Village Board Organizational Meeting 4-21-2026 — Agenda Packet

VILLAGE OF WILLIAMS BAY 250 Williams Street | PO Box 580 | Williams Bay | WI | 53191 | vi.williamsbay.wi.gov Phone: 262-245-2700 NOTICE VILLAGE BOARD OF TRUSTEES MEETING TUESDAY, APRIL 21, 2026 AT 5:30 PM Village Hall Council Room 250 Williams Street Williams Bay, WI 53191 The meeting will be live-streamed on the Village of Williams Bay's YouTube, which can be found here: https://youtube.com/live/hbUVyPKP8-s?feature=share AGENDA The following agenda items may be considered for Discussion, Consideration, or Action I. Call to Order II. Roll Call III. Pledge of Allegiance IV. Meeting Decorum A. Meeting Decorum. According to Robert's Rules of Order, meeting decorum means maintaining respectful and orderly behavior during a discussion, including addressing the chair to speak, staying relevant to the topic at hand, avoiding personal attacks, and generally adhering to courteous conduct while debating issues; essentially, ensuring that discussions are focused and civil, with only one person speaking at a time when recognized by the chair. Violators of meeting decorum will be excused from the meeting. V. Clerk Administers Oaths to Newly Re-Elected Officials A. Village Trustee Steve Russell B. Village Trustee Rob Umans C. Village Trustee Lowell Wright VI. Public Comments A. Individual public comments will be limited to two (2) minutes maximum. If your comments align with other comments before you, please consider stating that you are in agreement with those comments. The public may speak on any item that is not included on this agenda as a "Public Hearing or Forum." Anyone who wishes to comment should identify himself or herself and provide his or her local address. Board members may discuss any matter raised by the public. However, the Board will refrain from extensive dialogue and should not take action on matters raised by the public during a public comment period. Referrals to committees or staff members might be made. Members may ask the commenter to clarify his or her remarks. The Board President or the presiding officer will maintain control of the meeting. VII. President’s Remarks A. Welcome to Elected Village Trustees Page 1 of 298 B. Village of Williams Bay Elected Officials Handbook and Training Opportunities VIII. Appointments by Village President A. Appointments of Members & Chairs for Standing Committees B. Appointments to Other Boards, Commissions and Committees IX. Public Comments A. Individual public comments will be limited to two (2) minutes maximum. If your comments align with other comments before you, please consider stating that you are in agreement with those comments. The public may speak on any item that is not included on this agenda as a "Public Hearing or Forum." Anyone who wishes to comment should identify himself or herself and provide his or her local address. Board members may discuss any matter raised by the public. However, the Board will refrain from extensive dialogue and should not take action on matters raised by the public during a public comment period. Referrals to committees or staff members might be made. Members may ask the commenter to clarify his or her remarks. The Board President or the presiding officer will maintain control of the meeting. X. Adjournment Requests from persons with disabilities, who need assistance to participate in this meeting or hearing, should be made to the Village Clerk’s office in advance so the appropriate accommodations can be made. Posted: 04/17/2026 5:00 PM Page 2 of 298 Total Ballots Cast: 1,116 Total Registered Voters: 2,126 0 Election Day Registrations: 26 Total Eligible Voters: 2,152 Voter Turnout: 52% Issued: 370 At Polls: 786 Received: 330 By Absentee: 330 40 Total: 1116 VOTE TOTAL 557 523 2 1082 0 34 VOTE TOTAL 722 22 744 0 372 VOTE TOTAL 414 627 6 1047 0 69 VOTE TOTAL 540 674 583 677 30 2504 0 844 VOTE TOTAL 750 674 14 1438 0 794Number of Undervotes Write-in Patrick Peyer Total Votes Number of Overvotes Number of Undervotes Lowell Wright Write-in Number of Overvotes Number of Undervotes James P. D'Alessandro Steve Russell Rob Umans Total Votes Number of Overvotes School District School Board Member (2) Darla Thiel Williams Bay Village Trustee (3) County Supervisor District 7 (1) Total Votes Number of Overvotes Number of Undervotes Court of Appeals Judge District 2 (1) Anthony LoCoco Write-in Adam Jaramillo Write-in Total Votes Joanne T. Laufenberg Total Votes Number of Overvotes Number of Undervotes Ballots CastAbsentee Ballots Outstanding: Justice of the Supreme Court (1) Write-in Maria S. Lazar Chris Taylor Village of Williams Bay April 7, 2026 Spring Election PRELIMINARY RESULTS Provisional Ballots: Page 3 of 298 Village Trustees Elect (including President Jaramillo and Trustees - bcc) Congratulations on your election to the Village of Williams Bay! All newly elected officials will be administered the oath of office, and the new Village Board will be seated during the Village Organizational meeting on Tuesday, April 21 at 5:30 pm. The first Regular Village Board meeting is Monday, May 4 at 6:30 pm. Chairs for each Committee receive a draft agenda for review the week prior to the next regularly scheduled meeting. The goal is to have the Chairs finalize their Committee Agendas the Monday prior to the upcoming meeting in order to provide sufficient time to prepare the meeting materials for the meeting packet. The Village Board Agendas and Meeting Packets are published the Friday prior to each meeting along with the Village Administrator Annotated Agendas. To assist with your on-boarding, the following items are provided for your reference: (1) Village Bay Village Board Handbook (2) ICMA (International City Management Association) Toolkit Newly Elected Leaders (3) League of Wisconsin Municipalities Newly Elected Officials Guide (4) Open Meetings Law Compliance Guide – Wisconsin Department of Justice (5) 2026 Wisconsin Municipal Guide. Click on the following link to be taken directly to the guide or copy and paste the following URL into your web browser. https://wi-municipalities.com/2026/ The Village is also offering the following Local Government Basics training opportunity for all board members. Please reply to this email if you would like to take advantage of this opportunity and we will register you. https://www.lwm-info.org/799/Local-Government- Basics?PREVIEW=YES Again, congratulations and please let me know if you have any questions. Best regards, Dave David Lothspeich Village Administrator Village of Williams Bay 262-245-2700 (o) 847-421-7715 (c) Page 4 of 298 1 The Village of Williams Bay, WI Village Board Member Handbook Adopted R-67-24 on 09/16/2024 Revised 04/15/2025 Page 5 of 298 2 Table of Contents Chapter 1: Village of Williams Bay, Wisconsin ................................................................................ 4 Introduction ................................................................................................................................. 4 Williams Bay’s Form of Government ........................................................................................... 4 Roles Overview ............................................................................................................................ 5 William’s Bay at a Glance............................................................................................................. 6 Boards, Commissions, & Committees .......................................................................................... 7 Public Meetings Calendar at A Glance ......................................................................................... 8 Village Departments .................................................................................................................... 8 Chapter 2: Policies & Practices ....................................................................................................... 9 Role of Village President Municipal Code Chapter 1-5 Village President and Board ................... 9 Responsibilities of Village Board Members .................................................................................. 9 Village Board Goals & Priorities ................................................................................................. 10 Agendas & Minutes ................................................................................................................... 10 Village Board Meetings .............................................................................................................. 11 Ethics.......................................................................................................................................... 12 Other Policies & Protocols ......................................................................................................... 17 Chapter 3: Staff ............................................................................................................................. 18 Staffing Highlights ...................................................................................................................... 19 Role of Village Administrator Williams Bay Municipal Code Chapter 1-6-2 .............................. 19 Role of Village Attorney State Statutes 62.09(12) ..................................................................... 20 Role of Village Clerk Municipal Code Chapter 1-6-3 .................................................................. 20 Other Key Positions, Staff & Contracting Agencies .................................................................... 20 Communication with Staff Members ......................................................................................... 21 Communication and Supervision ............................................................................................... 21 Chapter 4: Finance ......................................................................................................................... 22 Financial Policies ........................................................................................................................ 23 Fund Explanation ....................................................................................................................... 23 Page 6 of 298 3 Revenue Sources: Taxes, Licenses & Permit Fees, Charges for Services ................................... 23 Role of Intergovernmental Revenues ........................................................................................ 24 Tax Increment Districts (TIDs) .................................................................................................... 24 Capital Improvement Plan (CIP) ................................................................................................. 24 Chapter 5: Legal Issues .................................................................................................................. 25 Village of Williams Bay Ordinances ........................................................................................... 25 Public Meetings ......................................................................................................................... 25 Public Records............................................................................................................................ 26 Conflicts of Interest ................................................................................................................... 26 Accepting Gifts ........................................................................................................................... 27 Chapter 6: Land ............................................................................................................................. 28 Planning & Zoning ...................................................................................................................... 28 Annexation ................................................................................................................................. 28 Variances ................................................................................................................................... 28 Chapter 7: Board Conduct ............................................................................................................. 29 Effectiveness & Efficiency .......................................................................................................... 29 Interacting with the Public ......................................................................................................... 30 Dealing with the Media .............................................................................................................. 31 Chapter 8: Directory ...................................................................................................................... 32 Departments .............................................................................................................................. 32 Additional Resources ................................................................................................................. 33 Appendix A: Chapter 1-5 Village President and Board ................................................................ 35 Appendix B: Wisconsin Statute 19.59 ........................................................................................... 42 Appendix C: Village Administrator Job Description ...................................................................... 46 Appendix D: Quick Reference ........................................................................................................ 49 Appendix E: Employee Organization Chart .................................................................................. 50 Appendix F: Open Meetings/Public Records Training Materials .................................................. 51 Page 7 of 298 4 Chapter 1: Village of Williams Bay, WI Introduction Welcome to your exciting new position as an elected official of the Village of Williams Bay (Williams Bay) Village Board. Leadership positions in municipal government can be both rewarding and challenging and this handbook was created to assist in your transition to this position. The handbook provides an overview of Williams Bay and its government, as well as your primary responsibilities, and how elected and appointed officials as well as Village staff can work together in the most efficient and effective way to best serve the Williams Bay community. While the handbook is designed to answer many of the commonly asked questions of new Board members, it cannot begin to address all the topics and knowledge required for you to successfully fulfill your position. It is important that you develop relationships with both the elected and appointed officials of Williams Bay and feel free to ask any questions you may have. Williams Bay’s Form of Government The Village of Williams Bay is a Municipal Corporation with authority vested in the Village Board and the Village President, who is the Chief Executive Officer (CEO) of the Village. The Village adopted the Village President- Board form of Government as provided for in Chapter 61 of Wisconsin State Statutes. Under the Village President-Board form, Williams Bay subsequently adopted an ordinance creating an administrator position that define the authority of that position and references a position description (Attachment Appendix C). Williams Bay, like many other Wisconsin cities under the Home-Rule charter of Wisconsin, has the power to govern itself regarding local matters except where the State has specifically prohibited that power. Individual members of the governing body have no authority to make decisions on behalf of the Village unless they have been given specific authority from the governing body as a whole. The Village President has the authority to perform many executive responsibilities. The Village President serves as the policy leader, they also frequently represent the Village with media relations, meetings and presentations to other governmental units. Unless otherwise expressly provided in the Village code or by law, standing committees shall be appointed, and the chairperson thereof designated, by the Village President annually at the time of the organization of the Board, and such appointments and chair designations shall require confirmation by the Board. Unless otherwise expressly provided in the Village code or by law, special committees shall be appointed, and the chairperson thereof designated, by the Village President annually at the time of the organization of the Board, and such appointments and chair designations shall require confirmation by the Board (Chapter 110 – 3, Village Board Committees). State Law Reference: W.S.A. s. 61.20 and 61.325. § 62-3. Village President. Page 8 of 298 5 The Village Board has all the powers of the Village that have not been specifically given to another body or officer. The Board provides policy direction in the management and control of Village property, finances, streets, utilities, and public service. The Board may carry its powers into effect by license, regulation, suppression, borrowing, taxation, special assessment, appropriation, imposition of forfeiture and other necessary or convenient means. The Village Administrator is appointed by the Village President and confirmed by the Village Board for a term of three years. The Village Administrator serves as the Administrative Officer of the Village, responsible for the proper administration of the business and affairs of the Village. In order to provide a more efficient and effective government a professional Administrator is responsible for the direction and coordination of all Village employees and operations. The Administrator reports directly to the Village President and Board with general areas of responsibility including: Financial, Administration, Legislative, Human Relations. (Chapter 80 – 3, Village Administrator). Roles Overview The following graphic visually represents the roles of the Village Board and Village Administrator. Domain of the Board Shared Responsibility Village Administrator Operations Business Strategy Goals Mission Purpose Values Page 9 of 298 6 Village Board Administrative Management • Representing the interests of all residents • Ensuring long-term success of the Village • Revising and approving the purpose, mission and vision statements • Identifying, providing input on, and prioritizing issues • Allocating resources and approving the budget • Asking for data to support positions • Approving the strategic plan • Evaluating the Village Administrator • Educating the Board on the need for planning, how the Board can participate, and emerging issues • Presenting its assessment of the relative significance of emerging issues • Developing the strategic and action plans • Preparing studies that justify its recommendations • Implementing approved initiatives • Reporting on progress of goal attainment • Supervision of employees • Oversees daily operation Village of Williams Bay – At A Glance. The Village of Williams Bay was incorporated in 1919 located in southeastern Wisconsin (Walworth County) known for its abundant natural resources and picturesque location situated on the beautiful northwest shores of Geneva Lake. The Village is approximately 2.8 square miles in area with a population of 2,935, which roughly doubles during the summer months, is bordered by the Towns of Geneva, Linn, Delevan and Walworth. Williams Bay School District grades PK, K-12 has 693 students. The Village of Williams Bay is a full-service community providing or arranging for police, fire, EMS, public works, water and sewer, library, parks and recreation services. In addition to the services provided by the Village, other services, such as garbage, are contracted out to private companies. Vision Statement - 2023 Comprehensive Plan. Williams Bay will be a small, friendly community of year- round and seasonal residents, businesses, and institutions developed in harmony with Geneva Lake, natural resources, and surrounding rural areas. The community culture will be that of a retreat from the more intense lifestyles of resort areas, enhancing leisure, opportunity for spiritual renewal, outdoor recreation, and contact with nature. Businesses, employment centers, and community services will be those which respond to the specific needs of residents and visitors and sustain the vitality of the community as a whole. A source of community pride will be the lakefront, enhanced natural areas, and the attractive design and maintenance of all man- made improvements respectful of their environment. Page 10 of 298 7 Boards, Commissions, & Committees • Village Board shall be as follows: (Chapter 110 Village Board): o Six (6) Trustees and the Village President • Standing Committees of the Village Board consisting of three (3) Board Members appointed by the Village President and approved by the Village Board as follows (Chapter 110-3. Village Board Committees): o Finance and Personnel Committee o Streets & Highways Committee o Protective Services Committee o Parks & Lakefront Committee o Building, Zoning & Ordinance Committee o Water & Sewer Committee • Special boards, committees and commissions of the Village appointed by the Village President and approved by the Village Board shall be as follows (Chapter 12. Boards, Commissions and Committees): o Board of Review. Seven-member Board composed of Village Board. o Library Board. o Plan Commission. Seven-member, composed of Village President, Trustee, Parks and Memorial Advisory Committee and four (4) citizens. o Civil Defense Commission. Seven-member, composed of Police Chief and six (6) citizens. o Election Board. Village Clerk and those elected officials appointed. o Harbor Commission. Five-members appointed. o Park and Memorial Advisory Committee. Five-member Board with Chair serving on Plan Commission. o Kishwauketoe Nature Conservancy Board. Seven-member Board consisting of the Conservation District Commission members. o Law Enforcement Committee o Geneva Lake Area Transportation Commission. Three members. o Board of Canvassers: Three-member Municipal Board. o Tax Incremental Finance District Joint Review Board: Five-member Board. o Zoning Board of Appeals: Five-member Board. 2 Trustees, 1 Plan Commission Member and 2 Citizens. Page 11 of 298 8 Public Meetings Calendar at A Glance • Board of Canvassers: Meets after every election. • Board of Review: Meets in July or as needed. • Committees (Standing) - Meet 1st Monday of the month as needed at 6:30 PM. o Finance and Personnel Committee o Streets & Highways Committee o Protective Services Committee o Parks & Lakefront Committee o Building, Zoning & Ordinance Committee o Water & Sewer Committee • Village Board: Meets 1st and 3rd Monday of the month at 6:30 PM. • Plan Commission: Meets 1st Tuesday of the month, as needed, at 6:30 PM • Zoning Board of Appeals: Meets 3rd Tuesday of the month, as needed, at 6:30 PM Village Departments Administration Fire Building Inspection & Zoning Recreation Clerk Police Treasurer Public Works Water & Sewer Harbor Master Page 12 of 298 9 Chapter 2: Policies & Practices Much of the responsibility of serving as an elected official lies in learning what is expected of you. This chapter defines the primary duties associated with elected positions and provides a detailed guide to some of the most basic operations you will encounter. Roles of Village President. Chapter 110 Village Board The Village President shall perform the following duties as part of the office: • The Village President shall be by virtue of the office a trustee and preside at all meetings of the board and have a vote as trustee, sign all ordinances, rules, bylaws, regulations, commissions, licenses and permits adopted or authorized by the board and all orders drawn on the treasury except as provided by s. 66.0607. The president shall maintain peace and good order, see that the ordinances are faithfully obeyed, and in case of disturbance, riot or other apparent necessity appoint as many special marshals as the president shall deem necessary, who for the time being shall possess all the powers and rights of constables. • In municipalities with administrators, the Village President exercises the executive responsibility indirectly by monitoring the activities of the administrator and the various departments of Village government. The administrator is responsible for day-to-day operations of government, including the supervision of department heads. • Other specific duties of the Village President include: o The Village President shall serve as the policy leader for the community, providing policy information and recommendations to the Village Board and preside over Village Board meetings. o The Village President, as Trustee, may vote on all voting matters before the Village Board but does not have veto power. o Village Presidents, as Trustee, are counted in determining whether a quorum is present at the meeting. o The Village President may represent the Village in meetings with and presentations to other governmental units, businesses, community groups, and other groups. o The Village President shall work with residents of the community in receiving their comments and complaints and seeking appropriate responses in conjunction with the administrator and, if necessary, the Village Board. o The Village President shall not serve on standing committees and may serve on special committees of the Village as well as on boards and commissions to which they are appointed or elected in accord with the law. o The Village President shall perform any other duties not specified here that are defined in other ordinances of the Village. Page 13 of 298 10 Roles of Village Board Members Powers and Duties - The Trustees and Village President shall constitute the Village Board and shall have such powers and duties as are enumerated in Ch. 61, Wis. Stats., and elsewhere in the statutes. Powers of the Village Board - The Village Board shall have all powers of the Village not specifically given to some other body or officer. Except as otherwise provided by law, the Village Board shall have the management and control of the Village property, finances, highways, streets, utilities and the public service, The Village Board may act for the government and good order of the Village, for its commercial benefit and for the health, safety, welfare and convenience of the public, and may carry its powers into effect by license, regulation, suppression, borrowing, taxation, special assessment, appropriation, imposition of forfeiture and other necessary or convenient means. The Village Board may appoint such officers from time to time as may be deemed necessary for the benefit of the community. The powers hereby conferred shall be in addition to all other grants and shall be limited only by express language. Additional Powers of the Village Board including: cooperation with other municipalities; acquisition and disposal of property, including acquisition of easements and property rights and Village finances. Board Trustees • There shall be one (1) Village President and six (6) Trustees elected to the Village Board. • Election of Trustees: o Elected at large. Trustees shall be elected at large for a two-year term in the annual spring election. The Village President and three (3) Trustees shall be elected in each of the odd- numbered years and three (3) Trustees in each of the even-numbered years. Village Board Goals & Priorities A comprehensive plan is a local government’s guide to community physical, social, and economic development. Comprehensive Plans are not meant to serve as land use regulations in themselves instead they provide a rational basis for local land use decision with a 20-year vision for future planning and community decision. The Wisconsin Comprehensive Planning Law does not mandate how a local community should grow, but it requires public participation at the local level in deciding a vision for the community’s future. The uniqueness of individual comprehensive plans reflects community- specific and locally driven planning processes. According to s.66.1001(2)(i), comprehensive plans must be updated no less than once every 10 years. However, the law does not define “update”. Page 14 of 298 11 While a local government may choose to include additional elements, a comprehensive plan must include at least all of the seven elements below as defined by the Comprehensive Planning Law (s.66.1001). • Issues and Opportunities • Housing • Transportation • Utilities and Community Facilities • Agricultural, Natural and Cultural Resources • Economic Development • Intergovernmental Cooperation • Land Use • Implementation The 2023 Williams Bay Comprehensive Plan was collaboratively developed by community members in order to create a vibrant, thriving, and resilient Williams Bay for the 20 years to come. This extensive public input included Visioning Boards, a Visioning Kickoff Meeting, Topic Meetings. A copy of the most recent comprehensive plan is available on the Village’s website: https://www.williamsbay.org/ Meeting Agendas & Meeting Minutes Village Board meeting agendas and the supporting materials are an important element in preparing for a Board meeting. Items may be placed on a Village Board agenda by the Village President as Chair of the Village Board. Request(s) to add items to an agenda are to be submitted to the Village President. Village staff will compile the agenda, gathering all pertinent information that should be considered by the Village Board. It is important that Village Board members notify the Village Administrator of any particular topics that they would like included on an agenda. Discussions and decisions may only be made at public meetings of items specifically listed on the agenda. Staff is responsible for originating the agenda and providing supporting documents. The Village Board Agenda and Packet are compiled electronically and posted to the Village’s website no later than the Friday prior to a Village Board meeting https://www.williamsbay.org/home/pages/meetings- minutes. At that time, the agenda is also posted at Village Hall, the Williams Bay Post Office, and the Village of Williams Bay website. It is required by Wisconsin State Law that any item on an agenda be posted at least twenty-four (24) hours prior to a public meeting. The agendas and materials will also be provided on your Village-issued iPad through a program called CivicPlus. The Village Clerk will also send copies of the agenda and back up materials to members through their official Village email address. An important part of your role as a member of the Village Board is to review agenda materials prior to the meeting so that you are adequately informed of the topics to be discussed and can ask questions prior to the meeting and make decisions in an educated manner. In order to provide Village Board members, the opportunity to review and be informed of the topics in a Page 15 of 298 12 timely manner the agenda and materials are provided the Wednesday prior to the upcoming meeting. This advance review time is also intended to provide Village Board members the opportunity to ask questions about agenda items before the agenda is published the Friday prior to the meeting. In order to provide time to review and provide a response, Village Board members are encouraged to review the agenda/agenda materials and provide questions or comments to the Village Administrator before Noon, the Monday prior to the meeting. Following each Board meeting, the Village Clerk will compose the minutes from that meeting. The minutes are a way of recording attendees’ present and document important decisions that took place at the meeting. At the beginning of each Board meeting, you will be asked to approve the minutes from the previous meeting. Meeting minutes will be posted to the Village website and made public after they are approved by the Village Board. Village Board Meetings Provisions for the proceedings of Village Board meeting can be found in 110-5 Village Board bylaws of Village Code, which is included as Appendix A. Quorums & Open Public Meetings First, it is helpful to define “quorum.” A quorum is the minimum number of a governmental body’s membership necessary to act. One governmental body may define what constitutes a quorum differently than another governmental body. For example, a quorum for a seven-member town Board may be a simple majority of four members while a quorum for a neighboring town’s seven- member Board may be a super majority of five members. It is important that a quorum, or minimum number of four Board members, is present at any Board meeting so that votes can take place. Additionally, for some issues such as annexations or budget matters, a larger number of Board members may need to be present in order to vote on the items. The Board is encouraged to notify the Village Administrator by the Friday prior to the upcoming meeting, the sooner the better, if they are unable to attend in order to confirm a quorum for the upcoming meeting. Any decision made by the Board for certain agenda items with fewer than four is not considered valid. All meetings of the Board must be open and public, no matter where or when they are held, and all of their proceedings must be recorded by the Staff (Appendix E). Therefore, talking with Board members about Village business outside of a Board meeting is discouraged in order to avoid a walking quorum. What is a Walking Quorum? Answer: A “walking quorum” is a series of gatherings among separate groups of members of a governmental body, each less than quorum size, who agree, tacitly or explicitly, to act uniformly in sufficient number to reach a quorum. A walking quorum may produce a predetermined outcome and thus render a publicly-held meeting a mere formality. The Wisconsin Supreme Court has commented that any attempt to avoid the appearance of a meeting through the use of a walking quorum is subject to prosecution under the open meetings law. Furthermore, the requirements of the open meetings law Page 16 of 298 13 cannot be circumvented by using an agent or surrogate to poll the members of governmental bodies through a series of individual contacts. The series of gatherings need not be face-to-face. For example, phone calls, email exchanges, and other electronic messaging may suffice. The essential feature of a “walking quorum” is the element of agreement among members of a body to act uniformly in sufficient numbers to reach a quorum. Where there is no such tacit or express agreement, exchanges among separate groups of members may take place without violating the open meetings law. Thus, the signing, by members of a body, of a document asking that a subject be placed on the agenda of an upcoming meeting likely does not constitute a “walking quorum” where the signers have not engaged in substantive discussion or agreed on a uniform course of action regarding the proposed subject. In contrast, where a majority of members of a body sign a document that expressly commits them to a future course of action, a court could find a walking quorum violation. Walking quorum issues are complex and fact specific. If a member of a governmental body or a citizen has questions or concerns regarding a possible walking quorum, they should consult with their legal counsel. Type of Board Meetings In addition to the regularly scheduled Board meetings on the first and third Mondays of each month, Special Village Board meetings may be called by the President or any two trustees in writing filed with the Clerk. If at least 24 hours remain before such meeting, the Clerk shall notify each member of the Board of the time, place and purpose of such special meeting by e-mailing a written notice thereof to each member of the Board and by telephoning them, if possible. If less than 24 hours but at least six hours remain before such meeting, the Clerk shall give notice to each trustee by personal service and by telephone, if possible. No special meeting shall be called upon less than six hours' notice except with the unanimous consent of all members of the Board expressed orally or in writing (Chapter 110-5 Village Bylaws). Village Board Meeting Dates and Times. Regular meetings. The regular meetings of the Village Board shall be held in the Village Hall on the first and third Mondays of each month at 6:30 p.m., unless noticed otherwise. The Board may adjourn any regular meeting to any future date at which new business may be introduced as well as unfinished business completed. [Amended 7-5-2022 by Ord. No. 2022-11] Order of Business Order of business. The business of the Board shall be transacted in the following order: [Amended 6-16-2025 by Ord. No.2025-06]. Chapter 110-5. Village Board bylaws. (1) Roll call. (2) Reading the minutes of the preceding meeting, making any corrections and approving. (3) Public comments. The public may speak on any item that is not included on this agenda as a "Public Hearing or Forum." Anyone who wishes to comment should identify himself or herself and provide his or her local address. Board members may discuss any matter raised by the Page 17 of 298 14 public. However, the Board will refrain from extensive dialogue and should not take action on matters raised by the public during a public comment period. Referrals to committees or staff members might be made. Members may ask the commenter to clarify his or her remarks. The Board President or the presiding officer will maintain control of the meeting. (4) Consent agenda. (5) Presentation of accounts and petitions. (6) Plan Commission. (7) President's remarks. (8) Ordinances and resolutions. (9) Committee reports. (10) Public comments. (11) Adjournment. Presiding officer. The President or presiding officer shall preside at all meetings and preserve order, deciding all questions of order, subject to an appeal to the Board. Calling meetings to order. The President shall take the chair at the hour appointed and immediately call the meeting to order. In the absence of the President, the Clerk or, in the Clerk's absence, any member of the Board may call the meeting to order, and thereupon the Board shall appoint one of its members President Pro Tempore. In the absence of the Clerk, the Board may appoint one of the members present to serve as Clerk during the session. The Chair shall confirm public notice compliance with the Clerk or other Village staff representative. [Amended 1-15-2018 by Ord. No. 2018-1] Passage of ordinances. (1) Every proposed ordinance shall have two separate readings previous to its passage but shall not be read at any other time than regular sessions except by unanimous consent. The second reading may be waived by vote of the Board. (2) The second reading of an ordinance shall be by section at which time amendments may be offered. If no amendments are made, the question shall be, "Shall the ordinance pass?" If amendments are offered and made, the chair shall so report and the ordinance shall be so read as amended before the question of its passage is taken. Rules of procedure. The rules of parliamentary practice embraced in Robert's Rules of Order, Newly Revised, shall govern the Board where applicable and where not inconsistent with the standing rules, bylaws and order of the Board. Approval Methods There are several ways in which the Board can make decisions during a public meeting. The subject of discussion determines which method should be used. Page 18 of 298 15 Voting Procedures 1. Form of questions for voting. Where a roll call vote is taken the question shall be stated by the presiding officers as follows: "As many as are in favor answer 'yes', those opposed will answer 'no' and the clerk will call the roll."; and in doubtful cases, the presiding officer may direct or any member may call for a division. 2. Recording votes. The ayes and nays shall be taken and recorded upon any question before the Board upon the call of any two members. 3. Votes. Every person present when a question is put shall vote, unless the presiding officer shall excuse them for good cause. 4. Tie votes. The presiding officer shall, in all cases, be entitled to vote. It shall be in order for any member who voted in the majority on any question or for any member who voted in the negative when the Board was equally divided, to move a reconsideration vote on the same or next succeeding regular meeting of the Board. A motion to reconsider, having been put and lost, shall not again be in order. Motions When a motion is made and seconded, it shall be in possession of the Village Board and shall be stated by the presiding officer, or being in writing shall be delivered to the Village Clerk to be read previous to debate. After a motion is stated by the presiding officer, it shall not be withdrawn except by consent of the Village Board. When a member is about to speak to a question or make a motion, he or she shall address the presiding officer, and the presiding officer shall pronounce the name of the member entitled to the floor, and the member shall confine themself to the question under consideration. No member shall speak more than twice on any question nor more than 10 minutes at any one time without leave of three-fourths of the members present. A motion to adjourn shall always be in order, unless the Village Board is engaged in voting, and shall be decided without debate. Formal Motions are used to approve policy, establish procedures, or provide direction to staff members relating only to topics listed on the agenda. Village Board members may make a motion by stating, “I move that…” Most formal motions need to be “seconded.” This is done when a board member other than the one who made the motion states, “I second that motion,” or “second.” A motion can be amended or withdrawn during discussion by the board member that originally made the motion. Before moving on to a new topic, the current topic must be closed in one of three ways: 1) The original author of the motion may withdraw their motion at any time during the discussion. 2) The motion may be “tabled.” Tabling a motion is a procedural act (see below) that requires a Village Board vote. A tabled item can be brought back into debate with a motion to remove it from the table. 3) The Village Board can take a vote on the motion. See the discussion below on voting procedures. Procedural Motions are made to determine the proceedings of a meeting. They, like formal motions, require a “second” and can order the adjournment of a meeting, the tabling a motion for later discussion, a temporary recess, or a number of other procedural events. The officially recognized guide to meeting procedures is the book Robert’s Rules of Order, which further explains Page 19 of 298 16 procedural motions and other rules of public meetings. Village Board Voting is required to finalize the opinions of the Village Board. Generally, a roll call vote on a formal or procedural motion can take place under one of two conditions. First, the Village President may call for a vote regarding a motion when it is clear that debate over the matter has stopped. Second, during debate, a Village Board member may call for a vote on an open item by making a motion to vote on the measure on the floor. If this motion is seconded, then the Village Board takes a vote on whether to vote on the original motion. If a majority votes “yes,” THEN the main motion (with any accepted amendments) can be voted upon. The process of making motions and voting can be a bit confusing at first, but over time, you will become more familiar with the process. If you are ever confused as to the action being requested in a motion or vote, take the time to ask the Village President to explain what is taking place. Lawmaking Final decisions of the Village Board are conveyed to the public through the adoption of ordinances and resolutions. Closed Sessions Closed sessions of the Board may only be held for a select number of reasons as set forth in Section 19.85 of the Wisconsin State Statutes. While the public is prohibited from attending these sessions, unless specifically invited to attend by the Village Board, notice must still be made of their existence. Closed meetings are only allowed to discuss personnel matters, litigation, or for some strategic reasons (such as when the discussion of purchase of a piece of real estate could be reasonably expected to increase the price the governmental body would have to pay for that property). Either part or all of a Village Board meeting may be closed to the public (Appendix F). Abstaining from a Vote Every Village Board member should vote on all matters and abstain from voting whenever there is a conflict of interest. Tie Votes In the event of a tie vote the motion does not pass. Consent Agenda A consent agenda is a practice by which the mundane and non-controversial board action items are organized apart from the rest of the agenda and approved as a group. Individual Board members may pull any item from the consent agenda if they wish it to be separately considered by asking the presiding officer to take them up separately. The Public’s Role in the Meeting It is important that the public play an active role in the legislative process. During Board meetings, they have several opportunities to do so. Public Hearing Hearings are held on matters required by law or ordinance, such as adoption of the annual budget and amending the zoning ordinance. They may be held as standalone meetings, or as part of a Page 20 of 298 17 regularly-scheduled Village Board meeting. Public hearings are opportunities to inform the general public and for any individual to speak on the topic while the hearing is open. Once the public hearing is closed, the public will no longer be able to comment on the topic during the meeting unless approved to do so by the Village President or Chairperson. Public Comments This is the public’s opportunity to address the Village Board on any item. The Village Board cannot take action on any matter not listed on the agenda for the meeting. Topics may, however, be placed on future agendas for Village Board action. Particularly if multiple individuals wish to speak regarding the same topic, the Village President may request that comments be limited to a particular time limit, which the Village President shall determine. Public comment period is scheduled for each Board meeting. Ethics As elected public officials, it is required that you act in an independent and impartial way that is responsible to the people that elected you. Ethical conduct is an extremely important part of your role as a representative of the Village, so please ask your fellow Board members or the Village Administrator if any issues arise. Several State of Wisconsin statutes define the manner in which publicly elected officials should act. Village Code Chapter 40 Ethics and Section 19.59, the State Ethics Law for Local Government Officials, Employees, and Candidates are attached at the end of this handbook (Appendix B) and should be carefully reviewed. Village Code and State Statutes prohibit using your office for private gain, exerting illegal influence, and taking action in a matter that you have an invested interest in. If you have a question about ethics, you may contact the Village Attorney or Village Administrator, Other Policies & Protocols Paychecks Each board member is paid on a quarterly basis with board members paid an annual salary of $2,950 and the Village President paid an annual salary of $4,350. Your check will be direct- deposited. Opportunity for Training and Outside Meetings The Village of Williams Bay will pay for workshops, meetings, training and other events for the purpose of improving knowledge of duties of said office. Compensation can include the following, with some restrictions, but is not limited to: transportation, lodging, meal, entertainment and miscellaneous expenses. If an official attends Village functions, they will need to make sure they have met travel reimbursement requirements prior to finalizing payment and complete an expense report upon their purchase or completion of course. Board members are encouraged to share the knowledge gained from attending. Page 21 of 298 18 Vacancies in Municipal Office Vacancies in elected or appointed offices can be caused by death, removal, resignation, if the individual ceases to be a resident of the Village of Williams Bay, when an individual’s term expires, or when an individual is convicted and sentenced by a state or federal court for treason, felony or other crime of any nature punishable by imprisonment in any jail or prison for one year or more, or for any offense involving a violation of the incumbent's official oath. Resignations must be made in writing and delivered to the Village Clerk, who is responsible for informing other Board members and the Village President. The effective date of resignation should be included in the letter. When filling any vacancy in the office of the Village President or in the Office of the Village Trustees, § 17.24 of the Wisconsin Statutes shall control. The procedure for appointment for any vacancy shall be as follows: • Except as provided in s. 9.10, a vacancy in any elective village office may be filled by appointment by a majority of the members of the village board for the residue of the unexpired term or until a special election is held, as ordered by the village board, or an office may remain vacant until an election is held. A vacancy in an appointive office shall be filled in the same manner as the original appointment. Chapter 3: Staff While the Village Board, boards, and committees of Williams Bay make a majority of policy decisions and guide the actions of staff members, those staff members take on the responsibility of implementing decisions of the Board. It is important that the Board understands and respects the role staff plays and that an open line of communication exists between all parties. Page 22 of 298 19 Staffing Highlights The Village employs approximately 20 full-time employees and over 60 part-time/seasonal employees. Village Administrator Williams Bay - Municipal Code Chapter 80-3 The Village Administrator shall be appointed for a three year term by the Village President, subject to confirmation by the Board. The Village Administrator shall be the administrative officer of the Village, responsible for the proper administration of the business and affairs of the Village, subject to those limitations imposed by the statutes of the State of Wisconsin, the ordinances of the Village of Williams Bay, and the resolutions and directions of the Village Board with power and duties as outline in Chapter 80-3 of Village of Williams Bay Code (Appendix C). Village Attorney The Village Attorney shall be appointed by the Village President, subject to confirmation by the Board. The Attorney’s duties include attending Board meetings, providing legal advisement to Village Board and staff, representing the Village in all court cases, and assisting in drafting and reviewing proposed ordinances. Village Engineer The Village Engineer shall be appointed by the Village President, subject to confirmation by the Board. The Engineer’s duties include attending Board meetings, providing engineering advisement to Village Board and staff, representing the Village in engineering matters, and assisting in street, water, sewer, building, etc. capital projects design, bidding and recommendations. Village Clerk - Municipal Code Chapter 61.25 The Village Clerk shall be appointed for a three year term by the Village President, subject to confirmation by the Board. The Village Clerk shall have the powers and duties provided by Section 61.25, Wis. Stats., and such other duties as may be adopted in the form of a job description. Village Treasurer - Municipal Code Chapter 61.26 The Village Treasurer shall be appointed for a three year term by the Village President, subject to confirmation by the Board. The Village Treasurer shall have the powers and duties provided by Section 61.26, Wis. Stats., and such other duties as may be adopted in the form of a job description. Other Key Positions, Staff & Contracting Agencies Department Heads Working under the direction of the Village Administrator, Department Heads lead Village staff in carrying out the directives of the Village President and Board and daily administrative functions and assist the Administrator in the hiring process for employees in their departments. Department Page 23 of 298 20 heads include Police Chief, Public Works Director, Treasurer, Clerk, Recreation Director, Library Director, Harbor Master and Fire Chief. Village Assessor In 2017, the Village Board appointed Associated Appraisal for annual full value maintenance assessment services. Associated Appraisal is responsible for assessing and reassessing the value of land and property located within Village Limits. The Village is currently operating under an optional auto renewal agreement extension that will be available for each of the 2021, 2022, and 2023 assessment year. In 2023, the Village Board approved changing the Village Assessor from Associated Appraisal to Accurate Appraisal for years 2024, 2025 and 2026. Existing Bargaining Units The Williams Bay Professional Police Association union is the bargaining agent for all full-time sworn police officers in the Village. The Police Chief, Lieutenant and part-time are excluded. Note: 2011 Wisconsin Act 10 significantly altered the Village’s relationship with bargaining units. For more information on the current labor/management environment, see the Village Administrator. Communication with Staff Members While Village Board is responsible for determining the policy of the Village and providing direction for Village Administrator action, the Village Administrator is the Chief Administrative Officer for the Village and is responsible for supervision and accountability of all Village Staff. Though Board requests and direction play an important role in determining employees’ work plans, it is important that the Village Administrator be able to coordinate and monitor work efforts of all staff members. For this reason, Board requests for staff action and task assignments should be conveyed to the Village Administrator except in cases of emergency. In this way, Board requests will be fulfilled while the Administrator maintains their supervisory position with staff. This distinction is important as Board members may not be aware of the most appropriate staff member to direct requests towards or the current workload of individual employees. It helps in making sure that efficiency and order are maintained in Village operations. Similarly, Board should communicate with the Village Administrator any concerns about individual employees, and should not directly address performance problems with employees. In this way, Board can maintain an active role in municipal government while allowing the proper chain of command to remain intact. While active communication between staff and Board is important and encouraged, discussions regarding Village policy matters should be kept between Board members and the Village Administrator to assure that the Village Administrator is best able to manage operations as well as assemble any information required to make sound policy decisions or bring those matters before Board for consideration. The following polices can also be found in the employee handbook: • Anti-harassment and Retaliation Policy. Page 24 of 298 21 • Electronic Communications & Information Systems Policy. • Workplace Violence and Threats Prevention Policy. Page 25 of 298 22 Chapter 4: Finance The budget acts as a policy tool with which to identify the community’s priorities and is intended to implement the work plan for the upcoming year. This chapter is a good starting point and will offer you the basic knowledge to ask thoughtful questions regarding the budget process. You should review the current budget and any other financial plans as you learn about your role as a board member and use these documents in your decision-making process. Chapter 46. Finance and Taxation § 46-6. Budget. [Amended at time of adoption of Code (see Ch. 1, General Provisions, Art. II)] A. Departmental estimates. On or before September 15 of each year, each officer, department and committee shall file with the Administrator an itemized statement of disbursements made to carry out the powers and duties of such officer, department or committee during the preceding fiscal year, and a detailed statement of the receipts and disbursements on account of any special fund under the supervision of such officer, department or committee during such year, and of the conditions and management of such fund; also detailed estimates of the same matters for the current fiscal year and for the ensuing fiscal year. Such statements shall be presented in the form prescribed by the Clerk and shall be designated as "Departmental Estimates," and shall be nearly uniform as possible for the main divisions of all departments. B. Finance and Personnel Committee to prepare. (1) Budget to include. On or before October 28 each year, the Finance and Personnel Committee of the Village Board shall prepare and submit to the Board a proposed budget presenting a financial plan for conducting the affairs of the Village for the ensuing calendar year. The budget shall include the following information: (a) The expense of conducting each department and activity of the Village for the ensuing fiscal year and corresponding items for the current year and last preceding fiscal year, with reasons for increase and decrease recommended as compared with appropriations for the current year. (b) An itemization of all anticipated income of the Village from sources other than general property taxes and bonds issued, with a comparative statement of the amounts received by the Village from each of the same or similar sources for the last preceding and current fiscal year. (c) An estimate of the amount of money to be raised from general property taxes which, with income from other sources, will be necessary to meet the proposed expenditures. (d) Such other information as may be required by the Board and by state law. (2) The Village shall provide a reasonable number of copies of the budget thus prepared for distribution to citizens. C. Hearing. The Finance and Personnel Committee shall submit to the Board at the time the annual budget is submitted the draft of an appropriation resolution providing for the expenditures proposed for the ensuing fiscal year. Upon the submission of the proposed appropriation resolution to the Board, it shall be deemed to have been regularly introduced therein. The Board shall hold a public hearing on the budget and the proposed appropriation resolution as required by law. Following the public hearing, the proposed appropriation resolution may be changed. Page 26 of 298 23 Financial Policies State‐Mandated Policies The State of Wisconsin imposes many requirements for preparing the annual budget and managing the finances of the Village. For instance, the State requires that an annual or biannual budget be created listing all revenues and expenditures, that the public hearing notice include certain information, and that the public hearings are held regarding the proposed budget. The Village’s fiscal year begins on January 1 and ends on December 31. Municipally‐Adopted Policies The Village has also adopted several policies with regard to financial management and investment Policy, among others. Village Staff also rely on industry best practices to guide financial decisions when policies are not already established by the State or Board. Occasionally, the Village Treasurer, Village Administrator, or auditors may recommend additional financial management policies be reviewed and approved. Fund Explanation The Village’s finances are divided into several separate fund types to facilitate proper management and use. Below is a basic description of each fund. General Fund accounts for all revenues and expenditures that are not required to be accounted for in other funds. The General fund includes major property-tax based services such as general government, public safety, public works and culture, recreation and education. Special Revenue Funds account for proceeds from revenue sources that are legally restricted to expenditures for specified purposes and accounted for in the special revenue funds. Debt Service Fund is used to account for the annual principal and interest payments relating to the Village’s general obligation long-term debt. Capital Projects Fund accounts for the financial resources to be used for the acquisition or construction of major capital assets. Enterprise Funds account for operations that are financed and operated in a manner similar to a private business. The operations of the Water and Sewer, are accounted for in the Village ’s enterprise funds. Page 27 of 298 24 Revenue Sources: Taxes, Licenses & Permit Fees, Charges for Services A large percentage of the Village’s annual revenue comes from local taxes and from fees charged for services provided by the Village where people are directly benefited. The property tax is levied on the value of real and personal property located in the Village. Municipalities in Wisconsin have been granted very little authority to levy other types of taxes, such as sales or income tax. The Village also collects revenues through licenses and permits, and charges for services. Fees are charged for Village services such as the use of recreational facilities and the processing of building permits so that the users of those services are directly responsible for covering costs of providing the service. Role of Intergovernmental Revenues The non-property tax revenue source in the annual budget is the amount received in intergovernmental appropriations, particularly from the State. The following are revenues that the Village receives annually from the State. State Shared Revenues This includes the “Shared Revenue” program for general operating aid and the “Expenditure Restraint” program that rewards communities for fiscal restraint of the general fund. The State reallocates money collected through the personal income tax back to municipalities through the Shared Revenue program. Revenue is distributed among municipalities using a formula that consists of four components: 1. Aid able Revenue Component: This component of the formula aims to offset variances in taxable property wealth across the state. 2. Per Capita Component: This component is more broad-based and is allocated based on population. 3. Public Utility Component: This component provides payments to replace property tax revenues lost because utilities are exempt from property taxation. 4. Minimum Guarantee & Maximum Growth Component: This component is designed to prevent large annual shifts in payments. Transportation Aid This program allocates State revenue to the Village to offset the Village’s related street expenditures and is based on the miles of road in each municipality. Page 28 of 298 25 Tax Increment Districts (TIDs) Tax Increment Financing (TIF) is an economic development tool that helps promote local tax base expansion by using property tax revenues to fund site improvements to attract new development or eliminate blight. A TID (Tax Incremental District) is the actual area designated for expansions and where improvements are being made. Owners of property in a TID pay the same rate of taxes that owners outside the TID pay. TID is neither a tax freeze nor a tax increase, but a special allocation method for taxes collected on property value increases within the district. Property tax rates for the school, county, technical college, and municipality are based on the total taxable value of the property located in the TID at the time it is created (base year). Those organizations continue to receive this amount of property tax revenue during the life of the TID. As the value of the property increases due to development, the additional property tax revenue created “increment” is allocated to the municipality for a set number of years. Development costs are paid from these revenues before the added tax base is shared with other taxing entities. The Village of Williams Bay currently has oneTax Increment Districts (TIDs). Capital Improvement Plan (CIP) The Village has a Capital Improvement Plan (CIP) as a planning document to anticipate future large expenditures. It is a tool to chart both capital revenue (including bonds, grants, interest payments, and transfers from the General Fund) and expenditures. Capital items are placed in the CIP so that the Village can plan for future funding needs and coordinate major construction and purchasing projects. Page 29 of 298 26 Chapter 5: Legal Issues The Village Code establishes local law which governs matters of local concern within the Village and pertaining to its governance. In addition, the Village is a creature of state law and statutes adopted by the State Legislature together with state administrative code also apply and to the extent that the legislature has determined that certain state enactments are to be of statewide concern or that the courts have concluded that state law has primacy even with respect to local affairs, state law prevails. Ordinances and applicable statutes not only govern the actions of residents and visitors, but also the manner in which the Village and its elected and appointed officers and employees conduct business. Listed below are some of the more important legal topics of which you should be aware. However, it is important that you ask the Village Attorney or Village Administrator if you have questions on particular topics. Village of Williams Bay Ordinances The Village’s Code constitutes a set of permanent rules of order and regulation of conduct within the Village. The Village Board is responsible for adopting, amending and repealing Village ordinances to meet the best interests of the Village. The Village Code addresses many aspects of local government, including but not limited to appointment and empowerment of committees, boards and commissions but also Village finance and taxation procedures, traffic and health and welfare regulations, the public peace and order and the procedural and substantive frameworks for local licenses and permits, the operation of public utilities, establishment of zoning, subdivision and building codes and rules governing the conduct of business by the Village Board, committees, boards, commissions and officers and employees of the Village. The code book can be found by visiting https://ecode360.com/WI3949 Public Meetings All business transacted by the Village Board, its committees, commissions and boards on behalf of the Village must be undertaken in the course of a duty posted meeting. All meetings shall be open to the public in locations which are accessible to those who are interested in attending. Public notice and other criteria pertaining to the holding of meetings and the transaction of business are governed by Wisconsin’s Open Meetings Law, Subch. V, Ch. 19, Wis. Stats. To transact business, a quorum of a governmental body must be present. Closed sessions, from which the public is excluded, are the exception to open meetings and must be conducted strictly in accord with State Statue 19.85, Wis. Stats., and interpreting case law. Page 30 of 298 27 Public Records Wisconsin law holds that all persons are entitled to the greatest possible information about governmental affairs as well as pertaining to official acts undertaken by the officers and employees of a governmental body. Accordingly, Wisconsin has adopted a Public Records Law, found at Subch. II, Ch. 19, Wis. Stats., which defines and applies not only each of the physical forms of records subject to public review but, additionally, the type of records which may be accessed by the public. Interested persons may request access to and the making of copies of any public record without the necessity of expressing a reason; therefore, subject to certain exceptions. Questions pertaining to the application of the Public Records Law to a specific request for access should be referred to the Village Attorney. Board members, when communicating in any manner on Village business, should be aware that ALL Village communication, with few exceptions, are subject to public records law. Additional information can be found in Chapter 1-16 Public Records. Conflicts of Interest State law and local ordinances define the proper course of action to take when there is or may be a conflict of interest on the part of an officer or employee. In particular, state and local ethics codes provide guidelines for dealing with questions concerning potential or actual conflicts of interest. A Village Board member with a personal or financial interest in proposed action should disclose to the Board the nature of their interest prior to debate or, in some circumstances, before action is taken in the form of a vote. Because both elected and appointed officers and employees may influence the Village Board in matters in which they have a personal or financial interest, such interests should be disclosed to avoid either the appearance of or actual impropriety. Sometimes, it is not clear whether or not a conflict of interest, as defined by law, is present. Even though it may be legal to act on a matter, it may give the appearance of impropriety to do so. Questions regarding conflict of interest can be directed to the Village Attorney. 1. Financial and Personal Interest Prohibited. No official or employee, whether paid or unpaid, shall engage in any business or transaction, nor shall such official or employee act in regard to financial or other personal interest, direct or indirect, when such actions are incompatible with the proper discharge of their official duties or when such actions impair their independence of judgment or action in the performance their official duties. 2. Definitions: a. "Financial interest" means any interest which shall yield, directly or indirectly, a monetary or other material benefit to the officer or employee or to any person employing or retaining the services of the officer or employee. b. "Personal Interest" means any interest arising from blood or marital relationships or from business or political associations, whether or not any financial interest is involved. c. “Person” means any person, corporation, partnership or joint venture. Page 31 of 298 28 3. Specific Conflicts Enumerated: a. Incompatible Employment. No official or employee shall engage in or accept private employment or render service for private interest when such employment or service is incompatible with the proper discharge of their official duties or would tend to impair their independence of judgment or action in the performance of their official duties, unless otherwise permitted by law and unless disclosure is made as herein provided. b. Disclosure of Confidential Information. No official or employee shall disclose confidential information concerning the property, government or affairs of the Village nor shall they use such information to advance the financial or other private interest of themself or others. c. Representing Private Interests Before Village Agencies or Courts. No officer or employee shall appear on behalf of any private person, other than himself or herself, his or her spouse or minor children, before any Village agency or municipal court. However, a member of the Board may appear before Village agencies on behalf of his or her constituents in the course of his or her duties as a representative of the electorate or in the performance of public or civic obligations. Accepting Gifts Neither officers nor employees of the Village should accept gifts, favors or hospitality where it could be expected that they may be offered to influence official actions or be considered as a reward for an official act or which might impair the independence of your judgment. Per the Code of Ethics for Local Government Officials, Employees and Candidates: If a Village Official, other than a Village Employee, receives anything of value not authorized by the ethics code the Village Official shall not retain it, but shall deposit the money or the equivalent cash value or anything of value with the Village Treasurer or return the payment or thing to the payer or giver. The Village Attorney should be consulted if questions related to acceptance of gifts arise. Page 32 of 298 29 Chapter 6: Land Uses Planning & Zoning Planning and zoning are methods of achieving the orderly physical development of a community. Planning lays out the intended path of development for a Village and is typically done through a formal comprehensive plan. The Village Board, makes decisions regarding the planned development of public infrastructure in the Village through the adoption of the 2023 Comprehensive Plan, Capital Improvement Plan, and other long-range plans, such as an economic development plan. Community Planning also prepares trend reports, which provides a statistical snapshot of development changes in the Village of Williams Bay throughout the previous calendar year. This helps in considering the future needs of residents and businesses and how current decisions will affect that future. The Village has adopted extensive Zoning Ordinance Regulations (Chapter 390. Zoning) to promote the health, safety, morals, prosperity, aesthetics, and general welfare of the community. These zoning ordinance regulations provide the legal basis for facilitating thoughtful development and also aids long-range plans. The zoning ordinance regulates use of land and structures, lot coverage, population distribution and density, and the size and location of structures to promote the safety of citizens and efficient use of public infrastructure. Zoning districts permit various uses. Property owners must apply for a zoning permit and pay any applicable fees whenever a change or update in zoning is requested. Their request for a zoning designation or change will first be brought before the Plan Commission, who will make a recommendation to the Board. Annexation Annexation is a way for municipalities to expand and protect their borders. In some instances, Village’s may wish to annex neighboring land in order to gain additional land for development. In other cases, residents living outside Village limits may request that they be annexed so that they may receive Village services such as water and sewer. There are several methods to accomplish annexation, including: 1) direct annexation by unanimous approval (the most widely-used practice), 2) direct annexation, 3) annexation by residents’ referendum, 4) annexation of owned territory, and 5) annexation on Village initiative by referendum and court order. Further questions regarding annexation may be directed to the Village Administrator or Zoning Administrator. Variances Residents and business owners are able to apply for accessory uses permitted by right, conditional use and temporary use permits from the Zoning Ordinance when they desire to use land or buildings in a way that doesn’t conform to the Ordinance. This application is to be filed with the Zoning Administrator. Page 33 of 298 30 Chapter 7: Board Conduct Ultimately, you are elected by the citizens, and are responsible solely to them. However, you may wish to consider the following advice with respect to your conduct as a representative of the Village of Williams Bay. Effectiveness & Efficiency Because of the complex nature of municipal government, it can sometimes seem difficult to make decisions and act in an efficient and effective manner. It is important to work as both a leader and a team member in making decisions that affect the Village. Keeping these suggestions in mind can help to ensure that each board member, as well as the Board as a whole, is able to most effectively accomplish their goals. Respect Each Village Board member and member of the public provides a unique perspective. It may be helpful, as you join the Village Board, for you to share with your colleagues your background and special interests, and to learn as much about their perspectives as you can. This mutual learning will assist in the development of both your professional and personal relationships. The best Village Board is one in which members have strong individual identities but work effectively as a team while always showing each other the utmost respect. Compromise All Village Board members have a responsibility to represent a diverse community. Being able to pass any legislation requires that individuals are tolerant of other’s viewpoints. Part of the democratic process is the difference in opinion of our representatives; it is ineffective, however, to allow that difference to halt the decision-making process. The art of compromise is very important in Village Board discussions, as it takes a majority vote to achieve anything. When facing opposition, try to understand the values that are driving the individual. Work for creative solutions that may or may not be the first choice of the parties involved, but address the core needs and values of each party. Remember, all formal actions of the Village Board require over half of the attending members, unless it is an issue that requires a two-third majority, affirmative votes. Also, remember that if one of your fellow Village Board members opposes you on a specific issue, they may be your biggest supporter on the next one. Trustees as Leaders As a Village Board member, you are asked to be a leader. While it is your job to represent your constituents, it is also your job to help them see the bigger picture. Sometimes, government issues are complicated and not easily understood by the general public. During those times, you should work to help your constituents understand the issue. Occasionally, you may even need to take a leadership role contrary to the view of your constituents based on your position as an educated Board person looking out for the best interests of the community as a whole. Page 34 of 298 31 Process vs. Product Village Board members must balance the value of public input in meetings with the value of decision making. Though it is important to allow public comment, drawn out or repetitive comments prolong Board discussion and may leave little time for productive discussion on items found later in the agenda. Conflict Management Although certain topics may ignite personalities and anger both Village Board members and members of the public, little is accomplished when there is a lack of courtesy for others. It is important that the Village President maintain control of meetings and that Board not get drawn in by emotional members of the public. Personal Attacks Attacks on individuals, whether Village Board members, staff, or the general public, are never appropriate. If an individual does or says something wrong, you should not hesitate to address it. Most often, however, the appropriate time and place to address problems is not during a public meeting. This includes addressing work product issues with staff. This Too Shall Pass During times of high conflict, it is sometimes hard not to take problems personally, take them home or take them out on others. Keep in mind that these issues will fade and will be replaced by new ones. While it is your job to address difficult issues, it is understood that you will never be able to completely solve many of them. The key is to keep a positive perspective and work with the other members of your team. Interacting with the Public You have been elected by the public to represent the public. Both in formal meetings and daily life on the street, a large component of your job is to be attentive to their concerns. These are opportunities for you to inform them about what the government is doing and gather their opinion on matters that concern the Village government. This document already addressed the public’s role during Village Board meetings and public hearings. In addition to these circumstances, you will have the opportunity to interact with the public as you make public appearances and talk to individuals on a daily basis. At such appearances, you are representing the Village. They are opportunities for you to explain your position on issues, respond to citizen complaints, test new ideas, or ask for citizen involvement on a project. It is also important to keep in mind that what you say may influence what people will think about the Village for years to come. As a Village Board member, you can expect many questions and complaints from the public. By answering honestly and being available to provide information whenever possible, you can make your life, as well as other Village officials’ and staff members’, much easier. Often you will be able to answer a question or complaint yourself. If you need to pass the question on to Page 35 of 298 32 another individual, follow up to make sure that that person adequately addressed the citizen’s needs. When addressing citizen requests for action, it is always appropriate to offer to look into the situation personally or discuss with staff. No matter what the issue, you should welcome all questions and/or complaints. They often provide valuable insights and help you to better represent citizens. While you may occasionally be inclined to dismiss some complaints, it is almost always in the Village’s best interest for you to remain attentive and professional when interacting with the public. Dealing with the Media Especially if considering a controversial decision, working with the media can be one of the most challenging aspects of your position as a board member. Expect media representatives to be present at many Village functions. Keep in mind that it is their job to get the news that you are making to the rest of the community. Building a positive relationship with journalists can help you both to attain your goals. Establishing good relations with local newspapers, radio stations, and TV channels is a big step toward these goals. By welcoming reporters and sharing relevant information with the media, you will be building a relationship that can benefit you when news coming from Village Hall may be controversial. Whenever, possible, avoid using the phrase “no comment” or refusing to answer questions, as it breaks down Media-Board relationships and often pushes a reporter to look harder for Board faults. “I don’t have the answer right now, but I can follow up and get back to you,” is always an appropriate way to answer a question that you don’t have the answer to at the moment. Remember that you can always refer media inquiries to the Village Administrator’s office. Make sure that when you talk with reporters, they receive all of the facts and fully understand the details of a situation. Sometimes, governmental procedures can be complex; the additional time that it takes to explain something is well worth it. If necessary, follow up with reporters. If you feel it is appropriate, volunteer to review an article before it goes to print in order to check its accuracy. Don’t be afraid to contact them if there is an inaccuracy in information they provide to the public. Page 36 of 298 33 Chapter 8: Directory Village of Williams Bay Contact 250 Williams Street, PO Box 580 Williams Bay, WI 53191 (262) 245-2700 Departments Village Hall: 262-245-2700 David Lothspeich, Village Administrator Ext. 402 Cell: 847-421-7715 Tina Kolls, Village Clerk Ext. 405 Cell: 262-949-5024 Jennifer Wiese, Treasurer Ext. 403 Cell: 262-949-1444 Cynthia Stanek, Utility/Admin Asst. Ext. 404 Cell: 815-201-4872 Police Department: 262-245-2710 Justin Timm, Police Chief Ext. 410 Cell: 262-581-3061 Public Works/Streets/Water: Wayne Edwards, Public Works Director Cell: 262-903-1764 Recreation Department: Ryan Knop, Recreation Director Cell: 262-294-1908 Library: 262-245-2709 Joy Schnupp, Library Director Cell: 262-325-2985 Fire Department: 262-245-2712 Doug Smith, Fire Chief Cell: 262-949-2203 Emergency Medical Services (EMS) Department: Rich Gluth, Rescue Squad Captain Cell: 262-325-0048 Harbor/Boat Launch: 262-581-7872 Nick Asta, Harbor Master Cell: 480-518-5954 Building (contracted): 262-245-2704 Mike Moore (Safebuilt), Building Inspector Ext. 415 Cell: 262-202-4358 Zoning (contracted): Allision Schwark, Zoning Administrator Ext. 407 Cell: 920-763-5531 Page 37 of 298 34 Additional Resources League of Wisconsin Municipalities 122 W Washington Ave, Suite 300 Madison WI 53703 608-267-2380 www.lwm-info.org The League is a voluntary not-for-profit association that works with local governments and provides legal resources, conference and networking opportunities, educational handbooks and publications for elected officials and appointed staff, assistance on a multitude of topics via their website, lobbying for municipalities at the state and federal level, and opportunities for municipalities to participate in insurance and investment pools to strengthen bargaining and buying power. Legislative Bulletin The League provides a weekly update covering proposed legislation at the State level on their website. It is a helpful way to remain up-to-date on State legislation that may affect Williams Bay residents. You can subscribe to the Legislative Bulletin and Capitol Buzz for weekly updates. UW-Extension, Local Government Center 111 Pyle Center, 702 Langdon Street Madison, WI 53706 608-262-9961 https://localgovernment.extension.wisc.edu/ The Government Center provides a variety of educational options to assist municipalities, including: workshops, conferences, online and print educational materials, research, and assistance in special requests from governments. Walworth County, Wisconsin Government Center 100 W Walworth Street Elkhorn, WI 53121 Phone: 262-741-4241 https://www.co.walworth.wi.us/ Stay up to date with news and announcements happening at the Walworth County Level. Subscribe to Alert Sense for updates including, but not limited to: emergency notifications, government jobs, new flash, calendars, upcoming meetings and agendas, and posted meeting minutes. https://www.co.walworth.wi.us/291/Emergency-Notification-Alerting-System Page 38 of 298 35 State of Wisconsin Listed below are some of the potentially helpful resources and contact information for various State agencies. Department of Revenue (608) 266-2772 https://www.revenue.wi.gov/ Department of Natural Resources (608)266-2621 www.dnr.state.wi.us Department of Transportation (715) 836-2891 www.dot.state.wi.us Bureau of Transit & Local Roads (608) 266-2350 Website State Ethics Board (608)266-8123 https://ethics.wi.gov/ Wisconsin Elections Board (608) 266-8005 www.elections.state.wi.us Page 39 of 298 36 Appendix A: Chapter 110 Village Board Village President and Board Chapter 110. Village Board § 110-1. Composition. The Village Board shall consist of the Village President, who shall be elected in odd-numbered years for a two- year term, and six trustees, three of whom shall be elected in even-numbered years for two years, and three of whom shall be elected in odd-numbered years for two-year terms. § 110-2. Compensation and expense reimbursement. [Added 4-2015] Salaries and expense reimbursement levels as well as the manner of their payment for the Village President and Village Trustees will be established by resolution of the Village Board and reviewed annually in January by the Village Board. § 110-3. Village Board committees. The committees of the Village Board shall be appointed annually by the Village President at the organization meeting and shall comprise the following committees: A. Finance and Personnel. This Committee is responsible for the formulation of the annual budget and annual tax levy and all personnel concerns including collective bargaining agreements. All contracts with the Village will be reviewed and endorsed by this Committee. B. Streets and Highways. This Committee administrates all matters concerning Village streets, highways, sidewalks and stormwater drainage. This Committee works closely with Director of Public Works on all matters including, but not limited to, the formulation of an annual budget which is then submitted to the Finance and Personnel Committee. This Committee is responsible for the maintenance of all public works buildings. C. Protective Services. This Committee administrates all matters concerning Village Fire Department, Police Department, Emergency Medical Service (Rescue) Squad, and Dive Team. This Committee works closely with the Chiefs of the above-mentioned departments on all matters including, but not limited to, the formulation of an annual budget which is then submitted to the Finance and Personnel Committee. [Amended at time of adoption of Code (see Ch. 1, General Provisions, Art. II)] D. Parks and Lakefront. (1) This Committee administrates all matters concerning Village parks, lakefront and Park District. This Committee works closely with Director of Public Works and the Park District on all matters including, but not limited to, the formulation of an annual budget which is then submitted to the Finance and Personnel Committee. (2) This committee is also responsible for the maintenance of the following buildings: Village Hall, Field House, Lakefront Concession Building, Library Hall, Beach House, Horvath Building and the pavilion at Edgewater Park. Page 40 of 298 37 E. Building, Zoning and Ordinance. This Committee works closely with the Building Inspector on all matters regarding the issuance of building and zoning permits and zoning issues. This Committee also is responsible for ordinance development, adoption and codification. F. Water and Sewer. This Committee administrates all matters concerning the Water Utility and Sewer Department within the Village with the powers and duties as other committees of the Village Board, governed by § 110-3 of this Code, including selection and number of members of such Committee. This Committee works closely with Director of Public Works including, the formulation of an annual budget. § 110-4. Residency required. [Amended 8-31-2020 by Ord. No. 2020-03] All members of Village Board Committees established pursuant to § 110-3 of this chapter shall reside within the corporate limits of the Village of Williams Bay. § 110-5. Village Board bylaws. A. Regular meetings. The regular meetings of the Village Board shall be held in the Village Hall on the first and third Mondays of each month at 6:30 p.m., unless noticed otherwise. The Board may adjourn any regular meeting to any future date at which new business may be introduced as well as unfinished business completed. [Amended 7-5-2022 by Ord. No. 2022-11] B. Presiding officer. The President or presiding officer shall preside at all meetings and preserve order, deciding all questions of order, subject to an appeal to the Board. C. Calling meetings to order. The President shall take the chair at the hour appointed and immediately call the meeting to order. In the absence of the President, the Clerk or, in the Clerk's absence, any member of the Board may call the meeting to order, and thereupon the Board shall appoint one of its members President Pro Tempore. In the absence of the Clerk, the Board may appoint one of the members present to serve as Clerk during the session. The Chair shall confirm public notice compliance with the Clerk or other Village staff representative. [Amended 1-15-2018 by Ord. No. 2018-1] D. Order of business. The business of the Board shall be transacted in the following order: [Amended 6-16-2025 by Ord. No. 2025-06] (1) Roll call. (2) Reading the minutes of the preceding meeting and approving same if correct, correcting mistakes if any occur. (3) Public comments. The public may speak on any item that is not included on this agenda as a "Public Hearing or Forum." Anyone who wishes to comment should identify himself or herself and provide his or her local address. Board members may discuss any matter raised by the public. However, the Board will refrain Page 41 of 298 38 from extensive dialogue and should not take action on matters raised by the public during a public comment period. Referrals to committees or staff members might be made. Members may ask the commenter to clarify his or her remarks. The Board President or the presiding officer will maintain control of the meeting. (4) Consent agenda. (5) Presentation of accounts and petitions. (6) Plan Commission. (7) President's remarks. (8) Ordinances and resolutions. (9) Committee reports. (10) Public comments. (11) Adjournment. E. Passage of ordinances. (1) Every proposed ordinance shall have two separate readings previous to its passage but shall not be read at any other time than regular sessions except by unanimous consent. The second reading may be waived by vote of the Board. (2) The second reading of an ordinance shall be by section at which time amendments may be offered. If no amendments are made, the question shall be, "Shall the ordinance pass?" If amendments are offered and made, the chair shall so report and the ordinance shall be so read as amended before the question of its passage is taken. F. Rules of procedure. The rules of parliamentary practice embraced in Robert's Rules of Order, Newly Revised, shall govern the Board where applicable and where not inconsistent with the standing rules, bylaws and order of the Board. G. Special meetings. (1) How called. Special meetings may be called by the President or any two trustees in writing filed with the Clerk. If at least 24 hours remain before such meeting, the Clerk shall notify each member of the Board of the time, place and purpose of such special meeting by mailing a written notice thereof to each member of the Board and by telephoning him, if possible. If less than 24 hours but at least six hours remain before such meeting, the Clerk shall give notice to each trustee by personal service and by telephone, if possible. No special meeting shall be called upon less than six hours' notice except with the unanimous consent of all members of the Board expressed orally or in writing. (2) Statutes adopted. Section 19.85, Wis. Stats., is hereby adopted and by reference made a part of this section as if fully set forth herein. Any act required to be performed or prohibited by the provisions of any statute incorporated by reference herein is required or prohibited by this section. H. Business to be presented by Trustee. No business shall be considered by the Board unless presented by a member of the Board. Page 42 of 298 39 I. Approval of claims. Every account presented to the Board shall, if required, be verified by affidavit as provided by law and shall not be allowed or directed to be passed until it shall have been examined and certified as correct by the proper committee and reported to and audited by the Board. J. Amendment of bylaws. These bylaws may be amended, stricken out or added to at any regular meeting of the Board upon a majority vote of all the members, provided that notice thereof shall be given at the regular meeting of the Board immediately preceding the one in which such amendment is to be acted upon. K. Consent agenda. [Added 6-6-2016 by Ord. No. 2016-6] (1) Criteria. The Village Clerk may create a subsection on any Board agenda entitled "consent agenda." In a consent agenda, the Clerk shall place matters that, in the Clerk's judgment, are routine and noncontroversial and do not require a super majority vote or separate action by the Board. (2) Procedure. The following procedure shall apply when a consent agenda is used: (a) No separate discussion or debate may be permitted on any matter listed on the consent agenda except as provided in Subsection K(2)(b). (b) A single motion, seconded and adopted by a majority vote of the Board shall be required to approve, adopt, enact or otherwise favorably resolve all matters listed on the consent agenda. (c) Any member of the Board may request removal of any item included in the consent agenda. At the time the consent agenda is considered, any such item shall be removed without debate or vote. (d) If any item has been removed from the consent agenda in accordance with this subsection, that item shall be considered by the Board under the appropriate heading of the regular agenda of the Board. Page 43 of 298 40 Appendix B: Village Code Chapter 40 – Ethics Chapter 40. Ethics § 40-1. Declaration of policy. A. The proper operation of democratic government requires that public officials and employees be independent, impartial and responsible to the people; government decisions and policy be made in the proper channels of the government structure; public office not be used for personal gain; and the public have confidence in the integrity of its government. In recognition of these goals, there is hereby established a Code of Ethics for all Village officials and employees, whether elected or appointed, paid or unpaid, including members of boards, committees and commissions of the Village. The purpose of the code is to establish guidelines for ethical standards of conduct for all such officials and employees by setting forth those acts or actions that are incompatible with the best interests of the Village and by directing disclosure by such officials and employees of private financial or other interests in matters affecting the Village. B. The Village Board recognizes that the representatives of the Village are drawn from society and therefore cannot and should not be without all personal and economic interest in the decisions and policies of government and that citizens who serve as Village officials and employees retain their rights as citizens to interest of a personal and economic nature. The standards of ethical conduct for Village officials and employees need to distinguish between those minor and inconsequential conflicts that are unavoidable in a free society and those conflicts which are substantial and material and that Village officials and employees may need to engage in employment, professional or business activities other than official duties in order to support themselves or their families and to maintain investments which activities or investments do not conflict with the specific provisions of this code. The provisions and purpose of this code and such rules and regulations as may be established are hereby declared to be in the best public interest. It is the intent of the Village Board that in its operations the Board of Ethics shall protect to the fullest extent possible the rights of individuals affected. § 40-2. Responsibility of public office. Public officials and employees are agents of public purpose and hold office for the benefit of the public. They are bound to uphold the Constitution of the United States and the Constitution of this State and to carry out impartially the laws of the nation, State and Village and thus to foster respect of all government. They are bound to observe in their official acts the highest standards of morality and to discharge faithfully the duties of their office regardless of personal considerations, recognizing that the public interest must be their primary concern. § 40-3. Definitions. As used in this chapter, the following terms shall have the meanings indicated: ANYTHING OF VALUE Any money or property, favor, service, payment, advance, forbearance, loan or promise of future employment, but does not include compensation and expenses paid by the state, fees, honorariums and expenses which are permitted and reported under § 19.56, Wis. Stats., and political contributions which are reported under Ch. 11, Wis. Stats. FINANCIAL INTEREST Any interest which shall yield directly or indirectly a monetary or other material benefit to the officer or employee or to any person employing or retaining the services of the officer or employee. PERSON Any person, corporation, partnership or joint venture. Page 44 of 298 41 § 40-4. Conflict of interest. A. No official or employee shall accept anything of value, whether in the form of a gift, service, loan or promise, from any person which may tend to impair his independence of judgment or action in the performance of his official duties. B. It is not a conflict of interest for any public employee or official to receive a gift or gratuity that is an unsolicited item of nominal intrinsic value. C. No public official or employee shall engage in any business or transaction or shall act in regard to any financial interest, direct or indirect, which is incompatible with the proper discharge of his official duties for the benefit of the public, contrary to the provisions of this Code or which would tend to impair his independence of judgment or action in the performance of his official duties. D. No public official or employee shall engage in or accept private employment or render service for private interest when such employment or service is incompatible with the proper discharge of his official duties or would tend to impair his independence of judgment or action in the performance of his official duties unless otherwise permitted by law, unless disclosure is made as hereinafter provided. E. No public official or employee and no business in which a Village official or public employee holds a 10% or greater interest may enter into a contract with the Village involving a payment or payments of more than $3,000 within a twelve-month period unless such official or employee has first made a written disclosure of the nature and extent of such relationship or interest to the Board and to the department acting for the Village in regard to such contracts. This subsection does not affect the application of § 946.13, Wis. Stats. F. No official or employee shall disclose confidential information concerning the property, government or affairs of this Village nor shall he use such information to advance the financial or other private interest of himself or any other person. G. Any member of the Village Board who has financial interest in any proposed legislation before the Village Board shall disclose on the records of the Board the nature and extent of such interest prior to or during the initial discussion on such legislation. Any other official or employee who has a financial interest in any proposed legislative action of the Village Board and who participates in discussion with or gives an official opinion or recommendation to the Village Board shall disclose on the records of the Board the nature and extent of such interest. § 40-5. Ethics Board. A. There is hereby created an Ethics Board consisting of three members and one alternate who shall serve without compensation unless the Village Board otherwise provides. The members of the Board of Ethics shall be residents of the Village and shall not be elected officials, full-time appointed officials, or Village employees nor shall they be currently serving on any other Village board or commission. [Amended at time of adoption of Code (see Ch. 1, General Provisions, Art. II)] B. Each member shall be appointed by the President and subject to the confirmation by the Village Board. The Village Attorney shall furnish the Board whatever legal assistance necessary in carrying out its functions. Terms of office shall be three years, except that when the initial appointments are made one member shall be appointed for one year, one for two years and one for three years. C. The alternate shall serve on the Board when one of the members of the Board is unavailable. The term of the alternate shall be for three years. The Ethics Board shall elect its own Chairperson and Vice Chairperson. § 40-6. Duties of Ethics Board. A. The Ethics Board shall adopt and develop written rules which shall be submitted to the Village Board for approval. A copy of such rules shall be filed with the Village Clerk. B. Any person to whom this chapter applies may apply to the Ethics Board for an advisory opinion and shall be guided by the opinion rendered. Such person shall have the opportunity to present his interpretation of the facts at issue and of the applicability of provisions of the Code before the advisory decision is rendered. The Board's Page 45 of 298 42 deliberations and action upon such applications shall be in meetings not open to the public. Records of the Board's opinions, opinion requests and investigations of violations shall be closed to public inspection. The Board, however, may make such records public with the consent of the individual requesting the advisory opinion. C. The Board shall investigate any complaint properly filed with it. D. The Board shall accept from any person or make upon its own motion a verified complaint in writing which shall state the name of the officer or employee alleged to have committed a violation of this chapter and which shall set forth the particulars thereof. The Board shall forward within 10 days a copy of the complaint to the officer or employee who is accused. If no action on the verified complaint is taken by the Board within 60 days, the complaint shall be void. E. Following the receipt or motion of a verified complaint, the Board may make preliminary investigations with respect to alleged violation of this chapter. No preliminary investigation of the activities of any officer or employee may be initiated unless such officer or employee is notified in writing. The notice shall state the exact nature and purpose of the investigation, the individual's specific actions or activities to be investigated and a statement of such person's due process rights. F. If after such investigation the Board finds that probable cause exists for believing the allegations of the complaint, it shall conduct a hearing on the matter which shall be held not more than 30 days after such finding. The Board shall give the accused at least 20 days' notice of the hearing date. Such hearings shall be at open session unless the accused petitions for a hearing closed to the public. The rules of criminal evidence shall apply to such hearings. All evidence, including certified copies of records and documents which the Board considers, shall be fully offered and made part of the record in the case. Every party shall be afforded adequate opportunity to rebut or offer countervailing evidence. G. During all stages of any investigation or proceeding conducted under this section, the accused or any person whose activities are under investigation shall be entitled to be represented by counsel of his own choosing. H. The accused or his representative shall have an adequate opportunity to examine all documents and records to be used at the hearing under Subsection F at a reasonable time before the date of the hearing as well as during the hearing; bring witnesses; establish all pertinent facts and circumstances; and question or refute any testimony or evidence, including opportunity to confront and cross-examine adverse witnesses. I. The Board shall have the power to compel the attendance of witnesses and to issue subpoenas granted other boards and commissions under § 885.01(3), Wis. Stats. J. Upon conclusion of the hearing, the Board shall file its decision within five days in writing signed by all participating Board members with findings of fact and conclusions of law concerning the propriety of the conduct of the officer or employee and, if appropriate, refer the matter to the Village Board or other proper authority with a recommendation for suspension, removal from office or employment of other disciplinary action. K. The affirmative vote of a majority of the Board shall be required for any action taken by the Board, with the exception that action taken by the Board pursuant to a hearing conducted under Subsection F shall require a unanimous vote. [Amended at time of adoption of Code (see Ch. 1, General Provisions, Art. II)] Page 46 of 298 43 Wisconsin Statute 19.59. Codes of ethics for local government officials, employees and candidates (1) (a) No local public official may use his or her public position or office to obtain financial gain or anything of substantial value for the private benefit of himself or herself or his or her immediate family, or for an organization with which he or she is associated. A violation of this paragraph includes the acceptance of free or discounted admissions to a professional baseball or football game by a member of the district board of a local professional baseball park district created under subch. III of ch. 229 or a local professional football stadium district created under subch. IV of ch. 229. This paragraph does not prohibit a local public official from using the title or prestige of his or her office to obtain campaign contributions that are permitted and reported as required by ch. 11. This paragraph does not prohibit a local public official from obtaining anything of value from the Wisconsin Economic Development Corporation or the department of tourism, as provided under s. 19.56 (3) (f). (b) No person may offer or give to a local public official, directly or indirectly, and no local public official may solicit or accept from any person, directly or indirectly, anything of value if it could reasonably be expected to influence the local public official's vote, official actions or judgment, or could reasonably be considered as a reward for any official action or inaction on the part of the local public official. This paragraph does not prohibit a local public official from engaging in outside employment. (br) No local public official or candidate for local public office may, directly or by means of an agent, give, or offer or promise to give, or withhold, or offer or promise to withhold, his or her vote or influence, or promise to take or refrain from taking official action with respect to any proposed or pending matter in consideration of, or upon condition that, any other person make or refrain from making a political contribution, or provide or refrain from providing any service or other thing of value, to or for the benefit of a candidate, a political party, any committee registered under ch. 11, or any person making a communication that contains a reference to a clearly identified local public official holding an elective office or to a candidate for local public office. (c) Except as otherwise provided in par. (d), no local public official may: 1. Take any official action substantially affecting a matter in which the official, a member of his or her immediate family, or an organization with which the official is associated has a substantial financial interest. 2. Use his or her office or position in a way that produces or assists in the production of a substantial benefit, direct or indirect, for the official, one or more members of the official's immediate family either separately or together, or an organization with which the official is associated. (d) Paragraph (c) does not prohibit a local public official from taking any action concerning the lawful payment of salaries or employee benefits or reimbursement of actual and necessary expenses, or prohibit a local public official from taking official action with respect to any proposal to modify a county or municipal ordinance. Page 47 of 298 44 (f) Paragraphs (a) to (c) do not apply to the members of a local committee appointed under s. 289.33 (7) (a) to negotiate with the owner or operator of, or applicant for a license to operate, a solid waste disposal or hazardous waste facility under s. 289.33, with respect to any matter contained or proposed to be contained in a written agreement between a municipality and the owner, operator or applicant or in an arbitration award or proposed award that is applicable to those parties. (1m) In addition to the requirements of sub. (1), any county, Village, village or town may enact an ordinance establishing a code of ethics for public officials and employees of the county or municipality and candidates for county or municipal elective offices. (2) An ordinance enacted under this section shall specify the positions to which it applies. The ordinance may apply to members of the immediate family of individuals who hold positions or who are candidates for positions to which the ordinance applies. (3) An ordinance enacted under this section may contain any of the following provisions: (a) A requirement for local public officials, other employees of the county or municipality and candidates for local public office to identify any of the economic interests specified in s. 19.44. (b) A provision directing the county or municipal clerk or board of election commissioners to omit the name of any candidate from an election ballot who fails to disclose his or her economic interests in accordance with the requirements of the ordinance. (c) A provision directing the county or municipal treasurer to withhold the payment of salaries or expenses from any local public official or other employee of the county or municipality who fails to disclose his or her economic interests in accordance with the requirements of the ordinance. (d) A provision vesting administration and civil enforcement of the ordinance with an ethics board appointed in a manner specified in the ordinance. A board created under this paragraph may issue subpoenas, administer oaths and investigate any violation of the ordinance on its own motion or upon complaint by any person. The ordinance may empower the board to issue opinions upon request. Records of the board's opinions, opinion requests and investigations of violations of the ordinance may be closed in whole or in part to public inspection if the ordinance so provides. (e) Provisions prescribing ethical standards of conduct and prohibiting conflicts of interest on the part of local public officials and other employees of the county or municipality or on the part of former local public officials or former employees of the county or municipality. (f) A provision prescribing a forfeiture for violation of the ordinance in an amount not exceeding $1,000 for each offense. A minimum forfeiture not exceeding $100 for each offense may also be prescribed. (4) This section may not be construed to limit the authority of a county, Village, village or town to regulate the conduct of its officials and employees to the extent that it has authority to regulate that conduct under the constitution or other laws. (a) Any individual, either personally or on behalf of an organization or governmental body, may request of a county or municipal ethics board, or, in the absence of a county or municipal ethics board, a county corporation counsel or attorney for a local governmental unit, an advisory opinion regarding the propriety of any matter to which the person is or may become a party. Any appointing officer, with the consent of a prospective appointee, may request of a county or municipal ethics board, or, in the absence of a county or municipal ethics board, a county corporation counsel or attorney for a local governmental unit an advisory opinion regarding the Page 48 of 298 45 propriety of any matter to which the prospective appointee is or may become a party. The county or municipal ethics board or the county corporation counsel or attorney shall review a request for an advisory opinion and may advise the person making the request. Advisory opinions and requests therefor shall be in writing. It is prima facie evidence of intent to comply with this section or any ordinance enacted under this section when a person refers a matter to a county or municipal ethics board or a county corporation counsel or attorney for a local governmental unit and abides by the advisory opinion, if the material facts are as stated in the opinion request. A county or municipal ethics board may authorize a county corporation counsel or attorney to act in its stead in instances where delay is of substantial inconvenience or detriment to the requesting party. Except as provided in par. (b), neither a county corporation counsel or attorney for a local governmental unit nor a member or agent of a county or municipal ethics board may make public the identity of an individual requesting an advisory opinion or of individuals or organizations mentioned in the opinion. (b) A county or municipal ethics board, county corporation counsel or attorney for a local governmental unit replying to a request for an advisory opinion may make the opinion public with the consent of the individual requesting the advisory opinion or the organization or governmental body on whose behalf it is requested and may make public a summary of an advisory opinion issued under this subsection after making sufficient alterations in the summary to prevent disclosing the identities of individuals involved in the opinion. A person who makes or purports to make public the substance of or any portion of an advisory opinion requested by or on behalf of the person waives the confidentiality of the request for an advisory opinion and of any records obtained or prepared by the county or municipal ethics board, the county corporation counsel or the attorney for the local governmental unit in connection with the request for an advisory opinion. (5) Any county corporation counsel, attorney for a local governmental unit or statewide association of local governmental units may request the commission to issue an opinion concerning the interpretation of this section. The commission shall review such a request and may advise the person making the request. (6) (a) Any person who violates sub. (1) may be required to forfeit not more than $1,000 for each violation, and, if the court determines that the accused has violated sub. (1) (br), the court may, in addition, order the accused to forfeit an amount equal to the amount or value of any political contribution, service, or other thing of value that was wrongfully obtained. (b) Any person who violates sub. (1) may be required to forfeit not more than $1,000 for each violation, and, if the court determines that a local public official has violated sub. (1) (br) and no political contribution, service or other thing of value was obtained, the court may, in addition, order the accused to forfeit an amount equal to the maximum contribution authorized under s. 11.1101 (1) for the office held or sought by the official, whichever amount is greater. (7) (a) Subsection (1) shall be enforced in the name and on behalf of the state by action of the district attorney of any county wherein a violation may occur, upon the verified complaint of any person. (b) In addition, and supplementary to the remedy provided in sub. (7), the district attorney may commence an action, separately or in conjunction with an action brought to obtain the remedy provided in sub. (7), to obtain such other legal or equitable relief, including but not limited to mandamus, injunction or declaratory judgment, as may be appropriate under the circumstances. Page 49 of 298 46 (c) If the district attorney fails to commence an action to enforce sub. (1) (a), (b), or (c) to (g) within 20 days after receiving a verified complaint or if the district attorney refuses to commence such an action, the person making the complaint may petition the attorney general to act upon the complaint. The attorney general may then bring an action under par. (a) or (b), or both. (cm) No complaint alleging a violation of sub. (1) (br) may be filed during the period beginning 120 days before a general or spring election, or during the period commencing on the date of the order of a special election under s. 8.50, and ending on the date of that election, against a candidate who files a declaration of candidacy to have his or her name appear on the ballot at that election. (cn) If the district attorney for the county in which a violation of sub. (1) (br) is alleged to occur receives a verified complaint alleging a violation of sub. (1) (br), the district attorney shall, within 30 days after receipt of the complaint, either commence an investigation of the allegations contained in the complaint or dismiss the complaint. If the district attorney dismisses the complaint, with or without investigation, the district attorney shall notify the complainant in writing. Upon receiving notification of the dismissal, the complainant may then file the complaint with the attorney general or the district attorney for a county that is adjacent to the county in which the violation is alleged to occur. The attorney general or district attorney may then investigate the allegations contained in the complaint and commence a prosecution. (d) If the district attorney prevails in such an action, the court shall award any forfeiture recovered together with reasonable costs to the county wherein the violation occurs. If the attorney general prevails in such an action, the court shall award any forfeiture recovered together with reasonable costs to the state. Page 50 of 298 47 Appendix C: Village Administrator Chapter 80. Officers and Employees § 80-3. Village Administrator. A. Village Administrator creation and purpose. In order that the various officers, officials and employees executing policies and administering the affairs of the Village of Williams Bay be operated as efficiently as possible under a system of part-time President and part-time Trustees, and to better insure confident, expeditious, efficient and harmonious administration in action and in respect to any activity, of any one or more of the Village's officers, officials and employees, and in order that there may be uniform administration of policy, there is hereby created the office of Village Administrator for the Village of Williams Bay. B. Functions of Village Administrator. (1) The Village Administrator shall be the administrative officer of the Village, responsible for the proper administration of the business and affairs of the Village, subject to those limitations imposed by the statutes of the State of Wisconsin, the ordinances of the Village of Williams Bay, and the resolutions and directions of the Village Board. (2) Nothing herein shall be construed to conflict with the duties of the Village Board and other Village officers otherwise provided by statute and the ordinances of the Village of Williams Bay. C. Appointment. The Village Administrator shall be appointed by the Village President and confirmed by the Village Board for a term of three years from the date of initial hire (or at the expiration of the term of an incumbent Village Administrator appointed prior to April 20, 2021) on the basis of merit, with due respect to training, experience, administrative ability and general fitness and knowledge of administrative and operational functions of municipal government. The Village Administrator shall be an officer of the Village of Williams Bay. Compensation therefor shall be as determined by the Village Board from time to time. Should the Village President decline to reappoint an incumbent Village Administrator, the Village Board may reappoint the incumbent Village Administrator to that office. [Amended 1-17-2022 by Ord. No. 2021-11] D. General duties. The Village Administrator shall have the following general duties: [Amended 1- 17-2022 by Ord. No. 2021-11] (1) Board relations. (a) Carry out directives of the Village Board which require administrative implementation, reporting promptly to the Village Board any difficulties encountered therein. (b) Attending all meetings of the Village Board, assisting the President and the Village Board as required in the performance of their duties. (c) Keep the President and Village Board regularly informed about the activities of the Administrator's Office and the current fiscal position of the Village by oral or written report at regular and special meetings of the Village Board. (d) The Village Administrator shall make recommendations from time to time to the Village Board for improving the quality and efficiency of services performed by the Village and for improving the health, safety and welfare of the Village. Page 51 of 298 48 (2) Financial. (a) Serve as the primary staff person in establishing and monitoring the annual operating budget in accordance with all statutory requirements. (b) Oversee the work of the Treasurer and serve as the primary staff person responsible for monitoring the budget and answering budget inquiries of staff and elected officials. Perform certain accounting tasks to ensure separation of duties to the extent possible, including reviews, approve journal entries, approve all Village encumbrances, review and approve bank deposits. (c) Serve as the purchasing agent for the Village, supervising all purchasing and overseeing the contracting for supplies and services. Prepare Village contracts for execution. (3) Administration. (a) Administer all day-to-day operations of the Village government, including the monitoring of all Village ordinances, resolutions, Village Board meetings and state statutes. (b) Administer and direct the operation and maintenance of all Village-owned property, lands, buildings, improvements and equipment, and all public ways, ditches, drains and storm sewers, and where such duties are otherwise given to other officials, officers and employees of the Village, the Village Administrator shall assist the above officials, officers and employees as the Village Board may from time to time direct. (c) Create drafts of administrative procedures, subject to review by the Village Board, to increase the effectiveness and efficiency of Village government. (d) Oversee the engagement of outside consultants through drafting RFPs or bid requests, review bids and proposals and make a recommendation to the Village Board. (e) Ensure the thorough and satisfactory completion of all contracted and consultant work. (4) Legislative. (a) Keep informed concerning current federal, state and county legislation and administrative rules affecting the Village. (5) Human relations. (a) Serve as personnel officer for the Village with responsibilities to ensure that complete and current personnel records, including specific job descriptions for all Village employees, are maintained; evaluate, in conjunction with department directors, the performance of all employees on a regular basis, recommend salary and wage scales for Village employees not covered by collective bargaining agreements, ensure that the Village employees have proper working conditions, and work closely with department heads to promptly resolve personnel problems or grievances. (b) Administer or direct a designee to ensure that all employees, new and sustained, have had their benefit package fully explained and implemented. (c) The Village Administrator shall work closely with department heads to ensure that employees receive adequate opportunity for training in order to maintain and improve their job-related knowledge and skills. (d) Recommend to the Village Board the appointment, promotion and, when necessary, for the good of the Village, the suspension or termination of department directors. (e) In consultation with the appropriate department director, be responsible for the appointment, promotion and, when necessary for the good of the Village, the suspension or termination of employees below the department director level. Page 52 of 298 49 E. [1] Change of duties. The Village Board may, from time to time, increase, decrease, change or otherwise modify the duties of the Village Administrator as the Village Board may, in its sole discretion, determine appropriate. [1] Editor's Note: Former Subsection E , regarding personnel, and Subsection F, regarding budget and purchasing, as amended, were repealed 1-17-2022 by Ord. No. 2021-11. This ordinance also renumbered former Subsection G as Subsection E. Page 53 of 298 50 Appendix D: Quick Reference Swearing-In: Prior to organizational meeting on the 3rd Tuesday in April, you must be sworn into your newly elected position. Village Mail: Your mail is available for pick-up at Village Hall each day. The mailboxes are located in the main office. E-mail/Tablet: You will be given a Village email account and a Village-issued tablet to use during your term. When your elected service has ended, the tablet needs to be returned to the Village. Please note: any information in your email account is considered public information. Please make an effort to check your email frequently as both staff and your constituents will use this as a means to contact you. Paycheck and HR Forms: You are paid on a quarterly basis. Your check will be direct- deposited. The Village Treasurer will assist you in completing the appropriate paperwork to receive pay. Municipal Code Book: The Williams Bay Village Code is available online on the Village’s website. Village Website: Village information, including Board packets, can be found on the Village website at https://www.williamsbay.org/ Meeting Schedules: Village Board meetings are held the 1st and 3rd Mondays of the month at 6:30 p.m. Page 54 of 298 51 Appendix E: Open Meetings/Public Records Training Materials Double click any document for a larger PDF version. Placeholder, modify for Williams Bay Page 55 of 298 52 Page 56 of 298 53 Page 57 of 298 Newly Elected Leaders Toolkit Page 58 of 298 You’re a Newly Elected Official Leading Your Community: A Guide for Elected Officials Learning About Professional Managers Key Facts about Professional Managers Professional Local Government Management: The Benefits to Your Municipality Hiring a Professional Manager Hiring a Professional Manager Recruitment Guidelines for selecting a local government Administrator ICMA Guidelines for Compensation Determining the Value of Professional Administrator or Manager Sample: Chief Administrator Job Descriptions Model Employment Agreement (Editable) Evaluating your Professional Manager ICMA Manager Evaluations Handbook What’s Inside? Page 59 of 298 You’re a Newly Elected Official Excerpted from the ICMA publication Leading Your Community: A Guide for Elected Officials Page 60 of 298 Y our Community A Guide for Loc AL eLected LeAders Page 61 of 298 1 Part I Local Leadership: The Basics You’ve got to think about big things while you’re doing small things, so that all the small things go in the right direction. —Alvin Toffler Being a local elected official involves meeting, connecting, communicating, preparing, listening, responding, and being available to do the public’s business. On a typical day, you might attend a neighborhood forum, meet with a local reporter, respond to e-mails from citizens, talk with the chief administrator about a neighborhood concern, review a proposed green building policy, make decisions at a regularly scheduled governing body meeting on land use, and talk to an unhappy constituent at the grocery store. And there are atypical days: the day a severe storm damages your community, leaving citizens without power or a safe place to spend the night, or the day seven children are sent home from school with symptoms of a dangerous illness. That’s the public’s business, and your constituents will look to you to guide the community’s response. As an elected leader, you must be prepared to do the public’s business every- day—from the routine, to the challenging, to the heart wrenching, to the almost impossible. Like most local leaders, you face a constant pull between the tyranny of the immediate—problems, challenges, questions, demands that need attention NOW—and the desire to focus on the long-term well-being of your community. As an elected official, you play a fundamental role in the evolving goals, purposes, and direction of your community as you ensure that the needs of your community’s residents are met every day. Page 62 of 298 A recent National League of Cities (NLC) survey found that local elected officials spend 35 percent of their public service time doing services for people—providing information, handling complaints, and coordinating contacts between citizens with a problem and city staff. Source: NLC, Two Decades of Continuity and Change in American City Councils (September 2004). Unless otherwise attributed, all statistics cited in “Fast Facts” are from this source. The chapters in Part I focus on • Building an effective leadership team within the local legal framework • Setting policy goals and developing plans to support them • Using meetings to support good decision making • Communicating and connecting with your constituents • Working with the chief administrator. Fast Fact Page 63 of 298 3 The Local Leadership Team 1 You can accomplish anything in life, provided you do not mind who gets the credit. —Harry S Truman Successful local leadership depends on working within the basic legal framework for your government, understanding key roles and responsibilities, and forging strong relationships with members of the local leadership team. The Legal Framework The legal framework under which your local government operates starts with your state law and delegated local powers, duties, and responsibilities. Since the United States Constitution doesn’t mention local governments, these entities are created and regulated by the states—which means that there are fifty different legal and political frameworks. Most state laws outline the powers of their local governments in a “charter.” If your local government has a charter, it is your community’s constitution. Generally, a charter can be adopted, amended, or repealed only by a majority vote of a city’s voters. Most charters cover a range of issues, including form of government, all aspects of elections and service as an elected official, legislative authority, powers of the governing body, responsibilities of the executive, financing and taxing, human resource policies, bonding, and more. Preamble to the City of Dearborn Charter We, the people of the City of Dearborn (Michigan), in order to provide a government which recognizes that human life and talent is our most important resource, and the development and enrichment of these our most important tasks, do adopt this charter. We acknowledge that political power is inherent in the people. We desire a framework of government in which all people can participate, by which policy objec- tives reflecting the people’s goals can be fashioned and through which officials can be chosen in a democratic manner and held accountable for their actions. Page 64 of 298 4 Leading Your Community: A Guide for Local Elected Leaders While the success of your leadership team depends in large measure on the people who serve on it, the legal framework is an important guide to who does what and how you get your community’s business done. As a local elected leader, you should be familiar with the legal structure under which your government operates. Your state municipal league, chief administra- tive officer, and local government attorney are good resources for learning about your local government’s legal framework. A Word about Structure A local government leadership team brings together elected local officials who are chosen individually by the public in the voting booth and full-time appointed professionals who are hired to do specific government jobs. The makeup of the leadership team can vary according to form of government. There are four forms of local government in the United States: • Mayor-council: A directly elected mayor is the chief executive officer, and an elected council is the legislative body. The council is led by an elected council chair. • Council-manager: An elected council serves as the legislative body, a directly elected mayor or someone elected from the council serves as the council chair, and a professional city manager hired by the council oversees day-to-day operations. • Commission: Voters elect commissioners to a small governing body, and the commissioners handle both executive and legislative functions. • Representative town meeting: Citizens serve as the policy-making body, and a small elected board of selectmen oversees implementation of the policies. According to NLC’ s recent survey, more than 96 percent of local governments use either the mayor-council (38 percent) or council-manager (58 percent) form of government. The average length of service for governing body members in mayor-council cities is 7.9 years, and in council- manager cities, 7.2 years. Nearly 30 percent of local elected officials are elected by districts, 45 percent at-large, and the remainder by a combination of district and at-large. Roles and Responsibilities Official roles are defined in charters, statutes, ordinances, and job descriptions. Practical roles evolve depending on community needs, the style of the mayor and chief administrative officer, and working relationships among elected officials. Elected local officials are the policy leaders. In the mayor-council form, the elected mayor is both a policy leader and an executive leader for the community. Fast Fact Page 65 of 298 The Local Leadership Team 5 The chief administrative officer or city manager is the local government management leader. Together, the elected leaders and chief administrative officer ensure that the local government works. They set the vision, provide the services, and guarantee a good quality of life in the community. A Local Policy Leadership Team Specific responsibilities of a local policy leadership team include • Establish a community vision • Develop long-term goals, priorities, and objectives • Adopt policies to guide local programs and services • Enact ordinances (local laws) • Communicate with citizens about vision, priorities, programs, services, and community challenges • Review and approve a comprehensive annual budget and capital improvement plan • Oversee the effectiveness of the local government’s programs • Oversee management performance, including fiscal responsibility • Respond to citizen complaints and requests, and coordinate responses with local staff • Hire and evaluate the chief administrative officer • Represent the local government and the community. The City Manager or Chief Administrative Officer Specific responsibilities of the city manager or chief administrative officer include • Carry out the policies adopted by the elected officials • Oversee enforcement of city ordinances • Provide policy alternatives to support governing body action • Manage all local services, including but not limited to public works, public safety, planning and economic development, parks and recreation, libraries, senior citizen and youth services, and human resources • Adhere to national, state, and local requirements for financial management, purchasing, public meetings, public records, and ethical conduct • Prepare the annual operating budget and capital improvement plan for governing body action • Ensure fiscal responsibility and modern accounting practices • Recruit, hire, train, and supervise the local workforce Page 66 of 298 6 Leading Your Community: A Guide for Local Elected Leaders • Prepare materials for the governing body meeting agenda • Develop long-range operating plans with guidance from elected officials • Oversee local economic development, including negotiation of development and revenue deals • Coordinate information sharing and action among elected officials, employees, and citizens. The Mayor in a Council-Manager Government Specific responsibilities of the mayor in a council-manager government include • Chair governing body meetings, which includes paying attention to parliamentary procedures, and ensure the accomplishment of desired outcomes • Serve as a primary contact between the management staff and the governing body to keep the community agenda moving • Encourage good communication with the citizens, the media, other members of the governing body, and the chief administrator • Represent the local government in many settings in the community, with other local governments, and at the state and national levels • Facilitate action during meetings, between meetings, and throughout the community • Help to create, maintain, and strengthen the effectiveness of the local leadership team • Encourage and support the community during a crisis. In the mayor-council form of government, the mayor is both the elected politi- cal leader and the chief executive, working in partnership with the governing body but not as a member of it. The governing body chair is the leader of the elected team, responsible for ensuring productive meetings and effective group action. Together, the elected mayor and council president/chair carry out the administrative and policy-making roles that are divided between the mayor and the chief administrative officer in the council-manager form. Emerging Roles The challenges facing today’s communities and the changing expectations of local leaders have led to some new roles. Perhaps the most dynamic aspect of your leadership is your relationship with the people who elected you to lead the com- munity. In a study of how to connect citizens and their government, the National League of Cities Advisory Council identified these roles for local elected officials: • Models of civility and cooperation to set the tone for civil discourse and productive problem solving Page 67 of 298 The Local Leadership Team 7 • Messengers using the “bully pulpit” to encourage citizens, businesses, the media, community organizations, and others to play an active role in community building • Shapers of processes that connect citizens and their government in productive ways • Leaders who bring people together and build trust. The amount of time elected officials spend on council-related business varies according to community size, nature of position (i.e., full time or part time), and other employment commit- ments. According to NLC’ s survey, elected officials in small cities spend an average of 20 hours per week on council business; in medium cities, 25 hours; and in large cities (more than 200,000 in population), 42 hours. Relationships: It Takes a Team Coming together is a beginning. Keeping together is progress. Working together is success. —Henry Ford Charters and municipal codes document how a local government is supposed to work by defining roles and responsibilities. The foundation for effective action is another R: relationships. A successful team is more effective than its individual parts—creating synergy, stronger collective ideas, and a shared sense of accomplishment. One good idea leads to a better idea. Disagreements lead to productive discussion, an understanding of and respect for differences, and a better shared solution. What makes a group of people a team? • A shared and explicit vision • A well-defined and accepted mission • Clear goals to which everyone is committed • Energy and enthusiasm • Commitment to work together • Professional respect for one another • A commitment to understanding each other’s perspectives and to resolving conflicts Fast Fact Page 68 of 298 8 Leading Your Community: A Guide for Local Elected Leaders • Ability to communicate comfortably • Ability to disagree openly and productively • Effective decision-making procedures • Distributed participation: everyone engages and handles different responsibilities • Motivation to get the job done • High levels of trust, acceptance, and support among members • Cohesion: a sense of belonging and a desire to stick together. The more success a group has in carrying out its mission, the more it grows as a team. In sports, winning teams keep winning—not always because they have the most talented players, but because individuals learn to trust each other and play to each other’s strengths. What gets in the way of effective teamwork? • Lack of commitment • Misunderstanding or lack of knowledge about group processes and rules • Destructive competition • Poor communication • Poor interpersonal skills • Personal conflicts • External pressures and/or new demands that stretch the team’s capacity • Political grandstanding • Unwillingness to see/consider different perspectives or to compromise • Representation of only one perspective or one group regardless of the issue. Conflict among members of the governing body is the most frequently mentioned source of frus- tration for local elected officials, cited by 43 percent in NLC’ s survey. The next most frequently mentioned source of frustration is pressure from interest groups, at 31 percent. When the team doesn’t work well together, there can be consequences: • Public embarrassment • Inability to act • Delays and gridlock • Long meetings without results • Lost opportunities for the community Fast Fact Page 69 of 298 The Local Leadership Team 9 • A stressful and unproductive environment • Personal conflicts that interfere with productivity • T urnover among both staff and elected officials. Trust and cohesion are foundations of successful teamwork but are often the hardest team attributes to achieve. The constant pressures of public service—tight budgets, citizen demands, media inquiries, limited time, tough issues, the next election—strain team relations. But the bottom line is, you were elected as an individual to serve on a group that makes decisions together on behalf of the community you serve. If you want to be on a winning team, help the team win! Building a Successful Team Paying attention to how your group works together is an important part of build- ing a high-performance governing body. Ways to pay attention range from infor- mal action reviews after a governing body meeting to a formal team-building process using an outside facilitator. Right after an election when the team changes is the best time to focus on how your group will work together. You can tell your team-building efforts are successful when you have • Open and honest discussion and feedback among team members • Frank conversation about cooperation, expectations, and team problems or challenges Key Players on the Local Leadership Team ● The elected governing body meets regularly to make collective decisions, set policies, enact laws, and establish broad directions for the community. ● The chief administrative officer is the primary staff contact for the elected governing body. The chief administrative officer is hired and evaluated by the governing body, interacts regularly with the governing body and its indi- vidual members, brings management expertise to the local government, and provides information and resources for decision making. ● The professional staff/department heads work directly for the chief admin- istrative officer; support the chief administrative officer and the governing body by providing expertise, information, and resources; and carry out poli- cies passed by the governing body through programs and services delivered by their departments. How these elected and appointed leaders work together varies from community to community, but they all play vital roles in carrying out the local government’s mission, delivering services, and meeting citizen needs. Page 70 of 298 10 Leading Your Community: A Guide for Local Elected Leaders • Increased awareness of the impact of individual behavior on team performance. Informal team-building sessions give the group a chance to look at how it is working and to identify obstacles to effectiveness. Consider these options: • Newcomers’ orientation. Shortly after an election, incumbent elected officials, working in partnership with the chief administrator, plan an orientation for the new members. The discussion might include veterans’ recollections of their own first few weeks in office. Sample reports, agendas, minutes, and other materials will help newcomers get up to speed. • Informal team assessment. The team-building skills checklist above provides a tool for starting a conversation about how each individual rates his or her own performance as a team member. • Work sessions on working together. Your governing body can spend extra time together beyond official meetings to build team rapport using this handbook as a resource. Hiring a Facilitator While the chief administrative officer and mayor can successfully lead team work sessions and orientations for new members, an experienced facilitator is better equipped to lead an intensive team-building process. Team-Building Skills Checklist After a governing body meeting, assess your teamwork skills by giving yourself a score from 1 (rarely) to 5 (always) on each of the teamwork dimensions: n Did I create a relaxed, collegial atmosphere that supported and encouraged collaboration? n Did I participate actively in the discussions? n Did I help keep the discussion on track? n Did I understand and accept the task(s) the team was working on? n Did I listen to others? n Did I feel comfortable disagreeing with others? n Did I feel comfortable when others disagreed with me? n Did I seek consensus/help the group move toward a shared conclusion? n Did I use my knowledge and skills during the session to help the group get its work done? Page 71 of 298 The Local Leadership Team 11 The facilitator makes it possible for all members of the team—including the mayor and chief administrative officer—to participate fully in the learning process. A facilitator also brings expertise in managing a group process. Team-Building Challenges in the Public Sector Conducting a team-building session in the public sector poses special challenges. • Open meeting laws: All fifty states and the District of Columbia have laws that define boundaries for public meetings. Generally, a public meeting is not the best setting for team building—but violating your state open meeting law is not a reasonable alternative. Most open meeting laws have exceptions that allow private session. Check with your legal counsel to decide on your best course of action. • Media interest: Even if your state open meeting law permits a closed team- building session, a private governing body meeting will draw media attention. To avoid speculation, inform your media about the meeting—who will be there, what you hope to accomplish, and what information will be available after the session. The Facilitator’ s Role The facilitator is a “process person” who guides the group through productive discussions and keeps track of agreements. The facilitator also helps the group focus on the issues that are most important: what’s happening in the group right now, how do team members interact, what’s interfering with the team’s effectiveness, and what actions does the team need to take. The facilitator helps the group solve its problems. How do we know if we need a facilitator? A highly motivated group may be able to conduct its own team-building session. But a group that has had major disagreements or political conflicts could benefit from a facilitator’s help. If a team-building process is threatening because it implies criticism of the entire group or of specific members, an expe- rienced facilitator who is not a team member can provide impartial direction, ease the tensions, and create an environment for open discussion. How can we find a good facilitator? Check with nearby colleges, organizational development consulting firms, national associations, your state municipal league or state county association, and other local governments that have conducted team-building sessions. Hiring a facilitator is like filling an important vacancy in your government. You should review résumés, assess the person’s experience with the public sector, and talk with references. Page 72 of 298 12 Leading Your Community: A Guide for Local Elected Leaders • Post-session interviews and feedback: Be sure that your team agrees on what information about the session will be released to the media, and on how individuals will handle follow-up discussions with the media and others who might ask. Team Building and Politics Creating a strong team in a political environment is tough. The stress of a campaign and the competition for votes make an already difficult process even more challenging. Ideological differences around major issues like growth, immigration, and taxes can further strain the capac- ity of individual elected officials to work together as a team. Governing bodies that become successful teams rely on • Shared commitment to making good decisions on behalf of the community • Willingness to focus on building a team • Protocols for working together to try to minimize personal conflicts and maximize productive decision making, including consequences for violating the protocols • Respect for each other as individuals who share a commitment to public service • Respect for different perspectives as a way to improve decision making • Knowledge of how to balance strongly held views with the need for compromise to reach a conclusion. Recap • State law, legal documents, and form of government provide a basic legal framework for official roles and responsibilities. • Elected officials are the policy leaders in the community, and the chief administrative officer is the management/administrative leader—but the roles overlap and work best when the distinctions aren’t hard and fast. • It takes a team to lead a government, and it takes hard work to create a successful team. Some Words about Human Relations The Six Most Important Words “I admit I made a mistake” The Five Most Important Words “You did a good job” The Four Most Important Words “What do you think?” The Three Most Important Words “If you please” The Two Most Important Words “Thank You” The One Most Important Word “We” The Least Most Important Word “I” —Author Unknown Page 73 of 298 The Local Leadership Team 13 Recommended Local Reading • State law governing local authority and responsibilities • Y our local government charter and municipal code Habits of Highly Effective Governing Bodies Clearly define roles and relationships Think and act strategically, focusing on key policy issues Operate in a culture of values and ethics Regularly evaluate policy implementation Work together as a team Master small-group decision making Develop and follow protocols for governing body behavior and governing body–staff relations Allocate time and energy appropriately Set clear rules and procedures for meetings Get regular assessments of citizen concerns and governing body performance Recognize their position in the intergovernmental system and build productive partnerships Focus on personal learning and development as leaders Look to the future Adapted from Carl H. Neu Jr., 10 Habits of Highly Effective Councils Page 74 of 298 15 Policy Making and Strategic Planning 2 I get up every morning determined to both change the world and have one hell of a good time. Sometimes this makes planning the day difficult. —E. B. White So you’re a member of a local leadership team, committed to ensuring that the team works effectively. And you’re also a local policy maker, committed to making good policy deci- sions as a member of the local leadership team. What exactly does that mean? What is policy? You ran for office with ideas about what’s important for your community—the issues that matter most, changes you’d like to see, your vision for the community. As part of your transition from citizen to elected official to team member to policy maker, you’ll begin to mesh your personal ideas with those of others to define desirable directions for the community. This chapter examines the process of local policy making, including • Understanding policy • Setting goals and strategic priorities • Linking policies and money through the annual budget • Evaluating policy effectiveness. A Vision and a Sense of Mission As an elected official, you are responsible for making decisions about the scope of services that your government will provide and about how to pay for those services. You are also responsible for establishing policies that affect every dimen- sion of your community—local economic growth, cultural change, the environ- ment, new residents, regional collaboration, long-term financial management, and more. Your decisions are guided by a clearly defined mission. A mission is the reason that your local government exists, and it is usually defined in terms of the community’s vision of its future. And your job as an elected official is to put in place policies, programs, and facilities that will carry out the mission to make your community’s vision come true. Page 75 of 298 16 Leading Your Community: A Guide for Local Elected Leaders Some local governments create both a broad vision statement for the community and a specific mission for the government. Some also develop core value statements that define how the government serves and guides the commu- nity. Others use slogans to convey what the community is or expects to be. The specific form your “sense of mission” takes is secondary to ensuring that your governing body operates from a shared foundation that defines an overall direction and your team’s commitment to the community. (For more on creating a community vision, see Chapter 6.) Understanding Policy Policy is a plan of action agreed to by a group of people with the power to carry it out and enforce it. Policy can be as specific as adopting an ordinance—a local law—requiring dogs to be kept on leashes in public areas, or requiring all resi- dents to recycle specific materials, or requiring developers to build sidewalks in residential neighborhoods. Or it can be a declaration of a broad government commitment, such as providing affordable housing or attracting new businesses to broaden the tax base and create new jobs. Generally, policy making means Thornton, Colorado (www.cityofthornton.net), started its visioning process with this question: is there more we should be doing to ensure a quality future for our community? That led to a yearlong effort to engage citizens through public workshops, three geographic focus subcommittees, and an ongoing steering committee that helped the governing body produce a comprehensive plan and a vision for a city. The vision defines Thornton as a city that strives for quality and diverse neighborhoods, plentiful quality jobs, great amenities, and active and engaged partners. Sample Mission Statements Riverside, California The City of Riverside is committed to providing high quality municipal services to ensure a safe, inclusive, and livable community. Georgetown, Texas To preserve and enhance the quality of life and unique character of Georgetown by preserving the rich heritage and natural resources; promoting well-planned devel- opment, cost-effective professional management, and competent, friendly services; and protecting its citizens, the environment, and all other assets. Page 76 of 298 Policy Making and Strategic Planning 17 deciding what you are going to do in your community, not how you are going to do it. Your annual budget, capital improvement plan, land use master plan, and housing strategy are all policy statements that define a course for your community. Good public policy is • Beneficial to the community • Necessary to move the community forward or to respond to a specific emerging need • Consistent with the government’s overall mission • Easily understood by the community in general and by those who will be most affected by it • Well-informed and rigorous based on an analysis of policy alternatives and implementation costs and consequences • Open to change or improvement as circumstances change or evaluation suggests a new direction • Responsive to urgent needs, emerging challenges, or needed changes of direction • Able to be enacted on the basis of clear input from the chief administrative officer. 1 Policy making can be passive as well as active. Deciding not to act (or not deciding), deciding to do something the way you did it last year, or making a spe- cial exception to a rule are policy decisions. Adopted policies are usually summarized—or codified—in the local govern- ment code. To understand your government’s mission, it is important to become familiar with adopted policies. Begin your service as a policy maker by reviewing the most recent annual budget; the capital improvement plan, the comprehensive, general, or master plan; and the local government code. Strategic Planning: Setting Goals and Priorities While all policy that supports your mission is important, it’s the big issues that merit most of your time. Action demands, such as fixing potholes in certain neigh- borhoods, replacing trees in public areas, or adding stop signs, are important but should not be allowed to consume all your time. Today’s local governments generally use strategic plans to set clear policy goals and priorities for action. 1 Adapted from Department of Education and Children Services, Government of South Australia, January 2008. Page 77 of 298 18 Leading Your Community: A Guide for Local Elected Leaders A strategic planning or goal-setting process • Moves the organization and the community toward a desired future • Provides a framework for action to guide the leadership team • Gets everyone pulling in the same direction by helping the team share different ideas and then agree on which goals will get attention • Helps you manage your time more effectively by deciding what the governing body will focus on • Establishes clear guidelines for the chief administrative officer and professional staff • Provides guidelines and priorities for budgeting, particularly if you’re facing financial constraints • Strengthens your team by giving it experience working together to make tough choices. A strategic plan defines broad policy goals that span several years. Priorities, objectives, and strategies narrow the timeframe and describe how the organiza- tion will achieve the long-term goals. The strategic plan serves as a framework for setting annual priorities, defining action strategies, and allocating resources to carry out the actions needed to reach the goals. Some plans begin with broad strategic priorities or themes that carry over from year to year with annual targets under each priority. The language may vary but the purpose is the same: to agree on broad directions for the community that will guide governance action during a specified period of time. Many local leadership teams use retreats to develop strategic plans and review and update policy goals. Strategic Planning Steps A strategic planning or goal-setting process follows these general steps. Step 1: Identify issues and needs. Challenges to be pursued, needs to be met, or problems to be solved are identified by the governing body and chief administra- tor, and often emerge from citizen surveys or from a broad citizen involvement process. Step 2: Define goals. Goals define the desired outcome in response to a challenge, need, or problem. Goals often identify a point or outcome to work toward beyond what the governing body can accomplish in one year or even one term of office. Step 3: Establish action strategies/objectives. Strategies, objectives, targets, or milestones define steps you intend to take within a specified timeframe to move toward your goals. Strategies are usually tied to the annual budget and define measurable achievements so that the team can assess progress. Page 78 of 298 Policy Making and Strategic Planning 19 Step 4: Choose priorities. Priorities define what will be done first based on both need and available resources. Money is often the key factor in determining priorities. But to ensure that you pay attention to the most important challenges, needs, or problems—not just to the affordable ones—you may want to leave the money issue off the table in initial discussions of priorities. Step 5: Provide resources for action. Translating goals and strategies into pro- grams is generally a staff role, but the governing body monitors progress on the priorities it has set. The annual budget is the operating framework for accom- plishing the work that the leadership team has agreed to. The next section of this handbook focuses on linking policy goals and money. Step 6: Evaluate progress. Unsolicited feedback gives the governing body one way to assess progress toward its goals; it is also an important indicator of how well government priorities are connecting with citizen’s needs and interests. Regular and rigorous measures of performance are important as well. Performance measures can include surveys to assess how residents view services and overall government performance. Talking Strategic Planning Columbia, South Carolina (www.columbiasc.net), includes these definitions as part of its operational strategic plan: Vision is a statement of a possible and desirable future state of the organiza- tion. Mission is the reason for an organization’s existence, or what it does and what the organization will do to make the vision a reality. Values are the basic beliefs that reflect what an organization is, what it stands for, and how it provides service. Strategic Issues are concerns that must be addressed in order to achieve the vision, fulfill the mission, and be true to the values. Strategic issues may arise from gaps between expectations and performance and may be identified from an analysis of the organization’s strengthens, weaknesses, opportunities, and threats. Goals are statements of desired outcomes that explain what the organization is trying to achieve. Strategies describe how the organization will accomplish the goals. Measures provide quantitative or qualitative indications of the extent to which goals are being met. Page 79 of 298 20 Leading Your Community: A Guide for Local Elected Leaders Linking Policies and Money: The Annual Budget The municipal budget is your most important annual policy statement. It defines how the local government team will implement its priorities for the next fiscal year, and where the money will come from to carry out that work plan. The late Henry Maier, former mayor of Milwaukee, once called budgeting “the world series of municipal government,” because it is the government’s most important annual action. The annual budget is much more than a one-year spending plan. It is • A statement of priorities for the community • A management blueprint for providing services • The document that translates policies into action • A tool for protecting the government’s long-term financial health • A communication document for the public. The process of developing and monitoring the annual budget requires the coop- eration of citizens, the governing body, the chief administrator, and department heads. Developing a municipal budget is challenging for many reasons: • The population of your community has diverse needs and preferences, and not everyone has the same ability to pay for services. • State and federal regulations mandate some activities and affect others. • Many local governments services are difficult to plan and evaluate. • Budget decisions are made in a political environment with pressure to address short-term problems and respond to special needs—sometimes at the expense of long-term planning. Little Rock, Arkansas (www.littlerock.org), used a planning retreat to identify goals and set priorities. Governing body members listed their interest areas and then rated the interests as “must do, ” “should do, ” and “nice to do. ” The group agreed that anything in the “nice to do” category would be delayed to focus limited resources on the most important priorities. Four “must do” policy priori- ties emerged in these broad categories: public safety, economic development, basic city services, and infrastructure. One “should do” priority addressed quality of life, defined as recreational, creative, and educational experiences. After the initial retreat, the governing body adopted five policy statements that were crafted by the staff from the broad categories. During the annual budget process each year, the governing body reviews the five policy statements and develops budget priorities around updated information. Page 80 of 298 Policy Making and Strategic Planning 21 • Engaging citizens in the budget process is important and highly recommended, but it is also enormously challenging. • Local elected officials have different ideas about priorities for spending and raising money. • Citizens’ desire for public services generally exceeds their willingness to pay taxes or fees. • There’s never enough money. Adding to the challenge of municipal budgeting are local antitax movements, state actions that limit local revenue-raising authority, national economic chal- lenges that affect local revenue, and reductions in federal and state financial support. To succeed, it’s important to be well-prepared, well-informed, and willing to work as a team for the good of your community. The following sections provide a snapshot of the local budget process. They focus on what you, as an elected official, need to know to make good decisions A facilitator helped the Village of Indian Hill, Ohio (www.ci.indian-hill.oh.us), agree on goals and set priorities. The facilitator interviewed elected officials to identify major program categories and goals, and then compiled a matrix, which each official used to rate each goal’s priority as high, medium, or low. The officials then held a retreat to identify and focus on shared high priorities. In addition to the city manager and current mayor and city council, a former mayor and council member were included in the retreat to provide a broader perspective. Albany, Oregon (www.cityofalbany.net), adopted a strategic plan to carry out its mission and vision. The strategic plan, which is updated annually, is built around these four themes: ● Great neighborhoods ● A safe city ● A healthy economy ● An effective government. For each theme, the plan identifies broad goals, measurable objectives, and strategies and actions to meet the benchmarks. The themes and goals generally remain constant over time, while the objectives and strategies and actions are reviewed and refined. Page 81 of 298 22 Leading Your Community: A Guide for Local Elected Leaders about your community’s annual financial plan. Your chief administrative officer is the best resource for providing details on your community’s approach to budget- ing. Reviewing recent operating budgets is required homework if you’re new to elected office or facing your first budget process. The Operating Budget The operating budget lays out your government’s financial plan for the upcoming fiscal year. Generally, the chief administrative officer will prepare a budget for the governing body to review, revise, and adopt. Budget preparation and review are based on guidelines and priorities established by the leadership team. In a strong mayor form of government, the mayor prepares the budget for governing body review. Typical components of a local budget include • A message from the chief executive/chief administrative officer highlighting major program and service priorities, changes from previous years, and key challenges for the current year, and summarizing revenue and expenditures • A summary of program priorities, and a breakdown of how money is allocated to carry out those priorities and produce specific outcomes • Details on revenue—where the money will come from, how sources of revenue have changed, and issues for further study • Details on expenditures organized by program and department, including operating expenses for the specific fiscal year and capital expenses that can be spread over multiple years for public improvements and acquisitions • Quantitative performance measures that show results that will be achieved by spending the money as proposed • Comparative data showing how spending has changed over several years, including, in some cases, projections for the following year. The Capital Budget The capital budget is the other major part of your local government budget. Capital items include the construction, acquisition, or improvement of public facilities such as libraries, sewers, jails, bridges, and roads. Capital projects usu- ally span multiple years and are expensive. As a result, most local governments develop separate budgets and plans for capital needs, and then include the one- year annual costs for the capital budget in the operating budget. Key components of the capital budget are • A comprehensive capital improvement plan that lists all the capital project activities that the government is undertaking within the coming fiscal year • Proposed funding for capital projects, including any state or federal funding and whether the project will be funded by local revenues—usually called pay- as-you-go—or will require borrowing that will produce long-term debt Page 82 of 298 Policy Making and Strategic Planning 23 • Annual operating costs for capital projects such as staffing, utilities, and equipment. Because most capital projects create ongoing increases in operating expenses, the two budgets must be connected. Analyzing and Interpreting the Budget: Questions to Ask The governing body can assess the proposed budget by asking the following questions: • Does the budget reflect local priorities? Review the budget against your leadership team’s policy goals and priorities to make sure that it allocates money appropriately. If something is missing, ask why. • Is the budget balanced, and was it balanced in prior years? Under state law, local governments must adopt “balanced” budgets. Your job is to make sure the financial assumptions for revenues and expenditures that produce the balanced budget proposal are sound. • How is your revenue structure changing? Examine revenue trends to assess how reliable the revenue projections are, and what any changes in your revenue structure will mean for this budget and the community’s longer-term financial health. • How is the program expenditure plan changing? In looking at expenditure requests, which are usually organized by programs, departments, or cost centers, focus on areas where significant changes are proposed and ask why. • How do proposed capital projects support local priorities, and how does long-term spending affect long-term financial health? Make sure that proposed capital spending projects are consistent with agreed-upon priorities, and take some time to review and discuss funding for capital projects. Funding may come from multiple sources, such as bond issues (which must be approved in a referendum), grants, tax increment financing revenue, and private contributions. • Does the budget include reserves for emergencies? Is the budget just balanced or does it include money for emergencies? If your local government is not appro- priating money to a reserve account, you may be living on the edge. Reserve funds help municipal governments meet future fiscal challenges. In addition, bond underwriters look at reserves as an indicator of fiscal responsibility, so a healthy reserve can increase credit ratings and decrease costs of local debt. The NLC report City Fiscal Conditions in 2007 found that cities’ ending balances or “reserves” were continuing to grow despite economic and fiscal challenges. In 2006, ending balances as a percentage of general fund expenditures averaged nearly 26 percent, which was an all-time high for the NLC survey. Fast Fact Page 83 of 298 24 Leading Your Community: A Guide for Local Elected Leaders Participatory Budgeting The residents of your community are the primary customers for the services you fund in your annual budget. Engaging citizens in shaping the budget increases their trust and strengthens their connection with government. You can connect citizens to your budget development process in various ways: • Hold public hearings on the proposed budget. Governing bodies generally convene hearings after they’ve analyzed and revised the chief executive’s proposed budget, but well before they adopt it. You want to ensure that the budget the public is commenting on reflects the governing body’s input, but you also want to allow time for further revisions. • Engage citizen advisory groups and neighborhood associations. Organized groups that are familiar with government operations are great resources for soliciting input on your spending plan. Some citizen groups analyze the proposed budget in detail, focusing on areas of interest or expertise. • Regularly publicize information about your budgeting process and schedule. Your government Web site can keep residents up-to-date on the budget process, and newsletters and other communication tools can raise its visibility. Media coverage of the budget can also be productive, so it is in your best interests to keep the media informed about the budget process. Participatory budgeting goes beyond the traditional budget hearing to get citi- zen input. The success of participatory budget depends on • Early and open involvement: To ensure meaningful input, engage residents early, provide broad access to budget information, and sustain the connections from start to finish. Make sure your budget calendar allows time for seeking and incorporating citizen input so that the engagement is genuine. • In-depth connections: Establish budget advisory groups made up of knowledgeable citizens who understand community needs and can commit significant time to the review process. Single-interest or highly political picks can derail or discredit the entire process. By seeking participants who have a broad perspective and are willing to represent the entire community rather than a special interest, you are more likely to obtain high-quality input. • Accessible tools: Understandable and easily accessible budget documents help citizens make useful contributions. An orientation session for volunteer committee members before they dive into budget review is helpful. Technology also enables you to provide up-to-the-minute information that can help encourage participation in your budget process. • Willingness to accept input: Whether you’re seeking input from traditional strategies such as surveys and public hearings, or from more in-depth connections such as budget advisory groups, it is important to weigh the input seriously and demonstrate that it has been considered. Page 84 of 298 Policy Making and Strategic Planning 25 Evaluating the Effectiveness of Y our Policies Three valuable tools for evaluating policy effectiveness are • Regular data collection from citizens • Data analysis and comparison with established performance indicators • Public reporting. Data Collection The first and last measure of good government is citizen satisfaction. Regular citizen surveys will help you assess policy effectiveness. Local governments can use regular written surveys as well as periodic telephone surveys to get data for assessing policy effectiveness, measuring results on agreed-upon priorities, and setting new program and spending priorities. The National Citizen Survey™, developed by ICMA and the National Research Center, Inc., is a low-cost, tested, flexible, and efficient tool for surveying citizens to obtain their opinions on program planning, budgeting, goal setting, Portland, Oregon (www.portlandonline.com), has five community budget advisers who work with elected officials and city staff throughout the process to ensure that the budget reflects community interests. The community advisers serve on budget teams that review sections of the budget in depth and make recommendations for revisions. In addition, the city has a community budget Web site to keep residents up-to-date on the budget process, invite them to upcoming meetings and forums, and let them see online the proposed budget and suggested amendments throughout the process. Little Rock, Arkansas (www.littlerock.org), conducted a telephone survey to measure citizens’ use of services and opinions about those services, as well as citizens’ perceptions of the problems facing the city. The survey included ques- tions about street conditions, garbage collection, sidewalks, street lighting, and other basic services. The Arkansas Institute of Government Survey Research conducted the survey and analyzed the results for the city. Austin, Texas (www.ci.austin.tx.us), uses a comprehensive citizen survey that measures accomplishments on four major priorities: public safety; youth, fam- ily, and neighborhood vitality; sustainable community; and affordability. City departments develop the questions to measure the degree of importance that citizens assign to the priority areas, and to determine how well services in these priority areas are being delivered. Page 85 of 298 26 Leading Your Community: A Guide for Local Elected Leaders and performance measurement. Visit www.icma.org for more information about The National Citizen Survey™. While a formal survey may be conducted annually as part of your policy development and budgeting cycles, ongoing feedback tools, such as complaint tracking systems, focus groups on new programs, and community meetings, are also helpful. Data Analysis and Benchmarking The chief administrative officer and professional staff analyze data collected in annual surveys and other feedback systems, and report the results to the gov- erning body. Benchmarking—comparing trends over time, or comparing locally collected data with indicators from similar cities—helps the leadership team identify emerging problems and find ways to solve them. The ICMA Center for Performance Measurement provides a variety of tools to support collection, analy- sis, and comparison of performance data. Public Feedback It is important to keep citizens in the loop on policy and program effectiveness. Written annual reports, state-of-the-city reports, and access to performance data let citizens know that their feedback is taken seriously and keep them informed about government effectiveness in carrying out priorities. Bloomington, Minnesota (www.ci.bloomington.mn.us), annually publishes its Corporate Report to the Community focusing on the taxpayers’ investment in the community and showing how well the government is performing. With charts and graphs, it provides detailed data on financial performance. Coral Springs, Florida (www.coralsprings.org), incorporates performance measures into its state-of-the-city report. The report gives citizens an easy-to- read summary of strategic priorities, accomplishments, surveys results, and techniques for collecting the data that will be used to develop new polices and programs. Sterling Heights, Michigan (www.ci.sterling-heights.mi.us), developed a community calendar that provides information on sixty-five key performance measures. The calendar format provides performance highlights throughout the year, and compares results with those of other jurisdictions. Page 86 of 298 Policy Making and Strategic Planning 27 Recap • A vision—a broad statement about what your community is or expects to be—defines your government’s mission and provides a foundation for your team’s policy work. • Policy making means deciding what actions your government is going to take to carry out its mission. • Setting goals and strategic priorities to guide policy decisions will keep you focused on the big picture and help the governing body manage its time more successfully. • The annual budget is your most important annual policy statement. • Involving citizens in the budget process through work sessions, public hearings, and citizen budget committees will increase trust, provide useful input, and produce a better budget. • Evaluating policy effectiveness using both qualitative and quantitative measures will enhance future policy making. Recommended Local Reading • Current strategic plan • Existing vision and mission statements • Local government code • Current priorities and strategies • Most recent annual budget and capital improvement plan • The comprehensive or master plan • Local financial statements Page 87 of 298 29 Making Meetings Work 3 Democracy must mean more than two wolves and a sheep voting on what to have for lunch. —Benjamin Franklin Much of the business of governing is carried out in meetings, including regu- lar governing body meetings, work sessions, committee meetings, and public hearings. Your local charter provides the framework for regular governing body meet- ings, including requirements for public announcements, voting quorums, minutes, and state laws that must be observed, such as open meeting laws and freedom of information laws. The first open records law was passed in Wisconsin shortly after Wisconsin became a state in 1848. The first open meeting law was passed in Florida in 1967. All states and the District of Columbia now have both open records laws that govern access to public documents and open meeting laws that define public meeting requirements and sanctions. The rapid rise of open meeting laws in the 1970s—led by Florida’s “sunshine law”—initially caused anxiety, but open government has become a positive way of life for today’s public officials. Knowing what’s in your state open meeting law is an important part of your information tool kit. Beyond the legal requirements, factors contributing to successful meetings include • Rules of procedure and protocols • A well-planned agenda • Committees and work sessions. Fast Fact Page 88 of 298 30 Leading Your Community: A Guide for Local Elected Leaders Rules of Procedure and Protocols Rules of procedure help you conduct public business in an orderly way. Protocols provide guidelines for governing body behavior and interaction in public settings. Combined, well-written rules of procedure and clear protocols that everyone agrees to follow provide a framework for successful governing body meetings. One of the first acts that some new councils take after an election is to adopt existing rules and protocols to reestablish standards for working together. One of your first acts when you join the leadership team as a new member of the govern- ing body should be to review all rules and protocols carefully and ask questions so that you become comfortable with the governing body’s way of carrying out its business. Rules of Procedure Topics covered in governing body rules include • The regular schedule for meetings, and provisions for calling special meetings • Order of business, who prepares the agenda, and the deadline for delivery of materials to governing body members • Procedures for modifying the published agenda for new or emergency items or for making any other post-publication changes • Debate and voting procedures, such as how to resolve tie votes, when to use roll call votes, and how to record silent votes and abstentions • Procedures for public participation in governing body meetings, including when public input is accepted, time limits for speaking, when and how to register to speak, whether advance notice is required, and opportunities to submit written statements • Exceptions to the rules • Parliamentary procedures that will be followed, and procedures for resolving any challenges to rulings by the chair. Open E-mail When members of a leadership team communicate by e-mail, they must observe open records and open meeting laws. A California legal opinion con- cluded that members of a governing body who e-mail each other to develop a collective agreement on a scheduled action are violating the state open meet- ing law. E-mails sent by public officials are generally considered public com- munications and are covered under freedom of information laws. Many public officials include a statement at the bottom of their e-mails confirming that their e-mail communication is part of the public record. Page 89 of 298 Making Meetings Work 31 Many governing bodies rely on Robert’s Rules of Order for parliamentary proce- dure. But Robert’s Rules is complicated, detailed, and intended primarily for large legislative bodies. It can be frustrating to use. A governing body that gets tangled in parliamentary process doesn’t make good decisions, which can undermine public confidence in government. Adopting your own simpler parliamentary rules is fine—as long as those rules are clear, used consistently, and contribute to productive debate and action. It is useful to have streamlined parliamentary procedures reviewed by your local government attorney. Sample Governing Body Code of Conduct ● Seek to understand one another’s perspective. ● Seek diversity of ideas. ● Honor one another in public, and protect each other in their absence. ● Be tough on issues, soft on people. ● Focus on the issues, not on personalities. ● Seek honesty and integrity in all deliberations and interactions. ● Governing body direction to staff should be by consensus rather than by individual action. ● Once a decision is made, move on, bury disagreements, and expect staff to follow through as defined. Guiding Principles for Streamlined Parliamentary Rules 1. Rules should establish order. The first purpose of parliamentary procedure is to establish a framework for orderly meetings. 2. Rules should be clear. Simple rules lead to wider understanding and participation. 3. Rules should be user-friendly. The rules must be simple enough that citizens feel they have been able to participate in the process. 4. Rules should enforce the will of the majority while protecting the rights of the minority. The ultimate purpose of the rules is to encourage discussion and facilitate decision making. The rules must enable the majority to express itself and fashion a result, while permitting the minority to express itself (but not dominate) and fully participate in the process. Adapted from Rosenberg’s Rules of Order: Simple Parliamentary Procedures for the 21st Century Page 90 of 298 32 Leading Your Community: A Guide for Local Elected Leaders Protocols Protocols focus on civility, courtesy, and decorum. Some governing bodies develop informal protocols to guide how they’ll work together as a team and what constitutes acceptable behavior in public settings. Protocols may also cover the governing body’s expectations for the behavior of local government staff and the public at meetings. Formal protocols define both acceptable behavior and consequences for viola- tions. For example, a governing body member who regularly violates the rules may be reprimanded or formally censured, or a citizen whose behavior is unac- ceptable may be barred from further testimony. While it is difficult to legislate behavior, written, adopted, published, and accepted protocols provide a framework for positive and productive meetings. Sometimes, the biggest challenge for the mayor or governing body chair is keeping discussion focused on the issue rather than on the person. That’s why Sunnyvale, California (www.sunnyvale.ca.gov), developed this checklist as part of its Code of Conduct for Elected Officials to help individual council members assess their behavior at public meetings. Will my decision/statement/action violate the trust, rights, or goodwill of others? If I have to justify my conduct in public tomorrow, will I do so with pride or shame? How would my conduct be evaluated by people whose integrity and character I respect? Even if my conduct is not illegal or unethical, is it done at someone else’s painful expense? Is my conduct fair? Just? Morally right? If I were on the receiving end of my conduct, would I approve and agree, or would I take offense? Does my conduct give others reason to trust or distrust me? Am I willing to take an ethical stand when it is called for? Can I take legitimate pride in the way I conduct myself and the example I set? Do I listen and understand the views of others? Do I question and confront points of view in a constructive manner? Do I work to resolve differences and come to mutual agreement? Do I support others and show respect for their ideas? Will my conduct cause public embarrassment to someone else? Page 91 of 298 Making Meetings Work 33 a rule against personal attacks that applies to both the governing body and the public is valuable. Personal attacks among governing body members or from a community activist, protestor, or gadfly interfere with decision making and, over the long run, discourage others from participating productively. Members of the governing body set the standard for civility and decorum at the meeting by modeling expected behavior. You can’t challenge or reprimand a dis- ruptive citizen if disruption and personal attacks are common among governing body members. Written protocols set the framework for behavior. Good judgment and sensitivity to your public role make the difference. A Well-Planned Agenda If I had eight hours to chop down a tree, I’d spend six sharpening my axe. —Abraham Lincoln Generally the chief administrative officer prepares the governing body agenda, working closely with the mayor/council chairman. The agenda usually balances routine items that a governing body must act on with issues related to the govern- ing body’s priorities. The more your priorities drive your agenda, the more effec- tive your meetings will be. To ensure that you are using your time most effectively, it may be useful for the chief administrative officer and the governing body to agree on criteria for organizing the agenda. Criteria to consider include • Policy impact/connection to priorities: Issues that have significant policy implications, are directly related to your established priorities, and may have Palo Alto, California (www.cityofpaloalto.org), provides guidelines for council conduct with one another, with staff, and with other boards and commissions; staff conduct with the city council; and other procedural issues in its adopted Council Protocols. Specific protocols related to public meetings include the following: ● Use formal titles. ● Practice civility and decorum in discussions and debate. ● Honor the role of the presiding officer in maintaining order and equity. ● Demonstrate effective problem-solving approaches. ● Be respectful of other people’s time. Page 92 of 298 34 Leading Your Community: A Guide for Local Elected Leaders a long-term impact on your community should get the most time on your agenda—and usually early in the meeting. • Citizen interest: Particular issues of concern or interest to constituents should be accommodated on the agenda if possible. • Relevance to other issues: Items that are related to or contingent on one another should be listed consecutively or under one heading. • Immediacy: A deadline or crisis should be considered when arranging agenda items. Usually a well-planned approach to public business will cut down on the frequency of crises, but emergencies happen, and your agenda should take that into account. Chief administrative officers recognize the importance of developing agendas that will support the governing body in carrying out the public’s business. A care- fully structured agenda and clear, complete, and concise backup materials create an environment for effective decision making. While governing body agendas vary significantly from community to commu- nity, most include the same general information for all items: (1) the issue to be covered; (2) a brief background statement, including a staff recommendation; and (3) the action expected by the governing body. Practical tools such as consent agendas, which group routine issues under one action, and fact sheets, which summarize the scope of agenda items, can be helpful in managing time and information at a governing body meeting. Successful meetings start with carefully planned agendas. The chief adminis- trative officer and department staff support governing body decision making by planning agendas and providing both background reports and recommendations for action. Committees and Work Sessions Committees and full-group work sessions give elected officials time to explore complex issues in depth between regular meetings where decisions are made. More than 80 percent of local governing bodies use committees to examine policy issues, accord- ing to NLC’ s survey, compared with only 61 percent in 1979. Only 70 percent of smaller communi- ties use committees, compared with 91 percent of larger cities (200,000 population or more). Governing body committees are smaller groups that prepare issues for action by the full body. Ongoing or standing committees are often organized around major government functions—for example, public safety, community and eco- Fast Fact Page 93 of 298 Making Meetings Work 35 nomic development, financial management, intergovernmental relations, land use and planning, transportation, energy, and the environment. Ad hoc committees are organized around urgent priorities or emerging challenges. Governing body work sessions allow the entire governing body to study issues in more depth before making a decision. The advantage of committees and work sessions is a more informal environ- ment. Members can ask clarifying questions, discuss issues at length with expert staff, seek additional information, and prepare for formal decision making. Professional staff with relevant expertise are assigned to work closely with members in committees and work sessions. Three caveats about committees and work sessions are important to remember: 1. Decisions are not made in committee meetings or work sessions. 2. Committee meetings don’t preclude or eliminate public debate at formal meetings. 3. Most open meeting laws apply to committee meetings and governing body work sessions, which means that the public is invited. Recap • Policy making happens in meetings, so working together to make sure meetings enable good decision making is an essential part of your job. • Open meeting laws guide the process of public decision making. • Well-written rules of procedure and clear protocols that everyone agrees to follow provide a framework for successful governing body meetings. • Successful meetings start with carefully planned agendas that help participants address the most important issues in a timely and productive way. Recommended Local Reading • State open meeting and freedom of information laws • Adopted rules of procedure • Recent governing body agendas and minutes • Roberts Rules of Order or local parliamentary procedures Page 94 of 298 37 Communicating with the Public 4 You can have brilliant ideas, but if you can’t get them across, your ideas won’t get anywhere. —Lee Iacocca You were elected by the public to serve the public. Communication encourages informed participation, builds community pride and satisfaction, and improves service. Good communication builds strong connections, and strong connections build a stronger community. In short, communication is a basic government obligation. The following sections focus on • Getting your message out • Listening to the public • Communicating in times of crisis. Getting Y our Message Out A regular, consistent, and proactive communication strategy is the best way to connect citizens and their government. The more proactive you are, the less likely you will be to face inaccurate information that needs correcting or disconnected residents who feel out of the loop. Today’s technology resources, supplemented by traditional communication vehicles, make it much easier to get your story out. City Council strives to ensure that Danville citizens have complete confidence in their city government. The Council commits itself to providing clear direction, good planning, and stewardship. It works with city employees in a partnership to ensure that clear direction is coupled with high productivity and efficiency. City Council seeks the trust and confidence of its citizens by sharing successes, inviting participa- tion and feedback, and reporting on performance. From Our Leadership Role, Danville, Virginia (www.danville-va.gov) Page 95 of 298 38 Leading Your Community: A Guide for Local Elected Leaders Some widely used and successful tools for getting information out to citizens are • A local government Web site and other forms of Internet communications • Public access television • Community newsletters and billing inserts • Community or neighborhood meetings • News releases. In recent years, the Web has become the “must do” outreach for every com- munity. However, not all residents have access to a computer or are comfortable using the Web to get information. Libraries and recreation centers can provide Internet-ready computers and friendly help to ensure that all residents have equal access to important information. Equally important is redundancy: the local government should use a variety of methods to send the same message or information out to the public. Communications Strategic Plan A communications strategic plan takes a broad look at overall government com- munication tools and strategies. It can be a component of an overall strategic plan or a separate resource developed in close partnership with the staff who are responsible for carrying it out. Elements include • Written communications to citizens • Regular neighborhood interaction Georgetown, Texas (www.georgetown.org), has a comprehensive media use policy that summarizes the purpose of and appropriate uses for all major communication tools, including city Web sites, a cable access channel, the City Reporter newsletter, and utility bill inserts. Identified uses for media tools are to inform Georgetown residents about city-sponsored events, news, programs, and services; city council discussions and decisions; board and commission actions; neighborhood association meetings; health and public safety issues; recreation programs and events; economic development initiatives and issues; and attrac- tions, festivals, and performances. Lancaster, California (www.cityoflancasterca.org), developed a communica- tions strategic plan after a resident opinion survey showed that residents did not know what was going on in city government. For each communication vehicle, the plan identifies the purpose and goals, the targets for improvement, the timetable for action, and lead staff. Page 96 of 298 Communicating with the Public 39 • Emergency communications • Web site and Internet communications • Public access television programming • Customer service communications • Media relations • Marketing plans for economic development • The look and feel of government communications—the local “brand” • Staffing and resources to carry out the plan. The ease of communication today and the variety of available tools make an overall strategy valuable. A communications strategic plan will help ensure thoughtful, complementary, and reliable communications. Web site A local government Web site is today’s most important tool for providing up-to- date information and connecting citizens to services. A Web site provides easy access to a range of important resources—for example, the annual operating budget and capital improvement plan; goals and priorities; meeting schedules, agendas, and minutes; and frequently asked questions about the government. Award-Winning Web sites The Center for Digital Government, a national research and advocacy institute on information technology policies and best practices in state and local govern- ment, annually recognizes city and county Web sites for innovation and user friendliness. For some new ideas, visit these ten award-winning Web sites: Riverside, California (www.riversideca.gov) Fort Collins, Colorado (www.fcgov.com) Tampa, Florida (www.tampgov.net) Columbia County, Georgia (www.columbiacountyga.gov) Fulton County, Georgia (www.co.fulton.ga.us) Louisville, Kentucky (www.louisvilleky.gov) Oakland County, Michigan (www.oakgov.com) Las Vegas, Nevada (www.lasvegasnevada.gov) Monroe County, New York (www.monroecounty.gov) Fairfax County, Virginia (www.fairfaxcounty.gov) Page 97 of 298 40 Leading Your Community: A Guide for Local Elected Leaders Lenexa, Kansas (www.ci.lenexa.ks.us/subscriptions/e-newsletters.html), offers thirteen e-newsletter options, such as Neighborhood E-Watch, Business Town Talk, Planning Commission Agenda, Senior Programs, Special Events, and Clean Streams and Environment, to help citizens get updates on favorite topics. Y our Web site can also build strong community connections through online services. Citizens in many communities pay water bills and parking tickets, apply for permits, request services, or register for local recreational programs— all online. Local government staff is responsible for developing and maintaining the Web site with advice and engagement from members of the governing body. Internet Communications The Internet provides a reliable way to get information out regularly. Some Internet tools are extensions of the local government Web site. Others may be used by individual elected officials as ways to communicate regularly with con- stituents. And still others create opportunities for citizens to connect with each other about community and neighborhood issues. Understanding the range of resources is a good starting point. You should expect your local government staff to find the right Internet tools to carry out your communications strategy. According to the Pew Internet and American Life Project, 72 percent of Americans aged 12 and older use the Internet. More than 90 percent of Internet users rely on e-mail, and 73 percent get news online. While the extent of use still decreases with age (87 percent of people aged 12–17 are regular Internet users vs. 21 percent of people over age 70), use of online tools for communi- cation, information, and services is growing in all age groups. Here are some examples of Internet communication tools. • E-newsletters provide regular updates on specific topics without requiring citizens to go to the local government Web site—except to subscribe. An e-newsletter is usually written around a specific recurring topic or issue and sent only to citizens who register to receive it. Or an e-newsletter can supplement a regularly mailed community newsletter and be distributed to a broad citizen list. • Blast e-mails are like e-newsletters but more spontaneous. A broad community e-mail list is used to get information out quickly to a large audience. Fast Fact Page 98 of 298 Communicating with the Public 41 • E-mail lists are discussion groups that allow two-way information exchange among registered participants. When an e-mail is addressed to the list, it goes to everyone on the list. Usually such lists focus on specific topics, and participants choose to subscribe so that they can share ideas with others with similar interests. Community e-mail lists provide online information exchange within neighborhoods around a range of issues—from where to take your dog for grooming to concerns about neighborhood traffic. T o keep connected to your constituents and their concerns, it’s a good idea to join community e-mail lists. • RSS (“really simple syndication”) provides a way to distribute community news broadly from multiple Web sites to anyone who registers on one site. Like e-newsletters, RSS provides automatic access to information so that the reader doesn’t have to check the Web site regularly to get the news. • A blog (“Web log”) is an online running commentary on issues and events. “Owned” and written by one person, it may allow two-way communication. The advantage of a blog is that it is informal, somewhat unstructured, and spontaneous. The challenge is maintaining it. If you decide to start a blog, you need to keep it fresh and up-to-date. The Internet is a great resource for communicating regularly with citizens and providing quick, easily accessible information. However, there are some cau- tions to keep in mind. All e-mail communications, whether on a personal e-mail Georgetown, Texas (www.georgetown.org), provides RSS feeds from its Web site to connect citizens with regular sources of community news about, for example, tourism, the local school district, pets for adoption, library and recre- ation information, and the local university. The RSS section of the Georgetown Web site provides information about how to use an RSS feed and a link to a resource to set up an RSS reader. Santa Paula, California (www.ci.santa-paula.ca.us), has a city blog maintained by the city manager at the request of the city council. The blog includes a sug- gestion box where residents can offer ways to run the city better, and a section for posting questions about city government. A blog comment policy defines the parameters for posting citizen comments to “ensure civil discussion while encouraging diverse perspectives. ” It prohibits personal attacks, profanity or racial slurs, support of or opposition to an individual official, campaigning, and comments unrelated to the initial blog issue. Page 99 of 298 42 Leading Your Community: A Guide for Local Elected Leaders account or through a blog or e-mail list, are considered public information. So it is important to approach these tools with the same thoughtful reflection that you use in a public meeting. Comments and complaints posted on a blog or e-mail list sometimes prompt— or even seem to demand—an instant reaction. But it is usually not a good idea to respond instantly. Stop, think it through, and weigh your options and your words before responding. Government Access Television The 1984 Cable Franchise Policy and Communications Act requires all cable television companies to support public, educational, and governmental (PEG) programming. Government access television is a local government resource for a range of uses, such as broadcasting public meetings, providing educational pro- gramming, and making emergency announcements. Technology advances make it possible to broadcast governing body meetings both on your public access channel and through your Web site. While viewership of public access television channels varies, your government channel provides a valuable resource to bring the governing body into living rooms and to provide in-depth information about specific programs and services. Community Newsletters and Billing Inserts A newsletter published regularly and distributed in print format through bulk mailing, as well as in electronic format by e-mail blast and on the local government Web site, is a powerful tool for citizen outreach. Whether the news- letter is produced bi-weekly, monthly, or quarterly, it gets information and activi- ties in front of residents, and it can direct people to your Web site. Bee Cave, Texas (www.beecavetexas.gov), publishes a periodic newsletter called Bee Cave Buzz. The Buzz includes a message from the mayor, highlights of the issues on the council’s work agenda, a financial update, news from inside city hall and around the community, and a calendar of upcoming events. It is mailed to city residents and posted on the city Web site. The newsletter encourages residents to visit the Web site regularly for up-to-date news and information about city services. Rockville Reports is published monthly by the city of Rockville, Maryland (www.rockvillemd.gov), and mailed to all city residents. The newspaper-style newsletter is also posted and archived on the city Web site. It includes news about city activities and governing body decisions, in addition to schedules for events during the month and programming on the government access television channel. Page 100 of 298 Communicating with the Public 43 Flyers with important community information inserted with property tax or utility bills can be useful since you know residents open their bills. Time-sensitive information, such as fall leaf collection schedules or winter snow removal plans, work particularly well as billing inserts. A flyer should be very brief and should include your Web site address and a telephone number for more information. Community Meetings T echnology will never replace face-to-face contact. When you as an elected offi- cial reach out to residents on a regular basis—not just when you’re seeking their input on a new idea or trying to gain their support for a specific solution—you strengthen their connection with their government. Holding meetings in neighbor- hoods rather than always convening in city hall also builds stronger bonds. News Releases Newspapers, radio, and local television stations are a major source of information for many people. Reporters and editors will generally decide what is “news” in your community, but you can shape that coverage by distributing news releases highlighting important programs, services, and results. Your professional staff will write the news release while you provide quotes and are available for follow-up interviews to strengthen your message. Elected officials in Lakewood, Colorado (www.lakewood.org), regularly sched- ule “morning chats” throughout the community to connect with their con- stituents. The meetings, which are held in libraries, neighborhood restaurants, and recreation centers, usually on Saturday mornings, offer opportunities for citizens to meet and greet Lakewood council members and discuss neighbor- hood concerns and citywide issues. Decatur, Georgia (www.decaturga.com), offers a five-session course annually to educate up to forty members of the community about how the city works, who is responsible for what, and how citizens can make a difference. Two-hour classes are held once a week in different municipal buildings; in addition, there are special tours such as a recent Smart Growth Walking Tour. Goals of the pro- gram are to increase the number of informed and involved citizens and to make local government more accessible to the community. As one recent graduate said, “It was awesome. It makes it a lot easier to write that tax check. ” Page 101 of 298 44 Leading Your Community: A Guide for Local Elected Leaders Listening to the Public The day soldiers stop bringing you their problems is the day you have stopped leading them. —Gen. Colin Powell Accessible, easy-to-use tools for getting information in from your constituents are an equally important part of your communications tool kit. Opportunities for both spontaneous interactions based on the citizen’s agenda and structured, scheduled input built around your agenda encourage participation and feedback. Spontaneous Interaction Web sites, 31 1 nonemergency telephone and e-mail lines, customer service complaint and resolution systems, and personal connections are typical methods for spontaneous interactions. Your input systems will be most useful if they are visible and easy to use, and if members of the leadership team are available and responsive. Online request systems let citizens ask questions, report problems, and moni- tor the status of their requests. A comprehensive communications management system helps the government manage and track requests for assistance and Ask Arvada in Arvada, Colorado (www.arvada.org), and Minnetonka Mike in Minnetonka, Minnesota (www.eminnetonka.com), are comprehensive online communication management systems. Citizens in these cities can access city hall 24/7 to get information, request service, and report local problems. Min- netonka Mike invites citizens to “let us know how we can better serve you, help us discover areas for improvement, and tell us what you like about the city and its services. ” Ask Arvada invites general questions around government issues and services, and has three special “ask” categories: Ask the Mayor, Ask the City Council, and Ask the Traffic Guy. Columbus, Georgia (www.columbusga.gov), has a Citizens Service Center on its Web site that summarizes options for reporting local problems and request- ing service by phone, by e-mail, or online. It includes a list of concerns that residents might notice around the community—for instance, a stop sign on the ground, debris in the roadway, tree limbs hanging in the street—and urges citi- zens to use the 311 nonemergency system to make sure the problem gets fixed. The service center also highlights the difference between 311 and 911 this way: for a burning question, use 311; a burning building, dial 911. Page 102 of 298 Communicating with the Public 45 comments. The system also supports long-range planning by letting you know which issues and concerns recur most often. Y our job as an elected official is to be sure that • There is a reliable customer service system in place • Y ou get regular summaries of questions, complaints, and requests for service both to monitor responsiveness and to identify potential policy issues • The governing body is available to resolve issues that have not been addressed through normal administrative procedures. The most important component of your citizen reporting system is feedback/ closure. Someone needs to take responsibility for ensuring that the complaint or problem is addressed and that the citizen knows the outcome. Structured Input Methods of getting structured input include public hearings and public input at regular governing body meetings, community workshops, citizen advisory groups, and surveys. A public hearing is a separate event—sometimes required by law—to get reac- tions to a specific issue or planned action. For example, most local governments hold public hearings to get citizen comments before adopting the annual budget. Citizen comment periods at regular meetings allow public comment on a wide range of issues. To increase the value of public comment periods, it is helpful to define and publicize procedures for participation. Some local governments also provide guidelines to help residents make successful presentations at public meetings. Y ou can use your outgoing communication tools—Web site, community news- letters, billing inserts, and news releases—to announce the dates and purpose for upcoming public hearings, and to encourage participation. While public hearings are among the most frequently used methods of get- ting citizen input, many elected officials rate them as one of the least effec- tive approaches. The citizen with an ax to grind is sometimes the most regular presenter, and this common situation creates stress for the governing body and may discourage other citizens from participating. Because public hearings are often required by law and because many citizens expect to have opportunities to provide input at governing body meetings, the challenge is to try to make those opportunities useful and productive. Some ways to maximize the value of public hearings include • Defining and publicizing the purpose of the meeting: Public hearings are generally used for advice, guidance, and direction from the public. If that is the purpose, let everyone know that the governing body will listen carefully, take notes, accept copies of formal presentations and use that input for a future decision-making session. Other forms of public participation such as Page 103 of 298 46 Leading Your Community: A Guide for Local Elected Leaders workshops, community meetings, and special advisory committees are more useful if your primary purpose is to educate, persuade, or engage citizens in joint decision making. • Clarifying procedures and time limits: Setting and enforcing specific boundaries will help the chair manage the process. • Anticipating the audience and planning for it: Advance sign-up will help the chief administrator and governing body prepare for the session. If a large turnout is expected, consider holding multiple hearings to accommodate everyone and manage the participation. Overflow crowds with citizens standing in the hall instantly create tension. If you know your turnout will exceed the capacity of your governing body chambers, move the hearing to a place that can accommodate everyone comfortably. • Providing easy-to-understand background information in advance and at the meeting: Background information prepared by the chief administrator and expert staff helps get participants on the same page—even if they don’t agree with the direction. • Being prepared together: The council chair or mayor should make sure that the right substantive experts are available to answer questions, should be personally familiar with the details of the issue, should plan in advance how to manage the meeting, and should make sure that all members of the governing body understand and abide by the agreed-upon procedures. Fort Collins, Colorado (www.fcgov.com), has a section of its Web site called Your Voice that invites citizens to participate in governing body decision mak- ing. It highlights upcoming governing body decisions, provides information about issues and action to date, and defines when and how citizens can provide comments. Mountain View, California (www.mountainview.gov), has a Council Watchers Guide that provides information about how citizens can get involved in gov- erning body meetings, including when meetings are scheduled, where to get agendas and staff reports, how the council conducts its business, and how to participate. Sunnyvale, California (www.sunnyvale.ca.gov), offers How to Make Your Council Chambers Presentations More Effective, a guide that provides participation procedures; suggestions on how to make a successful presentation, including recommended materials to use and technology resources that are available to presenters; and a contact in city hall for further guidance. Page 104 of 298 Communicating with the Public 47 Community workshops that are designed to get information out can easily become community workshops to get information in on specific issues. The approach is the same: governing body members and expert staff go out to neigh- borhoods to meet with all interested residents about government business. You can engage and inform the community while getting their reactions, suggestions, guidance, and support before you make a policy decision. A series of well-planned and well-publicized workshops provide two-way education: citizens learn more about a pending policy issue, and the governing body and staff get input on citizen concerns and preferences to guide decision making. Invitational meetings bring together smaller groups for in-depth discussion and guidance. Local governments use advisory committees for invitation-only meetings. As an alternative, a few neighborhood meetings with invited commu- nity leaders can provide useful input without creating a specific committee. Focus groups are invitation-only meetings involving fewer than fifteen people; their purpose is to gather reactions to a specific idea or program. Popular for “market research,” focus groups work best with a skilled facilitator who uses a prepared list of questions to guide the discussion. For the most reliable informa- tion, it’s good to use multiple focus groups involving different cross-sections of citizens who discuss the same questions with the same facilitator. Appointed citizen committees with a clear mission generate good ideas, encourage productive participation, educate citizens about public policy, and broaden ownership for governing body decisions. Your local government may have both standing committees that have a continuing annual mission and special committees that are created to respond to a specific issue or challenge. The gov- erning body usually appoints members of citizen advisory committees, taking into account • Expertise in the area that the committee works on • Balanced community representation • An expressed interest to serve and willingness to participate actively and fairly. If you are newly elected to the governing body, be sure to get a list of all exist- ing advisory groups, their current members, and members’ terms of office. Neighborhood advisory groups engage residents where they live and broaden opportunities for communication and connections. Members of the advisory groups are generally elected by the neighborhoods they represent and view themselves as spokespersons for the neighborhoods that elect them. Although connected to the government, the groups tend to operate independently. They provide good venues for workshops on important policy issues. Residents some- times go to a neighborhood advisory meeting to register a complaint before, or instead of, going to the governing body meeting; doing so can lead to an early resolution of problems. Page 105 of 298 48 Leading Your Community: A Guide for Local Elected Leaders Your community probably has a range of citizen and neighborhood groups with no formal connection to the government—for example, the League of Women Voters, service groups, neighborhood associations, political caucuses, and special-interest groups. These groups can provide valuable connections to resi- dents who might not otherwise get involved in government business but have perspectives worth listening to. As an active community resident before your elec- tion, you may already have strong ties to some of these groups. Citizen surveys help assess policy effectiveness and provide reliable feedback on what residents think of current services, what new services they are willing to pay for, and what services they could live without. Citizen surveys also help you refine your public relations program by identifying areas where public perceptions of services are out of sync with the leadership team’s perceptions. Perhaps most important, surveys help you connect with a broader audience that may never come to a meeting, serve on a committee, or register a personal complaint. Your systems and methods for outgoing and incoming communication should be broad and diverse to maximize the connections with the people you serve and contribute to better decisions for the entire community. Communicating in Times of Crisis A community crisis tests your communication skills and processes as well as your leadership team’s capacity. Whether it is a natural disaster such as a tornado, a Burlington, Vermont (www.ci.burlington.vt.us), has seven elected neighbor- hood planning assemblies that were established to encourage citizen partici- pation in local government. Working as neighborhood advocacy groups, the assemblies improve communication between citizens and city government through regular meetings where residents learn about issues that affect them and advise the city about their concerns and needs. Typical assembly topics include ballot questions and candidate forums, development projects in the neighborhood, and updates on street and sidewalk repair projects. Each assem- bly elects representatives to a citywide board that approves neighborhood grant applications for improvement projects. The Columbia Council of Neighborhoods (CCN) (www.columbianeighbor- hoods.org) is a volunteer, community-based organization that coordinates the activities of more than eighty neighborhood groups in Columbia, South Carolina. The council’s mission is to improve communication between diverse neighborhood groups, and to serve as a link between neighborhood groups and city officials. The Columbia Zoning Board, Planning Commission, and city council routinely request input from CCN and its members. Page 106 of 298 Communicating with the Public 49 violent incident such as a school shooting, or a political crisis such as a major financial shortfall, your governing body’s ability to work together and speak with one voice will be pushed to the limit. A crisis can lead to confusion, conflict, and controversy. A good communications plan is important to manage and minimize all three. Your ability to respond depends on having a comprehensive emergency response plan in place—and on being familiar with all aspects of that plan. From a communication perspective, your biggest challenges will be • Speaking with one voice • Keeping the public informed • Managing the media. Speak with One Voice In times of crisis, your citizens will look for one familiar and reliable voice that can provide clear and consistent information. Your emergency response plan should define communication roles, including who the primary spokesperson will be. The mayor is generally the lead spokesperson for the government during a cri- sis, working in partnership with the chief administrative officer and other experts who provide details as needed. In many cases, the mayor will defer to top staff to answer technical questions and provide detailed guidance. When more than one person uses the microphone, messages should be consistent, clear, and sup- portive. That means making sure that anyone who might be asked to comment or may fill in as a spokesperson during the crisis is kept up-to-date on the latest news. Regular briefings for key leaders between public statements will help keep everyone on the same page. In a political crisis, speaking with one voice is tough. The public needs to see a governing body working together to solve problems rather than publicly disagreeing. Keep the Public Informed Whether you are the spokesperson or a member of the team relaying the words of the spokesperson, present what you know as soon as you know it. Sometimes announcing that you don’t have all the information yet is better than saying nothing at all, which opens the door for even less informed sources to try to fill the gaps. Think about the many times you have watched other public officials deal with major crises in a national media spotlight. Honesty, confidence, and commitment to get through the crisis generally go over best. That demeanor is hard to sustain when your community has been leveled by a tornado. But that’s what residents expect from their local leaders. Page 107 of 298 50 Leading Your Community: A Guide for Local Elected Leaders Manage the Media The media can be a good resource for sharing information during a crisis. A natu- ral disaster involving emotions and shared loss offers a better chance for a posi- tive media relationship than a political crisis. In either case, however, reaching out to the media rather than avoiding it will produce better results. Press conferences and briefings with local media at regularly scheduled inter- vals will help you manage the information and your time. Depending on the magnitude of the crisis, the arrival of national media can have a major impact on your communications strategy. In the aftermath of major Tips for Working with the Media ● Coordinate closely with your chief administrative officer or press office if your local government has one. Generally, the city staff is the primary point of daily contact with the media and can provide support and guidance to elected officials who are dealing with the media. ● Always be prepared when talking with a reporter. If a reporter calls you directly, find out what he or she is looking for, and buy some time to coordi- nate with key staff and prepare yourself for the interview. ● Focus on a few key points and stay with them. Three key messages about an important issue with examples of how the issue will affect residents will help get your message across. Even if the questions move in different directions, try to refocus the conversation to your three points. ● “No comment” is never a good response. It suggests that you know some- thing that you aren’t sharing. If you don’t have the information or can’t provide a complete answer to the question at that moment, say so. ● Be responsive to build a positive relationship. Respect the reporter, the deadlines, and the job of covering a local government. While relations with the media are sometimes contentious, start from the assumption that you can build a positive relationship by being open, responsive, available, and respectful. Never ignore a call from a reporter. If you aren’t the right contact, make sure someone from your local government returns the call. ● Assume that everything is on the record and that whatever you say will be published. While many reporters use categories such as not-for-attribution, background, and off-the-record, the best way to talk to a reporter is to assume that nothing is really off the record. ● Consider using op-eds and letters to the editor to communicate local views. Op-eds and letters to the editor are good ways to get your message out about a new program, service, or challenge in the community. Page 108 of 298 Communicating with the Public 51 storms, local officials say the onslaught of national media constantly seeking interviews and updates puts enormous pressure on local leaders, particularly in small communities with limited staff resources or media experience. Y our emergency communications response plan should anticipate the possibility of national media and establish procedures for managing those resources positively and productively. Designating one senior staff person who has communications experience to serve as the primary media contact, and scheduling specific times for regular media briefings, will help you manage national media presence and get reliable information out. Political crises present different challenges in dealing with the media because the facts are less clear and the opportunities for speculation, placing blame, and creating conflict are much higher. Aggressive media may nurture and exploit speculation, blame, and leadership conflicts. As a local leader, you need to keep your eye on your bottom lines—solving the problem, speaking with one voice, and keeping the public informed with whatever facts are available. Use the same tools you use for communicating posi- tive information: carefully worded news releases, briefings that provide factual updates, and thoughtful and timely responses to reporters’ questions. Recap • Communicating with the public is a government obligation. Good communica- tion builds strong connections with citizens, and strong connections build a strong community. • Successful communication goes two ways. It includes regular and diverse approaches to getting your message out, and equally regular and diverse approaches to getting input from the public. • T echnology facilitates local government communication, but it must be balanced with other communication tools to avoid widening the digital divide. Recommended Local Reading • Y our local government Web site from your perspective as a local leader • Recent community newsletters and news releases • Mandates and membership lists for existing committees that the governing body appoints • A list of other community groups that interact with the government, including their key leaders Page 109 of 298 Learning About Professional Managers Key Facts about Professional Managers Page 110 of 298 Are professional managers political appointees? No. Professional managers are non-partisan and non- political, dedicated to the overall well-being of the community. They are committed to fair use of public resources and respect the rights and responsibilities of both elected officials and residents. What kind of education and training do they have? Nearly 65 percen t of the managers surveyed by ICMA (the International City/County Management Associa- tion) in 2012 indicated they had earned a masters degree, usually in public administration, business, public policy, or some other advanced degree. Demographics What is the average tenure of a city, town, or county manager? Just over seven years, according to ICMA’s 2012 State of the Profession Survey. How much experience do most managers have in local government management? Twenty years, according to the same survey. How many managers are women? Roughly 16 percent of ICMA Member CAOs (Chief Appointed Officers) are women. What is the racial and ethnic makeup of professional managers? In 2012, 95.5 percent of respondents to ICMA’s State of the Profession survey indicated that they were Caucasian; 2.9 percent African American; .3 percent Asian American; .7 percent Native Ameri- can; and .7 percent other. The Basics What is a professional local government manager? A professional local government manager is an appointed administrator hired to serve the mayor, elected governing body, and community. A professional manager is similar the chief executive officer of a corporation. Do all city, town, and county governments have managers with professional training in public administration? No. Elected officials manage some local governments. How many cities, towns, and counties are served by professional local government managers? Professional managers oversee the day-to-day opera- tions of more than 59 percent of cities and towns with a population of 2,500 and over, and 27 percent of counties across America. What are professional local government managers called? Y ou can recognize them by many titles: city manager, town administrator, county executive to name a few. How are professional local government managers hired? Usually, the jurisdiction’s elected officials hire the manager through a recruitment process they develop, or by promoting a deputy manager. Why are professional local government managers hired? The elected governing body hires a manager to implement their policies and programs and oversee the day-to-day business of the govern-ment in an ethical, transparent manner. LIFE, WELL RUN KEY FACTS AboUT ProFESSIoNAl loCAl GovErNMENT MANAGErS Page 111 of 298 2 ■ ■Management—Mediating, negotiating, encourag- ing inclusiveness, and consensus building ■ ■Ethics—Commitment to accountability and the highest ethical standards Compensation How is the compensation of professional local government managers determined? It’s determined by the elected governing body and should be based on the position requirements, the complexity of the job, the leadership needed, labor market conditions, cost of living in the community, and the organization’s ability to pay. What is the general range of salaries? ICMA’s 2016 report, “CAo Salary and Compensa- tion: The big Picture,” finds the median salary reported for chief appointed officers is $129,062 annually (meaning that half the respondents earn more and half earn less). The lowest median salary reported was $63,985 in Maine; the highest was $ 261,000 in California. of course, as with most executive jobs, the salary figure is arrived at by weighing the complexities of the job, the size of the budget the manager would need to manage, the skill set needed to do the job well, and the wage the government can afford. What other types of compensation can managers receive? Managers’ compensation is commensurate with that of executives of any similarly sized businesses in that it may include items such as pension or retire- ment, health insurance, etc., but generally it will be less than in the private sector. Terms of Service and Severance What kind of job security do managers have? local government managers are typically considered at-will employees and can be terminated without cause at the discretion of the governing body or mayor. Are they eligible to receive a severance package if they’re terminated? It depends on the employment agreement or con- tract they negotiate. ICMA’s 2016 survey found that 90 percent of managers are eligible to receive severance pay, the amount of which varies mostly based on tenure. In line with standard business practices, the most common amount of severance pay is about six months. What is the average age of professional local government managers? As of 2012, only 11 percent of professional local government managers were 40 OR younger and only 1 percent were under 30. Duties, Responsibilities, and Skills Exactly what do professional local government managers do? A manager’s responsibilities can vary from commu- nity to community, but they will include a combina- tion of: ■ ■Working with elected officials to develop and implement policies and programs ■ Managing the day-to-day operations of the local government staff ■ Using community values and rigorous program evaluation to make choices based on priorities in times of tight budgets, as well as finding creative solutions to meet needs that might otherwise go unmet. ■ Coordinating and creating the complex budgets and materials necessary for local governments to apply for bonds and achieve the best-possible bond rating. The better the bond rating, the lower the interest rate taxpayers pay. ■ Coordinating the delivery of services such as police, fire, sanitation, street repairs, and upkeep of parks and facilities ■ Involving residents, businesses, civic groups, and other members of the community in building com- munities they’re proud to call home Ensuring that laws and policies are enforced fairly throughout the community What kind of knowledge and skills do managers need? Just as a manager’s responsibilities may vary from community to community, so, too, do the knowledge and skills s/he needs for the job. They can include: ■ ■Administration—Supervising people, budgets, and projects ■ ■leadership—bringing a community-wide perspec- tive, meeting today’s needs while planning for tomorr ow’s, promoting excellence and innovation ■ ■Finances—Ensuring the cost effectiveness of programs, balancing budgets, and securing the financial health of the community 12-147 Page 112 of 298 Learning About Professional Managers Professional Local Government Management: The Benefits to Your Municipality Page 113 of 298 The Benefits to Your Municipality Professional Local Government Management Page 114 of 298 Political Leadership and Professional Management in Today’s Cities and Towns Professional l ocal Government mana Gement: the Benefits to Your municiP alitY H iring a professional administrator, appointed by the city or town’s governing body, is a trend on the rise in municipal government. Historically, many cities and towns were governed by commissions, councils, or boards whose members had both legislative and executive responsibilities. This system functioned effectively when municipal government was smaller and limited in scope and complexity. With the expansion of the responsibilities of cities and towns however, the policy-making demands of governing bodies greatly increased, as did the need for technical competence in the management of the operation and delivery of services. Today’s elected board members can better fulfill their legislative or policy-making roles and maintain their overall control of service delivery by delegating the day-to-day management of the municipality to an appointed professional administrator. Page 115 of 298 Professional l ocal Government mana Gement: the Benefits to Your municiP alitY Making the Change to Professional Management Employing a professional manager or administrator frees elected officials from the administration of daily operations and gives them time to focus on the policy issues that will guide the future of the community. It empowers elected officials to provide leadership, develop a vision for the community, determine what services to provide citizens, lobby the state legislature on the community’s behalf, and communicate and forge new relationships with constituents. The professional manager, appointed by the governing body, oversees the day-to-day operation and the implementation of policy. Before a professional manager or administrator can be hired, a municipality’s structure of government must be modified to provide for the position. The process of creating a position of city or town manager or administrator can vary from state to state. Some municipalities have the authority to act on their own initiative in that they can adopt local ordinances, laws, or resolutions to create the position of city manager or administrator. In states where municipalities may write their own charter under home-rule provisions, a number of municipalities have taken advantage of that opportunity to create a professional administrator position. Some states have enacted statutes providing for alternative forms or optional charters for local governments to adopt. Lastly, structural change can also be accomplished in some states by obtaining charters through special legislation adopted by the state legislative body. What Value Does a Professional Manager Bring to a Community? Professional managers bring value to a community because they: • Work in partnership with elected officials to develop sound approaches to community challenges by bringing together resources to make the right things happen and produce results that matter Page 116 of 298 Professional l ocal Government mana Gement: the Benefits to Your municiP alitY • Bring a community-wide perspective to policy discussions and strive to connect the past and future while focusing on the present. They help the governing body develop the long-term vision for the community that provides a framework for policy development and goal setting • Promote ethical government through commitment to a set of ethical standards that goes beyond those required by law • Encourage inclusion and build consensus among diverse interests (including those of elected officials, the business community, and citizens) by focusing on the entire community rather than the centralized interests of one or two individuals • Promote equity and fairness by ensuring that services are fairly distributed and that administrative decisions (such as hiring and contracting) are based on merit rather than favoritism • Develop and sustain organizational excellence and promote innovation. Professional managers focus relentlessly on efficient and equitable service delivery, policy implementation, and evaluation. They align the local government’s administrative systems with the values, mission, and policy goals defined by the community and elected officials. How Your Municipality Would Benefit from Hiring a Professional Administrator The appointed manager or administrator is charged with carrying out the policies established by the elected officials and with delivering public services efficiently, effectively, and equitably. Elected officials, in turn, have more time to concentrate on creating a vision for the community’s future. • Day-to-day operations are managed by a professional who is educated and trained in current city and town management practices, state and federal laws and mandates, and cost-effective service delivery techniques Page 117 of 298 Professional l ocal Government mana Gement: the Benefits to Your municiP alitY • Responsiveness to citizens is enhanced by centralizing administrative accountability in an individual appointed by the elected governing body • The professional manager or administrator brings to the communities they serve technical knowledge and experience, academic training, management expertise, and a dedication and commitment to public service. Ethical Conduct: Honoring the Public Trust City and town managers or administrators who are members of the International City/County Management Association (ICMA) are bound by its Code of Ethics, which states that every member of the organization shall act with integrity in all personal and professional matters so that they will merit the respect and trust of elected officials, employees, and the public. This stringently enforced Code specifies 12 ethical principles of personal and professional conduct, including dedication to the cause of good government. ICMA members believe in the effectiveness of representative democracy and the value of government services provided equitably to residents within a community. ICMA members are also committed to standards of honesty and integrity that go beyond those required by the law. For more information, contact ICMA or visit http://icma. org/ethics. Responsiveness to Citizens City and town managers or administrators are appointed by and serve at the pleasure of the elected legislative body. They generally do not have guaranteed terms of office or tenure. They are evaluated based on their responsiveness to the elected legislative body and to the community and on their ability to provide efficient and effective services. If the administrator is not responsive to the elected officials, he or she may be terminated at any time. In that sense, the manager or administrator’s responsiveness is tested daily. Page 118 of 298 How to Hire a Professional Manager or Administrator 1. Consider your municipality’s unique demands and needs Many managers and administrators have studied local government management at the graduate level and have held positions of increasing authority. Beyond the basic education and experience requirements of the position, you should develop a job description that encompasses your expectations and outlines measurable objectives that you want to accomplish. You should also develop a management profile of the administrator that matches your expectations. ICMA can offer your municipality materials to facilitate this process. ICMA’s Recruitment Guidelines for Selecting a Local Government Administrator contains tips on recruiting applicants, determining finalists, and interviewing techniques. To locate a downloadable copy of this document, go to the ICMA JobCenter (jobs.icma.org). 2. Begin your search Determine whether you want to conduct your own search or work with an executive recruitment firm. Prepare and place your advertisements in publications that will attract the most qualified local government candidates such as the ICMA Newsletter, the ICMA JobCenter, and/or state association publications. 3. Make the selection • Review résumés and identify potential candidates based on their experience and the criteria you developed earlier • Select the top candidates and schedule interviews with your evaluation panel • Upon reaching a decision, negotiate the terms and conditions of employment with your new manager or administrator and formalize a written agreement • At this time, it is important to develop mutually agreed-upon goals and establish an annual review process through which the elected body and the manager or administrator can discuss performance. Professional l ocal Government mana Gement: the Benefits to Your municiP alitY Page 119 of 298 Professional l ocal Government mana Gement: the Benefits to Your municiP alitY Resources International City/County Management Association (ICMA) 777 North Capitol Street, NE, Suite 500 Washington, DC 20002-4201 Phone: 202-289-ICMA Fax: 202-962-3500 Website: www.icma.org The International City/County Management Association (ICMA) promotes excellence in local government through professional management. ICMA provides an information clearinghouse, technical assistance, and training and professional development to nearly 9,000 chief appointed administrators, assistant administrators, and other individuals throughout the world. To obtain an informational packet on the benefits of professional city or town management, visit ICMA’s website at icma.org/formofgovt or email Jared Dailey, Assistant Program Manager, at jdailey@icma.org. National Civic League (NCL) 1 145 Market Street, Suite 300 Denver, CO 80202-1728 Phone: 303-571-4343 Fax: 303-571-4404 Website: www.ncl.org Email: ncl@ncl.org The National Civic League is a nonpartisan citizens’ organization founded in 1895. Its purpose is to serve as a clearinghouse for information on methods of improving state and local government; to encourage citizen participation in state and local government; and to provide guides, model charters and laws on specific local government topics. The Model City Charter was specifically prepared to give municipalities a general plan of structuring their local government based on the principles of the council- manager form. For more information about National Civic League publications, visit www.ncl.org. Several publications are also available through ICMA’s online bookstore at http://bookstore.icma.org. Page 120 of 298 08-265 P r o f e s s i o n a l l o c a l G o v e r n m e n t m a n aG e m e n t : t h e B e n e f i t s t o Y o u r municiP alitY Page 121 of 298 Hiring a Professional Manager Hiring a Professional Manager Page 122 of 298 1/23/2018 Hiring a Professional Local Government Manager | icma.org https://icma.org/hiring-a-manager 1/3 Home/ Who We Are/ Professional Management Hiring a Professional Local Government Manager Elected officials can better fulfill their legislative or policy-making roles by delegating the management of the municipality to an appointed professional administrator. Twitter Facebook LinkedIn Email More The Benefits of Professional Management The appointed manager or administrator is charged with carrying out the policies established by the elected officials, and with delivering public services efficiently, effectively, and equitably.  Elected officials, in turn, have more time to concentrate on creating a vision for the community’s future. Day-to-day operations are managed by a professional who is educated and trained in current local government management practices, state and federal laws and mandates, and cost-effective service delivery techniques. Responsiveness to citizens is enhanced by centralizing administrative accountability in an individual appointed by the elected governing body. Local government managers or administrators are appointed by and serve at the pleasure of the elected legislative body. They generally do not have guaranteed terms of office or tenure. They are evaluated based on their responsiveness to the elected legislative body and community, and on their ability to provide efficient and effective services.  If the administrator is not responsive to the elected officials, he/she may be terminated at any time.  In that sense, the manager's or administrator’s responsiveness is tested daily. Professional managers or administrators bring technical knowledge, experience, academic training, management expertise, and dedication to public service. Duties of an Appointed Manager or Administrator Carries out policies adopted by the elected officials. Manages local government services, which may include public works, public safety, planning and economic development, parks and recreation, libraries, youth services, resource recovery and recycling, and utilities. Prepares a comprehensive annual budget and capital improvement program. Page 123 of 298 1/23/2018 Hiring a Professional Local Government Manager | icma.org https://icma.org/hiring-a-manager 2/3 Ensures fiscal responsibility and modern accounting practices. Develops performance measurement systems for local government services. Applies for and administers federal, state, and private foundation grant funding. Recruits, hires, and supervises the workforce of the local government, including key department heads. Prepares council or board meeting agenda materials. Develops long-range plans with guidance from elected officials and assists in the achievement of common goals and objectives. Facilitates the flow of ideas and information between and among elected officials, employees, and citizens. Ethical Conduct: Honoring the Public Trust ICMA members are committed to standards of honesty and integrity that go beyond those required by law. Local government managers or administrators who are members of ICMA agree to abide by its Code of Ethics, which specifies 12 principles of personal and professional conduct, including dedication to the cause of good government.  ICMA members believe in the effectiveness of representative democracy and the value of government services provided equitably to all residents of their communities. The Code is enforceable by a confidential peer review process. How to Hire a Professional Manager or Administrator First Steps Before a professional manager or administrator can be hired, a local government’s structure of government must be modified to provide for the position. The process of creating a position of manager or administrator can vary from state to state. Some local governments have the authority to act on their own initiative to adopt local ordinances, laws, or resolutions to create the position of manager or administrator appointed by the elected governing body. In states where local governments may write their own charter under home-rule provisions, a number of them have taken advantage of that opportunity to create a professional administrator position.  Some states have enacted statutes providing for alternative forms or optional charters for local governments to adopt. In some states, structural change can take place by obtaining charters through special legislation adopted by the state legislative body.   Consider your municipality’s unique demands and needs Page 124 of 298 1/23/2018 Hiring a Professional Local Government Manager | icma.org https://icma.org/hiring-a-manager 3/3 Many managers and administrators have studied local government management at the graduate level and have held positions of increasing authority.  Beyond the basic education and experience the position requires, you should develop a job description that outlines your expectations and the measurable objectives you want to accomplish.  You should also develop a profile of the administrator who will best serve your community's needs. ICMA can help your local government facilitate this process. ICMA's Recruitment Guidelines for Selecting a Local Government Administrator (download below) contains tips on recruiting applicants, determining finalists, and interviewing techniques. Begin your search Determine whether you want to conduct your own search or work with an executive recruitment firm. Prepare and place advertisements in publications that will attract the most qualified local government candidates, such as Leadership Matters (the ICMA Newsletter), ICMA JobCenter, and/or state association publications. Make the selection Review resumes and identify potential candidates based on their experience and your criteria. Select the top candidates and schedule interviews with your evaluation panel. Upon reaching a decision, negotiate the terms and conditions of employment with your new manager or administrator and formalize a written agreement. At this time, it is important to develop mutually agreed-upon goals and establish an annual review process through which the elected body and the manager or administrator can discuss performance. Downloads Recruitment Guidelines for Selecting a Local Government Administrator Privacy Statement | T erms of Use © ICMA All Rights Reserved Page 125 of 298 Hiring a Professional Manager Recruitment Guidelines for Selecting a Local Government Administrator Page 126 of 298 Recruitment Guidelines for Selecting a Local Government Administrator January 2012 Page 127 of 298 Rec Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R i Recruitment Guidelines for Selecting a Local Government Administrator ©2012 by the International City/County Management Association. All rights reserved, including rights of reproduction and use in any form or by any means, including the making of copies by any photographic process, or by any electrical or mechanical device, printed, written, or oral or recording for sound or visual reproduction, or for use in any knowledge or retrieval system or device, unless permission in writing is obtained from the copyright proprietor. About ICMA ICMA advances professional local government worldwide. Its mission is to create excellence in local governance by developing and advancing professional management of local government. ICMA, the International City/County Management Association, provides member support; publications, data, and information; peer and results-oriented assistance; and training and professional development to more than 9,000 city, town, and county experts and other individuals and organizations throughout the world. The management decisions made by ICMA’s members affect 185 million individuals living in thousands of communities, from small villages and towns to large metropolitan areas. ICMA 777 North Capitol Street, NE Suite 500 Washington, DC 20002-4201 202-289-ICMA (4262) icma.org Page 128 of 298 Rec Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R iii Preface This Recruitment Guidelines for Selecting a Local Government Administrator was first published just over ten years ago. While a lot has changed in ten years, the basic process for selecting a chief administrator 1 has remained substantially the same. It still requires careful planning, astute evaluation of candidates, and a clear understanding of the relationship between the governing body 2 and the chief administrator. In this edition, however, new focus has been given to the ICMA Code of Ethics —the foundation of the local go vernment management profession— and the emergence of the Voluntary Credentialed Manager program. The Task Force on Recruitment Guidelines was formed in Fall 2010 and consisted of a very diverse group of ICMA members (many of whom have served on the ICMA Executive Board), Range Riders (former local government practitioners), younger members of the local govern- ment management profession, and representatives from executive search firms. From its only face-to-face meeting at the 2010 ICMA Conference in San José, this Task Force embraced the challenge of updating the guidelines. Over the next several months, we formed work groups to focus on three key elements of the process: recruitment, selection, and negotiation. After count- less conference calls and emails, the new and improved Recruitment Guidelines for Selecting a Local Government Administrator emerged. The Task Force consisted of the following ICMA members: Jane Bais-DiSessa City Manager Berkley, Michigan Bill Baldridge Executive Search Committee Former City Manager Michigan Municipal League Troy Brown Assistant City Manager Livermore, California Garry Brumback T own Manager Southington, Connecticut Charlie Bush City Administrator Prosser, Washington Mike Casey Partner Management Partners, Inc. Cincinnati, Ohio Tony Dahlerbruch City Manager Rolling Hills, California Ed Daley City Manager Hopewell, Virginia Tim Ernster City Manager Sedona, Arizona Tom Fountaine Borough Manager State College, Pennsylvania 1 Chief administrator refers to a manager, administrator, or executive of a local government. 2 Governing body refers to the elected officers of a town, village, borough, township, city, county, or a legally constituted council of governments. Page 129 of 298 iv Re c Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R Peter Herlofsky Former City Administrator Farmington, Minnesota Kay James City Manager Canandaigua, New York Dave Krings Former County Manager Hamilton County, Ohio Peoria County, Illinois Debra Kurita Former Assistant City Manager San Bernardino, California Juliana Maller Deputy City Manager P ark Ridge, Illinois Bob Murray President Bob Murray & Associates Roseville, California Andy Pederson Village Manager Bayside, Wisconsin Sheryl Sculley City Manager San Antonio, Texas William Sequino Town Manager East Greenwich, Rhode Island Paul Sharon ICMA Range Rider, Florida Former Town Manager Ashland, Massachusetts North Andover, Massachusetts Scot Simpson City A dministrator Riv er Falls, Wisconsin Charlene Stevens City Administrator Willmar, Minnesota Larry Stevens City Manager Edmond, Oklahoma Bill T aylor Field Services Manager Municipal Association of South Carolina Columbia, South Carolina Michael Van Milligen City Manager Dubuque, Iowa Melissa Vossmer City Manager Angleton, Texas Michael Willis General Manager Shellharbour City Council New South Wales, Australia Special appreciation is extended to Tom Fountaine for serving as the negotiation section chair; Peter Herlofsky, selection section chair; and Debra Kurita, recruitment section chair. Debra Kurita deserves special recognition as she labored many hours converting writing styles and formats into one consistent, easy-to-read document. On behalf of ICMA, I am grateful for the active engagement of each Task Force member. Special thanks to Jared Dailey of the ICMA staff, who assisted in the overall coordination of the Task Force. It is the hope of the Task Force that this guidebook is promoted and distributed to those who are in the environment to hire a chief administrator for a community. To the governing body representatives who use this guidebook, we thank you for your service to your communities and wish you every success in finding the professional local government manager to help you guide your community to be the best it can be. In closing, it has been my privilege to have served as the chair of this Task Force. Bonnie Svrcek Deputy City Manager Lynchburg, Virginia Page 130 of 298 Rec Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R v Contents 1. In troduction 1 2. Managing the Or ganization during Recruitment 2 Major Decision Point: Appointing an Interim Administrator ........................ 2 Interim Management: The Governing Body’s Role ............................... 2 3. Initiating the R ecruitment 3 4. C onducting the Recruitment 4 In-House Expertise Method: Recruitments Conducted by the Local Government ......... 4 Outside Expertise Method: Recruitments Conducted with an Outside Party............. 4 Hybrid Method: In-House in Conjunction with Outside Party ....................... 5 5. K ey Elements of the Recruitment Framework 6 Major Decision Point: Development of an Administrator Profile ..................... 6 Decision Point: Community Engagement in Administrator Profile.................... 6 Major Decision Point: Administrator Compensation Schedule....................... 7 Geographic Scope ...................................................... 7 Advertising and Outreach Strategies ......................................... 8 6. K ey Elements of the Application Process 10 The Application Form .................................................. 10 The Local Government Information Packet ................................... 10 Applicant Relations .................................................... 10 7. T he Role of the Media in the Recruitment Process 12 8. T he Selection Process 13 Reviewing the Applications .............................................. 13 Major Decision Point: Determining the Candidates to Be Interviewed ................ 13 Interviewing the Candidates.............................................. 14 Major Decision Point: Making the Final Selection .............................. 16 9. T he Negotiation Process 17 Preparation for Negotiation .............................................. 17 Major Decision Point: Negotiating Compensation............................... 17 10. The Transition Process 19 Announcing the Selection ............................................... 19 Additional Elements ................................................... 19 11. Conclusion 20 Appendix A. ICMA Code of Ethics with Guidelines 21 Appendix B. ICMA Guidelines for Compensation 25 Appendix C. Professional Organizations to Consider Posting Position Vacancy 27 Appendix D. Potential Interview Questions 33 Appendix E. Relations with Applicants—Do’s and Don’ts 35 Appendix F . ICMA Model Employment Agreement 36 Index 43 Page 131 of 298 Rec Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R 1 1. Introduction “Thousands of decisions are made every day in cities, towns, and counties that determine our quality of life…. Professional managers craft the plans and make the decisions that transform good communities into great ones. —International City/County Management Association (ICMA) Selecting a chief administrator is perhaps the most important decision that elected local officials will make for their community. T his guidebook was created by experienced, seasoned local government managers. It is designed to help elected officials, human resource professionals, local government staff, and professional executive search firms navigate the recruitment, selection, and negotia- tion processes to find the individual who is best suited to serve as the chief administrator. The chief administra- tor is like an orchestra conductor, directing and manag- ing a team of professional, administrative, and field staff while interpreting and working toward the goals and objectives of the community’s elected officials. This guidebook offers best practices that will be most meaningful to you and your community in select- ing a chief administrator. Because all communities, governing bodies, and chief administrators are not the same, this is not a “one size fits all” guidebook. Nevertheless, the local government managers who cre- ated this document are firmly committed to the ICMA Code of Ethics, which is a non-negotiable foundation for professional local government management, and strongly recommends that the hiring governing body use the Code of Ethics as a tool in its search for a professional local government manager. Herein, we explain recruitment choices and the selection pro- cesses to fit the unique size, culture, and dynamics of an individual community. Topics include provisions for interim management; the spectrum of resources avail- able to assist in the recruiting process; applications, communications with applicants, and interviews; compensation; and transition. The appendices provide the ICMA Code of Ethics, ICMA Compensation Guide- lines, a directory of professional organizations that are likely places advertise for a chief administrator, potential interview questions, the do’s and don’ts of applicant relations, and the ICMA Model Employment Agreement. Using this guidebook can make recruit- ing and selecting a new chief administrator a positive, enjoyable, and unifying experience for you and your colleagues as elected officials. As you use this resource, you will see highlighted in the margins important points for selecting the best individual for the position. When faced with an upcoming or immediate vacancy in the chief administrator position, the governing body must quickly address the following questions: ■ What should we do to ensure that the affairs of the local government are properly administered until a new chief administrator is selected and on board? ■ How do we conduct a recruitment to fill the vacancy? The following material provides tips and guide- lines on the processes that the governing body needs to employ to successfully answer these questions. It identifies and discusses the key elements of man- aging the organization between the time that one chief administrator departs and another arrives, as well as the major decision points in conducting the recruitment, selection, and negotiation processes for appointing the new chief administrator. Professional local government managers are committed to ■ Serving as stewards of representative democracy ■ Practicing the highest standards of honesty and integrity in local governance, as expressed through ICMA’s Code of Ethics ■ Building sustainable communities as a core responsibility ■ Networking and exchanging knowledge and skills across inter- national boundaries ■ Lifelong learning and professional development ■ Financial integrity and responsibility for management of the community ■ Implementing best management practices. Page 132 of 298 2 Re c Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R 2. Managing the Organization during Recruitment T he governing body must act thoughtfully and deliberately in determining how to ensure that the operations of the local government are properly managed during the period before a permanent chief administrator is selected and on the job. When faced with a vacancy in the chief administrator position, the governing body needs time to carefully consider the qualities, expertise, and experience it hopes to find in a new administrator and to use the agreed-upon criteria to develop the administrator profile. It then needs sufficient time to recruit and select the best pos- sible successor who meets these criteria. While that is happening, however, it is important that the governing body identify a professional who will act as the chief administrator and properly manage local government operations while the recruitment process is underway. Major Decision Point: Appointing an Interim Administrator If the vacancy is the result of a planned retirement, the governing body may consider asking the current administrator to continue leading the organization for a short period of time on a contract basis. Alterna- tively, the governing body may elect to consult with the outgoing administrator regarding possible staff members who could fill this role. In some cases, the members of the governing body may agree that they have confidence in a spe- cific staff person. If there is an assistant administra- tor, for example, the governing body may appoint that person as interim administrator. If this assistant will be considered for the permanent position, the appointment as interim administrator will provide the elected officials with an opportunity to observe firsthand how the assistant handles the job. Another option is to appoint an assistant or department direc- tor (who will not be a candidate for the position); someone who is mature, seasoned, competent and respected by fellow employees. Should the governing body determine that there is no one on staff who it can or wants to appoint as the interim administrator, it may decide to retain the services of a retired administrator or an administra- tor who is between jobs. State associations, munici- pal leagues, or ICMA Range Riders are resources for identifying potential interim administrators. The governing body should publicly announce the appointment of the interim chief administrator. Regardless of who is appointed, it should be made clear to all local government officials and staff that the interim chief administrator is responsible for imple- menting governing body policy and overseeing opera- tions. It should also be made clear that if the interim administrator is ultimately selected to fill the position permanently, it will be because that person has proven to be the best among all the applicants. Interim Management: The Governing Body’s Role Obviously, the local government must continue to operate during the interim between the departure of the current chief administrator and the appointment of the new one. The governing body and interim management team should do whatever is necessary to make sure that important projects and service delivery continue to move forward. It is important to reiterate that the governing body has the responsibility to make it clear to the staff and community that the interim administra- tor is in charge of the organization’s operations. The governing body should consider deferring new initiatives, when possible, until the new administrator is appointed and on the job. After all, to ensure effec- tive administrative leadership in the future, it is desir- able that the new administrator be involved in as many policy decisions as possible. Just filling a vacant depart- ment director position, for example, is an opportunity for the new administrator to begin building an admin- istrative team. In fact, such an opportunity can be used to pique the interest of potential applicants during the recruitment process. Although it is not desirable for the governing body to immerse itself in the administrative affairs of the local government, its members should be briefed about cur- rent organizational problems and the status of impor- tant projects before the current administrator leaves, if possible. In this way, the governing body may monitor progress on important matters, provide direction, and set priorities for the person selected as interim administrator. Page 133 of 298 Rec Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R 3 T he governing body should initiate the recruitment process immediately after the official decision has been made regarding resignation, retirement, or termination. Failure to do so can potentially generate rumors within the community by various interested parties who may attempt to exert pressure on mem- bers to quickly fill the vacancy. The members of the governing body must bear in mind that an impulsive response to this pressure can be divisive for them and can damage their credibility. They must take charge of the recruitment: they must determine the process that will be used to recruit and select the best administra- tor, and make that decision clear to all concerned. There may be a number of special circumstances that influence the approach and timing used to recruit a new chief administrator. The following examples provide some tips for addressing those circumstances: ■ Vacancy due to the chief administrator’s termina- tion or resignation under pressure. If the position is vacant because the former administrator was termi- nated or forced to resign, neither the local govern- ment nor the former administrator will benefit from a public quarrel. It is far better for all concerned to mutually decide on a timetable for the administra- tor’s departure. If this departure is handled profes- sionally and in a mutually respectful manner, there is less likelihood for controversy and ill will to arise around the issues of the separation. Further, and from a recruiting standpoint, handling a difficult situation well will enhance the local government’s image and thus its ability to attract quality applicants. ■ Vacancy occurring prior to an election. Occa- sionally, a governing body will delay initiating the recruitment process because an election is pending. But even in the face of an election, it should prepare for the process by developing the administrator profile (described in full later in this document) and determining how the recruitment will be conducted so as to reduce the time lapse between the departure of one administrator and arrival of another. ■ Vacancies due to newly adopted council-manager form of government. If the position is vacant because voters either just approved the formation of or adopted a change to the council-manager form of government, the beginning of the search for a new chief administrator will depend on when the change becomes effective. Depending on the circumstances, it may be possible to have applications on file by the time the new members of the governing body are sworn in. In any case, the recruitment process should be initiated as soon as possible. 3. Initiating the Recruitment Page 134 of 298 4 Re c Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R 4. Conducting the Recruitment T here are several major elements and decision points in the recruitment process. This section of the handbook provides tips and guidelines for the governing body in determining the approach to use in this part of the process. The governing body has three major choices for conducting the recruitment. It can: ■ Conduct the recruitment in-house ■ Retain an outside party to conduct the recruitment ■ Use a hybrid approach and conduct the recruit- ment in conjunction with an outside party. In-House Expertise Method: Recruitments Conducted by the Local Government If the governing body chooses to conduct the recruit- ment in-house, it should be with the understanding that the task will be time-consuming and complex. The governing body may also have to decide whether to conduct the process as a body, delegate the respon- sibility to the chairperson, or assign the task to a committee of its members. If it elects to delegate the responsibility to one or more of its members, it must be sure to select people who are well respected and have the time to provide the necessary leadership and follow-through. To provide support in the process, the governing body should seek the assistance of the local gov- ernment’s human resources officer and municipal attorney. In conducting the recruitment in-house, staff can work with the governing body to develop the administrator profile and design an effective and legal recruitment and selection process. Staff can also be responsible for the administrative tasks of placing advertisements, collecting résumés, and scheduling interviews. However, the governing body or its del- egated members will approve the selection of the final candidates and conduct the interviews, and, of course, the body as a whole will make the final selection. In this scenario, staff serve as a resource throughout the entire recruitment process. Outside Expertise Method: Recruitments Conducted with an Outside Party The governing body can retain an outside party to conduct the recruitment. In some cases the interim or a retired administrator may be asked to coordinate the recruitment process. More often, however, the governing body will contract with a firm that special- izes in providing executive search assistance. When using an executive search firm, the gov- erning body plays an active role in the process. It develops the administrator profile, approves the selection of the applicants, interviews the candidates, and, of course, makes the final selection. The benefit of using an executive search firm is the expertise that the firm brings to the process and its ability to coor- dinate the recruitment. Typically the executive search firm begins by meeting with the elected officials either individually or as a group to help them develop the administrator profile. It is the firm’s responsibility to facilitate these discussions and help the governing body reach a con- sensus. After this matter has been settled, the firm coordinates the overall process and assumes respon- sibility for all tasks until it is time for the elected body to select and interview candidates. During this process, the firm updates the governing body, keep- ing the members informed of its progress. As the firm will be responsible for all the administrative details, the role of the staff is usually limited to providing information about the local government and coordi- nating with the firm. Governing bodies that use an outside service should ensure that a reputable firm, one familiar with the special requirements of local government management, is selected. The experience of the firm should be checked through contact with references— in particular, representatives of local governments that have used its services. Further, the governing body should be fully aware of the costs and benefits when deciding whether to use outside expertise. Page 135 of 298 Rec Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R 5 Hybrid Method: In-House in Conjunction with Outside Party In the third alternative, the governing body can con- duct the recruitment in-house and supplement the process, where necessary, with assistance from an executive search firm or another outside source, such as an the ICMA Range Rider. In some cases, the governing body may seek assistance at the beginning of the process to facilitate the discussion, develop the administrator profile, and determine the structure of the recruitment process. In other cases, local government officials may initiate the process in-house by developing the profile and advertising for the vacancy, and they may then use an outside source to help review résumés, conduct reference checks, and structure the interview pro- cess. This alternative may be most appropriate if cost is a concern; however, because it also presents opportunities for lapses in communication, the exact responsibilities of each party must be clarified in a written agreement. Page 136 of 298 6 Re c Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R 5. Key Elements of the Recruitment Framework R egardless of the method chosen for conducting the recruitment, the governing body must develop a framework for the recruitment process. It must agree at the outset on a number of key issues critical to the success of the recruitment, including criteria for the administrator profile, compensation range and compo- nents, and timing and geographic scope of the search. Major Decision Point: Development of an Administrator Profile The most significant decision point for the governing body in the recruitment of a new administrator is to define what the members are looking for—that is, to cre- ate the administrator profile. The profile will encompass those qualities, characteristics, experience, and areas of expertise that would be found in an ideal candidate. Only by considering how applicants compare and measure against one another and, of course, against the estab- lished criteria, can the governing body be sure that the candidate it appoints has the appropriate combination of work experience, management experience, and leader- ship style to be successful in the position. The governing body should begin with a survey of its needs and those of the organization. To deter- mine the needs of the organization, the governing body should invite input from the department direc- tors. Items to be considered include size of the local government, composition of the community, services provided, and overall objectives and priorities of the governing body. The work experience, skills, and expertise of the candidates must relate to these factors. The governing body should also consider both the “nuts-and-bolts” skills and abilities, such as budget- ing, human resources, and technological know-how, and the “soft” skills, such as the ability to work with people and to lead an organization. These criteria will form the basis for reviewing résumés, selecting final- ists, and making a hiring decision. Unless the governing body can come to consen- sus on these criteria, it may be difficult to find the right candidate. By reaching consensus, however, the governing body will be better able to inform the applicants on what it is looking for in a chief administrator. Developing the administrator profile helps the governing body define its needs and establishes the groundwork for generating a rich pool of applicants with the skills and abilities to address the needs of the governing body, the community, and the organization. Decision Point: Community Engagement in Administrator Profile The governing body must decide whether to engage community members or committees in the recruit- ment process. In most cases, the local government assumes responsibility for the recruitment and conducts the process without involving members of the community. In some cases, however, a governing body may seek input from community members or committees when developing the administrator profile. This not only allows the community to be part of the process but also may provide the governing body with a bet- ter understanding of the role of the administrator. Depending on the method that the governing body uses to conduct the recruitment, gathering input from the community would be facilitated by staff, the out- side recruiter, or the elected officials. Although community input will be valuable, the governing body will ultimately determine the qualities and experiences to be incorporated into the administrator profile, and this should be clearly com- municated to the community. It is, after all, to the governing body that the new administrator will be directly reporting. The ICMA Voluntary Credentialing Program recognizes professional local government managers qualified by a combination of education and experience, adherence to high standards of integrity, and an assessed commitment to lifelong learning and professional development. For more information, visit www.icma.org/en/icma/members/credentialing. Page 137 of 298 Rec Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R 7 Major Decision Point: Administrator Compensation Another critical element to be considered at the outset of the recruitment process is administrator compensa- tion. It is important for the local government to have some general understanding of the acceptable salary range, but it is also important to have some flexibility. Some local governments identify a range; others pro- vide the salary of the current administrator as an indi- cator; and still others may leave the salary open, to be commensurate with the new hire’s background and experience. The governing body will also determine other components of the administrator’s compensa- tion, such as deferred compensation, vacation accrual, and professional development allowances. It is important for the governing body to make clear that it wants the best administrator it can find. In general, potential applicants for the position will want to have some indication of the salary range and com- pensation package. But that will be only one of many factors that they will use in deciding whether to apply. ICMA has developed compensation guidelines for negotiating salary and benefits for local government positions. These guidelines are provided in Appendix B and are also available online at www.icma.org/ compensationguidelines. The actual compensation package will be negotiated with the final candidate at the conclusion of the recruitment process. Schedule Since top candidates often view applying for a new job as a major career decision, it is important that they have adequate time to consider the opportunity, dis- cuss it with their families, and prepare an appropriate résumé. Similarly, the governing body, staff, or execu- tive recruitment firm needs sufficient time to review résumés and conduct reference checks to ensure that good candidates are not overlooked and that finalists meet the desired qualifications. It cannot be overem- phasized that the recruitment should move forward expeditiously while also allowing adequate time for a thorough and comprehensive search. The timing of the recruitment can sometimes be affected by publication deadlines, which are impor- tant in terms of properly advertising the vacant posi- tion. An ideal timetable would provide at least sixty days from the start of the recruitment to the deadline for submitting résumés; thirty days to review résu- més, conduct background checks, interview candi- dates, and make a final selection; and at least thirty days for the new administrator to relocate. To maxi- mize flexibility in the process, the governing body may advertise the position with an “open until filled” statement. Profile: Impact of Special Circumstances: As the governing body decides on the criteria for the administrator profile, three types of situations should receive special consideration: 1. A loc al government that has just changed its form of govern- ment will ordinarily need an administrator who can inspire local government officials with the enthusiasm needed to implement the new structure. A first administrator in a new structure should be adept at public relations and at establishing relation- ships with incumbent officials and employees. 2. W hen an administrator has been dismissed or has resigned under pressure, the governing body tends to look for strengths in areas in which the outgoing administrator showed weak - nesses. There are dangers, however, in overcompensating for qualities that have led to dissatisfaction. If the outgoing administrator gave too much freedom to subordinates, for example, suddenly changing to a strong disciplinarian might result in antagonisms that would only lead to further prob- lems. Sometimes a new administrator will be confronted with major problems that must be addressed immediately. If such a situation is anticipated, the governing body should make these circumstances known to any applicant who is being seriously considered. 3. W hen a popular administrator retires or moves to another local government, the governing body may ask for this person’s assistance in the search for a successor. However, the gov - erning body should not overlook the possible need for new strengths or different qualities. Governing bodies need to be very alert to the dangers of either hiring a clone of the outgoing administrator, assuming that person is leaving on good terms, or a polar opposite, assuming that person is leaving on less than good terms. The importance of evaluating the current needs of the governing body and locality cannot be overstated. Page 138 of 298 8 Re c Ruitment Guideline s fo R s electin G a loc al Gove R nment a dminist Ra to R Geographic Scope Another factor to consider in determining the recruit- ment framework is the geographic scope: should the search be nationwide, statewide, or regional? A broad geographic search may attract more applicants who have demonstrated an ability to manage in a complex urban environment. On the other hand, a focus on the local government’s state or region may provide applicants who have a better understanding of and orientation to local problems, legal issues, financing alternatives, and similar matters. In any event, the new administrator will provide a fresh perspective on the issues and challenges facing the community and the organization. From the applicant’s perspective, it is assumed that the local government is looking for the best candidate and that all résumés, regardless of where the applicant currently works, will be reviewed carefully. The deter- mination of the scope of the recruitment will influence the advertising and outreach strategies used. Advertising and Outreach Strategies In order to generate a sufficient and diverse pool of qualified applicants, the governing body should develop advertising and outreach strategies. Advertising Campaign It is to the adv antage of the local government to ensure that every professional who might have an interest in the vacant position is aware of the opportunity to apply for it. Therefore, it is important that the advertising campaign be compre- hensive and include a carefully worded advertisement. This does not mean, however, that the campaign has to be extensive or expensive. Most local governments, for example, avoid advertising for an administrator in general circulation newspapers unless there is a local requirement to the contrary; this is an expensive form of advertising that does not reach the targeted audience. More effective vehicles for advertising for chief administrators can be found with organizations that are directly related to local government. In addition to ICMA, the following sources should be considered: ■ National League of Cities ■ National Association of Counties ■ National Association of County Administrators ■ National Forum for Black Public Administrators ■ International Hispanic Network ■ American Society for Public Administration. Resources at the state level include state munici- pal leagues, county associations, and