HomeMy WebLinkAbout26- Personnel ITY OF SAN BERNAR[ NO - REQUEST FOR OUNCIL ACTION
., COUNCIL PERSONNEL COMMITTEE Subject: Referral by Personnel Committee to
full Council of implementation
plan for City Attorney audit
March 24 , 1994
psis of Previous Council action:
mmended motion:
That the document submitted by be selected
s the implementation plan for the City Attorney' s audit .
Signature
act person: S Phone:
orting data attached: Yes Ward:
DING REQUIREMENTS: Amount:
Source: (Acct. No.)
(Acct. Description)
� �, �/' Finance:
Notes:
,641 411&
�2 Agenda Item No._ o26
March 1994
City Attorney Audit
Implementation Schedule
Section 1. Use of Outside Counsel, Vendor Selection
Responsible
Implementation Measures Person Status
1.t Adopt a formal competitive vendor selection
process to retain the services of outside counsel Jim Penman Submit proposed vendor selection process to Council
and establish procedures to document that for review/approval.
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,
uch selection should be based on a competitive
vendor selection process.
1.2 Meet with the Finance Director to clarify
roles and responsibilities related to payment Jim Penman Finance Director will develop written guidelines
processing and financial record keeping for B. Pachon outlining payment processing procedures. Finance
outside counsel legal services. Work with the Director to meet with City Attorney to discuss
Finance Director to develop proposed proposed code amendments.
amendments to the Municipal Code which would
clearly define the financial relationships and
responsibilities of each of these City officials.
1.3 Adopt policies and procedures which will
ensure that formal, written agreements are Jim Penman Submit proposed policy to Council for
established with all current and future contract review/approval.
law firms, and that such agreements are approved
by the Council in public session.
Section 2. Financial Controls .,,r Outside Counsel Services and Litigation Expenses
Implementation Responsible
Measures Person Status
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 status 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 payment procedures to B. Pachon
be established by the Department of Finance,
as recommended below.
2.4 Immediately develop a comprehensive B. Pachon 4/1/94 Finance to solicit proposals to develop manual
accounting policy manual. for City.
2.5 Establish improved financial controls over B. 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 pan of Accounting Procedures Manual
responsibilities of the Finance Department and B. Pachon
of other City Departments in the invoice
approval payment process.
Section 3. Staffing and Personnel Management
Responsible
Implementation Measures Person Status
3.1 Develop improved systems of accountability
over its professional and support staff including Jim Penman Provide summary of time spent by each employee in
utilization of time sheets which ensure that terms of activity type and service recipient to 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
0
Section 4. Information Systems and Office Automation
Responsible
Implementation Measures Person Status
4.1 Develop an information system master plan Jim Penmavi- 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 the 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 Authorize the City Attorney to till one Mayor & 1/10/94 Referred to Personnel Committee
vacant legal secretary position on a temporary Council Contingent upon approval and purchase of computer
basis for a period of twelve months. system.
,tion 5. Office of the City Attorney Cost Recovery
Responsible
Implementation Measures Person Status
5.1 Adopt a cost recovery policy which allows Jim Penman
the Office of the City Attomev 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 executing 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 r is Section.
0
Section 6. Cost Effectiveness of Outside Counsel
Responsible Status
Implementation Measures Person
6.1 Approve the following changes in the Mayor &
authorized staffing level of the Office of the City Council "s 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 Mavor &
and increase budgeted revenues from the EDA to Council Should be concurrent Council action with approval of
fund the new Deputy City Attorney position. new Attomey position.
based upon the expected utilization of the new
Deputy City Attorney 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 Attorney position is
being utilized.
Other Comments & Observations
Implementation Measures Responsible
FINANCE DEPARTMENT Person Status
Verifv accuracy of invoices and ensure adequate Finance Director to provide written guidelines to City
supporting documentation accompanies invoices B. Pachon Attorney outlining standards for adequate
documentation.
Implementation Measures Responsible
RISK RIANAGENfENT Person Status
Systematically update database of outstanding Jim Penman 1/12/94 MIS revised current Risk Management
_general liability claims and liability reserve Vic Lorch reports.
B. Pachon
C I T Y OF S A N B E R N A R D I N O
INTEROFFICE MEMORANDUM
TO: Mayor Tom Minor
FROM: James F. Penman, City Attorney
DATE: January 21 , 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.
DAB is (Audit4.Meml
To: Mayor Tom Minor
Re: Management Audit of the San Bernardino
City Attorney's Office
Page 2
"1.3 [The City Attorney should] Adopt policies and
procedures which will insure that formal, written
agreements are established with all current and
future contract law firms, and that such agreements
are approved by the Council in public session. "
Implementation - Specific policies for such agreements will be in
place by January 28, 1994.
"2.1 [The City Attorney should] Retain working papers
which support budget estimates for outside counsel
requirements. "
Implementation - Already implemented.
"2.2 [The City Attorney should] Monitor the status of
appropriations during the fiscal year and provide
advance notice and justification to the Mayor and
City Council in the event appropriations may be
exceeded. "
Implementation - Already implemented.
"2.3 [The City Attorney should] Implement accounting
procedures to be consistent with invoice payment
procedures to be established by the Department 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 Director of Finance should] Immediately develop
a comprehensive accounting policy manual. "
Implementation - To be accomplished by the Director of Finance.
"2.5 [The Director of Finance should] Establish improved
financial controls over the payment of vendor
invoices, as discussed in the body of this section. "
Implementation - To be accomplished by the Director of Finance.
DAB/js [AUdit4.Kel
0
To: Mayor Tom Minor
Re: Management Audit of the San Bernardino
City Attorney' s Office
Page 3
"2 . 6 [The Director of Finance should] More clearly define
the duties and respoi.sibilities of the Finance
Department and of other City Departments in the
invoice approval and payment process. "
Implementation - To be accomplished by the Director of Finance.
"3. 1 [The City Attorney should] Develop improved systems
of accountability over its professional and support
staff, including the utilization of time sheets
which ensure that attorneys, paralegals and
investigators document how their time is spent by
activity type and service recipient. "
Implementation - Already implemented.
"3.2 [The City Attorney should] Develop management
reports which tabulate and summarize the time spent
and workload accomplishments of professional and
support staff. "
Implementation - Development of such reports pending computer
upgrade as outlined in the audit. (See Section 4 of the Audit, page
28 )
3. 3 [The City Attorney should] Conduct periodic and
formal performance evaluations for all staff. "
Implementation - The appropriateness and legal implications for how
such evaluations apply to "at will" employees is currently under
study.
"4 .1 [The City Attorney should] Develop an information
system master plan which contains the elements
described in this section. "
Implementation - Research on this matter is in progress and
preliminary reports are due to the City Attorney by February 4,
1994 .
4.2 [The City Attorney should] Assign an experienced
legal secretary to implement the recommended
information systems master plan once it has been
DAB/j• [AUdit4.Mea]
To: Mayor Tom Minor
Re: Management 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 implement this information
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. [AuditC Mem]
To: Mayor Tom Minor
Re: Management Audit of the San Bernardino
City Attorney 's Office
Page 5
"6.2 [The Mayor and Council should] Authorize the City
Attorney to recruit for the new position
immediately. "
Implementation - The Mayor and Council .
"6.3 [The Mayor and Council should] Reduce
appropriations for outside counsel and increase
budgeted revenues from the EDA to fund the new
Deputy City Attorney position, 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 claims against the
City and that such invoices are consistent with existing
contractual agreements. " (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/is [AuditCMem[
To: Mayor Tom Minor
Re: Management Audit of the San Bernardino
City Attorney ' s Office
Page 6
claims against the City [and general liability reserve]
to reflect significant eventB that transpire." ( Page 4 of
the Audit)
Implementation - Risk Management.
4. " [T]he City Attorney should actively seek to improve
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 Department should establish an authorized
signature file. (Page 18 of the Audit)
Implementation - The Finance Department.
6. "The City Attorney should consider modifying the
agreement with 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 .
i ' AN
F
ES . PENMAN
DAB ;z (Audi C4.Mem]
0 o
C I T Y OF S A N B E R N A R D I N O
INTEROFFICE MEMORANDUM
TO: The Mayor and Common Council
FROM: Dennis A. Barlow, Sr. Asst. City Attorney
DATE: April 1, 1994
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 550)
The Charter grants the Council the legislative
responsibilities ( Charter §30) and then lists specifically what
these powers entail ( Charter §40 ) . 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
given 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
McQuillin, Municipal Corporations, 3d Ed. Rev. , 510.35,
pg. 1113; See also House V. Los Angeles County ( 1894 ) 104
Cal 73, 78 )
To: Mayor and CCon Council O
Re: Implementation Plan for Audit
of City Attorney ' s Office
Page 2
i
In this instance the . .ayor has exercised his functions of
general supervision as outlined in the Charter by approving the
implementation schedule prepared by the City Attorney ( see
attached ) . The Council cannot take that function away from the
Mayor and give it to another. The Council may not place itself or
another officer in the place and stead of the Mayor without an
amendment to the Charter.
DBNNIS A. ARLOW�
CITY OF SAN BERNARDINC,�
INTER-OFFICE MEMORANDUM
OFFICE OF THE MAYOR
TO: James F . ?enman, City Attorney
FROM: Tom Minor , Mayor
SUBJECT: Implementation of Audit of City Attorney ' s Office
DATE: January Z . _994
COPIES : All Council Members; Rachel Clark, City Clerk; David
Kennedy, City Treasurer; Shauna Clark, City
Administrator : Barbara Pachon, Finance Director
I have reviewed the attached memorandum from you dated January 20,
1994, outlining t.le 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. I have compared 'both
schedules and the one proposed by you is not inconsistent with that
schedule proposed by the City Administrator.
Tam Minor, Mayor
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