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HomeMy WebLinkAboutR-1611-7-98RESOLUTION NO. 1611-7-98 ' A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ALLEN, COLLIN COUNTY, TEXAS, ADOPTING GOVERNANCE POLICIES TO GUIDE CITY COUNCIL AND CITY STAFF IN PROVIDING EFFECTIVE LEADERSHIP AND EFFICIENT ADMINISTRATION OF CITY GOVEENMENT TO THE CITIZENS OF ALLEN; AND PROVIDING AN EFFECTIVE DATE. WHEREAS, the Allen City Council desires to provide the best and most effective leadership and efficient administration of city government possible to the citizens of Allen; and, WHEREAS, the City Council, upon full review and consideration of the proposed Governance Policies, copies of which are attached hereto as Exhibit "A," and all matters attendant and related thereto, is now of the opinion that the policies should be approved, adopted and followed by the City Council and city staff. NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ALLEN, COLLIN COUNTY, TEXAS THAT: SECTION 1: The Governance Policies, having been reviewed by the City Council and found to be acceptable and in the best interests of the City and its citizens, are hereby approved and adopted. SECTION 2: The Governance Policies shall be the policies and guidelines used by City Council and city staff to provide effective leadership and efficient administration of city government to the citizens of the City of Allen. SECTION 3: If any policy or procedure in the Governance Policies requires the adoption or amendment of a code or ordinance for implementation, said item will not take effect until the passage of the necessary legislation. SECTION 4: This Resolution shall become effective from and after its passage. DULY PASSED AND APPROVED BY THE CITY COUNCIL OF THE CITY OF ALLEN, COLLIN COUNTY, TEXAS, ON THIS THE 2ND DAY OF JULY. 1998. ""— Stephen Terrell, MAYOR ATTEST: J y Mo on, CMC, CITY SECRETARY C Allen City Council Policy Registry Table of Contents Category I: Ends Policy 1.0 Temporary Plug Category II: Governance Process Policy General Executive Constraint 2.0 Governance Commitment 2.1 Goveming Style 2.2 Council Job Description 2.3 Mayor'&Role 2.4 Council Members' Code of Conduct 2.5 Council Committee Principles 2.6 Council Committee Structure 2.7 Boards and Commissions 2.8 Cost of Governance Category III: Executive Limitations Policy 3.0 General Executive Constraint 3.1 Treatment of Citizens 3.2 Treatment of Staff 3.3 Financial Planning/Budgeting 3.4 Financial Condition and Activities 3.5 Asset Protection 3.6 City Preparedness for Emergencies 3.7 Emergency City Manager Succession 3.8 Compensation and Benefits 3.9 Communication and Support to the Council 3.10 Capital Improvements Programming Category IV: Council/Staff Linkage Policy 4.0 Global Council/City Manager Linkage 4.1 Delegation to the City Manager 4.2 City Manager Job Description 4.3 Monitoring City Manager Performance 4.4 Council - City Attorney Relationship 4.5 Council - Municipal Judge Relationship 4.6 Council - City Secretary Relationship ALLEN CITY COUNCIL Initial Ends Development/Framing Discussion June 23, 1998 The City of Allen exists for quality of life, safety, healthy environment and economic well-being for a reasonable tax burden. Priority Results 1. Safety A. Fire B. Crime C. Drugs D. Disasters E. Illness F. Injury 2. Healthy Environment A. Clean water and air B. Adequate removal of sewage C. Prompt solid waste removal D'prevention / water drainage E. Natural ecosystem is sustained ' 3. Economic Well -Being A. Sustainable economy i. Broad tax base a. Allen is seen as a desirable business location b. Diversity of businesses a Adequate and diverse employment base iii. Long-term investments in Allen by corporations 4. Quality of Life A. Leisure / recreational opportunities for all citizens L People are healthy ii. People have social / team skills iii. Hobbies are cultivated B. People have and enjoy open space C. Allen is dean and attractive L Well maintained u. Good mix of developed and undeveloped space D. Housing mix meets the needs of the community E. Allen is culturally vibrant F. i. The arts are prevalent throughout the community People have the knowledge and information to pursue a high quality of life. G. Citizens have pride in their community i Allen has a distinct identity a Citizens are actively involved in community life iii. Residents share a vision of a healthy city 5. People Move Safely, Quickly and Efficiently A. Multi -modal B. Vehicular - priority result of "Level" C" in all developed areas by (insert date). p Y9 O P: � > o2•a u A pp •aY'o 9 3i y L' �p a. � A •H 9 C O y Y A Fi y � �� � � P�'a y y � � � 7 �p y>u � 0 0 y11p � � P `� L � QO �yy'D � •Y •O 2 � 3 C a9g LWyx �� S`L317S0 to V,yY� 000 YCS e yb" ep 9 O O Owj � O A p• N m o� c w � d �g3 Y p o Ya 9�Ao e d � m o g33•a m p a. L�` ci'eaii •E ZA ii V • c d m E a 0 d m 0 m z A Z H E W E POLICY OF II1 CtI Y COUNCIL i POLICY TYPE: ENDS POLICY 1.0 POLICY TITLE: TEMPORARY "PLUG" Pending further Council determinations, Ends of the City of Allen will remain as previously stated explicitly by the Council or as found implicitly in previously adopted Council documents. lei Date of Adoption Affirmation of official Council action adopting this polic City rctary ' POLICY TYPE: GOVERNANCE PROCESS POLICY 2.0 POLICY TITLE: GOVERNANCE COMMITMENT The purpose of the Allen City Council, on behalf of the citizens of Allen, is to see to it that the City of Allen 1) achieves appropriate results for appropriate persons at an appropriate cost and 2) avoids unacceptable actions and situations. 2.1 The Council will approach its task with a style which emphasizes outward vision rather than an internal preoccupation, strategic leadership more than administrative detail, clear distinction of Council and staff roles, collective rather than individual decisions, future rather than past or present, and proactivity rather than reactivity. 2.2 The job of the Council is to make certain contributions which lead the City Government toward the desired performance and to assure that it occurs. The Council's specific contributions are unique to its trusteeship role and necessary for proper governance and management. 2.3 The job "product' of the Mayor is, primarily, the integrity of the Council's process and, secondarily, occasional representation of the Council to outside parties. 2.4 The Council expects of its members ethical and businesslike conduct. 2.5 The Council may establish committees to help carry out its responsibilities. To preserve Council holism, committees will be used sparingly, only when other methods have been deemed inadequate. Committees will be used so as to minimally interfere with the wholeness of the Council's job and so as never to interfere with delegation from Council to City Manager. 2.6 All boards and commissions appointed by the Allen City Council exist so that Council decisions (a) will be made from an informed position, or (b) will be made in a public forum consistent with Council policy. 2.7 Because poor governance costs more than continuing to develop Council's ability to govern well, the Council will invest in its governance capacity. i Date of Adoption7-01 Affirmation of official Council action adopting this poh.J City — _ _ ' POLICY TYPE: GOVERNANCE PROCESS POLICY 2.1 POLICY TITLE: GOVERNING STYLE The Council will approach its task with a style which emphasizes outward vision rather than an internal preoccupation, strategic leadership more than administrative detail, clear distinction of Council and staff roles, collective rather than individual decisions, future rather than past or present, and proactivity rather than reactivity. In this spirit:: 1. The Council will operate in all ways mindful of its public trusteeship obligation to the citizenry who morally own city government. 2. The Council will enforce upon itself and its members whatever discipline is needed to govern with excellence through: A. Application of discipline to matters such as policy making principles, role clarification, speaking with one voice and self -policing of any tendency to stray from governance adopted in council policies. B. Individual Council members thorough preparation for meetings and regular attendance. ' C. Continuation of Council development including orientation of new members in the Council's govemance process, participation in relevant continuing education , and periodic council discussion of process improvement. 3. The Council will direct, control and inspire the organization through the careful establishment of broad written policies reflecting the Council's values and perspectives (policies). The Council's major policy focus will be on impacts on the City outside the organization, not on the administrative or programmatic means of attaining those effects. 4. The Council will be the initiator of policy, not merely a reactor to staff initiatives. The Council, not the staff, will be responsible for council performance as specified in the policy entitled Council Job Products. The Council will allow no officer, individual or committee of the Council to hinder or be an excuse for not fulfilling Council commitments. 5. The Council will be accountable to the general public for competent, conscientious and effective accomplishment of its obligations as a body. It will allow no officer, individual or committee of the Council to usurp this role or hinder this commitment. 6. The Council will regularly monitor and discuss the Council's own process and performance at each meeting, and insure the continuity of its govemance capability through continuing education and training. 7. Council members who vote in the minority are free to express their dissent but must respect the majority decision. Date of Adoption 7"a 9Gffirivadon of official Council action adopting this po' Cit euny ' POLICY TYPE: GOVERNANCE PROCESS POLICY 2.2 POLICY TITLE: COUNCIL JOB DESCRIPTION The job of the Council is to make certain contributions which lead the City Government toward the desired performance and to assure that it occurs. The Council's specific contributions are unique to its trusteeship role and necessary for proper govemance and management. Consequently, the "products" of job contributions of the Council shall be: 1. The link between city government and the citizens of Allen 2. Written governing policies that, at the broadest levels, address each category of organizational decision: A. ENDS: Organizational products, effects, benefits, outcomes (what good for which recipients at what cost?). EXECUTIVE LIMITATIONS: Constraints on executive authority which establish the prudence and ethics boundaries within which all executive activity and decisions must take place. ' C. GOVERNANCE PROCESS: Specification of how the Council conceives, carries out and monitors its own task. D. COUNCIUSTAFF LINKAGE: How power is delegated and its proper use monitored; the role, authority and accountability of the City Manager, the City Attorney, the Municipal Judge and the City Secretary. 3. The Council will produce assurance of: A. City Manager performance (against policies in 2A and 2B) B. City Attorney performance (against policies in 2A and 213) C. Municipal Judge performance (against policies in 2A and 2B) D. City Secretary performance (against policies in 2A and 2B) Ordinances, resolutions, and legislative impact on other entities Date of Adoption _-7 Affmnadon of official Council action adopting this polic . Ci ecrorary IPOLICY TYPE: GOVERNANCE PROCESS POLICY 2.3 POLICY TITLE: MAYOR'S ROLE The job "product" of the Mayor is, primarily, the integrity of the Council's process and, secondarily, occasional representation of the Council to outside parties. Accordingly: The job result of the Mayor is that the Council behaves consistently with its own rules and those legitimately imposed upon it from outside the organization. A. Meeting agendas and discussion content will be only those issues which, according to Council policy, clearly belong to the Council to decide, not the City Manager. In conjunction with the Mayor Pro Tem, the Mayor will establish annual and individual meeting agendas. B. Deliberation will be fair, open, orderly and thorough, but also efficient, limited to time, and kept to the point. 2. The authority of the Mayor consists in making decisions on behalf of the Council that fall within and are consistent with Council policies on Govemance Process and CouncillStaff Linkage, except where the Council specifically delegates portions of this authority to others. The Mayor is authorized to use any reasonable interpretation of the provisions in these policies. A. The Mayor is empowered to chair Council meetings with all the commonly accepted power of that position (e.g. ruling, recognizing). B. The Mayor has no authority to make decisions about policies created by the Council within Ends and Executive Limitations policy areas. Therefore, the Mayor has no authority to supervise or direct the City Manager. C. The Mayor may represent the Council to outside parties in announcing Council -stated positions and in stating Mayoral decisions and interpretations within the area delegated to her or him (Governance Process and Council -Manager Relationship policy areas, consistent with Council policies therein, and establishing City Council agendas). D. The Mayor is authorized, unless otherwise specified by City Charter or Council policies, to designate a chairperson and members of Council subcommittees, subject to Council approval. Date of Adoption L—aL' Lo. Affirmation of official Council action adopting this poli City ecrotary I POLICY TYPE: GOVERNANCE PROCESS POLICY 2.4 POLICY TITLE: COUNCIL MEMBERS' CODE OF CONDUCT The Council expects of its members ethical and businesslike conduct. Accordingly: 1. Members must represent unconflicted loyalty to the interests of the citizens of the entire city. This accountability supersedes any conflicting loyalty such as that to any advocacy or interest groups, or membership on other councils or staffs. This accountability also supersedes the personal interest of any Council member acting as an individual consumer of the city government's services. 2. Members must avoid any fiduciary conflict of interest or nepotism conflicts in accordance with the City's charter, ordinances or state laws. 3. Council members may not attempt to exercise individual authority over the city government except as explicitly set forth in Council policies. A. Council members' interaction with the City Manager or with staff must recognize the lack of authority in any individual council member or group of council members except ' when explicitly Council authorized. B. Council members' interaction with public, press or other entities must recognize the same limitation and the inability of any Council member(s) to speak for the Council. C C. Council members will not make individual judgments of the performance of the City Manager, hisNer staff, the City Attorney, the Municipal Court Judge or the City Secretary except as that performance is assessed against explicit council policies by the official process. D. Council members may not attempt to coerce or intimidate city employees, interfere with city employees' duties, or otherwise circumvent the authority of the City Manager. Dale ofAdoption7-,.1-19 Affirmation of official Council action adopting this poli Ci ecretary POLICY TYPE: GOVERNANCE PROCESS POLICY 2.5 POLICY TITLE: COUNCIL COMMITTEE PRINCIPLES The Council may establish committees to help carry out its responsibilities. To preserve Council holism, committees will be used sparingly, only when other methods have been deemed inadequate. Committees will be used so as to minimally interfere with the wholeness of the Council's job and so as never to interfere with delegation from Council to City Manager. Accordingly: 1. Council committees may not speak or act for the Council except when formally given such authority for specific and time-limited purposes. Expectations and authority will be carefully stated in order not to conflict with authority delegated to the City Manager. 2. Council committees are to help the Council do its job, not to help the staff do its job. Committees ordinarily will assist the Council by preparing policy alternatives and implications for Council deliberation. Council committees are not created by the Council to advise staff. 3. In keeping with the Council's broader focus, Council committees normally will not have direct dealings with current staff operations. Council committees cannot exercise authority over staff. Because the City Manager works for the full Council, he/she will not be expected to obtain ' approval of a Council committee before an executive action. 4. Council committees are to avoid over -identification with organizational parts rather than the whole. Therefore, a Council committee which has helped the Council create policy on some topic will not be used to monitor organizational performance on that same subject. 5. This policy applies only to committees which are formed by Council action, whether or not it is called a committee and regardless whether the group includes non -Council members. It does not apply to committees formed under the authority of the City Manager. Date of Adoption :7 -al- Affirmation of official Council action adopting this pol Ci Secretary POLICY TYPE: GOVERNANCE PROCESS POLICY 2.6 POLICY TITLE: COUNCIL COMMITTEE STRUCTURE A committee is a Council committee only if its existence and charge come from the Council, regardless of whether Council members sit on the committee. The only Council committees are those which are set forth in this policy. Unless otherwise stated, a committee ceases to exist as soon as its task is complete. The City Manager will serve as a non-voting member of each committee. 1. Interboard Committee A. Product: Arrangement of interboard events and interactions with other agencies (AISD, County, NTMWD, ASA, COG, etc.). B. Authority: Up to one hundred (100) hours of staff time. 2. Legislative/Government Affairs A. Product: Protection of existing $.005 sales tax; highwayttransportation funding; utility franchise; EPA/air quality. B. Authority: Up to one hundred fifty (150) hours of staff time. ' 3. Capital Improvements Projects Plan Committee A. Product: Project needs for City on five year plan, and assist in promoting bond initiative (by January, 1999). I B. Authority: Up to two thousand (2000) hours of staff time. 4. Audit Committee A. Product: Specification of scope of audit prior to outside audit - by no later than June 30th. B. Authority: Up to twenty (20) hours of staff time. Date of Adoption 7-7'9 Affirmation of official Council action adopting this poli City tory ' POLICY TYPE: GOVERNANCE PROCESS POLICY 2.7 POLICY TITLE: BOARDS AND COMMISSIONS All boards and commissions appointed by the Allen City Council exist so that Council decisions (a) will be made from an informed position, or (b) will be made in a public forum consistent with Council policy. Accordingly, the following principles shall guide the appointment and operation of all City Council appointed Boards and Commissions: 1. The authority and responsibility of any Board or Commission will not duplicate the authority or responsibility of: a. The City Council b. City Staff C. Any City Staff Advisory Committee d. Any other Board or Commission 2. All Boards and Commissions will undergo a regular sunset review, no less than every five years, ' and according to a staggered schedule to be adopted separately by Council. a. Said sunset review shall include a review of the Board and Commission's Mission Statement, and of the City Council's charge to the Board or Commission of their role, responsibility and authority. 3. Appointments to all Boards and Commissions by City Council shall be limited to maximum service of sire (6) consecutive years on any particular board or commission. Date of Adoption %—,2' 9f Affirmation of official Council action adopting this poli City rotary ' POLICY TYPE: GOVERNANCE PROCESS 1 POLICY 2.8 POLICY TITLE: COST OF GOVERNANCE Because poor governance costs mom than continuing to develop Council's ability to govern well, the Council will invest in its govemance capacity. Accordingly: 1. Council skills, methods, and supports will be sufficient to assure governing with excellence. A. Training and retraining will be used liberally to orient new members, as well as to maintain and increase existing member skills and understandings. B. Outside monitoring assistance will be arranged so that the Council can exercise confident control over organizational performance. This includes, but is not limited to, fiscal audit. C. Out mach mechanisms will be used as needed to ensure the Council's ability to listen to community viewpoints and values. 2. Costs will be prudently incurred, though not at the expense of endangering the development and maintenance of superior govemance capability. A. Up to $1,920 in fiscal 1997-98 for Mayor's and Council salaries. B. Up to $300 in fiscal 1997-98 for Plaques, Awards and Proclamations. C. Up to $4,000 in fiscal 1997-98 for Election Expenses. D. Up to $10,000 in fiscal 1997-98 for CUP. E. Up to $4.800 in fiscal 1997-98 for Council meeting and retreat costs. F. Up to $23.500 in fiscal 1997-98 for fiscal audit. G. Up to $7.500 in fiscal 1997-98 for surveys, focus groups and opinion analyses. H. Up to $15, 000 in fiscal 1997-98 for Council training, including attendance at conferences and workshops. Date of Adoption Affnmadon of official Council action adopting this polic City rory POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.0 POLICY TITLE: GENERAL EXECUTIVE CONSTRAINT The City Manager shall not cause nor allow any practice, activity, decision or organizational circumstance that is either unlawful, imprudent, or in violation of commonly accepted business and professional ethics. 3.1 The quality of life in the City of Allen depends upon the partnership between citizens, elected officials and City employees. Therefore, the City Manager shall not fail to ensure high standards regarding the treatment of our citizens. 3.2 With respect to the treatment of paid and volunteer staff, the City Manager may not cause or allow conditions which are unsafe, unfair or undignified. 3.3 With respect to planning projects, services and activities with a fiscal impact, the City Manager may not jeopardize either programmatic or fiscal integrity of city government. 3.4 With respect to the actual, ongoing condition of the city government's financial health, the City Manager may not cause or allow the development of fiscal jeopardy or loss of allocation integrity in accordance with Ends policies. ' 3.5 The City Manager shall not allow the assets to be unprotected, inadequately maintained or unnecessarily risked (except normal deterioration of infrastructure subject to bond programstfinancial conditions beyond City Manager control). 3.6 In order to prevent Allen, its citizens and its property, the City Manager shall not fail to have in place adequate plans to prevent and/or respond to emergencies and/or disasters. 3.7 In order to protect the Council from sudden loss of City Manager services, the City Manager may have no fewer than one (1) other member of the city management team familiar with Council and City Manager issues and processes. 3.8 With respect to employment, compensation, and benefits to employees, consultants, contract workers and volunteers, the City Manager shall not cause or allow jeopardy to fiscal integrity or public image. 3.9 The City Manager shall not permit the Council to be uninformed. 3.10 With respect to planning and reporting on Capital Improvements Programs, the City Manager may not jeopardize either programmatic or fiscal integrity of the organization. Date of Adoption —a7' Affirmation of official Council action adopting this polio•c ty ®City POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.1 POLICY TITLE: TREATMENT OF CITIZENS The quality of life in the City of Allen depends upon the partnership between citizens, elected officials and City employees. Therefore, the City Manager shall not fail to ensure high standards regarding the treatment of our citizens. Accordingly, helshe shall not fail to encourage the following basic attitudes in employees: • The Citizens of Allen deserve the best possible services and facilities given available resources. • Prompt action is provided to resolve problems or issues. • Attention is paid to detail and quality service is provided that demonstrates a high level of professionalism. • Each employee represents excellence in public service. • Each employee is "the City" in the eyes of the public. Date of Adoption 'i.1' - Affirmation of official Council action adopting this polic City iary ' POLICY TYPE: EXECUTIVE LIMITATIONS d POLICY 3.2 POLICY TITLE: TREATMENT OF STAFF With respect to the treatment of paid and volunteer staff, the City Manager may not cause or allow conditions which are unsafe, unfair or undignified. Accordingly, pertaining to paid staff, he/she shall not: 1. Operate without written personnel policies which clarify personnel rules for employees, provide for effective handling of grievances, and protect against wrongful conditions, such as grossly preferential treatment for personal reasons. 2. Prevent staff from grieving to the Council when (1) internal grievance procedures have been exhausted and (2) the employee alleges that either (a) council policy has been violated to his/her detriment or (b) council policy does not adequately protect his or her human rights. 3. Fail to protect employees from abusive citizens or customers. 4. Fail to acquaint staff with their rights under this policy upon employment. Date of Adoption L»4 Affnmation of official Council action adopting this poli I Ciry ecrcury POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.3 POLICY TITLE: FINANCIAL PLANNING With respect to planning projects, services and activities with a fiscal impact, the City Manager may not jeopardize either programmatic or fiscal integrity of city government. Accordingly, the City Manager shall not allow budgeting which: 1. Deviates materially from Council -stated priorities (see Ends policies) in its allocation among competing budgetary needs. 2. Contains too little information to enable credible projection of revenues and expenses, separation of capital and operational items, cash flow and subsequent audit trails, and disclosure of planning assumptions. 3. Plans the expenditure in any fiscal year of more funds than are conservatively projected to be received in that period, or which are otherwise available. 4. Reduces fund balances or reserves in any fund to a level below that established by City Council. ' 5. Fails to maintain a Budget Contingency Plan capable of responding to significant shortfalls within the City's budget. 6. Fails to provide for an annual audit. 7. Is not derived from the multi-year financial forecast. 8. Provides less for Council funding than is set forth in the Cost of Council Governance policy (see Gover we Process). el Dau: of Adoption% .Z-1 Affirmation of official Council action adopting this po City nary ._.. ' POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.4 POLICY TITLE: FINANCIAL CONDITION AND ACTIVITIES With respect to the actual, ongoing condition of the city government's financial health, the City Manager may not cause or allow the development of fiscal jeopardy or loss of allocation integrity in accordance with Ends policies. Accordingly, the City Manager may not: 1. Expend more funds than are available. 2. Allow the general fund balance to decline below sixty (60) days of operating costs. 3. Allow cash to drop below the amount needed to settle payroll and debts in a timely manner. 4. Allow tax payments or other government ordered payments or filings to be overdue or inaccurately filed. 5. Engage in any purchases wherein normally prudent protection has not been given against conflict of interest or may not engage in purchasing practices in violation of state law or the city charter. 6. Settle individual claims for damages arising from a single occurrence in an aggregate amount in excess of $5,000 without first informing the Council. 7. Allow any Type of debt to be issued where the life of the debt incurred would exceed expected asset life. 8. Use any special reserve fund, or trust or agency fund for a purpose other than for which the fund was established. 9. Allow the expenditure of organizational funds for ravel purposes which are not specifically related to or consistent with the city government's purpose and functions. Date of Adoption 9Ls%' 9i Affirmation of official Council action adopting this poli City rotary POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.5 POLICY TITLE: ASSET PROTECTION The City Manager shall not allow the assets to be unprotected, inadequately maintained or unnecessarily risked (except normal deterioration of infrastructure subject to bond programs/financial conditions beyond City Manager control). Accordingly, he or she may not: 1. Fail to have in place a Risk Management Program which insures against property losses to at least 80% of replacement value and insures against liability losses to Council members, staff and the City of Allen to the amount legally obligated to pay. 2. Allow unbonded personnel access to material amounts of funds. 3. Subject plant and equipment to improper wear and tear or insufficient maintenance. 4. Receive, process or disburse funds under controls insufficient to meet the Council -appointed auditor's standards. 5. Unnecessarily expose city government, its Council or staff to claims of liability. ' 6. Fail to protect intellectual property, information and files from loss or significant damage. 7. Acquire, encumber, dispose or contract for real property. 8. Invest or hold operating capital in violation of the City's investment policy. 9. Allow internal control standards to be less than that necessary to satisfy generally accepted accountinglauditing standards recognizing that the cost of internal control should not exceed the benefits expected to be derived. Date of Adoption Affirmation of official Council action adopting this poli ^ City a mry LI POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.6 POLICY TITLE: CITY PREPAREDNESS FOR EMERGENCIES In order to prevent Allen, its citizens and its property, the City Manager shall not fail to have in place adequate plans to prevent and/or respond to emergencies and/or disasters. Date of Adoption %'.1 - 9Y' Affirmation of official Council action adopting this poli City s j I POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.7 POLICY TITLE: EMERGENCY CITY MANAGER SUCCESSION In order to protect the Council from sudden loss of City Manager services, the City Manager may have no fewer than one (1) other member of the city management team familiar with Council and City Manager issues and processes. Date of Adoption 2 g-9iAflirmation of official Council action adopting this poli City tau —1 �I V POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.8 POLICY TITLE: COMPENSATION AND BENEFITS With respect to employment, compensation, and benefits to employees, consultants, contract workers and volunteers, the City Manager shall not cause or allow jeopardy to fiscal integrity or public image. Accordingly, pertaining to paid workers, he or she may not: 1. Change his or her own compensation and benefits. 2. Promise or imply permanent or guaranteed employment. 3. Establish current compensation and benefits which: A. Deviate materially from the geographic or professional market for the skills employed B. Create obligations over a longer term than revenues can be safely projected, in no event longer than one year. 5. Establish deferred or long term compensation and benefits. Date of Adoption 9/ Affirmation of official Council action adopting this polio 0't cny ry ' POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.9 POLICY TITLE: COMMUNICATION AND SUPPORT TO THE COUNCIL The City Manager shall not permit the Council to be uninformed. Accordingly, he or she may not: 1. Let the Council be unaware of relevant trends, anticipated adverse media coverage, material external and internal changes, particularly changes in the assumptions upon which any Council policy has been previously established. 2. Fail to submit monitoring data required by the Council (see policy on Monitoring City Manager Performance in Counci0taff Linkage) in a timely, accurate and understandable fashion, directly addressing provisions of Council policies being monitored. 3. Fail to marshal for the Council as many staff and external points of view, issues and options as needed for fully informed Council choices on major policy issues. 4. Present information in unnecessarily complex or lengthy form. 5. Fail to provide a mechanism for official Council or council subcommittee communications. ' 6. Fail to deal with the Council as a whole except (a) when fulfilling individual requests for information or (b) for responding to the Mayor or council subcommittees duly charged by the Council. 7. Fail to report in a timely manner an actual or anticipated noncompliance with any policy of the Council. 8. Fail to provide Council with sufficient information to gain an understanding of the local financial condition (such as tax base trends, sales tax trends, etc.). Date of Adoption2'd7-9r Affvmation of official Council action adopting this polic )UM 4Aildd.40� S POLICY TYPE: EXECUTIVE LIMITATIONS POLICY 3.10 POLICY TITLE: CAPITAL IMPROVEMENTS PROGRAMMING With respect to planning and reporting on Capital Improvements Programs, the City Manager may not jeopardize either programmatic or fiscal integrity of the organization. Accordingly, he or she may not allow the development of a Capital Improvement Program which: 1. Deviates materially from Council stated priorities in choosing projects. 2. Plans the expenditure in any fiscal period of more funds than are conservatively projected to be available during that period. 3. Contains too little detail to enable accurate separation of capital and operational start-up items, cash flow requirements and subsequent audit trail. 4. Fails to project on-going operating and maintenance expenses. 5. Fails to provide regular reporting on the status of the budget and on the progress of each active project in the Capital Improvement Program, including data such as changes and the financial status of each project, including expenditures to date. 6. Is not presented to the City Council in at least draft form prior to the start of each fiscal year. 11 Date of Adoption 7';- 9_fAffmn tion of official Council action adopting this poli � t ry— City eaeuuy 111122 POLICY TYPE: COUNCIL/STAFF LINKAGE POLICY 4.0 POLICY TITLE: GLOBAL COUNCIL -CITY MANAGER LINKAGE The Council's connection to Allen city government's operational organization, its achievements and conduct, with the exceptions of specific delegation to the City Attorney, Municipal Judge and City Secretary, will be through a Chief Executive Officer (CEO), tided City Manager. 4.1 The Council's job is generally confined to establishing the broadest policies; implementation and subsidiary policy development is delegated to the City Manager. 4.2 As the Council's single official link to the operating city government, the City Manager's performance will be considered to be synonymous with organizational performance as a total. 4.3 Monitoring City Manager performance is synonymous with monitoring organizational performance against Council policies on Ends and on Executive Limitations. Any evaluation of City Manager performance, formal or informal, may be derived only from these monitoring criteria. 4.4 The purpose of the City Attorney is that actions of the City of Allen take place with competent legal counsel and representation. 4.5 The purpose of the Municipal Judge is the swift enforcement of justice in the City consistent with ' the municipal court's legal jurisdiction. 4.6 The purpose of the City Secretary is to provide clerical and administrative support for the Council, and as delegated specifically by the Council and/or the City Charter. Date of Adoption71.2—`/Y Affnmation of official Council action adopting this POLICY TYPE: COUNCIL/STAFF LINKAGE POLICY 4.1 POLICY TITLE: DELEGATION TO THE CITYMANAGER ERI The Council's job is generally confined to establishing the broadest policies; implementation and subsidiary policy development is delegated to the City Manager. I . With the exception of the City Attorney, Municipal Judge and City Secretary, all Council authority delegated to staff is delegated to the City Manager, so that all authority and accountability of staff, as far as the Council is concerned, is considered to be the authority and accountability of the City Manager. 2. ENDS policies direct the City Manager to achieve certain results; EXECUTIVE LIMITATIONS policies constrain the City Manager to act within acceptable boundaries of prudence and ethics. With respect to Ends and executive means, the City Manager is authorized to establish all further policies, make all decisions, take all actions and develop all activities as long as they are consistent with any reasonable interpretation of the Council's policies. 3. The Council may change its policies, thereby shifting the boundary between Council and City Manager domains. Consequently, the Council may change the latitude of choice given to the City Manager, but so long as any particular delegation is in place, the Council and its members will respect and support the City Manager's choices. Council will not allow the impression that the City Manager has violated policy when, in fact, a policy change has occurred. This does not ' prevent the Council from obtaining information in the delegated areas. 4. No Council member or Council subcommittee has authority over the City Manager, except when a subcommittee has been authorized to incur some amount of staff cost for study of an issue. Information may be requested by these individuals or groups, but if such request, in the City Manager's judgment, requires a material amount of resources or is detrimental to other necessities, it may be refused. 5. Should the City Manager deem it necessary to violate a Council policy, he or she shall promptly inform the Council. Informing is simply to guarantee no violation may be intentionally kept from the Council, not to request approval. Council response, either approving or disapproving, does not exempt the City Manager from subsequent Council judgment of the action nor does it curtail any irrevocable executive decision. Date of Adoption-2—.7"ff Affirmation of official Council action adopting this poli City S rctary 0 POLICY TYPE: COUNCIL/STAFF LINKAGE POLICY 4.2 POLICY TITLE: CITY MANAGER JOB DESCRIPTION As the Council's single official link to the operating city government, the City Manager's performance will be considered to be synonymous with organizational performance as a total. I. Consequently, the City Manager's job contributions can be stated as performance in only two areas: A. Organizational accomplishment of the provisions of Council policies on ENDS. B. City government operation within the boundaries of prudence and ethics established in council policies on EXECUTIVE LIMITATIONS. Date of Adoption Affirmation of official Council action adopting this poli City ' POLICY TYPE: COUNCIL/STAPP LINKAGE POLICY 4.3 POLICY TITLE: MONITORING CITY MANAGER PERFORMANCE Monitoring City Manager performance is synonymous with monitoring organizational performance against Council policies on Ends and on Executive Limitations. Any evaluation of City Manager performance, formal or informal, may be derived only from these monitoring criteria. Accordingly: 1. The purpose of monitoring is simply to determine the degree to which Council policies are being met. Information which does not do this will not be considered to be monitoring. Monitoring will be as automatic as possible, using a minimum of Council time so that meetings can be used to create the future rather than to review the past. 2. A given policy may be monitored in one or more of three ways: A. Internal Report: Disclosure of compliance information to the Council from the City Manager. B. External Report: Discovery of compliance information by a disinterested, external auditor, inspector or judge who is selected by and reports directly to the Council. Such reports must assess executive performance only against policies of the Council, not those of the external party unless the Council has previously indicated that party's opinion to be the standard. C. Direct Council Inspection: Discovery of compliance information by a Council member, a committee or the Council as a whole. This is a Council inspection of documents, ' activities or circumstances directed by the Council which allows a "prudent person" test of policy compliance. 3. Upon the choice of the Council, any policy can be monitored by any method at any time. For regular monitoring, however, each Ends and Executive Limitations policy will be classified by the Council according to frequency and method. 4. The Council will conduct an annual formal evaluation of the City Manager based only upon a summation examination of the monitoring data acquired during that period. n 5. The Council may monitor City Manager performance with respect to these expectations at any time, but Council intends to monitor on a routine basis. Lelia Method Frequency Schedule General Executive Constraint Not addressed Not addressed Treatment of Citizens Internal Quarterly Dec., Mar., Jan., Sep. Treatment of Staff Internal Annually September Financial Planning/Budgeting Internal Quarterly Jan., Apr., Jul., Oct., Financial Condition & Activities Internal Quarterly Jan., Apr., Jul., Oct., External Annually Close of Fiscal Yr. Asset Protection Internal Annually March City Preparedness for Emergencies Internal Annually March Emergency City Manager Succession Internal Annually December Compensation and Benefits Internal Annually March Direct Inspection Biannually March, odd N yrs. Communication and Support to the Council Direct Inspection Annually October Capital Improvements Programming Direct Inspection Annually October (NOTE: As Ends Policies are developed, they will be added to this list.) Date of Adoption') -aid - W Affirmation of official Council action adopting this poli CW - City S Wy 1 ' POLICY TYPE: COUNCILISTAFT LINKAGE POLICY 4.4 POLICY TITLE: COUNCIL -CITY ATTORNEY RELATIONSHIP The purpose of the City Attorney is that actions of the City of Allen take place with competent legal counsel and representation. Accountability of the City Attorney A. The City Attorney is accountable to the City Council acting as a body, never to any individual member or group of members, nor to the Mayor, City Manager, Municipal Judge or City Secretary. B. The City Attorney may respond to requests for information or action by Council members, the City Manager, Municipal Judge or City Secretary, but remains accountable to the Council as if the response were an action taken on his or her own initiative. Therefore, the City Attorney has the right to refuse to respond to such requests in his or her best professional judgment so long as these individuals are not treated differently in this respect. C. City Attorney accountability is for all resources, including personnel, under his or her control. Therefore, any accomplishments or violations due to actions of a subordinate of the City Attorney are considered to be accomplishments or violations by the City Attorney. D. The City Attorney may accomplish the "Job Products" of the position in any manner not imprudent, unethical, or in violation of the prohibitions listed below under "limitations on City Attorney Authority." E. The City Attorney may use any reasonable interpretation of Council language. The City Attorney is authorized to establish all further policies, make all decisions, take all actions and develop all activities as long as they are consonant with any reasonable interpretation of the Council's policies. 2. Job Products of the City Attorney A. Timely opinion on documents and contemplated actions of City Council and City Manager. 1. Potential ordinances under consideration by the Council. 2. Any action or document of the City Manager submitted for opinion. 3. Legal ramifications of pending litigation. 4. Legal process of the Council 5. Any action or document of duly appointed Boards or Commissions submitted for opinion. 6. When requested or appropriate, alternate language or action to achieve Council or City Manager intentions in a lawful manner. Date of Adoption% a'9i� Affumation of official Council action adopting this poli IXIC aty rosy ' B . Recommendations for avoidance of litigation or settlement of potential litigation Date of Adoption L -LE Affirmation of official Council action adopting this poli City Acraiary I. Timely provision of information regarding potential litigation. 2. Settlement of otherwise unavoidable litigation without undue loss of future options. 3. Negotiations for settlement. C. Diligent and successful representation of the City in litigation. 1. Protection of the City from court judgments. 2. Timely and successful prosecution of violations of municipal law. 3. Limitations on City Attorney Authority. A. No exercise of authority over City Manager, Municipal Judge or City Secretary. B. No violation of applicable codes of professional ethics and conduct. C. No treatment of citizens or staff in a discourteous, undignified or unfair manner. D. All employees under the City Attorney purview must comply with the same personnel policies, compensation plans and other city policies which have been adopted by the City Manager for all of the city's employees, the only exception being that the first step in the grievance process will be the City Attorney rather than to the City Manager. E. No expenditures or fiscal encumbrances beyond those authorized under Council policy. F. Information shall not unreasonably be withheld or fail to cooperate with the City Manager, Municipal Judge or City Secretary in the performance of their official functions. 4. Evaluation of City Attorney performance. A. City Attorney accountability is only for job expectations explicitly stated by the Council in this document and/or outlined in the City Charter. Consequently, the provisions herein are the sole basis of any subsequent evaluation of City Attorney performance, though he or she may use any reasonable interpretation of the Council's words. B. The Council may monitor City Attorney performance with respect to these expectations at any time, but Council intends to monitor on a routine basis (at the time of contract renewal.) Date of Adoption L -LE Affirmation of official Council action adopting this poli City Acraiary POLICY TYPE: COUNCIL/STAPF LINKAGE POLICY 4.5 POLICY TITLE: COUNCIL -MUNICIPAL JUDGE RELATIONSHIP The purpose of the Municipal Judge is the swift enforcement of justice in the City consistent with the municipal court's legal jurisdiction. 1. Accountability of the Municipal Judge. A. The Municipal Judge is accountable to the City Council acting as a body, never to any individual member or group of members, nor the Mayor, City Manager, City Attorney or City Secretary. B. The Municipal Judge may respond to requests for information or actions by such individuals, but remains accountable to the Council as if the response were an action taken on his or her own initiative. Therefore, the Municipal Judge has the right to refuse to respond to those individuals in accordance with his or her professional judgment, so long as those individuals are not treated differently in this respect. C. Municipal Judge accountability is for all resources, including personnel, under his or her control. Therefore, any accomplishments or violations due to actions of a subordinate of the Municipal Judge are considered to be accomplishments or violations ' by the Municipal Judge. D. The Municipal Judge may accomplish the "Job Products" of the position in any manner not imprudent, unethical, or in violation of the prohibitions listed below under "Limitations on Municipal Judge Authority." E. The Municipal Judge may use any reasonable interpretation of Council language. The Municipal Judge is authorized to establish all further policies, make all decisions, take all actions and develop all activities as long as they are consonant with any reasonable interpretation of the Council's policies. 2. Job Products of the Municipal Judge A. Fair and independent judgment under the law. B. Impartial and timely adjudication of cases. C. Participants' respect of the administration of justice. D. Defendants' understanding of the law with respect to their circumstances. 3. Limitations on Municipal Judge Authority. A. No exercise of authority over City Manager, City Attorney or City Secretary. B. No violation of applicable codes of professional ethics and conduct. l Date of Adoption %''9 Affirmation of official Council action adopting this poli city J ' C. No exercise of undue influence. D. No treatment of citizens or staff in a discourteous, undignified or unfair manner. E. All employees under the Municipal Judge purview must comply with the same personnel policies, compensation plans and other city policies which have been adopted by the City Manager for all of the city's employees, the only exception being that the first step in the grievance process will be the Municipal Judge rather than to the City Manager. F. No expenditures or fiscal encumbrances beyond those authorized under Council policy. G. Information shall not unreasonably be withheld or fail to cooperate with the City Manager, City Attorney or City Secretary in the performance of their official functions. 4. Evaluation of Municipal Judge performance. A. Municipal Judge accountability is only for job expectations explicitly stated by the Council in this document and/or outlined in the City Charter. Consequently, the provisions herein are the sole basis of any subsequent evaluation of Municipal Judge performance, though he or she may use any reasonable interpretation of the Council's words. ' B. The Council may monitor Municipal Judge performance with respect to these expectations at any time, but Council intends to monitor on a routine basis (annually - month of C 2 C. The Council will conduct an annual formal evaluation of Municipal Judge performance, but such evaluation is the accumulation of previous periodic monitoring inasmuch as the same criteria are involved. Date of Adoption %• a— r6 Affnaation of official Council action adopting dds polic .. City tary POLICY TYPE: COUNCIL/STAPP LINKAGE POLICY 4.6 POLICY TITLE: COUNCIL -CITY SECRETARY RELATIONSHIP The purpose of the City Secretary is to provide clerical and administrative support for the Council, and as delegated specifically by the Council and/or the City Charter. Accountability of the City Secretary. A. The City Secretary is accountable to the City Council acting as a body, never to any individual member or group of members, nor the Mayor, City Manager, City Attorney or Municipal Judge. B. The City Secretary may respond to requests for information or actions by such individuals, but remains accountable to the Council as if the response were an action taken on his or her own initiative. Therefore, the City Secretary has the right to refuse to respond to those individuals in accordance with his or her professional judgment, so long as those individuals are not treated differently in this respect. C. City Secretary accountability is for all resources, including personnel, under his or her control. Therefore, any accomplishments or violations due to actions of a subordinate of the City Secretary are considered to be accomplishments or violations ' by the City Secretary. D. The City Secretary may accomplish the `Job Products" of the position in any manner not imprudent, unethical, or in violation of the prohibitions listed below under "Limitations on City Secretary Authority." E. The City Secretary may use any reasonable interpretation of Council language. The City Secretary is authorized to establish all further policies, make all decisions, take all actions and develop all activities as long as they are consonant with any reasonable interpretation of the Council's policies. 2. Job Products of the City Secretary A. Maintenance of city records. B. Run all city elections C. Administration of the Municipal Court D. Clerical/administrative support for Council (including, but not limited to, minutes, correspondence, establishment of Council calendar, travel arrangements, administration of Council budget). 3. Limitations on City Secretary Authority. A. No exercise of authority over City Manager, City Attorney or Municipal Judge. Date of Adoption 2--4--ff Affirmation of official Council action adopting this polic City tory B. No violation of applicable codes of professional ethics and conduct. C. No exercise of undue influence. D. No treatment of citizens or staff in a discourteous, undignified or unfair manner. E. All employees under the City Secretary purview must comply with the same personnel policies, compensation plans and other city policies which have been adopted by the City Manager for all of the city's employees, the only exception being that the first step in the grievance process will be the City Secretary rather than to the City Manager. F. No expenditures or fiscal encumbrances beyond those authorized under Council policy. G. Information shall not unreasonably be withheld or fail to cooperate with the City Manager, City Attorney or Municipal Judge in the performance of their official functions. 4. Evaluation of City Secretary performance. A. City Secretary accountability is only for job expectations explicitly stated by the Council in this document and/or outlined in the City Charter. Consequently, the provisions herein are the sole basis of any subsequent evaluation of City Secretary performance, though he or she may use any reasonable interpretation of the Council's ' words. B. The Council may monitor City Secretary performance with respect to these expectations at any time, but Council intends to monitor on a routine basis (annually - month ofd C. The Council will conduct an annual formal evaluation of City Secretary performance, but such evaluation is the accumulation of previous periodic monitoring inasmuch as the same criteria are involved. Date of Adoption Affimation of official Council action adopting this polic .ty S