the implementation timeline of the outstanding recommendations. Mr. Edmonds said that in 2012, the IBRC’s work will be done and can be better evaluated then. Chair Scharff asked how many non-safety vehicles the City owns. Mr. Hagerman answered 242 non-safety vehicles (sedans, vans and light trucks). The City has so far eliminated 26 from the fleet. Chair Scharff said department heads may pushback on the issue of keeping vehicles and since the Committee is probably not coming back to this topic for a while, he asked if the City has done enough on this issue. Lalo Perez, Director of Administrative Services, said Staff put certain vehicles on a watch list. We want to keep track of how many people use these vehicles, how often, etc. He explained the City may issue an RFP to have a rental car company manage our fleet. The City has contacted Santa Clara County (for feedback) which utilizes a rental car company. Chair Scharff said we should just pay employees for mileage driven on their personal cars instead of maintaining an entire fleet. Mr. Perez said there are plans to discuss internal service funds for vehicles with each department during budget hearings next month. Council Member Yeh asked about the proceeds for the cars that were eliminated. Mr. Perez responded that the credits/funds go back to departments during the budget process when we eliminate vehicles. Mr. Edmonds added there has been a serious push from the Executive Leadership Team (ELT) to eliminate vehicles. Council Member Yeh commended the City Auditor’s Office for quickly closing so many open audits and appreciates the effort of staff. Council Member Schmid said it is terrific to reach closure on the FLSA and Fire studies. He said that when one goes through the FLSA study, one must assume so much money was spent on it, especially since it Attachment A took eight years. The net impact is $50,000. He was surprised that was the only savings. He said one area he followed closely was the Library Audit in 2007 – this also took quite a bit of time. He asked if this report gives us more staffing flexibility. Mr. Perez responded that due to the current language in the SEIU labor contract, there are some limitations with the flexibility of scheduling staff, and at some point, that is something we will have to look at and address (in terms of consecutive worked days). Council Member Schmid asked why we go through all these negotiations, and when the issue of libraries arises, we cannot extend hours. He asked why that wasn’t part of the negotiations. Mr. Perez answered that it is on our radar; it is something we need to address. Mr. Hagerman stated that the FLSA study reflects issues regarding managers receiving overtime pay, management annual leave, etc. Much of the review examined job descriptions and compensation. The SEIU review is a little different, and still being reviewed. Chair Scharff asserted the savings in the Management and Professionals Compensation Plan totaled more than $50,000. He was also surprised that managers can use their Professional Development for gym memberships. He asked why that was not called out. Mr. Hagerman said the focus was more on hours and salaries, but that issue can be looked at in the upcoming HR Benefits Audit. MOTION: Council Member Yeh moved, seconded by Council Member Schmid, that the Finance Committee recommends the City Council accept the Report on the Status of Audit Recommendations (April 2011), accept staff’s recommendation that the next follow-up report will be brought forth to the Finance Committee meeting in 16 months, and Public Works Department staff will provide additional information to the Finance Committee on fleet utilization during the FY 2012 budget process. MOTION PASSED 4-0. Page Number Report Title Date Issued Completed or resolved since last report In process Not Started Deferred Council Committee 2 Audit of Overtime Expenditures 11/18/03 4 3 Finance 10 Audit of Restructuring Efforts and Management Span of Control 04/20/04 1 Finance 12 Audit of Contract Contingencies 03/15/05 2 Finance 14 Audit of Parks Maintenance 12/13/05 4 Finance 22 Audit of Street Maintenance 03/21/06 7 Finance 33 Audit of Library Operations 07/09/07 4 Finance 37 Audit of Employee Ethics Policies 01/23/08 1 3 Policy & Services 42 Infrastructure Report Card 03/04/08 1 9 Finance 49 Audit of Ambulance Billing and Revenue Collection 02/02/09 6 Finance 52 Audit of the Police Investigative Fund 07/21/09 1 Finance AUDITS ISSUED SINCE LAST RECOMMENDATION STATUS REPORT: 52 Auditor’s Office Review of City Telephone Rates and Charges 09/08/09 3 Finance 54 Audit of Fleet Utilization and Replacement 04/14/10 6 14 2 Finance 67 Audit of Citywide Cash Handling and Travel Expenses 09/15/10 1 10 Finance TOTAL 39 32 2 9 82 Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 2 Audit report and recommendation Department Current status Comments AUDIT OF OVERTIME EXPENDITURES (Issued 11/18/03) Finance Committee The purpose of our review was to audit actual overtime usage, and identify opportunities to better control overtime expenditures. Of the 32 recommendations, 25 were previously completed, 4 were resolved/dropped, and 3 are in process. #2: The City should conduct a staffing study to assess the appropriateness of current Fire Department minimum staffing levels in the context of call volume, response times, and employee safety. Fire Completed Original department response: Staff concurs and will conduct a “standards of coverage” study to determine the appropriateness of current staffing levels. Staff expects to complete the study by the end of the 4th quarter of the fiscal year with outside assistance. Auditor’s update as of Sep-2004: In process. The Department has received a proposal for a study from a consultant and is reviewing it. Action on it may be postponed pending the appointment of a new Fire Chief. Target date: Jan-2005. Auditor’s update as of Sep-2005: In process. Target date: TBD. Auditor’s update as of Oct-2006: In process. A contractor has been selected to begin a standards of coverage study in November following the end of the wildland fire season. Target date: TBD. Auditor’s update as of Oct-2007: In process. The standards of coverage study has been deferred. Target date: TBD. Auditor’s update as of Nov-2008: In process. With input from the new City Manager, staff will be evaluating how a comprehensive standards of coverage study should proceed for the Fire Department. This will be discussed in the context of the proposed Stanford projects. Staff will assess whether it will be possible to proceed with the study in time to request funds in the upcoming FY 2009-11 budget cycle. Auditor’s update as of Sept-2009: Not started. The Fire Department maintains minimum staffing levels as required in the Memorandum of Agreement with the International Association of Firefighters. In 2003, staff agreed with the audit recommendation to conduct a staffing study and planned to complete the study in 2004. Although prior responses indicate efforts to initiate a study, the study has not been completed In 2009, the Fire Department planned to incorporate a comprehensive standards of coverage study as part of a development agreement with the Stanford Hospital/Shopping Center expansion; however, this project did not precipitate. The City’s budget documents show that Fire Department overtime has not decreased since the 2003 overtime audit. In fiscal year 2002-03, overtime expenses were $1.23 million. In fiscal year 2008-09, overtime expenses were $1.6 million. The Fire Department attributes overtime costs primarily to backfilling for minimum staffing, Station 8, Medic-1, and the State wild land fires. Target date: TBD. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 3 Audit report and recommendation Department Current status Comments Auditor’s update as of July 2010: In process. According to the City Manager’s Office, the staffing analysis and report are underway and should be completed by October 2010. Target date: Oct. 2010. Auditor’s update as of March 2011: Completed. in January 2011. TriData and ICMA conducted a utilization and resource deployment analysis for the Fire Department that assessed the appropriateness of current Fire Department minimum staffing levels in the context of call volume, response times, use of overtime, deployment practices and employee safety. The consultants presented the report, which included recommendations, to the City Council in February 2011. #13: Clarify the following contract provisions through use of specific examples:  That call-out pay begins from the time of the call out and specify how much time the employee is allowed for travel. The Merit Rules should be revised to reflect the SEIU call-out provision;  The intent of the rest period provision and how an employee is paid: (a) for the eight-hour rest period, and (b) if the rest period overlaps the regular work schedule; and  The intent of the in-lieu meal provision and its relationship to the rest period. Such clarification should be communicated to employees who are affected by the provisions as well as to timekeepers. Human Resources In process Original department response: Staff concurs and HR will update the Merit System Rules and Regulations to correspond with the SEIU Memorandum of Understanding (MOU) provisions following contract negotiations in 2004 to clarify and remedy any inconsistencies between the two documents. Auditor’s update as of Sep-2004: Not started. During the 2004 SEIU contract negotiations, no changes were made to nor examples added to the contract regarding call-out pay, the rest period, or the in-lieu meal provisions. The next opportunity to address this will be Feb-2005 when negotiations reopen for the current contract that expires in 2006. Target date: 2006. Auditor’s update as of Sep-2005: Not started. This recommendation will be addressed when the SEIU contract is renegotiated in 2006. Target date: Jul-2006. Auditor’s update as of Oct-2006: In process. The City has hired a consultant to assist with the revision of the Merit System Rules and Regulations to reflect call-out pay. In addition, 2006-09 SEIU MOA clarifies the meal relationship to rest periods. The City had proposed new language for hours of work and overtime, but was only successful with clarification for meals, overtime, and rest periods. Target date: TBD. Auditor’s update as of Oct-2007: In process. HR advises that the only outstanding recommendation is the revision of the Merit Rules to reflect the SEIU call-out provision. HR further advises that the Merit Rules revision as been delayed due to ongoing employee contract negotiations but is scheduled to begin in 2008. Target date: TBD. Auditor’s update as of Nov-2008: In process. The HR department advises that the only outstanding recommendation is the revision of the Merit Rules to reflect the SEIU call-out provision. HR department further advises that the Merit Rules revision will begin in November 2008 and will occur in phases, with the first phase of the update targeted for completion in September 2009. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 4 Audit report and recommendation Department Current status Comments If the HR Department completes the merit rule revision with regard to call-out pay, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Sept-2009. Auditor’s update as of Sept- 2009: In process. HR reported that significant progress has been made to the Merit Rules update, including draft language for 6 of 13 chapters. Sections 510 to 515 address the overtime and call out pay issues. The project will continue in 2010, and will require discussions with all bargaining units. If the HR Department completes the merit rule revision with regard to call-out pay, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Dec. 2010. Auditor’s update as of July 2010: In process. HR reported they are nearing completion of the Merit Rule revisions and plan to present the revisions to City Council for approval in October 2010. The revisions include updates to the call out pay issues. Target date: Oct. 2010. Auditor’s update as of March 2011: The draft revision to the Merit Rules, Chapter 5, Section 511, includes addition of language which addresses this update to the call out pay issues. These changes are expected to be approved by Council by the end of calendar year 2011. Target date: December 2011. #15: The City should conduct a review of the FLSA designation of all positions. The review should consider the impact of proposed revisions to FLSA regulations. Human Resources Completed Original department response: Staff concurs. HR began a formal review of FLSA descriptions for all management positions in March 2003 when the proposed FLSA revisions were published. The review has been expanded to include job descriptions and related HR policies and procedures. It is anticipated that the analysis with recommendations including updated job descriptions and policy and procedures will be completed in April 2004. The audit and subsequent recommendations will address all FLSA designations and any exceptions in current practice. Auditor’s update as of Sep-2004: In process. HR's review of the FLSA designations of all City employees is in process. Target date: Jul- 2005. Auditor’s update as of Sep-2005: In process. Work on updating FLSA designations has been delayed due to budget and staffing constraints. Resources are now being identified to commence work in Jan-2006. Auditor’s update as of Oct-2006: Project delayed. Target date: TBD. Auditor’s update as of Oct-2007: Not started. HR advises that commencement of this project is scheduled at the completion of the Fox Lawson management classification study. HR advises that the tentative start date is March 2008. Target date: TBD. Auditor’s update as of Nov-2008: In process. HR advises the job Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 5 Audit report and recommendation Department Current status Comments descriptions have been revised for the management/professional group. The next step is to conduct the review of the FLSA status of each position in the management/professional group. HR advises that this step of the review will begin in March 2009, following adoption of the mid-year budget. Target date: TBD. Auditor’s update as of Sept- 2009: In process. HR reports the City Attorney’s Office has contracted with outside council to review the FLSA designation of 63 positions in the management/ professional group. Most of the positions have been reviewed. The remaining positions will be reviewed upon completion of the management classification & compensation study, currently underway. The Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process if the FLSA review is completed. Target date: Dec. 2010. Auditor’s update as of July 2010: In process. According to HR, 93 positions within the management/professional group required FLSA review. HR completed job descriptions and finalized them from June 2009 through July 2010. HR reports that all 93 job descriptions were submitted to outside counsel for FLSA review, 78 have been completed and 15 are in-progress. Target date: Nov. 2010. Auditor’s update as of March 2011: Completed. The FLSA study has been completed. Managers whose classifications were determined to be exempt will no longer receive overtime pay effective February 26, 2011. Managers whose classifications have been determined to be non- exempt will no longer receive management annual leave effective July 1, 2014. #16: Human Resources should revise job descriptions and overtime policies and procedures to appropriately reflect the FLSA designation of each position. If within a single job classification, it is determined that some employees are exempt while others are non- exempt, then separate job descriptions/ classifications should be written. If the City determines that a particular employee meets the criteria to be deemed exempt for FLSA purposes but the City decides to pay that employee overtime, the job description, policies and procedures, other documentation, and the Lawson computer system should all clearly indicate that the position is exempt but that the City is paying overtime for the position. Human Resources In process Original department response: Staff concurs. Following the completion of the Citywide FLSA review, HR will update job descriptions, policies and procedures, and other documentation as necessary. Auditor’s update as of Sep-2004: Not started. HR plans to implement this recommendation when funds become available. Target date: Dec- 2005. Auditor’s update as of Sep-2005: Not started. Work on revising job descriptions has been delayed due to budget and staffing constraints. Resources are now being identified to commence work in Jan-2006. Auditor’s update as of Oct-2006: The management classification study will result in new job descriptions. An FLSA audit will follow. Target date: TBD. Auditor’s update as of Oct-2007: Not started. HR advises that commencement of this project is scheduled at the completion of the Fox Lawson management classification study. HR advises that the tentative Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 6 Audit report and recommendation Department Current status Comments start date is March 2008. Target date: TBD. Auditor’s update as of Nov-2008: In process. HR advises the job descriptions have been revised for the management/professional group. The next step is to conduct the review of the FLSA status of each position in the management/professional group. HR advises that this step of the review will begin in March 2009, following adoption of the mid-year budget. Target date: TBD. Auditor’s update as of Sept- 2009: In process. HR reports the City Attorney’s Office has contracted with outside council to review the FLSA designation of 63 positions in the management/professional group. Most of the positions have been reviewed. The remaining positions will be reviewed upon completion of the management classification & compensation study, currently underway. The Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process if the FLSA review is completed and the appropriate processes and procedures are accordingly revised. Target date: Dec. 2010. Auditor’s update as of July 2010: In process. According to HR, 93 positions within the management/professional group required FLSA review. HR completed job descriptions and finalized them from June 2009 through July 2010. HR reports that all 93 job descriptions were submitted to outside counsel for FLSA review, 78 have been completed and 15 are in-progress. Of the 78 completed FLSA reviews, 11 resulted in proposed changes to the FLSA status. Staff is currently reviewing the results to determine appropriate next steps for the proposed changes and to clearly document the results within the City’s systems. Target date: Dec. 2010. Auditor’s update as of March 2011: In process. After final review, FLSA designation changed for 10 classifications. The designations have been changed in the SAP system. HR has updated the FLSA designation on the job descriptions. HR will need to develop a new job description for a classification that was concluded to have one exempt employee and two non-exempt employees. In addition, the update to the overtime policy will be completed. Target date: September 2011. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 7 Audit report and recommendation Department Current status Comments #17: After a Citywide review of the FLSA status of positions is completed, Human Resources should work with employee representatives to update union contracts and compensation plans so that they are consistent with other documentation. The Management Compensation Plan should list the positions it covers. Both the Management Compensation Plan and the SEIU contract should distinguish between exempt and non-exempt positions and indicate whether any exempt positions may receive overtime pay. Human Resources Completed Original department response: Staff concurs and upon completion of the FLSA study, HR will update compensation plans to include exempt/non-exempt status. Auditor’s update as of Sep-2004: Not started. HR plans to implement this recommendation when funds become available. Target date: Dec- 2005. Auditor’s update as of Sep-2005: Not started. Target date: TBD. Auditor’s update as of Oct-2006: Project delayed. Target date: TBD. Auditor’s update as of Oct-2007: Not started. Commencement of this project is scheduled at the completion of the Fox Lawson management classification study. HR advises that the tentative start date is March 2008. Target date: TBD. Auditor’s update as of Nov-2008: In process. HR advises the job descriptions have been revised for the management/professional group. The next step is to conduct the review of the FLSA status of each position in the management/professional group. HR advises that this step of the review will begin in March 2009, following adoption of the mid-year budget. HR advises that the list of management positions is attached to the Compensation Plan. The SEIU salary sheets include the FLSA designation distinguishing between exempt and non-exempt. In addition, the SEIU contract also reflects when contract overtime shall be paid. The City Attorney’s office advises the Management Compensation Plan should not be considered the master list for exempt, non-exempt and overtime positions. Therefore, upon completion of the FLSA study, HR should create and consider where to retain a master list of management positions that indicates which exempt positions receive overtime. Target date: TBD. Auditor’s update as of Sept- 2009: In process. The Department advises that the FLSA status review was put on hold when the Management Compensation and Classification study was initiated in 2006. In 2009, the City Attorney’s Office contracted with an outside law firm to initiate the FLSA study. The study will be conducted in three phases as job descriptions are finalized through the Management Compensation and Classification study. Phase I classifications (involving job descriptions in which duties and titles did not change) were sent to an outside attorney in May 2009. Phase II (involving only title changes) and Phase III (involving title and duty changes) are expected to be completed by January 2010. In addition, the City Attorney’s Office worked with Human Resources and reports that a category will be added to the revised 2009 Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 8 Audit report and recommendation Department Current status Comments Management Compensation Plan Salary/classification tables to reflect FLSA exemption status. All SEIU positions were non-exempt until July 2008 when some exempt management positions were reclassified into the SEIU unit, so the SEIU list will also be updated to reflect FLSA status. FLSA review of the new job descriptions resulting from that study are planned to follow finalization of those formal job descriptions. If these steps are completed, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Target date: Dec. 2010. Auditor’s update as of July 2010: In process. HR reports that the SEIU salary schedule and classification list has been updated and Council approved the updates on August 2, 2010 with the SEIU Memorandum of Agreement. HR anticipates the 2009 Management Compensation Plan Salary/classification tables will be revised to reflect the completed FLSA review by November 2010. Target date: Nov. 2010. Auditor’s update as of March 2011: Completed. The FLSA study is complete. The 2010-11 Management and Professional Compensation Plan lists all of the job classifications and their FLSA designation and was approved by City Council in April 2011. #18: Human Resources should establish a policy that management leave is granted “in lieu” of overtime pay, and include the policy in the Management Compensation Plan. After conducting a citywide FLSA review, Human Resources should determine how to fairly treat employees who currently receive both management leave and overtime pay. Human Resources Completed Original department response: HR will review and confer with management employees. Auditor’s update as of Sep-2004: Not started. HR plans to implement this recommendation when funds become available. Target date: Dec- 2005. Auditor’s update as of Sep-2005: Not started. Target date: TBD. Auditor’s update as of Oct-2006: Project delayed. Target date: TBD. Auditor’s update as of Oct-2007: Not started. HR advises that the FLSA review will be conducted once the Fox Lawson classification study is completed. Target date: TBD. Auditor’s update as of Nov-2008: Not started. HR advises that it will propose such wording be added to the Management Compensation Plan when it is next updated. The Office of the City Auditor notes that after conducting a citywide FLSA review, HR will determine how to appropriately address this category of employees who receive both management leave and overtime pay. Target date: July-2009 Auditor’s update as of Sept. 2009: In process. The FLSA study is not yet completed. As a result, HR deferred implementing the recommended wording specifying that management leave is granted in lieu of overtime pay. The plan is to address the category of employees who receive both management leave and overtime pay. If the HR Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 9 Audit report and recommendation Department Current status Comments Department is able to complete both of the audit recommendation requirements, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Dec. 2010 Auditor’s update as of July 2010: In process. As the FLSA study is nearing completion, staff will be determining how to treat employees that currently receive both management leave and overtime pay. The recommended wording specifying that management leave is granted in lieu of overtime pay has not yet been finalized. Target date: Nov. 2010. Auditor’s update as of March 2011: Completed. The FLSA study has been completed. Managers whose classifications were determined to be exempt will no longer receive overtime pay effective February 26, 2011. Managers whose classifications have been determined to be non- exempt will no longer receive management annual leave effective July 1, 2014 and will only be eligible to receive overtime time pay upon approval by their managers. #19: Human Resources should clarify, through a policy, union contracts and compensation plans, the appropriate uses of administrative leave and other additional paid time off that may be granted to employees. Human Resources In process Original department response: Staff concurs and will prepare additional language which will address administrative leave in future compensation plans. Auditor’s update as of Sep-2004: Not started. HR plans to develop a new policy to clarify administrative leave and update all Union contracts and compensation plans. Target date: Dec-2005. Auditor’s update as of Sep-2005: Not started. Target date: Jun-2006. Auditor’s update as of Oct-2006: In process. The Merit Rules are being revised and will address this issue. Target date: TBD. Auditor’s update as of Oct-2007: Not started. The HR Department advises that the Merit Rules revision is scheduled to begin in March 2008. Target date: TBD. Auditor’s update as of Nov-2008: In process. The HR Department advises that the appropriate uses of administrative leave will be clarified through the revision of the Merit Rules that will begin in November 2008. This revision will occur in phases, with the first phase of the update targeted for completion in September 2009. If the HR Department clarifies the appropriate uses of administrative leave in the Merit Rules and subsequently revises relevant policies, union contracts and compensation plans to reflect such clarification, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: TBD. Auditor’s update as of Sep. 2009: In process. The HR Department reported progress in revising the Merit Rules update, and has drafted Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 10 Audit report and recommendation Department Current status Comments language for 6 of 13 chapters. The HR Department anticipates the project will continue in 2010 and will require discussion with all bargaining units. Appropriate use of administrative leave is still under development and will be addressed in the upcoming revisions. The Office of the City Auditor will be able to consider this recommendation completed when these steps are implemented. Target date: Dec -2010. Auditor’s update as of July 2010: In process. HR reported that they are nearing completion of the Merit Rule revisions and plan to present the revisions to City Council for approval in October 2010. The revisions include updates to Chapter 8, Section 808 to address administrative leave and paid leave of absences. Target date: Oct. 2010. Auditor’s update as of March 2011: In process. The draft revision to the Merit Rules, Chapter 8, Section 808, includes the addition of language which states, “The reasons such leave is approved and deemed in the best interests of the City shall be documented on a Personnel Action Form with appropriate explanation and tracked in SAP.” Changes are in the review process with bargaining groups. Target date: June 2011 AUDIT OF RESTRUCTURING EFFORTS AND MANAGEMENT SPAN OF CONTROL Finance Committee (Issued 4/20/04) The purpose of our review was to conduct an independent review of staffing changes and restructuring over the last two years, assess the feasibility of additional reductions through attrition, evaluate supervisory span of control, the ratio of managers to line staff, and the number of levels of management review. Of the 17 recommendations, 16 were previously completed, and 1 is in process. #13: Human Resources should reconcile and correct discrepancies in job titles between the SAP and Lawson computer systems and the employees’ job descriptions, position titles, compensation plans, the employee directory, organization charts, and the working titles that employees actually use. HR In process Original department response: Staff concurs with this recommendation. This process is currently in progress. Auditor’s update as of Sep-2004: In process. As of Aug-2004, HR and ASD are reconciling all discrepancies as they are identified during the regular course of business. Discrepancies between SAP and Lawson were complicated by the fact that in Lawson, one position number was tied to multiple employees, whereas SAP requires a one-to- one relationship between positions and employees. This was a major shift in position control. With SAP position control, the City will have been reporting capabilities (vacancy reports and headcount reports). However, a comprehensive reconciliation of job titles has not been initiated. Discrepancies that are identified will be corrected in SAP and other documents on a go-forward basis. Target date: TBD. Auditor’s update as of Sep-2005: In process. A comprehensive reconciliation of job titles will be completed by the end of the year. Target date: Dec-2006. Auditor’s update as of Oct-2006: In process. The review is in process Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 11 Audit report and recommendation Department Current status Comments and will be completed by the end of the year. The management classification study, currently underway, will also contribute to this effort. Auditor’s update as of Oct-2007: In process. Target date: Jan-2008. Auditor’s update of Nov-2008: In process. The Office of the City Auditor conducted limited testing of consistencies among SAP, job descriptions, and compensation plans and found that discrepancies remain. If, during the recommendation follow-up process in 2009, the Office of the City Auditor can again test a sample of positions and find that these issues have been resolved, then this recommendation would be considered completed. Auditor’s update as of Sep. 2009: In process. HR reports there are 473 job titles within the City. HR also reports they have made progress in resolving discrepancies between SAP, the Management Compensation Plan, and the labor agreements. However, some discrepancies are still being resolved and others will require discussions with the different bargaining units. The discussion schedule is as follows: 2009 - SEIU; Management and Professional staff and 2010 – International Association of Fire Fighters; Palo Alto Police Officers Association; Fire Chiefs Association. The Office of the City Auditor observed a sample of the HR resolutions and confirmed many of the discrepancies were resolved and will be able to consider this recommendation completed when the remaining discrepancies are addressed. Target date: Dec. 2010 Auditor’s update as of July 2010: In process. HR reports that nineteen classification titles were updated in the Management and Professional Group in FY 2010. Classification titles for SEIU and safety personnel are scheduled to be updated in coordination with ongoing labor agreement negotiations in 2010 and 2011. As HR completes these updates, the Office of the City Auditor will review consistencies among SAP, job descriptions, and compensation plans. Target date: Sept. 2011. Auditor’s update as of March 2011: In process. The classification titles in the SEIU Compensation Plan were completed in August 2010. The Management and Professional Compensation Plan revision will be approved by Council in April 2011. Labor negotiations with IAFF are in progress and soon to begin with FCA and PAPOA. Classification titles will be reviewed during those negotiations. Target date: Sept. 2011 Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 12 Audit report and recommendation Department Current status Comments AUDIT OF CONTRACT CONTINGENCIES (Issued 3/15/05) Finance Committee The purpose of this audit was to evaluate the appropriateness of contingency levels, the approval process for using contingencies, and actual contingency usage. Of the 15 recommendations, 13 were previously completed, and 2 were completed this year. #3: Departments that receive resident requests for service should establish criteria for responding to such requests and incorporate those criteria into a Departmental construction manual (if applicable) and provide them to Purchasing for inclusion in the Purchasing Manual. The Purchasing Manual should also provide guidance on when it is appropriate to issue a change order to expand the scope of a contract versus amending the contract or issuing a new contract. Departments approving contingency spending should ensure that the work is within the scope of the original contract. ASD Completed Original department response: Staff will collaborate to incorporate in the Construction and Purchasing Manuals criteria on processing requests for services based on the scope of the capital project and the contract. The manuals will include examples on when to do a change order or a contract amendment. Department heads or designees will approve contingency spending based on the established criteria. Target Completion Date: Fall 2005. Auditor’s update as of Sep-2005: In process. Infrastructure project managers have been trained regarding the type of changes and additional work that is compliant with the contract scope. Any deviation from these changes or additional services will require approval by the appropriate authority. The Purchasing Manager will work with the Public Works Department to incorporate the necessary criteria into the Department Construction Manual that is scheduled to be revised (see also recommendation #9). Target completion date: Dec-2005. Auditor’s update as of Oct-2006: In process. Purchasing Manual changes are complete. Public Works will incorporate the necessary criteria into its Construction Manual. Target date: Spring 2007. Auditor’s update as of Oct-2007: In process. Staff advises that a Citywide Construction Manual is pending that will address resident requests, and clarify that the requested item would have to fall within the scope of the contract. Target date: Summer 2008. Auditor’s update as of Nov-2008: In process. Public Works staff advises that such criteria for responding to resident requests will be incorporated into the Citywide Construction Manual which is expected to be completed by Fall 2009. Public Works staff further advises that they will review whether they could potentially develop and adopt such criteria sooner. The Purchasing Manual includes guidance on change orders and contract amendments. If the Public Works Department develops and adopts the criteria for responding to resident requests (either separately from the update of the Citywide Construction Manual or as a part of it), the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Fall 2009. Auditor’s update as of Sep. 2009: In process. The Public Works Department reports it has updated the invitation for bid (IFB) template that addresses contract contingencies, but has not incorporated the Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 13 Audit report and recommendation Department Current status Comments changes into the Citywide Construction Manual. If the Manual is completed by the next follow-up, the Office of the City Auditor will be able to consider this recommendation completed. Target date: Fall 2010. Auditor’s update as of July 2010: In process. Staff reports that they will work to incorporate additional guidance on change orders in the Citywide Purchasing Manual. If the City’s Purchasing Manual is updated with criteria for evaluating the necessity of change orders, the Office of the City Auditor will be able to consider this recommendation completed. Target Date: June 2011. Auditor’s update as of March 2011: Completed. ASD has incorporated additional guidance and criteria for evaluating the necessity of change orders into the City’s Purchasing Manual. #9: Departments should use the Public Works Construction Contract Administration Manual as a template for additional procedures regarding extra work authorizations, field orders, change orders, and authorization signatures, as needed. Departments should ensure that their procedures for contingency spending are consistent with the Purchasing Manual with regard to additional services spending. Departments should review their procedures with Purchasing to ensure conformance to Citywide standards. ASD, Public Works, and Utilities Completed Original department response: Public Works will update the Construction Contract Administration Manual in collaboration with the Utilities Department and Purchasing Division Staff to ensure consistency with the Purchasing Manual and Citywide standards. Target Completion Date: Fall 2005. Auditor’s update as of Sep-2005: The update of Public Works Construction Contract Administration Manual has not yet started. Target completion date: Winter 2005. Auditor’s update as of Oct-2006: The update of the Public Works Construction Contract Administration Manual has not yet started. Target completion date: Jun-2007. Auditor’s update as of Oct-2007: In process. Staff advises that a Citywide Construction manual is pending. Target date: Summer 2008. Auditor’s update as of Nov-2008: In process. According to the Public Works Department, the Invitation for Bids Streamlining Committee is working on new templates for invitations for bids. Public Works staff is awaiting these templates and any associated new processes before revising the Citywide Construction Manual. Public Works staff advises that all updates will be consistent with Chapter 13 of the Purchasing Manual. If Public Works updates the manual and the Utilities department can provide documentation that procedures/templates for extra work authorizations, field orders, change orders and authorization signatures are consistent with the revised manual, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Fall-2009. Auditor’s update as of Sep. 2009: In process. The Public Works Department reports it has updated the invitation for bid (IFB) template that addresses contract contingencies, but has not incorporated the Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 14 Audit report and recommendation Department Current status Comments changes into the Citywide Construction Manual. If the Manual is completed by the next follow-up, the Office of the City Auditor will be able to consider this recommendation completed. Target date: Fall 2010. Auditor’s update as of July 2010: In process. Staff reports that they will work to incorporate additional guidance on change orders and extra work authorizations in the Citywide Purchasing Manual. If the City’s Purchasing Manual is updated with this criteria, the Office of the City Auditor will be able to consider this recommendation completed. Target Date: June 2011. Auditor’s update as of March 2011: Completed. ASD has incorporated additional guidance and criteria for evaluating the necessity of change orders into the City’s Purchasing Manual. AUDIT OF PARKS MAINTENANCE (Issued 12/13/05) Finance Committee The objective of this audit was to assess the cost-effectiveness of parks maintenance. Of the 22 recommendations, 18 were previously completed, and 4 were completed this year. #9: The Parks Division should obtain bids for landscape maintenance work including mowing at Mitchell, Rinconada, and Greer Parks and should consider contracting for such work if it proves more cost beneficial. CSD Completed Original department response: Staff concurs and will conduct a comparative analysis of contracting vs. in-house crews, but that analysis must consider the service level provided by current staffing levels. Given existing contract obligations, implementation would be expected in July 2007. Auditor’s update as of Oct-2006: Not started. Invitations for bids are expected to be issued in November or December. Bids would be received and reviewed in January or February. Results would be reported to the City Council in March or April as part of the annual budget process. Target date: Spring 2007. Auditor’s update as of Oct-2007: In process. City staff continues to maintain these parks. CSD advises that bids were solicited in January and seven firms attended the pre-bid conference. Two landscape companies submitted bids for four of the six sections of work. The Community Services Department advises that on July 1, 2007, Loral Landscaping assumed responsibility for maintenance of all of the areas previously contracted by Gachina and Loral landscaping (2004-07). However, Community Services advises that it is still working with ASD to evaluate bid submittals for Mitchell, Rinconada and Greer. A recent analysis by ASD based on current bids estimated that by contracting out Mitchell, Rinconada, and Greer for the next five years, Community Services could save $641,561. Community Services further advises that SEIU has asked for an opportunity to present a proposal to take back in-house some of the Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 15 Audit report and recommendation Department Current status Comments contracted sites while keeping the staffing levels the same as at present. This proposal is under consideration. A decision on whether to contract out Mitchell, Rinconada and Greer has been delayed until after the SEIU proposal has been reviewed. Target date: TBD. Auditor’s update as of Nov-2008: In process. Parks staff advises that they met and conferred with SEIU in August 2007 regarding a proposal by SEIU to take back in-house some sites that are currently contracted out. However, after making the initial proposal, SEIU decided not to pursue it further. CSD staff further advises that the City is in the process of considering a requirement that state-mandated prevailing wages be paid for contracted work. CSD has advised that this would likely increase the cost of contracting out and negate potential savings. However, the Office of the City Auditor noted that for certain types of landscape work, the effect on the cost of contracted work would likely be minimal as the contractor’s proposed salaries appear to be consistent with the State’s current prevailing wages. A detailed analysis would be required, however, to determine which rates apply to Palo Alto. Additionally, CSD advises that although the bid proposals indicate the City could obtain savings through contracting out landscaping maintenance and mowing services, the department believes its level of service provides additional customer and intrinsic value. CSD has offered to evaluate its own operations to identify additional efficiencies and cost savings and will provide a plan to reduce its costs through the development of the 2009-10 budget. If CSD can complete their analysis and provide a reasonable cost savings plan that justifies keeping the services in-house, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Auditor’s update as of Sept-2009: In process. CSD reports that the Public Works Department is conducting an evaluation of the impact of prevailing wage payment on construction and maintenance projects. This evaluation will occur over the next year with a report back to the Policy & Services Committee in the spring of 2010. Additionally, during the FY 2010 budget process, CSD identified $23,040 in temporary salary reductions within the Open Space & Parks division budget. With recent retirements of park staff, CSD reports that it intends to take advantage of openings to convert regular positions to contract positions where possible, subject to the meet and confer process. Staff has identified two maintenance position vacancies that might allow contract maintenance options at Rinconada Park. If an additional position is vacated through attrition, CSD might be able to explore options to contract out turf mowing services at additional sites. The City Manager’s FY 2010 Operating Budget identified the possible need to revisit additional reductions as a “Tier 2” list, which included $123,000 in estimated savings for contracting out park maintenance at Mitchell and Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 16 Audit report and recommendation Department Current status Comments Rinconada Parks, along with mowing at some City facilities. Target date: July-2010 Auditor’s update as of July 2010: Completed. According to staff, during FY 2010 CSD took advantage of two recent retirements of park maintenance staff and contracted out the maintenance and grass mowing of Rinconada Park, the Lucie Stern Community Center landscaping and landscaping around the Junior Museum and Zoo. With the expiration of the three-year park and facility landscape maintenance contract with Loral Landscaping in June, 2010, Parks staff solicited bids for landscaping and park maintenance, including for Mitchell, Rinconada and Greer regional parks. In addition to accepting the bid for the existing maintenance of small parks, medians and facility landscaping, Parks recommended to Council that contract maintenance be expanded to include Rinconada Park, Mitchell Park and the Lucie Stern Center. By contracting out these areas four FTE will be reduced from the permanent staff and will result in a salary and benefits savings of $251,200 in the first year. The low bid received for the maintenance of Greer Park in the amount of $35,179 was comparable to current staff costs required for maintaining this particular park and therefore the contracting of this area was not recommended at this time. #10: The Parks Division should obtain bids for landscape maintenance work including mowing at Baylands Athletic Center, El Camino Park, and the Bowling Green, and should consider contracting for such work. CSD Completed Original department response: Staff will collect and evaluate bid information as stated in recommendation #9. Auditor’s update as of Oct-2006: Not started. Invitations for bids are expected to be issued in November or December. Bids would be received and reviewed in January or February. Results would be reported to the City Council in March or April as part of the annual budget process. Target date: Spring 2007. Auditor’s update as of Oct-2007: In process. City staff continues to maintain these parks. The Department advises that bids were solicited in January. Seven firms attended the pre-bid conference. Bids were received from two landscape companies for four of the six sections of work. Bids were received, but have not yet been accepted, for the maintenance of the Baylands Athletic Center, El Camino Park (and playing fields), and the Lawn Bowling Green. A recent analysis by ASD based on current bids estimated that by contracting out El Camino Park and the Bowling Green for the next five years, Community Services could save $327,855. Based on current bids, Baylands Athletic Center was estimated by ASD to lose about $45,000 if contracted out. SEIU has asked for an opportunity to present a proposal to take back in- house some of the contracted sites while keeping the staffing levels the same as at present. This proposal is under consideration. A decision on whether to contract out Baylands Athletic Center, El Camino Park, and the Bowling Green has been delayed until after the SEIU proposal has Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 17 Audit report and recommendation Department Current status Comments been reviewed. Target date: TBD. Auditor’s update as of Nov-2008: In process. Parks staff advises that they met and conferred with SEIU in August 2007 regarding a proposal by SEIU to take back in-house some sites that are currently contracted out. However, after making the initial proposal, SEIU decided not to pursue it further. CSD staff further advises that the City is in the process of considering a requirement that state-mandated prevailing wages be paid for contracted work. CSD has advised that this would likely increase the cost of contracting out and negate potential savings. However, the Office of the City Auditor noted that for certain types of landscape work, the effect on the cost of contracted work would likely be minimal as the contractor’s proposed salaries appear to be consistent with the State’s current prevailing wages. There may be other types of contracted park work, though, that would cost more if prevailing wage is adopted by the City. A detailed analysis would be required, however, to determine which rates apply to Palo Alto. Additionally, CSD advises that although the bid proposals indicate the City could obtain savings through contracting out landscaping maintenance and mowing services, the department believes its level of service provides additional customer and intrinsic value. CSD has offered to evaluate its own operations to identify additional efficiencies and cost savings and will provide a plan to reduce its costs through the development of the 2009-10 budget. If CSD can complete their analysis and provide a reasonable cost savings plan that justifies keeping the services in-house, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Auditor’s update as of Sept. 2009: In process. As mentioned under recommendation #9, CSD plans to take advantage of staff openings caused by attrition to contract-out some park maintenance functions. CSD staff advises that maintenance of dedicated athletic facilities, such as the Baylands Athletic Center, El Camino Park and the Lawn Bowling Green demand higher levels of maintenance to ensure top quality play and special mowing schedules to accommodate user groups that may not be conducive to contracting out maintenance. Target date: July- 2010 Auditor’s update as of July 2010: Completed. With the expiration of the three-year park and facility landscape maintenance contract with Loral Landscaping in June, 2010, Parks staff solicited bids for landscaping and park maintenance, including for the Baylands Athletic Center, El Camino Park and the Lawn Bowling Center. In addition to accepting the bid for the existing maintenance of small parks, medians and facility landscaping, Parks recommended to Council that contract maintenance be expanded to include the mowing and maintenance of Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 18 Audit report and recommendation Department Current status Comments the Lawn Bowling Center. By contracting out this sports facility one FTE will be reduced from the permanent staff and will result in a salary and benefits savings of $62,800 in the first year. The low bid received for the maintenance of the Baylands Athletic Center in the amount of $32,517 was higher than current staff costs required for maintaining this particular athletic facility ($31,915) and therefore the contracting of this area was not recommended at this time. Although the low bid for the first year of mowing and maintenance services at El Camino Park of $8,049 was significantly lower than the in-house staff cost of $31,915 staff opted to continue to utilize in-house staff for this facility for a higher level of service and field maintenance for this heavily used sports facility. #18: The Parks Division and Public Works should consider how to increase the frequency of tree trimming in parks, and consider contracting for this work. CSD Completed Original department response: Staff concurs, and will evaluate whether including parks in the Public Work’s Area Tree Trimming program is an effective approach for parks tree maintenance. Public Works Operations Tree Maintenance Section annually obtains bids for tree maintenance in parks. The annual Area Tree Trimming contract provides for trimming of trees in Parks that are within the area scheduled for street tree trimming. Having the Parks staff obtain bids for tree trimming would potentially increase cost per tree for trimming, since the Area Tree Trimming contract involved a larger quantity of trees which usually means contractors bid lower prices. Staff will evaluate and implement a solution by December 2006. Auditor’s update as of Oct-2006: Not started. This will be addressed by the City Manager’s short term task force that is expected to convene in Fall 2006. Target date: Winter 2007. Auditor’s update as of Oct-2007: CSD staff advises that they have been working closely with the newly-appointed manager of Street/Trees Operation to inspect and evaluate park trees on an “as-needed” basis. Staff continues to actively participate with the City Manager’s Office in the development of an updated Urban Tree Master Plan. This updated plan is intended to include targets for tree inspections and pruning in park areas as well as along City streets. Target date: TBD. Auditor’s update as of Nov-2008: In process. Parks staff advises that they have worked closely with Public Works Operations (Tree Maintenance) to coordinate tree work in Parks. Public Works Operations’ staff advises that they are now using a hazard rating system that allows them to prioritize work. However, Public Works Operations advises that they are not able to inspect trees around play structures annually (as requested by Parks’ staff) due to insufficient staffing. They advise that they are working on converting an existing vacant position to a tree inspector position. Parks’ staff has recommended and the Office of the City Auditor agrees that the City Manager’s Office should assist in addressing the staffing Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 19 Audit report and recommendation Department Current status Comments shortage and identify ways to provide the appropriate levels of inspections to ensure public safety. If Parks and Public Works can provide documentation showing that the frequency of tree trimming has increased and that the trees near play structures are inspected at least annually, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: July-2009. Auditor’s update as of Sept. 2009: In process. The Public Works Department reports it is conducting on-going and systemic tree inspection and maintenance of trees in parks and open space facilities, especially in areas near picnic, playground and recreational facilities. The Public Works Department will begin tracking tree inspections near playgrounds to document that trees near play structures are inspected at least annually. The City Manager’s FY 2010 Operating Budget identified the possible need to revisit additional reductions as a “Tier 2” list, which included estimated savings of $46,000 for contracting out tree trimming and reduction of 1 FTE. Auditor’s update as of July 2010: In process. According to staff, CSD Park staff continues to work closely with Public Works tree staff to annually inspect and prune all trees in parks over playgrounds or picnic tables. Public Works reports that trees near play structures are inspected at least annually and will develop a mechanism to track these inspections during the upcoming months. CSD also notes that in addition to routine inspections by City arborists, park crews have made a concerted effort to report loose branches to the tree crew after storms or heavy winds. Of special note this year has been the coordinated response to falling branches from eucalyptus trees near a children’s playground at the Eleanor Pardee Park. Since first being noted in March 2010, CSD staff worked with the City Manager’s Office and Public Work s Department to remove six trees, systematically prune ten additional trees, and to monitor the remaining trees for their safety. During the entire three-month period the health and pruning of the trees was evaluated, the children’s playground and surrounding walkways were kept closed to the public for extra safety. No incidents or injuries related to trees or branches in any parks, playgrounds or picnic areas were reported during this period. Target date: June 2011. Auditor’s update as of March 2011: Completed. Public Works assigned specific numbering to every tree in the parks that are near a playground or picnic facility. All trees surrounding play areas and/or tables were inspected in Spring/Summer 2010. Using the individual numbering system, Public Works will again inspect all of the trees in Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 20 Audit report and recommendation Department Current status Comments 2011 and will trim any trees that are observed needing attention. In future years, Public Works will continue to provide the inspections at least once each year. Public Works crews also work collaboratively with Community Services staff to address any tree related issues that arise during the year. Individual Inspections are performed within 10 days of any potential work requested and immediately if there is any safety concerns or significant deficiencies that are observed. Public Works provided trimming services in 25 City parks during FY 2011. #21: Utilities should update the Landscape Water Efficiency Standards to: (1) clearly assign responsibility for required tasks for City sites (e.g. who is responsible for performing irrigation audits); (2) clearly explain the purpose of the irrigation audits (e.g., to compare water usage before and after new system is installed) with regard to City sites; (3) clarify that medians are covered; and (4) mmaakkee CCiittyy ssiitteess ssuubbjjeecctt ttoo tthhee mmaaxxiimmuumm wwaatteerr aalllloowwaannccee,, iiff ddeeeemmeedd aapppprroopprriiaattee.. Utilities Completed Original department response: Utilities will be reviewing and making appropriate changes to Landscape Standards, once the new State AB 2717 is approved by the Governor. (1) Each City project should have a project manager; this would be the person responsible for ensuring compliance with the Landscape Standards. (2) These audits will ensure the irrigation system was installed as planned by providing information on the systems distribution uniformity, sprinkler performance, system pressure, and irrigation scheduling. (3) As noted in the Auditor’s report, the City is overseeing 26 acres of medians. Redesigning of individual medians would not trigger the Landscape Standards. Therefore, Parks staff should ensure water efficient practices are within the Contractor’s scope of work or taken on by Parks staff for these small island projects. These changes will be addressed in the revision process of the Landscape Standards. Auditor’s update as of Oct-2006: Not started. AB 2717 passed in September 2004. It asked for a task force to determine recommendations on reducing outdoor water use throughout the state. In December 2005, the task force presented 43 recommendations to the Governor. AB 1881 is now in the process of updating the model water efficient landscape ordinance which incorporates the recommendations produced from AB 2717. The Department of Water Resources must finalize the updated model ordinance by January 31, 2009 and agencies must adopt the ordinance by January 10, 2010. Palo Alto’s update would occur by January 2010. Target date: Jan-2010. Auditor’s update as of Oct-2007: Not started. Utilities advises that DWR is still working on updating model ordinance. Target date: Jan- 2010. Auditor’s update as of Nov-2008: In process. Utilities advises that the DWR continues to work on updating the model ordinance and expects to adopt it in January or February of 2009. Utilities advises that as soon as it is adopted, the Palo Alto ordinance will then be updated. If the Utilities Department can provide documentation showing that the recommended updates have been incorporated into the Landscape Water Efficiency Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 21 Audit report and recommendation Department Current status Comments Standards, the Office of the City Auditor will then be able to consider this recommendation completed during the next follow-up process. Target date: Spring 2009. Auditor’s update as of Sept. 2009: In process. The Utilities Department advises that the State Department of Water Resources approved the updated Model Water Efficient Landscape Ordinance (MWELO) on September 10, 2009. This ordinance becomes effective on January 2010, unless an agency adopts a local model ordinance that is at least as effective as the State’s efficiency requirements. The Utilities Department is working with BAWSCA to develop a regional template model ordinance which can be applied to the City of Palo Alto. It is anticipated that the local model ordinance will be complete and ready for adoption by March 2010. To update the City’s Landscape Water Efficiency Standards, the Utilities Department plans to use the regional template model ordinance, and incorporate additional requirements to address the first and third elements of the audit recommendation (relating to assigning responsibility for the irrigation audits and clarifying median coverage). If the Utilities Department can provide documentation showing that the recommended updates have been incorporated into the City’s Landscape Water Efficiency Standards, the Office of the City Auditor will then be able to consider this recommendation completed during the next follow-up process. Target date: March 2010. Auditor’s update as of July 2010: Completed. Utilities Staff reports that the State Department of Water Resources passed a new CALGreen Green Building Code that included Water Efficiency Landscape Ordinance (WELO) requirements to address each element of the audit recommendation. The CALGreen Building Code becomes effective January 1, 2011 and the Utilities Department will be using these standards. Utilities Staff also notes that they are working with the Utilities Advisory Commission, Planning Commission, and Council on approval of a Palo Alto specific CALGreen Building Code, including WELO requirements. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 22 Audit report and recommendation Department Current status Comments AUDIT OF STREET MAINTENANCE (Issued 3/21/06) Finance Committee The objective of the audit was to review the criteria for prioritizing street repairs and to determine how well sub-surface work is coordinated. Of the 21 recommendations, 13 were previously completed, 1 was previously resolved/dropped, and 7 were completed this year. #1: Public Works and ASD should develop and propose a long-term resurfacing-reconstruction plan and funding strategy to address the street maintenance backlog Public Works and ASD Completed Original department response: Staff agrees with this recommendation and has made strides in reducing the backlog by increasing the lane miles maintained per year. The amount of lane miles maintained can vary every year depending on the amount of streets either receiving preventative or resurfacing/reconstruction pavement treatments. Sometimes the number of maintained lane miles is reduced when funds go towards improving street drainage by repairing damaged curb and gutter. The number of maintained lane miles increase when streets receive preventative maintenance such as slurry or cape seals, as less funds are then needed to make curb and gutter repairs. Preventative maintenance slows down deterioration of the streets, allowing staff to stretch dollars and increase lane miles maintained. Staff aggressively pursues additional federal, state and local funding for street maintenance to enhance the street program capital budget and has been very successful compared to other bay area cities. See Attachment A. This year alone, staff expects Surface Transportation (STP) funds for University Avenue, Embarcadero Road and Page Mill Road totaling an additional $788,000. In addition, staff expects to receive Bicycle Transportation Account (BTA) program funds for Hanover Street and Porter Drive totaling an additional $299,000. Federal, state and gas tax dollars are typically tied to selection criteria with priority on maintaining structural integrity. Auditor’s update as of Oct-2006: In process. Public Works will develop plan to address the backlog and ASD will address the financial issues related to the plan. This will be part of the discussion on increased funding for infrastructure during the 2007-09 budget process. Target date: Jan-2007. Auditor’s update as of Oct-2007: In process. The current 5-year capital improvement program includes a total of $1.3 million more in funding for the Street CIP (PE-86070) than the previous 5-year CIP. In addition, Public Works has been notified that the City has received additional grant funding in the amount of $1,959,956 to be expended by June 2011. Public Works will continue to seek additional funding to address the street maintenance backlog. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 23 Audit report and recommendation Department Current status Comments Auditor’s update as of Nov-2008: In process. Public Works staff reports three improvements to address the backlog of streets in “poor” condition. First, it has budgeted $2.195M each year in the 5-year CIP to fund street maintenance. The majority of these funds will be used to address streets in “poor” condition, with the residual being used to conduct preventative maintenance to help alleviate future backlogs. Second, Public Works is aggressively pursuing grant opportunities to augment the $2.195M in annual funds. Third, Public Works has modified its contract structure to reduce mark-up costs and anticipates this new approach will save up to 15% in street resurfacing costs, thereby allowing the City to resurface more lane miles. Through these strategies, Public Works estimates it will reduce the backlog from 100 lane miles in 2008 (21.3% of total lane miles), to 68 lane miles in 2011 (14.6% of total lane miles). Additionally, it estimates the condition of “excellent” streets will increase from 180 lane miles to 208 lane miles. Overall, Public Works staff advises that the City will not be able to completely eliminate the backlog as it is an ever changing figure and funds are limited. As Public Works completes its implementation of the new PMMS system, it will be able to compare the above results with other jurisdictions to see if this plan adequately addresses the backlog. If Public Works completes the PMMS conversion and obtains data that shows the decreased backlog and funding strategy has improved street conditions to become comparable, if not better, than other jurisdictions, the Office of the City Auditor will be able to consider this recommendation completed. Auditor’s update as of Sep 2009: In process. Public Works reports that due to anticipated reductions in gas tax revenues, the proposed appropriations for street maintenance projects were reduced by almost $0.4 million when compared to prior year levels. Public works reports it will continue to pursue grants and stimulus funding to augment the $1.8 million appropriated each year for the projects. ARRA stimulus funding for FY 2010 increased project funding by an additional $1.3 million. Target date: TBD. Auditor’s update as of July 2010: Completed. Public Works reports that the City budgeted an additional $2 million annually to augment the $1.8 million appropriated each year in the current 5-year capital improvement program. Staff states that the increased funding will be used to take advantage of the lower construction prices and will address the street maintenance backlog. Public Works reports that the infrastructure plan will be submitted to the Council appointed Infrastructure Blue Ribbon Task Force for further consideration. Public Works reports that staff will also continue to seek grant and stimulus funding to augment City budget. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 24 Audit report and recommendation Department Current status Comments #7: The City Manager should require City departments and contractors (including Utilities) to obtain street work permits and the approval of the Public Works Director or his or her designee before cutting any street; require justification of emergency street cuts to the Public Works Director within 1 business day of the street cut; and consider imposing street work permit fees on City Utilities to cover the cost of permitting and inspection (the same as any other entity). City Manager’s Office Completed Original department response: Staff agrees with the overall objective to improve coordination, which is addressed in responses to recommendations 6 and 19. Permitting is not the most cost effective or efficient use of resources as most street cuts that occur after the repaving of a street are the result of new utility services and required system repairs to subsurface utilities. The imposition of a permit will not stop the work from occurring. The issuance of a permit will also increase costs for the residents by forcing them to pay additional fees for service and increasing the cost of utilities. Again, the additional procedural processes will not significantly impact the number of street cuts nor will they improve the quality of the street surface. In the last part of the recommendation a proposal is made to charge City Utilities a fee for permitting and inspection of facilities. Currently, Utilities pays the cost of Public Works inspections on CIP and in-house Projects through interdepartmental transfers from the Utility Fund to the General Fund. Staff recommends requiring notification of emergency street cuts on a quarterly basis. Staff already requires private development contractors to obtain street work permits. Staff recommends requiring notification of emergency street cuts by in-house crews and contractors to the Public Works Director on a quarterly basis instead of within one (1) business day of the street cut as this would be difficult to administer. Auditor’s update as of Oct-2006: In process. ASD, Public Works and Utilities are developing a street work tracking system in GIS. Auditor’s update as of Oct-2007: In process. As an alternative to the recommendation, Public Works and the Utilities staff continue to improve coordination efforts by requiring the Utilities Operations section to provide a quarterly report on all street cut locations (including date, location, size of street cut, and reason for the work) This allows Public Works to monitor reported street cuts retroactively. In our opinion, the weakness of this approach is that it does not facilitate proactive coordination, or coordinated data tracking in the City’s GIS system. We will hold this recommendation “in process” while staff experiments with this approach. Auditor’s update as of Nov-2008: In process. Public Works reports Utilities Operations attends monthly coordination meetings with Public Works and makes non-emergency repairs before streets are resurfaced. This meeting also coordinates Utilities Capital projects with the annual Street Maintenance projects to ensure all planned Utility CIP work is completed before streets are resurfaced. Utilities Operations and Utilities Engineering report they provide a quarterly report to the Public Works Department on all street cut locations. The report includes locations, dates, sizes of the street cuts and the Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 25 Audit report and recommendation Department Current status Comments reason for the work. Public Works is drafting formal policies and procedures for coordinating project planning. The Office of the City Auditor will continue to monitor the adequacy and success of these efforts. If the Public Works and Utilities Departments can provide formal, written policies and procedures for coordinating projects to minimize and/or prevent street cuts and can provide copies of meeting minutes for the coordinating committees, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Target date: Dec-2008. Auditor’s update as of Sep. 2009: In process. Public Works reports it has drafted a new Street Work Coordination Policy and Procedure that is being reviewed by affected department heads before routing it to the City Manager’s Office for adoption and inclusion in the Citywide Policy and Procedures Manual. If the policy is approved and implemented by the next follow-up, the City Auditor’s Office will consider this completed. Target date: June 2010. Auditor’s update as of July 2010: Completed. Public Works Staff completed the Work Coordination Policy and Procedure, which includes provisions to coordinate street work and minimize damage to newly surfaced streets and sidewalks. The Policy states that the Director of Public Works is responsible for entering street resurfacing, street improvement, storm drain and sidewalk repair plans into the Project Coordinator System. #8: The City Manager should consider adopting and enforcing a 5- year moratorium on street cuts for newly resurfaced streets (with appropriate exceptions), and consider requiring streets to be resurfaced at least one lane width from a cut on a newly resurfaced street. City Manager’s Office Completed Original department response: Staff does not believe that a 5-year moratorium will significantly improve the quality of the pavement in Palo Alto but will consider imposing a penalty for cutting into a newly paved street. Most street cuts that occur after the repaving of a street are the result of private development requiring new utility services to customers and required system repairs to subsurface utilities. The moratorium will not stop these activities from occurring as the city can not impose a moratorium on private development, telephone companies, and other regulated entities. The other cities interviewed do not have comparably sized utility infrastructure work as compared to Palo Alto. Staff implements progressively higher fees for cuts into newly resurfaced streets. Collecting a fee and resurfacing a street when it is necessary is the easiest and most cost effective way to rectify pavement damage rather than require each project to resurface at least one lane width for a cut on a newly resurfaced street. Also, requiring Utilities to resurface at least one lane width would increase the cost of utility work which would need to be passed on to the rate payers in the form of increased utility rates. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 26 Audit report and recommendation Department Current status Comments Auditor’s update as of Oct-2006: In process. An internal staff working group including representatives from Public Works and Utilities has been convened to further define emergency work for City Utilities and require justification for emergency work; consider imposing penalties for street cuts on newly paved streets; and consider increasing street cut fees. Auditor’s update as of Oct-2007: In process. Public Works and Utilities are developing “targeted work zones” in neighborhoods that will encourage all utility work to be completed before the street is paved. The Public Works staff believes a moratorium will not be necessary as the coordination efforts improve. We will hold this recommendation “in process” while staff experiments with this approach. Auditor’s update as of Nov-2008: In process. As stated in Recommendation #7, Public Works is drafting formal policies and procedures for coordinating project planning. Public Works states, due to its current coordination efforts, a moratorium is not necessary as in most cases streets are paved after all the utilities are installed. Targeted work zones (TWZs) in neighborhoods have also encouraged utility work to be completed before final paving. The Public Works Director is waiving street cut fees in the TWZ as an incentive to coordinate work. According to PWD, with these incentives, cutting a newly paved street should happen only in emergency work situations. The City Auditor will continue to monitor the success of this alternative. The Utilities Department reports it has adopted trenchless construction techniques that are greatly reducing the number of street cuts in Palo Alto. By using trenchless technologies in its CIP projects, Utilities reports it has reduced the square footage of its street cuts by nearly 60% over the past three years and projects trenchless construction techniques will significantly reduce future street cuts and help alleviate the street maintenance backlog. Utilities plans to purchase an additional directional boring machine for its crews to use on their maintenance projects. Utilities state that the use of this equipment should further reduce the size of the street cuts in their operations. If the Public Works and Utilities Departments can provide formal, written policies and procedures for coordinating projects to minimize and/or prevent street cuts and can provide copies of meeting minutes for the coordinating committees, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Target date: Dec-2008. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 27 Audit report and recommendation Department Current status Comments Auditor’s update as of Sep. 2009: In process. Public Works reports it has drafted a new Street Work Coordination Policy and Procedure that is being reviewed by affected department heads before routing it to the City Manager’s office for adoption and inclusion in the Citywide Policy and Procedures Manual. If the policy is approved and implemented by the next follow-up, the City Auditor will consider this completed. Target date: June 2010. Auditor’s update as of July 2010: Completed. Public Works completed the Work Coordination Policy and Procedure, which includes provisions to coordinate street work and minimize damage to newly surfaced streets and sidewalks. Specifically, the Policy states that when developing Capital Improvement Projects, each department is responsible for observing the 5-year street cut moratorium on overlaid or reconstructed streets. In regards to “Unscheduled Work,” the Policy states that consideration will be taken by Public Works to wait for the 1-year warranty period to expire before resurfacing if possible, and that street cuts will be logged into the GIS by utilities operations staff monthly and be available for review in a street based map. #10: To facilitate coordination of surface and sub-surface street work, Public Works should consider dividing the City into at least 7 geographic zones with at least a 7-year planning horizon so that other divisions and entities also have a longer planning horizon. Public Works Completed Original department response: This recommendation would be applicable in a situation where all of the streets were of homogenous state of age, condition, and type of construction. Unfortunately, that is not the case in Palo Alto. The streets vary greatly in these criteria, particularly in type of construction. Palo Alto has a mix of both asphalt and concrete (some of which have been overlaid with asphalt) streets. For asphalt streets, a slurry seal is applicable as a preventative maintenance measure, in order to keep water from penetrating the pavement. For concrete streets, water is not a primary issue and slurrysealing will not correct its primary issue of ride quality. Given limited resources, streets need to be prioritized on a case-by-case basis to make sure the most appropriate and cost effective type of maintenance treatment is being utilized for that specific street’s age, condition and type of construction. This is demonstrated by the information shown in Attachment “D”. In Palo Alto, street maintenance activities do not lend themselves to geographic district groupings. Furthermore, the infrastructure priorities for street paving and utility rehabilitation do not align into geographic zones. Utility infrastructure priorities differ in maintenance and lifecycle replacement needs. Forcing the street maintenance and Utility infrastructure work into geographic zones would add to the required maintenance and infrastructure work scheduled. Auditor’s update as of Oct-2006: In process. In lieu of dividing the city into 7 or more geographic zones, Public Works and Utilities are Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 28 Audit report and recommendation Department Current status Comments working together to rank, coordinate, and prioritize street maintenance and utility work in targeted geographical zones. The South of Forest Area (SOFA) is the first zone; Utility work is in process with Public Works repaving to follow in summer 2007. Auditor’s update as of Oct-2007: In process. Public Works and Utilities are developing “targeted work zones” in neighborhoods that will encourage all utility work to be completed before the street is paved. Targeted work zones have been created for two neighborhoods, College Terrace and SOFA. These zones will require several years of planning. After Utilities completes its work, the streets will be resurfaced. We will hold this recommendation “in process” while staff experiments with this approach. Auditor’s update as of Nov-2008: In process. Public Works is drafting formal policies and procedures for coordinating project planning. Public Works staff recommends using Targeted Work Zones (TWZs) as an alternative to 7 geographic zones. This has been implemented in three neighborhoods: College Terrace, South of Forest Avenue (SOFA) and Crescent Park including several streets such as California Avenue and Arastradero Road. These areas require several years of planning and implementation where resurfacing a street is the last step after all utilities requiring replacement are installed. We will continue to monitor the success of this initiative. If the Public Works and Utilities Departments can provide formal, written policies and procedures for coordinating projects to minimize and/or prevent street cuts and can provide copies of meeting minutes for the coordinating committees, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Target date: Dec-2008. Auditor’s update as of Sep. 2009: In process. Public Works reports it has drafted a new Street Work Coordination Policy and Procedure that is being reviewed by affected department heads before routing it to the City Manager’s Office for adoption and inclusion in the Citywide Policy and Procedures Manual. If the policy is approved and implemented by the next follow-up, the Office of the City Auditor will be able to consider this completed. Target date: June 2010. Auditor’s update as of July 2010: Completed. Public Works completed the Work Coordination Policy and Procedure, which includes provisions to coordinate street work and minimize damage to newly surfaced streets and sidewalks. Specifically, the Policy states that “Targeted Work Zones” are to be designated by the Public Works Director and entered onto a City map in the GIS system and made available for viewing or plotting. The Policy also provides that the Utilities Department will evaluate infrastructure data in the Targeted Work Zone to determine if subsurface infrastructure maintenance repairs are required; a general schedule of the work to be completed Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 29 Audit report and recommendation Department Current status Comments will be developed by the combined group for each Targeted Work Zone that includes each department’s estimated construction schedules. #12: The City Manager should consider centralizing street restoration resources, including crews and equipment, in the Public Works Department. City Manager’s Office Completed Original department response: Staff agrees to further review the concept of centralizing street restoration resources though it is important to note that this has been previously considered and rejected due to scheduling and efficiency constraints. Several discussions will need to occur between Utilities Department and Public Works Department to resolve many concerns, which were not pointed out nor discussed in the audit. Coordination between trench restoration (backfilling/compaction) and preparation for trench paving is critical to make sure resources are not wasted. Street restoration is an important aspect of a utilities project and complications will likely occur when pieces of a project are assigned to other departments. Auditor’s update as of Oct-2006: In process. An internal working group has been convened to consider the cost/benefit of centralizing the City’s maintenance crews for trench restoration, tightening trench restoration specifications, and increasing inspection resources. Auditor’s update as of Oct-2007: In process. As an alternative to this recommendation, the Public Works and Utilities staff have issued new trench restoration specifications and are discussing where to store input, maintenance, and reference data. The staff is discussing how to increase inspection resources. We will hold this recommendation “in process” while staff experiments with this approach. Auditor’s update as of Nov-2008: In process. Public Works reports that after reviewing this concept as discussed, it determined that centralizing street restoration would be costly and result in delays in completing street restoration work. As an alternative, Public Works implemented the Targeted Work Zone, ensured Utilities staff attended monthly coordination meetings with Public Works, and is using the GIS project coordinator module to plan and coordinate CIP projects. The Utilities Department reports it has adopted trenchless construction techniques that are greatly reducing the number of street cuts in Palo Alto. By using trenchless technologies in its CIP projects, Utilities reports it has reduced the square footage of its street cuts by nearly 60% over the past three years and projects trenchless construction techniques will significantly reduce future street cuts and help alleviate the street maintenance backlog. Utilities plans to purchase an additional directional boring machine for its crews to use on their maintenance projects. Utilities state the use of this equipment should further reduce the size of the street cuts in their operations. In addition, Public Works reports the new trench restoration Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 30 Audit report and recommendation Department Current status Comments specifications and better coordination among Public Works and Utilities inspectors have improved street restoration. Public Works is drafting formal policies and procedures for coordinating the alternative TWZ planning process. We will continue to monitor the effectiveness of the TWZ initiative. If the Public Works and Utilities Departments can provide formal, written policies and procedures for coordinating projects to minimize and/or prevent street cuts and can provide copies of meeting minutes for the coordinating committees, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Target date: Dec-2008. Auditor’s update as of Sep. 2009: In process. Public Works reports it has drafted a new Street Work Coordination Policy and Procedure that is being reviewed by affected department heads before routing it to the City Manager’s Office for adoption and inclusion in the Citywide Policy and Procedures Manual. Target date: June 2010. Auditor’s update as of July 2010: Completed. Public Works Staff completed the Work Coordination Policy and Procedure, which includes provisions to coordinate street work and minimize damage to newly surfaced streets and sidewalks. Specifically, the Policy states that street work coordination will take place during routine monthly meeting, and that the Public Works Director is responsible for scheduling the meeting. #20: Public Works should consider switching to the MTC Streetsaver system so that Palo Alto data will be compatible with the other cities in the Bay Area. If Public Works decides to keep PMMS, then it should revise the priority-setting algorithm, add a budget optimization component, review maintenance tables, review PCI breakpoints, and establish a process for reviewing future changes to tables and breakpoints. Public Works Completed Original department response: Staff will consider these recommendations and report back at the end of the year with the results of the City’s PMMS and MTC’s StreetSaver comparison and the appropriate application of MTC grant funds. Auditor’s update as of Oct-2006: In process. The Public Works staff has applied for a grant to compare the City’s PMMS and MTC’s StreetSaver systems to determine how the City’s pavement conditions can be compared with other cities in the Bay Area. Auditor’s update as of Oct-2007: In process. A consultant was hired to evaluate the City’s PMMS software and to compare the City’s PMMS with the MTC Streetsaver software. A draft report is expected in Fall 2007. Auditor’s update as of Nov-2008: In process. Public Works reported a consultant was hired to evaluate the MTC and City pavement software. The consultant developed a model and the City is in the process of beta testing it to determine if the City’s pavement management system modifications correlate with pavement condition scores in the MTC Streetsaver system. Testing should be completed by December 2008. The final report will be available in February 2009 Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 31 Audit report and recommendation Department Current status Comments and subsequently submitted to MTC for certification. If Public Works completes the PMMS conversion and can demonstrate system capabilities that are equal to or better than MTC Streetsaver qualities, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Auditor’s update as of Sep. 2009: In process. Public Works reports it is continuing to work with a consultant to verify the modifications made to the City’s PMMS to ensure the pavement condition scores correlate with the MTC Streetsaver system. Public Works reports a meeting is scheduled with the consultant for Oct. 2009. Public Works reports it is hopeful the PMMS modifications will be successful in duplicating MTC streetsaver pavement condition scores and will demonstrate capabilities that equal or exceed MTC Streetsaver qualities by providing a direct link to the City’s GIS system. Auditor’s update as of July 2010: Completed. Public Works Information Technology Staff worked with a consultant to demonstrate that the City’s PMMS modifications resulted in correlating the City’s pavement scores with the MTC’s Streetsaver pavement condition scores. MTC included the City’s pavement index scores in their annual report for 2009, and the report shows the City scored in the “Good” range, tying with Saratoga and Los Gatos. According to Public Works, the City will continue to correlate pavement scores while using the City’s customized PMMS to take better advantage of the City’s GIS applications. #21: Public Works should apply for an MTC grant either to upgrade its current PMMS system, or to switch to MTC StreetSaver, integrate StreetSaver into the City’s GIS, and conduct a survey of street conditions. Public Works Completed Original department response: Staff will consider these recommendations and report back at the end of the year with the results of the City’s PMMS and MTC’s StreetSaver comparison and the appropriate application of MTC grant funds. As in all pavement management and computer systems, the output of results is only one tool used to determine street selection and does not describe the entire process. This was evident in discussions with other cities. The purpose of this response is to educate and clarify the goals and efforts towards providing the best street quality, minimizing the use of city funds to accomplish street maintenance and staying competitive using the latest technology available. The goal of the annual street maintenance project is to reduce street deterioration, maintain the structural integrity, and ride quality in the most cost effective manner while coordinating with the public and other projects to ensure timely completion. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 32 Audit report and recommendation Department Current status Comments Auditor’s update as of Oct-2006: In process. Public Works has applied for a grant to compare the PMMS system and MTC’s Street Saver, with the goal of making PMMS compatible with MTC’s StreetSaver while maintaining the PMMS link to the City’s GIS system. Auditor’s update as of Oct-2007: In process. A consultant was hired to evaluate the City’s PMMS software and to compare the City’s PMMS with the MTC Streetsaver software. The consultant is expected to identify software enhancements needed to make PMMS similar to MTC’s software. A draft report is expected in late September 2007. Auditor’s update as of Nov-2008: In process. Public Works reports a consultant was hired to evaluate the MTC and City pavement software and developed modifications to the PMMS system that the City is testing to determine if the modifications correlate with the MTC Streetsaver system pavement condition scores. Testing should be completed by December 2008. The final report will be available in February 2009 and submitted to MTC for certification. If Public Works completes the PMMS conversion and can demonstrate system capabilities that are equal to or better than MTC Streetsaver qualities, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Auditor’s update as of Sep. 2009: In process. Public Works reports it is still working with a consultant to verify that the modifications to the City’s PMMS are acceptable. Public Works staff report it used the PMMS modifications to perform a biannual pavement inspection and used the PCI scores to quantify the City’s backlog of street projects. The results will be used to develop a new 5-year strategic plan for paving the City streets. Target date: July-2010 Auditor’s update as of July 2010: Completed. Public Works Information Technology Staff worked with a consultant to demonstrate that the City’s PMMS modifications resulted in correlating the City’s pavement scores with the MTC’s Streetsaver pavement condition scores. MTC included the City’s pavement index scores in their annual report for 2009, and the report shows the City scored in the “Good” range, tying with Saratoga and Los Gatos. According to Public Works, the City will continue to correlate pavement scores while using the City’s customized PMMS to take better advantage of the City’s GIS applications. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 33 Audit report and recommendation Department Current status Comments AUDIT OF LIBRARY OPERATIONS (Issued 7/9/07) Finance Committee The purpose of our review was to identify potential operating efficiencies. Of the 32 recommendations, 28 were previously completed, and 4 were completed/resolved this year. #3: The City should fund ongoing, routine replacement of outdated furniture, shelving and minor repairs in Library facilities. Library Completed Original department response: This recommendation is consistent with one of the recommendations in the Library Advisory Commission’s LSMAR report. Staff concurs. This recommendation will be implemented as a request through the 2009-11 budget process. Auditor’s update as of Nov-2008: In process. Library staff advises that the additional cost of routine replacement of furnishings and equipment for the three library bond measure projects was included as part of the estimated additional operating expenses for these facilities. The estimate is $25,000 more than the Library’s FY 2008-09 allocation of $24,000. According to the Library, a funding proposal to address this recommendation will be developed as part of the Library’s FY 2009-11 proposed budget. If the proposal is adopted, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Jul-2009. Auditor’s update as of Sept. 2009: In process. The Library Department reports that the economic climate and construction on 3 libraries precluded a FY 2010 budget request for this recommendation. The Library Department may consider submitting a budget request after construction is completed. Auditor’s update as of July 2010: Completed. Although faced with Citywide FY 2011 budget cuts, the Library Department reports progress in developing alternative funding strategies for shelving, furniture and equipment. The Library Department’s implementation of the Measure N Library Bond Measure will expand and renovate three of the five library branches. Part of the implementation plan includes a budget for furniture, fixtures and equipment (F,F&E). The F,F&E budget is not included in the bond proceeds; however, the Library Foundation is conducting significant fundraising efforts to support funding in this area. College Terrace Library will reopen in FY 2011, with some new shelving and furniture that will be funded with grants from the Friends of the Library. In addition, the Public Works Department’s development of the City’s Capital Improvement Plan includes funding for minor repairs at City facilities, and individual projects are considered each year. Library staff anticipates on-going annual operating costs estimated at $1 million after the Library Bond Measure projects are completed; this estimate includes some funding for furniture and equipment. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 34 Audit report and recommendation Department Current status Comments #13: One goal of schedule changes should be to reduce or eliminate overtime pay on Sundays for full-time employees. Library Resolved Original department response: Staff will explore the feasibility of this recommendation and would be required to meet and confer with SEIU to make changes in the current practice. It has been the practice to pay overtime for Sunday work by full-time regular staff since 1979. The amount spent by the Library for overtime in a recent twelve-month period was $45,500. This represented 1155 hours, or approximately 0.55 FTE, with 80% of the total hours worked on Sundays. Elimination of overtime pay on Sundays would result in a loss of approximately 0.4 FTE, and will require the establishment of alternative work schedules. The target completion date is the end of FY 2007-08 to complete feasibility study and establish need to meet and confer with SEIU. Auditor’s update as of Nov-2008: In process. Library staff advises that the Library and Human Resources are reviewing this recommendation. Sundays are staffed with a combination of regular and hourly staff. It is Library policy to have regular staff assigned to work whenever a library is open as they are responsible for the safety of the public, overall operation of the facilities, and ensuring proper cash handling procedures. When full-time employees work on Sundays, it is in addition to their regular 40 hours per week schedule. The Library staff advises that to eliminate overtime pay for full-time employees would require a reduction in the number of hours that can be worked the rest of the week – typically 5 less hours for each full- time employee working on a Sunday. This would make it difficult to meet the City’s standard work week of forty hours worked within five consecutive days, and on average, there would be 16 hours less per week available to staff all libraries Monday-Saturday. This recommendation will be evaluated along with Recommendation #14 since both involved scheduling. If the Library can demonstrate that it has analyzed schedules with serious consideration of how to reduce or eliminate overtime pay, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: June-09. Auditor’s update as of Sept. 2009: In process. The Library Department reports that a team is studying this recommendation. The Library Department reports that it shifted staff between branches and beginning in FY 2010, it added 4 hours of weekly service at the Mitchell Park and Downtown branches. The Library staff decreased by approximately 3.5 FTE in FY 2010 so the possibilities for expanding hours at Mitchell Park may not occur. Target date: TBD Auditor’s update as of July 2010: Resolved. Library Staff reports that the City’s need to make budget reductions resulted in a Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 35 Audit report and recommendation Department Current status Comments recommendation to the City Council to reduce library hours in FY 2011. This and other service level reductions for FY 2011 resulted in a reduction of approximately 3.4 FTE (12 positions) from the Library’s FY 2011 staffing levels. The elimination of Sunday overtime pay for full-time regular staff cannot be accommodated without additional hour reductions or reducing staff coverage on other days to unacceptable levels. Based on the Council Finance Committee’s review of the proposal to close all libraries on Monday, it is clear that another alternative to achieving overtime savings – i.e. close libraries on Sundays – would not be acceptable. The Library Department recommends dropping this recommendation given the current staffing levels and service hour reductions that were implemented in July 2010. The Auditor’s Office considered the Library Department’s request and notes that the reduction in hours resulted in a budget savings of $110,000 (more than the FY 2011 overtime budget of $57,800). Although the savings resulted in fewer Library hours rather than a reduction of overtime expense, the Auditor’s Office agrees the staffing impact involved in scheduling changes on Sundays would be difficult for the Library Department to absorb in addition to the recent service level reductions. If the service hours are restored in future budget, we would recommend the Library Department revisit this audit recommendation. #17: The Library should propose a simplified job title structure and Human Resources should assist the Library with its implementation. Library Resolved Original department response: Library and Human Resources staff agrees to review library job titles towards the goals of simplifying the structure and having broader band pay ranges for some positions, while maintaining an adequate career path. As the Auditor points out, changes in job titles or job description will require the City to meet and confer with SEIU. The completion date is to be determined. Auditor’s update as of Nov-2008: In process. Library and Human Resources staff have met to review the Library’s job title structure. It was agreed that one library specific classification could be eliminated and that the job descriptions of two classifications should be reviewed and updated as needed. The City will meet and confer with SEIU to submit any proposed changes as part of the 2009-11 budget. If the Library can demonstrate the issues were addressed with SEIU and the decisions about simplifying the job title structure were made accordingly, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Jan-2009. Auditor’s update as of Sept. 2009: In process. During the 2009 mid- year budget process, the Library Department proposed to simplify its structure through the consolidation of two job titles (by reclassifying 5.5 Library Assistant positions to Library Specialist positions). This Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 36 Audit report and recommendation Department Current status Comments was not approved since the reclassification would have increased budgeted costs by $32,340. The Library Department will try to propose a simplified structure during the next budget cycle. Target date: July-2010 Auditor’s update as of July 2010: In process. The Library Department did not propose funding this simplified structure for FY 2011 as the cost to make these reclassifications was not aligned with the City’s need to implement budget reductions. However, the Library Department intends to pursue this recommendation in the future. Target date: July 2011. Auditor’s update as of March 2011: Resolved. The Library Department submitted a proposed change to simplify its job title structure in the FY 2012 budget. This change was not recommended by ASD Budget and the Human Resources Department. According to staff, Human Resources performed a classification study and found that this reclass was inappropriate. #18: The Human Resources Department should complete as soon as possible the 2003 Audit of Overtime Expenditures recommendations #15 regarding an FLSA review of all City job titles and #18 regarding overtime pay to Management employees. Human Resources Completed Original department response: The Human Resources Department is currently conducting the first phase of the review by way of a Management Classification/Compensation Study. This study will be completed by December 2007 and will provide current job descriptions and a basis for determining the appropriate compensation method. Following the completion of the study, the HR Department in collaboration with the City Attorney will commission an FLSA audit using the data from the study to address and resolve this issue. Staff agrees to meet and confer with SEIU on this issue by the end of FY 2007-08 and address it through the next round of contract negotiations in 2009. Auditor’s update as of Nov-2008: In process. With regard to overtime audit recommendation #15, Human Resources advises that management/professional job descriptions are now completed and the FLSA review will begin in March 2009. With regard to this recommendation #18, Human Resources advises that a statement related to management leave and overtime pay will be proposed as an addition to the next revision of the management compensation plan. Target date: for recommendation #15, TBD; for recommendation #18, July-2009. Auditor’s update as of Sept. 2009: In process. With regard to overtime audit recommendation #15, Human Resources reports the City Attorney’s Office has contracted with outside council to review the FLSA designation of 63 positions in the management/professional group. Remaining positions will be reviewed upon completion of the management classification & compensation study, currently Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 37 Audit report and recommendation Department Current status Comments underway. With regard to recommendation #18, because the FLSA study is not yet completed, Human Resources deferred implementing the recommended wording specifying that management leave is granted in lieu of overtime pay, and has not yet determined how to address the category of employees who receive both management leave and overtime pay. If the HR Department is able to complete both of the audit recommendation requirements, the Office of the City Auditor will be able to consider this recommendation completed during the next follow-up process. Target date: Dec. 2010 Auditor’s update as of July 2010: In process. According to HR, progress has been made on Recommendation #15: 93 positions within the management/professional group required FLSA review. HR completed job descriptions and finalized them from June 2009 through July 2010. HR reports that all 93 job descriptions were submitted to outside counsel for FLSA review, 78 have been completed and 15 are in-progress. For Recommendation #18, once the FLSA study is completed, staff will be determining how to treat employees that currently receive both management leave and overtime pay. The recommended wording specifying that management leave is granted in lieu of overtime pay has not yet been finalized. Target date: Nov. 2010. Auditor’s update as of March 2011: Completed. The FLSA study is complete. In conformance with the City’s merit rules and regulations, overtime will only be paid to managers who were determined to remain non-exempt. Effective February 26, 2011, managers who were previously considered non-exempt and have now been determined to change to exempt status will no longer receive overtime pay. AUDIT OF EMPLOYEE ETHICS POLICIES (Issued 1/23/08) Policy and Services Committee The objective of this audit was to review the City of Palo Alto’s procedures for ascertaining and handling potential conflicts of interest among City employees, and to assess the need for an employee ethics policy. Of the 7 recommendations, 3 were previously completed, 1 was completed this year, and 3 are in process. #2: Department heads and supervisors of employees in designated positions should review, and initial, employee Form 700s before the forms are filed with the City Clerk. City Manager’s Office Completed Original department response: The City Attorney’s Office will take the lead in developing and implementing a training program on employee form 700s. In conjunction with that training, a procedure requiring department head review prior to submission to the City Clerk will be developed and implemented. Development of the program will be accomplished by June 30, 2008. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 38 Audit report and recommendation Department Current status Comments Auditor’s update as of Nov-2008: In process. The City Manager staff agreed to implement a process requiring department head and supervisor review of an employee’s Form 700 if an employee has a reportable interest or on receipt of a complaint. Furthermore, staff has advised us that the City Clerk will include in the filing notification that employees are responsible for identifying and avoiding conflicts of interest. It will be the employee’s responsibility to be aware of potential conflicts and to identify these on their Form 700 documents and to their supervisor as necessary. Supervisors should ensure that employees are not involved in a decision-making capacity with respect to any of their reportable interests. The ethics training incorporated in the Form 700 training will also address these issues. If the City Clerk’s Office provides sample copies of Form 700s that show supervisory review and sign-off for those Form 700s with reportable interests, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Auditor’s update as of Sep. 2009: In process. The Auditor’s Office reviewed the Forms 700 on file with the City Clerk’s Office and did not find evidence of supervisory review and sign-off for those Forms 700 with reportable interests. Based on our follow-up review, there were 71 individuals with reportable interests, and only 2 Form 700s indicated supervisory review. To provide better direction to employees and ensure the recommendation is implemented, we would recommend that the City Manager’s Office lead the effort to develop a process requiring supervisory review and sign-off on Form 700s prior to employees filing with the City Clerk’s Office. During our next follow-up, if the City Clerk’s Office provides copies of Form 700s that show supervisory review and sign-off for those Form 700s with reportable interests, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Target date: June-2010 Auditor’s update as of July 2010: Completed. The City Manager’s Office sent a memo to department directors requesting they review and initial employee Form 700s before the forms are filed with the City Clerk. The Auditor’s Office reviewed the Form 700s on file with the City Clerk’s Office and found evidence of supervisory review for the majority of employee forms with reportable interests (55 out of 75). The Auditor’s Office provided this information to the City Manager’s Office. The City Manager’s Office reports that it will work with staff to ensure this practice is consistently implemented. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 39 Audit report and recommendation Department Current status Comments #4: The City should develop a code of ethics that employees can use as a guidepost for avoiding conflicts of interest, for ethical behavior, for deciding what actions are needed when conflicts of interest occur, and for making decisions. Employees should be required to read and sign an acknowledgment of the policy. City Manager’s Office In process Original department response: Staff will research what other cities have developed in terms of a comprehensive ethics policy and develop a policy for the City of Palo Alto by June 30, 2008. Auditor’s update as of Nov-2008: In process. City Manager staff reviewed the City Auditor’s sample ethics codes along with codes of other California cities and recommended a positive, values-based versus rules-based code that is brief, easily understood, and designed to build public confidence. Over the next 6 months, the City Manager’s Office will launch an effort to engage the organization in a series of conversations about ethical values and the development of a code of ethics. Further, the City Manager’s Office plans to develop a code of ethics, a training plan on the code of ethics, and is committed to work on developing a mechanism for employees to acknowledge receipt of ethics training. If the City Manager’s Office approves a formal copy of a code of ethics and implements a mechanism for employees to acknowledge receipt, the Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Auditor’s update as of Sep-2009: Not started. The City Manager’s Office reports that due to other priorities, implementation of this audit recommendation was delayed. Target date: TBD Auditor’s update as of July 2010: In process. According to the City Manager’s Office, they are in discussions with a consultant who designs and implements ethics policies and training programs for private and public agencies. If the consultant is hired, staff anticipates working over the next year to develop a Citywide code of ethics and ethics training program. Target date: March 2011. Auditor’s update as of March 2011: In process. The City retained the services of Dr. Tom Shanks of The Ethics Company in November 2010 to assist with the development of the City's values based ethics code of conduct, policy development and implementation, employee interviews, training implementation program and first round of citywide training. Target date: Project will last approximately 12-18 months and will be fully completed by spring, 2012. #5: The City should formalize its policy on ethics training and ensure that employees attend periodic training updates. City Manager’s Office In process Original department response: An ethics training program for all employees will be developed for the next training season. Auditor’s update as of Nov-2008: In process. As soon as the code of ethics is developed through the implementation of Recommendation #4, the City Manager’s Office and Human Resources will begin to implement an associated training policy and program. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 40 Audit report and recommendation Department Current status Comments If the City Manager’s Office develops and implements an ethics training program, provides copies of ethics class schedules, and copies of attendee lists, of the City Auditor will be able to consider this recommendation completed during our next follow-up process. Auditor’s update as of Sep. 2009: Not started. The City Manager’s Office reports that due to other priorities, implementation of this audit recommendation was delayed. Target date: TBD Auditor’s update as of July 2010: In process. According to the City Manager’s Office, they are in discussions with a consultant who designs and implements ethics policies and training programs for private and public agencies. If the consultant is hired, staff anticipates working over the next year to develop a Citywide code of ethics and ethics training program. The City Manager’s Office also notes that the Human Resources Department offers ethics classes and webinars through New Employee Orientation, the International City/County Management Association and others. Target date: March 2011. Auditor’s update as of March 2011: In process. The City retained the services of Dr. Tom Shanks of The Ethics Company in November 2010 to assist with the development of the City's values based ethics code of conduct, policy development and implementation, employee interviews, training implementation program and first round of citywide training. Target date: Project will last approximately 12-18 months and will be fully completed by Spring 2012. #7: The City Manager should form a working group to (1) establish policies and procedures for handling employee complaints of waste, fraud, and abuse through normal supervisory channels; (2) establish and monitor a hotline for anonymously reporting fraud, waste and abuse; (3) develop procedures for reporting, investigating, handling, and following-up on hotline reports; and (4) develop whistleblower policies and procedures. City Manager’s Office In process Original department response: The City will form a working group to develop a policy and procedure to ensure that employees have a way to report fraud, abuse, and waste, and that such complaints will be appropriately investigated and followed up on. Staff has a number of reservations about the Auditor’s recommendation to create a hotline for complaints, and will take the opportunity to talk to other cities and professional organizations prior to making a final determination as to how to achieve the very appropriate goals that led to this recommendation. Auditor’s update as of Nov-2008: In process. The City Manager’s Office formed a working group and developed a policy for employees to report complaints of waste, fraud and abuse. The City Manager will also work with the City Auditor and City Attorney to implement a hotline that would enable community members to register complaints with the City by Spring 2009. These hotlines may be administered by third party vendors who review and categorize the complaints. The Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 41 Audit report and recommendation Department Current status Comments City Auditor has expressed interest in the development of such a hotline, given recent changes with the State’s passage of AB2001 that provided City Auditors with the ability to protect confidentiality of complainants. The Office of the City Auditor will be able to consider this recommendation completed during our next follow-up process if the City Manager works with the City Auditor and City Attorney to implement a community hotline to receive and review complaints of waste, fraud and abuse, and to implement the procedures and reports outlined in this audit recommendation. Auditor’s update as of Sep. 2009: Not started. The City Manager’s Office reports that due to other priorities, implementation of this audit recommendation was delayed. Currently, members of the public can contact the City Auditor or City Manager directly to report instances of potential fraud, waste, and abuse. The City Manager reports interest in evaluating mechanisms for incorporating a fraud, waste and abuse hotline within a larger customer service/request tracking system. The City Auditor’s Office continues to express interest in the development of a dedicated fraud, waste, and abuse hotline and plans to report back to the Policy and Services Committee on this recommendation. Target date: TBD Auditor’s update as of July 2010: In process. At the July 29, 2010 Policy & Services Committee meeting, the Committee recommended that the City Council establish a fraud, waste, and abuse hotline organized under the City Auditor’s Office. The Committee also recommended the hotline be for employees only and that policy and procedures be established prior to the hotline implementation. The Policy & Services Committee recommendation will need to be reviewed with the City Council. The City Manager’s Office is currently working on the development of the Ethics policy, procedures, and training program, as noted in Recommendations #4 and #5. Target date: March 2011. Auditor’s update as of March 2011: In process. March 2011 Update: Per the direction of the Policy & Services Committee, the Acting City Auditor will update the City Council in June 2011, on a proposed hotline implementation. The update will include the cost of a third party vendor and proposed protocols for receiving and responding to complaints received through the hotline. The Auditor's Office will work with the City Manager's Office and the new City Attorney to develop general protocols for receiving and responding to complaints. Target date for completion: December 2011. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 42 Audit report and recommendation Department Current status Comments INFRASTRUCTURE REPORT CARD FOR PALO ALTO (Issued 3/4/08) Finance Committee The purpose of our review was to assess the results of the increased capital spending, and to assess the impact of increased capital spending on the City’s infrastructure including utilities – is the City making progress, losing ground, or just holding its own? Of the 10 recommendations, 1 is in process and 9 are deferred. Note from the Office of the City Auditor: At the time of issuance, management did not provide a recommendation-by-recommendation response to this report as is the case for most audits. Instead, the City Manager’s Office issued a statement that staff was in general agreement with the recommendations and would be providing a more detailed response at the March 18, 2008 Finance Committee Meeting. At the March 18 Finance Committee meeting, staff presented an update on the infrastructure backlog, however, no further responses were provided to address the audit report, presumably because the City Auditor position was vacant during this timeframe. In November 2008, the City Manager’s Office committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. The City Manager’s Office reports that due to other workload issues, it has not yet brought forth a comprehensive plan or status report to the Finance Committee. However, the City Manager gathered a team of ICMA government managers to evaluate the infrastructure challenges facing the City. The ICMA team was asked to develop a list of all infrastructure projects, evaluate funding mechanisms, and develop an engagement strategy. The ICMA team issued their report in September 2009, which confirmed the audit report’s findings and recommendations. Additionally, the City incorporated $2M in on-going infrastructure funding into the City’s long-range financial plan as a “placeholder” until a strategic direction is more fully developed. In March 2010, the Council considered a Colleagues’ Memo requesting that the Council appoint an Infrastructure Blue Ribbon Commission (IBRC). The Policy & Services Committee ultimately made recommendations to Council about the scope and structure of this Commission and recruitment and selection of the Commission is underway. The City Manager’s Office anticipates that many of the audit report recommendations will be addressed either directly by the IBRC or simultaneously with the work of the IBRC. The work of the Commission will continue until spring of 2011. #1: The City should adopt the Government Finance Officers Association Recommended Practice “Capital Maintenance and Replacement” as City policy. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Auditor’s update as of Sep. 2009: Not started. Due to other workload issues, the City Manager’s Office has delayed implementation. Auditor’s update as of July 2010: In process. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), the City Manager’s Office anticipates the IBRC’s work will lead to a City policy that incorporates the GFOA’s recommended practices for Capital Maintenance and Replacement. Auditor’s update as of March 2011: Deferred. The IBRC is now fully operational and the City Manager’s Office anticipates that the IBRC Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 43 Audit report and recommendation Department Current status Comments work will lead to a policy recommendation to the City Council that incorporates GFOA recommended practices for Capital Maintenance and Replacement. The City Auditor’s Office recommends that this recommendation be deferred until June 2012, when the IBRC completes it work and the City Council has had an opportunity to act on the IBRC’s recommendations. #2 (GFOA recommended practice): Develop and maintain a complete inventory of all capital assets. This inventory should contain essential information including engineering description, location, physical dimensions and condition, “as-built” documents, warranties, maintenance history, book value and replacement cost. Operating cost information could also be included. Database and geographic information technologies should be employed to assist in this task. City Manager’s Office Public Works, Utilities, ASD In process Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Auditor’s update as of Sep-2009: In process. The Public Works Department formed a Capital Improvement Program Committee to develop a workplan for enhancing the current inventory system. The Utilities Department reported that it identified inventories of key individual assets stored in a variety of databases used to maintain and track assets. Auditor’s update as of July 2010: In process. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), the City Manager’s Office plans to convene a working group from the Public Works Department, Utilities Department, and Administrative Services Department. The working group will review the City’s capital asset inventory to ensure it is complete and contains essential elements noted in the audit recommendation. Target date: July 2011. Auditor’s update as of March 2011: In process. Staff is developing a comprehensive list of capital assets for IBRC’s use in analyzing infrastructure needs. Staff will provide the Auditor’s Office with this list when it is completed. Target date: May 2011. #3 (GFOA recommended practice): Develop a policy to require periodic measurement of the physical condition of all existing capital assets. Document the established methods of condition assessment. Periodically evaluate the capital program using data driven analysis of asset condition as well as past expenditure levels. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 44 Audit report and recommendation Department Current status Comments Auditor’s update as of Sep-2009: Not started. Due to other workload issues, the City Manager’s Office has delayed implementation. In the meantime, the Public Works and Utilities Departments have advised us they are using methods to identify the condition of their departmental inventories. Auditor’s update as of July 2010: In process. Staff notes that the City has a capital replacement and maintenance program for capital inventory including electric, gas, water, and other assets. These current on-going efforts need to be coordinated and a policy developed to encompass all existing capital assets. The City Manager’s Office advises that either the IBRC or a staff working group will be developing these efforts in the upcoming year. Target date: July 2011. Auditor’s update as of March 2011: Deferred. The IBRC is now fully operational and the City Manager’s Office anticipates that the IBRC work will lead to a policy recommendation to the City Council that addresses this recommendation. The City Auditor’s Office recommends that this recommendation be deferred until June 2012, when the IBRC completes it work and the City Council has had an opportunity to act on the IBRC’s recommendations. #4: The City should utilize the GIS system as a central coordinating tool and, to the extent feasible, an ongoing repository of infrastructure inventory and condition. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Auditor’s update as of Sept-2009: In process. Although a plan to utilize the GIS system as a central coordinating tool for all of the City’s infrastructure has yet to be developed, the Utilities Department is in the process of executing a contract to integrate the electric, water, gas, wastewater, fiber optic, traffic signal and street light utilities data (currently maintained in different databases or systems) into one geospatial design platform in the GIS database. The Utilities Department reports that this GIS database will serve as the sole repository of all Utilities infrastructure data and will allow querying and analysis capabilities. Auditor’s update as of July 2010: Not started. As the Infrastructure Blue Ribbon Commission (IBRC), or staff working group implement Recommendation #3, the City Manager’s advises that IT GIS staff will be evaluating the GIS system’s current use and inventory. The IT GIS staff will work with departments to identify opportunities for expansions Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 45 Audit report and recommendation Department Current status Comments and coordination of using the GIS system as a repository for infrastructure inventory and condition. Target date: July 2011. Auditor’s update as of March 2011: Deferred. Staff working with the Infrastructure Blue Ribbon Commission (IBRC) is developing an inventory of all General Fund infrastructure including City buildings, parks, open space, streets and sidewalks, parking lots, off-road pathways and bridges. This inventory will be assessed and cost estimates of maintenance requirements will be made as the IBRC works toward developing funding recommendations for Council consideration. The next step will be to develop and infrastructure asset management system that may be linked to the City GIS system. The asset management system would be used to track and update infrastructure maintenance needs on an ongoing basis to allow staff to keep-up with infrastructure backlog. #5 (GFOA recommended practice): Establish condition/functional performance standards to be maintained for each component of capital assets. Such standards may be dictated by mandated safety requirements, federal or state funding requirements or applicable professional standards. Use these standards and a current condition assessment as a basis for multi-year capital planning and annual budget funding allocations for capital asset maintenance and replacement. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Auditor’s update as of Sep-2009: Not started. Due to other workload issues, the City Manager’s Office has delayed implementation. Auditor’s update as of July 2010: In process. Staff notes that the City has a variety of standards for different components of the capital inventory. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), the City Manager’s Office plans to convene a working group from the Public Works Department, Utilities Department, and Administrative Services Department. The working group will evaluate how standards can be coordinated, expanded and developed for us in multi-year infrastructure planning and budgeting. Target date: July 2011. Auditor’s update as of March 2011: Deferred. Staff notes that the City has a variety of standards for different components of the capital inventory. Now that the IBRC is fully operational, the City Manager’s Office anticipates that IBRC will evaluate how standards can be coordinated, expanded, and developed for use multi-year planning and budgeting for infrastructure. The Auditor’s Office recommends that this recommendation be deferred until June 2012, when the IBRC Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 46 Audit report and recommendation Department Current status Comments has completed its work and the City Council has had an opportunity to act on the IBRC’s recommendations. #6 (GFOA recommended practice): Develop financing policies for capital maintenance/replacement which encourage a high priority for those capital programs whose goal is maintaining the quality of existing assets. Consider earmarking fees or other revenue sources to help achieve this goal. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Auditor’s update as of Sep. 2009: In process. During our mid-year review, the departments reported that Council directed staff to fund the Infrastructure Reserve annually to ensure Capital expenditures maintain the quality of existing assets however, these transfers have been impacted by unprecedented downturns in the economy. Transfers from the general fund have been reduced and the possibility exists that further funds may not be transferred in the current and upcoming facial year. Staff is working on establishing new revenue to address the significant backlog and will readdress the plan once the general fund stabilizes from the current recession. Until then, the City incorporated $2M in on-going infrastructure funding into the City’s long-range financial plan as a “placeholder”. Auditor’s update as of July 2010: In process. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), staff anticipates the IBRC will provide recommendations to assist staff efforts related to this audit recommendation. Target date: July 2011. Auditor’s update as of March 2011: Deferred. The IBRC is now fully operational and fully engaged in analyzing the City’s infrastructure backlog. The IBRC’s work will address financing strategies for addressing the infrastructure backlog. The Auditor’s Office recommends deferring this recommendation until June 2012, when the IBRC has completed its work and the City Council has had an opportunity to act on the IBRC’s recommendations. #7 (GFOA recommended practice): Allocate sufficient funds in the multi-year capital plan and annual operations budget for routine maintenance, repair and replacement of capital assets in order to extend the useful life of these assets and promote a high level of performance throughout the target period. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 47 Audit report and recommendation Department Current status Comments Auditor’s update as of Sep. 2009: In process. On a case-by-case basis, funds are allocated in the 5-year CIP and in departmental operating budgets to provide repair and replacement of capital assets in order to extend the useful life of assets as revenues allow. The Utilities Department reports that it currently has sufficient funds for the capital program. Additional funds may be necessary in the future to meet maintenance and operations functions due to regulatory requirements. The allocation of sufficient funds for the City’s Infrastructure inventory will depend on the development of a long-term infrastructure funding plan. Auditor’s update as of July 2010: In process. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), staff anticipates the IBRC will provide recommendations to assist staff efforts related to this audit recommendation. Target date: July 2011. Auditor’s update as of March 2011: Deferred. The IBRC is now fully operational and fully engaged in analyzing the City’s infrastructure needs. The IBRC’s work will address funding for ongoing maintenance to extend the useful life of the City’s capital assets. The Auditor’s Office recommends deferring this recommendation until June 2012, when the IBRC has completed its work and the City Council has had an opportunity to act on the IBRC’s recommendations. #8 (GFOA recommended practice): At least annually, report on capital infrastructure, including:  Condition ratings jurisdiction-wide  Condition ratings by geographical area, asset class, and other relevant factors  Indirect condition data (e.g. water main breaks, sewer back-up complaints)  Replacement life cycle(s) by infrastructure type  Year-to-year changes in net infrastructure asset value  Actual expenditures and performance data on capital maintenance compared to budgeted expenditures performance data (e.g. budgeted street miles reconstructed compared to actual). City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Auditor’s notes: Mid-Year status notes that other Auditor recommendations as they relate to assets are developed, the Capital Improvement Program Committee will review and determine the resource level required to meet this recommendation. Utilities tracks many of these in required reports to regulating bodies. Some of the data is tracked on an as needed basis. This could be done annually if required. Auditor’s update as of Sep. 2009: Not started. Due to other workload issues, the City Manager’s Office has delayed implementation. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 48 Audit report and recommendation Department Current status Comments Auditor’s update as of July 2010: In process. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), staff anticipates the IBRC will provide recommendations to assist staff efforts related to this audit recommendation. Target date: July 2011. Auditor’s update as of March 2011: Deferred. With the IBRC is now fully operational, staff anticipates that the IBRC will provide recommendations to address this audit recommendation. The Auditor’s Office recommends deferring this recommendation until June 2012, when the IBRC has completed its work and the City Council has had an opportunity to act on the IBRC’s recommendations. #9 (GFOA recommended practice): Report trends in infrastructure spending and accomplishments in the jurisdiction’s Capital Improvements Program including trends in spending, replacement cycle, and other important factors for each major infrastructure category. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Auditor’s update as of Sep. 2009: Not started. Due to other workload issues, the City Manager’s Office has delayed implementation. Auditor’s update as of July 2010: In process. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), staff anticipates the IBRC will provide recommendations to assist staff efforts related to this audit recommendation. Target date: July 2011. Auditor’s update as of March 2011: Deferred. With the IBRC is now fully operational, staff anticipates that the IBRC will provide recommendations to address this audit recommendation. The Auditor’s Office recommends deferring this recommendation until June 2012, when the IBRC has completed its work and the City Council has had an opportunity to act on the IBRC’s recommendations. #10: Staff should propose and the City Council should consider a sustainable capital budget that:  Provides additional funding for critical needs that have been identified in the infrastructure condition assessments, including construction cost inflation.  Lists all other unfunded needs that were identified in those assessments in the annual capital budget document. City Manager’s Office Deferred Original department response: Staff is in general agreement with the audit recommendations. Auditor’s update as of Nov-2008: Not started. Due to subsequent staff transitions in the City Manager’s Office, staff has not yet developed a comprehensive approach to implement the audit recommendation. The City Manager’s Office has committed to bring forth a comprehensive plan and status report to the Finance Committee by the end of January 2009. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 49 Audit report and recommendation Department Current status Comments Auditor’s update as of Sep. 2009: In process. The City incorporated $2M in on-going infrastructure funding into the long- range financial plan as a “placeholder” until a strategic funding plan is developed. The Infrastructure backlog was discussed during the development of the City’s 2010 Capital Budget, and the budget documents identify the amount of infrastructure backlog. The City Manager’s Office is working on developing a strategy for a sustainable infrastructure budget. Auditor’s update as of July 2010: In process. With the City Council’s appointment of an Infrastructure Blue Ribbon Commission (IBRC), staff anticipates the IBRC will provide recommendations to assist staff efforts related to this audit recommendation. Target date: July 2011. Auditor’s update as of March 2011: Deferred. With the IBRC is now fully operational, staff anticipates that the IBRC will provide recommendations to address this audit recommendation. The Auditor’s Office recommends deferring this recommendation until June 2012, when the IBRC has completed its work and the City Council has had an opportunity to act on the IBRC’s recommendations. AUDIT OF AMBULANCE BILLING AND REVENUE COLLECTION (Issued 02/02/09) Finance Committee The objective of the audit was to assess the overall efficiency and cost effectiveness of ambulance billing and collections. We also reviewed the City’s contract for ambulance billing services and evaluated the contractor’s compliance with key contract terms. Of the 17 recommendations, 11 were previously completed and 6 were completed this year. #7: The Fire Department should develop a written process for conducting spot checks of billed ambulance services to help ensure consistent billings Fire Completed Original department response: Staff agrees that a written policy will be developed and the Fire Department will confer with the Auditor’s Office to recommend the parameters for conducting the “spot “ checks. Auditor’s update as of Sep. 2009: In process. The Fire Department reports that it is conducting joint spot checks and follow-up with the contractor and ASD. The Fire Department plans to formalize this joint process through a written policy. Once this policy is completed and implemented, the Auditor’s Office will be able to consider the recommendation completed. Target date: June-2010 Auditor’s update as of July 2010: Completed. According to Staff, ASD and the Fire Department are conducting spot checks of accounts in different stages of billing. Staff also follows-up with the contractor during monthly meetings. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 50 Audit report and recommendation Department Current status Comments #9: Revenue Collections should work with the City Attorney’s Office to clarify the applicable statute of limitations for billing patients for ambulance service. ASD Completed Original department response: Staff agrees and has already initiated the process. Revenue Collections has had conversations with the Attorney’s Office and a meeting has been scheduled for follow-up. Revenue Collections will request annual reviews of the procedures to determine if changes are necessary. Auditor’s update as of Sep. 2009: In process. ASD reports that it is in the process of updating written procedures to provide better clarification of the applicable statue of limitation time periods. ASD will forward the procedures to the City Attorney’s Office for review and also plans to review them annually to determine if changes are necessary. Target date: June-2010. Auditor’s update as of July 2010: Completed. According to Staff, ASD met with the City Attorney’s Office to clarify the applicable statute of limitations for ambulance service, which allows for two years for oral contracts and three years for written contracts. Due to the operational difficulty of identifying the type of contract for each ambulance service transaction, Staff decided to implement the two- year limit for ambulance services and revised their procedures accordingly. #10: After completing recommendation #8, Revenue Collections should revise write-off procedures for ambulance billing revenue. The revised procedures should reflect actual practices and should cite the criteria used in deciding whether to write off accounts. ASD Completed Original department response: Staff agrees and will work to revise current procedures to reflect the recommendations and guidelines provided by the City Attorney’s Office. Auditor’s update as of Sep. 2009: In process. In conjunction with the written procedures for recommendation #9, ASD’s Revenue Collections is also revising the written procedures for ambulance billing write-offs. Target date: June-2010. Auditor’s update as of July 2010: Completed. ASD Revenue Collections revised the portion of the write-off procedures pertaining to ambulance billing and the City Attorney approved the revisions. #11: The City Manager’s Office should work with the Fire Department and the Administrative Services Department to identify key roles related to ambulance billing and to clarify in writing (with a table or matrix) specifically who is responsible for which roles. City Manager’s Office Completed Original department response: Staff agrees regarding the importance of this issue. ASD and Fire will work with the City Manager’s Office to clearly define the necessary roles and responsibilities to achieve this goal. Auditor’s update as of Sep. 2009: In process. The Fire Department and ASD report that they have been working together to identify key roles and responsibilities related to ambulance billing. Once these roles are finalized, the departments intend to submit a matrix to the City Manager’s Office for review and approval. Target date: June- 2010. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 51 Audit report and recommendation Department Current status Comments Auditor’s update as of July 2010: Completed. ASD and the Fire Department worked together to develop a matrix identifying the key roles and responsibilities related to ambulance billing. In addition, ASD and the Fire Department meet routinely with each other and the contractor to coordinate ambulance billing follow-up. #13: The Fire department should take a lead role in monitoring the accuracy of invoices from the ambulance billing contractor. This should include verifying the accuracy of the invoice by reviewing supporting documentation if necessary, to understand how the amount was calculated. Fire Completed Original department response: Staff agrees and the Fire Department will work to provide the necessary resources to satisfy this recommendation through reallocation of existing duties or other means. Auditor’s update as of Sep. 2009: In process. The Fire Department reports that it is implementing a new procedure to monitor the accuracy of ambulance billing invoices and to review supporting data. Target date: June-2010 Auditor’s update as of July 2010: Completed. The Fire Department developed a monitoring program to review invoices to identify missing information and ensure billing accuracy. The Fire Department incorporated the monitoring program into its update of General Orders under “Ambulance Audit Process.” #14: The Fire department should work with the Accounting Division in ASD to ensure the ambulance billing contractor’s commission adjustment related to refunds, is correct. Fire/ASD Completed Original department response: Staff agrees and will work with ASD to provide a mechanism for adjustments that is accurate. Auditor’s update as of Sep. 2009: In process. The Fire Department and ASD report that they are currently monitoring the contractor’s commissions and have established a process to review each monthly invoice for accuracy. They are planning to develop a written procedure to complete the audit recommendation. Target date: June- 2010. Auditor’s update as of July 2010: Completed. According to Staff, ASD Accounting reviews refunds and forwards them to Revenue Collections for review and approval. During monthly meetings with the contractor, ASD and Fire review the refunded payments and check for accuracy of the invoice. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 52 Audit report and recommendation Department Current status Comments AUDIT OF POLICE INVESTIGATIVE FUND (Issued 07/21/09) Finance Committee The purpose of our audit was to verify the accuracy of the reported cash on hand and assess controls over the use of the funds. The audit scope included a review of transactions since the prior audit in April 2007 through April 2009. Of the 3 recommendations, 2 were completed last year and 1 was completed this year. #1: In our opinion, the Police Department should continue its update of the Police Investigative Fund procedures. We recommend that the Police Department update the PIF procedures to reflect actual practices including integration of the PIF procedures into the Department’s approved policies. City Manager’s Office Completed Original department response: Staff agrees with the recommendation. Auditor’s update as of Sept.-2009: In process. The Police Department reports that updated procedures have been submitted to the Human Resources Department and should be included in the Police Department’s next updated policy manual. Target date: June 2010. Auditor’s update as of July 2010: Completed. The Police Department reports that the procedures were updated and approved. AUDITOR’S OFFICE REVIEW OF CITY TELEPHONE RATES AND CHARGES (issued 09/08/09) Finance Committee The objective of this review was to assess the overall cost effectiveness of the City’s landline telephone rates and charges. This review does not include cellular telephone rates and charges. The scope of our review covered local and long distance billing and call accounting data for the period of January through April 2009. We also reviewed telephone charges for fiscal years 2004-2009 to evaluate historical trends in telephone charges. We selected a sample of telephone calls from the City’s internal call accounting system and compared those calls to the City’s actual bills to ensure the call accounting system reports were appropriately generated. Of the 3 recommendations, 3 were completed this year. #1: ASD should obtain a phone service contract with competitive billing rates. ASD Completed Original department response: Staff agrees with the recommendation. Auditor’s update as of Sept.-2009: In process. Staff expects to have the CALNET 2 contract on the Council agenda by October 2009. Auditor’s update as of July 2010: Completed. On November 16, 2009, City Council approved the State of California CALNET 2 contract to order telecommunication services through SBC Global Services, Inc. dba AT&T Global Services for City-wide telecommunication services through January 2012. According to ASD, all of the lines and services were transitioned in 4 months and accounts were retroactive to the date of the signed contract, resulting in $120,000 in retroactive savings credits. In addition, under the new CALNET 2 contract, the City has decreased Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 53 Audit report and recommendation Department Current status Comments its monthly charges by approximately 40% and anticipates achieving the on-going annual savings of approximately $235,000 identified in the audit report. #2: ASD should obtain consolidated billing from the selected provider and develop a process to review bill payments for accuracy and appropriateness. ASD Completed Original department response: Staff agrees with the recommendation. Auditor’s update as of Sept.-2009: Staff is working with AT&T to develop an appropriate billing structure for the municipal services in the State CALNET 2 contract. Auditor’s update as of July 2010: Completed. After executing the CALNET 2 contract, staff coordinated with AT&T to consolidate over 30 accounts into 4 accounts. This consolidation saves staff time and results in only 4 monthly invoices to process. Staff also reported the following under the consolidated billing: · Accounts/invoices are broken down by the following types of service: circuits, measured business lines, PBX, and Public Safety lines. · All 4 invoices are now on the same bill cycle. · Invoice processing time has decreased significantly due to processing only 4 invoices and bill cycles being the same. · Prior to implementation of the audit recommendation, in fiscal year 2009, over 152 checks were processed for AT&T. With the audit recommendation implemented, staff expects no more than 48 checks will be processed annually. · IT Staff now has on-line access to all accounts to review charges and rates. #3: ASD should review the current telephone oversight policies and procedures and ensure that employees are provided with accurate information when they reimburse the City of personal calls. City Manager’s Office Completed Original department response: Staff agrees with the recommendation. Auditor’s update as of Sept. 2009: Completed. The Police Department added a section in the procedures to reflect that Revenue Collections will complete a random, annual cash count of the PIF. The PIF will also be subject to random audits from the external financial auditors and City Auditor’s Office. Revenue Collections reports that it is aware of this recommendation and will complete the random cash counts at times of their choosing. Auditor’s update as of July 2010: In process. IT Staff is currently revising policies and procedures for processing reimbursements. In addition, IT Staff is working with a third party vendor to obtain accurate call detail in the call accounting system. According to Staff, AT&T cannot provide call details because the City has a PBX system, and therefore continued use of a call accounting system is required. The CALNET 2 rates are currently being uploaded and IT staff is in the process of verifying the uploaded rates are accurate. IT Staff is Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 54 Audit report and recommendation Department Current status Comments prepared to provide call details to departments on a monthly basis. Target date: Oct. 2010. Auditor’s update as of March 2011: IT Staff worked with the third- party vendor to update the call accounting system with the new CALNET 2 rates. In addition, IT Staff met with representatives from each department to review the telephone (landline) policy, departmental responsibilities, employee responsibilities, and how to access telephone reports. Reports are available in a PDF format, as well as an on-line report application, built by IT Staff. The on-line application allows for individual staff members to review their own call details. In addition, the application allows select departmental representatives to report on department or division details, as well as perform exception reporting for high call usage or high call amounts. AUDIT OF FLEET UTILIZATION AND REPLACEMENT (Issued 04/14/10) Finance Committee Audit of Fleet Utilization and Replacement: Report analyzes the City's fleet utilization and replacement policies and practices; database completeness and accuracy; adequacy of internal controls; and strategy for promoting climate protection goals. Report identifies about $2.5 million in avoided expenditures for fleet replacements; long term efficiencies totaling $396,000 in potential annual cost avoidances; and $123,000 in alternative fuel revenue recoveries. Report recommends better and stable funding for the fleet and improved internal controls over fuel and parts inventories. Of the 22 recommendations, 5 were completed this year and 14 are in process, and 3 are not started. #1: Public Works Department fleet management should continue to freeze replacement of non-urgent vehicles and equipment until it can reduce the size of the fleet and increase utilization. Public Works In process Original department response: Staff agrees with the recommendation. Typically PWD Equipment Management submits vehicle and equipment replacement schedules with the Capital Improvement Program plan. These schedules prescribe purchases averaging $3M annually. In FY 2010 PWD Equipment Management did not submit a replacement schedule, and limited fleet purchases to urgently-needed vehicles and equipment only. This was done as a proactive step towards implementing the proposed audit recommendations. PWD Fleet Management will work collaboratively with the Administrative Services Department and the City Manager via a newly created Fleet Review Committee (FRC) to make fleet size and replacement decisions. Auditor’s update as of July 2010: In process. The FY 2011 Equipment Management Division Budget does not include a Vehicle Replacement CIP. Public Works Staff advises that until this recommendation is implemented, all vehicle replacements will be handled on an as-needed basis and any purchases will be made only after review and approval from the Fleet Review Committee (FRC). Target Date: May 2011. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 55 Audit report and recommendation Department Current status Comments Auditor’s update as of March 2011: In FY 2012 Equipment Management Division proposed budget does not include a Vehicle Replacement CIP. Public Works Staff advises that until this recommendation is implemented, all vehicle replacements will be handled on an as-needed basis and any purchases will be made only after review and approval from the Fleet Review Committee (FRC). The FRC communicated their reduction recommendations for underutilized vehicles to the departments allowing further discussion if necessary. The FRC has met with Planning, Community Services, Utilities, and Police. As a result of these discussions, 42 vehicles have already been removed or are currently being coordinated to be removed from direct assignment to the departments. Of these 42 vehicles, 16 are being moved to a communal motor pool and 26 removed from fleet inventory. Going forward staff will continue to adjust the pool mix while maintaining an appropriate level of vehicles. The fleet is comprised of 242 non-safety vehicles (sedans, vans and light trucks) and the elimination of these 26 vehicles from inventory represents a reduction of over 10%. Target Date: December 2011. #2: PWD Fleet Management should develop an action plan for increasing fleet utilization and identify an optimal fleet size and composition that includes eliminating or re-assigning underutilized vehicles, exploring opportunities to rent specialized equipment or seasonal use of equipment, not replacing vehicles, utilizing mileage reimbursement, rotating vehicles, and placing underutilized vehicles and equipment in a central motor pool. Public Works In process Original department response: Staff agrees with the recommendation. PWD Equipment Management initiated a review of underutilized vehicles which resulted in four vehicles being voluntarily returned by the departments. Staff will continue to evaluate transport vehicles already identified as underutilized, and will follow with an assessment of metered equipment. The City's vehicle policy will be revised to detail a more stringent review and approval process. Due to timing and existing workload in PWD Equipment Management and the Administrative Services Department, staff plans to seek outside assistance to compile, analyze and report out on recommendations relative to vehicle assignment, rotation, and utilization; the outsourcing of specialized equipment needs; motor pool options; mileage reimbursement, and pool car alternatives. This goal of this effort will be to maximize the utilization of fleet resources, and to improve the cost-effectiveness of the City Fleet in support of City programs; while assuring reliable service delivery. Auditor’s update as of July 2010: Not started. According to Staff, Public Works plans to develop an action plan to increase fleet utilization and identify an optimal fleet size and composition by first evaluating underutilized transport vehicles. Public Works has already begun to evaluate underutilized vehicles and is beginning to schedule meetings with the Departments where underutilized vehicles are assigned. After completion of the underutilized passenger vehicles, Public Works Staff will evaluate underutilized equipment. The results of these reviews will help inform the development of an optimal fleet size and options including eliminating or re-assigning underutilized Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 56 Audit report and recommendation Department Current status Comments vehicles, exploring opportunities to rent specialized equipment or seasonal use of equipment, not replacing vehicles, utilizing mileage reimbursement, rotating vehicles, and placing underutilized vehicles and equipment in a central motor pool. Target date: May 2011. Auditor’s update as of March 2011: In process. Public Works will develop an action plan to increase fleet utilization and identify an optimal fleet size and composition by first evaluating underutilized transport vehicles. Public Works and the FRC have begun the process of evaluating underutilized transport vehicles, meeting with affected Departments, and working on an implementation plan to reassign vehicles or remove them from the fleet. The results of this review will comprise the first phase in the development of an optimal fleet composition. After the optimization of the transport fleet is completed, Public Works Staff and the FRC will begin the evaluation of specialized vehicles and equipment. The optimization options being considered include but are not limited to: eliminating or re-assigning underutilized vehicles, exploring opportunities to rent specialized equipment or seasonal use equipment, not replacing vehicles, utilizing mileage reimbursement, rotating vehicles, and placing underutilized vehicles and equipment in a central motor pool. Target date: December 2013. #3: The Public Works Fleet Management should complete implementation of a centralized Citywide vehicle and equipment pool, and make the Citywide pool accessible to all departments. Public Works In process Original department response: Staff agrees with the recommendation. Staff has already commenced the implementation of a centralized, automated pool vehicle reservation system, beginning with existing pool vehicles located at located at the Municipal Service Center. This phase is scheduled for completion by summer 2010. The next phase will involve the addition of existing Civic Center pool vehicles to the automated system, and is scheduled for completion by June 20 11. In order to include other City facilities such as Lucie Stem, Elwell Court, and the libraries in the automated system, additional funding may be necessary. Staff will discuss the inclusion of additional funding with the Administrative Services Department as we prepare the FY 2012 budget. Auditor’s update as of July 2010: In process. According to Public Works Staff, they are in the process of upgrading the pool located at the Municipal Services Center (MSC), Building B to provide automated key releases and vehicle reservations. Staff anticipates the system upgrades will be implemented by December 2010. Public Works plans to rollout a similar reservation and pool system Citywide. Target date: April 2011. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 57 Audit report and recommendation Department Current status Comments Auditor’s update as of March 2011: In process. Public Works is in the process of expanding and upgrading the existing automated pool vehicle management system located at the Municipal Services Center (MSC), Building B. Automated motor pools will be established at MSC, Building C; Civic Center, and the Utilities Department’s Elwell Court location. The pool vehicle management system will provide web-based or spontaneous vehicle reservation capability, and automated vehicle key management. In addition PWD staff is evaluating the feasibility of contracting out pool vehicles with a third- party provider. Target date: December 2011. #4: The City Manager's Office and the Public Works Fleet Manager staff should review the fleet's minimum utilization standards and consider increasing the standards to more cost· effective levels. Public Works In process Original department response: Staff agrees with the recommendation and will review current utilization standards in conjunction with the Fleet Review Committee (FRC). These standards include thresholds for mileage, engine hours, and days used dependent upon the type of equipment. It should be noted that utilization guidelines, in order to be successful, be driven not only by cost comparisons with other agencies and the private sector; but also with the understanding that the City must own certain types of vehicles and equipment in order to provide timely services to the public as well as to fulfill its emergency response obligations. Auditor’s update as of July 2010: In process. According to Public Works Staff, they have started to revise the Vehicle/Equipment Policy and will be reviewing utilization standards to incorporate into the revisions. Target date: April 2011. Auditor’s update as of March 2011: In process. Staff has begun drafting revisions to the Vehicle/Equipment Policy. Utilization standards will be revised and included in the updated policy. Target date: September 2011. #5: The City Manager's Office should establish a Vehicle Equipment Review Committee with representatives from Public Works Fleet Management, Administrative Services Department's budget staff, and the City Manager's Office to review vehicle and equipment replacements and exemption requests to the utilization requirements. Public Works Completed Original department response: Staff agrees with the recommendation. PWD Equipment Management will work collaboratively with the Administrative Services Department and the City Manager via a newly created Fleet Review Committee (FRC) to make fleet size and replacement decisions. The FRC is comprised of the Fleet Manager, Budget Manager, and a representative from the City Manager's Office. The FRC will review utilization, and conduct programmatic analysis applying the revised guidelines and vehicle policy to ensure efficiency and cost effectiveness of fleet replacements and purchases. Auditor’s update as of July 2010: According to Public Works, the FRC has been established and meets once a month. Recently, the Committee has met more frequently to review underutilized vehicles. Public Works Staff advises that it will include language in the revised Vehicle/Equipment Policy describing the FRC’s role, process and Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 58 Audit report and recommendation Department Current status Comments criteria used to assess fleet replacements, additions, and requests for utilization exemptions. #6: Public Works Fleet Management should develop written standards, forms, and assessment criteria for the Vehicle Equipment Review Committee in their evaluations of fleet utilization such as: number of similar units in the fleet, average annual miles hours of similar units, consideration and description of special uses, cost-benefit of retaining the item in terms of program efficiency and service delivery, and mechanical condition. Public Works In process Original department response: Staff agrees with the recommendation. PWD Equipment Management and the Administrative Services Department will seek outside assistance to compile, analyze, and report out on recommendations relative to vehicle assignment, rotation, and utilization; the outsourcing of specialized equipment needs; motor pool options; mileage reimbursement, and pool car alternatives. The goal of this effort will be to maximize the utilization of fleet resources, and to improve the cost effectiveness of the City Fleet in support of City programs; while assuring reliable service delivery. Once findings are complete the City's Vehicle Policy will be revised and will include standards, forms, and assessment criteria to be utilized by the Fleet Review Committee. Auditor’s update as of July 2010: In process. Public Works Staff drafted a comprehensive form that will facilitate the analysis and assessment of vehicle utilization, replacements, and requests for additions to the fleet. Staff advises that standards and criteria will be incorporated and evaluations conducted in accordance with the revised Vehicle/Equipment Policy. The Auditor’s Office will be able to consider the recommendation completed once the form is finalized, implemented, and the Policy update is completed to include the written standards and assessment criteria. Target date: April 2011. Auditor’s update as of March 2011: In process. A comprehensive analysis/assessment form has been completed, reviewed by the Auditor and is currently being utilized by staff and the FRC. Staff has begun revising the Vehicle/Equipment Policy and will incorporate the new forms and standards into the revised policy. Target date: September 2011. #7: Public Works Fleet Management should conduct routine annual utilization assessments to identify vehicles and equipment for retirement, redeployment, or inclusion into a centralized vehicle and equipment pool. PWD Fleet Management should provide this information for the Vehicle Equipment Review Committee to review the appropriateness of vehicle and equipment exemptions based on established criteria from Recommendation #6 (above). Public Works In process Original department response: Staff agrees with the recommendation. Fleet utilization and requests for exemption or additions will be reviewed by the Fleet Review Committee (FRC) as part of the annual budget process and creation of the five-year CIP plan. Auditor’s update as of July 2010: In process. Public Works Staff advises that they have conducted an annual review of the fleet and identified underutilized vehicles and equipment, in accordance with the Vehicle/Equipment Policy. The FRC will first review underutilized passenger vehicles and anticipates this will be completed in Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 59 Audit report and recommendation Department Current status Comments November 2010. Public Works and the FRC will conduct a similar assessment for underutilized equipment and anticipate this will be completed by June 2011. Target date: June 2011. Auditor’s update as of March 2011: In process. Public Works and the FRC have already evaluated underutilized transport vehicles, have met with affected departments and are working on an implementation plan to reassign vehicles or remove them from the fleet. Comprehensive vehicle analysis/assessment forms have been completed, reviewed by the Auditor and are being utilized by staff and the FRC in their evaluations. Utilization standards will be reviewed and revised as part of a comprehensive update to the Vehicle/Equipment Policy. Target date: September 2011. #8: Public Works Fleet Management should have the authority and responsibility to manage and operate the City fleet to ensure optimized use of fleet resources. Public Works In process Original department response: Staff agrees with the recommendation. Per City Municipal Code 2.08.190 (11) the responsibility of the Equipment Management division of the Public Works Department, is defined as follows: "To coordinate the needs of the city departments in their requirements for motorized equipment, to operate the city garage, actively supervise a preventative maintenance program, keep the operating records of all motorized equipment used or operated by the city, monitor the use of pool cars, and maintain fuel sites at city facilities;". Staff will restate this authority and responsibility within the revised Vehicle Policy. In addition, the FRC will lend a Citywide perspective and a greater level of authority to decisions regarding the management of fleet resources. Auditor’s update as of July 2010: In process. According to Public Works Staff, they have started to revise the Vehicle/Equipment Policy and will incorporate a description of PWD Fleet Management’s authority and responsibility to manage and operate the City fleet. Target date: April 2011. Auditor’s update as of March 2011: Staff has begun revising the Vehicle/Equipment Policy; the revisions will include a new description of PWD Fleet Management’s authority and responsibility to manage and operate the City fleet. Target date: September 2011. # 9: PWD Fleet Management should improve the replacement evaluation process through the following: revise the written policies to clarify replacement criteria, re-instate mechanical evaluations as part of the evaluation criteria for replacing vehicles (e.g. vehicles requiring cost prohibitive repairs vs. those in good mechanical condition); and incorporate utilization requirements as part of the evaluation criteria to help ensure underutilized vehicles are not replaced. Public Works Completed Original department response: Staff agrees with the recommendation. PWD Equipment Management will include/clarify replacement criteria within the revised Vehicle Policy. This criteria will include the reinstatement of formal mechanical evaluations as part of the replacement analysis. Auditor’s update as of July 2010: In process. According to Public Works Staff, revisions to the written policies to clarify replacement criteria will be completed as part of an overall revision of the Vehicle/Equipment Policy. Staff advises that PWD is working on how Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 60 Audit report and recommendation Department Current status Comments the mechanical evaluations will be specifically incorporated into the replacement guidelines contained in the Vehicle/Equipment Policy. Staff states that mechanical evaluations have been reinstated, and will be incorporated with the new vehicle analysis/assessment form (Recommendation #6). In addition, Public Works Staff advises that utilization is a component of the overall assessment, and utilization criteria are included in the new vehicle analysis/assessment form (Recommendation #6). Target date: April 2011. Auditor’s update as of March 2011: Completed. Mechanical evaluations have been reinstated, and have been incorporated with the new vehicle analysis/assessment form (Recommendation #6). In addition, Public Works Staff are evaluating utilization as a component of the overall assessment. Utilization criteria are included in the new vehicle analysis/assessment form (Recommendation #6) used by the FRC. #10: PWD Fleet Management should revise the policy and procedures to clarify the take-home policy and conduct routine follow-ups with departments to document adherence to the policy. Public Works In process Original department response: Staff agrees with the recommendation. PWD Equipment Management did revise the Vehicle Policy to include new take-home guidelines in January 2008. The draft was submitted to the City Manager's office for review and approval. Due to staffing changes, staffing shortages and higher priorities the review of the revised policy has been placed on hold. PWD Fleet Management will withdraw this submittal and incorporate this revision in the overall revision of the Vehicle Policy. The new take- home policy will include a form for departments to use to document their compliance with the policy. Auditor’s update as of July 2010: In process. According to Public Works Staff, they have started to revise the Vehicle/Equipment Policy and will incorporate clarifications to the take-home policy and require take-home vehicle users to provide documentation to insure their adherence to the policy. Target date: April 2011. Auditor’s update as of March 2011: Staff has begun revising the Vehicle/Equipment Policy. The revisions will include clarifications to the take-home policy and will require take-home vehicle users to provide documentation to insure their adherence to the policy. Target date: September 2011. #11: PWD Fleet Management should establish a process to approve and evaluate requests to add to the City fleet. These requests should identify the budget impact of the addition and funding for on-going maintenance and replacement costs, the need for the addition including utilization of similar units, and the feasibility of other alternatives such as mileage reimbursement, rental, pooling, or sharing of similar units. Public Works Completed Original department response: Staff agrees with the recommendation. The newly created Fleet Review Committee (FRC) will make fleet size and replacement decisions, review utilization, and conduct programmatic analysis applying the revised guidelines and vehicle policy to ensure efficiency and cost effectiveness of fleet replacements and purchases. Newly created forms used in this review process will include budgetary impact information. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 61 Audit report and recommendation Department Current status Comments Auditor’s update as of July 2010: In process. According to Public Works Staff, the vehicle analysis/assessment form (Recommendation #6) includes this criteria, and will be the primary tool utilized by the FRC during the approval process. Staff has started to revise the Vehicle/Equipment Policy that will include a process and criteria to approve and evaluate requests to add to the City fleet, per the audit recommendation. Target date: April 2011. Auditor’s update as of March 2011: Complete – A comprehensive analysis/assessment form has been developed that includes all of the factors listed in this recommendation. The form is complete; has been reviewed by the Auditor and is currently being utilized by staff and the FRC. #12: Public Works Fleet Management should maximize use of Police Department patrol sedans and motorcycles, and Fire Department fire engines, by rotating vehicle assignments between lower and higher use areas. Public Works Completed Original department response: Staff agrees with the recommendation. PWD Equipment Management will continue to provide usage data to the Police and Fire Departments to enable staff to analyze vehicle assignments within their departments and develop rotation plans. Auditor’s update as of July 2010: Not started. Public Works Staff states that PWD Equipment Management will provide vehicle mileage reports to the Police and Fire Departments on a quarterly basis, and will work with department staff to insure vehicle rotation is conducted in accordance with this recommendation. Staff advises that PWD will discuss this with the Police and Fire Departments and request that they provide supporting documentation that periodic review and rotation of vehicles is occurring. Auditor’s update as of March 2011: Completed - PWD Equipment Management is providing vehicle mileage reports to the Police and Fire Departments on a quarterly basis, and is working with department staff to implement vehicle rotation in accordance with this recommendation. Police and Fire Departments provided supporting documentation to show that periodic review and rotation of vehicles is occurring. # 13: Public Works Fleet Management should develop written criteria for assessing the need of non-rolling stock equipment. Public Works In process Original department response: Staff agrees with the recommendation. PWD Equipment Management will include/clarify non-rolling stock guidelines within the revised Vehicle Policy. This criteria will include the reinstatement of formal mechanical evaluations as part of the replacement analysis. Auditor’s update as of July 2010: Not started. According to Public Works Staff, revisions to the Vehicle/Equipment Policy will incorporate standards and criteria for assessing the need of non-rolling stock equipment. Target date: April 2011. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 62 Audit report and recommendation Department Current status Comments Auditor’s update as of March 2011: Staff has begun revising the Vehicle/Equipment Policy. The revisions will include new standards and criteria for assessing the need of non-rolling stock equipment. Target date: September 2011. #14: Public Works Fleet Management should routinely review the database inventory for completeness and accuracy and develop necessary processes for departments to provide accurate and timely utilization data. Public Works Not started Original department response: Staff agrees with the recommendation. For the last two years, staffing shortages have prevented timely update and review of some types of fleet data. Now that Equipment Management is nearing full staff, our usual update and review process will be reinstituted. Auditor’s update as of July 2010: Not started. Public Works Staff advises that the implementation of the new fuel management system will provide a degree of automation that will greatly improve the accuracy and timeliness of utilization data. In addition, Fleet Management plans to develop internal policies to ensure ongoing review and accuracy of the database information. Target date: April 2011. Auditor’s update as of March 2011: Not started. Staffing shortages have delayed the implementation of this recommendation. Equipment Management is currently in the process of recruiting a Fleet Services Coordinator; the position should be filled by mid-April. The Fleet Services Coordinator’s first assignment will be the database inventory review. Target date: July 2011. #15: PWD Fleet Management and ASD Budget should revise the methodology for charging user departments to include the total cost of operating the City fleet, and project CIP budget needs over the five-year CIP cycle. ASD/Public Works In process Original department response: Staff agrees with the recommendation. PWD Equipment Management and ASD staff have been working collaboratively on restructuring Fleet's SAP cost center structure so that it more accurately reflects the way cost categories are organized within the fleet database. Division activities such as in- house maintenance, contract maintenance, parts operations, fueling and motor pool operations have been segregated in SAP to facilitate the ready and accurate capture of expenditure information. The new methodology has been applied to the departmental allocations submitted to ASD Budget for the FY 2011 budget. In addition PWD Equipment Management developed a five-year projection which is included in the FY 2011 CIP. Auditor’s update as of July 2010: In process. Staff advises that a new five-year vehicle replacement CIP was developed for inclusion in the 2010-12 budget; however, this CIP was held back in order to comply with Recommendation #1. According to PWD and ASD Staff, the budget structure for the Equipment Management Division was revised in SAP to more accurately reflect the organization of activities within the division. Discrete activities (administration, in-house maintenance, contract maintenance, parts operations, fueling operations and motor pool operations) are now associated with Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 63 Audit report and recommendation Department Current status Comments individual cost centers so that all costs related to those activities (including internal and external overhead) can be captured. Staff states that the cost data generated by the restructuring process was used to develop a new shop labor rate, and surcharges for parts, fuel, and contract maintenance. In addition, an overhead charge for vehicle replacement projects will be included the calculation of ongoing replacement charges. Staff states that these new rates and surcharges were made effective as of July 1, 2010. The City Auditor’s Office will be able to consider this recommendation completed once the new rates and surcharges have been implemented and reviewed to ensure the new methodology is capturing the total cost of operating the City fleet. Target date: Jan. 2011. Auditor’s update as of March 2011: Staff reviewed the revenues that were being received as a result of the new rate and cost accounting structure at mid-year, and found that revenues were keeping pace with expenditures. Staff will perform a complete review once a full year of expenditures and revenue are booked. Departmental allocations will be adjusted as necessary going forward. Target Date: September 2011. #16: ASD Budget Division and PWD Fleet Management should revise the budget process to show fleet costs within each department's line item budget. ASD/Public Works Resolved Original department response: Staff agrees with the recommendation. The ASD Budget Division currently budgets for fleet costs in each department's line item budget as allocated charges from the Vehicle Replacement and Maintenance fund, which is an Internal Service Fund. As with other allocated charges in the City's budget, fleet costs are distributed to each department based on an allocation formula. This formula takes into account the cost of replacing and maintaining the vehicles assigned to each department. This is similar to the distribution of allocated charges for computer replacement and maintenance and printing and mailing costs. Allocated charges currently appear in SAP financial reports and will continue to appear in the budget detail within individual department budgets. During the development of the annual budget, a committee of ASD and PW staff will review department fleet requests in relation to other options including mileage reimbursement. During the budget process departmental requests for additions to the fleet will be evaluated with other department requests to ensure that the department has considered the budget tradeoffs. The goal of this step will be to limit the overall increase in departmental budgets due to vehicle requests. Auditor’s update as of July 2010: Not started. ASD Budget staff will be evaluating systems to reformat portions of the City’s budget to provide more details. As part of this overall effort, ASD will also evaluate options to show allocated fleet costs within departmental budgets. Target date: June 2011 Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 64 Audit report and recommendation Department Current status Comments Auditor’s update as of March 2011: Resolved. ASD staff stated the FRC’s on-going fleet reviews and active consideration of mileage reimbursement as an alternative to fleet additions and utilization meets the spirit of this recommendation which was to reduce fleet costs through increased mileage reimbursement. The City Auditor’s Office agrees with ASD’s approach to this recommendation and considers the recommendation resolved. #17: Requests for fleet purchases should identify and budget an amount for on-going maintenance, operation, and replacement costs. Public Works Completed Original department response: Staff agrees with the recommendation. It is staff's general rule, with some minimal exceptions, to budget for on-going maintenance, operation, and replacement costs. An example of an exception is in the case of unique equipment like the Police Mobile Command Vehicle, which was acquired with grant funding, however there is no replacement charge budgeted. In addition, in past years where the General Fund could not sustain increases the allocation were not fully charge. Auditor’s update as of July 2010: Completed. According to Public Works Staff, the vehicle analysis/assessment form (Recommendation #6) includes ongoing cost and resource impact information. Staff advises that the analysis/assessment form will be the primary tool utilized by the FRC during the purchase approval process. This process has already been used in one instance for the FRC’s review of a CSD Van. We reviewed the usage of the form for the CSD Van evaluation and concluded that it appears adequately implemented for the purposes of this recommendation. #18: PWD Fleet Management and the City Manager's Office should develop a strategy to align future fleet replacements with the City's other strategies that promote CPP goals. Public Works Not started Original department response: Staff agrees with the recommendation. As the City further refines its Climate Protection goals and strategies, staff will review this recommendation and determine opportunities for incorporating a recommended strategy. Auditor’s update as of July 2010: Not started. Although a strategy has not yet been developed, staff advises that the vehicle analysis/assessment form (#6) includes information regarding available alternatively-fueled and hybrid vehicles, so an evaluation of the alignment with CPP goals can be performed during the purchase review and approval process. Staff will work to develop a strategy to align fleet purchases with the CPP goals. Target date: June 2011. Auditor’s update as of March 2011: Not started. Although a formal strategy has not yet been developed, staff advises that the vehicle analysis/assessment form (#6) includes criteria for evaluating the suitability of available alternatively-fueled and hybrid vehicles, so that CPP goals will be considered during the purchase review and approval process. Staff will work to develop a formal strategy to align fleet purchases with the CPP goals. This strategy will be included in the revised Vehicle/Equipment policy. Target date: December 2011. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 65 Audit report and recommendation Department Current status Comments #19: PWD Fleet Management should work with the Administrative Services Department and Utilities Department (for CNG) to develop a system to reconcile fuel purchases, balances, and consumption reports. Public Works In process Original department response: Staff agrees with the recommendation. PWD Equipment Management will develop a process for reconciliation of fuel purchases, balances and consumption for submittal to ASD. Staff has begun working with Utilities to develop commodity cost methodologies for CNG sales to City and externally. Auditor’s update as of July 2010: In process. Public Works reports that after the new fuel management system is fully implemented (December 2010), daily reconciliation reports will be prepared, reviewed and compiled into an annual summary that will be provided to ASD at the end of each fiscal year. Target date: June 2011. Auditor’s update as of March 2011: Daily and weekly reconciliations are currently being performed for all liquid fuels. These reconciliations are not being performed for CNG. Staff is working with the Utilities Department to obtain the data necessary to begin periodic reconciliations of CNG. Target Date: June 2011 #20: PWD Fleet Management should complete implementation of the fueling system at all city pumps and evaluate its effectiveness at providing internal controls over fuel Pump transactions. Public Works In process Original department response: Staff agrees with the recommendation. PWD Equipment Management is currently installing an electronic fueling transaction management system (FueIFocus) which will be fully implemented by December 2010. The FuelFocus system will replace an existing system that has become increasingly inaccurate and unreliable. Auditor’s update as of July 2010: In process. According to Staff, PWD Equipment Management recently completed the implementation of the new fuel management system on the Landfill’s fuel tanker. Staff advises that the next phase of the implementation (installations at MSC and Fire Station One) is scheduled for completion by December 2010. Final implementation at the remaining pumps is planned, subject to available funding. Until such a time that funding is available for the final phase weekly manual reconciliations are being conducted. Target date: Dec. 2011. Auditor’s update as of March 2011: In process. The hardware and software necessary for final implementation has been purchased, and staff has begun preparing the affected fuel sites for installation. Until the implementation is completed, manual daily and weekly reconciliations are being conducted. Target date: December 2011. #21: PWD Fleet Management should include requirements for securing vehicles and equipment within the fleet policies and procedures. Public Works In process Original department response: Staff agrees with the recommendation. The revised Vehicle Policy will include clear guidelines regarding securing of vehicles and equipment. Auditor’s update as of July 2010: Not started. According to Public Works Staff, revisions to the Vehicle/Equipment Policy will incorporate Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 66 Audit report and recommendation Department Current status Comments requirements for securing vehicles and equipment. Target date: April 2011. Auditor’s update as of March 2011: Staff has begun revising the Vehicle/Equipment Policy. The revised policy will incorporate requirements for securing vehicles and equipment. Target date: Sept. 2011. #22: PWD Fleet Management should conduct regular inventories of auto parts, develop a system to ensure the parts database is accurate and complete, and secure access to the auto parts inventory. Public Works In process Original department response: Staff agrees with the recommendation. In 2006, the existing parts storeroom was moved to a temporary location so that the mezzanine storage areas in the existing parts room could be replaced with structures that met seismic code requirements. The new mezzanines were completed in 2007; however, due to earlier mentioned staffing shortages, PWD equipment Management has only recently been able to commence moving the inventory into the new secure, dedicated parts storeroom. All parts and supplies will be surveyed,, inventoried and moved to their new location by December 2010. After the initial inventory reconciliation is complete, PWD Equipment Management will reinstitute quarterly inventory counts in accordance with Division policy. Auditor’s update as of July 2010: In process. According to Staff, Public Works is in the process of surveying all parts and supplies, which will be inventoried and moved to a newly constructed parts storeroom by December 2010. Staff advises that after the initial inventory reconciliation is complete, PWD Equipment Management will reinstitute quarterly inventory counts in accordance with Division policy. Target date: April 2011. Auditor’s update as of March 2011: In process. Equipment Management has not completed the survey of the existing parts and supply inventories, nor have they finalized a plan for conducting periodic inventory reconciliations. However with the addition of the new Fleet Services Coordinator, staff should complete these tasks sometime in Fall 2011. Target Date: Dec. 2011 Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 67 Audit report and recommendation Department Current status Comments AUDIT OF CITYWIDE CASH HANDLING AND TRAVEL EXPENSES (Issued 09/15/2010) Finance Committee Audit of Citywide Cash Handling and Travel Expenses: Report analyzes Citywide cash handling and travel expenses and oversight procedures. With revenue processed at over 20 cash handling locations, it is important for the City to implement strong cash handling controls. Improvements can be made to strengthen controls especially in the areas of safeguarding revenue and approving and documenting all types of transactions. In addition, the City’s Cash Handling policy should be updated to ensure important internal control elements are adequately addressed. Increased coordination and oversight can also improve the employee travel expense process. The City currently has five different payment methods to process travel payments, with varying degrees of oversight. The audit recommends coordinating and consolidating the travel expense payment process and revising the City’s travel policy. The audit also recommends reorganizing existing budgetary accounts related to travel and meetings to assist in tracking of taxable activities. Of the 11 recommendations, 1 was completed this year, and 10 are in process. #1 ASD should update the Citywide Cash Handling policy and procedures to provide sufficient guidance on internal controls related to cash handling. ASD In process Original department response: Staff agrees with this recommendation. A 1991 Administrative Instruction Manual was written for Revenue Collections staff, and was used as a starting point for individual sites to develop their own cash handling procedures. It covers items such as issuing receipts, safeguarding the cash drawer, identifying counterfeit currency, making correct change, and, in the case of Revenue Collections, performing collections on unpaid bills. Staff agrees that this manual needs revision to make sure it covers all areas of cash handling, including the three areas discussed in the Audit Report – segregation of duties, safeguarding of revenue, and proper documentation of all transaction. An initial update of the Policy and Procedures section on Cash Handling was completed in early 2010, but staff held off on finalizing this until after this Audit was completed, so as to be able to incorporate relevant recommendations. In addition, staff has begun reviewing other jurisdictions’ cash handling manuals and intends to integrate the most effective parts of each. In recent years, the cash handling focus by ASD staff has shifted towards the development of individualized cash handling procedures for each facility, reflecting their individual business needs but still covering common procedures and requirements. Revenue Collections has a copy of the written procedures from 18 facilities – this translates to all of the facilities covered by the Report, plus others such as Cubberley and the Development Center which were not in the scope of this Audit. Along with updating the central Cash Handling Manual, staff will review these individual sites’ procedures to ensure they are comprehensive, in compliance with best practices, and inclusive of the audit recommendations. ASD will provide a checklist to ensure each facility fulfills each of the procedural requirements. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 68 Audit report and recommendation Department Current status Comments Auditor’s update as of March 2011: The cash handling manual has been revised and the draft version has been forwarded to the City Auditor’s Office for review and comment. If changes are recommended, they will be incorporated into the draft for final approval. Once the manual receives final approval, it will be distributed to all facilities for reference. Daily operating procedures for all facilities will be updated to ensure all directions in the manual are incorporated. The revised cash handling manual is anticipated to be completed by May 2011. #2 ASD should improve its cash handling oversight program to include: 1) cash handling and internal controls training for employees who handle revenue and 2) routine visits and surprise cash reviews for revenue collection locations based on ASD’s risk assessment ASD In process Original department response: Staff agrees overall with this recommendation. The current oversight program is proactive and includes informal employee training with periodic cash reviews, and feedback when issues arise; yet the program could be more structured and robust. All of the City’s cash handling facilities – of which 20 were enumerated in the Audit Report - have differing business processes. While all financial data are integrated into SAP, each business area has unique needs that are best met by specialized software. Specifically, Libraries use Horizon library circulation system software; Animal Services uses the Chameleon animal shelter management system; CSD employs the CLASS class registration and point of sale system; the Palo Alto Landfill uses the Acme Scales landfill operation program; the Development employs the Accela permit issuance and billing program; the Children’s Theater uses WINTIX ticket sales program, and Revenue Collections uses the CORE point of sale system. Due to the many different programs, Revenue Collections relies on each department to provide some of the training and instruction in their respective systems. ASD Revenue Collections is in regular contact will the facilities and conducts frequent site visits. Over the past fiscal year Revenue Collections staff documented eighteen site visits, of which some were “surprise” and others scheduled. Commonly en route to or from site visits, staff will stop at one or two other sites; yet these “tertiary” site visits are not formally documented. Therefore, well over eighteen site visits were completed in the past year. Staff will maintain records of the visits and business conducted, including any issues or new recommendations. In addition, there is ongoing telephone and email contact, as well as meetings at City Hall between Revenue Collections staff and staff from the various facilities. Lastly, Revenue Collections works closely with the Accounting Division to identify and resolve any deposit and documentation Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 69 Audit report and recommendation Department Current status Comments discrepancies. The Accounting Division monitors daily bank deposits, comparing documentation submitted by each facility. Discrepancies are communicated to each facility and to Revenue Collections. The issue is then monitored by both Accounting and Revenue Collections until the issue is resolved. In recent years, the mode of payments has shifted towards online, debit and credit card payments and away from checks and currency. At the same time, great advances have been made in protecting checking accounts from fraudulent transactions, and it has become easier and faster to track down the flow of check transactions. Both trends have reduced the risk of loss of cash. However, human errors, collusion, or embezzlement are still possible, and any site that handles funds in any form is vulnerable to losses at some point. Recent research released by the Association of Certified Fraud Examiners shows that employee education is the key to preventing and detecting occupational fraud. Therefore, ASD’s current oversight program, while proactive, could be stronger. For example, surprise cash counts could be readily added to the site visits. Also, ASD could plan its schedule of site visits more strategically, based upon its risk assessment of the sites. Lastly, once the Cash Handling Manual is updated, ASD may adopt a technique used in some other jurisdictions: once employees are trained in the new manual, they sign off on their commitment to abide by its procedures once annually. On the other hand, strengthening the oversight program presents a challenge given already-reduced staff resources. The existing program described above was largely implemented prior to the July 1, 2010 reduction of 1.5 FTE in Revenue Collections staff. With fewer FTE, maintaining the existing oversight efforts will be a stretch, not to mention further structuring and documenting the oversight and monitoring of revenue collection sites. In addition, in the accounting division 2.5 FTE have been eliminated since 2005 further reducing the staffing available to increase the review of procurement cards and travel expenses. For example, were ASD to implement a training class in basic cash handling for all department staff involved in cash handling (which ASD thinks is an excellent suggestion), additional staff resources would be needed from Revenue Collections as well as from the collection sites attending the trainings, presumably in addition to the informal training they already receive during Revenue Collection’s site visits and other meetings. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 70 Audit report and recommendation Department Current status Comments A work plan with recommended levels of cash validations and on- going training will need to be developed in order to assess the resources needed to address the recommendations. ASD plans to complete this work plan and resources analysis in the coming months and determine a course of action based on the risk assessment. Auditor’s update as of March 2011: ASD-Revenue Collections is in the process of developing a more robust oversight program. Revenue Collections has conducted 14 “meetings” with seven (7) facilities over the last three months. These meetings have included site visits, cash reviews and minor training. Additionally, there has been ongoing telephone and e-mail contact with cash handling facilities. The audit resulted in the identification of several deficiencies for Animal Services related to segregation of duties, safeguarding of revenue and proper documentation. The major oversight focus has been directed to this facility and includes a redesign of the office area to improve the safeguarding of revenue. Additionally, procedures are being revised to address this and other issues. The initial round of site visits and audits is anticipated to be completed by June 30, 2011. Site visits and surprise cash reviews will continue permanently on an annual basis beginning FY11-12. Additionally training will be scheduled as needed. #3 ASD should develop procedures for processing on-line revenue (e.g. PayPal) to help ensure proper segregation of duties, safeguarding of revenue and proper authorization and approval of transactions ASD In process Original department response: Staff agrees that these procedures need to be more centrally documented and well distributed. Revenue Collections has already implemented a number of alternative payment methods. Customers can now pay parking citation fees on- line, and BLING (a payment option utilizing customer’s PayPal account) was implemented in August 2010. ASD also provided support for Utilities’ on-line payment process and has begun researching options for on-line payment of parking permits. ASD staff visited the City of Monterey for a demo of their permit system, and also met recently with representatives from the City of Inglewood regarding their on-line permit system. Several facilities also accept on-line payments such as Community Services (class registration), City libraries (fees) and the Development Center (permits). The handling of revenue from these sources is already documented for the sites that handle these transactions, but once again this has not been incorporated into a centralized document. Revenue Collections is prepared to include those instructions into the Cash Handling Manual along with the suggested update of that document. The Police Department’s Project Safety Net/Track Watch program, which is mentioned in the report as an online payment-processing Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 71 Audit report and recommendation Department Current status Comments program, is a new program to the City, having gone live in December 2009. The Police Department, along with the City Manager’s Office, created the program in compliance with the City’s Policy and Procedure #1-18 on Gifts to the City. Within this program, the City Manager’s Office monitors the PayPal donations, while all checks are processed by Revenue Collections. Previously, the City’s web site instructed donors to send checks to the Police Department, which recorded the donations and delivered the checks to Revenue Collections for processing. The Police Department has since initiated a process to change this procedure, and all check donations will now be sent directly to Revenue Collections. Auditor’s update as of March 2011: Procedures for accepting on- line payments have been incorporated into the draft of the revised cash handling manual. As stated in response #1, the draft of the revised cash handling manual has been submitted to the City Auditor’s Office for comment and review. As stated in Response #1, the revised cash handling manual is anticipated to be completed by May 2011 #4 ASD should:  Work with the departments to immediately address weaknesses noted in the areas of safeguarding revenue, segregation of duties, and proper documentation and approval of certain types of transactions (e.g. voided transactions and issuance of receipts).  Ensure their list of approved revenue collection locations is complete and updated, and these locations have adequate procedures to safeguard revenue. ASD In process Original department response: Staff agrees with this recommendation, yet wishes to point out that some sites have significant space and resource constraints; therefore flexibility and some creativity will be necessary to implement adequate safeguards. The specific operational weaknesses identified in the Auditor’s report are addressed below: 1. Some locations lacked appropriate cash handling procedures and sufficient oversight. Three “revenue collection locations” are cited as not having approved cash handling procedures in place. Two of those locations – Human Resource’s COBRA program and Utilities Customer Service - are described as being in the process of working with Revenue Collections to develop appropriate procedures. The third – Project Safety Net – is discussed above under Recommendation #3. The Human Resources Department’s COBRA program has not, to ASD’s knowledge, been considered an independent cash handling facility. Revenue Collections is nonetheless working with Human Resources to develop appropriate procedures, and has ordered an endorsement stamp so checks can be immediately and restrictively endorsed. This program’s procedures will include a strict time frame for updating HR records and delivering the checks to ASD Revenue Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 72 Audit report and recommendation Department Current status Comments Collections for processing and deposit. 2. Most site visit locations insufficiently safeguarded revenue. This issue will receive high-priority attention from ASD staff. As the report mentions on page 14-15, “Some of the issues are the result of locations not following their own department’s procedures.” For example, the Landfill operation’s written procedures specify “[t]he safe combination must be changed when an employee with knowledge of the combination terminates employment.” Yet the Audit Report notes that the site did so only after being reminded by Revenue Collections. Indeed, this emphasizes the critical need for interdepartmental cooperation in successful implementation of these procedures. ASD believes that with more structured training and monitoring, the level of compliance among the departments will increase, but departments will also have to proactively step up their compliance with the proscribed procedures. 3. Cash discrepancy and deposit slip errors The Auditor’s report identified two instances of discrepancies in the $5 range. These discrepancies were in the site’s working fund balance. ASD will work carefully with all sites to address the process errors which led to this. In a third instance, the Audit Report noted that the site “processed an incorrect deposit slip”. The location did not identify the discrepancy; however, ASD’s Accounting group later identified and corrected the error.” 4. Most locations appropriately segregate duties The report indicates “most locations appropriately segregate duties,” but two specific locations – Animal Services and Foothills Park - were noted exceptions. Revenue Collections is aware that at these two locations, there is incomplete segregation of duties, due to the particular space and staffing constraints of the facilities. For example, if an area has limited staffing it may be difficult to completely segregate duties and it very possible that the staff member who processed the transaction may also have to process the void transaction. Therefore, ASD would like to suggest that other controls, such as safeguarding of revenue and complete documentation, be emphasized to balance the relative weakness of the segregation of duties at these sites. On the summary table on page 13, the Audit Report lists the individual sites with their annual revenue processing volumes, indicating which areas are adequate and which need attention. Another component of Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 73 Audit report and recommendation Department Current status Comments this risk assessment is looking at the actual cash volume brought in by each site. Foothills Park deposited $1,132 in cash in the month of June, and about $13,000 in all forms of payment per year – a mere 0.2% of the Citywide total of $6.57 million in revenue processed per year. Beefing up their controls beyond the basic training and monitoring levels would not be as beneficial as focusing on other sites with larger currency transactions, such as the Landfill, and/or larger-volume sites with identified areas of concern, such as Animal Services. 5. Several locations lacked adequate procedures for documentation and approval of certain types of transactions. As previously mentioned, Revenue Collections has set up specific site cash handling procedures and their last update is noted in the table above. The updated Cash Handling Manual will specify the documentation requirements for all transactions, and Revenue Collections will work with each facility to ensure their compliance. Although receipt issuance is among the more straightforward processes to implement (and therefore these two instances should be relatively easy to correct), others may present challenges due to staffing constraints. For example, it may not always be possible for a supervisor to approve a voided transaction in a timely manner for a customer, and it may be necessary to allow for flexibility and have the transaction approved later in the day. Auditor’s update as of March 2011: ASD-Revenue Collections began immediate contact with facilities to address areas listed above. For example, four site visits have been conducted with Animal Services and the Landfill to address issues related to the internal control weaknesses identified by the audit. The list for approved revenue collection locations has been updated and ASD-Revenue Collections will continue to work with these locations to address weaknesses and ensure adequate procedures are in place to safeguard revenue. ASD-Revenue Collections will work with all facilities beginning in May 2011 to update procedures to incorporate guidelines established by the revised cash handling manual. Due to the number of facilities this process will be lengthy. Seventeen facilities have been identified for revised procedures and this does not include procedures for special events such as the Chili Cook Off or the Senior Day Bash. Additionally all library locations have been counted as one facility. The anticipated completion date is June 30, 2012. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 74 Audit report and recommendation Department Current status Comments #5 ASD should ensure all travel payments are adequately and uniformly documented with appropriate oversight by: 1) requiring consistent documentation of travel expenses, including: receipts or other supporting documentation, appropriate travel forms, and explanation of the business purpose of expense, 2) performing spot checks of travel expenses. ASD In process Original department response: ASD agrees with this recommendation The current City travel policy is confusing, and an employee seeking reimbursement may follow incorrect information if they do not read the entire policy. ASD will rewrite the travel policy, review the Petty Cash policy and offer training to employees. In addition, since travel reimbursements take many forms, such as payments to the employee, payments to vendors, and use of the Cal- card, Executive Staff (ES) card, petty cash and professional development funds, details of travel reimbursements are not always centralized and may be in multiple files. Exceptions found in the Auditor’s Report for check reimbursements comprised 6% of the total exceptions. The majority of these exceptions related to a missing statement of business purpose or proof of attendance. The Accounts Payable (A/P) Manager will emphasize importance of IRS required documentation with A/P staff and during training of City staff. . Nighttime meeting meal reimbursements comprised about 10% of the total exceptions. Most of these exceptions were for nighttime meal reimbursements at the flat rate of $20 without receipts. The current Petty Cash policy does not require receipts for these meals. Revenue Collections staff has been adhering to the Petty Cash policy. ASD staff will be updating the Travel and Petty Cash policies to be in agreement as part of the Auditor’s recommended review of the travel reimbursement and nighttime meeting policies. The travel policy should have been updated to reflect no receipt required. This and any other Petty Cash-related changes resulting from this review will be incorporated into the Petty Cash program, and ASD Revenue Collections will reimburse under the new guidelines. In addition, ASD will remind all staff of the Petty Cash documentation requirements. The greatest share–58%--of exceptions were found in the use of the Executive Staff (ES) card. The majority of these exceptions were missing travel forms, although the receipts were always included in back-up documentation. Missing business purpose, location, name of attendees, as well as checking the pre-travel box were common exceptions. Payments for ES and Cal-cards are made directly to the bank and not to the employee, and are therefore not possible to “catch” before payment. However, ASD staff will be more diligent on follow-up with ES staff for documentation, including any emails Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 75 Audit report and recommendation Department Current status Comments requesting additional documentation. ASD director will also discuss the requirements with Executive Staff. Cal-card exceptions are 12% of total exceptions. Employees failed to note business purpose, location and date when making travel arrangement and payment to a conference, hotel or transportation. In more than half the exceptions, the employee failed to check the box on pre-travel form, as well as not turning in a travel form even though they included receipts. ASD staff will review the layout of the pre-travel authorization form and travel expense report form and try to combine into one form (see Recommendation #9 below). The updated forms will be discussed as part of employee training and in the updated travel policy. Professional Development forms comprised 9% of the total exceptions. HR staff administers Professional Development. The two areas of omission are completion of the checkbox on pre-travel or authorization and checking the box relating to requesting government rates. As stated above, ASD staff will rewrite travel policy and revise forms. ASD staff will include HR staff in employee training. As for recommended spot-checks, ASD supports this idea. A/P staff currently reviews all employee travel reimbursement paid via check and spot checks other areas. Many of the exceptions occurred prior to the hiring of the current A/P Manager or during a hiring freeze when the position was open. The A/P Manager is also working with her staff to review audit exceptions and incorporate improved checking procedures. Auditor’s update as of March 2011: In process. ASD has drafted policies and procedures that address the audit recommendations and clarify and simplify procedures. Travel forms have also been updated but will remain as two separate forms. Prior to finalizing these procedures, ASD will review them with the City Auditor’s Office. Target date: June 2011. #6 ASD should review the nighttime meeting reimbursement policy. If the City decides to maintain this practice, ASD should report the amounts as income on employee Form W-2s to conform to IRS requirements. In addition, ASD should review other types of meal expense to ensure any reportable amounts are included on employee Form W-2s. ASD In process Original department response: ASD agrees with the City Auditor’s recommendation. ASD learned earlier in 2010 that a case ruling in late 2009 dictated that reimbursements that did not have an overnight stay were to be considered taxable income. For the past several months, ASD has been discussing the issue of how to handle these nighttime meal reimbursements and has determined that handling such reimbursements through payroll would involve significant staff time. Staff is developing a process that will comply with the IRS regulation in the most economical and efficient fashion. Any change in reimbursements would be subject to meet-and-confer depending on the labor group. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 76 Audit report and recommendation Department Current status Comments Auditor’s update as of March 2011: Nighttime meeting reimbursement will be maintained. ASD has established new G/L numbers to capture taxable and non-taxable meals. Budget for the G/L numbers will be included in the FY 2012 budget. ASD has discussed changes needed by Purchasing staff for use of Calcards. Budget and Purchasing changes will be made before implementation date of 7/1/2011. Taxable meals will be captured in a specific G/l account and added to the employees W2 for CY 2011. In addition, updated P&P and forms (A/P & Petty cash) will reflect specific coding for taxable meals. ASD also plans to have City-wide training once ELT approves draft P&P. #7 ASD should consolidate the Executive Staff credit card program into the existing CAL-Card program. ASD Resolved Original department response: Staff agrees in concept, but needs to verify that potential restrictions in the Cal Card program would not interfere with the intended use of the ES card. Executive Cards were instituted many years ago so the most senior level management staff would have a method of payment available in case of a City emergency. Only 15 of the over 1,000 employees are authorized to use Executive Cards and not all of them are issued a card. Previous procurement card programs had significant limitations that would have impeded some procurements in an emergency (e.g., floods, power outages, etc.). Staff will review the Cal Card program to see if the limitations associated are minor and would not interfere with such procurements. Auditor’s update as of March 2011: Resolved. The ASD Director believes that there is a need to continue the Executive Staff credit card program rather than combine it into the existing CAL-Card program. ASD Director’s rationale for continuing the Executive Staff credit card program is to allow access to cash in case of an emergency. While the City’s CAL-Card program does not permit cash advances, it can accommodate nearly all other legitimate business needs of City employees. Continuing the Executive Staff credit card program does not have a significant cost impact, although there is a small financial incentive for CAL-Card participation. Therefore, we consider this issue resolved. #8 The City Manager’s Office should include additional guidance to prevent gifts of public resources on the City’s Ethics Center intranet site. City Manager In process Original department response: The City Manager’s Office agrees with the recommendation and will update this section of the Intranet. Auditor’s update as of March 2011: The City retained the services of Dr. Tom Shanks of The Ethics Company in November 2010 to assist with the development of the City's values based ethics code of conduct, policy development and implementation, employee interviews, training implementation program and first round of citywide training. Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 77 Audit report and recommendation Department Current status Comments Target date: Project will last approximately 12-18 months and will be fully completed by spring, 2012. #9 ASD should coordinate and improve the travel payment process through the following:  Update the City’s Travel Policy and integrate the pre-travel authorization form and travel expense report into one travel report form to document supervisory approval, business purpose of the trip, an accounting of actual expenses, and requirement for employees to certify they did not receive reimbursement from any other source.  Implement the City’s policy requirement to file travel expense forms with ASD Accounts Payable. Alternately, ASD could consider activating the travel expense management capabilities of SAP. ASD In process Original department response: City’s Travel Policy: ASD agrees. The current forms and process were developed to comply with a prior City Auditor’s recommendation. However, the exceptions discussed above illustrate the potentially confusing nature of having two separate forms. ASD will update and combine the pre-travel authorization form and travel expense report into one travel report form. ASD will also add a box for employees to check to certify that they have not received reimbursement from any other source. Filing travel reimbursement forms with A/P: ASD agrees and will clearly state in the updated policy that it is the department’s responsibility to send ASD complete forms with all supporting receipts regardless of the payment method. Use of SAP for travel expense management: ASD will consider this alternative for the future. To implement a new SAP module requires funding and staff time. Given the City’s continued strain on resources, a cost benefit analysis must be considered. For FY 2010, A/P staff reviewed and processed 33,977 transactions for a payment amount of $18.4 million. Of this, 1,695 transactions, or 3%, totaling $530,000, were related to travel Auditor’s update as of March 2011: In process. ASD has drafted policies and procedures that address the audit recommendations and clarify and simplify procedures. Travel forms have also been updated but will remain as two separate forms. Prior to finalizing these procedures, ASD will review them with the City Auditor’s Office. Target date: June 2011. #10 ASD should revise the City’s Travel Policy to help ensure employees select the most economical means of travel, including restricting the use of hotels during local travel and authorization for extended travel times. ASD In process Original department response: ASD agrees and will emphasize in the Travel Policy that employees should always select the most economical means of travel. The prior audit of travel reimbursement processes instituted several check points to ensure employees took advantage of least-expensive opportunities. ASD will always encourage the use of the most economical means of travel, but it can only encourage the direction; it cannot ensure that employees comply. If it is evident that employees are not seeking such savings, ASD staff will bring it to the attention of the department head to address. ASD agrees that there should be a limitation to overnight stays within a certain distance of home or office. The policy will have exception for stays that require long days or early starts. Auditor’s update as of March 2011: In process. ASD has drafted policies and procedures that address the audit recommendations and clarify and simplify procedures. Travel forms have also been updated but will remain as two separate forms. Prior to finalizing these Attachment B Report on the Status of Audit Recommendations as of April 2011 Page 78 Audit report and recommendation Department Current status Comments procedures, ASD will review them with the City Auditor’s Office. Target date: June 2011. #11 ASD should reorganize the existing budgetary travel-related accounts into a “Travel and Training” account for professional development and a “Meetings” account for tracking taxable forms of reimbursement, such as nighttime meeting meal expenses. ASD In process Original department response: ASD agrees. ASD staff will update the chart of accounts, change the City Travel policy, update forms and discuss during City training. Auditor’s update as of March 2011: ASD has established new G/L accounts, changed title of existing G/L account and eliminated use of one G/L account. Budget will reallocate budget to new G/l accounts for FY 2012 budget. Purchasing staff will update Calcards to accept charges for new G/l accounts. Budget & Purchasing changes will be ready for 7/1/2011 implementation. A/P and Petty Cash forms will be updated once ELT approves draft P&P, ASD Director will present draft to ELT for input by end of FY 2011. ASD will provide Citywide training once P&P is finalized. Attachment B City of Palo Alto (ID # 1635) City Council Staff Report Report Type: Consent Calendar Meeting Date: 5/9/2011 May 09, 2011 Page 1 of 2 (ID # 1635) Summary Title: HSRAP Contracts Title: Finance Committee Recommendation for Approval of The Fiscal Year 2011- 13 Human Services Allocation Process (HSRAP) Contracts From:City Manager Lead Department: Community Services RECOMMENDATION The Finance Committee and staff recommend that Council: 1.Approve the following contracts for Fiscal Year 2011-13: Avenidas, in the amount of $402,224; Palo Alto Community Child Care, Subsidy Program, in the amount of $407,491; and Adolescent Counseling Service, in the amount of $87,561. These three contracts total $897,276. 2.Authorize ‘the City Manager or his designee to execute the multi-year contracts, Avenidas and Palo Alto Community Child Care for a renewal up to 5 additional years. 3.Authorize the City Manager or his designee to execute the Human Services contracts less then $85,000 and any other necessary documents concerning the contract. These eleven contracts total $213,176. COMMITTEE REVIEW AND RECOMMENDATIONS The Finance Committee conducted a public hearing on April 5, 2011 and heard testimony from the Human Relations Commission as well as several HSRAP applicants, including Senior Adult Legal Services (SALA), La Comida, Peninsula Healthcare Connections, Inn Vision, and Downtown Streets Team. The Finance Committee voted unanimously to recommend Funding Option B (see Attachment B) which allocates $1,110,452 in General Funds to fourteen not for profit agencies to provide a variety of human services programs in the community. The Finance Committee rejected staff recommended Option A (see Attachment B) which would have retained 2.5 percent of the total allocation ($27,761) for administrative costs for the Office of Human Services (OHS), choosing to instead fund OHS with Council Contingency funding. The Finance Committee vote to approve Funding Option B included a directive for staff to return mid-cycle in the next budget cycle with a strategic funding plan to direct HSRAP funding over a longer period of time. This staff report seems very short and incomplete. The amount of awards mentioned in Recommendation #1 [3 recipients] don’t add up to the amounts mentioned in second paragraph, Option B [14 recipients] May 09, 2011 Page 2 of 2 (ID # 1635) Attachments: ·Attachment A -CMR 1523 (PDF) ·Attachment B -HSRAP2011-13 FUNDING RECOMMEND(XLS) Prepared By:Minka VanDerZwaag, Department Head:Greg Betts, Director, Community Services City Manager Approval: James Keene, City Manager City of Palo Alto (ID # 1523) Finance Committee Staff Report Report Type:Meeting Date: 4/5/2011 April 05, 2011 Page 1 of 6 (ID # 1523) Summary Title: HSRAP Funding Proposal FY11-13 Title: Human Services Resources Allocation Process Funding Proposal for FY 11- 13 From:City Manager Lead Department: Community Services Executive Summary This report transmits to the Finance Committee, the proposed Human Services Resource Allocation Process (HSRAP) funding recommendations for the Fiscal Period 2011-13, the Human Relations Commission’s (HRC) HSRAP Priority of Needs for Fiscal Period 2011-13, and the proposal summaries submitted for funding consideration. The funding recommendations will provide either $1,082,690 or $1,110,452 for up to fourteen agencies each year for two-years. There are two alternative funding proposals included in this report for consideration by the Finance Committee. Option A includes a 2.5% reduction of the total grant amount to cover the administration costs of overseeing the grant program by the Office of Human Services, a work group within the Community Services Department (CSD.) This reduction totals $27,761. Option B does not include this reduction and instead suggests that administrative expenses be separately funded by an allocation from the General Fund operating budget. Recommendation Staff and the Human Relations Commission (HRC) recommend that the Finance Committee recommend to Council: 1.The approved funding option for 2011-13 (Attachment A), be included in the Fiscal Period 2011-13 Office of Human Services contract budget. 2.The City Manager or his designee is authorized to execute year one and for a renewal up to one additional year (FY2013). The City Manager or his designee also be authorized to execute the Human Services Contract and any other necessary documents concerning the contracts. 3.The Council approve the contracts that are $85,000 or greater as identified in Attachment A. 4.Provide direction to staff on whether administrative expenses related to the oversight and administration of the HSRAP program should be funded from existing HSRAP funding (Option A) or through new allocated funds from the General Fund (Option B). April 05, 2011 Page 2 of 6 (ID # 1523) Background Since 1983, the HSRAP Process has identified community service needs to determine City funding for human services. The City’s Human Relations Commission (HRC) actively participated in identifying human services needs through information provided by the community at the HRC’s monthly meetings and by hosting two ‘needs assessment’ forums. The needs assessment activities assisted in establishing bi-annual priorities of human services needs for the Palo Alto community. The Allocations Committee; comprised of Human Services staff, the City’s Interim CDBG Coordinator, and two HRC Commissioners, reviewed and analyzed the merits of funding requests and provided funding recommendations based on the established funding criteria and the bi-annual priority of needs. The HSRAP Allocations Committee recommendations are reviewed by the City administration and are then forwarded to Council through the Finance Committee for consideration and approval. The funding review process included the follow six components: 1.In September, 2010, the Office of Human Services and the HRC hosted two panel discussions on local human services needs and invited broad based experts in a variety of fields and current HSRAP grantees to speak on current and emerging human services needs. 2.The HRC established and adopted a bi-annual Priority of Needs for the Community that provided guidance for HSRAP funding recommendations (Attachment B.) 3.The Request for Proposals (RFP) process was expanded to a wider distribution base in order to reach a more diverse and greater pool of providers than in the past. The RFP was made available on the City’s website/homepage to increase visibility and accessibility to the invitation. 4.The HSRAP and the Community Development Block Grant (CDBG) processes were coordinated to maximize resources and streamline the City’s human services funding approach. Coordination involved specifying what funding request each fund would entertain, adopting the same Request For Proposal schedule, conducting a joint bidder’s workshop on November 15, 2010 for interested non profit providers, and for the first time, the same committee reviewed and made funding recommendations for both HSRAP and CDBG. 5.Avenidas and Palo Alto Community Child Care, which provide senior services and child care subsidies respectively, are “sole source” contract agencies because they meet the criteria as set fourth in CMR 118:99, “Proposed Human Services Resource Allocation Process (HSRAP) Implementation Plan.” Designation as a sole source contract agency may be considered when the service meets the City of Palo Alto target population needs as described in the City’s Comprehensive Plan or Consolidated Plan. Services to seniors and child care were established as priority needs. The two-year program proposals will be reviewed as they are received and contracts will be renewed contingent upon meeting performance objectives and standards. 6.HSRAP funding requests, for a two-year period, were reviewed to determine if they addressed the community Priority of Needs established by the HRC for Fiscal Period 2011-13. April 05, 2011 Page 3 of 6 (ID # 1523) Discussion As previously stated, there are two funding options being presented to the Finance Committee for considerations. In both options, the impact to the general fund is the same amount of $1,110,452. Option A - The Office of Human Services consists of managing the HSRAP program, mediation in the community, and various Human Service needs such as support of the HRC, child care, liaison work with local non-profits, homelessness services, landlord/tenant issues, Family Resources, and response to human service needs in the community such as Project Safety Net. After department budget cuts in each fiscal year since 2007, Human Services programs were underfunded, but continued to operate with funding from prior years being carried forward together with some transfers from the Cubberley Community Center operating budget, and some program reductions. Now that the funds carried forward have been exhausted, the Human Services program is seriously underfunded and no longer able to support HSRAP and contracted services at the current level. With annual department-wide program and budget cuts for the past several years, CSD no longer has funding in other program areas to transfer into Human Services operations as in prior years. Thus, staff recommends a 2.5% reduction of the total grant amount be retained in the operating budget of the Office of Human Services to cover the Administration Costs of overseeing and administering the grant program and fund the operations of Human Services as outlined above. Such reduction amounts to a total $27,761. Option B- This option does not include a 2.5% reduction to HRSAP grantees. The following was recommended by the Human Relations Commission (HRC) at their March 16, 2011 meeting. The HRC’s priority recommendation would allocate the entire anticipated HSRAP revenue to the 14 most compelling applications as reflected in Option B. This recommendation is conditional on other funds being allocated to the Office of Human Services operating budget for program administration from new General Fund appropriations, as noted above. By allocating the entire HSRAP amount to deserving applicants, the purpose of these monies is most fully met. If it is not possible to allocate the $27,761 outside of the HSRAP funds, the HRC proposes Option A. Option A would reduce most of the recommended allocations by approximately 2.5 percent, leaving $1,082,690 for HSRAP grantees. The sum of these reductions, $27,761, is recommended by the HRC to be applied to the Office of Human Services to enable it to continue to administer HSRAP and support Human Service programs effectively. Agencies being recommended for funding: April 05, 2011 Page 4 of 6 (ID # 1523) Sole Source Agencies: The following agencies are recommended for Sole Source funding in Fiscal Year 2011-13: ·Avenidas provides a comprehensive system of services to senior citizens. ·Palo Alto Community Child Care (PACCC) administers the City's subsidy for child care to low-incomes families. Non Sole Source Agencies: The following agencies are recommended for HSRAP funding in Fiscal Period 2011-13: 1.Abilities United (formerly Community Association for Rehabilitation) provides a wide range of support services to people with disabilities. These services include day center support services, child care for developmentally delayed children, employment services for the disabled, a creative recreation program and therapeutic aquatic program for adults. 2.Adolescent Counseling Services provides comprehensive counseling services to students and families in the Palo Alto Unified School Districts’ secondary schools. 3.Community Health Awareness Council’s Outlet Program provides crisis counseling and sensitivity training services for Lesbian, Gay, Bisexual, Transgender and Questioning Teens. The program targets Palo Alto teens in Palo Alto Unified School District schools. 4.Community Technology Alliance (CTA) provides internet access to subsidized housing units in Palo Alto and Santa Clara County through its searchable website, Housing SCC. In additional, CTA will continue to provide voicemail account to homeless persons who are clients of Palo Alto’s non profit agencies who serve the homeless population in order to help individuals seek work, housing and other means of support. 5.Downtown Streets Team, Inc., provides funding to train homeless participants in job skills and how to competitively search for jobs. Training is also provided to work with the Palo Alto Police Department, downtown merchants, the Palo Alto Downtown Business and Professional Association, and other agencies in effectively addressing homeless issues. 6.Inn Vision provides food to low income and homeless residents of Palo Alto at a local food closet and meals programs. (Inn Vision is not included as a funding recipient in Option #1. It is being recommended for funding by CDBG.) 7.La Comida de California provides hot meals for Palo Alto senior citizens. The agency provides hot lunches at the Avenidas Senior Center and Stevenson House, an affordable senior housing complex in South Palo Alto, five days a week. La Comida also provides hot lunches every Wednesday as part of Senior Friendship Day Program (a co-sponsored city program) at the Cubberley Community Center. April 05, 2011 Page 5 of 6 (ID # 1523) 8.May View Community Health Center provides medical and health care services to Palo Alto’s homeless and very low-income residents. 9.Momentum for Mental Health provides a homeless outreach program in Palo Alto. The outreach program provides emergency on-call services to City departments, libraries, community centers and homeless service providers. 10.Peninsula Health Care Connections provides case management to Palo Alto homeless individuals receiving Santa Clara County Housing Authority “Section 8” housing vouchers. 11.Senior Adults Legal Assistance provides Palo Alto seniors with legal advice counseling sessions at Avenidas Senior Center and at Stevenson House. 12.Youth Community Services provides community services opportunities for youth in the community and also with local non profit agencies. HSRAP funding was discussed during the March 4 and March 16 HRC meetings. Commissioners heard testimony from agencies applying for HSRAP funding. The request for additional funding for non profit agencies was unprecedented due to the decline in the overall economy. The agencies are experiencing an overall decline in donations and increased demand for services. Timeline Upon approval by the City Council, the contract period will be July 1, 2011-June 30, 2012 and renewable for one more year at the same funding level for funding for the budget period July 1, 2012 through June 30, 2013. Resource Impact The HSRAP funding recommendation will allocate either $1,082,690 or $1,110,452 in General Funds to support up to fourteen programs; two sole source agencies and up to twelve general agencies. Staff is recommending the HSRAP funding from the General Fund as reflected in the Community Services Department’s proposed budget for Fiscal Year 2011-12. Environmental Review This program is not a project as defined by the California Environmental Quality Act (CEQA) and is not subject to CEQA review. Attachments: ·Attachment A -HSRAP2011-13CITYCOUNCILFUNDINGRECOMMEND (XLS) ·Attachement B -PRIORITYOFNEEDSFY11-13 (DOC) ·Attachment C -PROPOSALSUMMARIES (PDF) Prepared By:Minka VanDerZwaag, April 05, 2011 Page 6 of 6 (ID # 1523) Department Head:Greg Betts, Director, Community Services City Manager Approval: James Keene, City Manager DRAFT 2011-2013 Human Services Resource Allocation Process (HSRAP) Selection Committee's Proposed Funding Recommendations to HRC March 16, 2011 No.Agency Program Description 2011-12 Agency's Request for Funding 10-11 Contract Amount 2011-13 Proposed Funding Recommendation (Option A) SOLE SOURCE(SS) 1 Avenidas Senior Services 450,000$ 406,287$ 396,130$ 2 Palo Alto Community Child Care Child Care Subsidy Program for Low Income Families 444,820$ 411,607$ 401,317$ Second Harvest Food Distribution -$ 7,128$ SS Total 894,820$ 825,022$ 797,447$ HSRAP 3 Abilities United Disability Services 56,000$ 40,045$ 36,506$ 4 Adolescent Counseling Sv On Campus Counseling Sv 110,000$ 88,445$ 86,234$ 5 Catholic Charities The GAP Project 151,678$ 6 Community Health Awareness Council Outlet Program 10,000$ 9,500$ 8,660$ 7 Community Technology Alliance Shared Technical Infrastructure 15,000$ 12,065$ 5,432$ 8 Downtown Streets Team Downtown Streets Team 55,000$ 35,815$ 32,650$ 9 Family & Children Svs Social & Academic Stress Reduction 46,000$ 10 InnVision Opportunity Service Center 50,000$ 11 Kara Grief Support for Children and Adults 65,000$ 12 La Comida de California Hot Meals for the Elderly 34,000$ 32,300$ 29,445$ 13 MayView Health Center Health Care for Low Income & Homeless PA Residents 25,000$ 17,100$ 15,589$ 14 Momentum for Mental Health Homeless Outreach Program 25,650$ 25,650$ 23,383$ 15 NOVA Youth Foundation Real-world Work Experience for Youth 40,000$ -$ 16 Peninsula HealthCare Connection Project Downtown Connect 63,000$ 25,000$ 17 Senior Adults Legal Assistance Legal Assistance to Elders 9,000$ 8,550$ 7,794$ 18 United Way Silicon Valley 211 Santa Clara County 13,500$ 19 Youth Community Sv Service and leadership 16,000$ 15,960$ 14,550$ HSRAP Total 784,828$ 285,430$ 285,243$ SS & HSRAP Total 1,679,648$ 1,110,452$ 1,082,690$ DRAFT 2011-2013 Human Services Resource Allocation Process (HSRAP) Selection Committee's Proposed Funding Recommendations to HRC March 16, 2011 2011-13 Proposed Funding Recommendation (Option B) 402,224$ 407,491$ 809,715$ 37,642$ 87,561$ 8,930$ 5,432$ 33,666$ 8,920$ 30,362$ 16,074$ 24,111$ 25,000$ 8,037$ 15,002$ 300,737$ 1,110,452$ HUMAN SERVICES RESOURCE ALLOCATION PROCESS PRIORITY OF NEEDS 2011-13 1.Children ·Early Care and Education ·Children with Special Needs 2.Youth ·Youth Well Being ·Counseling ·Mental Health ·Youth Programs ·Tutoring ·Transportation 3.Seniors ·Food/Nutrition ·Social Services ·Mental Health ·Transportation ·Legal Assistance 4.Homelessness ·Outreach ·Case Management ·Mental Health ·Emergency Housing ·Low Income Housing 5.Basic Needs ·Food ·Housing ·Mental Health ·Transportation 6.Social Services Coordination ·Encourage collaboration, coordination, and exchange of ideas among agencies. Attachment G Proposal Summary Human Services Resource Allocation Process (HSRAP) Request for Proposals # 139069 Agency: Abilities United Address: 525 E. Charleston Road Contact: linda Chin ,. 2011-12 Funding.Requested $56,000 PROPOSAL SUMMARY Fiscal Year 2011·12 Name af Program: Disability Services City: Palo Alto Zip Code: 94306 Phone Number: (650) 618·3329 Clearly and concisely summarizeyou~ request. Use the space provided on this page only. 1. Proposal Summary: Identify ,the' priority area of need met by this program, the program goals and objectives, how it benefits Palo Alta residents, and how the program effectively utilizes existing resaurces through callaborative efforts. Identifv the priaritv area: 1. Children-Children with special needs; 2. Seniors-Sacial Services; 3. Basic Needs-Hausing; 4. Yauth-Yauth well-being; 5. Sacial Services Caordinatian. List Goals & Objectives: Goal #1: To provide early intervention and therapy to infants in PA who. have develapmental disabilities Gaal #2: To. build physical health and independence far PA seniors by pravlding affardable rehabilitation Gaal #3: To provide employment training, independent living skills training, and social services to. PA adults with developmental disabi./ities to. help them abtain apprapriate, affardable, housing Goal #4: To pravlde afterschool and respite care for PA yauth with develapmental disabilities " " Gaal #5: To provide volunteer services to nanprafits in PA Objective #1: To provide 300 hrs.af Children's Services to. children, birth to. age 3, and their parents Objective #2: To pr-ovide 5,000 hr~. of Aquatic Services to PA seniors Objective #3: To provide over 9,000 hrs of Adult Services to PA adults Objective #4: To ptovlde 2000 hrs. of Afterschool and Respite care for PA yauth Objective #5 Clients will provide 1600 hrs. of valunteer services to PA nonprofits Methads: . Metfwd-#<l·: ·Early-Ifltefvehtion group classes, individual therapies, and parent training/support Method #2: Aquatfc therapy, adapted aquatics, weI/ness classes, and self-directed exercise Method #3: Job placement and coaching, training for independent living skills, social services Metho(UI4~ In,b.cune.Respite, center-based Afterschool Socialization Method #5: Client community service In PA nonproflts 2. Population Served: Describe the population served by the proposed program. Include the area of Palo Alto served, the number of unduplicated Palo. Alto residents served, whether it serves low-income residents and any other relevant information. a. Tatal Palo Alto population served by this program: ,-'2~2",,5,"=,_.,--___ --:-______ _ ,b.· ToWP.afo-Alta papUlation served by the Requested Funding Amount: -,2::-:2'?5~ ____ _ We will provide services to 225 unduplicated residents of PA who have disabilities, or are elderly; most are low/middle income. We will provide at least 16,300 hours of service. In addition, oUF,elients ':'fill provide 18 PA non profits with 1,600 hours af community service. 3. Budget ·Narratlve: 'Bescribe specifically how the requested funding will be used. The funding will be used for staff salaries to provide direct services to clients. ' 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. We will garner increased support from donprs who reside in PA and the surrounding area. Your grant is a vote of confidence for our services. 5. Supplemental Questions a. What services do you provide that is unique and no other agency provides these services In Palo Alto? We provide a lifetime continuum of services to people of all ages who have develop- mental disabilities. There are no other warm water pools in the area offering affordable, rehabilitating aquatic services. We coordinate and collabQrate with 18 PA nonprofits to help them fulfill their missions in the community by providing them with 1,600 hours of volunteer services by our clients. 1 Human Services Resource Allocation Proc~ss (HSRAP) Request for Proposals #139069 . PROPOSAL SUMMARY Fiscal Year 2011·12 Agency: Adolescent Counseling Services Address: 4000 Middlefield Road, Suite FH Contact: Philippe Rey, Psy.D., Executive Director 2011-12 Funding Requested: $110,000 Name of Program: On-Campus C~unseling Program City: Palo Alto Zip Code: 94303 Phone Number: (650) 424-0852 ext. 101 CI~arly and concisely summarize your request. Use the space provided on this page only. 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. _ Identifv the prioritv area: The Adolescent Counseling Services (ACS) On-Campus Counseling (OCC) Program addresses Youth: Youth well~being, Youth: Counseling, Youth: Mental Health, and Basic Needs: Mental Health under the HSRAP Priority of Needs .. This program also address several specific areas, including: Access to mental health services for low income population, crisiS counseling for youth, and crisis counseling services for gay and lesbian teens. List Goals & Objectives: Goal #1: To address issues that impede the personal growth and academic success of Palo Alto youth and to provide professional training to the next generation of mental health clinicians in our community. Objective #1·: '50% of the students seen five or more times will either maintain or improve their grades. Objective #2: 70% of the students seen five or more times will improve their level of functioning. Objective #3: 80% of the students seen five or more times will report-that the counseling they received was "helpful" or "very helpful". . r . Objective #4: 65% of students identified as mildly depressed and 'seen 5 or more times will show a decrease in depressive symptoms. Methods: . Method #1: . Method #2: Method #3: A licensed LMFT or LCSW serves as Site Director at each of the 5 secondary schools. Combined, they provide licensed supervision to 15-20 graduate school-level counseling interns. Both directors and interns provide free on-site individual, family and group counseling to students and their families . ACS will collaborate with the Palo Alto Unified School District (PAUSP) to provide free counseling services and prevention education, working with school administration and staff to ensure coordination of care for students, appropriate referrals to community resources, and critical education to parents and students in Palo Alto. ACS provides extensive professional training to 15-20 counseling interns, utilizing outside professionals in the field of mental health and psychotherapy to offer cutting-edge education in at least 40 hours of training annually. 2. Population Served: Describe the population served by the proposed program. Include the area of Palo Alto .. -served, the number of unduplicated Palo Alto residents served, whether it serves low-income residents and any . other relevant information. .' a. Total Palo Alto population served by this program: At least 550 unduplicated Palo Alto residents will benefit from counseling, but the program is open and accessible to all 11,000 students in the PAUSD. The OCC Program serves students who attend the five secondary schools in Palo Alto, with 83% residing in Palo Alto and 10% in East Palo Alto. Twenty-six percent (26%) of those served come from low-income families. Our clients also reflect the diversity in our community: 53% Caucasian, 18% Latino, 17% Asian/Pacific Islander, 10% African-American, and 2% Mixed or other. b. Total Palo Alto population served by the Requested Funding Amount: The requested funding will serve at least 550 Palo Alto residents and a total of 650 students in the PAUSD will receive counseling through 5,000 counseling sessions.· . , 3. Budget Narrative: Describe specifically how the requested funding will be used. The funding will support ACS' OCC Program in all five of the secondary schools of Palo Alto, including Gunn and Palo Alto High Schools and Terman, JLS and Jordan Middle Schools. Five (5) licensed Program Directors will provide on-site supervision to 15-20 counseling interns and provide services to at least 650 students in Palo Alto. Funding covers the cost of individual, family and group counseling, crisis intervention, prevention education, planning and coordination with guidance and other school staff, and on-goin~professional training. and su.pervision of clinical interns. 'r .,.;.' 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. , " . With $110,000 of support from the CitY,of Palo Alto, ACS can attract funding from community organizations, foupdations and corporations. The partnership with the City communicates to potential funders that ACS and our OCC program are viable and critical services in our schools, attracting funders such as the Palo Alto Weekly Holiday Fund, Rotary CllJb of Palo Alto, Palo Alto Community Fund, School PTAs and Site Councils. In addition to seeking this institutional support, ACS contint.i~s to broaden our individual con'tributors through successful annual giving campaigns and special events, as well as foundatIon and corporate funders through extensive grant research. 5. Supplemental Questions a. Wf'lat services do you provide that is unique and no other agency provides these services In Palo Alto? The OCC Program is the only' professional counseling program on-campus at all of the secondary schools in the PAUSD providing free counseling services to students and their families, The program has worked with staff and administratio'n at these five Palo Alto schools, _providing accessible, Quality counseling for over 30 years. II I j . I Attachment G PROPOSAL SUMMARY Request for Proposals #139069 Fiscal Year 2011-12 Agency: Avenidas Name of Program: Senior Services Address: 450 Bryant St. City: Palo Alto Contact: Lisa Hendrickson, President/CEO 2011-12 Funding Requested $ $450,000 Zip Code: 94301 Phone: (650) 289-5440 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. IdentifY the priority area: Senior Services List Goals & Objectives: Goal # I: The Palo Alto community will have a comprehensive local resource for seniors and caregivers that identifies their needs and designs and delivers programs and activities to meet these needs and interes·ts. - Goal #2: Senior adults will be supported in their efforts to maintain and improve their functional ability to ~main in their own homes. Goal #3: Caregivers, particularly spouses and adult children, will be supported in their work of providing in-home care to less independent seniors. Goal #4: Older adults will receive assistance in maintaining their homes, keeping them safe and in good operating condition at an affordable cost. Goal #5: Senior adults will be supported in maintaining or ~rhproving theiI: health and level offitness. Goal #6: Seniors will achieve greater satisfaction in life and improved emotional well-being. Goal #7: Seniors and caregivers will be supported in their search for information about, and assistance with, complex and ever-changing issues and problems associated with aging. Methods: Operate a senior center and a senior day health center offering a full continuum of services and activities for family caregivers! independent seniors and frail, less-independent seniors. 2. Population Served: Avenidas serves older adults, age 50 or older, and their family members and caregivers from all of Palo Alto. In recent years, the agency has served approximately 3,000 unduplicated Palo Alto residents. Programs are utilized by residents of all incomes, but participants tend to be of a lower-income than that of the community at large. Many participants are disabled. a. Total Palo Alto population served by this program: 3,000· . b. Total Palo Alto population served by the Request~d Funding Amount: 3,000 3. Budget Narrative: Approximateiy 61 % of the funding will be spent on salaries and benefits. Another 35% will spent on direct program expenses. The remainder will help offset facility and administrative expenses. 4. Funding Diversification: The agency will leverage the City's funding 10 times, through fundraising from the community, program fees, and other contracts. In 2010-2011, the agency expects to raise $630,000 from the community, transfer $1,000,000 from its reserves, receive $1,200,000 in fees, receive $650,000 from Medi-Cal and the VA and receive $106,000 in contractual income from other government entities. 5. Supplemental Questions a. What services do you provide that is unique and no other agency provides these' services in Palo Alto? Most of Avenidas' services are unique or modified specially for older adults. Agency: Catholic Charities 'J Attachment G Proposal Summary Human Services Resource Allocation Process (IISRAP) Request for Proposals # 139069 . PROPOSAL SUMMARY Fiscal Year 2011-12 Name of Program: Address: 210 N. Fourth Street Ste. 100 Contact: Dimple Gupta, Program Manager 2011-12 Fundin2 Requested $ 151678 City: Sail Jose Phone Number: The GAP Project Zip Code: 95112 ( 408 ) 295-5288 Ext. 205 Clearly and concisely summarize your request. Use the space provided on this page only. 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. Identify the priority area: Homelessness of veterans. List Goals & Objectives: Goal #1: Goal #2: Goal #3: etc. Objective #1: Objectiye #2: .. Objective #3: etc. Methods: Method #1 Method #2 Method#3: etc. To assist 10 qualified chronically homeless veterans with rental assistance subsidy to obtain community based housing. To determine client minimum income eligibility in order to provide security deposit assistance. To facilitate retention in housing for at least 6 months by providing supportive housing services. Within 15 days of the award, to establish controls for financial assistance and payment requirements for eligible clients. Within 30 days to consult with clients to identify rental property that meets their needs and arrange for security deposit assistance, ' 80 % of participating veterans retain housing for at least 6 months or longer. Case manager will meet with every client on at least a monthly basis for providing supportive housing services. Program Manager will meet with Fiscal and Housing staff to establish an auditable process for making payments. Case Manager will meet with client and landlord to ensure completion of inspection request form, utility allowance form, rental calculation form, W-~ form, copy of lease document and submit check request to Fiscal office for monthly payment assistance. Case Manager will screen clients as per eligibility criteria, review income verification, lease inspection requirements, security deposit criteria and ensure rental property adheres to HUD Housing Quality Standards for rental properties, then request payment for deposit. Case Manager will hold a face-to-face meeting with clients who receive rental and security deposit assistance to complete initial assessment, service plan and progress notes demonstrating the supportive housing activities. . 2. Population Served: Describe the population served by the proposed program. Include the area of Palo Alto served, the number of unduplicated Palo Alto residents served, whether it serves low-income residents and any other relevant information. a. Total Palo Alto population served by this program: ___ ~1~0 ____ _ b. Total Palo Alto'population served by the Requested Funding Amount: 10 3. Budget Narrative: DescJ'ibe specifically how the requested funding will be used. This funding will be used for rental assistance subsidy, security deposit, personnel and service delivery costs. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. ' SAMHSA grant funds leverage $ 400,000 annually for the proposed program and some agency cash match funds. 5. Supplemental Questions a. What services do you provide that is unique and no other agency provides these servi~es in Palo Alto? Short-term financial assistance to close gap in housing costs for veterans to remain in community residences in the Palo Alto area. . . Attachment G Proposal Summary Human Services Resource Allocation Process (HSRAP) Request for Proposals # 139069 PROPOSAL SUMMARY Fiscal Year 2011-12 Agency: Community Health Awareness Council Name of Program: Outlet City: Mountain View Address: 711 Church St. ,Zip Code: 94041 Contact: Eileen Ross Phone Number: (650) 965-2020 x22 2011-12 Funding Requested $ 10,000 Clearly and concisely summarize your request. Use the space provided on this page only. 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. Identify the priority area: Youth and Social Services Coordination List G'oals & Ob/ectives: Goal #1: Increase Palo Alto LGBTQ teens' feelings of self worth and pride. Goal #2: Reduce Palo Alto LGBTQ teens' high risk-taking behaviors such as illicit drug and alcohol use. Goal #3: Increase awareness and support for LGBTQ youth needs in schools and in other community agencies. Objective #1: Deliver direct support services including support groups, counseling, and GSA support to at least 45 Palo Alto LGBTQ teens in collaboration with Adolescent Counseling Services (ACS) by June 2012. Objective #2: Provide LGBTQ sensitivity trainings and awareness for 400 staff and stUdents throughout the 12 PAUSD elementary, middle, and high schools by June 2012. Objective #3: Offer staff trainings to 3 other agencies that serve the LGBTQ community, with a focus on youth serving agencies, including young children by June 2012. Objective #4: Coordinate support services with Adolescent Counseling Services (ACS). Methods: Method #1: Support groups at CHAC, ACS and on school campuses, outreach: online and in-persori Method #2: Gay Straight Alliance club support and conSUltation Method #3: Individual Counseling at a low cost through CHAC and ACS Method #4: Educational and Sensitivity Trainings and outreach, 2. Population Served: Describe the population served by the proposed program. Include the area of Palo Alto served, the number of unduplicated Palo Alto residents served, whether it serves low-income residents and any other relevant information. The Outlet Program serves Lesbian, Gay, Bisexual, Transgender, Queer and Questioning (LGBTQQ) youth ages 13-24. The program targets 45 Palo Alto teens in all areas of Palo Alto. Teens represent all gender,ethnic, religious, and socia-economic, backgrounds. In addition, we are targeting 12 PAUSD schools and 3 outside agencies with LGBTQ sensitivity trainings to create safe and successful learning environments for LGBTQ youth and their families. a. Total Palo Alto population served by this program: _....J7""8""8 ____ --, ____ _ b. Tot~1 Palo Alto population served by the Requested Funding Amount: --'-'15""0'--___ _ 3. Budget Narrative: Describe specifically how the requested funding will be used. We are requesting $10,000 to cover partial costs for providing outreach, support groups, counseling, and trainings to an approximate total of 500 Palo Alto youth and adults. Of the $10,000, Outlet intends to use $8200 for salaries, 17 benefits and payroll taxes for 4 Outlet staff members who provide direct support services to Palo Alto youth and adults who Work with youth. The additional $1800 will cover program and operational costs,all associated with communicating with and. serving Palo Alto residents. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. The Outlet Program receives a diverse mix of funding through foundations and corporate grants (21%), Government Contracts (29%), Workshop fees ano donations (1%), Individual donors (6%).and special events (31%). Outlet successfully leverages City of Palo Alto funcjs as we continue to seek a variety of funding sources with a focus on developing our individual giving and foundation grant support, 5. Supplemental Questions a. What services do you provide that is unique and no other agency provides these services In Palo Alto? Outlet is the ONLY program on the Peninsula that focuses solely on LGBTQQ youth in English and Spanish. Outlet h?s an established weekly support group that has been meeting every Monday since 1997 specifically for LGBTQQ youth, and De Ambiente Is the only LGBTQQ Latino, Spanish-speaking support and education youth group in the Jarger Bay Area. Finding a community and network of support is extremely important for the healthy development of all youth, and Oullet provides the only opportunity for LGBTQQ youth to connect with others both as friends and as role models. Further, Outlet offers critical support to service providers working with youth, as well as families, through educatlo'nal and sensitivity trainings, consulMions, referrals, curriculum development andlegal information. 18 , Attachment G . , Proposal Summary Human Services Resource Allocation Process (HSRAP) Request for Proposals #,139069 PROPOSAL SUMMARY Fiscal Year 2011-12 Agency: Community Technology Alliance (CTA) Name of Program: Tools for Ending Homelessness in . Santa Clara County -Tech SCC Address: 115 E. Gish Road, #222 City: San Jose, CA . Zip Code: 95112 Contact: Rachelle Guillen Phone Number: (408) 437-8800 2011-12 Funding Requested $ 15 000 Clearly and concise~y summarize your request. Use the space provided on this page only. 1. Proposal Summary: Identify the priority area of need met by this· program, the program goals and objectives,. how. it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. Identify the priority area: Homelessness; Basic Needs and Social Service CQordinationare met through programs CTA and our partner ag~ncies provide, through HMIS our partner agencies can collaborate and provide clients with outreach, case management, mental health assistance and emergehcy or low-income housing: CTA's Voicemail system connects clients to basic needs through communication to housing, case management, healthcare, mental health, food and transportation services. List Goals & Obiectives~ . Un-housed and at-risk Palo Alto residents: Goal #1: Are connected to opportunities for jobs, income, housing and healthcare through Community VoiceMaii assigned by a partnering agency. Goal #2: Receive more holistic care and improved access to a broad array of available services offered by our CoC through HMIS SCC .. . Goal #3: Gain information about services offere·d for Children, Youths, Seniors, Homelessness for healihcare, housing, ·mental health, transportation. and other basic needs. Object!ve. #1: Opportunities for self-suffi~iency increase for 15 homeless and at-risk Palo Alto residents· . assigned CVM. . Objective. #2: 150 un-housed and at-risk Palo Alto residents benefit from' holistic, collaborative service delivery from public and non-profit partners using HMIS'SCC. , .. Objective #3: 200 anonymous Iqw-income residents learn about housing, healthcare, youth, senior and mental health services available through HelpSCC.org Methods: Method #1: Provide and maintain the phone lines, technology, support, training and materials required by partnerlng agencies and their clients. . Method #2: Provide, maintain and enhance the web-based HMIS SCC database. Train and support Palo Alto based partnering ag'encies. Report to policy makers on demographic of and services provided to low'income residents. Provide and maintain HelpSCC and the 250+ Collaborative list serve;:;. Method #3: . Provide a.nd maintain the HelpSCC .website and Collaborative list serves. Outreach to Palo Alto agencies. 2. Population Served: Describe the population served by the proposed program. Include the area of Palo Alto served, the number of undupJicated Palo Alto residents served, whether it serves low-income resldents'and any ,other 'relevant information. , a. Total Palo Alto population serVed by this program: 1.10% to 1.15% of. homeless and (Presumed low Income by HUD standards) clients in the HMIS database claim a last permanent zip code (94301-94310) in Palo Alto ' . b. Total,Palo Alto·popu!atlon served by the Requested Funding Amount: approximately 1.10% to 1.15% un-housed or at risk clients in HMIS SCC database who claim a last permanent zip. code (94301~94310) in Palo Alto.· . .. 3. Budget Narrative: Describe specifically how the requested funding will be used. Flmds will be used for direct program expenses-staff salary and benefits, CVM phone lines and office and training supplies for - partners and clients. . 4. Funding Diversification: Summarize· how your agency plans to leverage the funding from the City and diversify funding for this program.· This request represents.3% of funds required to provide service to Santa Clara County resident!?, cOfTlparable to Palo Alto's share of the County's population. 5. Supplemental Questions a. Whqt services do you provide that is unique and no other agency provides these services In Palo Alto? .Training, maintenance, outreach and technical support for Community Voice Mail, HelpSCC., Collaborative list serves and HMIS SCC. Agency: Downtown Streets, Inc. Address: 480 Lytton Ave,.suite 2A Contad: Eileen Richardson Attachment G Proposal Summary Human Services Resource Allocation Process (HSRAP) .Request for Proposals #139069 Propositi Summary Fiscal Year 201l~12 Name of Program: Downtown Streets Team City: Palo Alto Zip Code: 94301 Phone Number: (650) ~62-1795 2011-12 Funding Requested $55,000 Clearly and concisely summarize your request. Use the space provided on this page only. 1. Proposalsuntma..y:. Identify the priority area of need met by this program, the program goals and objectives,how it benefits Palo Alto residents, and how the progr~ effectively utilizes existing resources t~rougb coUaborative efforts. de' e··· r' . Q.Q'm.I,t~t~i$,:tt~ij:T¢iilri?g}Pti9iitJri$!f(r.p)X):vid~!aQc.e8S::tQ;fQ0.4:mtd:~lwl~tq,:$.~A!>'I»f:ll~~I> •. lo:w;, .. ::tWfa~~\~li~Th~~.jo"bS·;~~~~~~:!;~:~::t::~~J=~e:i~;!~f~!:~~~!1~~:~=::.e OUf program has lJ.oused 74 individuals and found employment for 85. To summarize, 159 tean;t members no longer live on the streets, parking garages, parks and storefronts of Palo Alto, List Goals & Objectives: .. . Goal #1: A leading program goal is to provide tools for the· homeless population which lead them to lives of independence; thus reducing the use of our City's expensive and valuable resources-emergency rooms, criminal justice system and other services. Goal #2: To dramatically curb and eventually end panhandling in Palo Alto.· . . Goal #3: To keep our city vibrant, clean and safe so as to promote it as a destination for shopping, dining and events. Objective #1: To train team membersi,nj6b skill!! and: ~tensiv~job search skills through volunteers and partnerships . . Objective #2: To be a leader in the eoinmuuity forintioviltive ideas and collegial efforts to make lasting change for our impoverished citizens. . Objective #3: To work with merchants, the BID (palo Alto Downtown Business and Professional Association), Catholic Charities, Inn Vision, Peninsula HealthCare Connection, City of Palo Alto, qty of Palo Alto Police Department, EHC, Momentum for Health Care, etc to once and for all have a unified solution to om: community's unique homeless issues, . Methods: The program methods are to provide structure, training, guidance, confidence, inspiration and hope to individuals to achieve their goal of re-enteling society and our community as a productive and independent member again. Method #1: Weekly S\lccess Team meetings are held where participants are guided along a "Ladder of Success" to ajob and housing. Method #2: Strict mles for team members which min'Of a traditional mainstream work environment. Each parti~ipant is evaluated , weekly for his or her performance, attendance, punctuality and attitude, . Method #3: Intensive job search skills training each week, attention to each individual to address their personal iSSUeS, Extensive networ~ of partner non-profit~ to garner services we do not provide directly, 2. Population serVed: Describe the popuJation served by the proposed program. Ineludethe area of Palo Alto served, the number of unduplicated Palo Alto residents served, whether it serVes low-income residents and any other relevant information. The popUlation served is the homeless, the disabled, seniors, those with mental health and physical issues, low income, at risk of being homeless and the under employed. The program has served more than 425 unduplicated individuals and has found employment for 85 and housing for 74. . s. Total Palo Alto population served by this program: 295 b. Total Palo Alto population served by the Requested Funding Amount: 75 3. Budget Narrative: Describe specifically hQw the requested funding will be used. This funding will be used to purchase vouchers for the participants IlI).d for some program overhead. Program overhead is a small percentage of the budget because there are only two and one-half employees, the Executive Director, the Program Manager and a half-time Case Manager. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. The Downtown Streets Team:works with many local agencies to attain services for its participants that we do not supply directly. For example, instea&~fpaying for hq.llsmg ourselves, we nurture strong relationships with ERC Li,febuilders for shelter and have housed 9 of our team members this year thfOugh one of their grants. We also work with Peninsula HealthCare Connection to attam medical and mental health services and the Stanford Law School to aid in filing SSI applications. We volunteer as a team to help run Family Harvest at the Opportunity Center, a meal program for needy families and oui Executive Director is a member of Inn Vision's Peninsula Advisory Council (iF AC), the Santa Clara County Collaborative to End Romelessness and Destination: Home Jobs and Housing Group. We have diversified funding by not only expanding our grlllit writing efforts but bYseyuring contracts for services with the City of Palo Alto, ERC Lifebuilders, Inn Vision,the Palo Alto Daily News, Whole Foods, and the Palo Alto Adult Soccer League. . 5. Suppleme.ntal Questions a. What services do you provide tJ,at is unique and no other agency provides these services in Palo AJto? The . Downto\:Vll Streets Team is not only unique to Palo Alto but is believed to be the first of its kind on the West Coast.' We have had inquires from all over th~ country about our model and successes.· Gilroy, CA, San Jose~ Ca. and . paytona Beach FL have 4nPlemented programs based on our model with the latter having paid a franchise fee. As evidenced by such awards as the 2009 Harvard University Kennedy's School Ash Institute '~Top 50 Innovations In Government" - a City of Palo Alto honor--tbat rewards ·achievement and innovation in government, as wen as the 2010 Tall Trees A.ward winnerfor Outstanding Non-profit, we are being recogruzed locally and nationally as uniqUe and R provider of service that no one else in Palo Alto or other communities offer. Un1ike traditional social programs, we do more than feed and temporarily house our team members, we also: • Keep our city clean, vibrant and safe, therefore, improving business and assisting Paio Alto in becoming a destination for events, shopping ElI!,~ business. • Provide a clearly defined road to self-sufficiency and Jong-Iasting lives of independence, i.e., hope, self respect and a path to a new life. • Curb ·and eventually eliminate panhandling. . • Provide team members with the basic needs to succeed such as dentures, automobiles, bicycles, bus passes, prescriptions, clothes, apartments and furniture. Human Services Resource Allocation Process (HSRAP) Request for Proposals # 139063 PROPOSAL SUMMARY Fiscal Year 2011-12 Agency: Family & Children Services (F&CS) Name of Program: Address: 375 Cambridge Avenue City: Palo Alto Contact: Maryanne McGlothlin Phone Number: Senior Director of Development 2011-12 Funding Requested: $46,000 Healthy Relationships Project Zip Code: 94306 650-326-6576 Cleady and concisely summarize your request. Use the space provided on this page only. 1. Proposal Summary Priority Area: Youth (Youth well-being, Counseling, Mental health, Youth programs) and Basic Needs (Mental health) Goals & Objectives: Goal # 1: To help support the well-being of Palo Alto high school students 'by supporting the development of healthy teen relationships and the prevention of unhealthy relationships, dating violence, and bullying, Objective # 1: 10 Palo Alto students will be trained annually to be Ht~althy Relationships project peer educators. Objective #2: 8 presentations will be conducted annually by trained Palo Alto students. Objective #3: 150 Palo Alto students will attend Healthy Relationships project presentations each year. Objective #4: 75% of youth will indicate increased understanding of the characteristics of a healthy relationship. Objective #5: 75% of youth will indicate increased skills for developing and maintaining healthy relationships. Methods Method #1: Based on an established curriculum, provide 8 presentations by trained peer educators. Method #2: Provide quarterly adult trainings on supporting healthy teen relationships. 2. PopUlation Served F&CS's proposed project will serve Palo Alto high school students throughout the City with on-campus services: 160 unduplicated Palo Alto residents will be served, including clients who may be low-income. a. Total Palo Alto population served by this program: 160 b. Total Palo Alto population served by the Requested Funding Amount: 160 3. Budget Narrative: Funding will be used exclusively to support Healthy Relationship project implementation (e.g., training peer educators, conducting youth workshops, providing adult workshops) and staffing to support Palo Alto high school youth. 4. Funding Diversification: As an agency, F&CS receives support from over 15 foundations, 80 corporations, and hundreds of individuals, as well as funding through more than 20 contracts with cities, counties, school districts, and corporations. For our proposed project, F&CS will leverage City funding to seek additional service resources and support. Counseling services offered as part of this project will be supported in part by existing fee-for-service agreements. 5. Supplemental Questions a. What services do you provide that are unique and that no other agency provide in Palo Alto? Based on 60 years of service experience, F&CSis uniquely qualified to support the development of healthy relationship skills and the avoidance of teen violence for high school youth. No other known agencies currently provide similar services or this curriculum to youth in Palo Alto, one of F&CS 's ,two agency 'hometowns.' Family & Children Services (F&CS) I Proposal Summary .. ' r ,.; l) Attachment G Proposal Summary COpy Human Services Resource Allocation Process (HSRAP) Request for Proposals # 139069 Agency: Inn Vision the Way Home Address: 33 Encina Way Contact: Denise Scovel 2011·12 Funding_ Requested $50,000 PROPOSAL SUMMARY Fiscal Year 2011·12 Name of Program: Opportunity Services Center City: Palo Alto Zip Code: 94301 Phone Number: (408) 292-4286 Clearly and concisely summarize your request. Use the space provided on this page only. 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. Identify the priority area: The Opportunity Services Center (OSC) operates daily between 8:00am-3:00pm. One of the primary services we provide is feeding the homeless In the Palo Alto area. Each day, the center feeds between 100-120 individuals with breakfast and lunch. Dinner is also provided through local community churches in the Palo Alto area. Although many clients initially visit the center to get fed each day, our case management staff take this opportunity to engage these clients on a deeper. level, encouraging them to access mainstream services such as Social Security benefits, address health and medical issues, and lor repair their financial credit. Once a repoire and trust.is established with the· clients, the staff begin to see clients on a more regular basis. thereby working with them to establish and achieve their goals towards improved self-sufficiency and stabilization, by connecting them with local resources or collaborating with other partnering agencies. We currently have three programs operated directly at the Opportunity Services Center: Daily breakfast and lunch program at the OSC which serves about 100-120 daily, a daily grocery program through the Food Closet that serves about 75 individuals and Family Harvest, which distributes about 60 individuals and families a month. Dinner is also provided for those in need through the Breaking Bread program. To date, we have served 1,100 unduplicated clients at the OSC. Of this, 13% are senior citizens. and 15% are children, which Is a trend that has increased from the last fiscal year, suggesting that more seniors and children are In need of the services we provide at the OSC, particularly providing services to supplement their income through our weekly Family Harvest and Food Closet program that provides bags of groceries for families with children. The staffs that serve, coordinate and assist in the management of our various food programs are integral to execution of our successful programs that serve the community. These programs are critical to meet the basis hunger and nutritional needs of the local homeless and low-income population. We collaborate with many local service organizations which aids in the operation of our programs. Our supply of meals of food is generated tnrough our membership with The Second Harvest Food Bank. Additionally, we receive tremendous support from many local high-teph companies, restaurants and grocery stores who supply us with a variety of food ranging from pre-made lunch meals, canned goods and fresh produce. The Opportunity Services Center directly assists homeless Palo Alto residents in need of critically important food, clothing. shelter, referrals and counseling. This daytime center is open each weekday during the morning and afternoon and serves homeless men, women and children. The Urban Ministry of Palo Alto operated a drop-in center for approximately 20 years as a non-sectarian, non-profit serving homeless and very low-income Palo Alto residents. Recently, Urban Ministry merged into InnVlslon, a like-minded social service agency based in San Jose, which has increased our organization's stability as well as improved administrative efficiency and additional client services. List Goals & Objectives: Goal 1: To provide daily meals and distribute grocery bags to homeless and/or low-income individuals and families in the Palo Alto and surrounding area. Objectlve1: Operate the food program at the "Opportunity Services Center" and "Breaking Bread Hot Meals· to provide daily breakfast, lunch and dinner five days a week between 8:00am-2:00pm to meet daily basic food needs. Outcome1: By June 3D, 2012, 95% of 1,000 homeless individuals will have daily hunger issues met. Numbers served: 950 individuals and households (95% of 1,000) 17 " Goal2: To ensure that all individuals and families not go hungry by providing them with meals and groceries. Objective 2: Distribute daily grocery bags filled with canned goods, fresh produce, dairy products and bread to low- income residents of Palo Alto through the Food Closet located on 425 Hamilton in Palo Alto, and Family Harvest fooc;! programs at the OSC. Outcome 2: By June 30, 2012, 75% of 50 homeless or at-risk homeless individuals or household will have basic groceries provided to them which will enable them to cook and feed themselves or their family. Number served: 37 individuals and/or families (75% of 00) Goal 3: Encourage self-sufficiency by helping clients,sign up for Food Stamps. Accessing mainstream benefits, linkages to mental health, employment services gateway to other services we provide. Increase in population served more families who are high at risk at being homeless, Objective 3: Work with homeless or very low-income Individuals and household to sign up for USDA Food Stamps program. Outcome 3: By June 30,2012,50% 10 individuals or household of will have applied for the USDA Food Program. Number served: 5 individuals and/or household (50% of 10) Methods: Method #1 Operate Opportunity Services Center daily Food Program on a daily basis from 1 :30am-4:30pm Method #2: Coordinate and distribute groceries from local grocery stores, restaurants and high-tech companies; distribute to homeless and low-income individuals and families on a daily basis. Method #3: Case Managers will work with and strongly encourage individuals and families to apply for the USDA Food Stamps program by having the resources and information available for the application process. 2. Population Served: Describe the population served by the pr()posed program. Include the area of Palo Alto served, the number of unduplicated Palo Alto residents served, whether it serves lOW-income residents and any other relevant Information. a. Total Palo Alto population served by this program: _1 ,219~ __________ _ b. Total Palo Alto population served by the Requested Funding Amount: _1,000, __ -,-__ Ninety percent of Opportunity Center clients are homeless people who sleep outside, in cars, or in places not normally utilized as housing. Between 100 and 120 seek services at the drop-in center on the average weekday morning. The typical shelter client is a single adult who became homeless after losing a job and subsequently being evicted from housing. Many of the families that we serve are employed, but are low-income. The basic needs of buying groceries, particularly in this stressful economy, forces many to choose /)etween the basic needs of housing (rent), food and clothing. The assistance of providing daily meals and groceries to homeless and low-income families alleviates a part of this financial burden. Last year, we served over 1,219 Palo Alto residents through our Food Pantry, Family Harvest Programs and Breaking Bread Programs 3. Budget Narrative: Describe specifically how the requested funding will be used. The Opportunity Center's annual budget is $1,091,460. Other services, in addition to the day center include 15 nighttime emergency shelter beds at the Hotel de Zink, the Breaking Bread hot meal program, the Food Closet and Family Harvest.. The $50,000 in HSRAP funding requested for the daytime Opportunity Center will partially fund the Food Worker, Program Workers, and Program Director who work directly with the coordination, pick-ups, distribution of the food and meals that we serve to our clients. These staff members work dire'ctly with clients ensure that the various food programs operate effectively and efficiently. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. This program depends on many funding sources to accomplish its purpose, and funding from HSRAP is a critical component, especially in this difficult fundraising environment. If the money is not granted or reduced, we would attempt to find other sources, but this will certainly prove very difficult and service cutbacks may well be required. 5. Supplemental Questions a. What-services do you provide that is unique and no other agency provides these services In Palo Alto? Each weekday between 100 and 120 homeless people visit the Opportunity Center on Encina Way near downtown Palo Alto. There is no other agency in the area that provides the wrap-around services to the homeless that the OSC provides. The Center provides breakfast, lunch, dinner, and access to laundry services, computer access, clothing, toiletries and towels. They also come to check job listings, to make phone calls, to get their mail or to receive free trans ortation vouchers which the use to et to an Interview, a 'ob, a meal or a doctors' a ointment. 18 ~ ". I, Human Services Resource Allocation Process (HSRAP) Request for Proposals # 139069 ' Agency: La Comida, , Address: 450 Bryant Street Contact: Ruth Rosenbaum 2,011-12 Funding Requested: $34,000 PROPOSAL SUMMARY Fiscal Year 2011-12 Name of Program: Senior Nutrition Program . City: Palo Alto Zip Code: 94301 Phone Number: (650) 321-0243 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. ' , Identify the priority area: Meeting the nutritional and social needs of the elderly who live locally. List Goals & Objectives: Goal #1: Provide high quality, affordable, nutritious meals for individuals who are ,60 years and older. Goal #2: Provide socialization opportunities for elderly who are isolated. Goal #3: Provide education, information and referral services. Goal #4,: Prevent illness/declining health caused by inadequate or inappropriate nutrition. Objective #1: , Serve a hot, nutritious, affordable meal once a day, five ,days a week. Objective #2: Create an attractive setting that encourages socialization. 'Objective #3: Recruit volunteers from elderly population. Objective #4: Educate participants about their nutritional requirements. Objective #5 Identify and refer individuals in need of the special services that Avenidas provides. Objective #6: Provide transportation for individuals who otherwise could not attend La Comida. Objective #7: Publicize La Comida Lunch Program for Seniors. See website: www.LaComida.org. Methods: Method #1: Utilize advanced menu planning to provide variety and nieet nutritional requirements. Method #2: Maintain well-trained staff and site manager; meet and exceed County standards. ,Method #3: Collaborate with Avenldas by referring Individuals for their services as appropriate and sharing responsibility for providing transportation to the lunch site for needy individuals. Method #4: Fund program with: continued subsidies from Federal and State funds (Council on Aging), Santa Clara County (Senior Nutrition Program) and City of Palo Alto; donations from local service , organization; private individuals. ' Method #5: Continue shared administration of Program by active Board of Directors. (16 members) Method #6: Collaborate with County staff to provide supplementary services ~nd educational programs. 2. Population Served: Describe the population served by the proposed program. Program serves all Palo Alto residents aged 60 and over, many of whom have restricted incomeS. 711/09':' 6/30110 La Comida served 690 unduplicated P. A. residents. The total number of unduplicated individuals served was 1,090. a. Total Palo Alto population served by this program: U. S. Census Bureau (2008) shows Palo Alto's popuiationG5 and over at around 10,000. Add to that number residents aged 60-65, and the number served by La Comida'is substantially greater than 11,000. 'h. Tofal Palo Alto population served by the Requested Funding Amount: Total population would stay the same. (See #2a above.) Possjbl~ consequences of eliminating r-equested City funding: decrease in qijality of meals and/or decrease in l1umber of serving days. 3. B.udget Narrative: How will req4ested funding will be used? Funding will help pay for purchase and preparation of food for dally lunch, salaries of Site Manager, staff and related budget items. In 2011~12 plan to serve 39,,500 meals at 3 sites: La Comida at 450 Bryant St., Stevenson House and Cubberley. 4. Funding DiVersification: Summarize how your agency pians to leverage the funding from the City and diversify funding for this program. Nutrition Program funding sources: Federal Title IIIC and State funds (Council on Aging); County of Santa Clara (Senior Nutrition Program); Santa Clara Valley Transit Authority OUTREACH; voluntary c'Ontributions from local service organizations and individuals. " '. . 5. Supplemental Question: a. What services do you provide that is unique and ,no other agency provides these serviCes In Palo Alto? La Comida is the only on-site organization in Palo Alto that provides subsidized, low-cost, freshly-cooked, nutritious lunches specifically designed for and dedicated to our older population. 1 .. :.; . ' .. :.';' . . . ."'" .. ' .. ::,:,: . . " ....... ~ :' .. :. :.:.' .. ' . .; .. ' .... . ··:ATTAC·HMENT. G·;-:.PrQPOS818ul,lm,a.ry .' . ". , .. HlJinan S~ivlc~s Resource Allocation Pro*ess.(tfSRAP) :. . . '.~. . ..... . . ·.f. "': .. ' '. .. ~equest ~or Prop~sah~ # 1~~069 ' .. : ' .. .... . . . .......::.. ~ .... : . . PROPOSAL SUMMARY' : ,: Fiscal Year 201 ~~12 '-, .' ........... . . Name of Program:PaioAlto:GriefCounseiiilg & Crisis:Respons~ ...•.. .. . .. ' " .; . .'..' ": .. Agenpy; Kara .' .... ' .' ' ..... ' 9lty: Pai~ .Alto . . . ." Acfdress:45i Kingsley Av~nue '. , .'.: contact: St~phanfe Demos '.' PhCtri~Numb'er:(650) 321-5272 aid, 17" . .. ;., .... . . '. . . .' . ..' .. ::.::. . .,..: 2011~12 Ftindln' Re uested $65;000 '. . .'::' .' Cle!lrly and. concisely summarize yourreque~t.l,lse thespaceprovlde~ on . .ttlls page only. , . . . 1... .~,oposal Suinrri~ry: identify the prlQi'ltyarea of need met by this prograf!1, the program goallSarid.obJectlves, how it·· .. beneijts PaloAltor~sldentsi and how the program effectively utilizes exlstlngresciur~esthrough collaborative.' . . ' •.. effortS; . IdentifY the prloritv area: Youth Menta/ :Health ~nd Counseiing. Senior and Basic Ne.eds Menta/Health ' .. ' . '.: . .. . '., .' . . ..... '. .... .' '.' List Goahil &ObjeCtives: . . ..'.. . . . .' . . . ..' . G~' #1: Enable bereaved individuals and faniilies to move through the!r grief tow~rdsreneWed hope. and meaning. . GQal#2: N6tm~fize tlie grieving process as one of life's uniVersa/experlences. .•... • .'........ . ' .. ~<i~i #3: Create a compa~sionate and resilient community In regards to. grief, losss'n{J trauma. ' ...... ' . . ; . '. . '. . .. ' . ..... . '. ... . ObJ~tl~e#1 :ri~crease the. s~'nse' of isoiatlon 'that individuals may feel While they aregneving. . Objective #2: Teach' oopiligs~iIIs that clients can use during and after receiving grief support from Kara .. . Oi)Jectlve #3: Build conimunity capacity to support others experiencing grief and bpe.better prepared to cope wh.en someone experiences loss theil1selV~s:' . '. '" " . . . .' .' ' .. ' . . . lVIothods: ',' . '.' . . -< '. . •.... ..... . . . ..' .., ". ...... .' '. . '. . .' . '.' Method #1: Prov.ide, an array of customized and age.;,approprjate grlefsupport, including individue!l peer counseling,· sp9clali2:ed grief groups, psychOther~pyl crisis intervention and communityeveht$;· .'. .... '.' ." . Method #2: Provide' grief crisis preparedness and eduoatlontoiridivjdual~i fainilies; schools, organizations,: '.' ." businesses, :and .professional caregivers.' .. ' ..' :. . '.' .' .'. ,":., .:... ..'. . <" ... ' ..... <,: ." .: .. .. . ' , ...... ' . MethQd #3:: ParticipantSincon:linuilltypte"l1lnt~tive and 'responsive cOmmunity efforts to address the mental hesltliof . teens,JamUies ahdindlviduals, ....< ": ':: . ',.: .':' ...... •.. " .>. " .. : .. ' 2; .'. Poptdatlorl s~rv~d: Describe the population serVed by the propos~d program;lnclud~ the area ofP~lo.Altoseived.· . . •.... . . . ttienulllber of uilduplfcated Palo Alto residents seiYed, whether It ~erves low:~fncoll1e resl.dentsand any other' relevant ,nfonn~tion~ '. . .... . -., ...•. ' '.:~:: :.: ....... ;,. .•• '..'. '.' > .... '. '. ~ .' ............. ' ". .' . '. a.. The program serves any Indlvldo.l, family. t;lchool, or organization In Palo Alto that Is dealing with Issues.related . .. ". tc)end..of.life, grief,..trauma arid .ossdt serves all Income levels, Including low-income: . . .......... '.. ',. .' .....•. . . b: Total Palo Alto p()p~'la~lori senred by thlsprogram:·. ' .. ' .... '.' '. ' .' 1, 130" ..:' . ·c. Total Palo Alto popu'atlonsef1led:by tJ1e'Requeilted FUridlngAmc)Unt!'.·: .•. "3b~ . . ... . :; .",:. :., 3: .' Bu~get Narra~'ve: D~scrlbe:s,;ecJfic~iiyhow the i-equ~te~fundlng will be used. The $65, 000 wo~ld pay the '. . . : ..... . s~larje$ of program and prograll1 ~d~inisti'atlon ~taff w~o deliver grief support, .crisis response, and grief-related.. . therapy. ItwoUldEjISQ flUid proposed new workshopsa~d groups tQrespond to evolving nee~sas pur.· , .' ... . cOn;lmunitywork$ toenhance.the·soCial emotional health of community members, In:Cluding youth; te~.ns·ai1d·· senlor$; .. '., ." .' '., ........: ,::. . .' '.' .' . 4. -i=undlng Diversification: Summarl~eho';'; your agency plaris to ieve.rageth& fundingfr91n the City tmd(ilvers'ify : . ...fuhdlng fetr this program. s'Eicuring th~ first g()vernment~bas~dfundingfor .Karawoul~. actu.ally. improve our ' ....•. . • ..... • Ii~efmoocl. of rec~ivirig. n~W'9ral'ltsJrom foundations and corp~ratroos whQare fqcused:0n. il1veEding, In'' ..•.•.. . .... .... . organizations with diverslfjed flJndingsoUrces. This f(indin9 would. also enable K;:mi todesi!}n ahdpilot more f~e::basec;l services; suchas n9,#workshops, that would ~vehtua"y' beself;sustalning. '. '.," .. ' . ., .. Ka'ra, 4S7 'Klngsley Ave;paio'Alto CA 9.4301 .. : ..... ~: . :'';' .. . .;"., " ' . Attachment G Proposal Summary Human Services Resource Allocation Process (HSRAP) Requesffor Proposals # 139069 Fiscal Year 2010-11 OfliGl--INAl- AgencY: .. :~;~,~~¥f'YM~?n1w.M~lii~H~~~!tMft:~~.~i~(· Name of Program: ~e~~~~~~~ ~;I~~;~n~~~~:~~ Address: 270 Grant Avenue Contact: Shamlma Hasan, CEO 2010-11 Funding Requested $ 25,000 City: Palo Alto Zip Code: 94306 Phone Number: ( 650 ) 327-1223 . Clearly and concisely, summarize your request. Use the space provided on this page only. 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and . objectives, how It benefits Palo. Alto residents, and how the program effectively utilizes existing resources t~rough collaborative efforts. Identify the priority area: Healthcare: Preventative ServlceslWeliness Services List Goals & Oblectlves: Goal #1: Expand access to quality health care services for the low"income, uninsured people, regardless of ability to pay. ' Goal #2: Strengthen strategic partnerships and leverage networks to reinforce the health care safety net and to ensure that MayView services can beUer meet the needs of the community. Objective #1: Ensure that low"income, uninsured individuals and families have access to primary healthcare and other health care resources, including at least 100 low-income, uninsured Palo Alto residents. Objective #2: Expand partnerships and linkages with teaching Institutions, residency programs, hospitals and the community as a whole to improve patient care and access to services. Methods: Method #1 a: Provide medical care and preventative services to individuals and families. Method #1 b: Work with community partners on patient satisfaction, program development and assessment. ' Method #2: Position MCHC with community partners to promote prevention and wellness. 2. Population Served: Describe the population served by the proposed program. Include the area of Palo Alto served, 'the number cif un duplicated . Palo Alto residents served, whether It serves low-Income residents and any other relevant Information. In 2009/10, a total of 609 unduplicated Palo Alto residents received medical services at MayView clinics. Of these, 125 received 255 services subsidized by our funding from the City of Palo Alto. Over 93% of MCHC's clients have incomes at or below 200% of the federal poverty level. ' 3. Budget Narrative: Describe specifically how the, requested funding will be used. The funding will support direct services for at least 250 direct medical services (including some lab services, and malpractice insurance) to at least 100 low"income or homeless residents of Palo Alto. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. ' ' One of our strategies for fund raiSing has always been to leverage on the funding!relationship that we have with the City of Palo Alto and Santa Clara County with other donors. In the past, we have been able to leverage funding from the Palo Alto Medical' Foundation, Stanford Hospital Community Benefit Program and will continue to do so in the future. Our programs clearly identify with community needs. 5. Suppl~mental Questions a. What services do you provide that Is unique and no other agency provides these services In Palo Alto? MayView Is the only community health center providing primary healthcare in the affluent community of Palo Alto, the only access point for healthcare for low-income and uninsured people. They are not eligible , to receive services from other health care providers where private insurance coverage or a large prepays are required. MayView provides a medical home and continuity of care for low-income families and individuals, which is especially import for those with chronic diseases like diabetes or hypertension. Most of our staff are bilingual in Spanish and English, and are able tO,malntain a relationship with the clients, coordinate referrals to specialty providers when necessary and provide case management. i.. ~. Attachment G Proposal Summary Human Services Resource A"ocation Process (HSRAP) Request for Proposals # 139069 Agency: Momentum for Mental Health Address: 2001 The Alameda Contact: Jerry McCann 2011-12 Funding Requested $ 25,65() PROPOSAL SUMMARY Fiscal Year 2011-12 Name of Program: Homeless Outreach City: San Jose Zip Code: 95126 Phone Number: (4aB) 261-7135 x2118 Clearly and concisely summarize your request. Use the space provided on this page only. 1. Proposal Summary: Momentum is requesting funding to provide outreach and referral services to address the Priority Need of Homelessness in Palo Alto. The goal of the outreach and referral is to successfully connect those that are homeless and have a mental illness to services that are designed to mitigate the symptoms of mental illness, address physical health issue, receive assistance with financial benefits and housing, and receive general support to break the cycle of homelessness. This program will benefit the residents of Palo Alto by providing the types of support that will lead to reductions in homelessness. The Homeless Outreach program will succeed in its efforts by working together with Palo Alto City, Santa Clara County and other service providers in a collaborative and coordinated manner towards the common goal of improving the quality of life for residents of Palo Aito, particularly those that are homeless and have a mental illness. Identify the priority area: Momentum's Homeless Outreach Program addresses several of the Priority Needs of the City of Palo Alto including Homelessness: Outreach, Case Management, Mental Health, Housing, Youth: Mental Health, Youth Well Being, Seniors: Mental Health, Social Services, Food and Nutrition, Basic Needs: Food, Housing, Mental Health, Health Care, and Social Services Collaboration List Goals & Oblectives: Goal #1: Provide outreach to people in Palo Alto that are homeless and have a mental illness. Goal #2: Provide referrals to services and resources that will be helpful to those in Palo Alto that are homeless and have a mental illness. . Goal #3: Provide proactive contact with staff of public and private entities in Palo Alto that come in contact with the homeless population to develop greater understanding and skills among staff in dealing with homeless people with mental illness and to provide effective interventions. Objective #1: Complete 500 service contacts with a minimum of 50 unduplicated IndiViduals, 30 of which will have a mental illness. Objective #2: Of the 30 clients that have a mental illness, 20 will be referred to mental health and other services and 10 will follow through with the referral. Objective #3: The Homeless Outreach Specialist will provide, by request, up to 5 one hour trainings to publicor private entities in Palo Alto on effective methods to support people that are unhoused. Methods: . Method #1: Homeless ()utreach Specialist will conduct direct street outreach to locations in Palo Alto where the homeless are known to frequent. Method #2: Homeless Outreach Specialist will provide support to access appropriate and desired services and make referrals to those services to those located through outreach services. . Method #3: Homeless Outreach Coordinator will provide "in person" training to public and private entities in Palo ( ., ,. Alto on homelessness at a mutually agreed upon time and in manner that suits trainees. 2. Population Served: Describe the population served by the proposed program. Include the area of Palo Alto served, the number of unduplicated Palo Alto residents served, whether it serves low-Income residents and any other relevant information. The Momentum Homeless Outreach Program will serve at least 50 unclupJicated individuals residing in Palo· Alto that are homeless and may have a mental illness. All of Palo Alto will be covered as necessary. but some areas that we will focus on will include EI Camino Park. Downtown Palo Alto, South Palo Alto, Mitchell Park and California Avenue. Additionaliy •. the program will reach. an unspecified number of staff of private and public entities in Palo Alto that are interested in learning about how to better address homelessness. 3. Budget Narrative: Describe specifically how the requested funding will be used. The funding will be used to pay .36 FTE Salary of a Homeless Outreach Specialist. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. The funding from the HSRAP grant will be combined with federal PATH dollars obtained in a separate agreement with the Santa Clara County Mental Health Department. 5. Supplemental Questions a. What services do you provide that is unique and no other agency provides these services In Palo Alto? Hig_~qualitYt proactive and effective homeless street outreach. : .. ~ '" ::.:' , .' .. ;. :' '.'. ........ • . Attcichment G ... . ;. Proposal Sumr)1ary . . ,.. .. Human Services Resource AJlocatio.nProcess (HSRAP) . . Requ~stfor Proposals #..139069 '. "PROPOSAL SUMMARY ,'FlscaIYear2011~12 : ...... Agency: NOVA Youth Foundation Addr~ss:' 505 W. Oliva Avenue ·S.l:Iit~·550 Name of Program: Real-world Work Experience forYo,uth • City: S.unnyvale ·Zip Code: 94086 Contact: .. Cindy Stahl Phone Number: ( 408 ) pO-7236 2011 ~12 FuMing Requested $ 40,000.00 Clearly and concisely s/-lmmarize your request Use the space provided on this page only. '.' . , 1. Proposal SUl11mary: Identify theprl!lr~ty area of need ~et by titls program, the pr-ogram goals .. and .. objectives, how it benefIts' Palo Alto residents, and how the pro'gram effectively uti.lizes ~xi$ting resources through collaborative efforts. .. , . . Identify the priorIty area: Youth w!'lll-belng, counselirig, youth progrqms, iransportati~n . LIst Goal!; & Oblectives:. ~ . Goal #1: Youth identify educational and career objectives and take positive ste~s toward their .accomplishment. Goal #2: Youth exhibit effective Job search and job retention' behaviors and attitudes: . Goal #3: Youth experience paid, real-world work experience enabling them to make better career choices and become excellent employees of the future. . . , . . qbjective #1: Objective #2: Objective #3: Methods: , .Method #1;· Provide career guidance and access to comprehensive careerliabor. market information and resources through both individualized and group trainings Method '#2: Match 10 disadvantaged 'Palo' Alto youth with a worksite within their career interest for up to 200 hours of paldwork experience. . . . Method #3: 2. Population Served: Describe the popula.tion served by the proposed program. Include the area 'Of Palo Alto s~rved, .the number of undup/lcated Palo Alto resIdents. served, ·whetl1er .it serves low-Income .. residents and any other relev~nt Infqrmation. ' . s. Total Palo Alto population served by~his program: minimum 10 In Internship prpgram . h. Total Palo Alto population served. by the Requested· Funding Amount: 10 low-income or , . dis~bled youth. from any ,area of Palo Alto will be served < ' 3. Budget Na,rrative: Describe sp,eciflca/ly how·the requested funding will ,be used. Funding will be used for 10 youth internship~ averaging $1800. each ($18',432 in~ludil)gfringe), .25 FTE of a career advisor ($12,780' including fringe), and 52 hours of a program manager ($2,621 with benefits). The budget also includes $3,250 for supportive services (youth transportation), $1,684 for travel (advisor mileage), and $1,23'3 for Indirect costs. 4. Funding Div~rslflcation: summari:ze how your agency plans to leverage the funding from the City and ..' ;. ' .. ' .. ' .. . : . "" :": "" :.~ '.:' . '. , .... :. .. '. ,diversify funding for !his progr~m. Other funding sources for the youth Internship program include corporate . donations (estiJ11ated at $40,000) and up to $80,000 in Workforce Investment Act funds. NOVA will ~Iso be applying for grants from foundations. . 5. SUl'plementalQuestions ;, . . , . . . . . . '. (.""... .' a. . What servl<;es do you provide that are unique an,d no other agency ,proviQes these services In P~lo Alto?' NOVA offers no-cost workforce development services to all'adult and youth residents of Palo Alto, .... as well as more 'intensive, specializel;! services te.> adults and youth who meet the .eligibility requirements for . a variety of grants that-we administer; We are not aware of any other agency providing paid work experience . opportunities for youth, accompanied, by counseli~g and suppo'rt services. • I Attachment G Proposal Summary Human Services Resource Allocation Process (HSRAP) . Request for Proposals # 139069 . PROPOSAL SUMMARY Fiscal Year 2011-12 Agency: Paro Alto Community Child Care (PACCC) Name of Program: Child Care Subsidy Program Address: 3990 Ventura Court City: Palo Alto Zip Code: 94306 Contact: Janice Shaul Phone Number: (650) 493-2361 2011-12 Funding Requested $ 444,820 Clearly and concisely summarize your request. Use the space provided on this page only .. 1. Proposal Summary; Identity the priority area .of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the .program effectively utilizes existing resources through collaborative efforts. . Identifvthe priority area: Child Care Subsidy Program for low-income families List Goals & Objectives: Goal #1: Maximize the number of children and families served by the City of Palo Alto Subsidy Program Goal #2: ,Collaborate with other service agencies to serve the unique needs of low-income families Goal #3: Increase the number of affiliate providers participating in the City of Palo Alto Subsidy Program thereby increasing parental choice. Objective #1: Leverage multiple fUr.lding sources to allow City of Palo Alto funding to serve the most children possible. Objective #2: Increase the number of collaborations with agencies that serve the special needs of the population served by the City 'of Palo,Alto Subsidy Program. Objective #3: Increase affiliate providers by at least one center-based program and one family child care provider. Methods: Method #1: Annual family certification and data collection will identify families who are eligible' for combined fu,nding. Method #2: Build or enhance collaborations with Palo Alto Housing Corporation, PAUSD (VTP, Special Ed., transportation) City of Palo Alto Family Resources, Method #3: Enhance effort to provide accurate information to child care providers on the benefits of becoming an affiliatEl for the City of Palo Alto Subsidy Program. 2. Population Served: Describe the population served by th~ proposed program. Include the area of Palo Alto served, the number of unduplicated Palo Alto residents served, whether it serves low-income residents and any other relevant information. All of the families served in the City of Palo Alto Subsidy Program are low-income residents of Palo Alto. They reside in all areas of Palo Alto or are Voluntary Transfer Program students living in East Palo Alto: 31% .North Palo Alto, 19% Midtown, 17% Barron ParkNentura, 8%' Evergreen Park, 2% Stanford West. 23% East Palo Alto. Ethnicity of the children being served: 6% Asian, 28% African American, 11 % Caucasian and 55% Latino/Hispanic. 90% ot" the children are from single parent households; 22% are receiving special education services; 8% have been adopted by a grandparent. it. Total Palo Alto population served by this program: 36 b .. Total Palo Alto population served by the Requested Funding Amount: 37-39 depending on age of children being served. 17 3. Budget Narrative: Describe specificalry how the requested fundi.ng will be used. Of the $444,820 requested, $365;320 will be used to directly support the quality child care needs of qualifying families. The remaining $79,500 supports the salaries and other subsidy program expenses. PACCC is requesting a 10% increase only to direct services to qualifying families. This requested amount is in an attempt to partially restore funds that'have been eliminated over the past several years, ' 4. Funding Diversification:, Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. PACGC's total agency Subsidy program is $1,572,072. This includes the requested $444,820 from the City of Palo Allo, $607,172 from the State of California (as contracted by Palo Alto Unified School District) and $520,080 fr<?m PACCC's agency-generated funding, including in-kind contributions. 5. Supplemental Questions a. What services do you provide that is unique and no other agency provides these services In Palo Alto? ' .. ' Palo Alto Community Child Care is the only child care program in the City of Palo Alto that was started by the, City. PACCC has been the only provider to manage the City's Subsidy Program and has done so for over 35 Years. In addition, PACCC is the only non-profit provider of child care services that sub-contracts with the Palo Alto Unified School District to manage and provide services to families qualifying for State Department of Education funding. ' PACCC operates after-school programs at 11 of the 12 elementary school sites, providing quality care to children in grades kindergarten through 51h grade. PACCC, since 1998, operates the Provider Connection which serVes as an education, training and professional development resource for teachers. The Provider Connection supports the .work of all providers within the City of Palo Alto and beyond. 18 AttachmentG Proposal Summary , Human Services Resource Allocation Process (HSRAP) Request for Proposals #139069 Proposal Summary Fiscal Year201.1-12 , Agency: Peninsula HealthCar~, Connection, Inc., ' Name of Program: Project Downtown Connect Address: 33 EncinaAvenue #103 City: Palo Alto Zip Code: 94301 Contact: Eileen Richardson Phone Number: (650) 462-1795 2011-12 Funding Requested $63,000 Clearly lind concisely summarize your request. Use the space provided on tbis page only. :\ : 1. Proposal summary: Identify the priority area of need met by tbis program, the program goals and objectiv~, how it benefits Palo Alto residents, and how the ,program effectively utilizes existing resources througb ,collaborative efforts~ Identify the priority area: There are an estimated 400 homeless individuals living in the City of Palo, Alto. According to a recent study, sixty-six percent or 264 of these individuals suffer from mental health issues and physiClJI health problems. Approximately fifty-percent of these or 132, do not receive medical care or counseling. Most homeless individuals spend every day searching for food and shelter each night. There is little or no time left to seek health care, counseling and housing. For some, the symptoms of their illnesses actually prohibit them ':from doing so. This program will reach out, treat and house these community members and plltproced~res in place to reduce the chances of the~m returning to the streets; , The benefits to Palo Alto residents are two fold. Firstj this will remove individuals from ar~as of Palo Aito wher~ people traditionally spend time with their families such as parks, sidewalks and storefronts. Second; according to the mpst recent census, forty-five percent of the entire homeless population living on the streets ofpalo Alto actually grew up in Palo Alto. Since they grew up here and the census counts them as living in Palo Alto, they are in effect Palo Alto residents, who wjU he receiving health ~~~~" ' , List Goals & Objectives: Goal #1: Improve thtihealth (mental and physical) of members of the Palo Alto community who are homeless or at risk of homelessness and currently not receiving these services. Goal #2: Increase housing accessibility for homeless members of Palo Alto. Goal #3: Decrease likelihood of homeless individuals returning to streets of Palo Alto. Objective #1: Provide treatment to homeless individuals from our community for mental and physical issues. Objective #2: _Move homeless individuals from the parking garages, parks. and creeks to stable, pennanent housing. Objective #3: !!t,Keep individuals pennanently housed ,and off the streets of our community. ' Methods: Method #1: Through collaboration, an outreach program will identIfY. seek out and begin therapy of homeless members of Palo Alto who are currently suffering from various untreated mental and medical conditions. Method #2: Through collaboration with the Santa Clara County Housing Authority, a case manager will secure housing for homeless individuals. Method #3: etc. Provide a case manager whose main focus is to monitor the client's progress and keep them connected to the various medical, psychiatric and counseling services available at Peninsula HealthCare Connection. 2. Population served: Describe the population served by the proposed program. Include the area of Palo Alto served, the number of un duplicated Palo Alto residents served, whether it seryes low-income residents and any other relevant informatioJl. The population served is the homeless, the disabled. seniors with limited 'income, those with mental health and physical issues, low income, at risk of being homeless and the under-employed. The area served is the entire City of Palo Alto. We have 627 unduplicated primary care patients. a. ,Total Palo Alto population served by tbis program: over 130 a year b. Total Palo Alto population served by tbe Requested Funding Amount: over 85 a year 3. Budget Narrative: Describe specifically how the requested funding will be used. We are requesting funds for one half time (20 hours per week, $3 I ,500 per annum) Outreach Case Worker and one half time (20 hours per week, $31,500 per annum) Housing Case Manager. The Outreach Case Worker.will provide healthcare outreach to homeless individuals in Palo Alto who have serious medical and/or psychiatric conditions, but currently do not receive medical or psychiatric care. This Outreach Worker would not duplicate any . existing services, but would tatherconnect, throughactive~ongoing outreach and intensive case manl!gement, currently untreated homeless individuals with PRC's existing medical and mental health teams. The Housing Case Manager will be responsible for seeking out and securing permanent, stable and safe housing. Additionally, they would meet the clients on an on-going basis to continmuly assess their needs and keep them connected to theyarious services offered by PHC. For the first time in Palo Alto's history, PHC has DIRECT access to Section 8 vouchers which provide· 'permanent housing for our community members at a rate of2 to 3 per month. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City snd diversify funding . for this program. . The collaboration the Santa Clara County Housing Authority for Section 8 vouchers means that PRC will receive 2 to 3 vouche~ per month. Each voucher is equivalent to $2000 in rent per month. Annualized this means that the vouchers are worth $72,000. To sum it up, our Housing Case Manager salary of $31 ,500 per year, returns $72,000 iIi ~ousing per year. 5. Supplemental Questions . . a. Wbilt se.t;Vicesdo YOil provide that is unique and no other ageneyprovides these services in Pall,) Alto? We are the only agency in Palo Alto whose focus, mission and purpose is to provide mental health, primary care, . counseling, intensive case managem~nt, social work, housing assistance and disability benefits assistance to the homeless and those at riskofbeirig homeless and low income community members of Palo Alto. All of these services are provided free of charge. Adding an outreach worker and housing case manager would infinitely add access ofthe ~astarray of services provided at the clinic. Other outreach work or social work in this vicinity is not integrated with a Palo Alto-based medical team, psychiatrist, and or intensive case management. I' ... " . Attachment G . Proposal Summary . Human Services Resource Allocation Process (HSRAP) Request for Proposals # 139069 PROPOSAL SUMMARY Fiscal Year 2011-12 Agency: Se.nior Adults legal Assistance (SALA) Name of Program: legal Assistance to Elders Address: 160 E. Virginia Street, Suite 260 Contact: Georgia BacH, Directing Attorney 2011·12 FundingRequested $ 9,000 City: San Jose Zip Code: 95112 Phone Number: (408) 295·5991 Clearly and concisely summarize your request. .Use the space provided on this page only. . 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residents, and how the program effectively utilizes existing resources through collaborative efforts. Identify the prlorlty.area: The project addresses the HSRAP prIority of SenIors, in partIcular the area of free Legal Assistance for senIors (persona age 60 or older) identified on the Jist of priority areas of need in this RFP. list Goals & ObJectives: . . Goal #1: To support Palo Alto elders to live independently, safely, non-instItutionalized and with dignity. Objective #1: To provide direct legal assistance to at least 60 Palo Alto elders (age 60 or older) annually. Objective #2: To make one community education presentation In Palo Alto annually. Methods: Method #1: Provide direct legal services to elders by continuing expanded service levels through intake in donated space at the Avendias Senior Center and/or Stevenson House, by phone intake, or through home visIts. Method #2: Provide community education by making a presentation to the senior participants at Avenidas Senior Center, Stevenson House, or to another senior program or site located in Palo Alto. . SALA's program will benefit Palo Alto elders by protecting their rights, ensuring their 'safety and neceSSities, promoting their independence and dignity, stabilizing their Jives, and assIsting them with plannIng for the future. 2. Population Served: Describe the population served by the proposed program. Incll,lde the area of Palo Arto served, the number of unduplicated Palo Alto residents served, whether It serves low·income 'resldents a!1d any other relevant Information. SALA wifl serve a mInimum of 60 Palo Alto elders (age 60 or older) through this program. No IndIviduals other than Palo Alto residents will be served. Services will be provided on a citywide basis targeting elders throughout' Palo Alto that are low'income or "at-risk" of abuse, exploitation, or institutionalization. SALA's statistics for Palo Alto residents served in 2009-2010 Indicate 88% were very low income (at or below 50% of the median as defined by HUD),' 52% were age 75 or older (placing them "at-risk"), and 65% were female. SALA expects simiJardemographics for Palo Alto cfients served I~ 2011-12 and in 2012·13 if the contract Is renewed. a. Total Palo Alto population served by this program: 60 Palo Alto seniors b. Total Palo Alto population served by the Requested Funding Amount: 60 Palo Alto seniors 3. Budget Narrative: Describe specifically how the requested funding will be used. The $9,000 requested will provide partial support for personnel costs (S~laries/Benefits/Payroli Taxes) to support SALA's expanded services to . Palo Alto elders as proposed'. No HSRAP funds will be used for overhead costs. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. Annually, SALA w/JI leverage additional support totaling at least $23,100 Older . Americans Act; Santa Clara County; State Bar Trust Fund; Equal Access Fund; Silicon Vafley CampaIgn for Legal Services; and contributions. In kind support from Intake volunteers and pro bonb WiJJs Panel attorneys is estimated at $3,500. In kind space for donated interview rooms at Agendas and Stevenson House will be $400. 5. Supplemental Questions: What services do you provide that Is unique and no other agency provides these services In Palo Alto? SALA Is the only agency countywide and in Palo Alto that that has been desIgnated by Councfl on Aging Silicon Vafley to provide free legal services to seniors at appointments at local senior centers, senior residences, or other sites In the community under the mandate of the Older Americans Act. Moreover, SALA Is·the only legal services provider countywide and In Palo Alto with an expertise in Elder Law. As such, SALA provides a unique service that Is undupficated by any other lellal service or senior service provider In the county and in Palo Alto. 17 1 I ! I Agency: United Way Silicon Valley Address: 1400 Parkmoor Ave., Suite 250 Contact: Kim Ferm, Director, 211 SCC 2011-12 Fuudiug Requested $13,500 Attachment G Phoue Number: (408) 345~4336 1. Identify the priority area; In the event of a disaster, this program will provide all Palo Alto residents with up-to-date disaster information. This proposal encompasses all of the priority area(s), because residents of all ages, including homeless individuals, have' information needs and basic needs in times of disaster. Up-to-date Social services access is critical during times of disaste~. Gopl #1: D~velop 311d maintain ~.m~tual understanding with the City pfralo.Alto em~rgency manager, and establiSh a workmg partnershIp III order to better serve Palo Alto durmg tImes of dIsaster. Goal #2: Research, identifY and collect additional database resources in the City of Palo Alto. Objectlye #1: Dev~lop an MOU with the City of Palo Alto, clearly identifYing the procedures and expectatIons of both tIie City of Palo Alto and of211 SCC.· . Objective #2: Enter all collected database resources into the 211 SCC database, which will better prepare 21 I for its response during disaster. Method #1: Senior Vice Presjdent's and Direc;:tor's time will J1e allocated to qevelop. and maintain relationships with those in Palo Alto who are Involved with dIsaster preparatIon ana response. . Method #2: Pro.ID'am Manager's time will be allocated to research, identifY and enter the new resources mto the 211 SCC database. , 2. PopUlation Served: Describe the population served by the proposed program. Include the area of Palo Alto served, the number of unduplicated Palo Alto residents served, whether it serves low-income residents and any other relevant information. a. Total Palo Alto population served by this program: -;;l;.;:.O.::.Oo~Yo:---:-_---:--::=~ __ b. Total Palo Alto population served by the Requested Funding Amount: 100%' 3. Budget Narrative: Describe specifically how the requested funding will be used. Funds will be used to support the salaries of the 211 SCC staff who will operate and oversee the emergency/disaster preparation and response. 4. Funding Diversification: Summarize how your agency plans to leverage the fuuding from the City and diversify funding for this program. . Currently 10 out of 15 cities. in the County of Santa Clara provide financial support to 211 SCC. Support from the City of Palo Alto will add to the funding diversification. We also receive support from Kaiser, mM, FIRST 5 and the County of Santa Clara. 5. Supplemental Questions a. What services do you provide that is unique and no other agency provides these services In Palo Alto? 211 SCC has a statewide network of call centers who can assist in times of disaster. If our call center's surge exceeds our capacity, we can activate other 211 call centers to assist. The obligation of211 is to be available 24 hours a day, 7 days a week, and answered by a live person. Attachment G Proposal. Summary Human Services Resource Allocation Process (HSRAP) Request for Proposals # 139069 . PROPOSAL SUMMARY Fiscal Year 2011-12 Agency: Youth Community Service Name of Program: Service and Leadership Program Address:· 4120 Middlefield Rd. P-8 City: Palo Alto Zip Code: 94303 Contact: Leif Erickson Phone Number: (650) 858-8061 2011-12 Fundin~ Requested $16000 Clearly and concisely summarize your request. Use the space provided on this page only. 1. Proposal Summary: Identify the priority area of need met by this program, the program goals and objectives, how it benefits Palo Alto residentS, and how the program effectively utilizes existing resources through collaborative efforts. Identify ~he priority area: Youth Well Being List Goals & Objectives: Goal #1: To increase self-efficacy and connectedness of youth' through service 10 others .. Goal #2: To increase opportunities for cross-cultural Interaction and appreciation. Goal #3: To provide active learning opportunities for issue awarenass and youth leadership Objective #1: To strengthen our school service clubs in Palo Alto middle and high schools, and our partnerships with others. . Objective #2: To expand our Freshmen Leadership Corps programming through our Summer of Service (SOS) Objective #3: To expand large-scale special family service days and quarterly service day events. Methods: Metho.d #1: Weekly school-based service clubs and leadership teams that address community needs. Method #2: Active learning experiences for youth in leadership, faCilitation, planning and diversity. Method #3: Intensive summer camp experiences in service, learning, transition and leadership development. 2. Population Served: Describe the populatIon served by the proposed program. Include the area of Palo . Alto served, the number of undupllcated Palo Alto residents served, whether it serves low-Income residents and any other relevant infonnation. a. Total Palo Alto population served by this program: 500_.,.-_=-:~ ___ _ b. Total Palo Alto population served by the Requested Funding Amount: _' 500 ____ _ 3. Budget Narrative: Describe specifically how the requ.ested funding will be used. Requesting $16,000 to support salaries. for YCS staff. 4. Funding Diversification: Summarize how your agency plans to leverage the funding from the City and diversify funding for this program. In-kind assistance from school district and other partners plus other grants leverage this grant. 5. Supplemental Questions a. What services do you provide that Is unique and no other agency provides these services In Palo Alto? YCS is deSignated by the State Dept. of Education as the service-learning lead in our five-county region. We bring service-learning experience to our youth programs and have won awards for our work bringing together diverse communities. DRAFT 2011-2013 Human Services Resource Allocation Process (HSRAP) Selection Committee's Proposed Funding Recommendations to HRC March 16, 2011 No.Agency Program Description 2011-12 Agency's Request for Funding 10-11 Contract Amount 2011-13 Proposed Funding Recommendation (Option A) SOLE SOURCE(SS) 1 Avenidas Senior Services 450,000$ 406,287$ 396,130$ 2 Palo Alto Community Child Care Child Care Subsidy Program for Low Income Families 444,820$ 411,607$ 401,317$ Second Harvest Food Distribution -$ 7,128$ SS Total 894,820$ 825,022$ 797,447$ HSRAP 3 Abilities United Disability Services 56,000$ 40,045$ 36,506$ 4 Adolescent Counseling Sv On Campus Counseling Sv 110,000$ 88,445$ 86,234$ 5 Catholic Charities The GAP Project 151,678$ 6 Community Health Awareness Council Outlet Program 10,000$ 9,500$ 8,660$ 7 Community Technology Alliance Shared Technical Infrastructure 15,000$ 12,065$ 5,432$ 8 Downtown Streets Team Downtown Streets Team 55,000$ 35,815$ 32,650$ 9 Family & Children Svs Social & Academic Stress Reduction 46,000$ 10 InnVision Opportunity Service Center 50,000$ 11 Kara Grief Support for Children and Adults 65,000$ 12 La Comida de California Hot Meals for the Elderly 34,000$ 32,300$ 29,445$ 13 MayView Health Center Health Care for Low Income & Homeless PA Residents 25,000$ 17,100$ 15,589$ 14 Momentum for Mental Health Homeless Outreach Program 25,650$ 25,650$ 23,383$ 15 NOVA Youth Foundation Real-world Work Experience for Youth 40,000$ -$ 16 Peninsula HealthCare Connection Project Downtown Connect 63,000$ 25,000$ 17 Senior Adults Legal Assistance Legal Assistance to Elders 9,000$ 8,550$ 7,794$ 18 United Way Silicon Valley 211 Santa Clara County 13,500$ 19 Youth Community Sv Service and leadership 16,000$ 15,960$ 14,550$ HSRAP Total 784,828$ 285,430$ 285,243$ SS & HSRAP Total 1,679,648$ 1,110,452$ 1,082,690$ DRAFT 2011-2013 Human Services Resource Allocation Process (HSRAP) Selection Committee's Proposed Funding Recommendations to HRC March 16, 2011 2011-13 Proposed Funding Recommendation (Option B) 402,224$ 407,491$ 809,715$ 37,642$ 87,561$ 8,930$ 5,432$ 33,666$ 8,920$ 30,362$ 16,074$ 24,111$ 25,000$ 8,037$ 15,002$ 300,737$ 1,110,452$ CITY OF PALO ALTO OFFICE OF THE CITY CLERK The Honorable City Council Palo Alto, California May 9, 2011 Appointments for Four Positions on the Historic Resource Board for Three Year Terms Ending May 31, 2014 On Monday, May 2, 2011 the City Council unanimously voted to direct the City Clerk to place on the May 9, 2011 agenda the appointment of the four candidates for the Historic Resources Board. The terms are for three years and will end on May 31, 2014. The Candidates are as follows: Martin Bernstein Roger Kohler Michael Makinen Scott Smithwick REPORT PREPARED BY: Ronna Jojola Gonsalves, Deputy City Clerk Department Head: Donna Grider, City Clerk CITY OF PALO ALTO OFFICE OF THE CITY CLERK May 9, 2011 The Honorable City Council Palo Alto, California Recommendation of City Auditor Recruitment Firm This report from the Council Appointed Officers Committee will be distributed in late packet on Thursday, May 5, 2011. ATTACHMENTS: ·Andersen Proposal (PDF) Department Head:Donna Grider, City Clerk Updated: 5/4/2011 12:40 PM by Beth Minor Page 2 I .~ ,. c -"" • ~I J ,) '" <,i ~ .? ~ .~ " , " ,? '~ ~ " '? ," '~ . ':~. ,.""", '~". '~ I,,~ I .:~ I "<i I ,~ I .t.~ 1.1) 1<, L:., 1:-, I ii~ L . ., L, I., I ~~ I (~ I(~ I(~ I (I) i {~ It~ I(~ !c~ ....... ~WE SUPPORT GREEN GOVERNMENT , (~ · ... •. . ~ :':.; i '" .. 1 , ... , j I I (I'(;~;':';, L·· .~::) Ralph Andersen & AsSociates .... A l,,,dnlon of Eltceilar.c" Sin"'~ 1972 5800 Stanford Ranch Road Suite 410 Rocklin, California 95765 916.630.4900 Attracting top talent has never been more complex and Ralph Andersen & Associates is highly qualified to assist the City of Palo Alto with recruiting its new City Auditor. We have conducted more successful executive recruitments than any other firm since 1972. The City has requested our proposal to assist in 1tte identification and recruitment of a highly quali~ fled group of candidates for the new City Aud~or. In particular, 1tte City of Palo Alto is seeking a firm with a strong presence in California and the Western Region and professional experience to clearly assess the City's needs and formulate a strategy to deliver results. At Ralph Andersen & Associates, we believe that gaining a complete understanding of our clienfs specific objectives and priorities is essential prior to launching any search assignment This pr0.- cess includes the identification and incorporation of a variety of important detaHs such as 1tJe can- didate's desired skills and experience as well as the critical "soft $kills' related to temperament, personality, management philosophy, and other factors that will ultimately determine the candi- 1 date's "fif' with the organization. We understand !hat the City expects aggressive, personalized outreach to identify a diverse and highly qualified applicant pool and a selection process that includes comprehensive candidate r~ ports based on thorough reference and background checks. We will begin with the desired charac- teristics and build a recruitment strategy that Is tailored to meet the City of Palo Alto's specific needs. The resulting outreach and advertising campaign will incorporate the extensive use of per~ sona! outreach to recruit a highly qualified group of caoodates. www.ralphandersen.com Below is a ~isting of individuals and contacts for this recruitment All individuals can be reached at via firm's corporate office at (916) 630-4900), or via cell phone or email. The mailing address for all members of the project team is 5800 Stanford Ranch Road, Suite 410, Rocklin, California 95765. _ .. _---- Contact Cell Phone Email Heather Renschler (916) 804·2885 heather@ralphandersen.com I ! I I Doug Johnson (916) 715-2540 doug@ralphandersen.com ______ 1 William Thomas (502) 415-2932 I I bm.thomas@ralphandersen.com , Robert Burg I (805) 264-2663 I robert@ralphandersen.com ~ 'W 1'"- I t~ I '. I ~-I~ ! ;~ ! .""). 1 ~. , .(~ ~ ;, ~ ;, \~ ;, ~ ;;, ~ \~ :11 ;. ~ ~ -). '. H istot'y of the Fi rm Ralph Andersen & Associates, a CaUfornia Corporation, has been providing executive search and management consulting services since 1972. As such, the executive recruitment techniques used by Ralph Andersen & Associates have been developed and used successfully with hundreds of cli- ents for almost 40 years. The Corporate Office of Ralph Andersen & Associates is Jocated in the Sacramento Area (Rocklin). The principals of the firm are Ms. Heather Renschler, President/CEO. and Mr. Robert Burg, Executive Vice President. Ralph Andersen & Associates is a California Corporation and is not a subsidiary nor does it have any subsidiaries. The firm currently has nine employees. Eucutive Seard'! and Management Con.uUan", "'EJopo"._ cq Manauer ""'-FI!& a,ief <'lRoI,..,P1. __ CFO Ralph Anderaen & Associates [)Quq.k!!p"", Vice President Ma,egemen! COfIB'Jlling and ExecuUv@Search 1-Resaarch ExfiCUllvo Seardl Prac~c. MSOIIgor ["-••• ---•• --------"1 I-' I H Consultant !, ! l i Managemenl C-,on"ullir.g ~n~ ExecuHve Searoh With Ralph Andersen & Associates, there is an entire team behind every recruitment Our firm takes a multi-disciplined, team approach to executive search. Successful outreach relies heav- ily on person-to-person contact to identify outstanding potential candidates and, in the evaluation phase, to gain a complete understanding of the background, experience, and management style of the top candidates. By drawing on the combined expertise of our associates and our network of professional contacts, we address outreach from a wide variety of perspectives and find unique ways to identify and recruit the best and brightest. Ralph Andersen & Associates serves a nationwide clientele through its Corporate Office in Sacra- mento, California, Clients served are on a national basis and the firm is currently working on pro- jects of national signifICance and importance across the United States. A multi-disciplined, full- '. ') service local government consulting organization, Ralph Andersen & Associates is dedicated to helping our clients improve operating efflciency and organizational effectiveness. Our national staff of professionals and support staff includes acknowledged leaders in their respec- tive fields. Supplementing their extensive consulting backgrounds, our senior staff all have per- sonal, hands-on executive experience in the operation of public agencies and private businesses. Range of Services Offered -Ralph Andersen & Associates specializes in the following primary service are~s: management consulting, public safety and executive search. III Management Consulting -Ralph Andersen & Associates helps organizations improve their performance potential with a range of management consulting services. The types of services provided by the firm include management and performance audits, organizational analyses, productivity improvement analyses, agency and service consolidation assess- ment, specialized financial management including debt restructuring and organizational problem solving. In addition to providing these services to entire organizations, the firm of- ten conducts management consulting engagements that are focused in a specific service area such as public safety, city management, finance. public worts, community develop- ment and other major service areas. Ralph Andernen & Associates 'treats every manage- ment consulting engagement as unique. This approach means we wiD assemble a con- sulting team comprised of consultants with the specific talents and experiences needed to successfully achieve the client's objectives. Our team of experienced consultants perform complex analyses and recommend solutions that are practical and most importantly, are capable or being implemented by our clients. o Public Safety -Working closely with our clients to implement innovative emergency management solutions, Ralph Ande~n & Associates helps organizations plan, protect and serve people better than ever before. We brlng together practical solutions, plans, and processes that are operationally deployable to help our clients achieve their crtlical objectives, The firm's consultants have extensive, hands-on experience in planning and disaster preparedness training for private and public institutions including heaithcare, pub- lic health, human services, and locat, state and federal government agencies. (I executive Search -At Ralph Andersen & Associates, there's always an entire team be- hind every recruitment assignment that we undertake. Our multi-disciplinary approach takes the best ideas in executive recruiting and creates innovative ways to get the right candidates for clients. When you retain Ralph Andersen & Associates, you actually get an entire team's worth of support and expertise working together to achieve your organiza- tion's objectives. The firm has conducted executive searches for large and small organiza- tions throughout the nation. In addition to conducting searches for city manager and other chief executive officer positions. Ralph Andersen & Associates has successfully com- pleted searches in every area of municipal service. Ralph Andersen & Associates be- lieves the most important element of a successful executive search is to listen carefully to what our clients are looking for in terms of candidate experience and qualifications. Using these client-focused guidelines, candidate identification is undertaken through marketing and personal outreach. Our confidence in this approach to executive search is illustrated by the firm's guarantee to perform the search again at no service cost to the client if the selected candidate leaves the position within one year of placement. r .~ I .;, 1-;, ~ .-;, !.~ I 1 . -;, .~ ,,-;, ',,~ ~ ,~ .~ .~ .~ ~ ~ .:-~ .--:-,. .:-~ .. ~ .~ I.~~ I .~ I.~ 1 I '~ .::~ 1-.~ 1 ~~ Ralph Andersen & Associates has been a financially stable organization since its inception in 1972 . Our range of consulting and recruitment services is diverse and varied. For this reason, we have been able to remain nimble and flexible in a very competitive environment. We continue to tailor our search and consulting services offered and remain responsive and prepared to address com- plex issues and problem solving on behalf of our clients. This has been a hallmark of our success. Should Ralph Andersen & Associates be selected to conduct this search, we would be pleased to have our firm's CPA firm (Paskins & Achziger) available to confirm our financial solvency. litigation History Ralph Andersen & Associates is not currently involved nor has the firm ever been involved in any litigatio~. Ralph Andersen & Associates conducts a wide array of searches in the public sector. Our experi- ence spans popLdations ci all sizes, from the largest in the country to small and mid-size munici- palities. . Of specific interest to the City of Palo Alto is the firm's recent selection to conduct the following key position, made even more critical due 10 the agency now being under federal receivership: g Philadelphia Housing Authority I Pennsylvania . Director of Audit and Compliance (CU"ent $Nfth -Brochure Attached) We are also strong in the public finance arena and have a strong network and relationships in the finance community as demonstrated by our more recent clients: III Baltimore, Maryland Deputy Director of Finance e Folsom, California Director of Finance '<l Franchise Tax Board, State of California Executive Officer a Housing Authority of the City of Los Angeles Chief Financial Officer o Menifee, Califomia - Finance Director o San Francisco International Airport Finance Director c Santa Monica, California Assistant Director of Finance o Solano I rrigatlon District Finance Director Ii) Stockton. California Chief Financial Officer ~ ~ ~ ~ ~ ~ ~ --;, '.-'~ -1 -~ ~ ~ .~ :-~ <~ .~ I :·:~ L~ 1:1 I ~'J I':~ I.(~ I .. ~ I ~~ I~ ~ 'J .') .'~ '~ .'1 At Ralph Andersen & Associates, we feel strongly that our past client relationships will attest to the professionalism of our services, We would be pleased to provide additional references upon the City's request. Local References: s City of Sunnyvale Gary Luebbers, CIty Manager (408) 730-7242 Project: Human Resources Director Total Project Cost (Limited Search Only): $16,200 Percentage of Work Performed by Firm 100% Timeframe: January 2010 to April 2010 Contact via e-mail: gluebbers@cLsunnyvale.ca.us 6> San Francisco Intemational Airport Gloria Louie, Equal Employment Opportunity, Diversity and Training Director {650} 821-3588 Project Chief Financial Officer Total Project Cost: $49,000 Percentage of Work Performed by Firm: 100% Timeframe: January 2008 to September 2008 Contact via e-mail: GloriaJouie@slysfo.com Finance Related References: G City of Stockton, California Laurie Montes, Deputy City Manager (209) 937·8843 Project: Recruitment for the position of Chief Financial Officer T ata! Project Cost: $22,500 Percentage of Work Performed by Firm: 100% Timeframe: August 2010 to December 2010 Contact via e-mail: laurie.montes@ci.stockton.ca.us Q City of Menifee, California Julie Woodruff, Assistant to the City Manager 951·672-6777 Project: Recruitment for the posijion of Finance Director Total Project Cost: $23,000 Percentage of Work Performed by Firm: 100% Timeframe: December 2010 to March 2011 Contact via e-mail: jwoodruff@cityofmenifee.us Ralph Andersen & Associates is committed to our clients, providing exceptional service, on time, within budget, as promised . . ') < .' -~ The successful search process relies heavily on person-ta-person contact to identify outstanding potential candidates and, in the evaluation phase, to gain a complete understanding of the back- ground, experience, and management style of the top candidates. The executive recruitment tech- niques used by Ralph Andersen & Associates have been developed and used successfully with hundreds of clients for almost 40 years. As listed in the City's RFP, the following services woufd be provided to 1he City in the conduct of this recruitment. o Recruit qualified candidates, based on candidate profile developed with Council. o Prepare the brochure and assist in developing a mailing list. e Prepare and place advertisements in pertinent publications (See Task 3 for a partial listing of publications). o In concert with the City Council Subcommittee and the Director of Human Resources, screen applications and resumes that are submitted. As appropriate, interview candidates as a screening tool. o Create and assemble an innovative way to assess the candidates. o Oversee and coordinate the interview and/or assessment process. o Meet with the City Council Subcommittee, the Director of Human Resources, City Man- ager, and appropriate City staff to select the six (6) to eight (8) top candidates to partici- pate in the interview and/or assessment process . ., Conduct background and reference checks on final candidates and pm pare a confidential reference report on each. Ralph Andersen & Associates will assist the City with identifying former co-woli<ers, supervisors, Council members and community members of the top two (2) or three (3) candidates as part of completing the reference checks. Search Work Pi~n This section describes the usual steps in the search for a new City Auditor for the City of Palo Alto. The Search Team will be under the direction of Ms. Heather RenschlerJ Project Director. Tas/{ 1-Review Project Management Approach Ms. Renschler will meet with the City Council Subcommittee and others, as appropriate, to discuss the project management for the search. The discussion will include a review of 1he work plan. con- firmation of timing. and communication methods . I 11-. .; i ,.. '", . .\ ~ ,. Task 2 -Develop Position Profile The position profile for the City Auditor is the guide for the entire search process. Please refer to the attadted sample submitted with this Proposal. The development of the profile includes the collection of technical information and recruitment criteria. Technical Information The Project Director will meet with the Council Subcommittee and others as appropriate to gain an understanding of the experience and professional background requirements de- sired in the City Auditor. These meetings will also help the Project Director gain an under- standing of the work environment and the issues facing the City of Palo Alto. Recruitment Criteria The recruitment criteria are those personal and professional characteristics and experi- ences desired in the City Audttor. The criteria should reflect the goals and priorities of the City of Palo Alto. The Project Director will meet with key staff in the City, and others as appropriate, to facilitate the identification and articulation of that criteria. Subsequent to the development and adoption of the candidate profile, the technical infor- mation and recruitment criteria will be documented in an information brochure prepared by the Project Director. The brochure will be reviewed by the City in draft format. revised as appropriate, and published for use throughout the search. Task 3 -Outreach and Recruiting This task is among the most important of the entire search. It is the focus of the activities of the Project Director and includes SpecifIC outreach and recruiting activities briefly described below. Outreach An accelerated outreach and advertising campaign wiD be developed; It will include the placement of ads in publications such as the Institute of Internal Auditors (IIA), Govern- ment Finance Officers Association (GFOA), Jobs Available, and other professional publi- cations. Specifit Intemet sites related to government will be used, including Careers In Government, as a method of extending the specific outreach in a short period of time. Additionally, the advertisement and the full text of the position prof de (the recruitment bro- chure) will be placed on Ralph Andersen & ASSOciates' home page, which is accessed by a large number of quallfied candidates. This methcxl of outreach to potential applJcants provides a confidential source that is monitored by many key level executives on an on- going basis. Candidate Identification Ralph Andersen & Associates will use their extensive contacts to focus the recruiting ef- fort. In making these contacts, the Project Director will target thoseindividuals who meet the criteria set by the City. Each of the candidates identified through the recruiting efforts will be sent an information brochure. Candidates win also be contacted directly to discuss the pOSition and to solicit their interest in being considered . .~ .. ' '.~ .~ . ,~ ';, .~ .~~ .. ~ ';t ,~ .~ .~ .~ .~ '-:.f .~ ~ r". ,4 I~ l.~ t.~ 1·6 I~ 16 I . ~ I~ I~ I~ I~ L~ I~ I,) Both the outreach and recruiting activities will result in applications and resumes from in- terested candidates. As they are received, resumes will be acknowledged and candidates will be advised of the general timing of the search process. The following tasks involve the actual selection process, once all resumes have been received. Tash 4 -Candidate Evaluation This task will be conducted following the apptication closing date. It includes the following specific activities: Screening All of the applications will be carefully reviewed. Those that meet the recruitment criteria and minimum qualifications will be identified and subject to a more detailed evaluation. This evaluation will include consideration of such factors as professional experience, and size and complexity of the candidate's current organization as compared to the candidate profile . Preliminary Reference Review The Project Director wi!1 conduct preliminary reference reviews for those candidates iden- tified as the most qualified as a result of the screening process. Direct contact will be made wijh a limited number of references to learn more about the candidates' experience, past performance, and management style. Preliminary Interviews via Cisco WebEx Ms. Renschler, as the Project Director, will conduct preliminary interviews with the top group of candidates identified through the screening and preliminary reference review processes. The interviews are extensive and designed to gain additional information about the candidates' experience, management style, and ','fit~ with the recruitment crite- ria. Interviews wiJl be done using Cisco WebEx technology or via telephone. No consultant travel for preliminary in-person interviews has been included in this proposal. The screening portion of the candidate evaluation process typically reduces a field of ap- plicants to approximately etght (8) to ten (10) individuals, Those individuals will be re- viewed with the City prior to proceeding with the indivfdual interviews. Task 5 -Search Report After completing Task 4, the Project Director will meet with the CRy Council Subcommittee and the Director of Human Resources to review the search report on the top candidates. The report divides all of the candidates into four groups including 1} the top group of candidates that are recom- mended to be interviewed in·person by the City; 2) a backup group to the first group; 3) no further conSideration group; and 4) lacks minimum qualifications. The search report will include candidate resumes. The results of preliminary reference reviews and interviews will be reviewed with the City. The results of the Searoh Report will be a confirmed group of finalist candidates (typically 6 to 8 ) that the City will interview jn~person. ;; ~ ~ .~ ,~ ~ ~ ~ '.~ . ~ ~ ~ ~ . ~ .~ .~ ~ .~ :~ .~ . ~ ~ .~ ~ .~ ~ . ~~ (~ ~ ~ ~ '~ :? ~ .., .~ .~ !) '~ ~ ~ f~ " ~ Task 6 -Selection The final selection process will vary depending upon the desires of the City. From the City's RFP, it is understood that the City desires an innovative way to assess the candidates and our process will be tailored to the needs of the City. Typical services provided by Ralph Andersen & Associates in the selection process are described briefly below: f) The Project Director will coordinate the selection process for the finalist group of candi- dates. This includes handling the logistical matters with candidates and with the City . o The support staff of Ralph Andersen & Associates will prepare an interview booklet that includes the resumes and candidate report (with interview comments, reference checks, and other relevant information about the candidates). In addition, the booklet will contain suggested questions and areas for discussion based upon the recruitment criteria. Copies of the interview booklet will be provided in advance of the candidate interviews . III The Project Director will attend the interviews to assist the City through the selection pro- cess. This assistance will include an initial orientation, candidate introductions, and facili- tation of discussion of candidates after all interviews have been completed. o Verifications will be made on the top candidates and will include education verifications, Department of Motor Vehicle check, wants and warrants, civil and criminal litigation search, and credit check. The resu~s of these verifications will be discussed with the City at the appropriate time . ~ Additional reference checks will be conducted on the top two (2) to three (3) candidates. For each top candidate, former co-workers, supervisors, CounCil members, and commu- nity members will be identified and contacted. The results of these reference checks will be discussed with the City at the appropriate time. o As needed, the Project Director is available to provide assistance to the City in the final selection as may be desired. This assistance may include providing or obtaining anyaddi- tional information desired to assist in making the final selection decision . Task 7 -Negotiation The Project Director is available to assist the City in negotiating a compensation package with the selected candidate. This may include recommendations on setting compensation levels. Additionally, Ralph Andersen & Associates will prepare a draft employment agreement and work with the City's Legal Counsel on the finalization of this document. As required by the Brown Act, the employment agreement for the new City Auditor will be required to be approved and voted on in a public meeting. Task 8 -Close Out After the City has reached agreement with the individual selected for the position, the Project Di- rector will close out the search. These activities will include advising all of the finalist candidates of the status of the search' by telephone. ! :.i [~ I .~ I.~ ~~ ! : ',~ , '~. ~ . ~ .~ -~ .-~ ~ -~ .~ .~~ '~ ''j -"1 .~:~ ::~ '-") :~ :~) --~~ .) ~-~ ~rojec~ Timing Ralph Andersen & Associates will complete the search within 75 -90 days (or less) from the exe- cution of the agreement to the presentation of candidates. Negotiation with the top candidate will take an additional weel< or two after finalist interviews. We are prepared to begin this search upon verbal notification to proceed . A suggested timeline is presented below . Task Estimated Week ! of Completion I Task 1 -Review Project Management Approach Week One Task 2 -Develop Posilion Pronle and Recruilment Week One -Week TWQ Brochure Task 3 -Outreach and Recruiting WeekTwo -Seven ! Ongoing Throughout Process I Task 4 -Candidate Evaluation (typically more focused during I Week Six and Week Seven) Task 5 -Search Report Week Eight -Week Nine I Task 6 -Selection Week Nine -Week Ten i I Task 7 -Negotiation Week Ten -Week Eleven ! [ ! Task 8 -Close OUt Week Twelve i I .~ I I ,,, I ~ :~ I .~ I :,~ I ,~ I~ '~ '.~ .~ . . ~ ~ .~ ~ . ~ ';t .~ ;, .~ ':d ~~ :~ I .; I ,,~ I ,.~ I <~ I:~ : I:~ I ;~ I ~~ I~ I J:I I :~ ! .~ 1 ~~ i :~ ! ! '~ !:~ I .:~ I :~ :~ .~ The final selection process will vary depending upon the desires of the City. From the City's RFP, it is understood that the City desires an innovative way to assess the candidates and our process will be tailored to the needs of the City. Candidate ~dentification and Outreach Currently. Ralph Andersen & Associates utnizes a number of social networking tools and technolo- gies to enhance and complement our outreach potential. These search tools are typically custom- ized to ijlfiect our unique client needs and are optimized for the specific search we are conducting. We beHeve our approach goes beyond the normal approach used by most firms and we are oon- tinuaUy refining these methods to stay abreast of current trends and best practices in the industry . Throughout this engagement, we will continue to safeguard the confidentiality and integrity of the recruitment and selection process. Our current effor1s, although not completely in place, will allow us to pursue the inclusion of "cloud connections" to assist both candidates and clients in a more cost effective method that uses cutting edge technology. More specifically, these tools include: Ii Targeted candidate identification and outreach using our internet contact databases, ex- tensive web searches and data mining (searching for highly skilled individuals resumes). Q Candidate mining and passive candidate sourcing using our recruitment optimized social media dashboards, Google and Yahoo groups, Linked-In, FaceBook, Twitter, and custom job feeds. Q Extensive marketing and engagement using targeted segmented groups and established relaijonships with industry specific peers. C) Comprehensive candidate research using LexisNexis. web searches, and socral media profile searches. 6 Initial screening of candidates using WebEx (Cisco) video and other internet proprietary software. Candidate Assessment Ralph Andersen & Associates has various methods to include an assessment or "right fit" with the City of Palo Alto. These assessment tools are tailored specifically to the position and are internet based. Cost for doing these assessments and the contractual agreement will be handled supple- mental to this project. Depending on the choice of assessment tools used, Ralph Andersen & AssOciates may perform the services in-house (proVided by mernbersof our team) or outsource to another professional organization that has more depth jn lIle field and this service is a site function of their consulting practice. ! . '>. ~. '. !. i -I ,~, I ~, ,~ I ,~ I . I ,;, ~, I~ I' I~ I::J I~ I~ I~ I:;' l~ I~ I'~ ~ I -I~ 1;;1 I~ I _~ I • I ~ , ~ ~ :'""4 ~~ ~~ :4 '.~~ :'4 .:) '~':4 '~1 (:'".4 '. --.. '. >;, t.? '.) ".) ". ') d_ -; d.' ... "'--j i:; ". The reputation of the . search firm and personal commitment of the recruiters define the difference between the success and failure of any given recruitment. Ralph Andersen & Associates' search . professionals are acknowledged leaders in the field and possess a broad range of skills and ex- perience in the areas of local govemment management, executive search, and related disciplines. Only senior members of Ralph Andersen & Associates are assigned to lead search assignments, ensuring that their broad experience and knowledge of the industry Is brought to bear on our cli- enls' behalf. The City of Palo Alto will have Ms. Heather Renschler as Project Director. Ms. Heather Renschler, Project Director -Ms. Renschler has been with Ralph Andersen & Associates for more than 26 years and is 1I1e fm's Chief Executive Officer. Ms. Ren- schler has overseen the recruitment practice of Ralph Andersen & Associates for the last 14 years and, as a IS- suit, is often involved with recruitments on a national scale and those of a highly sensitive and critical nature. She is experienced at worKing with city councils I boards, staff members, and selection committees in the recruitment and selection process. Her network of contacts and potential candidates is extensive not only within the Western Region but also on a national scale. Prior to joining Ralph Ander- sen & Associates, Ms. Renschter had private sector experi- ence working with firms in the areas of construction man- agement, health care, and public accounting. Ms. Renschler attended the University of Toledo and majored in Accounting and Journalism. She obtained her Bachelor's degree in Public NJ- ministration from the University of San Francisco. Assisting Ms. Renschler on this engagement will be Mr. Doug Johnson and Mr. WHiiam Thomas: Mr. Doug Johnson -Mr. Johnson is a Vice President with Ralph Andersen & Associates and has over 24 years of local government consuRing experience. Mr. Johnson has over 11 years of experience with Ralph Andersen & Associates in ad- dition to 13 years as President of Johnson & Associates, a human resources consulting firm. Mr. Johnson participates in all facets of the firm's recruitments and has extensive experi- ence working with elected officials, public executives, staff members, labor organizations, and ad hoc committees. He is the firm's expert in executive compensation and related mat- ters and has served as an expert witness in arbitra- tion/mediation proceedings. Mr. Johnson has a Bachelor's degree in Psychology from Califomla State University, Sac- ramento. ~~ i'J , ... 1 'j i I'" , , : ,.o" I ," . .1 Mr. William Thomas -Mr. William Thomas (based in lou- isville, Kentucky) is a Senior Consultant with Ralph Ander- sen & Associates. Mr. Thomas has had extensive experi- ence in govemmental accounting and auditing and has spent almost 40 years serving local govemments and counties in either law enforcement or municipal finance. Prior to "joining Ralph Andersen & Associates, Mr. Thomas was appointed the CFO for the Fairbanks North Star Bor- ough in Fairbanks, Alaska in 1997 and served until 1998 when he was appointed the first Finance Director of Malibu, California, In 2000, Mr. Thomas accepted the position of Finance Director for the City of Petaluma. California and finished his California government career as the first Chief Financial Officer of Rancho Cordova (2004 -2006). In 2007, Mr. Thomas was appointed the Chief Financial Officer of Forsyth County, Georgia. Forsyth County, an urban county of ap- proximatefy 185,000, is located just north of the Atlanta metropolitan area and in 2008 was the 5th fastest growing county in the U.S. Mr. Thomas retired in April 2010 and relocated to Louis- ville. Kentucky. Mr. Thomas holds a Bachelor of Science degree in Criminal Justice from the University of Wisconsin, Milwaukee and a Masters of Science degree in Accountancy from the California State University, S.acramento. Mr. Thomas holds CPA licenses in California, Georgia. and Kentucky (pending), and is a graduate of the FBI National Academy. He recently received cer· tification as a fraud investigator. Other members of Ihe firm that are available to assist as needed are: Mr. Robert Burg -Mr. Robert Burg is the Executive Vice President of Ralph Andersen & As- sociates. As a senioroexecutive, his area of concentration is on executive search and man- agement consulting. Mr. Burg has a total of 32 years of experience in the area of government, and brings those years of experience and judgment to the recruiling process to accurately identify City Auditor executive competencies and qualities for consideration. Mr. Burg has ex· tensive experience with strategic planning and perlormance improvement systems. He brings those years of experience to the perlonnance assessment and improvement process to create tools for council members, managers, supervisors, and employees to align organizational, de- partmental, and personal goals and to provide a basis for measurement of employee perform- ance. Mr. Burg has a Bachelor of Arts degree in Economics and a Masters of Business Ad- ministration, both from the University of Miami. He has taught business management courses and lectured at several prestigious organizations. Paraprofessional and support staff wilf provide adminislrative support to the Project Team on recruitment assignments. These staff include: Ms. Tiffany Taylor. Ms. Diana Haussmann, and Ms. Teresa Hepte. As requested, an organization chart depicting the project team is provided on the following page. ~"'" '1(,\ .. ' ~:? 11~ ~ ~, !~ r~ , .~ I,~ I~ ~ .~ I~ I~ I~ I~ I~ I~ I~ I~ I~ I~ I~ I~ 16 I~ 16 16 I i~ I~ 16 Ib~ 16 I~ 11:6 I~ i -l'~ I !~ I !~ i.r .... ! I~..; I:~ il~ I~ I.~ I,..., Ralph Andersen & Associates Project Team City of Palo Alto City Auditor Recruitment Heather Renschler Presfdent{CEO I I_=-L-_pa_~_:_p f9ss_0rl_~_~:_ff_1 &---l ,--------/- If)Retired Public Sector CFO ~ :\ r-' ~ ,~ [ ,~ I ,~ rPfI~(Q)p©~@1~ EAccept~O!rus (~ I ,~ I ~~ Ralph Andersen & Associates has no exceptions or requested changes to the City's RFP condi- --tions, requirements. or sample contract. I:~, , I I'~ I~ ~ 1 ,~ t ,~ 1:1 I~ l~ i~ I~ I~ I~ '~ ~ :~ '~ :~ ~ ~'d ':':l ''d .~ '~ ,~ ,~ ~ ,~ '.~ .~ ',~ ~ .~ ,':I .~ ~ ~ · '\ r '~ I~ r~ I~ I~ I~ I~ I'~ I~ I~ I '~ l ·~ .~ I -:~ I~ :~ :-~ l,~ ! ,-a ,.~ ,-;:~ '~~ ,~~ :~ :~ :a ~'~ ~'~ ";j '~ ,~ :~ :~ '4 ~ '4 '.4 ',? .~ '.~ ',J ,~ I_~ The search effort for the new City Auditor will be focused in California and the Westem Region. The fixed fee for professional services to perform this surch will be $25.100. Expenses win not exceed $2,000. As noted in the City's RFP, expenses not include<i in this fixed fee will include expenses such as travel outside of the San Francisco bay area including transpor- tation and meals, long distance . telephone charges, cellular phone service charges, fax transmis- sion, and postage charges. Total cost to the City of Palo Alto will be $27,100. As requested 1n the City's RFP, below is a table showing the professional service fees and ex- penses by task. Tasks Professional Expenses Services Fee* I Task 1-Review Project Management $1,800 i'Approach I I Task 2 -Develop Position Profile $2,500 I Task 3 -Outreach and Recruiting $8,500 I I f I ; Task 4 -Candidate Evaluation ' $5,500 ~ i Task 5 -Search Report $2,800 Task 6 -Selection $3,500 ! ! i i Task 7 -Negotiation $500 I Task 8 -Close Out Included I I Total $25, 100 $2,000 Brochure -A full color brochure similar to submitted sample will be developed for the City of Palo Alto. Ali pictures will be the responsibility of the City. Ralph Andersen & Associates will bill the City of Palo Alto monthly. Progress payments for profes- sional services and expense reimbursement will be due upon receipt. The City wil be responsi- ble for al candidate expenses related to on-site interviews. No consultant travel for prelim;" nary in-person interviews has been Included in this proposal. Ralph Andersen & Associates' standard hourly billing rates are as follows: !:) Project Director $150/hr. 0 Executive Manager $125/hr. 0 Senior Consultant $110Jhr. I;l Consultant saO/hr. 0 Graphics Designer $75/hr. 0 Researcher $SO/hr. I) Support Services $50/hr. Ralph Andersen & Associates' Guarantee Ralph Andersen & Associates offers the industry~standard guarantee on our search services. If within a one-year period after appointment the City Auditor resigns or is dismissed for cause, we win conduct another search free of all charges for professional services. The City of Palo Alto would be expected to pay for the reimbursement of all incurred costs. Attachment: Auditor Recruitment Report (1655: Council Appointed Officers Meeting Agenda) " G'I""'~ .. , ~j Philadelphia Housing A~Jthority BUl~[ding Beyond Expectations ~ Director of udit an Compliance [0"' ... : , 1 ~\<. "L. h~ , .' , . : ...• '~;'\s-,;,)i'l . . ~ ': I: ~,. . .. i' ': ,'\ ".': ",-, .: .', . .< ; .~ ~ . ; ... , . , '., , ,~.~ . : " . } , . . . . The Opportunity The Philadelphia Housing Authority (PHA) is conducting a national search fOr the position of Directorof Audit and Compliance. This is an extraordinary career opportunity to join one of the most creative and innovative housing authorities in the United States. Now in its 74th year of service, PHA provides rental subsidies and develops affordable housing for low income families, seniors, and persons with disabilities living in the City of Philadelphia. Ideal candidates will be highly skilled professionals with a proven track record of audit and compliance ex- perience, preferably in the affordable housing industrY. About Philadelphia The City of PhHadelphia is the largest city in Pennsylvania and the sixth most-populous city in the United States, with approximately 5.8 million people living in the Greater Philadelphia metropolitan area. Philadelphia is a dynamic place where big city excitement meets·hometown charm. Famous as the birthplace of life, liberty, and the pursuit of happiness, the cradle of liberty offers much more than cobblestone streets and historical landmarks. Culinary. artistic, and ethnic·treasures abound in this city and its surrounding countryside. Even with all the excitement of big city fife, Philadelphia's diverse neighborhoods give the city a . quaint, hometown feel. "Philly" is well known as a thriving metropolitan area. Many prominent companies like Glaxo Smith Kline, Sunoco, Comcast, and CIGNA are based here. Philadelphia is a sports-crazy city. It is one of the few cities in the United States with four major sport franchises. Philadelphia is the homeofthe NFL's Eagles, MLB's Phillies, the NBA's 76ers, and the NHL's Flyers, each of which have won world championships. Ben Franklin founded the University of Pennsylvania in 1740 and Penn- sylvania Hospital in 1751. introducing a focus on higher education and medicine that persists today. Currently, Philadelphia has the second largest student. concentration on the East Coast and is one of the larg" est college towns in the country, brimming with top-quality institutions, resources, and culture. There are over 80 colleges and universities, and trade and specialty schools in the Philadelphia region, including five prestigious schools of medicine, The City of Brotherly love is where national landmarks and cultural hot spots come together to create a vibrant tapestry of art, history, night- life, food, and music. It has something for everyone and offers its own distinct pride and character. Its high quality of ufe makes Philadelphia a wonderful place to live, work, and play. The Organization (l The Philadelphia Housing Authority, also known as PHA, is the t 5t(3 landlord in Pennsylvania. Its mission is to improve the Jives .-. W " income famifies, persons with disabilities, and seniors by pre ~ 19O affordable, high quality housing. PHA was established in 1937 ~ isd the nation's fourth largest housing authority. Funding comes pri « ily • from the federal government, and PHA also worts in partnershi .~ th (~; the city and state governments as well as private investors. 1 "i a(ii staff of approximately 1,406 employees and a budget of $371 r ~ n,~ PHA provides residences to 81,000 people. ft is the policy of F ~ to " serve customers without regard to race, color, religion, national if n, ~ ancestry, age, sex, sexual orientation, medical condition, pt 0 at'! handicap, or disability. PHA is one of a very select group of org ~ a-J tions across the nation qualifying for the Moving 10 Work PI"! '5 m ~ (MTW). This designation allows hOUsing agencies to design ar 8: st·" innovative housing strategies that assist lower income famil~ ~ IQ'! in public housing. The MTW program gives housing authoritil'g le~ opportunity to locally develop housing andseH-sufficiency stra g ~.- for low income families participating in the U.S. Department of H( 0 19 ('. and Urban Development's (HUD) public housing and Housing ( ~ :e~ Voucher (HCV) programs. ~ ~ ~ (I 0- The Position ~ ~ The Director of Audit and Compliance is an at-will executive p( ~ in ~ reporting to the H UD appointed Ad ministrative Receiver, Mr. M 3 ef ~ Kelly, The Office of Audit and Compliance (OAC) is a monit ~~, ~ evaluation, and compliance function within the Philadelphia H( ': iQ (:I Authority. The new Director of the OAC will serve as a resource .s Ie '. Board of Commissioners {upon reinstatemenQ, Administrative Ret :g !r, ~ and management to ensure the effective and efficient discharge ( ~ ~ir" responsibiBties within the strict framework of compliance with all re c 1t '. policies, procedures, laws, and regulations requil8d by federal. ~:t, ~ local, and internal authorities. ~ ~ = (j Through independent assessments, Ihe successful Director win i( « fy ~ instances of fraud, waste, and abuse; determine the accurac :d ~ reliability of financial and operating information; identify risk~ d ~ detennine whether resources are used efficiently and economlcaUy. Additionany, the Director of Audit and Compliance wiD ensure the integrity and effICiency of the operation of the Philadelphia Housing Authotity and wiH oversee and supervise all correctiveactioo plans towards a timely and successful implementa- tion. l:P1her specific responsibilities of the Director of Audit and Complia~e jnelude: :"? Plans, directs, and coordinates the intemal audit of the Autl'Jqrity's : J programs and activities and the AuthOrity's compliance responsibili· -. ties to State and Federal regulatory requirements; provides advisory r} selVices as it pertains to the audit function; establishes policies and i) procedures for auditing and compliance activities; .1 : • Maintains an regulations and requirements goveming the Authority's } programs and examines the effectiveness of all !evelsof manage- ) ment as it pertains to stewardship of the organization's resources ') and its compfiance with federal, state, local, and internal poliCies and proced ures; ) ). Prioritizes internal audit activities with the goal of reducing risk, ." "increasing efficiency in controls, and economy and effectiveness in , -' operations; administering periodic tests to appropriate systems to ) ensure efficiency, integrity, and compliance; ) • Works COllab~ratiVelY with HUD's Offi~e of the Inspector General, ) as may be required, and monitors findings of HUD and other audits, ) including code violations, citations, and other official findings of non- comp~ance and then coordinates the Authority's corrective action ) tasks and timetable to effect a timely resolution; ) ). Performs operational and programmatic reviews to determine , consistency with established goals, objectives, and requirements ) of the organization; ) \' Consistently evaluates the reliability and integrity of financial and I operating information and the methods used in identifying, measur- ) ing, classifying and reporting of information; ) • Provides oversight and direction on the conduct of both criminal and ) administrative investigations involving allegations of impropriety, ) fraud, waste, abuse, and other criminal activities; ) • Conducts special examinations at the request of the Board of Com- ) missioners, Administrative Receiver, or management, including the reviews of representations made by persons ou1side the Authority; and • Confers regular1y with appropriate officials at HUD to keep abreast of I? new or revised policies, procedures, and special priority matters, and "'C c: coordinates audn efforts between internal and extemal audit tasks; ~ additionally selVing as the liaison for the Authority with the external « independent auditors on the conduct of the Authority's annual audits. g> :0: The Ideal Candidate Q) Q) :E ~ Q) u !E The Philadelphia Housing Authority is seeking a proactive, entrep!'&-0 neurial, and dedicated individual to lead the OAG, Uncompromising 2 ethics and the highest level of integrity are essential to a candidate's ~ success in this recruitment. The ideal candidate will be a Champion and ~ advocate of the mission of the OffICe and display a strong passion forthe «. efficient and effective discharge of their deSignated responsibilities. The 'g' new Director of Audit and Compliance will have a willingness to make ~ a long-term commitment to PHA. A high degree of political sensitivity is U needed. The ideal carxlidate WIll be a strong advocate for a teamwork environment where feedback and suggestions are welcomed. A solid leader is needed who is able to identify and utilize each employee's individual strengths, while mentoring and encouraging staff develop- ment. The selected candidate will be expected. to quickly build strong working relationships with a wide array of constituents internal and external to PHA. ..... -1:: o Q. Q) 0:: -c: Q) E :!:: :::l The ideal candidate will possess the following characteristics and abilities: • Model the highest standards of honesty and integrity; • Comprehensive knowfedge of policies, prooodures, goals, objectives, operational entities, requirements, and activities as they apply to the organization; . • Expertise in audit financial, and operational analysis and modeling, asset management, assessment, and risk evaluation; ... U Q) 0:: ... o -:s :::l « .... c: Q) E ..c: u .5 « • Expertise and experience in the application of related policies, procedures. methods, and auditing techniques to management and operations; • Expertise and experience in the app6cation and interpretation of generally accepted accounting principles, concepts, and theories, and the application of applicable laws, rules. regulations, and es- tablished policies; • Expertise in HUD. federal, state, and local laws, regulations, rules, and programs affecting housing operations and financial manage- ment programs; Experience -This position requires a minimur seven (7) years of audit and compliance 'mam ment experience, preferably in the affordable hou industry. All highly qualified executives are stro encouraged to submit qualifications for considera: Final selection of top tier candidates will be base< the combination of education and exPerience that i fits PHA needs. Ii:> ""T ""I .-r .. ' II : i ;'r 1 "1 i -Ii ~rl (i-II The Compensation ~ ;, II . ~ .. The salary for the Director of Audit and Compliance is dependent u « -il quali~ations (DOQ) and. win be based upon the selected candide :§;, ~ experience and salary history. PHA WIll provide a competitive sc ~;. I and an excellent benefits package. Moving and relocation exper ~. l may be Included in the employment offer. Further details are avail; ~", through the recruiting firm of Ralph Andersen & Associates. E ;, 1 0 .. '0 ., , jg. To Be Considered '5 ~ I &:"1 ! .• Advanced audit and financial analytic ability, including the ability to Interested candidates are encouraged to submit early in the proc ~". I solve complex problems where only limited standardization exists; via email toapply@ralphandernen.com. Review of resumes will bl 'g ~ -upon submittal of completed information. The position is open l 5" I • Abitity to read and interpret a variety of instructions furnished in . tilled with a first review date of Friday, May 20, 2011. ~ ;, I written, oral, diagram, or schedule form and prepare concise and an ,.. accurate analysis for compliance determination and executive level Candidates are required to submit the following: ~ ~ I decision-making; • Cover letter; ~ ~ I • Abmty to speak and present information effectively to top manage- ment, pubHc groups, and/or the Board of Commissioners; • Make sound and well-informed decisions affecting multiple stake- holders; and - • Commit to action when dealing with pressure and ambiguity of complex. controvernial issues and situations. Education and Experience Education -Bachelor's degree from an accredited college or univer- sity with major course work in Business Adminlstration, Accounting, Finance, or other business related fields. Master's degree and/or Certified PubliC Accountant (CPA) preferred. &~I • Resume; and ~ ,. • Salary history. 'E ~ I Q) " I This is a confidential process and references will not be contacted I :€ ,.. I mutual interest has been established. Finalist interviews will take pI t ~ in early June. The new Director of Audit and Compliance is expEl( ~ tJ I to join PHA in July or at a mutually agreeable date. ~ ~ J '0> If you have questions or would like to discuss the opportunity furl, ~ ~ I please C8" Mr. Robert Burg or Ms. Heather Renschler at -g f} I (916) 830-4900. Confidential inquiries welcomed. ~ v J The Philadelphia Housing Authority is an equal opportunity employer. .t:> ~ vi ....... « ~,J ~I ~I ~ ~ I ;, ~ I 9 J Philadelphia Housing Authority Building Beyond Expectations ~I .. " i"~~~k~~:Pg~:8it: .. : .. , I ~. . " , ..,..,. ~':' ,,; :" CITY OF PALO ALTO OFFICE OF THE CITY COUNCIL May 9, 2011 The Honorable City Council Palo Alto, California Approval of Agreement with Sherry L. Lund Associates in an Amount of $37,875 (Subject to Potential $1,500 Discount) for Completion of Annual Council Appointed Officer Performance Reviews TO:City Council Colleagues FROM:CAO Committee Chair Holman DATE:May 2, 2011 SUBJECT: Approval of Agreement with Sherry L. Lund Associates in an Amount of $37,875 (Subject to Potential $1,500 Discount) for Completion of Annual Council Appointed Officer Performance Reviews On April 27, 2011 the Council Appointed Officers Committee met to review proposals from Sherry Lund for completion of the annual performance evaluations for the Council Appointed Officers (CAOs). CAO Annual Evaluations In consideration of the current status of CAOs, the recommended contract includes performance reviews for City Clerk and City Manager, refining and setting performance goals for City Attorney (consistent with Attorney contract), and assessment of Acting City Auditor and staff to get a better understanding of the functioning and existing skills in the department. The Committee voted 3-0 (Councilmember Scharff absent) to recommend that the full Council approve an agreement with Ms. Lund in an amount of $25,500, including expenses and subject to a $1,500 discount if the Council completes the evaluation process prior to August 2. Additional Recommended CAO Evaluations Input The Committee additionally considered the benefits of adding staff member input to CAO performance evaluations. As part of the discussion it was determined beneficial and preferred to include this option, to provide more of a ‘360’ approach especially in light of the fact the Council members are predominantly off site. A description of the process can be found in #2 in the Lund proposal. The Committee voted 3-0 (Councilmember Scharff absent) to recommend that the full Council approve $4,925 for this additional service. Mid-Year Check-In and Alignment Recommendation The Committee discussed prior years’ intention of conducting mid-year meetings with CAOs Updated: 5/4/2011 10:26 AM by Donna Grider Page 2 including the fact that it has never happened for various reasons including Council member workload. The additional time with CAOs was mentioned as a reasonable expense to help ensure the City is being managed consistent with determined goals and also provide ability to adjust as demands change. A description of the process can be found in #3 in the Lund proposal. The Committee voted 3-0 (Councilmember Scharff absent) to recommend that the full Council approve $7,450 for this additional service. As part of the Committee discussion, members acknowledged the importance of the $1,500 discount offered by Ms. Lund. The Committee also recommended that the funding for the contract be added to the Council's budget for FY2012. RECOMMENDATION: The CAO Committee recommends the City Council authorize the Mayor to enter into a contract with Sherry L. Lund and Associates in an amount of $37,875 for facilitation of Council Appointed Officer evaluations. The 2012 proposed budget already has $30,000 allocated for CAO evaluations. The Council would need to direct the City Manager to add $7,875 to the Council's budget if they elected to move forward with the entire proposal; this amount would be reduced to $6,375 if the Council elected to complete the process by August 2. ATTACHMENTS: ·a:Revised Lund proposal 4-30-11 w CAO Comm Input.doc (DOCX) ·b:CAO 4-27-11 ACTION (DOC) Department Head:Donna Grider, City Clerk Updated: 5/4/2011 10:26 AM by Donna Grider Page 3 247 La Cuesta Drive Portola Valley, CA 94028 (650) 619-5500 fax (650) 854-9702 sherrylund@aol.com April 30, 2011 The Palo Alto City Council City of Palo Alto 250 Hamilton Avenue Palo Alto, CA 94301 Dear Palo Alto City Council Members: The following is a proposal summary that incorporates the approved actions of the April 27 Council/ CAO Committee. Introduction The four CAO’s control the major financial and human resources in executing the Council’s vision and priorities. Performance evaluation is an important opportunity for CAO’s to get Council’s unified feedback on the past year. More importantly, it is the only opportunity to get unified feedback about expectations of performance going forward. Focus, clarity and alignment are critical to deploying financial and human capital efficiently and effectively; they are particularly critical when resources are limited. Council and CAO’s need to be closely aligned about performance expectations and how those resources are deployed. Goals and expectations need to be clear and need to stay aligned. 1. 2010-2011 Annual CAO Performance Review Cycle This year‘s proposed review cycle will have three elements: A.The City Manager and City Clerk will go through a normal year-end performance review, following the same format as last year. The CAO committee has asked that CAO’s be specifically asked for input on each others’ performance, as part of their conversations with Consultant. This feedback would not appear in the written summary, but would be raised in the closed session reviews. B.The City Attorney will have been on the job for 90+ days. While it will be too early to do a full- scale performance review in July, the timing of the review cycle will be ideal for accomplishing the following objectives: §Refine performance criteria with Attorney and Council input; §Confirm alignment on expectations and make early course corrections; and §Set performance goals for FYI 2011-2012. Sherry L. Lund Associates Proposal: 2011-2012 CAO Performance Management Page 2 C.In lieu of a performance review, the CAO Committee would like an assessment of the Acting City Auditor and staff.There has been significant transition in this office in the last two years, with the departure of the previous Auditor and some new hires. Finding the right permanent Auditor with the technical skills, the staff leadership skills, the broader leadership skills, and understanding of Palo Alto culture will be very important. Benefits For components A, B, and C: §Assurance that the City’s financial resources and employees are being deployed in a way that is aligned with Council goals, that CAO’s are clear about mutual expectations, and that there is accountability for results. For City Manager and City Clerk reviews (A): §A high quality review process and sound methodology. §A process that allows Council to focus their time and energy on providing quality feedback and direction while the consultant gathers and rolls up feedback, prepares agendas and documents for meetings, manages the whole project and provides technical assistance. For Attorney’s goal-setting (B): §Council and Attorney have clear, agreed-upon goals for assessing performance and for going forward. For the Auditor’s office review (C): §Skilled, third party assessment, gathering feedback from the entire Audit staff. §Information that allows Council to enter the recruitment process with a deeper understanding of the whole Auditor’s office. §Additional useful information, should the Acting City Auditor be an applicant for the permanent position. Timeline §May:Detailed project schedule and preparation; begin work to refine Attorney review criteria, and Auditor/staff assessment. §June:Most Council’s input on performance would be provided. §July:Closed session review meetings, subject to mutual availability and Council’s meeting schedule. Cost: $25,500, which includes all expenses,with a $1,500 discount if review process is completed by August 2, 2011. Note that Council must be willing to be available in the above timeline to provide input and to meet in closed session to achieve this deadline. 2.Staff Member Input for CAO Annual Performance Reviews Purpose Council members typically have the opportunity to see examples of CAO leadership in venues such as community meetings and at Council meetings. Councils also need to hold CAO’s accountable for leadership of staff, but usually have little visibility into that aspect of leadership. Gathering feedback from staff members must be done carefully and interpreted in context. While all feedback is useful, it must be weighed in light of a) employee performance (e.g., is employee a strong performer or someone who is on a performance improvement plan); and b) whether employee and CAO expectations of each other are aligned with generally good management practice. Sherry L. Lund Associates Proposal: 2011-2012 CAO Performance Management Page 3 Process Overview CAO’s will be contacted to provide context for employee feedback. Input will be gathered from the direct reports of the City Manager, City Clerk, and City Attorney through a combination of some simple survey questions and follow-up phone calls. Staff feedback will be anonymous to CAO’s and to Council but not to the Consultant. Council members will receive a brief (1-2 page) summary to inform their annual review feedback to CAO’s. Benefit §Provide feedback to Council on CAO’s leadership of their staff members (a part of leadership typically not visible to Council). Timeline §Process must begin as early as possible in May (and by mid-May at the latest)to provide input to Council to use in their packets by June. Cost: $ 4,925, which includes all expenses. 3.Mid-Year Check-In and Alignment Discussions Purpose Not only is it important for Council and Staff to be aligned on performance goals, it is important for them to stay aligned. When a manager reports to a single boss, update discussions happen frequently in the course of business. When a manager reports to nine bosses, a year is a long time between those discussions. Over the year’s time, there may be new issues that result in a new goal, or eliminate or modify a previous goal. There may be misalignments in expectations that need discussion or mid-course correction. Council has discussed the mid-year check-in option for the last few years, and even set the intention to make them happen. However, the ongoing press of addressing critical City issues has demonstrated that these discussions, realistically, are unlikely to happen without external assistance to gather feedback, create agendas, and manage the process. It takes preparation to result in a crisp agenda and discussion among ten people (nine Council members plus CAO). In 2011-2012, it is anticipated that mid-year check-in discussions will be scheduled with City Manager, City Attorney, and City Clerk. Depending on the timing of hiring the City Auditor, the timing may be just right for the same refinement of criteria, goal-setting, and early feedback process with the Auditor that was recommended for the Attorney after 90 days. Following are some highlights of the mid-year check-in process: §This is much simpler and more streamlined than the annual review.These discussions will not be a detailed point-by-point review of the annual performance criteria, involving long documents. Consultant will: o Gather input from Council and CAO’s in short (30-45 min.) phone interviews; o Provide a brief (perhaps 1-2 page summary) summary in advance of discussions; o Create an agenda that points to the critical few issues (perhaps 2 or 3), allowing Council and CAO’s to have a focused and productive discussion. §If advance information points to no need for a discussion for a particular CAO (no issues to raise by the CAO and no concerns by Council), that information will be shared with Council. Check- ins will not be automatically scheduled if there is no need. Benefits §Council has the opportunity to provide mid-course correction to CAO’s. §CAO’s have the opportunity to raise performance-based questions with the entire Council. Sherry L. Lund Associates Proposal: 2011-2012 CAO Performance Management Page 4 §Both Council and CAO’s have the opportunity to address a misalignment. §A goal can be added, removed, or revised, based on emergent issues. Timeline §Late November: Collect feedback. §December: Convene closed session discussions. Cost:$7,450.00, which includes all expenses. Client Responsibilities In order to support the success of the project, Client agrees to: §Assure involved parties a) are available for one-on-one and group meetings; and b) complete evaluations on time in order to meet project milestones. §Identify an internal liaison that can schedule appointments and provide support in getting evaluation items on Council agendas. §Provide meeting space and A-V equipment required. §Commit to a professional and respectful process. Cost Assumptions The following assumptions have been considered in pricing this proposal: §There is no compensation work required this year. §Meetings missed without 24 hours notice and re-work that result from missed meetings and deadlines will be billed beyond the quoted project fee at discounted public sector rate of $250/hr. (private sector rate is $375/hr.). Consultant Qualifications I believe my skills and experience have been a good match for this work, as I offer: §An insider’s understanding of City culture and citizen expectations with the outsider’s ability to be fully objective about the process and relationships. §Deep and broad experience in performance management (including executive evaluation), executive coaching, negotiation, interpersonal communication, rewards and recognition, and career development –all important components of this project. §Thirty-five years experience in organizational consulting--with twenty-three years consulting experience in my own firm—for a broad variety of organizations in the public and private sector: o Public sector/non-profit experience examples include:Cities of Fremont, Santa Rosa, Dublin, San Ramon, Sonoma, Mission Viejo, Tracy, Fairfield, Union City, CA; plus the City of Tualatin, OR; Counties of Santa Clara, San Mateo, Alameda and Riverside,CA; BAAQMD, Carnegie Mellon University (Provost), the Dr. Susan Love Research Foundation, the Council on Foundations, S. H. Cowell Foundation, and the University of California. o Global private sector examples include:Intel, HP, Acco Brands, Cisco Systems, Seagate, The Gap, Levi Strauss, Driscoll’s, Xoma, Genelabs, among many others. This broad experience allows me to collect best practices from many sources and to avoid getting locked into the paradigms and traditions of a single type of organization. Next Steps Upon acceptance of this proposal by the CAO Committee and Council, the next steps are to: 1.Execute a contract per your internal procedure. 2.Develop a project schedule that is based on availability of all parties; revise it, as necessary, with Council at the earliest meeting possible. Please note that a schedule cannot be confirmed until the contracting process is complete. Sherry L. Lund Associates Proposal: 2011-2012 CAO Performance Management Page 5 I would be very pleased to work with the Council and the CAO’s again on your performance management processes. Please let me know if I may provide additional information. Best regards, Sherry Lund Principal 1 COUNCIL APPOINTED OFFICER COMMITTEE Special Meeting April 27, 2011 Chairperson Holman called the meeting to order at 4:08 p.m. in the Human Resources Conference Room, 250 Hamilton Avenue, Palo Alto, California. Present:Espinosa, Holman (Chair),Schmid Absent:Scharff Oral Communications None Agenda Items 1.Discussion of Contract and Proposed Changes for City Council Approval of Council Appointed Officer (CAO) Evaluation Consultant Contract with Sherry Lund and Associates. MOTION: Council Member Schmid moved, seconded by Mayor Espinosa, to agree to do annual evaluation reports as described by Ms. Lund at approximately $25.5k and include formal evaluations of the City Clerk and City Manager,and an intermediate update on the City Attorney,and a tentative evaluation with the Auditor’s Office. AMENDMENT: Mayor Espinosa moved, seconded by Council Member Holman to include a mid-year check-in for the Council Appointed Officers. AMENDMENT PASSED: 3-0, Scharff absent MOTION PASSED 3-0, Scharff absent 2 2.Interview of Recruitment Firms (City Auditor) and Recommendation to City Council. NO MOTION 3.Discussion of CAO Interview and Hiring Process. NO MOTION 4.Consideration of an Exit Interview of the City Auditor (Brouchoud). ADJOURNMENT: Meeting adjourned at 6:39 p.m.