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CC 09-06-2023 Item No. 6. Enterprise Leadership Assessment_Staff PresentationCITY OF CUPERTINO Enterprise Leadership Assessment Council Meeting September 2023 CC 09-06-2023 Item No. 7 Agenda County of Maui Strategic Plan | Work Session A2 PURPOSE AND SCOPE01 METHODOLOGY02 OBSERVATIONS AND RECOMMENDATIONS03 The purpose of this assessment was to evaluate the effectiveness of the City’s management and governance collaboration framework and provide recommendations to strengthen and streamline procedures to align with best practices for municipal leadership. Topics included: The Council’s capacity to set the City’s strategic direction and monitor financial sustainability Council meeting procedures and resources Working relationship and collaboration between Council members, City management, and staff Training and onboarding Committee and commission roles, core function, and support Purpose and Scope 3 Our work was performed between March and June 2023. The project consisted of four phases: 1.Project Initiation and Management: This phase concentrated on comprehensive project planning and project management including scope setting, identifying staff to interview and documents to review, communicating the plan, and establishing a game plan for execution. 2.Fact Finding: The second phase included interviews, document review, and best practice research. We conducted interviews with 23 members of City staff and City Council members. 3.Analysis: Based on the information gained during our fieldwork phase, we assessed the current conditions and identified opportunities for improvement. Leveraging best practice information and our own experience from working with similar entities, we developed practical recommendations. 4.Reporting: This phase concluded the project. We reviewed the draft report with City management and are now presenting the final report to the Audit Committee. The report is divided into three sections—City Council, Commissions and Committees, City Staff —and includes 12 observations. Methodology 4 Observations and Recommendations 5 1. Policies and Procedures While the City has established many policies that are aligned with best practices, there are opportunities to increase the effectiveness of current policies.Observation A. Continue current efforts to review, update, and expand the City’s governance policies, including the Ethics Policy and Commission Handbook. B. Establish a process to ensure all governance policies are reviewed at least once every five years. Recommendation Observations and Recommendations 6 2. Meeting Cadence and Processes With the adoption of the City Council Procedures Manual and other recent changes, the City has made positive progress toward increasing the effectiveness of City Council meetings. However, ongoing challenges remain to ensure that meetings are productive and timely. Observation Continue current efforts to implement the City Council Procedures Manual and hold meeting participants accountable.Recommendation Observations and Recommendations 7 3. Collaboration and Relationship There is a well-documented history of mistrust and poor communication between the Council and management.Observation A. Continue current efforts to implement recommendations from the 2023 Internal Review, with a focus on expanding the use of 1:1 pre-meetings with Council members. B. In alignment with Municipal Code guidelines, consider developing and implementing a set of practical criteria to determine when requests for information will require a significant allocation of staff time or otherwise exceed the code guidelines. C. Continue current efforts to clarify roles and responsibilities and build productive working relationships by providing regular governance trainings and retreats. Recommendation Observations and Recommendations 8 4. Council Onboarding and Training The City Council onboarding and orientation process has recently been updated to increase its effectiveness. This process could be further strengthened by focusing additional attention on roles, responsibilities, and practical application of guidelines. Observation Take steps to expand and strengthen the orientation process for new Council members.Recommendation Observations and Recommendations 9 5. Ethics and Compliance The City has established many best practice elements of a comprehensive ethics program. However, there are gaps in the City’s compliance enforcement.Observation Strengthen internal processes for tracking and holding elected and appointed individuals accountable to timely completion of Form 700 Disclosures.Recommendation Observations and Recommendations 10 6. Strategic Direction A core function of any governing body is to set and monitor the strategic direction of the organization. While the City Council has adopted a two-year Work Program to prioritize annual initiatives, it has not yet developed a long-range strategic plan. Observation A. Consider developing a long-range strategic plan to increase the City’s ability to strategically plan and advance initiatives. B. Continue current efforts to utilize and refine the annual Work Program prioritization practice. C. Consider expanding the City’s reporting processes to more effectively track progress toward strategic goals over time. Recommendation Observations and Recommendations 11 7. Community Engagement While the City has established some strong community engagement practices, interviewees noted that Council members may have an overreliance on anecdotal evidence and/or public comment that may not be representative of the wider community perspective. Observation A. Consider setting clearer expectations for the intended scope of community engagement at the start of City initiatives. B. Continue current efforts to implement a statistically significant, representative community survey. C. Consider providing media and crisis communication training to all Council members. Recommendation Observations and Recommendations 12 8. Commission and Committee Structure The City utilizes multiple commissions and committees to support Council decision- making. There are opportunities to increase the effectiveness of some of these groups. Observation A. Establish charters, including clear roles and responsibilities, for each commission and committee that outline the group’s purpose and member roles and responsibilities. B. Review additional opportunities to streamline governance groups. C. Consider reviewing the names of governance groups to introduce a consistent naming convention for commission versus committee. Recommendation Observations and Recommendations 13 9. Commission and Committee Member Selection The City has documented processes to select and appoint community members to governance groups. This process could be strengthened by adding relevant qualification criteria. Observation Review and establish the qualification criteria for each commission and committee member to determine if the City would benefit from adjustments.Recommendation Observations and Recommendations 14 10. Commission and Committee Operations Commission and committee operations—including onboarding, meeting procedures, work plans, and reporting—are not always consistent or effective.Observation A. Continue efforts to expand and formalize onboarding and training expectations for both commissions and committees. B. Clarify the process and expectation for cancelling unnecessary meetings. C. Consider adopting the practice of requiring annual work plans for each commission and committee. Recommendation Observations and Recommendations 15 11. Governance Group Staff Support The staff time used to support governance groups represents a significant investment of City resources.Observation A. Review the practice of requesting department directors attend commission and committee meetings. B. Provide training for staff liaisons annually and when a new individual takes on the liaison role. Recommendation Observations and Recommendations 16 12. Communication and Change Management City staff continue to experience a high degree of organizational change and uncertainty. Within this context, it is critical for the City’s management team to provide active communication and change management to increase support of staff. Observation Identify and implement expanded communication and change management practices to improve workplace culture.Recommendation The material appearing in this presentation is for informational purposes only and should not be construed as advice of any kind, including, without limitation, legal, accounting, or investment advice. This information is not intended to create, and receipt does not constitute, a legal relationship, including, but not limited to, an accountant-client relationship. Although this information may have been prepared by professionals, it should not be used as a substitute for professional services. If legal, accounting, investment, or other professional advice is required, the services of a professional should be sought. Assurance, tax, and consulting offered through Moss Adams LLP. Investment advisory offered through Moss Adams Wealth Advisors LLC. ©2021 Moss Adams LLP 18