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HomeMy WebLinkAboutStaff Report 200-08TO: FROM: DATE: SUBJECT: uH), of Palo Aito 10 HONORABLE CITY COUNCIL CITY MANAGER DEPARTMENT: City Manager’s Office APRIL 7, 2008 CMR 200:08 RECOMMENDATION OF THE COUNCIL/COUNCIL APPOINTED OFFICERS COMMITTEE TO RETAIN THE WATERS CONSULTING INC. FOR THE CITY AUDITOR RECRUITMENT AT A COST NOT TO EXCEED $30,000 RECOMMENDATION The Council/Council Appointed Officers (Council/CAO) Committee recommends that the City Council approve retaining The Waters Consulting, Inc. for the recruitment of the new City Auditor, for a contract cost of $20,500 and reimbursable expenses of $9,500. DISCUSSION On March 27, 2008, the Council/CAO Committee met to review the responses received to the Request for Proposal for consulting services to recruit a new City Auditor. Two proposals were received, from The Waters Consulting, Inc., and Internal Audit Recruiters, LLC. After discussing both proposals, the Committee decided to recommend that the Council retain The Waters Consulting, Inc. for the following reasons: > Need to move quickly to retain the best candidate, as the former City Auditor has shared with some Council Members a concern that a number of such auditor positions are vacant at this time >Waters-Oldani was a finalist for the City Manager recruitment ~Superior experience with the public sector >Feedback from City Auditor’s Office staff emphasizing focus on performance auditing as opposed to financial compliance auditing RESOURCE IMPACT The services provided in the RFP response are priced at $20,500. Reimbursable expenses not covered by the professional services fees are estimated at $9,500, for a total contract cost of $30,000. The Council approved $50,000 with the Midyear Report to cover the recruitments for the City Auditor and City Manager. The remainder of that appropriation, along with $5400 from salary savings from the City Auditor’s Office wil! be used to pay for the contract. POLICY IMPLICATIONS This recommendation is consistent with existing City policies. CMR: 200:08 Page 1 of 2 PREPARED BY CITY MANAGER APPROVAL lSO~i, Assistant City Manager , /- "~er Attachment 1 : The Waters Consulting, Inc. Response to RFP Attachment 2: Internal Audit Recruiters, LLC Response to RFP Attachment 3: CMR: 149:08 CMR: 200:08 Page 2 of 2 WATERS- OLDAN I EXECUTIVE RECRUITMENT A Divishm of The Waters Consulting Group, Inc. Attachment I March 6, 2008 Ms. Emily Harrison Assistant City Manager City of Palo Alto c/o Purchasing and Contracts Administration 250 Hamilton Avenue, M-Level Palo Alto, CA 94301 (Ttransmitted by email to: emily.harrison @citvofpaloalto.or_.) Re: Proposal - Executive Recruitment for City Auditor Dear Ms. Harrison: I appreciate the opportunity to submit our proposal for executive recruitment services for your City Audilor. It has been our experience that satisfied clients expect one principal outcome from the recruitment effort: A highly-qualified candidate available to be employed as soon as possible. We are confident that you will be completely satisfied with our comprehensive process and the outcome. We are so confident in our recruitment process and outcome that we offer a triple guarantee of our performance, which is described in detail on page 3 of this proposal. Our team of recruitment consultants (see bios starting on page 8 of the proposal) has provided executive recruitment services nationwide for over 30 years, principally to public organizations. We have established a reputation for a relentless commitment to high quality with our process and our candidates. We know that you have options for using other recruitment firms. However, we believe that our approach sets us apart from our competitors in the following important ways: >Our Triple GuaranteeTM (see page 3); 3-Meticulous development of the Candidate Profile prior to Advertising/Marketing (see page 4); 3-Comprehensive, in-depth screening and evaluation of Candidates, including the use of our proprietary, validated assessment - CareerNavigatorTM (see page 5); Rigorous review of Candidates’ References and Background (see page 6); Our highly-accessed web site (www.watersconsultin~.com) by prospective Candidates; and Our superior nationwide relationships with high-quality Candidates for marketing new positions. The proposal document will provide you the details about our approach, expertise, client references, and pricing for this executive recruitment. Also, if you have any questions, please contact me directly at 817.965.3911 or by email at canderson @ watersconsultin~.com. We would consider it a professional privilege to provide these services to the City of Palo Alto. Sincerely, Charles (Chuck) S. Anderson CEO of Waters-Oldani Executive Recruitment A Division of The Waters Consulting Group, Inc. THE WATERS CONSULTING GROUP, INC. PRODUCTIVE MANAGEMENT CONCEPTS 5050 Quorum Drive Suite 625 Dallas, Texas 75254 972/481/1950 972/481/1951(Fax) www.watersconsul~.in_.com -Dallas ¯ Seattle ¯ Cleveland o Austin- P R 0 J E C T 0 VE R V 1E W The City of Palo Alto, California is considering the use of a consulting firm to assist with the executive recruitment for its next City Auditor and has requested a proposal describing a work plan and project approach from Waters-Oldani Executive Recruitment (Waters-Oldani), a division of The Waters Consulting Group, Inc. Accordingly, we provide the following information for your consideration. PROFESSIONAL EXPERTISE MAKES THE DIFFERENCE Throughout the assignment, the Waters-Oldani team ,,;,ill serve as technical advisors to your organization to ensure that the recruitment process is conducted in a professional manner. The objective of Waters-O]dani is to generate high-quality candidates and assist you with the screening and evaluation of these candidates. Due to our extensive professional relationships with hundreds of public sector organizations and prospective candidates nationwide, Waters-Oldani is positioned to confidently promote your position to prospective candidates as a positive career and personal grov,,th opportunity. Since our firm’s beginning, we have emerged as a leader in executive recruitment. It is our 30+ years of consulting experience, coupled with our unique approach and personal touch that drives our internal standard for delivering only outstanding services and leading-edge products. In addition, Waters-Oldani is positioned as the largest privately-held executive recruim-|ent firm in the nation with a focus on the public seclor. This kind of strength will prove to be invaluable/or your execmiye recruitment. With any consulting assignment, but particularly with an executive recruitment project, reliable, consistent communication is fundamental to project success. At key points during the assignment, Waters-Oldani consultants will communicate by phone, e-mail, or in person, with appropriate leaders from your organization to discuss the progress of the recruitment and 1o review subsequent steps in the recruitment process. These regular status reports are important to ensure success with the recruitment assignment. We pride ourselves in the fact that we bring a high level of personal commitment to everything that we do. We get to know our clients - their concerns l’or success, their strategic goals and their organizational culture. But our intense professional commitment does not stop with our clients. We have candidates who were not selected l’or positions call to extend compliments and thanks for how they were treated during our recruitments. Many have stated that we provided the best recruitment experience in which they have ever participated. Client satisfaction is important to all organizations, but to our firm, it is our chief t‘ocus. In our business, referrals and recommendations are the keys to success. © 2008-The Waters Consulting Group, Inc.Page ¯ 2 ROLE OF YOUR ORGANIZATION’S STAFF We have a seasoned staff of professionals to deliver quality services with minimal effort required from you. However, to assist in the project, we ask that your organization designate a Project Manager to serve as Waters-Oldani’s primary contact for the recruitment assignment. Your Project Manager will facilitate such functions as coordinating meeting dates, times, and locations and the review of the draft recruitment brochure and related advertising copy. OUR TRIPLF_. GUA RANTEE Our Triple Guarantee is defined as: (1) A commitment to remain with the recruitment assignment until you have made an appointment for the fees and tasks quoted in this proposal. If you are unable to make a selection from the initial group of finalists, Waters-Oldani will work to identify a supplemental group until you lind a candidate to hire; (2) Your executive recruitment is guaranteed for two years against voluntary, resignation by or termination for cause of the candidate. Within the first year, the replacement recruitment ,.,,,ill be repeated with no additional professional fee, but only for project-related expenses. During the second year, the replacement recruitment is reduced to 50% of the professional fee plus project-related expenses. Candidates appointed from within your organization do not qualify for this guarantee. This guarantee is subject to further limitations and restrictions of your state laws. Additional services include a performance appraisal and review alter 12 months of service of the appointed candidate, with no professional fee charged to you. If you elect to use this service, the only cost you would incur would be the reimbursement for any project-related expenses; and (3) Waters-Oldani ,.viii not solicit any candidates selected under this contract for any other position while the candidate is employed with your organization. © 200g-The Waters Consulting Group, Inc.Page ¯ 3 TASK I RECRUITMENT BROCHURE DEVEI~OPMI~NT AND ADVERTISING The important first step in the recruitment process involves the development of a comprehensive recruitment brochure with a profile of the ideal candidate, including the required qualifications, professional experience, personal characteristics, and other factors related to success in the position of City Auditor. The recruitment brochure will also have a profile of your community and organization. To prepare the recruitment brochure, the Lead Consultant will come on site to meet whh your leadership team to discuss the required background and experiences for the new City Audilor. We will also request organizational charts, budgetary information, operational reports, and other documentation describing the community, organization, current issues, and responsibilities of the position. The draft recruitment brochure will be presented to you for review and final approval/edits prior to its publication and distribution via online and regular mail to prospective candidates. In order to conduct an open recruitment and to encourage applications from a diverse pool of candidates, Waters-Oldani will work with you to develop an advertising and marketing strategy to notify potential candidates about the vacancy. Advertisements will be placed in appropriate professional publications, local newspapers of record and web sites as approved by you. Draft ads will be submitted to your organization for approval prior to publication.Waters-Oldani has a highly-accessed web site, www.watersconsulting.com, and targeted e-nmil (search ~ w:|~ersconsuhin~.com). We will use all available resources to communicate directly with prospective candidates. The aggressive advertising and marketing campaign for top talent will include national, regional, in-state and local elements as determined during our initial meetings with your organization. Our presence at appropriate public sector conferences will be used to further promote the position. An effective advertising strategy will help to ensure that we conduct an open recruitment with appeal to a diverse array of candidates. Waters-Oldani will take all necessary steps to protect against discrimination in the screening and selection process. TASK II EXECUTION OF RECRUITMENT STRATEGY AND IDENTIFICATION OF QUALITY CANDIDATES Using the information developed in Task I, Waters-Oldani will identify individuals who would be outstanding candidates for the position of City Auditor. Often, well-qualified candidates are not actively seeking new en~ployment and will not necessarily respond to an advertisement. However, if a potential O 2008-The Waters Consulting Group, Inc.Page ¯ 4 candidate is presented with the opportunity directly and in the proper manner, he or she may apply. We take pride in our ability to locate highly qualified candidates across the nation based on our professional contacts and relationships. We have also established networks with minority and female leaders throughout the nation and are proud of our record of placement of minority and female candidates. Waters-Oldani has adopted a corporate policy of equal employment opportunity and will not participate in any recruitment effort where these principles are not followed. In addition, we are charter members of NFBPA and its Business Advisory Committee and the Hispanic Network. We believe that one of the strengths of the Waters-Oldani recruitment process is our attention to the candidates during the process. Each candidate submitting a rdsumd is sent a timely acknowledgement by Waters-Oldani, giving an approximate schedule for the recruitment. Further communications are maintained with each candidate regarding information about the recruitment progress and their status in the process. We take pride in the many complimentary comments made by candidates regarding the level of communication and the professional manner in which they are treated during our recruitments, which is also provides a positive reflection on your organization TASK llI SCREENING OF APPLICANTS, INITIAL INTERVIEWS, AND RECOMMENDATION OF FINALISTS TO CLIENT Our recruiting efforts in Task II identify a significant number of applicants, depending upon the position and the availability, of candidates with the requisite experience and skills in the marketplace. Task III is where our Lead Consultant screens the candidates against the criteria within the candidate prol’ile and develops a list of Semi-Finalists who meet or exceed the criteria. The Lead Consultant will then meet with you as the client to develop.a group of candidates for personal interviews with the Lead Consultant either by phone, in person or videoconference. Our interviews are conducted with a set of questions developed by Waters-Oldani to evaluate professional experience and management/leadership characteristics considered relevant for the candidate profile for your position. As a part of our thorough screening of candidates, we also utilize our content-validated behavioral assessment and success profile system CareerNavigatorTM. Our approach to recruitment features a content- validated competency model that measures the core competencies of public sector executive mangers/leaders with a comprehensive psychological assessment. This helps to identify, those competencies that are proven to make a candidate much more likely to be successful in a position of executive management and leadership. This approach reaches well beyond the scope of interviews to provide insightful, statistically reliable information that public sector organizations can utilize in selecting, retaining and developing top-performing future executives. in addition, CareerNavigator"r~’~ generates specific questions for individual candidates based upon their responses to the assessment. These questions are included in the in-depth interview conducted by, the © 2008-The Waters Consulting Group, Inc.Page ¯ 5 Waters-Oldani Lead Consultant. At the conclusion of our interview process, we will meet with you to recommend a group of Finalists to invite for on-site interviews with an interview panel that you select. Typically, four to six candidates are selected for these interviews. TASK IV CONDUCTING BACKGROUND CHECKS, REFERENCE CHECKS AND ACADEMIC VERIFICATIONS Once you approve the group of Finalists for on-site interviews, Waters-Oldani will begin the process to conduct reference checks, background checks and academic verifications. Contact is then made with selected references and sometimes with others in the specific industry that may know of additional accomplishments and work experiences of the candidales. The purpose of the reference interviews is to allow Waters-Oldani to complete our understanding of the work experience, professional performance and personal characteristics of the Finalists. For the background checks, Waters-Oldani is pleased to partner with PSI Investigation Services in to gather information about the candidates in the following areas: o o o Consumer Credit County Criminal County Civil Litigation Judgment/Tax Lien Motor Vehicle o o o Bankruplcy State District Superior Court Criminal State District Superior Court Civil Li|.igation Federal District Criminal Federal District Civil Litigation TASK V FINAL INTERV1E~N PROCESS Upon completion of Task IV, we ,.’,,ill work with you to develop the t]nal interview process. We will also send you documentation on each of the finalists, which will provide the highlights of their professional experience and leadership/management profile, and a summary of the results of the reference checks, background checks and academic verifications. In addition, the report will include guidelines for interviewing the candidates, suggested interview questions, and a rating process for your interview panel(s). Our Lead Consultant will participate in final interviews as either an observer or active panel member at .,,,our request and will be available to answer questions and assist you in the t]nal evaluation and selection of the successful candidate. In addition, if you request the service, our Lead Consultant will assist you with the development of a compensation package and related employment considerations, and assist with the negotiations. © 2008-The Waters Consulting Group, Inc.Page ¯ 6 EXECUTIVE RECRUITMENT I)ROJECT T1MELINE Below is an estimated Timeline for the executive recruitment process. Our Timeline consists of approximately 90-120 days, depending upon various factors, including the presence of holidays during the recruitment process. You will be asked by the Lead Consultant during the first on-site meeting to review and approve a Timeline i~br the recruitment project, it is our intent to conduct the recruitment expeditiously, but not at the expense of finding high-quality candidates for you. To ensure that our quality standards are maintained, we do require a minimum of ten business days between the time that you select the candidates for on-site interviews and when we send you the Final Book for your final interview process. P/.~ 111 D~;cription of Key Project Phases/Ta~ "ks Task 1 Recruitment Brochure D evd opment & Advertising Task 2 R ecruit merit Strategy and Identification of Candickates Task 3 Screening Process and R ecoma~encL.qt ion of Finalists for On- site I nter~;iev~. Task 4 Back~ound Check.s/Reference Checks/A cacten~c Verificntions Task 5 Fin~ Interview Procms 01 O2 03 04 05 PT~s 06 07 08 09!10 11 12 13 AN OVERVIEW OF OUR CONSULTING TEAM Waters-Oldani places a high priority on meeting the needs of our clients. Therefore, at the outset of the recruitment process, we will tailor our approach to address the issues unique to your organization’s working environment. For each recruitment project, we assign a Lead Consultant and a team of support professionals to carry out assignments in an effective and efficient manner. What follows are brief biographical descriptions of the members of our consulting team. © 2008-The Waters Consulting Group, Inc.Page ¯ 7 Charles (Chuck) S. Anderson is the Chief Executive Officer for the Waters-Oldani Recruitment Division within the Waters Consulting Group (WCG). In this role he also is a senior consultant within the HR Consulting Division for projects related to organizational design and development, strategic planning, and leadership/management development. Prior to joining the WCG, Chuck worked for local governments and public education, including City Manager for Dallas, Texas; Executive Director for the Dallas Area Rapid Transit (DART); and Executive Director for the Michigan Education Association. Chuck also served as Director for Local Government Reform for the International City/County Association (]CMA), managing a U.S. government contract for the planning and delivery of technical assistance to local governments in Central and Eastern Europe. His last assignment in this role with ICMA was to recruit and supervise a team of technical consultants to assist in re-building local governments in Bosnia following agreement on the Dayton Accords. During his service with the Michigan Education Association, Chuck also served as Senior Consultant for Urban Planning and Management for Michigan State University’s Institute for Public Policy and Social Research. Areas of Expertise Executive Recruitment Leadership/Management Development Organizational Design Organizational Development Professional Accomplishments :and Education Chuck received a Bachelor of Arts degree in political science and human resources management and a Masters of Public Administration degree from the University of Kansas. He received the prestigious L.P. Cookingham Award for Development of Young Professionals from the International City/County Management Association (ICMA) and the Minority and Women Advancement Award from the American Public Transit Association (APTA). He was also recognized as Public Administrator of the Year by the American Society, of Public Administration (ASPA) and Outstanding Management Innovator (Honorable Mention) by 1CMA. Chuck ,,,,,as recognized in 2007 with the Lifetime Achievement Award from his Public Administration Alumni Association at the University of Kansas. WATERS-OLDANI EXECUTIVE RECRUITMENT A Division of The Waters Consulting Group, Inc. © 2008-The Waters Consulting Group, Inc.Page ¯ 8 Ted Benavides works as a Senior Vice President for The Waters Consulting Group, Inc. for special projects with a focus on organizational analysis, strategic design, and compensation analysis. He is the former City Manager of Dallas and joined The University of Texas at Dallas (UTD) in January 2005 as a faculty member in the School of Social Sciences’ Public Affairs Program. Ted served from 1998 to 2004 as City Manager of Dallas, Texas. There, he was responsible for administering all programs and services for the city’s 1.2 million people and overseeing an annual $1.9 billion municipal budget and directing a workforce of 12,500 employees. From 1996 to 1998, Ted was City Manager of the City of Denton, Texas, and from ]990 to 1996, he served as one of five Assistant City Managers in Dallas. While in Denton, Texas, Ted was also responsible for the management of Denton Municipal Electric. Previously, he held a number of other positions with the City of Dallas, including director of the Budget and Research Department, assistant director of the Heahh and Human Services Department, assistant director of capital budget programs, capital budget administrator and budget analyst. As City Manager of Dallas, Texas, and Denton, Texas, Ted has extensive experience in executive search. He has recruited and selected individuals for positions as diverse as Assistant City Managers, Department Directors, and Assistant Directors from a wide range o1" professional fields and backgrounds. In addition he has developed and implemented recruitment efforts for public sector employees for such categories as uniform, professional, administrative, technical, trades, and clerical. Areas of Expertise o Organizational Analysis ¯Classification and Compensation Studies o Skill-based Pay o Employee Surveys ¯Leadership Training o Executive Search Professional Accomplishments and Education Ted earned his bachelor’s degree in education, political science, and history from Texas A&I University (now Texas A&M University-Kingsville) and a master’s degree in public administration from Southern Methodist University. He is also a graduate of both Leadership Dallas and the Executive Institute of the Texas Municipal League at the LBJ School of Public Affairs in Austin and is a fellow of the National Academy of Public Administration. Ted serves on the board of directors of the National Forum for Black Public Administrators and is the Vice-Chair of the Texas City Management Association University Relations Committee. He was named Public Administrator of the Year in 2004 by the North Texas American Society ot: Public Administration. WATERS-OLDANI EXECUTIVE RECRUITMENT A Division of The Waters Consulting Group, Inc. © 2008-The Waters Consulting Group, Inc.Page ° 9 Jerry Oldani’s expertise and personal attention to client needs exceeds traditional approaches to executive search. His search leadership reflects his extensive background in corporate management, human resources, consulting and community service. He often serves as an expert panel member at professional symposiums in the area of executive search. His skill at conducting analyses of complex public sector organizations sets the industry standard. His insights into both corporate and public sector management and thorough research and evaluation of candidate’s backgrounds have become hallmarks of the firm. For the last several years, Jerry has led the public sector search discipline in the placement of "women and people of color," averaging over 47% of their total placements. With more than 35 years in executive search for the public sector, Jerry delivers solid and proven perspectives regarding human resources management, organizational analysis and executive search to the discipline. He has been a leading force in developing effective diversity-based recruiting methods, utilizalion of citizen groups in the recruiting processes and meeting the needs of public sector clients. His private sector focus has been in senior and executive level search for sales and marketing, human resources, finance and technical management personnel. Jerry, with the assistance of a dedicated staff, pioneered the use of a two },ear guarantee period and advanced recruiting brochures in the industry,. Areas of Expertise Executive Recruitment Organizational Analysis Diversity-based Recruiling Methods & Techniques Conflict Resolution Professional Accomplishments and Education Jerry received the Bachelor’s of Arts in Public Administration degree from the California State University at Northridge and completed graduate studies in Industrial Psychology at the University of California at Los Angeles. He began his human resources career as Personnel Director at Univar Corporation. He was a Charter Member of the Business Advisory Council to the National Forum for Black Public Administrators (NFBPA) and Founding Member of the Hispanic Network. A decorated Viet Nam Veteran and Captain in the Marine Corps, Jerry has also held numerous positions of community leadership to include: Library Commission - City of Sunnyvale; Parks Board - City of Mountain View, California; Santa Clara Valley Rental Housing Mediation Authority and the Santa Clara Valley Minority Relations Resolution Group; Bellevue, Washington Form of Governance Committee; King County Metro Consolidation Committee; Bellevue Parks Board; Board of Directors Pacific Northwest Baseball Umpires Association; and Board of Directors Pacific Northwest Football Officials Association. WATERS-OLDANI EXECUTIVE RECRUITMENT A Division of The Waters Consulting Group, Inc. © 2008-The Waters Consulting Group, Inc.Page ¯ l0 Chris Hartung is a Senior Consultant for The Waters Consulting Group, Inc. (Waters-Oldani). In his role, he is responsible for managing and conducting executive recruitment assignments for the firm. Chris has more than 35 years of experience in managing and consulting in both the private and public sector. He has served as Director of Finance, Assistant City Manager, and City Manager in full service municipalities with populations ranging from 15,000 to 160,000. Mr. Hartung served for 8 years as City Manager of Denton, TX. Chris joined Waters-Oldani in October 1997. He has conducted management-consulting assignments in a number of areas including compensation planning and implementation, strategic planning, organizational staffing, total quality management, and executive recruitment. He has written and presented training in a number of subject areas including performance evaluation, leadership and management skills, and customer relations. Areas of Expertise o Executive Recruitment o Classification and Compensation Studies °Skill-based Pay o Employee Surveys o Customer Service Training o Leadership Training Professional Accomplishments and Education Chris received his bachelor’s degree in government from Southern Methodist University and his master’s degree in public administration l’rom the University of North Texas. He has conducted lectures and seminars for Texas A&M University, the University of Texas at Austin, the University of Texas at Arlington, and the University of North Texas. Chris is on the faculties of lhe Bill Blackwood Law Enforcement Management Institute of Texas (LEMI) and the Certified Public Manager Program (CPM), which is managed by the faculty at Texas State University, San Marcos. Chris is also fully certified to administer ASSESS Strategic Success Modeling by the professional organizational psychologists at Bigby, Havis & Associates - a nationally known, accredited and respected firm. WATERS-OLDANI EXECUTIVE RECRUITMENT A Division of The Waters Consulting Group, Inc. 0 2008-The Waters Consulting Group, Inc.Page ¯ 11 Chuck Rohre is a Senior Consultant for The Waters Consulting Group, Inc. (WCG). In this role, he is responsible for managing and conducting executive recruitment engagements for the firm to insure their integrity, timeliness and adherence to budget parameters. Chuck has more than 30 years of experience in managing and consulting in both the private and public sectors. He has served as Police Chief" and Director of Public Safety for North Texas municipalities with populations ranging from 9,000 to 200,000 plus. Prior to beginning his consulting career, Mr. Rohre served for three years as Police Chief of Piano, Texas. Chuck joined the firm in January 2006 following a 13-year engagement with another nationally recognized public sector search firm where he managed the Texas and Southwestern operations. He has an extensive and successful track record of completed recruitment across the nation, primarily in the Midwestern and Southwestern states. He has also conducted management-consulting assignments in a number of areas including public safety, career development and strategic planning. He has written and presented training in a number of subject areas including personnel assessment, leadership and management skills, and career development for public sector employees. Areas o|’ Expertise ¯Executive Recruitment o Background Investigations o Assessment Centers o Career Development o Law Enforcement Management and Training Professional Acconaplishments and Education Chuck received his Bachelor’s degree in Career Development from the Dallas campus of Abilene Christian University and his Master’s degree in Human Relations and Management from the same institution. He has completed advanced management training at the Institute for Law Enforcement Administration and now serves on its adjunct faculty and advisory board. Chuck completed the Federal Bureau of Investigation’s prestigious LEEDS course at Quantico, Virginia. He is a veteran of the United States Army, serving in the United States and the Republic of Viet Nam. WATERS-OLDANI EXECUTIVE RECRUITMENT A Division of The Waters Consulting Group, Inc. O 2008-The Waters Consulting Group, Inc.Page ¯ 12 Andrea Battle Sims has been working in executive search for over six years, managing all phases of the search process for municipal, county, state and non-profit organizations, focusing on the East, Midwest and Mid-Atlantic regions with numerous searches for a number of governmental and non-profit executives including: City and Assistant City Managers, Library Directors, Chief Information Officers, Police Chiefs, Cily/County Attorneys, Parks & Recreation Directors, Finance Directors and Workforce Development Executive Directors. Andrea is an experienced professional with over twenty years of prior experience in Information Technology, EDP Audit and Management experience in both the public and private sector. Her local government leadership roles include serving as the IT Director at Cleveland Public Schools with a staff of 50; Deputy Director of IT at Cuyahoga County with a staff of 70. In addition, her county experience includes creating a start-up venture to sell public computer access to the legal community. Ms. Sims has held management positions at AT&T, Progressive Insurance, and National City Bank managing IT projects as well as IT professionals, along with serving as an internal consultant/auditor. She has successfully managed IT professionals through the change process t¥om legacy to client-server technologies including both private and public sector Year 2000 implementations. Areas o|" Expertise Executive Search Rec|uitment and Retention Training Information Technology Organizational Assessment Strategic Planning and Implementation Project Management Process Improvement Professional Accomplishments nnd Education Andrea’s educational background includes a Bachelor of Arts in Mathematics from Spelman College, Atlanta Georgia and a Master of Science in Operations Research fi-om The Wharton School at the University of Pennsylvania, Philadelphia, Pennsylvania. In addition, her post-graduate educalion includes numerous IT and management courses and seminars and certification from the Leadership Academy at Cleveland State University. Andrea’s current and past civic involvement includes the Board of Trustees at the American Cancer Society, Cuyahoga Unit; Junior League of Cleveland, along with leadership positions with the Links, Inc., the Spelman Alumnae Association, and Delta Sigma Theta, Inc. WATERS-OLDANI EXECUTIVE RECRUITMENT A Division of The Waters Consulting Group, Inc. © 2008-The Waters Consulting Group, Inc.Page ¯ 13 Troy has more than 25 years of impressive professional and executive level human resources experience. Before joining Waters Consulting Group, Inc., Dr. Coleman was most recently the Associate Superintendent for Human Resource Services with the Dallas Independent School District, where he designed and managed program efficiencies and automation to support employee on-boarding, and employee relations and mediation services. He designed and managed a nationally recognized program focused on international recruitment and selection of teachers, professionals and administrators to staff the 10,000-member teacher group and more than 20,000 total employees in the district. He served as Human Resources Director for the City of Dallas, Texas. Dr. Coleman was Senior Vice- President for Human Resources for an eCommerce business, and he has held various human resources posts in higher education and in local and federal government. He was a lecturer in Organizational Behavior and Personnel and Human Resources Administration at the University of Texas, Arlington; College of Business Administration; and Southern Methodist University, Cox School of Business, where he also lectured on Alternative Dispute Resolution. Throughout his career, Dr. Coleman has designed and led organizational development engagements on Organizational Change, Workplace Diversity, Coni]ict Management, and Employee Relations. He successfully facilitated dispute resolution and mediation processes involving disputes between police/public safety agencies and the communities they serve, employee disputes over diversity issues at work, EEO/Affirmative Action matters affecting companies and government agencies, differences between governing bodies and executive leadership teams, employee relations issues regarding pay and work conditions, and general interpersonal relations disputes. He was a faculty member with leadership institutes at George Washington University and the National Eorum [’or Black Public Administrators. Areas of Expertise Recruitment and Selection Pre-employment and Promotional Testing and Assessments Workplace Diversity and Inclusion Programs Training and Organizational Development EEO and Equity Systems Analysis and Design Mediation and Conflict Resolution Training Competency-based Perl’ormance Achievement Programs Professional Accomplishments and Education For more than 12 years with his own firm, Dr. Coleman successfully designed and facilitated diversity training programs and services for federal and local governments, police, fire and public safety agencies, corporate businesses, and he has lectured at national conferences on the subject of managing diversity in the workplace. He has also managed projects that incorporate diversity and community relations with communities experiencing demographic and social change. He earned his doctorate from the University of North Texas and his master’s and bachelor’s degrees from Texas A&M University, Commerce. He has been a Licensed Professional Counselor, and he is an active member of the American Psychological Association. WATERS-OLDANI EXECUTIVE RECRUITMENT A Division of The Waters Consulting Group, lnc. © 2008-The Waters Consulting Group, Inc.Page ¯ 14 San Antonio VIA Metropolitan Transit (210) 362-2409 Mr. Terry Dudley Procurement Manager Project: Multiple searches including the selection of the Director of Audit and Measurement and various department directors City of Sanford, Florida (407) 330-5604 Mr. Sherman Yehl City Manager Project: Selection of Director of Finance Mecklenburg County, North Carolina (704) 336-2472 Ms. Michelle Lancaster Assistant County Manager Project: Selection of Director of Finance and Director of Parks & Recreation City of Tacoma, Washington (253) 591-5133 Mr. Eric Anderson Cily Manager Project: Multiple searches including the selection of the Internal Auditor and various other department directors Sacramento Regional Transit Authority (203) 797-4511 Mayor Mark Boughton Prqiect: Selection of Director of Finance Port of Los Angeles, California (310) 732-3079 Ms. Geraldine Knatz, Ph.D. Executive Director 425 South Palos Verdes Street San Pedro, CA 90731 Project: Selection of Executive Director and Director, Security & Emergency Management (Homeland Security), Director-Business Development Port of Oakland, California ((510) 627-1225 Mr. Omar Benjamin Executive Director Project: Chief Financial Officer City of Bloomington, Minnesota (952) 563-8784 Mr. Mark Bernhardson City Manager Project: Selection of Finance Director City of Virginia Beach, Virginia (480) 967.2001 Mr. Charlie Meyer Former Chief Operating Officer; Current City Manager of Tempe, Arizona Project: Selection of Chief Operating Officer, Assistant City Manager/CFO and Chief Development Officer City of Ann Arbor, Michigan (734) 994-2655 Mr. Roger Fraser City Manager Project: Selection of Finance Services Administrator and various other senior level department director positions City of Danbury, Connecticut (203) 797-4511 Mayor Mark Boughton Project: Selection of Director ol"Finance and Personnel Port of Long Beach, California (562) 590-4100 Mr. Richard Steinke Executive Director 925 Harbor Plaza Long Beach, CA 90802 Project: Selection of Deputy Executive Director, Managing Director-Operations and Trade, Managing Director-Environmental Management and Plannin,, © 2008-The Waters Consulting Group, Inc.Page o 15 A SAMPLING OF EXECUTIVE RECRUITMENTS Abilene, Texas City Manager City Attorney Addison, Texas Director of Public Works Albany, Oregon Chief of Police Alexandria, Virginia Director of Purchasing Allen, Texas City Manager Finance Director Ann Arbor, Michigan Chief Financial Officer (2) City Manager City Attorney Fire Chief Arapahoe County, Colorado Director of Human Services Arlington, Texas Administrator, Library Public Services Assistant Director, Library Services Assistant Director, Planning & Development Services Assistant Director, Traffic and Transportation (2) CIP Director (Public Works) City Attorney Code Information Officer Deputy City Manager Director, Capital Improvements Director of Events and Conventions, Convention and Visilors Bureau Fire Chief (2) Human Resources Director Library Director Parks and Recreation Director (2) Planning Director (2) President, Convention and Visitors Bureau (2) Traffic and Transportation Director (2) Director of Planning and Development Deputy City Manager Assistant Director of Water Utilities Director of Work force Services/Human Resources Executive Director, Center for Arts and Humanities Human Resources Director IT Director Chief of Police Public Works Director Arvada, Colorado Aurora, Colorado © 2008-The Waters Consulting Group, Inc.Page ¯ 16 Austin, Texas Assistant City Manager, Community Services Assistant City Manager, Human Services Assistant City Manager, Public Safety Assistant City Manager, Public Utilities Chief Environmental Officer Chief of Police Community Development Director Employees’ Retirement System, Pension Officer Hospital Administrator Management Development Program Senior Attorneys (2) Senior Management Compensation Study Director of Department of Public Works Director of Planning and Development Director of Development Services Executive Director o Avondale, Arizona * Baton Rouge (LA) Parks & Recreation Commission * Baytown, Texas City Manager Director of Planning and Development Services o Beaumont, Texas Administrative Services Director Assistant City Manager City Manager (2) Public Health Director * Bedford, Texas Chief of Police * Bellevue, Washington Chief of Police (2) * Bellingham, Washington ¯ Birmingham, Alabama * Blaine, Minnesota * Bloomington, Minnesota *Blue Springs, Missouri *Board of City Development (City of Lubbock, Texas) City Attorney (2) City Manager (3) Data Processing Systems Administrator Deputy City Manager Director of Human Resources Economic Development Manager Outplacement Project Parks & Community Services Director Planning Director Water Supply Project Director Director of Parks and Recreation Human Resources Director Library Director Planning and Community Development Director Public Works Director Administrative Assistant to the Mayor for Capital Projects Director of Information Management Services City Manager Public Services Manager Support Services Manager Chief Financial Officer Chief of Police Public Works Director City Engineer Executive Director © 2008-The Waters Consulting Group, Inc.Page * 17 ¯Boise, Idaho Fire Chief ¯ Bothell, Washington Assistant City Manager Chief of Police City Manager Public Works Director ¯Boulder, Colorado City Manager Deputy Fire Chief o Brazos County Texas Executive Director ° Bridgeport, Texas City Administrator o Brooks Development Authority Executive Director ¯ Brooklyn Park, Minnesota City Manager ° Broward County, Florida Executive Director of the Port of Everglades Director of Small Business Services Director of Public Work< & Transportation Director of Aviation o Brownsville, Texas City Manager ¯ Brownwood, Texas City Manager ° Bryan, Texas Police Chief ° Cameron, Texas City Manager ¯Canton, Texas City Manager o Carrolhon, Texas Director of Public Works Director of Human Resources City Manager Director of Transit Development Fire Chief City, Manager Director of Human Resources Assistant Director of Public Works Economic Development Director Executive Director/CEO o Casa Grande, Arizona o Cedar Hill, Texas o Central Arkansas Water o Chandler, Arizona ¯ Charlottesville, Virginia o Chehatis, Washington ¯C1GNA °Cleveland (OH) Public Library °Coalinga Regional Medical Center (Coalinga, California) °Coalinga, California °College Station, Texas Assislant Cily Manager Chief Information Officer Chief of Police Communications & Public Affairs Director Human Resources Director Director of Parks, Recreation & Leisure Services Finance Director Transit Manager City Manager Local Area Representative Head of Main Library Executive Director City Manager Chief of Police (3) Fire Chief (2) Manager of Information Systems Director of Planning and Development First Assistant Attorney © 2008-The Waters Consulting Group, Inc.Page ¯ 18 ¯Colleyville, Texas Public Works Director o Commerce City, Colorado City Manager Police Chief Director of Planning and Development Services o Coppell, Texas Assistant Director of Public Works Police Chief Fire Chief City Engineer ¯Corpus Christi, Texas Assistant City Manager, Management & Budget Chief of Police City Attorney City Manager Director of Personnel & Labor Relations Director of Public Health Director of Safety & Risk Management Manager, Affirmative Action/EEO Assistant City Manager, Development Services Director of Parks and Recreation City Manager City Manager Fire Chief Chief Information Officer Chief Building Official Risk Manager Director of Public Works & Transportation Director of Finance and Personnel ¯Corvallis, Oregon ¯Covington, Washington ¯Dallas, Texas o Danbury, Connecticut o Davis, California o Decatur, Illinois o Denton, Texas City Manager Director of Public Safety Services City Manager Executive Director, Planning & Community Development Police Chief Chief Financial Officer Director of Planning Director of Parks and Recreation o DeSoto, Texas Director of Parks and Leisure Activities City Engineer Director of Human Resources Water Superintendent o Des Moines, Iov,,a Housing Services Director o District of Colombia Chief Transportation Engineer Corporation Counsel Deputy Mayor for Operations Parks & Recreation Director ° Dubuque, Iowa City Manager ° Duncanville, Texas Police Chief o Durham County, North Internal Auditor Carolina Director of Human Resources o East Orange, New Jersey Director of Police Information Technology Coordinator Police Technology Director 0 2008-The Waters Consulting Group, Inc.Page o 19 Edmond, Oklahoma Elmwood Park, Illinois Emporia, Kansas Englewood, Colorado Eugene, Oregon Evanston, Illinois o Farmers Branch, Texas o Federal Way, Washington o Ferguson, Missouri ,, Forney, Texas ° Fort Collins, Colorado o Fort Wayne, Indiana o Fort Worth, Texas o Fountain, Colorado ° Fremont, California ° Fresno, California ° Friendswood, Texas ° Garfield County, Colorado Chief of Police Village Manager City Manager City Manager Director of Public Safety City Manager Public Works Director Superintendent of Streets and Sanitation Superinlendent of Waters and Sewer Chief of Police City Manager Director, Economic Development Manager, Council Goal Setting Process Director of Police Services (Chiel) City, Manager City Manager (2) City Manager City Manager Community Development Director Deputy City Manager Finance Director Economic Development Director Planning, Transportation, Development Director Electric Utilities Director Director of Parks and Recreation Assistant Director of Transportation & Public Works Assistant Housing Director Aviation Director City Attorney City, Manager Director of Development Director of Housing Director of Human Relations Director of Planning & Growth Management Director of Transportation & Public Works Environmental Management Director Executive Director of Public Facilities and Events Health Director Library Director Water Utilities Director City Manager Assistant Financial Services Director Fire Chief (2) Information Technology Manager Assistant City Manager City Manager (3) Police Chief Director of Human Resources © 2008-The Waters Consulting Group, ]nc.Page ° 20 Garland, Texas Glendale, Arizona Grand Prairie, Texas Greenville, South Carolina Greenwich, Connecticut Gresham, Oregon Hampton, Virginia Hartford, Connecticut Hayward, California Hermislon, Oregon Hobbs, New Mexico Houston Police Officers Pension System (Texas) Huntsville, Texas lowa City, Iowa Irving, Texas Jasper, Texas Juneau, Alaska Kansas City, Missouri ¯Kent, Washington °Kerrville, Texas ¯Ketchikan Gateway Borough, Alaska ¯Kitgore, Texas Assistant Director of Electric Utilities Code Enforcement Manager Director of Finance Economic Development Director Human Resources Director Traffic & Transportation Director Deputy City Manager Community Development Assistant Utilities Director (Electric) Traffic & Transportation Director Assistant City Manager City Manager Finance Director Public Works Director Public Works Commissioner Commissioner of Social Services Town Administrator Assistant Fire Chief City Manager Police Chief Chief of Police Personnel and Employee Relations Director Chief of Police Police Chief City Manager Chief Investment Officer Executive Director City Manager City Manager Chief of Police City Manager (2) City Manager City Manager Deputy Director of Aviation Manager of Procurement Services Director of General Services Project Controls Manager Assistant to the Director of Administrative Services Assistant Director of Health Assistant Fire Chief (2) City Manager (3) Borough Attorney Borough Manager City Manager © 2008-The Waters Consulting Group, Inc.Page ¯ 21 ¯King County/Seattle, Washington (Joint Agency) o Kirkland, Washington La Grande, Oregon La Porte, Texas Lake Oswego, Oregon Las Vegas, Nevada Las Vegas Housing Authority Lee’s Summit, Missouri Lewiston, Idaho Little Rock, Arkansas Long Beach, Washington Longmont, Colorado Longview, Washington Los Angeles, California Loveland, Colorado Lubbock, Texas ¯ Lynnwood, Washington Community Oriented Primary Care Director Director of Adult Corrections Director of Public Health (2) Director of Public Safety Director of Stadium Administration (Kingdome) Executive Director, Economic Development Council Human Resources Director Manager, Surface Water Management Division Medical Director Organizational Assessment Project Prevention Services Manager Public Defense Program Administrator Public Works Director (Modified) Roads Mana,:,er Administrative Services Director Assistant City Manager Chief of Police City Manager Deputy Fire Chief Director, Planning & Community Development Public Works Director City Manager City Manager City Manager Fire Chief Director of Community Planning & Development Fire Chief Human Resources Director Redevelopment Manager Executive Director City Administrator City Attorney Community Development Director Public Works Administrator Chief of Police City Manager City Administrator City Manager City Manager Chief of Police Deputy Administrator, Economic Development & Community Redevelopment Fire Chief City Manager (2) City Manager Internal Auditor Assistant Director of Water Utilities Water Program Manager Fire Chief Finance Director © 2008-The Waters Consulting Group, Inc.Page ¯ 22 ¯ Mecklenburg County, North Parks and Recreation Director Carolina Finance Director Human Resources Director ¯ Mercer Island, Washington City Attorney City Manager Compensation Study Parks and Recreation Director ¯ Michigan Education Executive Director Association ¯ Midland, Texas City Manager ¯ Midlothian, Texas City Manager ° Mill Creek, Washington City Manager o Milwaukee, Wisconsin Fire Chief ° Minneapolis, Minnesota Police Chief o Missouri City, Texas ° Modesto, California ¯ Mont Betvieu, Texas ¯ Mount Prospect, Illinois ° Mr. Pleasant, Texas o Murphy, Texas ° New Braunfels, Texas o Newcastle, Washington °NTTA~North Texas Tollway Authority ¯Norfolk, Virginia Norman, Oklahoma North Port, Florida North Ricbland Hills, Texas Assistant City Manager City Attorney City Manager Assistant City Manager Finance Director Human Resources Director Fire Chief Deputy City Manager Deputy Director of Recreation and Neighborhoods Director of Community Development Fire Chief City Administrator Village Manager City Manager City Manager City Secretary City Attorney Police Chief City Manager Executive Director Deputy Executive Director Assistant City Manager Assistant Director of Budget & Finance Assistant Director of Child & Family Services Assistant Director of Human Resources Assistant Library Director Police Chief Director of Finance Fire Chief Human Services Program Manager Information Technology Director Library Director Tax Assessor Planning Director City Manager Economic Development Director © 2008-The Waters Consulting Group, Inc.Page ¯ 23 Oak Park, Illinois Chief of Police ¯ Oakland, California Director of Building Property and Maintenance Director of Public Health Fire Chief Public Works Director Administrative Librarian, Development & Employment Director of Communications & Information Services Director, Office of Economic Development & Employment Director of Police Services (Chief) Fire Chief Information Technology Director Odessa, Texas City Manager Oklahoma City, Oklahoma Chief of Police Police Department Succession Planning Project Olathe, Kansas Development Services Director Ontario, California Convention Center Director Oregon City, Oregon City Manager (2) Paris, Texas City Manager Pearland, Texas City Manager Peninsula Light (OR)Executive Director/CEO Peoria, Arizona Community Development Director Deputy Police Chief Human Resources Director Pittsburg, Kansas Director of Human Resources Plainview, Texas Director of Public Works Piano, Texas Fire Chief Emergency Management Coordinator Assistant City Manager (3) Chief Building Official Chief of Police (3) City Manager (2) Data Processing Director Director, Environmental Health Economic Development Director (2) IT Director Planning Director Transportation Engineering Manager Fire Chief¯ Ponca City, Oklahoma o Port Arthur, Texas Chief of Police City Manager o Port of Everglades, FL Executive Director o Port of Long Beach, CA Deputy Executive Director Managing Director of Environmental Planning & Services ° Port of Los Angeles, CA Executive Director Director of Homeland Security Business Development Managing Director ¯ Port of Oakland, CA Chief Financial Officer © 2008-The Waters Consulting Group, Inc.Page ¯ 24 Portland, Oregon Director, GIS Director, OFA Manager, GIS Personnel Director Prescott Valley, Arizona Police Chief Puyallup, Washington Ramsey, Minnesota Redmond, Washington Chief of Police City Manager Director of Information Technology & Communications City Manager Assistant to the Mayor Director of Parks and Recreation Fire Chief (2) Human Resources Director Planning Director Renton, Washington Director, Community Development Public Works Director Richardson, Texas Assistant Director of Development Services Assistant City Manager, Director of Public Services Richmond, California Police Chief Roanoke, Virginia Assistant City Manager Director of Housing Roanoke Regional Airport Chief of Safety and Security (VA) Roseville, Minnesota Chief of Police City Manager Round Rock, Texas Fire Chief Saint Louis Park, Minnesota City Manager (2) Sacramento Regional Transit Chief Engineer District Director of Finance Salem Area Mass Transit General Manager District Salina, Kansas Director of Community Development and Planning Director of Public Works San Angelo, Texas City Manager San Antonio, Texas Assistant Director of Convention & Visitors Bureau Economic Development Director Library Director Risk Area Manager San Benito County, California Planning and Building Director Public Works Director County Counselor/County Attorney San Bernardino, California Animal Control Director Deputy Director of Public Works/City Engineer San Diego, California Chief Information Officer Deputy City Manager San Jose, California Director of Intergovernmental Relations and Public Affairs San Marcos, Texas Chief Financial Officer City Attorney Fire Chief 0 2008-The Waters Consulting Group, Inc.Page ° 25 ¯ Sanford, Florida Director of Finance ¯ Sanger, Texas ¯ Snyder, Texas ¯ Sugar Land, Texas ¯Sachse, Texas ¯San Jose, California o Seatac, Washington o Seattle, Washington o Shelby County, TN o Sioux City, Iowa o Snoqualmiel Washington o Southlake, Texas o Spokane, Washington ¯ Springfield, Ohio o Springfield, Oregon ¯ Sugar Land, Texas ¯ Somervine, Massachusetts City Manager City Manager Assistant City Manager (2) Chief Financial Officer City Manager Assistant City Manager Assistant Director of Aviation Operations Deputy Director of Animal Services Deputy Director, Community Facilities Development Deputy Director, Community Services Director of Office of Community Development Director of Parks, Recreation & Neighborhood Services Director, Workforce Investment Act Employee Relations Manager (2) Fire Chief (2) Gaming Control Administrator City Manager Capital Planning & Development Division Director Chief Engineer, Seattle City Light Chief Operating Officer, Sealtle City Light Contracts & Concessions Manager, Seattle Center Deputy Superintendent, Electrical Services Director, Drainage & Wastewater Utility Director of Engineering, Seattle Water Department Director of Operations Director of Water Quality Water Department, Affirmative Action Administrator of Planning Executive Director of Economic Development Public Works Director City Administrator Deputy Director of Public Safety/Chief of Police Services Director of Planning Chief Administrative Officer Director of Management Information Services Risk Manager City Manager Finance Director Development Services Director Human Resources Director City Attorney Finance & Administrative Services Director City Engineer Assistant Utilities Director Fire Chief Police Chief © 2008-The Waters Consulting Group, Inc.Page ¯ 26 ¯ Sunnyvale, California ¯ Surprise, Arizona ° Temple, Texas ¯ Ten-ell, Texas o Texas Municipal Retirement Services (TMRS) ¯ Thornton, Colorado Assistant Director of Public Safety Assistant to the City Manager City Clerk (2) Community Development Director Deputy City Manager- Organizational Effectiveness Human Resources Director Director of Public Safety Fire Chief Police Chief Director of Planning City Manager Fire Chief Police Chief Executive Director Director of Human Resources City Attorney Community Development Director (2) Economic Development Director Finance Director Human Resources Manager Tomball, Texas City Manager Tucson, Arizona Convention Center Director Director of Water Utilities University Park, Texas Deputy Fire Chief Police Chief VIA - San Antonio TX Rapid Vice President of Operations Transit Authority Vice President of Strategic Initiatives Director of Audit and Measurement Victoria, Texas Police Chief Virginia Beach, VA Assistant City Manager/CFO Chief Development Officer Director of Planning Director of Public Works Waco, Texas Chief of Police City Manager Walla Walla, Washington City Manager Wallingford, Connecticut Director of Public Utilities Washougal, Washington City Administrator Police Chief Public Works Director Weatherford, Texas City Manager Director of Economic Development West Des Moines, Iowa City Manager Information Services Manager Public Works Director West St. Paul, Minnesota City Manager Westminster, Colorado Finance Director Planning Manager Woodbury, Minnesota City Administrator Wichita, Kansas Airport Director © 2008-The Waters Consulting Group, Inc.Page ¯ 27 Wrangell, Alaska City Mana~,er~, Yakima, Washington Wastev~ater~, Treatment Superintendent Yuma, Arizona Director of Parks and Recreation Director of Human Resources © 2008-The Waters Consulting Group, Inc.Page o 28 The professional fee to conduct the recruitment is provided below. Expenses are not included in the professional fees and are billed separately as incurred. Project-related expenses will not exceed $9,500.00 and include such items as: job posting and advertising fees on various web sites and classified advertising fees in printed publications; consultant travel expenses; criminal history/crediffdriver’s license checks; printing and production of necessary materials such as brochures, profiles and final reports; transportation; telephone fees; shipping and postage and video conferencing fees. Travel expenses incurred by candidates for on-site interviews with the client are not the responsibility of Waters-Oldani and are handled directly by the organization. The professional fee will be billed in four installments; 30% of the tee will be billed at the beginning of the search; 30% at the implementation of Phase II; 30% at the implementation of Phase III; and the final 10% upon acceptance of offer by the candidate. If candidates from this recruitment process are selected for another position within your organization within one year of the close of the recruitment, a fee of 50% of the above mentioned proposal amount will be due to Waters-Oldani Executive Recruitment. If selected for this recruitment, Waters-Oldani is willing to negotiate a not-to-exceed amount, including expenses, if requested by your organization. All questions regarding the professional fees and project- related expenses should be directed to Chuck Anderson, CEO of Waters-Oldani Executive Recruitment Division at canderson@ watersconsultin~.corn or via phone at 817.965.3911. PHASE Phase I Phase lI Phase III Conclusion DESCRIPTION OF PROFESSIONAL SERVICES Task 1 - Recruitment Brochure Development & Advertising Task 2 -Execution of Recruitment Strategy and Identification of Quality Candidates Task 3 - Screening of Applicants and Recommendation of Finalists for On-Site Interviews Task 4 - Background Checks/Reference Checks/Academic Verifications Task 5 - Final Interview Process Acceptance of offer by candidate TOTAL PROFESSIONAL FEES $20,500.00 OPTIONAL SERVICES FOR CONSIDERATION FEES Additional work related to the search process and as specifically requested by the client which is outside of the scope of this project (i.e. additional onsite meetings) is additional. The fixed professional fee for this recruitment anticipates no more than four onsite consulting days with one consultant. However, we would be pleased to provide additional onsite consulting visits for our standard daily rate of $1500 plus expenses. The fixed fee proposal for professional fees includes up to ten CareerNavigatorTM reports. For any reports requested over ten, the fee will be $350.00 per report. $1500.00 per day plus expenses $350.00 per report over 10 © 2008-The Waters Consulting Group, Inc.Page o 29 The City of Fort Worth, Texas seeks an experienced manager and leader as the next... CITY MANAGER FORT WORTH THE COMMUNITY Fort Worth is the fifth-largest city in Texas, and the seventeenth-largest in the United States. It was voted one of "America’s Most Livable Cities" in 2004 and was recently recognized as one of "America’s Safest Cities". With an estimated 2006 population of 661,850, Fort Worth has been the fastest-growing large city in the U.S. since 2000. The Dallas-Fort Worth metropolitan area has an estimated population of 6.5 Million and is the second fastest-growing metro area in the U.S. behind the Atlanta metro area. Established in 1849 as a protective Army outpost on the foot of a bluff overlooking the Trinity River, Fort Worth’s Western heritage remains a part of its character. This is especially evident when authentic cowhands drive a herd of Longhorns daily down Exchange Avenue in the National His- toric Stockyards District, and when one visits the galleries of the famous Amon Carter Museum with its superb collection of Frederick Remington, Sid Richardson and Charles Russell paintings and sculptures. "Cowtown," as Fort Worth is known from its association with the West’s legendary cattle drives, has become the home of a wide mix of people with diverse backgrounds and interests. Whether your interests are cultural, culinary, athletic, enjoying one of the world-class parks or the botanical garden, or shopping, you will find it available in Fort Worth. And, as Fort Worth addresses issues of rapid urban growth, it is determined to protect the "small town" atmosphere, civility and hospitality. Three interstate highways, five fed- eral and four state highways provide access to and from the rest of the nation. The City is also served by two general aviation airports, an industrial airport, and Dallas-Fort Worth Inter- national Airport that is co-owned by the two cities. In addition, Fort Worth is served by six major railroad sys- tems, including rail passenger service provided by AMTRAK. The vibrant local economy blends its cattle and oil and gas heritage seamlessly with an ever-growing and diverse array of new businesses and industries, including aerospace, education, conventions and tourism, financial services, and high-tech ser- vice transportation that, together with its central geographic location and skilled labor force, have established Fort Worth as a major national and in- ternational product distribution center. Fort Worth’s Cultural District consists of world-class museums, including the previously mentioned Amon Carter Museum, and the Kimbell Art Museum, internationally renowned for the quality of its pemaanent collec- tion and special exhibitions. Located nearby is the Modem Art Museurn, the second largest conternporary art museum in Arnerica, the Fort Worth Museum of Science and History, the National Cowgirl Museum and Hall of Fame, the internationally-recog- nized Equestrian Center, and the Will Rogers Coliseum. Other cultural offerings include the Texas Ballet, Fort Worth Symphony Orchestra and the Fort Worth Opera housed in the world renowned Bass Performance Hall. This magnificent facility is also the home of the Van Cli- bum International Piano Competition. Fort Worth has superior public, pri- vate and parochial pre-Kindergarten through higher education institutions, including Tanant County College, Texas Wesleyan University, and the nationally-recognized Texas Chris- tian University. With 25 hospitals and 4000 beds, the area’s medical facilities, professionals, research, and technology are superb. Fort Worth’s political, business and co~:mnunity leaders and its citizens have a strong belief in and passion for their City. While disagreements on civic policy do occur, the leader- ship places a high priority on public discussions and behavior that reflect civility and collegiality, and are fo- cused on what is best for Fort Worth. This phenomenon is what the locals refer to as "The Fort Worth Way." Fort Worth was established and devel- oped through the determined efforts, entrepreneurial spirit, courage, and sacrifices of countless men and women since 1849. The story of this arnazing City is truly an American saga. CITY ORGANIZATION Forth Worth has earned its reputa- tion of being well-governed and welt-managed. Incorporated in 1873, Fort Worth adopted the Council-Man- ager form of government in 1924. The Mayor is elected at-large by popular vote, and eight members of the City Council are elected from eight single- member districts. They serx, e for two years with no term limits. The Mayor, who is the official representative and chief spokesperson for the City, is a voting member of the City Council. In addition to appointing the City Manager, the Mayor and City Council appoint the City Attorney, City Sec- retary, City Auditor, Municipal Court Judges, and those who serve on city boards and commissions. As the Chief Executive Officer, the City Manager and a team of five As- sistant City Managers are responsible for the day-to-day management of a full-range of services through the Department Directors and over 6,200 employees. The approved 2006-2007 budget for the General Fund, together with all Enterprise Funds (excluding internal service funds and insurance funds) totaled $931,558,602. The principal sources of revenue are the local property tax, sales tax and fees from the utility enterprises. In addition, Fort Worth is geo~aphically positioned on an extensive network of natural gas wells, "known as the Barnett Shale, the royalties from which are expected to produce over $700 Million for the City during the next twenty years. Strategic Goals The Mayor and City Council have established the following Strategic Goals for Fort Worth: "Become the Nation’s Safest Major City ¯Create a Cleaner and More Attractive City " Diversify the Economic Base and Create Job Opportunities " Revitalize the Central City Neighborhoods and Commercial Districts Pro~note Orderly Growth in Developing Areas Ensure Quality Customer Service hnprove Mobility and Air Quality CURRENT ISSUES The next City Manager will be expected to provide informed leader- ship, advice and assistance to the Mayor and City Council in addressing several key organizational and com- munity issues, including: Financial Management The City retained an outside consult- ing finn to conduct an Operations Review of the Finance Department. The report was submitted in August, 2006, which focused on all Divisions and services within the Depart- ment with a primary emphasis on transaction-heavy activities within Accounting, Treasury and Purchasing. Improvements were recommended in the areas of executive and policy oversight; internal controls; account- ability for performance and results; information technology and financial accounting software; and succession planning. City, management and the finance staff have developed and are now implementing an action plan to address the recommendations In addition, the City, is reviewing op- tions to address an unfunded liability, within its staff retirement plan and staff retiree health care plan. promoting economic growth; meeting the needs of a growing population with services and infrastructure; revi- talizing the central city with housing and retail and balancing the growth in the core with the developing outlying areas; developing multiple growth centers that include mixed-use urban villages and optimizing the Trinity River - through an ambitious project known as the Trinity Vision - with a comprehensive plan for the river on which Fort \Vorth was founded. This vision for Trinity Uptown will reshape and renew underutilized areas in and around downtown. An exciting and ambitious plan is undepa, ay to create opportunities for convention activity and tourism. To support this plan is a recent $80 million expansion .to the Convention Center and two major downtown hotel developments. In addition to the new convention events being booked, preparations are being made to ac- commodate the NFL Super Bowl in 2011, which will be held in the new Dallas Cowboy Stadium in the adja- cent City of Arlington. Employee Relations There is an increasing divide between employees under Civil Service (Police and Fire) and the general em- ployees which is principally, related to compensation and retirement is- sues. Recently, the police employees achieved through a successful petition campaign and referendum the right to meet and confer with management over compensation and benefits. Ac- tive consideration is now underway among the firefighters to seek collec- tive bargaining rights. Growth and Development Approximately 143 square miles or 41% of the City’s land area is vacant and is ready for development. In response to the soaring growth trend, the City; has developed and approved a Comprehensive Master Plan to serve as a guide for development dur- ing the coming decade and beyond. The key elements of the Plan include i z? <:: I ~0~ o~ o0~ legislative authority to increase the local sales tax through local options to fund this plan. Deferred Maintenance/Infrastructure The City has a growing backlog of deferred maintenance and infrastruc- ture improvements, which is nov,, estimated to be approaching S1.5 Billion. The challenge is to develop a financing plan to address these needs and balance them with the growth and development pressures for new infrastructure. Socia!!Economic EquiDT Fol-t Worth has a vibrant economy and a high-quality of life for most citizens, yet thousands live in poverty, and struggle with unemployment and many social problems such as domes- tic violence. Inadequate health care has created severe medical problems for many, including a high rate of infant mortality. A number of citizens live with unacceptable infrastructure in substandard housing, or are home- less. An action plan is underway to address these critical needs, including a ten-year plan to end homelessness, which will require the collaborative efforts of the City,, the business and corporate community, and non-profit faith-based and social service groups. Mass Transit Given the forecast of population growth and automobile traffic in Fort Worth and the D-FW metro area, alternatives to the automobile will be essential to preserve and enhance mobility for people and cargo. Bus service is provided by the Fort Worth Transportation Authority (The T) and commuter rail sets, ice between Fort Worth and Dallas by the Trinity River Express, owned jointly by The T and the Dallas Area Rapid Transit (DART). The challenge will be to implement a mass transportation net- work to link regional activity centers between Fort Worth, the D/FW metro area, and D/FW International Airport. Regional efforts are underway to seek CANDIDATE PROFILE The successful candidate for this position must be an agent for respon- sible change, not a maintenance man- ager of the status quo. He/She will be comfortable working in a complex, fast-paced environment where the dynamic opportunities for growth and economic development can either be achieved or lost depending upon the leadership, management skill and business acumen of the City Manager. Given the superb opportunities for growth in Fort Worth, the next City Manager must possess experience managing growth and development effectively within a large urban environment. The candidate will demonstrate a con- servative stewardship of public funds by ensuring that the first priority is to focus on high-quality basic services, maintenance of infrastructure, and the safety of the Fort Worth citizens. In addition, the candidate will possess a thorough understanding of municipal finance and budgeting, and shall re- quire an expeditious implementation of the operating improvements within the Finance Department that are now unde~,ay. An indisputable reputation for high standards of ethical conduct, integrity and honesty is essential. Moreover, the next City Manager must have a track record of professional respect from professional colleagues, employees, -- co~Tununity leaders and elected officials. The successful candidate will be a strong leader of city staff. In addition to setting high standards for staff ~ integrity and performance, with a particular emphasis on high-quality customer service, he/she will estab- lish clear objectives tied to the City’s Strategic Goals and then hold staff accountable for achieving positive results. The ideal candidate will be a strategic thinker, but also decisive, wise and judicious, and able to make the "tough calls" when required on personnel and financial matters. The next City Manager will work to bridge the divide that is developing between the Civil Service employees (Police and Fire) and the general employees that is related primarily to matters of compensation and benefits. He/She will also have experience working effectively with employee groups, associations or unions, and possess an understanding of the benefits and limitations of labor-management negotiations. In addition to being the Chief Ex- ecutive Officer for the municipal corporation, the next City Manager will be expected to establish an open and supportive relationship with the Mayor and City Council where he/she understands and respects their governing role and will provide them with thoughtful recormnendations backed by thorough research and credible evidence. Having the courage to tell the Mayor and City Council the "unvarnished" truth about the impli- cations and impacts of policy issues and actions is expected by them and important to them. The successful candidate will be comfortable working in a cornmu- ni’ty where the minority population is growing. Respect for diversity and recognizing and appreciating the racial/ethnic differences among citizens and groups of citizens will be essential for the successful candidate. Being approachable and able to com- municate with all citizens, notwith- standing social or economic condition, are required personal characteristics. Successful experience working with community groups to improve job opportunities, housing and medical care for economically-disadvantaged citizens will be important for the next City Manager. Having an astute understanding of politics without being political will be important for the next City Manager. There is an expectation that the City Manager will represent Fort \Vorth be- fore cormnunity groups, neighborhood associations, and in regional, state and national venues and be able to con~nu- nicate in an articulate and compelling manner the City’s vision, policies and plans that have been approved by the Mayor and City Council. ~DUCATION EXPERIENCE The successful candidate must hold an undergraduate degree in public or business administration or a related field. A graduate degree is preferred with at least ten years of progres- sively responsible work experience in city management. Experience as a City Manager or Assistant City Manger within a large urban city or count?, (population-250,000+) with a Council-Manager form of governrnent is required. Some private business ex- perience, though not required, would be beneficial. COMPENSATION ,~ BENEFITS The starting salary and benefits are highly competitive and negotiable, depending upon the experience and qualifications of the successful can- didate. An automobile allowance and relocation assistance will be provided. APPLICATION PROCESS Qualified candidates please submit your rdsumd online by visiting our website at www.watersconsultin~l.com/recruitment This position is open until filled; however, the first review of applicants will take place on October 8% 2007. Following the first review date, rdsumds will be screened against the criteria outlined in this brochure. Candidates with relevant qualifications will be given preliminaI3, interviews with the Consultant. Those deemed qualified will be referred to the hiring author- ity for further consideration. Final interviews in Fort Worth, TX will be offered to those candidates nalned as finalists, with reference checks conducted after receiving candidates’ permission. The final inteB, iew process will be held in early to mid-November 2007. For more infomaation please contact Chuck Anderson by calling 817.965.3911 or by visiting our website at www.wate rs c o n s u Iti n 9 .corn The City of Fort Worth is an Equal Opportunity Employer and values diversi~, at all levels of its workforce! Applicants selected as finalists for this position will be subject to a criminal history/credit/drivers license check prior to interview. Under the Texas Public Information Act, information from your r6sum6 may be subject to public disclosure. APPENDIX ¯ B CITY OF SAMPLE, TEXAS CANDIDATE QUESTIONNAIRE EXECUTIVE SEARCH FOR CITY MANAGER JOHN DOE John Doe 5555 Broadway Drive S.W. Home Phone: 555-777-1111 Business Phone: 555-777-1111 Mobile Phone: 555-777-1111 E-mail: johndoe@internet.com (All examples included herein are fictitious.) CURRENT TITLE AND ORGANIZATION NAME REPORTS TO (TITLE) POPULATION SERVED STAFF/BUDGET EDUCATION AND LICENSES CURRENT SALARY City Administrator City of Midamerica Mayor and City Council 50,000 $10 Million, 20+ employees Bachelor of Science in Public Administration American State University 1979 American Institute of Certified Planners # 0000001 State Professional Community Planner License # 000000001 1.Please tell us why you are interested in this position and why you are looking to make a move right now? We would like to relocate to the Midwest Area where there is limited air pollution, crime, and traffic congestion, and where the culture of small town America blends well with the active, sophisticated college arena. We have been in the town countless times and feel very comfortable there. We truly enjoy the friendliness of the people, the work ethic and culture of persistence and intelligence. And we have always been extremely impressed with the way the community works together to host a major festival every year, yet it appears on the surface to be a seamless effort for those of us visiting and enjoying your community. 2.Please describe your current scope of responsibilities.List the municipal services provided by your organization. Responsible for municipal administration for the City of Midamerica. Municipal services that are provided: water, sewer, police, fire, planning, economic development, engineering, community development, building inspection, zoning. 3. How would others characterize your communication style - both formal and informal? Informal, always ready to listen to others and to understand their questions and concerns whether I am in my office, at lunch at a restaurant or pumping gas in my car. But when necessary I can be very formal and present a strong demeanor, depending on the circumstances. WATERS-OLDANI EXECUTIVE RECRUITMENT PAGE TI IIS I)()CL!MENT OR ANY P()RTI()NS OF "Fills I)OCUMI!NT IS NOTTO BF. I1F. PI1OI)I.JCEI) FOR ANY REASON WITHOUT "l’l IF. WRI’!-I’EN (.~ONSENT OF THE ~t\TERS CONSULTING GROUP, INC. APPENDIX ¯ B CITY OF SAMPLE, TEXAS CANDIDATE QUESTIONNAIRE EXECUTIVE SEARCH FOR CITY MANAGER JOHN DOE 4. Please describe your management style. How do you get things done? I am a roving manager who goes from place to place; I visit employees in their work areas to see how the operation runs and to talk to both supervisors and employees. I am a leader who relies on employees to do their jobs as the field experts in their particular area of the city. It is my responsibi!ity to be sure that they have the tools, resources and training to do their jobs well. I do not micro-manage but do work with department supervisors to set proper and realistic priorities, always being ready to adapt to a changing environment. 5.What kind of feedback have you received from people you work with regarding your strengths and weaknesses? People have told me that they see me as very honest and ethical, that I understand my profession well and am very capable, I see long-term cause and effect relationships, and that I like and truly care about people, our organization and our community. People who work closely with me also have noted that I get so wrapped up in work that I can be a workaholic. People like the fact that we have weekly information meetings where information flows from the Manager’s office to every city employee and from every employee back to the Manager. The two-way communication flow is critical to any organization and my coworkers like the fact that I do want to hear what they have to say and that I do )ay attention to them and value their input. 6. What role do you play with the City management team? City Council? Citizens or citizen groups? I am the leader of the management team. I execute policies of the City Council. Information list/bullets are sent to the Council on a weekly basis to keep them informed of what is happening that they need to be aware of. If there is a "hot" issue, I immediately call each Councilperson to make them aware of the issue and what we are doing to handle that issue. If there is nothing at all happening, no bullet list is sent. All information is shared equally with ALL Council People (if one Council Member asks for some sort of information - everyone will receive that information). I believe in being an active listener and always responding to citizen’s concerns or questions regardless of if I am pumping gas in my car, having lunch at McDonald’s, or have been invited to speak to some citizen’s group or organization. People who are kept well informed about what is happening within their City are much more supportive of the organization, and as a result, there are fewer problems for the City overall. 7. Describe major projects you are currently responsible for. Economic development - business attraction and retention; tourism (greenway trails & bluewater trails), river walkway with scenic outlooks; industrial park development. 8.Please describe your experience with economic development initiatives? How have you successfully marketed your city? I am very active in various development programs in my state, and I personally work with developers interested in coming into the City, and with the retention of existing businesses. It is very important to bring in new businesses, but so very critical to also work to retain and support your existing businesses who have been loyal to the City. \VATERS-OLDANI EXECUTIVE RECRUITMENT PAGE 2 APPENDIX ¯ B CITY OF SAMPLE, TEXAS CANDIDATE QUESTIONNAIRE EXECUTIVE SEARCH FOR CITY MANAGER JOHN DOE 9.Please provide examples of recent strategic, long-term and comprehensive or master planning you have been involved with. My previous employer was a professional private consultant. I did numerous strategic, .long-term, and comprehensive or master plans for communities statewide. I am a member of the American Institute of Certified Planners, and a licensed Professional Community Planner. 10. Describe your exposure to labor contract negotiations. What has been the result? I have successfully negotiated numerous contracts that have benefited both the employees and the organizations. 11.Please discuss your experience with university communities. Describe challenges and successes. Major colleges and universities in the area are Midamerica College, Local College, and the State University; there are numerous other smaller community or faith-based colleges also in the metro area. As a Planner I worked with State University as it relocated it’s campus to the central business district of the City; with Local College as it expanded it’s campus in the Metropolitan Area; and with Midamerica College while it was seeking Historic Preservation Status on the National Register in the Metropolitan Area 12.Please describe any additional areas of expertise or experiences/project involvement you have/have had that are relevant to the position for which you are applying. I am an experienced administrator with many successes including, but not limited to, a new City Hall, new Ice Arena, very successful contract negotiations, crisis management, and private sector project management experience. WATERS-OLDANI EXECUTIVE RECRUITMENT PAGE 3 APPENDIX ¯ C PORT OF SA_MPLE DIRECTOR OF PORT SECURITY SEARCH CONFIDENTIAL REFERENCES FOR JOHN DOE CONFIDENTIAL REFERENCES Reference Relationship: 1. Current peer 2.Former colleague 3.Former supervisor 4.Port labor official 5.Former colleague 6.Former colleague Questions 1.What is your professional relationship to the candidate? How long have you known them? What do you consider to be the candidate’s greatest strengths as a professional? Answers 1.I have known him since 1995; when he was the Captain. 2.I met him in 2000 while he was Captain of Port; rescues were cooperative ventures, and we became personal friends. 3.I have known him for 3 to 5 years; I met him as he was Captain of Port; supervised him. When I retired, the new manager wanted to reduce emphasis in first responder work; they looked at the direction the company was headed and his job texture changed. 4.I have known him for 6 or 7 years. I do all port security for unions on the west coast and meet a lot of Port Captains - he’s the best I ever met. 5.I worked with him when he was Captain of Port; helped start the port security committee - about 5 years in all. 6.I have known him over the last few years; mainly as a maritime representative and being heavily involved in port security grants. I reviewed grants with him as Captain of Port and worked with him on various port security grant issues. 1.He is one of the strongest leaders I have ever known. He participated in all types of activities and organizations and I have found him to be superb in his leadership. He is innovative and an idea person. People enjoy working with him; he is a visionary and can see where we will be in the future. He is strategically in contact with that goal and knows how to move toward that goal; he is very personable; people trust him. As captain of port, he had management of both ports on an even keel in supporting security programs that were at odds. He knew how to handle one versus the other and knows the shipping industry. He worked with labor as Captain of Port and put labor leadership into a position of knowing what to expect, which was unheard of at the port. He has lot of support at the labor level and with congressional leadership; also, management supports him. I know how to manage security without slowing down commerce; he has a good sense of priorities. He understood the cost-effectiveness of security WATERS CONSULTING GROUP, INC.PAGE What might we hear with regard to their weaknesses? Criticisms? Describe his problem-solving and decision making style and abilities? How does he/she involve others in the process? APPENDIX ,, C PORT OF SAMPLE DIRECTOR OF PORT SECURITY SEARCH CONFIDENTIAL REFERENCES FOR JOHN DOE operations; he is a wise and strong leader. I would hate to lose him as a business partner; he would provide leadership and direction to the Commissioners. On a scale of I to 10, he is as close to a 10 as you can get. 2.Character and leadership; he brought everybody to the table and created a cooperative environment related to security. He had the vision and leadership to bring all together. 3.He i.s really good with people and understands the requirements of a port and what it needs to operate. He is one of four or five top experts in the country. During 9/11 he was in charge of the port as Coast Guard Captain; I would absolutely recommend him. 4.Leadership. 5.Leadership - he was a "Churchillian" figure when the port was down. He has a good sense of working with industry,, directing others and keeping their cooperation. He worked well with reds, and has a lot of diplomacy. He is level headed, mellow, and even-keeled. He knew shipping. 6.He has an ability to bring others together and has strong leadership. He knows how things work in the industry and federal government. 1.There are always flaws in anyone’s skill set; he understands security, extremely, well. He understands the steps to get there, and understands the business principles. He is very personable -maybe there is a time when you may, not want to include some - but he is such a visionary. 2.A stretch - but he is too willing to take blame. He would shoulder the entire responsibility, no matter what the circumstances. 3.I was very pleased with his work and didn’t worry about him. 4.None I can see - he is great. 5.The only thing is that he has born the brunt of some resistance because he is too nice - needs to give tougher aura. 6.None I have experienced. 1.See question number 2. 2.He is a visionary, and a synergist who brings the best out of people. He can guide and direct people and keep them on point; but he will make a decision and stand by it. 3.Consensus - brought all on board. 4.N/A 5.He made high level decisions and he let others make lower level ones. He was very timely,, level headed, and provided a strong response. 6.While observing him when he was Captain of Port he worked well under trying circumstances and he gained the respect of the industry,. WATERS CONSULTING GROUP. INC.PAGE ,, 2 APPENDIX * C PORT OF SAMPLE DIRECTOR OF PORT SECURITY SEARCH CONFIDENTIAL REFERENCES FOR JOHN DOE How would you describe his management style and abilities? Do you consider him!her to be an effective leader? Please describe their experience in the areas of internationa! relations such as working with foreign governments, port authorities and businesses. Please describe their experience in dealing with issues such as port of origin security or related issues. How would you rate their communications skills, both oral and written? Do you consider him/her to be a good listener? Why, or why not? Tell me about how well he/she manages relationships with the other department directors? Staff? How well does he/she respond to requests for assistance? 1.See question number 2. 2.We thought so highly, of his management style that we asked him to ~ive a seminar to the County Fire Department management (almost 500 attendees). 3.He had a staff of three and a limited role in that regard. 4.He ran as tight a ship as it should be run. 5.Very strong and very effective leader. 6.There is a tremendous respect for him by his employees as he sees what is needed to be done and finds a way to get it done. 1.He is a top-notch expert, no shortcomings. 2.Unsure. 3.He was instrumental in efforts in Italy, in working with the Port Commissioners; he knew the International security, regulations. He also helped in the Pacific Rim, specifically, in Hong Kong and in South America with business development (Brazil). 4.He has worked in Asia, and all over the West Coast - he knows the players and the business. 5.In Monterrey as the Executive War Game, there was an international flavor but I never dealt with him in that arena. We dealt with boarding of foreign flag ships. 6.None I have observed. 1.Again, top notch, very well versed. 2.Unsure 3.Especially, in Hong Kong, this was a major point of exit as opposed to point of entry. 4.He was very much involved. 5.Not except to discuss - he seems very knowledgeable. 6.Yes, he seems very knowledgeable. 1.Excellent in any venue. 2.I am unsure of his written skills but his oral is superb. He is a very smart man; he speaks without notes, and has good wit and humor. 3.Orally and written are excellent; he gives excellent presentations. 4.He is a ten on a ten point scale. 5. Effective - he displays a real compassion and passion for what he does which makes others listen. He is disarming in his genuineness and sincerity of his communication. 6. Outstanding, he has demonstrated that throughout his career; he can communicate up and down and get his point across compellingly. 1.No issues; it would be a marriage made in heaven. I would highly recommend him and all he has been involved with have the highest regard for him. The Port would be pleased as well; he would bring Port community together. N/A 3.Consensus oriented, he has no issues. He got radiation portals WATERS CONSULTING GROUP, INC.PAGE ¯3 10.What is the most significant contribution that he/she has made to the organization? 11.In your opinion, why is he/she looking to make a move at this time? 12.Are you aware of anything in his background that would be embarrassing to a prospective employer if it became public knowledge? Any personal behavioral, legal or ethical or political problems? 13.Would you work with him/her again in the future? APPENDIX ¯ C PORT OF SAMPLE DIRECTOR OF PORT SECURITY SEARCH CONFIDENTIAL REFERENCES FOR JOHN DOE implemented. 4.He is well respected, well regarded; causes no problems. 5.N/A 6.N/A 1.He has the expertise and the credibility he brings to the organization or the task at hand is high. 2.See number 2. 3.He brought the organization into military program successfully; he helped get grants award at the Port, and retained the Deputy Fire Department to evaluate products and helped to prevent losses. 4.He got us through 9/11. 5.What he did to protect an keep open commerce during 9111. 6.I am not sure about MARSEC, but as Port Captain, he significantly advanced the stature of port security, and got the port security committee up and running. He reached out to the federal agencies. 1.The position sought him and he is uniquely suited; a return to public service intrigues him. He knows public policy and how to make it effective; he may miss that part of his work. He is intrigued by being in an arena at the largest port complex in the nation. He has the calling for the public sector though has not completely made up his mind. He has the desire to serve and be an effective leader; he wants to be in the eye of the tiger, and set the benchmark. 2.He has so much experience in that arena; it is a natural fit. He can make a difference. 3.He likes living in the area; the job fits with his background. He has high energy,. 4.I don’t know why, but he is a perfect fit. 5.Not really, perhaps due to travel and family; he loves serving. 6.He would do very well. 1.None at all; he has the highest of character and credibility,. 2.None that I am aware of personally or professionally,. 3.None. 4.Nothing. 5.Nothing. 6.Nothing at all" he has the highest level of integrity,. 1.Absolutely; any time I will continue to work with him if not selected for this position. 2.In heart beat; we would be lucky to have him. 3.In a New York minute. 4.I could not ask for anything better than having him here. 5.It would be great; I would relish it. 6.Absolutely,, without hesitation. grATERS CONSULTING GROUP. INC.PAGE APPENDIX " D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) INTERVIEW SCHEDULE FOR THE CITY OF SAMPLE F riday November 2007 Time 7:45 - 8:00 9:15- 10:15 10:30- 11:30 11:30- 12:15 12:15 - 1:15 1:30 - 2:30 2:45 - 4:00 Panel Members (HR Conference Room)(City Mana~ter’s Office) Consultant To Arrive Early For Set Up and Preparation John Smith Janie Marie Doe City Manager and Lead Consultant Janie Marie Doe John Smith Working Lunch - Served in North Library Jose Ramirez Barry Washington, III Barry Washington, III Jose Ramirez Debrief with City Manager and the Selection Panel (HR Conference Room) THE WATERS CONSULTING GROUP, INC.Page, 1 APPENDIX * D SAMPLE FINAL CANDIDATE REVIEW(ABBREVIATED FOR REVIEW PURPOSES ONLY) SPECIAL NOTE: The following is the write up for one candidate only. However, in an actual final report, all final candidates would be represented appropriately. In addition to this write up and schedule, the reference summary, background investigation, copy of resume and cover letter and all other pertinent candidate information would be included in order to provide a full and complete picture of the candidate. It should also be noted, that all names have been changed in order to protect the identity of the candidate in this particular example. CITY OF SAMPLE ASSISTANT TO CITY MANAGER EXE CUTIVE SEARCH INTRODUCTION The structured interview can be the best tool for evaluating candidates for a position with the City, particularly in today’s litigious society. This report has been prepared to assist interviewers with this most important process by providing guidance and suggestions for interview questions for the candidate for Assistant to the City Manager. The specific questions have been prepared based upon the profile and competency analysis developed for this position and are included in this booklet in each candidate’s section. LEGAL ISSUES In preparing for the discussion with the candidate, it is important to remember the selection interview is a very critical part of the employment process and is covered by anti-discrimination. SUMMARY OF PROTECTED CLASSES The purpose of state and federal laws regarding discrimination in employment is to insure hiring decisions are based upon the applicant’s ability to perform the job, not on arbitrary factors APPENDIX * D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) unrelated to job performance. In general, it is unlawful to base a decision to hire or not hire an applicant on any of the following criteria: race, color, national origin, gender, marital status, age, religious beliefs, pregnancy status, children, disability not related to job performance, or family background. Questions based upon any of these elements may open the City to potentially costly claims for discrimination. It is illegal to base a decision on one of these criteria even if the information is obtained outside of the interview process, or inadvertently during the interview. The development of specific interview questions not only assures all important aspects of the job are covered during the interview; it helps to insure that interviewers avoid potentially dangerous subjects. SUGGESTED QUESTIONS As you prepare for the interview you may want to develop additional questions based upon your review of the candidate’s resume or the background material. Those candidate-specific questions might probe subjects such as: o Explanation of voids in time; Short tenure in a position; Explanations of apparent weaknesses in experience or education/training; and Clarifications for anything that is not clear. INTERVIEWING TECHNIQUES In general, open-ended questions that require candidates to answer in sentences are preferable to closed-ended questions that can be answered with one word or yes or no answers. Open ended questions encourage the applicant to: o Express goals, values, qualifications, or feelings; THE WATERS CONSULTING GROUP, INC.Page*3 APPENDIX ¯ D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) Exhibit his/her ability to communicate; o Provide additional information regarding experience and background; and Probe "choice points". Limited use of directive (closed-ended) questions can be used to gather information that is factual and objective. o Examples of open ended questions: How do you handle...? What do you do if...? How do you feel about...? What have you found to be successful in handling...? What are some examples of success in...? As the interview proceeds, it is important to observe how the candidate’s answers are delivered as well as the content of the message. The new Assistant to the City Manager will represent the City in the community. Body language and tone of voice are particularly important factors to notice. Probe for as many details as possible such as names, dates, and other verifiable information. It is also a good idea to ask candidates for their thoughts and feelings about a situation. ADDITIONAL QUESTIONS Often candidates may be somewhat brief in their responses. If you feel a need for additional information, the use of probing questions such as the following can draw out additional information: o Why did you say that? APPENDIX ¯ D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) Can you think of an example of that situation? Is there something noteworthy in your experience in this area? OTHER CONSIDERATIONS Other considerations include how the candidate handles the stress of the interview and whether he or she appears to be avoiding some area(s) of inquiry. Immediately after the interview, it will be helpful to note your overall feeling about the discussion and how you feel about the candidate. Remember, the best predictor of success in any position is previous success in the same or a similar position. You are looking for information about actual accomplishments and things the applicant has actually performed. APPENDIX ¯ D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) CITY OF SAMPLE, USA ASSISTANT TO THE CITY MANAGER SEARCH Final Candidate Profile Barry Washington. III (FINAL CANDIDATE #3 OFA TOTAL OF 4 CANDIDATES - THIS IS NOTA RANKING)] 123 Main Street Johnson, MI 66521 Residence Phone: 425.685.1111 E-mail: bwa@myemail.com CURRENT TITLE AND ORGANIZATION Grants Coordinator Human Service Division, Parks Community Services Department City of Johnson, Michigan Since 2001 REPORTS TO Human Services Manager Parks & Community Services Dept. POPULATION SERVED ] 82,000 residents SCOPE OF AUTHORITY Functions in a staff position administering $4.9 million in local and federal grants for Health & Human Services activities. APPENDIX * D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) REASON(S) FOR JOB SEARCH This highly, intelligent individual was a pleasant surprise and more than lived up, or surpassed, the expectations set through discussions with the Search Committee. In his current capacity as Grants Coordinator for the Human Services Division of the City of Johnson has been responsible for a wide variety of analytical and project management work. Ban-y’s communications skills and level of maturity also exceed expectations for someone at his level of employment. He is a genuine and sincere person with a strong commitment to public service and is viewed as being extremely 10yal to The City’s organization. Barry has an exceptionally strong work ethic, seems calm under pressure and is definitely interested in his work. However, it appears that he is working wel! below his overall capacity and needs new challenges. Barry’s long-term potential should be evident to everyone who comes into contact with this exceptional young talent. It appears that Barry has the respect of his colleagues and his superiors. The confidence expressed in his abilities and his involvement on a number of internal work committees have allowed Barry to gain a broader perspective on the operating practices and overall management philosophies in The City; his candidacy should definitely be advanced in order to see how he compares with more experienced candidates. Barry seems genuinely excited about continuing to serve the City of Johnson in what he perceives to be a demanding/challenging and fulfilling new role. He is a highly competent analyst who can also communicate successfully and persuasively with colleagues and the general public. Barry seems to thrive on conducting investigative research, complex problem analysis and gaining new efficiencies in governmental processes. He has helped to reduce the number of General Fund Contracts from 116 to 42, which represents a 64% decrease without the loss of contractual revenues to the City. Barry has almost ten years’ experience of high level staff support to City Councils, independent Boards/Commissions, citizen advisory committees plus business and neighborhood associations. He has also had the. opportunity to interface, on an ongoing basis, with City Council Members and community leaders. Over the last seven years he has worked closely with representatives from King County, as well as Eastside and North King County cities, to pool resources/funding for Human Services programs. There is no doubt that Barry possesses the fundamental skills required for the job and also has a passion for his work and the City of Sample that would be hard to match. STRENGTHS Barry has a strong background and functional knowledge in the areas of contract administration, funding processes, CDBG requirements and operational audits. He continually looks for ways to streamline processes and make day-to-day operations more efficient. Barry has the ability to understand the needs of his colleagues for technical assistance and he has been the primary contact for community based agencies involved in human services activities. He has a strong customer service ethic, which is appreciated by external contacts, his peers in other jurisdictions and his coworkers. He displays a strong ability to lead major projects and excels in effective and positive communications, including written and oral reports. Barry is responsive to the needs of his superiors and is highly regarded within the Parks & Community Services Department. He APPENDIX ¯ D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) has served as an excellent representative and liaison between the Human Service Commission and City Council. Barry has become a leader for the North/East King County cities participating in the Pooled Funding Project Contracts, which serves as a model for non-participating cities and other agencies in the region. Other major projects that he has worked on include the City’s Teen Programs and Facilities Plan and the Washington Recreation & Park Association Gold Medal Application process. Barry has also chaired the citywide employees committee. In addition, he has served on the City’s Communications/Web Team, "One Night Count" (of The City’s homeless population) and the Committee to End Homelessness. Barry seems to enjoy interfaces with neighborhood associations, community based human services providers, and small business owners throughout The City. He is genuinely enthusiastic about stepping up to the next level and working with the City’s decision makers. Other strengths can be found in his collaborative work ethic, ability to handle projects requiring significant visibility and his straightforward style. He is an individual with tremendous long-term potential and one who can continue to grow within The City’s organizational structure. He knows himself extremely well in terms of his own strengths and weaknesses; he realistically discussed the pros and cons of his candidacy with this Consultant and showed great maturity in doing so. Barry seems to be able to take on leadership roles in a team oriented environment and holds his ground with more senior managers/executives. He is self-motivated, conscious of his environment and understands the politics in The City. Barry has very strong technology based skills and constantly strives to improve his base of knowledge, in order to simplify work processes. Barry is recognized as a strong contributor within the Parks & Community Services Department. AREAS OF CONCERN Moderate to strong in regards to this candidate. Barry’s overall background has been somewhat narrow in focus, even though he has worked in four separate organizations during his ten-year career in government. His focus has been on application of CDBG funds, Human Services programs and aspects of economic development. He is quite youthfu! in appearance and obviously needs some seasoning, but this position is not far outside of his capabilities. He would have to stretch for the position, but most individuals with whom he has been involved will be highly supportive of his candidacy and strive to assist him and his efforts. There may be a danger in moving Barry too fast, and he realizes that others in the competition undoubtedly have higher levels of experience in their backgrounds. MANAGEMENT PROFILE Barry possesses a very strong customer service orientation and he enjoys being part of cultural and organizational change programs. He has dealt with highly emotional social and human services issues, faced high levels of animosity from neighborhood interests (while in Portland, Oregon) and been part of negotiating teams with high level business leaders. Barry does not shrin’kJmn from controversy and seems to handle pressure exceedingly we!l, even when dealing with highly volatile political situations or citizen groups. His verbal and written communications skills are well formulated, and he is factual in his presentations. Barry’s overall management THE WATERS CONSULTING GROUP, INC.Pageo 8 APPENDIX ’~ D SAMPLE FINAL CANDIDATE REVIEW (ABBREVIATED FOR REVIEW PURPOSES ONLY) profile and methodologies are still evolving, as he is early in his career. However, this engaging, friendly and serious-minded individual is the type of person who would do well in almost any environment. Ban-y’s critical decision-making skills have yet to be truly tested and patience would need to be shown while he develops critical relationships with the extended Leadership Team. Barry’s commitment to city government is to be admired and should be recognized by most everyone with whom he deals. He has a bright future with The City of Sample and could pursue several paths for career advancement. It will be interesting to see how he handles the competitive pressure that arises from being with candidates who clearly have more experience and higher levels of responsibility in their backgrounds. He is expected to handle himself well in the process, but may clearly come across as being "the junior candidate". Evaluators should not be mislead by his youthful appearance and may come to realize the fact that the longer time spent with Barry, the more one begins to appreciate his overall ability, talent and skill sets. SALARY INFORMATION Barry is currently earning $62,000 annually and his expectations would be in the high $70s to low $80s. There are no other unusual requests or conditions surrounding his candidacy. An Eastside resident there would be no relocation assistance anticipated. JO/October 2005 THE WATERS CONSULTING GROUP, INC.Page,9 CareerNavigatorTM Competency Model and Assessment* Senior Management Leadership Competency Selection Report with Structured Interview .for Suzanne Example 4/15/2005 Introduction Competency Overview Ability Results Personality Summary Personality Detail Interview Guide Making the Selection Decision Management Suggestions Personality Profile ~> ~.~, AT~.RS CONSULTING GROUP, 17NC. 5050 Quorum Drive, Suite 625 Dallas, Texas 75254 800.899.1669 www.watersconsulting.com ¯ CareerNawgator is a competency model based on the ASSESS Strategic Success Modeling and Personality Survey. Copyright 2003 Bigby, Havis & Associates, Inc. and David G. Bigby, Ph.D. All rights reserved. Senior Management Leadership Competency Model Jbr Suzanne Example 4/15/2003 Introduction Competency Overview Personality Summary Personality Detail Interview Guide Makina the Selection Decision Manaqement Sugc]estions Graphic Profile with Structured Interview C~pyrik, I r © 2003 Bigby. Hm,is & As.;t~iates, Inc. mtd David G. Bigby, Ph.D. All rik’hr.; reseta’ed. Suzanne Example I N T R 0 D U C T I 0 N SeniorManagementLeadershipCompetencyModel4/LS/2003 Confidentiality Because of the nature of appraisal information and tile dangers of its misuse, this report must be kept confidential and its contents restricted to those who have direct responsibility for decision making. This Selection Report should not be shown to or discussed with the candidate. The ASSESS Developmental Report has been designed for this purpose. How To Use This Report o Since everyone has strengths and weaknesses, special caution must be exercised to view this report as a whole. Be careful not to overemphasize specific statements, but rather consider this person’s overall suitability for a particular position in your organizational environment. ¯Many of the characteristics described in this report could be assets in some circumstances and liabilities in others. You will notice that a characteristic may appear as a strength in relation to one competency, but a weakness when considered in relation another competency. The report does not take into account the candidate’s background, training, or technical skills or experience. Therefore, the results do not measure personal effectiveness or the quality of job performance; rather, they’ describe characteristics that (along with these other factors) may influence .job performance. To minimize the chances of erroneous decisions, the contents of this report should be combined with information from other sources (for example: interview impressions, references, work experience, job competence, work habits, background, etc.) to gain a complete picture of this person. °Over time, people and organizations change. If several years have passed since the date of this report, it may be valuable to reassess the candidate. Remember, this person ,,,,,as evaluated at a particular age. stage of development, level of experience, etc. With the passage of time, the characteristics measured by ASSESS may have changed. Interpretation Assistance ASSESS is a computerized expert system that interprets test scores and writes reports for our clients in the same manner that Bigby, Havis & Associates psychologists would. The reports are designed to be read by managers without regular assistance from a professional. Occasionally, however, you may need additional interpretation assistance. See the ASSESS coordinator for 5,our organization to make arrangements. Feedback to the Individual Developmental Report: In addition to the Selection Report, a Developmental report is available. It is designed to be given directly to the individual and provides constructive feedback on test results, specific developmental suggestions, and a guide for writing a personalized developmental plan. C 0 M P E T E N C Y 0 V E R V I E W SeniorManagementLeadershipCompetencyModel4/LS~O03 Your company has identified a set of competencies important to .job success, Competency in an area is the result ot" many factors working together, which include innate characteristics (natural ability, personality) and learned characteristics (knowledge, experience and skills) as is presented in the following chart. People who have the right CO~T~petencies or who have a good potential for developing these competencies ,,’,’ill be able to do the right things (behaviors) to produce the desired results (effective outcomes). The ASSESS system has evaluated this candidate’s work related personality and abilities (if ability tests were administered) in relation to the Competency Model described on the following pages. The following report provides detailed results and judgments about how these innate characteristics may facilitate or hinder the display or development of the desired competencies and, ultimately..job effectiveness. Also provided is a competency-oriented interview protocol to use to evaluate the skills, knowledge and other learned characteristics important to this .job, as well as a general model for making a good decision from all sources of information. INNATE . LEARNED Natural Ability /Personal Knowledge /Skills / Learned Potential Characteristics Experience Abilities COMPETENClES BEHAVIORS EFFECTIVE OUTCOMES Suzanne Example P E R S 0 N A L I T Y S U M M A R Y SenicrManagernentLeadershipCompetencyModel4/]5/2003 Summary The following table is a summary of the match between this candidale’s personality results and the Competency Model. Details are provided in the Personality Detail section of this report. Please consider the following when interpreting these results: o The Match Summary presents the candidate’s percent match of personality, characteristics to the competency model. A strong match indicates a personality profile that tends to support the demonstration of competence. Conversely, a low match indicates a personality profile that may hinder the demonstration of competence in the specified area. o Demonstration of competence is impacted by other factors in addition to personality, -- such as knowledge, experience, natural ability,, and learned skills. Thus, high personality, match scores should not be regarded as a guarantee of competence. Likewise, low match scores do not prove a lack of competence. Avoid over-interpretation of scores. Match scores are provided as a general summary, of results small score differences are unlikely, to result in observable differences in behavior. o Match scores should not be interpreted as pass or fgi! indicators. Passing scores are not indicated nor should any, be inferred. Competencies 0% Visioning Decisive Judgment Championing Change Planning and Organ[zing Driving and Motivatin~ for QualityR~sutts Customer Focus integrity" Teamwork and Collaboration Coaching and Developing O~hers Interpersonal Communication Respecting Diversify= ASSESS Profila Match Summary 00% 58 70 50 62 75 75 70 62 67 : Ctmq*t’tt’t~ i~’.v ilot strtm~..I3" Iwlp~’d utlgnlents ure made by ASSESS ah,,t tht.xt. Suzanne Example P E R S 0 N A L I T Y D E T A I L SeniorManagementLeadershipCompetencylvlodel4/lS/2003 Reading The Competency Graphs: ¯For each personality characteristic, a distribution of possible scores (from less to more) is displayed in deciles (1-I0% = 1st decile, 11-20% = 2nd decile, etc.) using ten graph blocks. o This distribution is based on a professional norm group of approximately 40,000 respondents. o The candidate’s score on each personality characteristic is represented by the graphic character ~ o Overlaid on the normative distribulion, the colors and shading on the graph represent desirable and undesirable ranges on each characteristic for a particular competency. ¯Ranges in which a characteristic may hinder are marked with least shading ( [---] ). o Ranges in which a characterislic may, be a potential concern are marked in intermediate shading ( ~ ). °Ranges in v,,hich a characteristic may help are marked with most shading ~ ). o You will notice from the pattern of shadings that low scores are not necessarily bad and high scores are not necessarily good. o Also notice that the Helps and Hi~ders ranges for a characteristic may differ by competency. For example, a higher level of assertiveness may be more desirable for one competency than another. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior Managernent Leadership Competency Model 4/]5~003 Visioning ldent~’ing long-term goals and cl~ampianing the implementation of different or alternative ideas, based on best business practices~ Comments: Personality Implications for Visioning Serious-Minded, Restrained Asse~iveness ~ ~ ~ Reflective ~~ =~ Hinders o Her assertive nature should be useful when championing new ideas or a change of direction. Her interpersonal forcefulness should help her to build the organizationa! support or buy-in to transform ideas into action. o Her self-reliant style ’,;’ill help her to show initiative in championing her (and others’) ideas and vision. o As a result of her reflective style, she is likely to view issues from multiple perspectives. She should be capable of thinking broadly and considering long-term issues when setting goals and the direction of her group. ¯ Her slow work pace may hinder her ability to generate and champion ideas. ¯ She is impulsive by nature. She will commit too quickly to an idea or direction without proper consideration. o Her overly realistic nature may be a hindrance. Her approach will likely lack originality and innovation. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior Management Leadership Competency Model 4115/2003 Decisive Judgment Making good decisions h~ a timely and con.fident maturer within the context of general business and.financial princo~les. Comments: Decisive Judgment Hinders o Her assertive style will help her to confidently convince others of the reasons for and merits of her decisions. o Her fact-based orientation should lead her to analyze data and objective information before drawing conclusions. = She is self-reliant and should be comfortable making decisions on her own. She should be willing to take responsibility for important decisions rather than relying excessively on orders for support or guidance. ,, Her low level of restraint may lead her to react without sufficiently deliberating the consequences or potential outcomes of her decisions. ,, Highly practical in her thinking, she may overrely on past solutions rather than look for a new or different approach. Her ossertive so’le may allow her to convince others of her decisions, even when they are poorly thought out. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior ManagementLeadershipCompetencyModel 4/]5~003 Championing Change Taking action to s~q~port and implement change initiatives <fleetly’ely. Comments: Personality Implications for Championing Change Hinders o Her assertive style should help her to lead change efforts. She should be capable of influencing and persuading people to adopt nev,, courses of action. o She should remain positive and resilient even under difficult circumstances. ¯ Her slow work pace ,.,,,ill inhibit her ability to energize herself and others during a change effort. o Because of her low level of restraint, she may have a tendency to react too quickly. She may adopt or reject ideas without full consideration. ° Her very pragmatic orientation may, lead to an overreliance on how things have been done in the past. She may not be flexible and open-minded to new approaches or ideas. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior Management Leadership Competency Model 4/15/2003 Planning and Organizing Effectively organizing and plam~ing work according to organizational needs by d<finbrg objectives and anticipating needs and priorities. Comments: ¯ When needed, she should be willing to apply a certain amount of logical and systematic thought to the planning process. Within the limitations of her abilities and education, this should help her to conceptualize the steps needed to plan work activities. . Strongly, pragmatic by, nature, she will emphasize realistic goals and the development of workable plans. Personality Implications for Planning and Organizing Hinders o Her preference for the routine and working on only a few tasks at a time may interfere with her ability to plan and organize when faced with multiple, competing demands. ° In her day-to-day v.,ork activities, she is likely, to be disorganized. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior ManagementLeadershipCompetencyModel 4/,15/2003 Driving and Motivating for Quality Results ClTallenging, pushhlg tl~e organizatioa and themseh’es to excel and achieve in light qf bes[ bust)~ess l~ractices. Comments: Personality Implications for Driving and Motivating for Quality Results Helps Hinders o Assertive and forceful, she should be able to challenge or push o Her level of follow-through may, be lower than is desired. people to attain results. Sometimes she may, not carry projects through to completion. o As resilient as most people, she should be able to persist despite frustration in most situations. o Practical and pragmatic by’ nature, she should emphasize tangible results and immediate outcomes. o Her slow work pace may interfere with her ability to achieve high levels of personal work output and inhibit her ability to inspire high effort levels in others. o Highly, self-reliant, she should be comfortable establishing goals and taking personal responsibility for their achievement with little support or direction from others. The combination q/her higl~ se{l’-reh’cmce but low follow-through may lead her to take on more titan she will actually accomplish. Suzanne ExampleP E R S O N A L i T Y D E T A I L Senior ManagementLeadershipCompetencylvlodel 4/]5~003 Customer Focus Anticipating customers’ needs and designing, promoting or stq~portb~g the deliver3, of products and services that e).ce~d cttslo/t~ers’ e),peclatiolls. Comments: Personality Implications for Customer Focus Helps Hinders ¯ Her assertive nature should help her to effectively advocate customer-focused initiatives and activities. It should also contribute to her ability to influence and direct others to serve the customer well. o Thoughtful and reflective as most, she should be capable of thinking broadly. This should help her to align business offerings with customer needs. ,, Her slow work pace may hinder her ability to champion or deliver customer-focused initiatives and activities. ° Somewhat cautious and skeptical in her view of others, she may not trust customer intentions. Concerned that they may take excess advantage, she may be reticent to promote customer-first policies. While the above scales are good indicators of part o.f what is required for a strong customer focus, ASSESS cannot directly evaluate her personal commim~ent to vahdng the customer. Please loke special care to consider this issue during the inten’iew. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior ManagementLeadershipCompetencyModel-1/]5/2003 Teamwork and Collaboration Effectively working and collaborating with others toward a CoI1111101] goal. Comments: Helps o Her outlook should generally contribute to rather than detract from team morale. ¯ Her general comfort in most social situations should be an asset. She is ]&ely to enjoy interacting with team members and should put others nt their ease. Personality Implications for Teamwork and Collaboration Hinders ¯ Getting along with others is not a strong concern of hers. For this reason, she may, sometimes be disagreeable or uncooperative. o More negative and guarded in her view of people than is optimal for this competency, her wanness may sometimes interfere with developing and maintaining collaborative work relationships. She may not always value the contributions of others. ° Her high self-reliance may lead her to decide or act independently, sometimes to the detriment of good coordination and collaboration. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior Management Leadership Competency Model 4/15~003 Coaching and Developing Others Advising, assisting, memorhTg and providing feedback to others to encourage and inspire the development of work-related competencies, based on best b,~siness practices, and long-term career growth. Comments: Personalit~ Implications for Coaching and Developing Others Hinders o Personally motivated by attention and recognition, she is likely to recognize their importance to others. It is likely that she ,.*.’ill use recognition as a motivational tool. o Thoughtful and perceptive, she should be able to recognize subtle differences among people. She will likely take the time to understand the particular needs and motivations of each person she coaches. o Her relatively low need to please and be liked by, others may interfere with developing a good coaching relationship. She may not be as supportive and giving of herself as would be optimal for this role. ¯ Her distrustful view of the intentions of others will likely interfere with or inhibit the type of personal relationship most appropriate in a coaching rote. She may be negative m her expectations and hesitant to extend herself and support those she is to coach. While the dimensions measured by ASSESS can address a desire or willingness to coach and develop others, they camzot evaluate whether she has the requisite knowledge and experience to truly guide someone’s development in your organization. Please take special care in [f~e intem,iew to determine (f she has knowledge and e.~7~erience worth sharing. Suzanne ExampleP E R S O N A L I T Y D E T A I L Senior Management Leadership Competency Model 4/15~.003 Interpersonal Communication Communicating clearly and effectively with people inside and outside of the organization. Comments: Personality Implications for Interpersonal Communication Helps Hinders o Her outgoing and social nature should lead her to seek out opportunities to talk with others and share her ideas and opinions. ¯ Some people with this level of assertiveness can be dominating in their interactions with others. She may not give people the chance to offer their opinions and ideas. ¯ Expressive by nature, she will tend to say things without giving adequate thought to the impact of her words on others. ~t7~ile the above personalio’ dimensions measured by ASSESS will have some ~:ffect on the delivew qf her communications, other factors such as language skills, communicatio~ts training, and knowledge of the topic are likeh’ to have as much, if not more, impact. Please take special care to evaluale lhese faclors dming the inlera’iew. The combination of her high assertiveness and low self-contro! may cause her to be overbearing in her cammunicalions with ol]~ers. People may perceive her as tactless and inconsiderate. Suzanne Example I N T E R V I E W G U I D E SeniorManagementLeadershipCompetencyModel4/15/2003 The following structured interview will guide you through a series of behaviorally based questions to help you better evaluate this candidate’s ability to display each competency. It also provides additional interview suggestions based on this candidate’s personality results. Take notes in the space provided and record your summary rating for each competency area. For additional, more detailed information on conducting good behavior-based interviews, please visit the ASSESS managers resource website at www.bigby.com/systems/assessv2/resources/mana~er. Interview Date: Before the Interview Review the Competency Model definitions and representative behaviors. Review the candidate’s resume and be familiar with his/her background and experience. Review the candidate’s ASSESS results. Review the interview questions and additional personality probes. During the interview, remember to: Use open-ended questions Ask probing follow-up questions Focus on specific examples and behaviors Postponejudgment: don’t rely on your first impression Suzanne Example Senior Management Leadership Competency Model 4115~003INTERVIEW GUIDE BACKGROUND & HISTORY .Start the interview by discussing the details of the candidate’s educational and work history. Walk me lhrough )’our educational background. Listen and probe for accomplishments, grades, how he/she chose college/major, classes he/she liked or disliked, involvement in outside activities, work experience during school, etc., and probe for how they relate to the job. Walk me through your work history. Listen and probe for milestones, accomplishments, relationships with co-workers and supervisors, tasks he/she liked or disliked, work environments he/she liked or disliked, reasons for leaving each job, etc. and probe for how prior experience has prepared him/her for this job. NOTES: Suggesled transition to competency-oriented interview questions: "I’m now going to ask y,ou to describe some specific situations from your past experience. For each, tell me about the situation itself, what you did specifically, and the results or outcome of your aclions." Suzanne Example i N T E R V I E W G U I D E SeniorManagementLeadershipCompetencyModel4/]5/2003 Visioning: o Tell me about a time when you were involved in setting the long-term goals and direction for 3’our group (or division, company). What was your approach? What types of things did you consider? ¯Describe a time when you felt it was important for your group (department or company) to change direction and thinking, and you personally championed this change. What did you do? Were you successful? Why or why not? Additional special probes based on ASSESS results: °Tell me about a time when you had to quickly implement a new approach or strategy in your group (department, company). How did you manage to do this while maintaining 3’our normal workload? (Listen to see if the candidate had the energy to do both or if one suffered at the expense of the other.) °Describe a few situations in which you made a quick decision about a change of direction for 3,our group that you later regretted. What were the circumstances? (Listen for a tendency to commit too quickly to an idea or direction.) ° Give me some examples of your most innovative business ideas. (Listen for creativity.) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V I E W G U I D E SeniorManagementLeadershipCompetencyModel4!]SP-O0.’~ Decisive Judgment: ¯Describe some of the decisions you have made recently that had important effects on 3’our business or the people involved. How did you make your decisions? How did 3’ou balance the pressures of timeliness and making the right decision? Did you change your decision after making it? Why or why not? Additio,~al s7)ecial probes based o1~ ASSESS results: °Tell me about a time when you made a decision quickly, and it did not go the way you expected. What factors did you miss? (Is there too much emphasis on responsiveness at the expense of a quality decision?) o Tell me about a time when you decided to use an existing solution when a new or different approach would have been better? Why did this happen? (Is there an overreliance on past solutions?) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V I E W G U I D E SeniorManagementLeadershipCompetencyModel4/15/2003 Championing Change: o Tell me about two situations in which you took personal ~esponsibility for ensuring that an important change occurred in ),our organization. What was the issue? What did you do? What was the outcome? What would you do differently next time? Additional special probes based on ASSESS resuhs: ¯Describe the challenges you faced when implementing a change initiative quickly. In what time frame did you accomplish this? (Does the candidate have the energy necessary to successfully champion an initiative?) o Tell me about a time when you committed to a change effort but realized afterwards that it was the wrong thing to do. What did you not anticipate? (Listen for a tendency to adopt changes without careful consideration.) o Tell me about a dme when you felt it was better to continue with a way of doing something rather than championing a new approach. (Is there a stubborn resistance to trying new things?) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V I E W G U I D E Senior ManagementLeadershipCompetencylvIodel4/15/2003 Planning and Organizing: Tell me about a successful project or initiative that you had responsibility for planning and organizing. What did you do? Why was this project successful? ¯Tell me about a project where you had responsibility for planning and organizing that did not go as smoothly. What did you do? What could you have done better? Additional special probes based on ASSESS results: o Tel! me about a time when you had to coordinate and manage several projects at once. What was challenging? How did you prioritize? How successful were you? (Listen for difficulty juggling multiple tasks at once.) o Describe a situation that illustrates the kind of techniques that you use to stay organized and focused in your own work. (Listen for an ability to keep work organized.) NOTES: (details of the situation, actions by the candidate, and the resulting c~utcomes) Suzanne Example I N T E R V I E W O U I D E Senior ManagementLeadershipCompetencyModet4/15!2003 Driving and Motivating for Quality Results: ¯Describe a time when your group set and met an aggressive goal. What b, pes of obstacles did you face? How did you overcome them? o Describe a time when 3,our group failed to meet an aoc, ressive~ ~oal. Why did this happen? AdditiolTal special probes based on ASSESS results: ¯Describe two situations in which you were unable to thoroughly complete a project. What happened? Why? (Listen for an ability to follow-through on commitments.) o Tell me about one of your projects that had an aggressive deadline for completion. How did you get it done? (Listen for an ability to accomplish things quickly.) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V I E W G U I D E SeniorManagementLeadershipCompetencyModel4/15/2003 Customer Focus: ,,Tell me about the l’nost successful customer initiatives of which you were a part. What did you do that contributed to [heir success? ¯Tell me about the least successful customer initiatives of which you were a part. What was your role? Why were they unsuccessful’? Additional special probes based on ASSESS resuhs: o Describe a time when you were responsible for a customer initiative that others thought should be implemented quickly. What did you do? What was the result? (Will the candidate accept a sense of urgency and expend the energy required to make an initiative happen quickly?) °Tell me about any negative response that you, your group, or your company received from the customer regarding },our product. service or a customer policy. What do you think caused this response? What is your general view of the mindset of the customer and their expectations? (Listen for a negative perspective that might prejudice customer initiatives.) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example 1 N T E R V I E W G U { D E SeniorManagementLeadershipCompetencyModel4/15~OO3 Integrity*: o Describe for me an ethical business dilemma that you have faced. What were the circumstances? What did you do? Why? ¯Tell me about two situations in which you have seen others be unfair or dishonest. What happened? What would you have done differently? Why? NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example Senior Management Leadership Competency Model 4/15/200SINTERVIEWGUIDE Teamwork and Collaboration: ¯Describe the last assignment in which you were part of a team. What was your role? What aspects of working as part of a team did you do well? With what aspects were you less successful? Why? ¯In what types of situations do you prefer to work independently and in what types of situations do you prefer to work as part of a team? Why? Additional special p~obes based on ASSESS resMts: o We all have conflict or disagreements when working closely with others. Tell me about two situations in the past where you had a conflict with a co-worker or team member. How did the conflict affect your relationships and your work effectiveness? (Listen for a tendency to be disagreeable versus cooperative.) o In your previous jobs. have other people done their share of the work? Did you get fair credit for your efforts? (Listen for a tendency to be critical of others, or expect others to not perform.) o Give me several recent examples of work situations in which you asked others for assistance and situations in which you could have asked for assistance but did not. In each case, why or why not? (Does the candidate avoid collaboration?) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V I E W G U I D E SeniorManagementLeadershipCompetencyModel4/LS/200.? Coaching and Developing Others: Tell me about a time when you successfully helped develop or coach an individua! to reach their potential. What was the situation? What did you do? \Vhat difficulties did you overcome to help this individual? ¯Tell me what things you have done in the past to ensure people who worked with you or for you were given the resources and opportunities to grow. °Describe those aspects of 3,our experience, knowledge or background that are valuable to the development of others in your organization. What do you have to offer, and how willing are you to share this with others? Additional special probes based on ASSESS resuhs: o What is your approach to helping someone learn something you know? Use a current example to tell me what kinds of things you say, or do. How have others responded to your help? (Will the candidate be willing to extend himself or herself Io help others?) o Tell me about people you have chosen to help or coach at work. How are they different from the ones you did not or would not help? Give some specific examples. (Can he bring a positive outlook on people to a coaching situation?) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V ! E W G U i D E SeniorManagementLeadershipCompetencyModel4/lS~O03 Interpersonal Communication: ¯Tell me what you have done in your past jobs to ensure that others are informed or have the information that {hey need. o Tell me about a time when there ,,’,’as a miscommunication between you and a co-worker. What happened? ¯Tell me about any training you have taken to develop 3,our communication skills. o (Use the interview as a sample of the candidate’s ability to listen, respond appropriately, articulate thoughts clearly, close the communication loop and otherwise communicate effectively in a one-on-one situation. Was the candidate effective?) Addiiional special probes based on ASSESS resuhs: o Tell me what you have done in the past to make sure the ideas and opinions of others’ are heard in a meeting. Are there times when you should have listened more? Explain. (Listen for a tendency to be overbearing at the expense of receiving input from others.) o We all say or do things we later regret. Tell me about times when this happened to you. Have you hurt other people’s feelings? Said things you should not have said? Explain. (Listen for the impact the candidate’s spontaneity may have on his/her ability to communicate effectively.) NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V I E W G U i D E Senior ManagementLeadershipCompetencyModel4/]5~O03 Respecting Diversity*: ¯What types of people do you ~ike to work with? What types do you not like? o Tell me about situations in which a co-worker did not treat you with respect or did not respect something you believe in. What were the circumstances? What did you say or do? How did this affect your ability to do your job? ,,Tell me about situations in which a co-worker felt that you did not treat them or something they believed in with respect. What did you say or do? What were your intentions’?. What ,.,,,as the final outcome? NOTES: (details of the situation, actions by the candidate, and the resulting outcomes) Suzanne Example I N T E R V I E W G U I D E Senior Management Leadership Competency Closing the Interview Your goal is to bring the interview smoothly to a close. Ensure that the candidate feels that he/she has been able to give you a complete and accurate picture of himJherself. Explain the next steps in the process and timeframe as appropriate. Thank the candidate for his/her time and close the interview, Suzanne Example M A K I N G D E C I S I O N S Senior Management Leadership Competency Model 4/15f2003 Good selection decisions require careful consideration of all the available information (education, training, experience, skills, abilities, personality, etc.) from as many different credible sources as possible (interviews, reference checks, background checks, ASSESS results, etc.) against a clear specificalion of what is needed or desired in the.job. Use the following chart to evaluate the candidate on each of the competencies of the Model. Carefully consider each competency before making your overall judgement. Visioning Very strong Strong evidence Some evidence Strong evidence Very strong evidence evidence competency not competency not competency is competency is competency is present present present present present Decisive Judgment Championing Change Planning and Organizing 3 4 5 3 4 5 Driving and Motivating for Quality Results Customer Focus 3 4 Integrity"4 Teamwork and Collaboration 4 Coaching and Developing Others Interpersonal Communication 4 Respecting Diversity" Very strong evidence he/she will not perform effectively on the job Strong evidence he/she will not perform effectively on the job Some evidence he/she will perform effectively on the job Strong evidence he/she will periorm effectively on the job Very strong evidence he/she will perform effectively or~ the job 1 2 3 4Overall Rating Suzanne Example M A N A G E M E N T S U G G E S T I 0 N S SeniorManagementLeadershipCompetencyModel4/Lq/200.’ While the ASSESS Develol)ment R~Tort for this competency model provides detailed suggestions for helping this person to manage potential problem areas, in this section of the Selection Report we provide a few additional recommendations to help you to effectively manage this person. Each of the following management suggestions identifies a potential problem area for this candidate and recommends an approach to optimizing his/her effectiveness on the job. For some suggestions, reference books and other resources are listed for additional recommendations. Low Serious-Minded Thinking The quality of twr analysis and decisions couM be improved by the development of more restraint. This May Impact: Visioning e Decisive Judgment o Championing Change Suggestions: Encourage her to record her first thoughts or "instincts," then have her return to them later and ask "tough" questions about their usefulness. Suggest she play "devil’s advocate" for herself to critique her ideas or plans (and thereby improve them). Encourage her to ask others to help generate alternatives and to judge these against her first ideas. If necessary, require her to obtain approval before launching new programs or initiatives. Low Work Pace Suggestions: Her slow or methodical work pace may not be adequate m a fast-paced work envzronment. If this position demands high productivity in limited time frames, she is likely to need external pacing, time deadlines and specific work goals to be effective. This May Impact: ~Visioning *Championing Change ~Driving and Motivating for Quality Results ~Customer Focus Motivation and Goal Setting: How to Set and Achieve Goals and lnspire Others (Motivation and Goal Settin~ by Jim Cairo, Career Press, 1998, Motivation in the Workplace: ln~ Motivation in the Workplace by Lydia Banks, Amer Media Inc., 1997. Low Work Organization . Suggestions: She may have a tendency to take action before size develops a plan or organizes her activities. As a result slze may take on more titan site can handle or move in too many directions al alice. This May Impact: e Planning and Organizing We recommend that her boss monitor her work activities to determine if she needs assistance in structuring her work. She may need help defining priorities and disciplining herself to focus on completing important tasks. Planning calendars, to-do lists and other time management techniques could be useful. Low Positive About People Suggestions: She may be critical and faultfinding of others. Her tendency to be negative could hinder her work relationships. This May Impact: e Customer Focus ¯Teamwork and Collaboration ¯Coaching and Developing Others Low Self-Control Encourage her to develop realistic expectations for the performance of others and, if she has supervisory or management responsibilities, to recognize effort and reward accomplishments. Training and development in areas such as positive performance management would also be appropriate. Suggestions: She appears to be e.tpressive and may be excessively spontaneotts in voicing her opinions, ideas, etc. She should be encouraged to think before she speaks and to exercise more restraint in her actions. Ano_er and Conflict in the Workplace: Spot the Signs. Avoid the Trauma by This May Impact; Interpersonal Communication Additional Suggestions Lynne McClure, Impact Publishing, 2000. For coaching resources and additional suggestions on how to best manage and develop this person, please visit the ASSESS Manager’s Website at www.bi£bv.~_.~com/svstems/assessv2/resources/mana~er. In addition, developmental suggestions for this person can be obtained from the ASSESS Developmental Report. This report is designed to provide constructive feedback and extensive developmental suggestions to the individual assessed (books to read, courses to take, developmental experiences or assignments to negotiate with the boss, etc.). You can use these developmental suggestions in coaching sessions to help the candidate capitalize on key strengths and compensate for potential weaknesses. Check with your test administrator or Human Resources representative to see how you may obtain a Developmental Report on this individual. The following books are general resources that may be useful in coaching this person or other people in your organization. Masterful Coaching: Extraordinary Results by Impacting People and the Way They Think and Work Toeether by Robert Hargrove, Pfeiffer & Company, 1995. Leader As Coach: Strategies for Coachino_ & Developin~ Others by David B. Peterson & Mary Dee Hicks, Personnel Decisions International, 1996. Action Coachinm: How to Levera£e Individual Performance for Companv Success by’ David L. Dotlich & Peter C. Cairo, Jossey-Bass, 1999. Results-Based Leadership_ by, David Ulrich, Jack Zenger, & Norman Smallwood, Harvard Business School Press, 1999. Leadership: The ASTD Trainers Sourcebook by Anne F. Coyle, McGraw-Hill. 1996. Coachin~ for Improved Work Performance by Ferdinand Fournies, McGraw-Hill. 2000. Suzanne ExampleG R A P H I C P R 0 F I L E Senior ManagementLeadershipCompetencyModel4//.i~O0.~ Reflective Structured Serlous-Minded, Restrained Fact*Based Realistic Work Pace Self-Reliance Work Organization Multi-Tasking Follow-Through Acceptance of Control Frustration Tolerance Need for Freedom Need for Recognition Detail Orientation Asserfiveness Sociability Need to be Liked Positive about People Insight Optimism Criticism Tolerance Self-Control Cultural Conformity Positive Response Factor 1 Positive Response Factor 2 Thinking LOw need to probe ~3"houghtlul, philosophical Avoids step-by-step ~Logical, systematic Quick to decide~Serious, careful, cautious Intuitive ~,~Factual Imaginative ~ No-nonsense, pragmatic Working Unhurried ’~ Wlth others Low Dislikes rules, controls Sensitive Low Low Dislikes ~efails Low Shy or uninterested Low Skeptica!, cautious Does not analyze others Pessimistic Subjective, sensitive Expressive Low Low Low O Relating Others Active, busy By self Prelers structure, order Mulliple tasks, variety High Welcomes rules, controls Resilient High Enjoys detai~ed work ’-~High Outgoing High Trusting. positive Analyzes olhers Positive, optimistic Objective, thick-skinned Resep.,ed, careful High High High Attachment 2 Internal Audit Recruiters, LLC. 2725 Maxine Circle Corona, CA 92882 951-372-0044 david@auditshop.net 7 March 2008 Performance Based Retainer Fee Agreement Between Internal Audit Recruiters, LLC (IAR) and The City of Palo Alto Ms. Emily Harrison Assistant City Manager City of Palo Alto 250 Hamilton Ave, 7~h floor Palo Alto, CA 94301 Emily, This letter will serve as the agreement outlining the charter for what Internal Audit Recruiters, LLC. (IAR) will do to successfully identify, recruit and place with the City of Palo Alto a City Auditor. 1.I will have another detailed discussion with you and any other the department director(s) to further ascertain a clear and concise understanding of the needed skill sets a successful candidate will need to successfully get hired. 2.We will write up the required skills as well as discern the desired skills and send back for your approval, our understanding and interpretation of the position. This exercise is invaluable in ensuring that there is clear mutual understanding. 3.My researcher, Christine Hirsch will call other like professionals who are auditors currently with City Municipalities and identify them as candidates. 4.My researcher, Rita Blackman and I will then comb our database of 40,000+ internal audit candidates and speak to those that have a relevant background. In this case progressive experience in City Government in an audit capacity. Additionally we will focus on those candidates that have advanced degrees in Public Administration or City Government. 5. We will then actively recruit from related sources or entities. 6. As founder, and Senior Recruiter of this firm, it will be me who will be actively recruiting candidates for this position. I wanted to mention that so you knew that this assignment would not be "dished ofF’ to a subordinate. You can expect my best service throughout. Our strategy is that we will identify a minimum of three (3) candidates who meet the criteria provided by you, then the process will proceed as outlined. 1. The hiring authority(s) at the City of Palo Alto will review the resume and agree that the candidate is an appropriate fit for the Auditor requirements on paper. In addition to the resume, thorough notes from our initial interviews will outline pros and cons of respective candidates. 2.The hiring authority(s) at the City of Pato Alto will then speak to the candidates considered bi viable via phone and if it is deemed that the candidate, based on skills, articulation, and attitude, is worthy of a live, in-person interview, we will then facilitate that. 3.Ideally the live interviews will be scheduled within proximity over the same day or week. Candidates will be interviewed, then debriefed and accurate and timely feedback will be presented to the hiring authority(s) at the City of Palo Alto. 4. Candidates will know the salary range of the position prior to coming to interview so I doubt that salary will be a bartering concern for the City of Palo Alto. 5. You will articulate to me if and to whom a potential offer employment is to be considered. 1 6.We will then feel candidate out for likelihood of acceptance of potential offer and report our findings back to you. 7.In tandem with a tentative offer, our firm will then do extensive background checks and investigations. We will then report findings back to you. 8.On behalf of the City of Palo Alto, we will extend the offer on your behalf or coach you on how to extend directly and officially with the best expectation of success of acceptance by candidate. FEES FOR SERVICES The performance-based fee for our services is thirty percent (30%) of the candidate’s first year’s cash compensation. For purposes of this agreement, the estimated first year’s cash compensation is $170,000, and the estimated total fee is $51,000. Additionally, there will be research fees billed at a rate of $75.00 per hour. We estimate that the research fees for this assignment will be at 100 hours. In lieu of administrative recovery, we will charge $7500 for research fees. In the event the search goes longer than 120 days, and we are still chartered to work this assignment, there will be a monthly stipend in addition to the above in the amount of $2500 per month. INVOICE FOR SERVICES: 1. The first 1/3 of the fee ($17,000) is due upon the commencement of the search. a. IAR will present a minimum of three (3) viable candidates who meet the qualifications determined. You and your colleagues will review the resumes that are appealing and agree to interview them. In most cases, but not all, this will be via an initial phone screen. b.1AR will present a minimum of 3 "viable" candidates within a sixty (60) day period of time from the date the first 1/3 of the fee is received at IAR. c.The candidates will be eager to interview in person, already pre-closed on the salary, location, title, and travel requisite. 1A Payment for Research Fees in the amount of $7500 is due upon commencement of the assignment. 2.The second 113 of the fee ($17,000) will be due after IAR has presented the third viable candidate or 60 days from when the search commences, which ever comes first. 3.The final 1/3 of the tee (approximately $17,000) will be due upon a successful candidate’s acceptance of an offer of employment or 120 days from the commencement of the search. IAR will calculate the exact amount of the final fee after a successful hire. 30% of 12 months of taxable income paid to the hired candidate, minus any of the estimated payments that have been previously paid. 4. In the event you extend an offer of employment to the candidate, and it is accepted prior to 3 viable candidates being achieved, all remaining portions of the fee are due, and the search is deemed completed. 5.In the event that none of the 3 viable candidates are hired, and the all portions of the fee have been paid, IAR will resubmit additional candidates until a viable candidate is hired. The commencement date for this search assignment starts upon signed receipt of this agreement an.__~d the first 1/3 of the fee payment when received at IAR. "HANDS OFF" POLICY: IAR has a policy of not actively recruiting any employee from a client that has an active relationship where IAR is recruiting candidates on the client’s behalf. In addition, IAR honors this policy for a period of two years after it places a candidate with that client. REFUND GUARANTEE: In the event a candidate referred by IAR is terminated by the client or ceases to perform services for any reason within one hundred eighty (180) calendar days after the services are commenced, other than layoff, IAR will replace the candidate at no additional fee other than actual expenses. No replacement shall be attempted unless the final payment of fee has been paid within thirty (30) calendar days from the date of the invoice, and a request for a refund is received within five (5) calendar days from the date the candidate services cease. GOOD FAITH: IAR can only succeed with this search and meet the sixty (60) day criteria if the hiring authority(s) at the City of Palo Alto make an earnest effort to make time to review and interview candidates. We do not wish to take monies or time from entities to which we cannot show reciprocal benefit. Our goal is to get you a successful hire as quickly as possible. In the event that the search is cancelled or postponed, all portions of the fee are immediately due and payable and considered earned. In the even that any candidate presented is hired for any other positions within the City of Palo Alto, the fee for our services is earned if a candidate is hired directly or indirectly for any position as an employee, consultant, or independent contractor by the original contact employer or any of its affiliates, parents or subsidiaries, for a period of one (1) year from the date of the initial referral. A referral means the disclosure by us of the identity of the candidate by any means, whether in writing or orally. If more than one candidate is hired, an additional fee is due of 30% of the first years cash compensation for each candidate hired. EXPENSES: The City of Palo Alto agrees to pay for all expenses related to candidate interviews, which includes travel, lodging and rental cars, etc. In the event that any of our agents here at IAR need to travel in order to interview candidates for this assignment, the City of Palo Alto agrees to reimburse any and all PREAPROVED expenses. PAYMENT TERMS: Upon receipt. In the unlikely event litigation arises surrounding the fee or the terms of this agreement, the prevailing party shall be entitled to costs, reasonable attorney’s tees, and other necessary and proper expenditures in addition to whatever other relief may be awarded. CLIENT ACKNOWLEDGEMENT We have fully read and understand the terms of this letter and agree to said terms. Authorized Signature:Title: Client: PLEASE SIGN AND RETURN A COPY Audit Search Consultants Phone: (909) 719-1484 Fax: (909) 719-1494 E-mail: kit@auditshop.net The 10 Step Audit Search Process Audit Search Consultants adheres to a strict methodology when identifying and recruiting candidates for our client companies. This process is called "The 10 Step Audit Search Process" and is what makes an ASC candidate EXCEPTIONAL. STEP 1: Understanding the Search Assignment and Corporate Internal Approvals A recruiter from Audit Search Consultants (ASC) discusses the position with the client. ASC identifies elements necessary for a candidate to succeed in the company. Qualifications and technical requirements, etc. are discussed in detail. In addition, we identify, salient benefits for a potential candidate to accept the assignment (career progression out of the department, visibility to upper management, exposure to new technologies, etc.). ASC will assess the scope of responsibility, technical skills desired, competitive compensation analysis, the client’s corporate culture, and the hiring process. We will also address any concerns and make relevant suggestions. STEP 2: Client Approval ASC will communicate to the client an interpretation of the position description for approval. Upon acknowledgment and mutual agreement, the search will begin. STEP 3: Existing Candidate Sort ASC will narrow the field of existing candidates by using a "sorting" process based on a candidate’s predetermined criteria for change and the client’s "must-have list". Candidates identified from the ASC database will be re-qualified for the specific client’s position. ASC will focus on geography, type of industry, etc. STEP 4: Simultaneous New Candidate Generation and Development Audit Search Consultants is constantly networking "centers of influence" to source the names of potential internal audit candidates referred as excellent from public accounting firms, internal audit departments, and related organizations worldwide. Brief interviews are conducted to determine candidate priorities, motivation for change, and technical abilities. All are lightly assessed. This produces an uninfluenced evaluation of a candidate’s willingness to consider change. If preliminary discussions are favorable, an in-depth interview takes place. STEP 5: Candidate Interviews The interview begins by having the candidate describe in detail their career progression from college to present day. The recruiter listens for traits that make the candidate stand out amongst their peers. Examples of some quantifiable achievements are: uncovering fraud, preventing losses, innovative problem solving, streamlining the work flow, etc. The next section of the interview is to identify the candidate’s "corporate wound." This may sound like an odd statement. However, we have found a correlation between candidates who turn down job offers and those who have not identified this part of their emotional career needs. Most people make .job changes for reasons other than money. Think about it. After this "wound" is identified, an appropriate prescription is determined. Before ASC talks to candidates about specific client assignments, we garner information directly and indirectly from the candidates. This is the primary difference between Audit Search Consultants and its competitors. We strongly believe that candidates need to be qualified for their legitimate reasons for change as we!l as identi~, what separates them from the pack. This assessment needs to be made prior to discussing client assignments with candidates. It is by this method that accurate matches are made. Most other search firms take the search assignment and "pitch" Audit Search Consultants Phone: (909) 719-1484 Fax: (909) 719-1494 E-mail: kit@auditshop.net candidates on "jobs" before they know the truly pertinent data regarding candidates. When the interview has been completed the recruiter possesses the following: A detailed list of all relevant skills and accomplishments Rdsumd References verified A list of criteria for change The recruiter then utilizes this information to compile a candidate data sheet. This information accompanies the resume when a candidate is presented for consideration to a specific client. STEP 6: Candidate Presentations When ASC identifies a viable candidate, the candidate will be presented verbally, typically on the day the client receives the hard copy "assessments" (candidate data sheet and resume). At this time, ASC will recommend interviewing dates based on knowledge of the candidate’s availability. (Timing and sense of urgency will vary among candidates.) STEP 7: Client/Candidate Interviews Provided that all parties have been prepared equally, interviews should flow easily. ASC will suggest an interview process, well proven in "multiple interviewer" formats, to alleviate redundancy. STEP 8: Client/Candidate Post Interview Debriefing Both sides will be thoroughly debriefed with findings presented to both client and candidate. ASC has always found that candidate debriefings are best conducted at home rather than in the facility,. It is the most important part of the entire process, enhancing the critical ability to concentrate. STEP 9: Trial Offer/Acceptance ASC wil! test the offer "hypothetically" before extending it formally. Any concerns will be addressed and presented to the client for resolution. If the "hypothetical" offer is accepted, ASC will obtain an "ATA" (authority to accept on the candidate’s behalf). The client will be informed that its offer will be accepted, and a tentative start date will be selected. STEP 10: The Official Offer/Acceptance A conference will be arranged between the client, the candidate, and the recruiter. On that call, the client repre- sentative will extend the formal offer, the candidate will accept, and a start date will be determined. Client has then completed its search, REFERENCES FOR AUDIT SEARCH CONSULTANTS These are the most recent clients: Scott Sell VP Human Resources Ameristar Casinos Las Vegas NV 702-567-7065 They had no one and were looking for a Director of Audit for 6 months and had seen no viable candidates before retaining me. Upon nay commencement, Ameristar immediately became torn between which one of my candidates to hire. Nice problem to have. He too, was skeptical before we engaged. I have since placed this position 2 times. Christine Hirsch Director of Staffing K_PMG National Practice Group Chicago, IL (312) 399-4948 Too many successes to mention--but she will tell you. Keith French Former Genera! Auditor Tidewater Marine New Orleans, LA (410) 905-5454 Kate Rice VP, Manager of HR Northrim Bank Anchorage, AK (907) 261-3540 Placed a Director of Internal Audit after they had been looking for 14 months. They hired the very first candidate I presented. In Alaska! Michelle Remeneski Recruiter World Savings Bank Oakland, CA (510) 446-3148 They were looking for a VP of Internal Audit and had immediate success after retaining me. Attachment 3 Ci ©7 of Iaio ALto City Mar ager s Report TO: FROM: DATE: SUBJECT: CITY MANAGER February 19, 2008 REQUEST FOR HONORABLE CITY COUNCIL DEPARTMENT: City Manager’s Office CMR: 149:08 AUTHORIZATION TO EXECUTIVE RECRUITING FIRM FOR SEARCH; AND FOR DIRECTION SERVICES/TIMELINE FOR RECRUITMENT ENGAGE AN CITY AUDITOR ON SCOPE OF 10 RECOMMENDATION Staff recommends that the Council review the proposed elements for a solicitation for an executive recruiting firm to conduct a search for a new city auditor, provide direction on the proposed process and authorize staff to issue the solicitation. DISCUSSION City Auditor Sharon Erickson has informed the City Council that she has accepted the position of City Auditor with the City of San Jose. Her last day with the City will be March 6, 2008. Executive recruitments can be anticipated to take 4-6 months so staff proposes to begin the process immediately to engage an executive recruiter. Attachment A is a scope of services which staff proposed to use, as was done with the current City Manager recruitment, for an email solicitation process. Consultants who responded would be asked to submit a proposal as shown below: The City of Palo Alto is seeking proposals for executive search services to hire a new city auditor. The City’s current city auditor has accepted the position of city auditor with another city and will be leaving the city effective March 6, 2008. The City Council is interested in conducting and completing a full search as quickly as possible, in order to allow the new city auditor to be on board when Council returns f’om its vacation on September8, 2008.. Please submit a proposal by March 10, 2008 to Emily Harrison, Assistant City Manager. Earlier proposals will be greatly appreciated. Emailed proposals are acceptable and, in fact, preferred, h7 your proposal, please cover the following items: CMR 149:08 Page 1 of 4 1.Outline of proposed process and timeline. Included in this outline, please be sure to note: a) specific options for when/how to gather input on the key attributes desirable for Palo Alto’s new auditor f’om the City Council, the executive staff and the public; and b) a summaty of your Jirms’ understanding of the city auditor hiring market and your d%m’s approach and strengths in identifying candidates. 2.Summary of the services yourJ~rm will provide and what assistance you would expect from the City staff 3.Cost of proposed services. 4.Qualifications of your firm and the lead recruiter who will be working on the Palo Alto recruitment~ 5. Your availability to participate in interviews with the city council in date to be determined). 6. Anything else you feel would be relevant for us to consider. If you have any questions, please feel f’ee to contact Assistant City Manager Emily Harrison - contact information provided). Request for Council Direction Staff is requesting Council direction on whether to structure the process for the recruitment for the city auditor to include the same milestones in the timeline, including the opportunity for public input on the key attributes for a successful candidate, as were required for the city manager? RESOURCE IMPACT Staff has already requested Council approval in the Midyear Budget process to place $50,000 in the Council’s budget for the city manager recruitment, and anticipates that this will be sufficient for both recruitments. POLICY IMPLICATIONS This recommendation is consistent with prior Council policy of using an executive recruiter for Council Appointed Office recruitments. ATTACHMEMTS Attachment A: Scope of Services PREPARED BY CITY MANAGER APPROVAL Emily Harrison, Assistant City Manager CMR 149:08 Page 2 of 4 ATTACHMENT A SCOPE OF SERVICES Executive Recruitment Services for the Position of City Auditor The City of Palo Alto is seeking proposals from well-qualified consulting firms to conduct executive recruitment search services for the position of City Auditor. The City’s current City Auditor will be leaving March 6, 2008. The City Council is interested in conducting and completing a full search as quickly as possible. The selected firm would also assist in developing a thorough assessment process of the candidates who are seeking to fill the position. The selected recruitment firm will work for the City Council. The Assistant City Manager will act as staff liaison. Listed below are the services to be completed during the term of the contract: 1.In conjunction with the City Council, develop a plan schedule and budget for the City Auditor recruitment. o Subject to the approval of the City Council, develop a candidate profile, position description and applicant qualifications. The candidate profile, position description and applicant qualifications will be developed by the selected consultant based on interviews with the City Council, staff, as well as input from the community. 3.Develop, recommend and place appropriate advertising and marketing materials for the position that targets qualified candidates. Attract top candidates who have extensive knowledge of local government auditing who best satisfy the requirements and qualifications of the position through fair and effective solicitations. 5.Conduct personal outreach recruitment to ensure that competitive candidates from diverse backgrounds apply for the position. o Review and screen applicants, including verification of credentials, qualifications and recommendations. Evaluate candidates against the approved candidate profile, position description and applicant applications; conduct preliminary interviews and background checks on selected candidates and recommend superior candidates to the appointing authority for review. Prepare profile of CMR 149:08 Page 3 of 4 experience, skills assessment and analysis of stren~hs and weaknesses for each candidate to be reviewed. 7.Coordinate, attend and facilitate the City’s interview process of selected candidates. Assist in preparing interview questions and other techniques to evaluate candidates. Conduct background and reference checks on final candidates and prepare a confidential reference report on each. Firm shall assist City with identifying former co-workers, supervisors, Council members and community members of top two (2) or three (3) candidates as part of completing the reference checks. Other Services: In addition, please provide information and costs related to all other reasonable and customary duties associated with an executive search. Also provide any guarantees your firm may provide regarding the appointment made as a result of this recruitment and any guarantees your firm may provide should the recruitment be unsuccessful during any stage of this process. CMR 149:08 Page 4 of 4