DRAFT TOWN OF STONINGTON OPERATIONAL AND AUDIT REPORT EVALUATION AND IMPLEMENTATION SERVICES LLC. DRAFT DRAFT To: Robert R. ?Rob? Simmons, Town of Stonington First Selectmen Mike Spellman, Town of Stonington Selectman Kate Botella, Town of Stonington Selectwoman From: Keith H. Chapman, Evaluation Implementation Services LLC. Subject: Operational Audit Report Date: DECEMBER 14, 2016 I am pleased to provide the following operational and audit report to each of you, and wish to thank you for allowing me to interact, observe and work with the entire Town of Stonington General Government staff excluding the Police and Fire Departments. was fully satisfied with the cooperation, willingness and openness, of all the employees I in- terviewed, and was encouraged by the positive interaction of the various groups and Departments. While an overview of all Town Departments has been performed, it should be under- stood that have delved into a number of areas within a limited window of time, and have depended on the honesty, integrity and trustworthiness of those I have interviewed and have interacted with. I am providing the content of this report in a systematic process with close to a dozen primary categories being discussed as well as providing an overall assessment of each Department studied with recommendations and concerns contained throughout and at the conclusion the report. The order of presentation should not be perceived as a priority list, rather each section is to be viewed with equal value and weight. A summary of my Recommendations and Concerns appear on pages 24 25. Sincerely . :7 e5: 2% 4 PRELIMINARY ASSESSMENT LEADERSHIP The importance of knowledgable, professional and experienced leadership is critical for any organization to reach an optimum level of performance and equally important, to sustain that optimum level. The organizational structure of the Town of Stonington is challenging, as numerous leadership staff members are not appointed by the Chief Executive Officer (CEO). rather by other entities, and in some cases they are elected by the residents of the Town. It Should be noted that the ability to hire the best and brightest is hindered when the CEO iS not in control of the hiring process for all Director and Department Head appointments. Secondly, the fact that the (CEO) of the Town is an elected official holding the position for as little as a two (2) year period of time, hinders the Town?s ability to recruit and em- ploye the best and brightest, as many professional Managers, Directors and Depart- ment Heads will opt to seek employment within a more permanent CEO setting, such as a Town or City Manager. Reason being, the cost and obligations to relocate a family, leave a possibly more stable employment Situation and serve in a position with no guar- antee of employment beyond that of the seated Stonington First Selectman, is not viewed favorable by many professionals in upper management roles. Therefore the successful results of the recruitment effort in Stonington may be diminished. With these facts in mind, I have found that the some of the current Directors and De- partment Heads are Skilled administrators that appear to understand their roles and re- sponsibilities, address their staff needs, and have the ability to get the job done on time, professionally, and within the adopted Departmental budgets. On the other hand, some of the newer Directors and Department Heads appear to be struggling in leading their staffs due to several conditions that more tenured Directors or Department Heads seem to have mastered. For several of the newer Directors or Department Heads: Finance - Jim Sullivan, Administration Services - Vincent Pacileo and Public Works - Barbara McKrell their appointments were awarded while possessing little or no directly related municipal leadership or municipal management experience, and may be one of the con- tributing factors to the difficulties they have been encountering. Whereas, seasoned Di- rectors and Department Heads (Human Services Leanne Theodore, Assessor - Mar- sha Standish and Planning Land Use - Jason Vincent) have more easily overcome such challenges. Of significant concern is the realization that Standard Operating Procedures in writing, are generally not in place (see attachment When coupled with the decen- USA Ft can tralization of many of the services that support the operations of the using Departments, the challenges multiply for most Departments. The Chain of Command (see attachment within the Stonington organizational structure is not in place or disregarded, partially due to fragmented appointment struc- ture and past practices that result in conflicts (employees feel free to contact elected of- ficials to accomplish their individual objectives, rather than working through their imme- diate supervisors and visa-verse) the Town may wish to correct, to foster a more struc- tured leadership configuration. It appears that some employees either are not aware of the chain of command, have chosen to ignore it, or are unaware of the benefits it pro- vides. The organizational charts in attachment #4 compare the differences more clearly. My discussions with staff members, at all levels, reveals that the Town has not, prior to Mr. Simmons being in of?ce, placed any measurable effort in training or mentoring, with little or no encouragement in the areas of leadership, professionalism and communica- tions. New Employee Orientations appear to be nonexistent, with the newly hired employees essentially left on their own in gaining an understanding of their own Department?s op- erational processes, Town operations, the annual budget process, employee expecta- tions, management functions and so forth. DISCIPLINE It appears that Stonington has enjoyed a fairly successful history with little disciplinary issues needing to be addressed when compared to other Towns and Cities. The recent history of discipline takerf is limited, with several Departments free of this challenge en- tirely, while other Departments being faced with these tasks more frequently. The Town has recently dealt with several labor issues within the Public Works Department, with concerns raised as to the? thought process and timeliness of the Public Works, and Ad- ministrative Services administrations. It is difficult to evaluate the causes and actual events that generated the discipline(s) taken, but possible weaknesses in the process and procedures in the Toilvn?s handling of these personnel issues appear likely. The de-centralized Human Resource functions may have contributed to the less than desirable results when dealing with personnel actions, and an evaluation of the current processes and procedures may be timely. Excessive delay in issuance of discipline for damage done to Town property by employees is one example of questionable proce- dures and timeliness. STAFF MORALE The subject of employee morale is a key aspect of what separates successful opera- tions from inferior ones. Overall, the organizational morale of the majority of the De- partments is high and consistent. Most of the current employees indicated their satisfa tiorl level working for Stonington to be very impressive, with most either ?loving their Job or ?liking their job". This revelation, is an indication of Stonington?s uniqueness with other towns and cities not enjoying similar phenomenon. However, there is a difference between organizational morale and individual morale. There appears to be signi?cant frustration by certain individuals and groups within the Town employ, with the feeling, for example, within some of the clerical staff, that they are being viewed and treated with less value and respect than other employees and groups. The mid-management, in some cases, have felt the fallout with the elections and hiring processes resulting with inexperienced and limited knowledge of some new Department Heads being hired. Public Works employees seem to have taken sides in relation to the recent employee disciplines issued out and the acceptance of the current Director of Public Works; As previously mentioned, some of the clerical staff feel that they are under appreciated and viewed as less important than other Town full-time employees. This feeling appears to have merit, as this is the only group of employees that must punch a clock before and after lunch daily. They are the only group working in the Town Hall that must punch in prior to the work day and at the conclusion of the work day, all others enter their time manually onto the system. Additionally, the work performed by this group is more aligned with those in the industry being identi?ed as Administrative Assistants, not Clerical. The title of Clerical is dated, and was appropriate when ?le clerks and secre- taries performed basic, one dimensional tasks, generally allowed to do only what they were directed to do. Today, these same Stonington employees are performing higher level work, without direction, and often sharing the entire office work load on a daily ba- sis with their supervisors. These changes in the daily work assignments have, in all like- lihood, helped the Town avoid expanding on the staff levels, thus saving the Town signif- icant dollars, that may be appropriate to be shared with this group in the future. In viewing the Unaffiliated (non-union) upper level staff members, it appears timely for a Salary Study to be performed, to assure this group of employees are compensated fairly and equitably compared to their counter-parts in similar towns in Connecticut, and within the Town itself. The need to address the compensation packages of the Adminis- trators of the Town may avoid the departure of quality, professional, competent key staff members, that can result in costly and less than desirable replacements. While these issues may seem trivial to some, for those experiencing them, they are far from trivial. It is clear that the Town is recently transitioning away from the toxic work environment of the past 4 or 5 years that resulted in close to a dozen excellent employees terminating Town service. These untimely departures have left the Town?s operations at a loss, with new hires continuing through a timely learning curve. The recent changes in Board of Selectman and within the Administration have, in some areas, such as the Planning Land Use, Human Services and Solid Waste brought consistency and professionalism into the operations, with evidence of the prior damage done still lingering within some of Sci 26 1i, 'r "s {can}; "5 the staff of the Town. However, over time, with patience and understanding this situation should diminish. STAFFING LEVELS In attempting toggain an understanding of the Town?s current staffing levels, each em- ployee was afforded the opportunity to express their thoughts, through private inter- views, on any issues they felt comfortable discussing. Very few indicated that the cur? rent staffing is inadequate, with many indicating that expanding their own assignments and responsibilities may be more cost beneficial, timely and appropriate, to avoid ex- pansion of the staff and the related additional costs. It appears that the Town is not under or overstaffed, with most every employee working hard to meet an acceptable level of customer service and demands their various De- partments face daily. A review of the demographics of the staff reveals that many employees will reach the age and time-in-service retirement requirements over the next 3?6 years, for which the Town needs to begin to prepare for the creation of a well thought out Succession Plan. The Town may wish to develop a realistic employee replacement plan for staff members that in some cases have worked for Stonington 35 to 40 years. The institutional knowl- edge and experience that these employees, such as Town Clerk Cindy Ladwig, Asses? sor Marsha Standish, Solid Waste Manager John Phetteplace, and Emergency Opera- tions Director George Brennan will take with them is substantial and not easily learned, transferred or duplicated. The areas where employee expansion or reduction are suggested are outlined later in this report, Department by Department. STAFF TRAINING There is a concept that the private sector adopted years ago, that municipal government is just coming to realize: ?The cost of training is far less than the cost of not training?. if the private sector were to operate as poorly and inefficiently as many in the public sec- tor, those private sector entities would go out of business. Many entities within the public sector fail to recognize that revenue through taxation will and is continuing to diminish, with that reality only now, being recognized as significantly impacting on all Towns and Cities. Municipalities have only recently begun introducing the concept that, in fact, they are similar to the private sector when it comes to funding for expenditures. However, for years, if municipalities failed to be cost conscience and provide the best customer ser- vice, they would blame their failures on the lack of funding and staff, raise taxes and feel comfortable that they had a captive audience of businesses and residents footing the bill. The northeast had been guilty of this shortsightedness and has reduced both its DRAFT DRAFT business and residential bases. The State of Connecticut has been extremely hard hit, with its southeastern region of the State being devastated. Fortunately however, Ston- ington has continued to prosper. I raise this issue under the heading of Training, as the Town?s future rests with the goal of substantial Economic and Grand List growth as well as maximum cost containment, for which every employee must realize and be trained to understand and implement. Training of Employees in an effort to reduce costs while increasing productivity, must be introduced throughout the Town. One avoidable action or injury, due to the lack of training or safe working conditions can cost the Town millions of dollars in unnecessary legal claims. Productivity can be enhanced greatly by studying and implementing best practices in all aspects of the operations. Thinking outside the box must become the norm, rather than the exception. Elimination of duplication, archaic practices and less than optimum customer service must be the focus of all employees, as well as elected and volunteer representatives, to create the absolute best service at the absolute mini- mum cost. Stonington appears to be holding on to some traditions and practices that if curtailed could result in reducing avoidable and unnecessary costs for the tax payers, while in some cases, increasing productivity and service delivery. STAFF COMMUNICATIONS Upon my arrival to the Town of Stonington, at our first ?training? staff meeting, I asked all upper level management staff members to identify the primary Goals and Objectives of the Town of Stonington. Their responses were few and inconsistent. It did not come as a surprise, as instilling goals and objectives on a Town-wide basis is not an element that is generally promoted in the public sector. Yes, each Department had an idea of their individual challenges, but, Town-wide, due to a number of factors, the message fails to be captured and conveyed to the remaining staff members. It is difficult for staff to ac- complish the Town-wide goals and objectives if they are not in the forefront and com- municated to every employee. Setting realistic goals and objectives within a reasonable timeframe, can result in successes that all employees can contribute to, and in-fact en- joy in the successes. The aspect of communication through technology is lacking, at this time, throughout the Town. Numerous suggestions were made, by the staff, such as within the Finance func- tion where items as financial reports on a quarterly, or more often basis are sought, but in some cases never obtained. The Departments that have similar interests in the Permitting, Inspection and Code Compliance areas need to be able enter data, retrieve data and share data to create professional, accurate message to minimize du? plication, errors and repetitiveness. These needs are ever growing in the Information Technology function and must be addressed as soon as possible. An area of concern is the de-centralization of the team of managers within the Town. The bi-weekly Staff Meetings held by the First Selectman fail to include representa- tives from the Police, Fire, Health, Registrar of Voters, among others. Two of the three 3 f6 ., 1! it largest general government Departments, Police and Fire are not represented, and therefore, a breakdown of communications is bound to occur. The recent activations of the Emergency Operations Center failed to have all First Responders represented, a less than desirable situation. To obtain the concept of all employees and volunteers working towards the same goals and objectives, plus being able to share thoughts with the entire team, all Departments need to be, on occasion, in the same room, at the same time. It may be helpful to invite all Departments to a quarterly Public Safety Com- mittee meeting, to update all parties on pertinent information in a more timely basis. Through interviews of the employees, some members of the clerical and mid-manage- ment groups feel that they are left out of the process, due to pertinent information either not shared from their superiors or the entire Department not being informed. This Lack of Information is frustrating for those working directly with the public, as they are un- able to converse intelligently when ask by the public about matters that are in the media or already on the street. The more the staff is informed, the more the public will receive responses to their inquiries in an accurate and timely manner. It may be advantageous for the employees, elected body and general public to receive a Department Head authored Progress Report, on behalf of the First Select- man, that would re?ect the activities of each Department on a basis. (see at- tachment The report would indicate the consumption of all man hours by project, program or off-line time, the accomplishments of the preceding month and the on-going progress and challenges planned for the foreseeable future within each Department and in collaboration with other Departments and entities. The department progress reports would be consolidated by the First Selectmen's office and issued by the seventh (7th) of each month, from the First Selectman office. The consblidated report would be distributed to all Department Heads, elected and appointed bodies of the Town, the me- dia, as well as placed on the Town's web site for public reading each month. The result would be a consistent way of communicating, creating a historical record of each De- partments ongoing activities and serve as a reference moving forward. i would antici- pate the entire document to consist of an average of 10 to 15 pages each month. This is an example of how bene?cial expanding the Information Technology function could be for the Town. POLICIES and PROCEDURES There appears to belittle in writing dealing with policies and procedures with many De- partments depending on institutional knowledge in managing the daily operations, while meeting their various Department obligations. While this approach appears to be ade- quate currently, it may become problematic due to the large number of departing em- ployees from Town service, over the next several years. . 7 It is strongly recommended that all Departments initiate Standard Operating Proce- dures for all processes, from the simpleness to the most challenging. The re- sult would create a reference guide of their various responsibilities to assure that the use FT DRAFT future transitions of staffing proceed with minimal interruption of the overall Town?s op- erations while providing maximum customer service. As the are developed, each Department should create reference manual for office use, and a copy of each should be provided to the First Selectman and Town Clerk for their files. (see attachment TEAM WORK It appears that Team Work exists within most Departments, but there appears to be voids between Departments. This situation is undesirable, with some voids evident and impacting the operations. The Town, until recently, did little in the way of team building or any other management/leadership education or encouragement. This may have been a result of the lack of realization that there exists challenges that may not have surfaced until now, but they will not now be eliminated without being addressed. It is timely for the Town to focus on this topic moving forward, particularly with the pro- jected new hires and promoted employees over the next several years. The bi-weekly staff meetings being held Mr. Simmons, since his election, have been attended and re- ceived well by the staff, with many saying they were long overdue. DEPARTMENT OVERSIGHT Department oversight is of concern, as it appears that not all operations of the Town are under the purview of the CEO and his high level staff members. The way in which some Department Heads are selected (appointed vs elected) and what entity makes a particu- lar appointment, all contribute to the challenges the CEO faces in assuring all Depart- ments are working in unison in accomplishing the Towns goals and objectives. It is rec- ommended that efforts be made to close the gaps currently occurring with regards to Who?s in Charge and who is responsible, as it is not clear with potential problems like- ly to occur it not addressed. The organizational chart indicates the fragmentation of au- thority, as compared to other communities. (see attachment Recognizing that the Town has traditionally afforded Director and Department Head ap- pointments to be made by others, not the CEO, (Police Chief, Assessor, Tax Collector, Town Clerk) it is recommended that this practice he reevaluated. Numerous issues raised in this report may be attributed to the fact that there should be only one person in an entity such as Stonington, who has the final authority and responsibility for the Town?s operations, resources, staff, management and leadership. The manning of the Town?s Emergency Operations Center, the recruitment of the best and brightest, setting and implementing the Town?s Goals and Objective?s are just a few of the weaknesses and failures being experienced with the current appointment process. DRAFT DEPARTMENTAL ADMINSTFIATIVE SERVICES The Administrative Services Department consists of Human Resources, Information Technology, Sanitarian and the First Selectman?s Administrative functions. The staff consist of three (3) in the Administrative Services of?ce, two (2) in the Information Tech- nology Services, one (1) as the Sanitarian and one (1) in the, First Selectman's of?ce. This Department also oversees the Community Development Program as well as the Capital Improvement Program in conjunction with the Capital Improvement Program Committee. The Administrative Services Department is currently headed by a five (5) year incum- bent, with the previous Department Head serving the Town for 42 years. The Director also serves as the Personnel Officer and represents the Town in the Collective Bargain- ing process with the employee?s representatives. It is apparent that the new Director is approaching the role differently than his predecessor, with his approach is to tackle each challenge and change in a systematic process, for which some Town staff mem- bers are struggling to adjust to. The de-centralization of the Human Resources functions, whereby the individual De- partments are heavily involved in the hiring, promotion and termination of staff, as well as the discipline aspects of employees are brought into question. Concern is raised re? lated to the adherence of Town, State and Federal regulations, adherence to the Town?s personnel policies and rules, as well as the collective bargaining agreements. This Department may wish to provide more timely and thorough information, guidance and involvement, with the full engagement by this staff providing the full range of Hu- man Resource services to the using Departments. As mentioned previously, the Town staff needs Constant and Continuous Training. This Department should take on this task, to assure consistency and timeliness of such training that apparently has been left to the individual Departments over the years. As a result, little training in some Departments has been provided. The creation and imple- mentation of an Unaf?liated Staff Annual Evaluation could serve as a valuable in- strument for the upper management in accomplishing the Town?s Goals and Objectives. As previously noted the Information Technology Division (IT) Staff will need to in- crease, as the Town expands its technology expectations and capabilities. The Town, as is the case in many municipalities, is increasingly becoming more dependent on com- puters in carrying out the day to day functions of the Town. An additional staff member in am the information Technology Division would provide the opportunity for training of existing and new employees to assure that all staff are fully familiar with the capabilities con- tained within the information technology infrastructure as well as enhancing the inter and intra Department communications. The general public will bene?t as this technology expands to afford information through technology while visiting the public facilities as well as from their home or office. Currently, there are growing needs for technology ex- pansion and technology training. However, due to the limited staff neither challenges are being adequately addressed. ASSESSOR The Assessor office appears to be conducting its daily activities in a most professional way, with the Department Head and staff well qualified, engaged, and providing quality customer service. The Department is served by four (4) full-time employees, all appear- ing to be well equipped to perform their duties. The Tax Assessor serves as a Director with a second-in-command currently contained within this Department. This particular Department Head is one that is not appointed by the CEO, rather by the Board of Finance that, at this time, appears to be fully quali?ed, well versed and a quali- ty leader. Her replacement however, when the incumbent departs service with the Town, may not result in the same level of proficiency, if the CEO is not making the appoint- ment. BUILDING OFFICIAL The Town has just completed the promotional process of the Building Official, and is currently recruiting for a Assistant Building Official. The Department is served with a Administrative Assistant and the Department has apparently maintained its inspection requirements as required by the State of Connecticut. A concern identified is the lack of Closure of Building Permits issued with many per- mits remaining in an open status for extended periods of time. This situation appears to be a result of permittees not calling for timely inspections and completion of work per- formed, coupled with the inability to track open permits through automation and follow- up inspections by the Town staff. It should be noted that this is a common occurrence in many municipalities. However, it is viewed as an area that needs to be address with best practices in the timely closure of outstanding permits being implemented. Once the hiring process of the Assistant Building Inspector is complete, the closing of open permits should be placed on the Department priority list, with the assistance of the IT Division. NH 17"? i FINANCE The Finance Department oversees the purchasing, payroll, accounts receivable! payable, financial record keeping, annual operating and capital budgets, ?nancial in- vestments, collection of taxes, fees and assessments. The Department also serves the Board of Education (on a limited basis) and represents the Town as its Risk Manager, as well as oversees the Tax Collector and Town Treasurer. The Department is served by eight (8) full-time employees and is undergoing operational changes under the oversight of a recently hired Director of Finance/Chief Fiscal Officer. As with the Administrative Services Department, certain functions under the control of the Finance Department have been decentralized such as the purchasing process. The using departments are afforded the ability to purchase most items for their Departments, with little daily involvement by the Finance Department. Concerns are raised in relation to the adherence to the Town's rules and regulations. There does not appear to be a Purchase Order System in place, for items costing less than $5,000 with items pur- chased, received and placed into service without the full knowledge of the Finance De- partment, until the invoice is processed for payment in some cases weeks after the de- livery is made. This practice may be expedient, and successful, but the Town runs the high risk of being obligated to pay for products and services that may inadvertently ex- ceed bid limits and budget allocations and incur the possibly of Departments not doing their due diligence in obtaining the best products and services at the lowest prices. The Town may also wish to establish a Permanent Bid Limit rather than determining the level annually, to avoid confusion or in the extreme, avoid a violation of the Charter. A survey of numerous employees revealed few knew the bid limit, currently set at $10,000. It would also be advantageous to require Three (3) Written Quotes for pur- chases between $2,000 and $10,000, and Three (3) Verbal Quotes for purchases be- tween $200 and $2,000. Implementing these changes will result in a more professional approach in the Procurement Process for the Town. Towns such as Newington, Wind- sor, Manchester, Hartford, New London and many other in Connecticut utilize such perimeters. In assessing the anhual operating budget process, few employees perform a complete budget development process annually. The Town may wish to require all Departments create their annual Ebudgets utilizing a Zero Base Budgeting approach at least every five (5) years, whereby all dollars proposed within each Department operating budget are built from the fanding level of zero, rather than adjusting the dollars adopted from previous years. This approach coupled with an in-depth Line Item Budgeting review by the First Selectman and Finance Department Administration will assure all dollars sought, are in fact necessary, appropriate and unduplicated. The Department Heads should also create their complete operating budget annually, rather than the current process whereby the Finance Department, in conjunction with the Administrative Ser? vices Department, provides all personnel costs to each Department Head. There is sig- nificant value added when Department Heads are fully aware and must justify, in detail, their personnel costs. If the above enhanced procurement and budget processes were to be implemented, expansion of duties of current staff would be required, or a new staff position of Pro- curement and Budget Administrator in the Finance Department seems appropriate. it appears timely to create the title of Deputy Finance Director as the dutiesthat are currently shared between the Director and the second in command, Senior Accountant, calls for the Senior Accountant to be promoted to the Deputy position, as this employ~ ee?s role has grown significantly over the past several years. HUMAN SERVICES Human Services consist of Children and Family Services, Social Services, Recreation and Senior Services functions with a staff of six (6) full-time and one (1) part?time em? ployees. The Department appears to well managed, highly productive and well respected by oth- er staff and the general public. The Department Head, a person that has come up through the ranks, provides an good example for all to realize that hard work, education, and determination all contribute to the making of a good leader and manager. The former Police Department facility and its location adjacent to the Spellman Sports Complex as well as the Stonington High School creates a perfect headquarters for the Human Services operations. The building provides adequate space currently and should address the needs of this Department for the foreseeable future. Several areas of concern looking forward as they relate to this Department is the future level of services provided to the Senior population throughout the Town. Additionally, the Town?s Pawcatuck Senior Center is occupied and controlled by a non-profit, with the town currently Renting Space for certain senior programing from private property own- er(s). This situation may be worthy of re-visiting to assure the Department?s needs are met at the lowest possible cost. Secondly, the Town, School Department and Beautification Committee have expressed their frustration with the current MOU that was intended to satisfy the grounds mainte? nance issues that the Recreation function is heavily depended on, with the current MOU failing to ful?ll the objectives, disappointing all involved. (see Public Works) Another issue that the Town may wish to address, deals with the services provided to Pre-School children served by the Town, currently being housed at the High School. The demand for service is greater than the current capabilities of the Department to de- liver, with a possible solution being increased staffing hours, from part-time to full-time, and increased fees to offset these additional costs. 13 on7 JP i HM. DRAFT PLANNING AND LAND USE Currently, there are five (5) staff members assigned to the Department that involves Economic Development, inland Wetlands, Zoning Enforcement and Long Flange Plan- ning. The Department appears to be highly motivated, engaged in their missions and committed to growing the Grand List in a strategically planned and well thought out process. The Department Head, Jason Vincent, being fairly new, and a returning employee of the Town, has encouraged and lead his staff in such a way that all staff members appear to be motivated, professional and well equipped in getting the Department?s goals and ob- jectives accomplished in a timely manner. There is a strong desire by this Department to create a One Stop Shopping experience for perspective developers and investors for the most expedient, enjoyable, simplified process whereby all issues are addressed by the appropriate Departments, free of sur- prises and in a timely manner. This concept is encouraged to insure that planned Eco? nomic Development is and remains a high priority for the Town moving forward. It may be appropriate for the Town to consider establishing a formal policy or SOP, that the Building Official, Sanitarian, Water Pollution Control Authority and Public Works be- come part of the Planning and Land Use Department?s Recruitment and Retention of Economic Development process to ful?ll the objective of one stop shopping, since these functions and services are generally part of most every economic development proposal and The Director of Planning Land Use, would be expected to fa- cilitate and convene meetings as needed. PUBLICDWORKS Public Works is the third largest paid Department of the Town, behind the School and Police Departments. The Department consists of 23 employees including Administra? tion, Highway, Mechanical Maintenance and Facilities Maintenance. This Department, as with the Finance, Administrative Services, Human Services and Planning and Land Use Departments is lead by a fairly new Department Head, who has a limited back- ground in Highway and Fleet operations and has been faced with significant employee issues that have divided the Department and to some degree the Town as a whole. ET This Division consist of the Director of Public Works, Town Engineer, Highway Supervi- sor and 1/2 Administrative Assistant. The challenge facing this Division is a major reor- ganization of the processes and oversight of the entire Public Works Department. The Department needs to approach the various operating functions on a seasonal basis us- ing the Annual Calendar as the basis for all programing. This approach, if implement- ed, will assure the timely delivery of services to the Community, and minimize the costs. The Town?s 2016 Annual Leaf Collection program, for example, is the first program that now, has a written SOP, that has been printed and distributed in advance of the com- mencement of the program this year. All programs, as the year proceeds should be cc- ordinated in a similar manner.(see attachment In viewing the overall Highway operations numerous challenges are timely to address. Within the Highway operations itself, there appears to be conflicts between members of the staff that are or may become problematic as it appears that about 25% of the staff is in conflict with the direction the Director wishes to take the Department. This situation needs to be recti?ed as its continuation will hinder the forward motion of the Department Administration: That being said, I found the Department, overall, responsive to the challenges it faces, with a fairly good snow and ice response plan, with the staff aware of the importance of quickly responding to snow and ice conditions on the 110 miles of Town roads, based on the interviewing of the entire staff. As with all municipalities in the northeast, snow and ice response is the priority above and beyond all other operations, with Hurricanes and Floods of equal importance. However, with much less frequency. The Department must build its operations around the Worst Case Scenario, snow and ice, and build its work force and equipment to handle that occasional winter blizzard that hits the Connecticut coast line. By using this approach, the remainder of the Depart- ment?s work within the Highway Division can then be addressed and planned with cer- tain success as the resources will be in-place. In assessing the Mechanical Maintenance Division operations, several concerns are raised. The staff size, working conditions, environment and work space is less than op- timum, safety is at high risk and security is non existent. The two (2) mechanics assigned to this function are at times left alone while working underneath, inside and on top of equipment placing them in dangerous situations it something unexpected were to happen. During snow storms, one mechanic historically has been assigned to a plow truck, leaving the other, at times, for hours, alone in the repair garage with, and at times, no ability to call for help it a serious injury were to oc- cur. The expansion of the staf?ng level should be considered if the Town wishes to ser .9. Al vice the vehicles and equipment in a safe and timely manner. Additionally, the extent of the types of repairs being performed should be reduced due to space restrictions, with major repair work more appropriately contracted out, until a larger modern work area is secured. Minimum Staffing is a topic that needs further discussion and action prior to a serious incident occurring. At the very least, monitored active video cameras throughout the work area are encouraged, or minimally ?Help me, I can?t get up? alert buttons. The repair garage area is cluttered, lacking Basic Housekeeping, with equipment, parts and materials stored haphazardly creating tripping hazards, narrow walkways, with no control of inventory evident. The various store rooms are cluttered, in disarray and open to anyone entering the building. There does not appear that any type of current Audit of Replacement Parts inventory in place, with obsolete parts mixed in with newly purchased parts. The software_pro- graming, for vehicle repair record keeping, is minimally utilized, and is of little value to management as the information is sporadic and incomplete. A recent investigation of vehicle readiness revealed that there were no leaf collection or snowplow vehicles prepared as of October 20th. This revelation was troubling as the leaf program starts annually on or about (October 30th, with snow possible by November 1 5th. A best practices rule of thumb for this Division is to focus on the needs of those served, being at-least one season ahead of the seasonal calendar. In other words, Winter equipment must be in a ready status prior to the conclusion of the Autumn Season. Spring equipment should be prepared during the Winter months, and so forth. By im- plementing this the policy, the Town should seldom be caught off guard with the High- way Division unable to perform their assigned work due to equipment in a non-ready status. Mr Ei The other component that must be in-place for continuing and constant success by the Highway Division rest with a modern Motor Vehicle Fleet inventory. Currently, assess- ment of the fleet reveals an aging, undersized inventory of vehicles and equipment. The effort to create and implement a Vehicle and Equipment ReplacementIDepreciation Inventory Schedule will assure the fleet remains in a right sized, ready, modern and in a reliable status moving forward. An additional bene?t of such a plan could level off the annual expenditures for vehicles and equipment avoiding peaks and valleys of the nec- essary funding annually. This Vehicle and Equipment Replacement/Depreciation Inven- tory Schedule is currently under construction by the Department. It is estimated that $320,000 annually should be placed into the CIP for DPW vehicle replacement. It is strongly recommended that the Town implement a fteet-wide Global Positioning System (GPS) for ail existing and replacement motor vehicles as an additional man: agement tool, assisting in the tracking and recording of ail motor vehicle activities. This tggof 27 HA information system will provide the priority of management having the ability to instantly learn the whereabouts of all vehicles to assore? all ?f??p?loyees are safe when on the road, in harms way during normal and emergency ?rations. The men and women of the Public Works Department are asked to serve during the worst weather conditions, with many working, on the road, alone for extended hours with their location and status unknown for much of the time. Knowing their exact locations at all times, can be critical when and if an injury, illness or otherdisasjer'OEQOELjEs?eing able to quickly respond to the employees needs. The monitoring of theroutiijg?fconsumption of time, fuel usage, idle time and so forth, can all provide opportunities to reduce costs while building a more efficient operation. 5 I A basic premise of all DPW municipal operations in the Snow Belt of North America is that the priority, funding, staffing levels and ?eet con?guration must be focused on the response and ability to handle the worst-case scenario .Of. Snow and Ice Storms. The entire DPW ?eld staff must be oriented and trained on an annual basis to assure everyone knows their role and responsibilities to prevent any failures that may then ex- pose the Town to law suits, accidents or injuries. Training of these snow ?ghters must be constant. updated and tested to assure I10 vo'iglsfexist. Newly hired Highway and Mechanical Maintenance employees must have to perform the duties for which they are hired, with only the best and brightest being employed in these demand? ing and dangerous jobs. The snow plowing salting routing system, developed and monitored by the Depart- ment, is a ?uid instrument that requires conStant ?adjustment and tweaking as road mileage and other conditions evolve. The routing must take into account such items as commercial and residential development, the changes in traffic ?ow, school bus routing as well as the intensity and frequency of storms impacting on the Town, along with the availability of manpower and equipment. If the DPW is equipped to address the occasional blizzard that hits Stonington, it is a good bet that the Department will be able to, handle, most every other challenge it may ever face. The snow plowing and salting routes appear well balanced and reasonable in length, with an adequate, but aging motor vehicle ?eet. Currently, the Department takes its cue from the Police as to when to activate the snow and ice operations. This needs to be a responsibility of the DPW in making that decision. All trucks need to be stationed within their assigned routes prior to the snow or freezing rain arriving. Pre-treating the roads with salt will reduce potential accidents and assure that the drivers are on duty, rather than having them driving to the DPW Complex on slippery untreated roads, pos- sibly failing to respond when called. The Police should certainly alert the DPW when they come upon dangerous situations. However, in responding to a predicted snow or ice storm, DPW should be activated well before the ?rst flake of snow arrives. The use of a Weather Service coupled with a municipal contact 50 miles to the west of Stoning- ton would serve as the best noti?cations of incoming storms. Emit i3 that?: Limb Street Rights-of? Way Infrastructure Improvements: Other seasonal activities of the Highway ?DiVision appear to address the general street rights-of-way maintenance obligations. However, the miles of roadway pavement, curbing, drainage, sidewalks, lighting, signage etc. Vzaie' entrently not in an overall ac- ceptable condition. Deferred reconstructiOn, drainageigriiprovem?ents, as well as improp- er width, poor elevations, minimal base materials andso forth need to be addressed as part of the Town?s street rights-of-way maintenance program. With 110 miles of roadway owned and maintained by the Town, and a realiStic life expectancy of a Twenty (20) Year Life Cycle for road surfaces on properly constructed streets, the Town must fully fund an average of five (5) miles of road improvements annually (110 miles I 20 years 5+ miles annually). Naturally, the Utility?o?mpanies will need to be an integral part of any long range planning involving the Town?s right-of?way improvements. This suggestion of ?ve (5) miles of road improvements annually is substantial, but if not done, the road system owned by the Tom? Will eventaaiiy orumble and fail, with the Town facing major funding issues, and pessible litigatinh in the future. It is projected that an annual funding level of $2,500,000 may be needed to accomplish the 20 year plan. It is suggested that the Town may wish to institute, from this point forward, the Town?s adopted Technical Standards for Land Developn?iebtk Road Construction that is imposed on developers and contractors, when its own rights?of-way in- frastructure. In addition, the Town needs to complete the ADA Sidewalk Study it is plan- ning, and incorporate those improvements into theoveralizo year plan. The roadway system cannot be permanently improved utilizing crack seal, chip seal and so forth. These methods only cover-up the problems, and do not correct the problems. in some cases roadways have excessive crack sealing only to find upon inspection, new cracks next to the crack seal material previously installed. One ?nal suggestion as it relates to the infrastructure Is that the Town may wish to con- sider Banking the Funds that developers spend on such items as sidewalks. For ex- ample, if the sidewalks required by the Technical Standards for Road Construction are not appropriate or timely to install at the time of development, those funds that a devel- oper would have ?expended installing the sidewalks, instead, be collected from the developer and placed into a reserve fund for future sidewalk expenditures, when it is deemed, by the Town, to be appropriate. In addition to that mentioned above, the Highway Division is currently responsible for all grounds maintenance of all parklands, athletic ?elds, cemeteries, schools and Town property for all aspects of lawn and landscaping maintenance. This particular responsi- bility apparently is not meeting the expectations of the community with signi?cant com- plaints, missed time schedules, poor maintenance of athletic fields and, at times, un- mowed and littered town properties. It appears that this responsibility may be timely to undergo a Multi- Departmental Study, pOSSIbly creating a separate, stand-alone Grounds Public Property Maintenance DiviSion to concentrate solely on Grounds Public Property Maintenance, rather than competing with the other responsibilities of the Highway Division. 7 A MultI-Departmental Study involving, at minimUm, the Public Works, School and Hu- man Service Departments should be undertaken with the goal to centralize the respon- sibility of all grounds public property maIntenance and repair under one jurisdiction. However, during the off-season (IMnter) all assigned personnel should become part of the DPW to assist in the winter operations. [2 EB. .M. TE. TOWN HALL COMPLEX: The Town Hall is a stately building with significant history. Over the years there has been improvements made to conform to the building codes and ADA requirements. The utilization of the building is to capacity with many work areas in need of additional space. The condition of the overall building is dated with continuing efforts made to cre- ate an aesthetically pleasing appearance. However, the Town Hall and Human Services Buildings are cleaned and maintained by a workforce of one (1) with additional duties performed at the Public Works Complex on a limited basis. At some point in the future the Town may elect to expand the work force with Enhanced Seasonal Cleaning, maintenance and improvements in an effort to preserve the structures and accomplish objectives in a more timely manner. There may be an opportunity to create additional space within the Town Hall, by moving the majority of current Public Works Administrative functions to the Public Works Com- plex. The Director, Highway Supervisor and Administrative Assistant could occupy exist- ing space within the Public Works Complex which should enhance the oversight and communications within the DPW. This change coupled with possible relocation of the Registrars of Voters could free up the valuable Space Needed Within the Town Hall. If these changes were to occur, the Town should consider creating a ?le storage room, shared by the remaining occupants of the Town Hall, as the offices throughout the build- ing are cramped, poorly organized with paper record keeping poorly managed and ex- posed to mis-placement, theft and accidental disposal. FE tint {Mt-1th.; PUBLIC WORKS COMPLEX: ,5 The current conditions of the Mechanical. Maintenance Repair phrtion of the Public Works Complex lends itself to a discussion far the ,futut?-Las both the Highway and Me- chanical Maintenance operations are sharing a faCiIityithat Serves neither entity ade- quately at this time. It may be of value to find alternative space, ,oca'ting the Repair Garage, affording the Highway operations more parking stalls for gthe major pieces of equipment presently bei stored outside. At this time, much of the front line emergency response apparatus for now and ice control, are stored t'outdoors bn a year round ba- sis, with premature equi ment failures raising the cost of the Department?s operations. The overall conditions the Public Works Complex are less than desirable, with housekeeping and mod mizing the facility timely. The interior of the buildings are not utilized to their full potential due to poor organization and cleanliness. These conditions are similar of the exterior areas as well, with an poorly controlled storage of materials and supplies. The fuel station is poorly protected from vehicle movement, with the need to control traffic flow through established travel and staging lanes. It is recommended that the Town Engineer, if qualified, working with the Public Works leadership, evaluate, design and implement a complete overhaul of; the property to pro- vide a aesthetically pleasing appearance from the pubiicroadway, as well as proper di- rectional lanes for thosie entering to fuel and those utilizing the compound. In addition, the storage of materials and supplies should?be consolidated into the far east comer of the site, with the vegetation along the public roadway serving as fa natural blind. The roadway around the frontage should be fenced with an attractive 85 by 8 wooden fence system with the V?Plovv removed from public viewing, being replaced with an attractive wooden informational sign, alerting residents to thezservices within the compound. It is suggested that the Department visit other municipalities within?the region to evalu- ate the existing designs of similar use buildings, to determine how best to proceed with designs for Stonington?s DPW complex. The Town should consider attempting to Conform to the Town?s Zoning Regulations in the use of its own properties. The Town should be subject to the same restrictions and controls the Town requires of others, to set a good example and to enhanced its own properties. HUMAN SERVICES COMPLEX: The Human Services Building is in fairly good condition with the need for enhanced cleaning and maintenance recommended as this building is utilized by a large number of citizens on a daily basis, with such items as painting, storage and cleanliness all needing attention. The ?day room? design lends itself to expanded utilization for public meetings and serves wonderfully as a staff room for the Town Hall and Human Services staff members. BUILDING MAINTENANCE AND REPAIR: All Town buildings should fall under a Replacement and Improvement Program simi- lar to how vehicles and roadways are proposed t9 be managed previously' In this report. The Life Cycle for such infrastructure as roofs, HVAC, carpeting, painting and so forth should be projected to address the annual needs with a level of funding con- tained within future CIP budgets. The Town has recently incorporated software for plan- ning such improvements, and by committed funding at a constant level annually, utiliz- ing a Resewe Account for major expenditures the Town will eliminate the peaks and valleys of annual funding, set aside major dollars unhl eSIpended, while addressing the needs of the Town in a systematic approach. It is estimated that $500, 000 in annual funding be placed in the CIP for planned building maintenance and repair improve- ments. The recently purchased Facility software should'aid the Town in this challenge SOLID WASTE While the current configuration of a separate Solid Waste Department may not be tradi- tional when compared to other communities, it seems to work in Stonington. That being said, an assessment of the Department shows a very well operating seven (7) man team of employees each being committed, dedicated and working as a well oiled machine. Since this Department is operating atsuch a high level of success the rational of keeping this operating separate from Public Works appears logical and is supported. SANITARIAN The Sanitarian works as the Agent of the Director of Health. However, is under the di- rect supervision of the Director of Administrative Services for the Town. Currently the day to day operations are handled by its only employee, and on occasion the Depart- ment is augmented by other full time staff or the hiring of independent contractors. The primary duties include the inspection of food establishments, public swimming pools, special events food vendors, issuing of permits of installation and failures of septic sys- tems within the Town, as well as responding to any Health related emergencies that may arise within the Town. There are over 150 food service establishments that must be, in most cases inspected 4 times annually, 25 public swimming pools inspected annually, 25-30 special events each year involving food vendors and an estimated 30 to 40 septic systems inspected on an annual basis. The fact that there is only one (1) employee performing these dutiesWig-:3 ?1 I: need to Expand the Health Department Inspection Staff with another full time inspec- tor appears timely. It should be noted, that while limited funding for contractual services to perform inspec- tions and to serve as backup to the Sanitarian is contained within the annual budget, the insurance requirements set by the Town makes it cost prohibited for most independent contractors, to serve the Town. The Town may Wish to pram-re the necessary insurance coverage. The Special Events that are scheduled and occurring in the Town need to be reviewed through a process that all appropriate Departments evaluate and endorse the Event to avoid the Town and any Department from being?blind sided. It is suggested that a select group of Town Department representatives comprise a ?pecial Events Committee to serve as the evaluators of all Special Event requests within the Town, with each appro- priate Department approving each request. The First S?lectman, Pblice, Fire, Public Works, Health, Solid Waste and Planning DepaMent's 'should minimally be members of this committee and meet as necessary to assure all requirements and regulations are ful?lled. The First Selectman?s Of?ce should convene and chair all meetings to assure the Special Event is not in con?ict with other activities of the Town and is in the best in- terest of the Town overall. TAX COLLECTOR The Tax Collector?s of?ce, a Division of the Finance Department is one of two opera- tions that is served by an elected Division Manager, with the possibility of the Town?s voters electing and employing an unquali?ed, incompetent Division Manager that may adversely impact on the permanent staff and quality of services provided. This reality is concerning and has the potential to adversely impact on the staff for up to a four year period or beyond. Currently, however, this Division?s Manger and staff are performing well and professionally, based on queries with the citizens, business owners and staff members. The office is staffed with three employees. However, there is no Second-ln-Gommand. with all staff members sharing the work load an a daily basis. The fact that there is no second-in-command places an undesirable challenge on the Tax Collector that could relieve some of the pressure and anxiety, by the staff, if one of the two clerical staff members were designated to serve in such position. 22 ?TOWN CLERK The Town Clerk?s office a Department that is served by a competent well experienced elected Department Head along with two (2) full-time employees, with the same chal- lenges as the Tax Collector?s of?ce. It is recommended that a Second-ln-Command be created to address the similar challenges. Secondly, the relationship between the Town Clerk?s office and the Registrar of Voters office, a two (2) person part-time operation could be enhanced. Currently the Registrars office is operated on a part-time basis, with the Town Clerk?s of?ce providing back-up when the Registrars of?ce is closed. This situation is not ideal for customers due to one of?ce located on the main level and the other on the lower level of the Town Hall. It may be bene?cial to consider Relocating the Registrar?s Office in the same general area as the Town Clerk's office for the convenience and professional customer service as- pect. This action may decrease the overall square footage needs. As previously pointed out the Town Hall is overcrowded at this time, and space must be created where possi- ble. WPCA (Water Pollution Control Authority) Based on discussions with the Administrator Doug Nettletcn of the WPCA, the respon- sibili?es and authority afforded to the WPCA are being handled professionally in con- formance with local, State and Federal regulations. At this time, less than 50% of the Town is provided service through the WPCA with the future being of concern. The Town and WPCA must Work in unison to assure the WPCA infrastructure is capable of expan- sion as the percentages of demand increase. Certainly, Public Works, Health and Plan- ning Land Useiof?cials must be active players in assisting the WPCA in the chal- lenges they face. iThe Town and Authority may find it appropriately for Mr. Nettleton to serve as a mentor? for someone possibly on staff that desires to learn how to become the WPCA Administrator in the future. CONCERNS AND RECOMMENDATIONS SUMMARY The following Concerns and Recommendations, have been compiled from the contents of this report and" In Bold within the body of the report. The page number' Is the location of the topic referenced The summary is not prioritized and each recommendation is based on an attempt to modernize, streamline, and address the various identi?ed de?- ciencies within the Town? PAGE 3 STANDARD OPERATIING PROCEDURES CHAIN OF COMMAND NEW EMPLOYEE ORIENTATION CLERICAL VS ADMINISTRATIVE ASSISTANTS UNAFFILIATED SALARY STUDY SUCCESSION PLAN EMPLOYEE TRAINING ESTABLISHING GOALS AND OBJECTIVES INFORMATION TECHNOLOGY EXPANSION FIRST SELECTMAN STAFF MEETINGS EXPANSION LACK OF INFORMATION PROGRESS REPORTS STANDARD OPERATING PROCEDURES TEAM WORK IN CHARGE PRACTICE BE RE-EVALUATED CONSTANT AND CONTINUOUS TRAINING UNAFFILIATED STAFF ANNUAL EVALUATION INFORMATION TECHNOLOGY STAFF CLOSURE OF BUILDING PERMITS PURCHASE ORDER SYSTEM PERMANENT BID LIMIT THREE (3) WRITTEN QUOTATIONS THREE (3) VERBAL QUOTATIONS ZERO BASE BUDGETING LINE ITEM BUDGETING PROCUREMENT 8: BUDGET ADMINISTRATOR DEPUTY FINANCE DIRECTOR SENIOR SPACE PRE-SCHOOL ONE-STOP-SHOPPING RECRUITMENT 8: RETENTION OF ECONOMIC DEVELOPMENT hi4? gI PAGE 1:1 111:! 1?1 1-: 1 111111 ANNUAL CALENDAR OPERATIONAL PLANNING WORST CASE SCENARIO MINIMUM. STAFFING BASIC HOUSEKEEPING AUDIT OF REPLACEMENT PARTS VEHICLE EQUIPMENT SCHEDULE GLOBAL POSITIONING SYSTEM (GPS) SNOW STORMS TWENTY (20) YEAR LIFE CYCLE TECHNICAL STANDARDS FOR LAND DEVELOPMENT ROAD CON. BANKING OF FUNDS GROUNDS 81 PUBLIC PROPERTY MAINTENANCE GROUNDS PUBLIC PROPERTY STUDY SEASONAL CLEANING SPACE NEEDS WITHIN THE TOWN HALL RELOCATION OF REPAIR GARAGE CONFORM TO TOWN ZONING REGULATIONS REPLACMENT AND IMPROVEMENT PROGRAM LIFE CYCLE RESERVE ACCOUNT EXPAND HEALTH INSPECTION STAFF SPECIAL EVENTS COMMITTEE SECOND IN COMMAND TAX COLLECTOR 81 TOWN CLERKS SECOND IN COMMAND RELOCATION OF OFFICE WPCA AND TOWN CITIZENS SURVEY STRATEGIC PLAN COLLABORATION TOTAL 61 I I 1. IQN As part of the overall evaluation of the Town?s General Government operations, I spoke with civic leaders, business owners, a clergy representative and numerous Stonington residents to gain a better understanding of the level of satisfaction for the services being provided by the Town. Topics discussed included the timeliness of said services, the professional abilities of the staff and the level of one's desire to continue to live, work and own businesses in Stonington. Overall, most were satisfied, proud of their commu- nity and enjoy making Stonington their home. The vast majority of those I spoke with were pleased with the Town?s senrices and their delivery, the response of the Town dur- ing emergencies, with few negative comments made, and many impressed that the Town undertook this study at this time. One interesting observation was that several citizens did not indicate that-they were liv- ing or working in Stonington, rather they referenced Mystic, Pawcatuck or the Borough and so forth. The pride and ownership of areas within the Town is signi?cant. Based on my years of involvement with municipal government in Connecticut, and my experience working with numerous towns and cities, I conclude that while many internal challenges exist in various areas studied, the external view of the Town of Stonington is positive with the Town being fortunate to have the overall leadership, staff and public support to create an inviting and pleasurable place to live, own a business and visit. It may be helpful and instrumental, if at some point in the future the Town were to under- take and conduct a Citizens Survey process to invite the Town?s residential and busi- ness communities in assisting the Town in developing a long term Strategic Plan (at- tachment of. what the they would like the Town to transition to, going forward. In closing, it may also be bene?cial for the Town to pursue Collaborative Efforts with the Board of Education, regional municipalities, and the private sector. Many of the func- tions currently being performed by the Town are also performed by the School Depart- ment, the region and the private sector, with potential opportunities to share resources and expertise in an effort to enhance the delivery of services, while lowering the costs of such services. If? it: if 1 27cm I '9 I: 5 fit It rut ?rn. nut ..,