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HomeMy WebLinkAbout22-Council Office CITY OF SAN BER~RbINO - REQUEST LOtR COUNCIL ACTION From: COUNCIL PERSONNEL COMMITTEE Subject: Referral by Personnel Committee to full Council of implementation plan for City Attorney audit Dept: Daw: March 24, 1994 Synopsis of Previous Council action: Recommended motion: That the document submitted by be selected as the implementation plan for the City Attorney's audit. (/ '""- Signature Contact person: Yes Ward: FUNDING REOUIREMENTS: Amount: Phone: Supporting data attached: Source: (Acct, No.! (Acet, Descriotion) Finance: Council Notes: ,2vh/~~ o/'7/J}/ ". .-~.", ., 75-0262 AQenda Item No._ M o o C I T Y 0 F SAN B ERN A R DIN 0 INTEROFFICE MEMORANDUM CITY ADMINISTRATOR'S OFFICE DATE: March 23, 1994 TO: Councilman Ralph Hernand,:z, Chairman, Personnel Committee FROM: Fred Wilson, Assistant City Administrator SUBJECT: City Attorney Audit Implementation Schedule COPIES: Shauna Clark, City ~'~inistrator Attached is the City Attorney Audit Implementation Schedule through March 1994 for the Council Personnel Committee meeting scheduled Ma ch 24, 1994. Administrator FAW/md 0, o Marr:h 1994 City Attorney Audit Implementation Schedule ;;. Section 1. Use of Outside Counsel, Vendor Selection Respoll,ihle Implementation Measures Person Status 1.1 Adopt a formal competilive vendor ..,1""lion process to relain Ihe services of oUlside coun..,1 Jim Penman Submil proposed vendor selection process to Council and establish procedures to document Ihal for review/approval. compeling firms are objectively evalualed according to established crileria, Nothing in this recommendalion should be construed 10 prevent the Cily of San Bernardino from al all times sel""ling Ihe most qualified law lirm. even if the firm is more COSIly than olher firms, However. such ..,1""lion should be based on a compelilive vendor ..,Iechon process, 1.2 Meet with the Finance Dir""lor to clarify roles and responsibilities related 10 paymenl Jim Penman Finance Director will develop written guidelines processing and financial record keeping for B, Pachon outlining paymenl processing procedures, Finance outside counsel legal ~rvices. Work with the Director 10 meet with Cily Atlomey 10 discuss Finance Director to develop proposed proposed code amendments. amendments 10 Ihe Municipal Code which would clearly deline the linancial relationships and responsibilities of each of Ihe.., Cily oflicials, , 1.3 Adopl policies and procedures which will ensure that termsl, written agreements are Jim Penman Submit proposed policy to Council for established wilh all currenl and fulure contracl review/approval. law firms, and Ihat such agreemenls are approved by the Council in public session, L - Section 2. Financial contro9:r Outside CounSel Services and L~ation Expenses ImplelJk:ntation Responsible Measures Person StalUs 2.1 Retain working papers which support Provide copies to Director of Finance as part of annual budget estimates for outside counsel Jim Penman budget process, requirements, , 2.2 Monitor the stalUs of appropriations during the fiscal year and provide advance notice and Jim Penman Provide regular reports to Council and Finance Director. justification to the Mayor and City Council in the event appropriations may be exceeded, 2.3 Implement accounting procedures to be Jim Penman Implement as part of Accounting Procedures Manual consistent with invoice paYlJk:nt procedures to 8. Pachon be established by the DepartlJk:nt of Finance, as recommended below, 2,4 Immediately develop a comprehensive 8, Pachon 4/1194 Finance to solicit proposals to develop manual accounting policy manual. for City, 2.5 Establish improved financial controls over 8. Pachon Implement as part of Accounting Procedures Manual the payment of vendor invoices, as discussed in Jim Penman the body of this section, 2.6 More clearly define the duties and Jim Penman Implement as part of Accounting Procedures Manual responsibilities of the Finance Department and 8, Pachon of other City Departments in the invoice approval payment process, Section 3. Staffing and Personnel Management Responsihle Implementation Measures Person Status 3.1 D~velop improved systems of accountability over its professional and support slaff including Jim Penman Provide summary of lime spent by each employee in utilization of time sheets which ensure that terms of activity type and service recipienllo Finance attorneys, paralegals and investigators document Director as part of cost recovery annual update how their time is spent by activity type and process, service recipient. 3.2 Develop management reports which tabulate and summarize the time spent and workload Jim Penman Provide summary reports to Council. accomplishments of professional and support staff, 3.3 'Conduct periodic and formal performance evaluations for all staff, Jim Penman - - o o Section 4. Inronnation Systems and Office Automation Responsible Implementation Measures Person Status 4.1 Develop an information system master plan Jim Pen~ 2,15,94 J. Penman met with MIS Director to discuss which contains the elements described in this Fred Wilson feasibility of using City System, (No interest section. Janis Ingels expressed in this option) 4,2 Assign an experienced legal secretary to implement tbe recommended information systems Jim Penman Contingent upon approval and purchase of computer master plan once it has been approved, system. 4.3 Appropriate the funds that are necessary to Mayor & implement master plan, Council Contingent upon approval and purchase of computer system. 4.4 Autborize the City Attorney to till one Mayor & 1/10/94 Referred to PersoMel Committee vacant legal secretary position on a temporary Council Contingent upon approval and purchase of computer basis for a period of twelve months, system. Section S. Ortice or the City Attorney Cost Recovery Respon.~ible Implementation Measures Person Status 5.1 Adopt a cost recovery policy which allows Jim Penman the Office of the City Attorney to recover the Fred Wilson Meet with Finance Director and develop cost of its operations from non-General Fund B. Pachon recommendations on cost recovery policy, Submit sources where possible. regular reports to Council on progress of policy, 5.2 Instruct the Finance Department to assist the B, Pachon City Attorney in exr:.cuting this cost recovery Fred Wilson See 5.1 policy and to report upon the actions that will be required to realize the potential additional revenues identified j- .. is Section. -'~ - - o o Section 6. Cost Effectiveness oC Outside Counsel Responsible Statl6 Implementation Measures Person 6.1 Approve the following changes in the Mayor & .. authorized staffing level of the Office of the City Council Recruitment authorized by Personnel Committee, Attorney: . Delete funding for one paralegal; and. Personnel Final hiring to be approved by Personnel Committee . Add funding for one Deputy City Attorney Committee and Mayor and Council 6.2 Authorize the City Attorney to recruit for the Mayor & 1/10/94 Referred to Personnel Committee new position immediately, Council 1/13/94 Recruitment authorized by Committee 6.3 Reduce appropriations for outside counsel Mayor & and increase budgeted revenues from Ihe EDA to Council Should be concurrent Council action with approval of fund the new Deputy Cily Attorney position, new Attorney position. based upon the expected utilization of the new Deputy City Allorney position, 6,4 Require that the City Attorney periodically report to the Mayor and City Council on how the Provide quarterly progress reports to Council. newly created Deputy City Allorney position is being utilized. Other Comments & Observations Implementation Measures Responsible FL"IANCE DEPARTMENT Person Status Verify accuracy of invoices and ensure adequate Finance Director 10 provide written guidelines to City supporting documentation accompanies invoices B. Pachon Attorney outlining standards for adequate documentation. Implementation Measures I Responsible RISK MANAGEMENT Person Status Systematically update database of outstanding Jim Penman 1/12/94 MIS revised current Risk Management ~eneral liability claims and liability reserve V ic Lorch reports, B, Pachon Il _ - o o C I T Y 0 F SAN B ERN A R DIN 0 INTEROFFICE MEMORANDUM TO: Mayor Tom Minor FROM: James F. Penman, City Attorney DATE: January 2l, 1994 RE: Management Audit of the San Bernardino City Attorney's Office We have carefully reviewed the recommendations contained in the Management Audit of the City Attorney's Office performed by the Harvey M. Rose Accountancy Corporation, and have the fOllowing recommendations for implementation: "1.1 [The City Attorney should] Adopt a formal competitive vendor selection process to retain the services of outside counsel and establish procedures to document that competing firms are objectively evaluated according :to established criteria. Nothing in this recommendation should be construed to prevent the City of San Bernardino from at all times selecting the most qualified law firm, even if the firm is more costly than other firms. However, such selection should be based on a competitive vendor selection process." Implementation - As noted in the report the evaluation process was already implemented prior to the study. An objective selection and recommendation process has now been implemented for recommending outside law firms to the Mayor and Council. "1.2 [The City Attorney should] Meet with the Finance Director to clarify roles and responsibilities related to payment processing and financial record keeping for outside counsel legal services. Work with the finance Director to develop proposed amendments to the Municipal Code which would clearly define the financial relationships and responsibilities of each of these City officials." 'Implementation Already implemented as to roles and responsibilities. Several meetings have been held and more are anticipated. As to code amendments, Finance Department needs to identify those code sections they believe need amending for our joint review. DAS..j. [Audit4.Mem) - o o To: Mayor Tom Minor Re: Manag...n~ Audi~ of ~he San Bernardino Ci~y A~~orney's Office Page 2 "1.3 [The Ci~y A~~orney should] Adop~ policies and procedures which will -.usure ~ha~ fonual, wri~~en agreemen~s are es~abl1shed wi ~h all curren~ and fu~ure con~rac~ law firms, and ~ha~ such agreemen~s are approved by ~he Council in public session." Implementation - Specific policies for such agreements will be in place by January 28, 1994. "2.1 [The Ci~y A~~orney should] Re~ain working papers which suppor~ budge~ es~ima~es for ou~.ide counsel requirements." Implementation - Already implemented. "2.2 [The Ci~y A~~orney should] Monitor ~he s~a~us of appropria~ions during ~he fiscal year and provide advance no~ice and jus~ifica~ion to the Mayor and Ci ~y Council in ~he even~ appropria~ion. may be exceeded." Implementation - Already implemented. "2.3 [The Ci~y A~~orney should] Implemen~ accoun~ing procedures ~o be consis~en~ wi ~h invoice paymen~ procedures to be es~ablished by ~he Departmen~ of Finance, as recommended below." Implementation - This is primarily a matter for the Department of Finance. We will review the invoice payment procedures when established. "2.4 [The Direc~or of Finance should] Immedia~ely develop a comprehensive accoun~ing policy manual." Implementation - To be accomplished by the Director of Finance. "2.5 [The Direc~or of Finance should] Es~ablish improved financial con~rols over the paymen~ of vendor invoices, as discussed in ~he body of ~his sec~ion." Implementation - To be accomplished by the Director of Finance. DAB/js [Audit4,M..1 o o To: Mayor Tom Minor Re: Manage.en~ Audi~ of ~he San Bernardino Ci~y A~~orney's Office Page 3 "2.6 [The Direc~or of Finance .hould] More clearly define ~he du~ie. and re.pouaibili ~ie. of ~he Finance Departmen~ and of o~her Ci ~y DepartJaen~. in ~he invoice approval and pa~en~ proce..... Implementation - To be accomplished by the Director of Finance. "3.1 [The Ci~y A~~orney .hould] Develop illproved .y.~_. of accoun~abili~y over i~. profe..ional and suppor~ s~aff, including ~he u~ilb:a~ion of ~i_ .hee~. which ensure ~ha~ a~~orney., paralegals and inves~iga~or. documen~ how their ~i.. i. .pen~ by ac~ivi~y ~ype and .ervice recipien~." Implementation - Already implemented. "3.2 [The Ci~y A~~orney should] Develop managellen~ repor~s which ~abula~e and .~rize ~he ~ille .pen~ and workload accolDplishmen~. of profe..ional and .uppor~ s~aff." Implementation - Development of such reports pending computer upgrade as outlined in the audit. (See Section 4 of the Audit, page 28) "3.3 [The Ci~y A~~orney should] Conduc~ periodic and formal performance evalua~ions for all s~aff." Implementation - The appropriateness and legal implications for how such evaluations apply to "at will" employees is currently under study. "4.1 [The Ci~y A~~orney should] Develop an informa~ion sy.~em mas~er plan which con~ains ~he elemen~s described in ~his sec~ion." Implementation - Research on this matter is in progress and preliminary reports are due to the City Attorney by February 4, 1994. "4.2 [The Ci~y A~~orney should] Assign an experienced legal secre~ary ~o ilDplellen~ ~he recommended informa~ion sys~ells mas~er plan once i~ has been DAB/js (Audit4.Mem) o o To: Mayor Tom Minor Re: Manag...nt Audit of the San Bernardino City Attorney's Office Page 4 approved." Implementation - This matter is pending the computer upgrade and the hiring of the legal secretary as outlined in the audit. "4.3 [The Mayor and Council should] Appropriate the funds that are necessary to imple.ent this inforaation systems master plan." Implementation - The Mayor and Council. "4.4 [The Mayor and Council should] Authorize the City Attorney to fill one vacant legal secretary position on a temporary basis for a periOd of twelve months." Implementation - The Mayor and Council. "5.1 [The Mayor and Council should] Adopt a cost recovery policy which allows the Office of the City Attorney to recover the cost of its operations from non- General Fund sources where possible" Implementation - The Mayor and Council. "5.2 [The Mayor and Council should] Instruct the Finance Department to assist the City Attorney in executing this cost recovery policy and to report upon the actions that will be required to realize the potential additional revenues identified in this Section." Implementation - The Mayor and Council, and the Finance Department. "6.1 [The Mayor and Council should] Approve the following changes in the authorized staffing level of the Office of the City Attorney: Delete funding for one paralegal; and Add funding for one Deputy City Attorney." ,Implementation - The Mayor and Council (Note - although the recommendation does not state what level of Deputy City Attorney is anticipated, the body of the report specifies a Deputy City Attorney IV; See Section 6 of the Audit, page 41) DAB/j. [Audit4,M... o o To: Mayor Tom Minor Re: Manage_nt Audit of the San Bernardino City Attorney's Office Page 5 "6.2 [The Mayor and Attorney to i_ediately." Council should] Authorize the City recrui t for the new posi tion Implementation - The Mayor and Council. "6.3 [The Mayor and Council should] Reduce appropriations for outside coun.el and increa.e budgeted revenue. frOll. the BOA to fund the new Deputy City Attorney po.ition, based upon the expected utilization of the new Deputy City Attorney position." Implementation - The Mayor and Council. The City Attorney has determined that litigation will be the most effective use for this position. Therefore, a reduction in appropriations for outside counsel will be the funding resources rather than increased revenue from EDA. "6.4 [The Mayor and Council should] Require that the City Attorney periodically report to the Mayor and City .::ouncil on how the newly created Deputy City Attorney position is being utilized." Implementation - The Mayor and Council (Note - implementation of this recommendation must await filling of the Deputy City Attorney position) OTHER COMMENTS AND OBSERVATIONS 1. The Finance Department should verify "that invoices submitted by vendors represent valid c1ai.s against the City and that such invoices are consistent with existing contractual agre_ents." (Page 3 of the Audit) Implementation - The Finance Department. 2. The Finance Department should ensure "that adequate supporting documentation accompanies invoices prior to the payment of such invoices." (Page 4 of the Audit) Implementation - The Finance Department. 3. The Risk Management Department should "systematically update its database of outstanding general liability DAB/j_ [Audit4,M..) Jl!iJ o o To: Mayor Tom Minor Re: Manage_nt Audit of the San Bernardino City Attorney'. Office Page 6 claims against the City [and general liability reserve] to reflect significant eventa-that transpire.R (Page 4 of the Audit) Implementation - Risk Management. 4. "[T]he City Attorney should actively seek to iaprove its working relationship with other City Departments." (Page 6 of the Audit) Implementation - The office of the City Attorney has already begun attempting to be more 'user friendly,' with the officers and employees of the City. 5. The Finance Depar'tment should establish an authorized signature file. (Page 18 of the Audit) Implementation - The Finance Department. 6. "The City Attorney should consider modifying the agreement wi th the Economic Development Agency to provide for direct billing for all services instead of using the existing retainer policy." (Page 36 of the Audit) Implementation - The Mayor and Council. DAB';5 (Audit4.Me_J o o C I T Y 0 F SAN B ERN A R DIN 0 INTEROFFICE MEMORANDUM TO: The Mayor and Common Council FROM: Dennis A. Barlow, Sr. Asst. City Attorney April 1, 1994 DATE: RE: Implementation Plan for Audit of City Attorney's Office The question arises whether the Council can adopt an implementation plan for the recent audit of the City Attorney's office which requires the City Attorney to report to, and follow the direction of, an officer of the City other than the Mayor. The Charter of the City, which is in effect the constitution of the City, outlines the powers of the Mayor in pertinent part as follows: "The Mayor shall cause the strict enforcement of all laws and ordinances within his jurisdiction, shall vigilantly observe the official conduct of all public officers, and take notice of the fidelity and exactitude, or the want thereof, with which they execute their duties and obligations, especially in the collection, administration and disbursement of publiC funds and property. ... The Mayor shall have general supervision over all departments and public institutions of the City; [and] shall cause them to be honestly, economically and lawfully conducted..." (Charter S50) The Charter grants the Council the legislative responsibilities (Charter S30) and then lists specifically what these powers entail (Charter S40). Nowhere does the Charter give the Council the power of supervision or the power to withdraw from other City officers powers vested in them by the Charter. On the contrary the law is clear that such powers cannot be withdrawn and gi ven to another. The long established rule can be stated as follows: "Whatever duties are imposed on officers by law must be personally discharged by them and the City cannot relieve its officers from discharging their regular duties by contracting by ordinance or otherwise with other persons to perform part or all of them." (2 ~cQuillin, Municipal Corporations. 3d Ed. Rev., SlO.35, pg. 1113; See also House v. Los Angeles County (1894) 104 Cal 73, 78) ~1if ;;F2-2 To: Re: Mayor and c~on Council Implementation Plan for Audit of City Attorney's Office 2 o Page In this instance the . .ayor 'las exercised his functions of general supervision as oUelined in the Chareer by approving the implementation schedule prepared by the City Attorney isee attached). The Ccunc1l cannot cake that function away from the ~ayor and give it t~ another. !he Council may nOe place itself or another officer in the place and stead of the Mayor withoue an amendment to the Charter. ~&~~- j DENNIS' A. ARLOW - '- ~"",." . .1 o CITY OF SAN BERNARDINOO INTER-OFFICE MEMORANDUM OFFICE OF THE MAYOR TO: James F. ?enman. City Attorney FROM: Tom Minor, ~ayor SUBJECT: Implementation cf Audit of City Attorney's Office DATE: January 21, ~994 COPIES: All Counc~l ~embers; Rachel Clark. City Clerk; Kennedy, Ci ty Treasurer; Shauna Clark, Adminis~ratcr; 9arbara Pachon, Finance Director David Cio;y I have reviewed the attached memorandum from you dated January 20, 1994, outlining the implementation of the audit of the City Attorney's Office. and approve the implementation schedule and process as indicated, I note that this schedule is similar to the one proposed by the City Administrator. 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N U ... ::I 0 III -- , ".. ,~I'3~L~~,jll 7<:0 - 0':'~'-: "'::-" ~:':' . :J r", 6"4 ~. ," .' j,~ . ':! 1 J ~'. C 1 City of BIG I~&l/;:'''-'-'' - If I ~. . ~:~,.. tJI~~~ PAX NUMBER (909) 862-3180 TELBCOPY TOI Rachel Clark. City Clerk From: Mayor John Iili~cr Datel Juno 3, 1994 Time: Subject: Stubblefield project paqes (inolU4inq thia cover sha.t): Three operator: D<!bbie Anderson. City Clerk KBSSAGIU We wOllld like this as part of t.he record. Thank YOIl. PLEASE CALL (909) 864-6861 IF THERE ARE ANY PROBLEMS IN R~CEIVING THIS TRANSMISSION.