LTC 004-2008 Commission Retreat - January 11 and 12, 2008m MIAMIBEACH
OFFICE OF THE CITY MANAGER
NO. LTC #004-2008 LETTER TO COMMISSION
TO: Mayor Matti H. Bower and Members of the City Commission
FROM: Jorge M. Gonzalez, City Manage
DATE: January 9, 2008
SUBJECT: Commission Retreat -January 11 and 12, 2008
The purpose of this LTC is to provide you with a copy of the agenda and related materials
for the Commission Retreat which will be held on January 11 and 12, 2008 at the Miami
Beach Resort and Spa, located at 4833 Collins Avenue.
I have attached copies of articles that may be of interest to you, and can aide with the
discussion. The articles are as follows:
• The Retreat as Management Tool
• 10 Habits of Highly Effective Councils
• Lynchburg City Council Means
• City of Palo Alto -Proposed Council Protocols
If you have any questions or need any additional information, please feel free to contact me.
JMG/DM
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m MIAMIBEACH
City Commission Retreat
Miami Beach Resort & Spa
Room: Miramar South
4813 Collins Avenue
January 1 1-12, 2008
"Enhancing Ovr Team's Effectiveness"
AGENDA
Frida~r January 1 1
9:00 a.m. Arrivals & Administration of DISC Classic Profile
9:30 a.m. A Fresh Look
• Perceptions from Anew
• What resonated on the campaign trail?
10:30 a.m. Where We've Been -How We Got Here
• Avoiding Revolution through Evolution
• A Historical Perspective
1 1:00 a.m. BREAK
1 1:15 a.m. Leaving a Legacy
• What is your passion?
• What do you hope to accomplish?
• Current Priorities -Where is the fit?
• How can other help you? How will you help
others?
12:30 p.m. LUNCH
(OVER)
We are committed to providing excellent public service and safety to all who live, work, and play in our vibrant, tropical, historic community.
1:45 p.m. Defining Our Roles and Responsibilities
• Roles and Responsibilities: City Commission, City
Manager, Executive Team, Leadership Team
• What is the job description of individual
Commission Members?
• Policy Setting vs. Implementation of Policy
(Flying High vs. Low)
3:00 p.m. BREAK
3:15 p.m. DISC Profiles-Review and Discussion of Results
• Assess and discuss the differences in
communication and decision-making styles
• Discuss how such differences affect one's role
within the City
We are committed to providing excellent public service and safely to all who live, work, and play in our vibrant, tropical, historic community.
m MIAMIBEACH
City Commission Retreat
Miami Beach Resort & Spa
Room: Miramar South
4813 Collins Avenue
January 1 1-12, 2008
"Enhancing Our Team's Effectiveness"
AGENDA
SaturdaX, January 12
9:00 a.m. Arrivals /Check-in /Review of Prior Day
9:30 a.m. Review of the Miami Beach Excellence Model
• Making Decisions based on Data
• The Voice of the Customer-More than the Squeaky
Wheel
• Process Improvement vs. Fire-Fighting
• How can we improve upon what we have?
1 1:00 a.m. Essentials of Highly Effective Boards
• Common Vision -What common threads exist
among each of us?
• Communication Ground Rules
• Valuing Differences -Code of Conduct
• Leveraging Strengths -What are yours? What do
you need from others?
• Action-Oriented -Getting Things Done /
Overcoming Barriers
12:30 p.m. LUNCH
(OVER)
We are committed to providing excellent public service and safety to aH who live, work, and play in our vibrant, tropical, historic community.
1:30 p.m. If I Only Knew...
• Accelerating the Learning Curve
• leveling the Playing Field
• What would you have liked to know?
• What do you need to know (processes, terminology,
do's & don'ts)?
3:30 p.m. Wrap-Up and Preparation/Recommendations for
Next Retreat
We are committed to providing excellent public service and safely to all who live, work, and play in our vibrant, tropical, historic community.
The Retreat as
Management Tool
The idea of a retreat conjures up different images for
different people. Since retreats can be extremely var-
ied in content and format and are used for a variety of
purposes, this report will cover several types of retreats
as well as retreat outcomes. It will focus on elements
of success that may be helpful to public officials plan-
ning and holding retreats, and it will explain areas of
sensitivity that require special attention.
Many city councils, county commissions, and other
governing boards rely on annual retreats to set goals
for the coming year. Strategic or long-term planning is
often accomplished during retreats, either by local gov-
ernment staff, governing boards, or a combination of
both. Besides single subject sessions (like strategic plan-
ning), retreats are useful for other purposes. For ex-
ample, team building retreats are a popular way to
bring disparate people together, foster greater mutual
Seven steps to success
• Plan the retreat from beginning to end. Identify
the goals of the retreat including the objectives
for the meeting.
• Designate a facilitator (preferably a neutral
party trained and skilled in facilitation
techniques).
• Develop an agenda.
• Find an off-site location, Provide a comfortable
environment with adequate refreshments that
is conducive to work.
• Agree on ground rules that promote a safe
and courteous environment,
• Encourage active participation throughout.
• Be specific about follow-up. Develop an
implementation plan that designates
responsibility and time lines,
Amy Cohen Paul, the author of this report, is a partner with
Management Partners, Inc., a consulting firm that
specializes in helping local government managers improve
the way their organizations operate. Ms. Paul has more than
twenty years of experience assisting local governments in a
variety of areas. She has helped lead retreats for public
officials and management teams; conducted community
workshops; facilitated strategic planning processes; provided
training, design, and installation of performance
measurement systems; conducted benchmarking studies; and
led organizational assessments. She was the editor of
ICMA's Managing for Tomorrow: Global Change and
Local Futures (1990).
understanding, and help them cooperate. Retreats can
be used to resolve conflict that is interfering with a
group's work. Regardless of the purpose of the retreat,
the very act of planning and holding a retreat sends a
message to the participants: we have set aside time to
discuss this important subject, and we have work to
accomplish.
The seven steps discussed in this report provide
guidance on how to help ensure a successful retreat
experience. These steps represent a compilation of ad-
vice from experts: local government managers who
have benefited from using retreats and consultants who
have facilitated them.
PLAN THE RETREAT
Planning is the first key element to a successful retreat.
First, think about what you hope to accomplish and
the nature of the group involved. What is the purpose
of the retreat? Do you want to set goals for the coming
year? Is the local government facing aone-time crisis
or a long-term problem? Do you have a long agenda
with complex issues? Is the group used to working to-
gethercollaboratively, or will this be a new experience?
The answers to questions such as these will help de-
termine the time requirements of the retreat as well as
its timing during the calendar year. In addition, the an-
swers will influence the choice of participants, the lo-
cation, the type of facilitation techniques used, and
other aspects of the event.
Open-meeting laws may affect your retreat. While
it is quite appropriate to have the public observe pub-
lic officials setting public policy, some retreat subjects
are more comfortably discussed without an audience.
This is especially true if the purpose of the retreat is to
give direction to or to evaluate an appointee of coun-
cil. Some managers report asking the media not to at-
2 Inquiry Service Report
tend. Depending on the relationship you have with the
media, this prohibition may or may not be appropri-
ate. Other managers have found that scheduling a re-
treat for a weekend minimizes media attention.
Sometimes holding the retreat some distance away
from the local government's jurisdiction discourages
onlookers. Of course, if they suspect that you are try-
ing to avoid them, the press may follow you to the ends
of the earth! Your own laws and local media practices
will determine the most appropriate approach for your
retreat.
The time spent during preparation will help de-
termine the success of your retreat. Planning gives you
the ability to articulate what it is the group wants to
accomplish. The answer to that question should drive
every activity during the retreat. While there is not one
"right" way to prepare, experts have a variety of sug-
gestions.
eration. You may want to hold the goal-setting retreat
before you begin preparing the budget, so that re-
sourcesneeded to achieve the goals are reflected in the
budget. On the other hand, if the purpose of the re-
treat is team building, the preferable timing may be
following an election or before a series of important
council meetings.
Be sure to give participants enough advance no-
tice so that they can arrange to attend the retreat, par-
ticularly if a weekend is involved or time away from
work is required. Be sensitive to participants' needs and
their time constraints. As you plan, think about what
you can realistically accomplish during the retreat. For
example, athree-hour retreat will not yield the same
level of discussion or outcome as a retreat spanning a
day and a half.
Decide Who Should Participate
Time and Timing
If the purpose of the retreat is to set goals for the com-
ing year, the timing of the retreat in terms of the local
government's fiscal cycle will be an important consid-
Another critical part of the planning process, once the
broad objective of the retreat is defined, is to consider
the question "Who should participate?" Participation
can be a dicey issue. Even when the retreat is targeted
to one group, such as the city council or county com-
Pre-retreat interview questions for department staff
Core staff
How would you describe the overall purpose of
your department?
To what degree do you experience employees
being clear about the purpose of the depart-
ment?
To what degree do you see the department's
leadership focused on this purpose?
How do you experience the city's/department's
ability to set priorities?
Customers
Whom do you see as your customers?
To what degree do you experience your depart-
ment/team/city aligning itself toward the interests
of its customers?
Consequences
To what degree do you experience the city as a
place that makes results matter?
Does your team/department have goals/pertor-
mance measures?
Is everyone aware of these goals/performance
measures?
How offen are these goals measured?
Are the results communicated throughout the
agency?
How are people held accountable within the
organization?
How do you know whether or not you are suc-
cessful in your job?
Are there any rewards for good performance or
consequences for poor performance?
Control
Do you feel that you have the information you
need to do your job effectively?
Do you have the authority to make decisions you
think you should be making?
Culture
How would you describe working here in one
word or phrase?
To what extent do you feel trusted by others?
To what extent do you feel empowered?
To what extent do you feel valued/appreciated?
Are there any unwritten rules in your department/
city government? What are they?
Trends
What do you see as the most critical issues or
trends (internal and external) facing the city?
Politics
How do you think your department is viewed by
the city council?
Infrastructure and resources
Are there particular resource constraints or op-
portunities that you think we should be aware of?
leadership
What do you think the city/department should do
to improve its performance?
What do you think are the barriers (past or
present) to making this happen?
Contributed by Camille Cates Barnett of the
Public Sector Group.
The Retreat as Management Tool 3
mission, the "who" question may not be as straight-
forward as it seems on the surface. For example, if the
retreat is on growth management, it may be appropri-
ate to invite the chairs of the planning commission,
zoning board, or others with particular knowledge
about this subject area. When the purpose of the re-
treat issolving acomplex problem or mastering a mul-
tifaceted issue, "who" participates becomes especially
important. "Not inviting the right people can be really
damaging," warns Michael Conduff, facilitator and city
manager of Bryan, Texas.
If a governing board is deliberating about strate-
gic planning or goal setting, it is appropriate to have
the jurisdiction's management team present. Depend-
ing on the board, the relationships, and the agenda, staff
may be invited as full participants or just observers.
The goals of the retreat will drive these decisions. Some-
times not inviting staff can be interpreted as exclusion-
ary or distrustful. The facilitator should help the council
think through these issues before making a decision.
Solicit Input from Participants
Kurt Jenne, assistant director of the Institute of Gov-
ernment, University of North Carolina at Chapel Hill,
and former city manager of Durham, North Carolina,
prefers involving all the participants in the planning
stage for a retreat. I always try to meet in a group for
planning purposes. I think it is essential that everybody
who is going to participate in the retreat help plan it."
He feels strongly about getting buy-in before the meet-
ing from all participants so that everyone understands
the goals of the retreat. "If you have someone who's
left out of the planning stage," he explains, "that could
scuttle the whole thing. They may have a legitimate
gripe if they haven't been asked about their needs."
Similarly, Jenne has a rule that everyone on the
council or board must attend the retreat. He admits that
sometimes this is hard to achieve, but he says it is es-
sential. Everyone's attendance is especially important
if the group is contentious or having trouble getting
along with one or two individuals. He described one
community that took six months to convince one of its
members to participate in a retreat. As he admits, "The
downside is that one member can hold the group hos-
tage."
Other facilitators and managers suggest conduct-
ing individual interviews before the retreat. This en-
ablesparticipants todiscuss their primary concerns and
allows any underlying issues to surface. For example,
hidden agendas sometimes come to the fore. It also
permits the facilitator to establish a relationship with
each of the participants.
Yet another way of soliciting input from partici-
pants is to administer a questionnaire in advance of
the retreat. Depending on the size of the group, this
may be the most expedient way to query the partici-
pants about their ideas and get their opinions. If a ques-
tionnaire isused, the facilitator usually tabulates results
and presents them as the jumping off point at the be-
ginning of the retreat. The sidebar on page 2 prepared
by Camille Cates Barnett (former chief administrative
officer of the District of Columbia and former city man-
ager ofAustin, Texas) shows a series of interview ques-
tions that have been used as a planning tool with
department staff. Prior to the retreat, each of the par-
ticipantswas asked to think about and answer the ques-
tions. This kind of attention to the topic and
self-examination before the retreat will enhance the
discussions and make the time off-site more valuable.
Identify Materials To Be Read in Advance
Retreats can be enriched when participants prepare by
thinking about issues or reading books or articles in
advance of the meeting. For example, some managers
ask all the members of their team to read the same book
and come prepared to discuss its application to their
own situation or management system (see sidebar).
Some facilitators also ask councils to provide back-
ground information or to prepare for discussion by
reading materials they have chosen on a particular
subject.
If you want participants to read materials before
the retreat, you should give them adequate notice or
provide copies for everyone involved well in advance
of the meeting.
Some jurisdictions take the preparatory work a
step farther by asking participants to prepare and sub-
mit written responses to questions in advance. Such
homework may vary significantly, depending on the
purpose of the retreat. For example, council members
may be asked to prioritize issues to be discussed at the
retreat or respond to open-ended questions concern-
ing the city's vision and mission. One community dis-
tributed the current vision and mission statement to
each council member in advance and asked them to
edit it bycolor-coding the phrases according to whether
Retreat reading list
Motivational books that discuss business in terms of
parables have been popular among retreat plan-
ners. Who Moved My Cheese? by Spencer Johnson
and Fish! A Remarkable Way to Boost Morale and
Improve Results by Stephen C, Lundin et al. are two
examples, Management titles recommended by
managers in recent years include Zapp! The Light-
ning of Empowerment: How to Improve Quality,
Productivity, and Employee Satisfaction by William
C. Byham, Seven Habits of Highly Effective People
by Steven R, Covey, The One Minute Manager by
Ken Blanchard, The Fifth Discipline: The Art and
Practice of the Learning Organization by Peter M.
Senge, and almost any of Peter Drucker's books.
Articles by John Carver on governance are par-
ticularly relevant for governing boards.
4 Inquiry Service Report
they should be deleted, kept, or revised. As a starting
point for discussion during the retreat, the facilitator
displayed the original vision and mission statement as
well as the edited versions. This type of advance prepa-
ration enables the group to launch into a healthy dis-
cussion more quickly than if it begins the meeting
"cold."
Develop a Budget for the Retreat
When budgeting for a retreat, consider the following
elements:
• Meeting room rental
• Overnight hotel rooms (if an out-of-town site is
chosen)
• Refreshments (meals, snacks, and beverages)
• Facilitator fees and expenses, if applicable
• Miscellaneous materials and equipment
It is possible to plan aloes-budget retreat, if that is
the objective. For example, creative retreat planners
have found innovative retreat locations that cost very
little (like a local community center). The appearance
of spending too much is sometimes as important as
actual expense, so consider what will be politically ac-
ceptable in your situation when choosing among al-
ternative solutions.
Even on a very low budget, it is important not to
skimp on food and refreshments. Physical needs should
be anticipated and cared for so that participants feel
good and can focus on their work. "Breaking bread"
together as a group is a valuable component to a re-
treat because it allows participants to relate to each
other on a different level than in the working group.
Adequate time for meals as well as breaks for refresh-
ments should be allocated to encourage participants
to get to know each other.
Try to anticipate all of the equipment and materi-
als that will be needed-routine materials (such as
pens, paper, markers, flip charts, and masking tape) as
well as more unusual items (such as Power Point pro-
jectors or video players). If any outdoor adventures are
planned, other equipment might be required.
DESIGNATE A FACILITATOR
Can a retreat be successful without a facilitator? No!
Can a retreat be successful without an outside facilita-
tor? Yes, it is possible. Is there an advantage to having
a neutral party, trained and skilled in facilitation tech-
niques, guiding a retreat? Definitely! Somebody,
whether a member of the group or an outside third
party, must be responsible for filling this critical role.
Without a person explicitly designated as facilitator,
group dynamics are likely to jeopardize the objectives
of the retreat.
There are clear advantages to having an outside
facilitator at the helm during a retreat. Perhaps the most
important is that he or she can ask the hard questions
with impunity and help the group work through them.
As a neutral party, the facilitator can remain objective
and stay focused on defining the issue, the differing
points of view, and the possible solutions. If a member
of the group is acting as facilitator, he or she may have
difficulty remaining neutral when important or
emotionally charged issues are being discussed.
The second advantage of an impartial outside fa-
cilitator isthe ability to pay attention to group dynam-
ics. Agood facilitator allows the group enough time to
deliberate on each agenda item yet has the skill to move
the discussion along so that the retreat accomplishes
its purpose. Besides assisting with the timing and the
pace of the meeting, the facilitator pays close attention
interview guide
After introducing yourself, set the stage for the
facilitator you are interviewing by telling him or her
something about your jurisdiction, the group (size
and composition) that you are anticipating having
at the retreat, and the objectives that you hope to
accomplish. Then choose from the following ques-
tions to help determine whether the facilitator is
right for your group.
• Please describe your facilitation style, including
the types of exercises you like to use to engage
a group.
• Please describe a successful retreat that you
facilitated and what made it successful,
• Please describe the most difficult retreat that
you facilitated and what made it difficult.
• What type of preparation would you do for the
type of retreat I've described to you?
• Please tell me about a situation where you
were the facilitator, and there was conflict
among group members, How did you deal with
it? What was the outcome at the end of the
retreat? Did the group feel the meeting was
successful?
• Have you worked with public sector groups
before? With whom? When? Why?
• Have you ever facilitated a retreat where the
press and/or the public were present? Are you
comfortable doing that? Would you do
anything differently if they attend? If so, what?
• What end product(s) would we expect if you
were to facilitate this retreat?
• Are there any timing issues that we should
consider?
• Are there any requirements for retreat facilities
that we should consider if you were to
facilitate? What type of room arrangements do
you prefer?
• How long have you been facilitating groups?
What is your formal training?
• What is your fee to facilitate this type of
retreat? Does it cover expenses, or are they in
addition?
The Retreat as Management Tool 5
to the pulse of the group. For example, if a member of
the group is being counterproductive, it is the
facilitator's job to help the group work together. Like-
wise, if a member of the group isn't participating fully,
a good facilitator draws the person out to make sure
that all opinions and suggestions are on the table. The
facilitator can also make sure that hidden agendas don't
hijack the discussion or subvert the work of the retreat.
Helping lead the group to a successful conclusion
requires particular skills and experience. In a conflict
situation an outside facilitator trained in conflict reso-
lution is essential.
Choosing a Facilitator
and other physical needs of the participants.
Many facilitators prefer to work from a draft
agenda with specific time periods blocked and
identified. This enables the facilitator to track whether
the group is on target at any given time. It is usually
not necessary to share all the details included in the
draft agenda with participants. The sidebar on this page
provides an example of an agenda used during aplan-
ningworkshop retreat for The Woodlands Community
Association in The Woodlands, Texas (Steven Burkett,
president and CEO). The retreat was facilitated by Julia
D. Novak (city manager of Rye, New York).
An agenda also reinforces the outcome and the
steps that are anticipated to get there. As this example
shows, the retreat's goals and norms are articulated.
Many management and organizational development
consultants specialize in group facilitation, and many
university professors also do this type of work. Some
city and county managers are skilled facilitators; hir-
ing acolleague from another jurisdiction may be a good
option. A member of the local clergy maybe skilled in
facilitation techniques. It is important to make sure that
the person chosen to facilitate is politically neutral and
not a stakeholder in the group holding the retreat. For
that reason, in some situations an out-of-town facilita-
tor is advantageous.
Regardless of how you choose the facilitator, treat
the selection as seriously as you would treat hiring a
member of your staff. Get references and talk to others
who have worked with the facilitator. Does he or she
seem to have a good grasp of your unique situation?
Ask questions about processes that the facilitator likes
to use and make sure you are comfortable with the an-
swers. For example, some facilitators may use exercises
that could be rejected by your group as too "touchy-
feely." Choose a facilitator who is comfortable with
your group's style. Other questions to consider are in-
cluded in the sidebar on page 4. Since success depends
on interpersonal skills, after doing a basic reference
check, go with your gut reaction. Then allow the facili-
tator to use his or her skills to develop a working
agenda for your retreat.
During the selection process, be sure to ask about
fees. Some facilitators charge by the hour, but most
charge a fixed fee for the entire retreat, including prepa-
ration, on-site time during the retreat, and preparation
of a final report/action plan (if this has been agreed to
in advance). Also be sure to discuss expenses in ad-
vance. Ifyou agree to pay expenses, be clear about what
expenses are reimbursable. For out-of-town facilitators,
expect to pay mileage or airfare as well as lodging and
meals. A local facilitator may not require expenses.
DEVELOP AN AGENDA
Developing a detailed agenda forces the planners to
think about every hour of the retreat and ensures that
time is used wisely. An agenda helps planners and par-
ticipants to anticipate breaks, time for refreshments,
Retreat agenda
Woodlands Community Association Planning
Workshop Retreat, May 13, 2000
Facilitator: Julia D. Novak
Introductions
Welcome participants and make introductions.
• Explain norms and expectations for the retreat.
Role of the board
• Review concepts from Carver Governance
Model.
• Articulate the role of the board.
Board/staff expectations
• Discuss the psychological contract and its
implications for board/staff relations,
• Articulate mutual expectations.
Issues and priorities
• What are the key issues facing the Woodlands
Community Association?
• What does the board need to focus on during
the next twelve months in order to achieve the
vision?
• Twelve months from now, how will we know if
we have succeeded in making progress on
priority issues?
Board norms and interactions
• Discuss the purpose of articulating norms.
• Agree on critical norms for the group.
• Evaluate performance on norms.
Next steps/closing
• Get to know each other better (team building).
• Get a sense of broader community issues.
• Clarify and articulate board priorities for the
coming year.
• Develop norms and expectations for board
interactions.
• Discuss and clarify the board's decision-making
process.
• Articulate the role of the board in achieving
the mission and vision of Woodlands
Community Association.
6 Inquiry Service Report
Like a road map, the agenda enables participants to
see the path that will allow them to accomplish their
work. If warranted by the discussion and agreed upon
by the group, detours from the path may occur.
FIND AN OFF-SITE LOCATION
Although leaving the jurisdiction is sometimes not po-
litically acceptable, it is advantageous to locate a re-
treat off-site. By meeting somewhere other than the
regular council chambers or conference room, the
group is less prone to "business as usual" and less likely
to be distracted by outside influences. Many manag-
ers think an off-site location makes a retreat more pro-
ductive.
Some facilitators report urging participants not to
call the office on their breaks. Laudable in concept, this
"rule" is difficult to enforce. However, being off-site
does emphasize the importance of the work to partici-
pants and helps reduce their inclination to run back to
the office or try to conduct regular business during the
retreat.
Since appearances are important in the public con-
text, the location of the retreat should be considered
carefully. Beware of fostering the perception that the
council is holding its retreat in the lap of luxury, for
example. One Midwest jurisdiction flew its department
heads to a California resort for a management retreat,
and the press had a field day. State parks and universi-
ties may offer lower-cost alternatives and provide ideal
facilities for retreats. Community centers and senior
centers also can be good locations.
DEVELOP GROUND RULES
Before beginning work on the substance of the retreat,
the group should agree on ground rules. Ground rules
establish working assumptions about conduct and ex-
pectations and can be referred to as needed by the fa-
cilitator or group members. The ground rules used by
the village of Clemmons, North Carolina, for its coun-
cil retreat are shown in the accompanying sidebar. Al-
thoughground rules like these may seem like common
sense (and definitely reflect common courtesy), they
Suggested ground rules for working groups
Ground rules are commitments made to one another by members of a working group that are designed to
help the group function more effectively. The following are some that we have found to be useful to governing
boards, not only in retreats, but also in the conduct of their regular business.
Share all relevant information. When the board is discussing an issue, it is helpful for the members to share all the
information they have that is relevant to understanding the issue or solving the problem at hand. The informa-
tion may be facts, feelings, reactions, opinions, etc. Each person must take responsibility for sharing whatever
information he or she holds and not assume that others in the group know it already. The group cannot use it
until it has it.
Be specific and use examples. Speaking in generalities often makes it difficult for others to understand because
each person's experience is different. Saying specifically what you mean increases the chances that you will be
understood. Using an example can give each person who is listening a common reference point,
Test assumptions and inferences publicly. If someone makes a statement that seems to you to include an un-
supported assumption,you can avoid a lot of misunderstanding by verifying that the person made that assump-
tion and finding out why he or she made it. You can also test out your own assumptions by asking the group if
your assumption is correct.
Define what important words mean. Often words mean different things to different people. If a word or a term is
important in the discussion and if there seem to be different meanings applied to the word, it is usually worth-
while to stop and establish a common meaning for the whole group.
Discuss interests before positions are taken. People establish their positions on issues on the basis of their inter-
ests. However, it is sometimes possible for differing interests to be satisfied by a position or solution that nobody
has thought of yet. To find out whether that is possible, people have to say what their interests are. On the other
hand, if people just argue for their positions without stating their interests, it is often difficult or impossible to find
a common solution that might meet everyone's needs,
Don't take cheap shots or in other ways distract the group. When members take cheap shots at one another, it
often takes the group off track and distracts the member receiving the cheap shot. Likewise, the group may be
distracted by side conversations or individuals doing "off-task" activities.
Compiled by Kurt Jenne, assistant director, Institute of Government, University of North Carolina, from a set of sixteen
ground rules developed by Roger Schwarz and published in "Groundrules for Effective Groups," in Popular
Government, Vol. 54, no. 4 (Spring 1989): pp. 25-30. Reprinted by permission of the Institute of Government, the
University of North Carolina at Chapel Hili.
The Retreat as Management Tool 7
can remind participants of agreed-upon behaviors
when emotions heat up or discussions get contentious.
Ideally, the facilitator gets buy-in from the group be-
forehand, and during the event keeps the ground rules
posted in full view.
With groups that already have a proven track
record of working well together, ground rules may
seem superfluous. However, for groups that have not
worked together before, or have a contentious work-
ing relationship, ground rules are essential. There is
value in beginning with agreement. With some groups,
this may be the one area that everyone agrees on
throughout the day!
Some facilitators prefer to articulate norms for
group interaction during the retreat instead of estab-
lishingground rules beforehand. Sidebars on this page
and on pages 8 and 9 show two sets of norms identified
by the community association board in The Woodlands,
Texas-the first are those that the participants agreed
to use during the planning retreat. As part of their work
at the retreat, the board then considered a longer set of
norms and agreed to adopt a subset of them to govern
their own interactions during subsequent meetings. As
the sidebar shows, the board then went a step farther
and rated its current performance compared with the
norms it had just adopted. It is easy to see the value of
this type of exercise by a board that wants to improve
its interactions and communication.
ENCOURAGE ACTIVE PARTICIPATION
THROUGHOUT THE RETREAT
The well-prepared facilitator begins the retreat with a
good understanding of each of the participant's needs
as well as each person's issues and concerns. A skilled
facilitator executes the agenda and keeps the meeting
flowing. He or she makes sure that all participants take
an active role in discussions and that their opinions get
heard. It is also the responsibility of the facilitator to
help the group stick to the agenda and accomplish what
it set out to do.
Retreat norms for participants
• Listen with respect...
,,.no interrupting
...no talking over
...disagree agreeably
• Stay on task
• Value differences
• Be candid and honest
• Enjoy! Have a GOOD DAY
• No sidebar conversations.
From Woodlands Community Association, The
Woodlands, Texas.
A skilled facilitator brings a "bag of tricks" to use
as applicable. For example, such techniques as nomi-
nal group process, force field analysis, cause-and-
effectdiagrams (also known as fishbone diagrams) can
be used very effectively, depending on the desired out-
come of the group and the issue or problem being dis-
cussed. An experienced facilitator knows when to
encourage consensus and when to allow participants
to express themselves through a vote. This expertise
helps ensure active participation and a good flow of
ideas.
The facilitator usually builds in appropriate ice
breakers or warm-up techniques to get the group talk-
ing at the beginning of the retreat. Warm-ups range
from activities that help people to get to know each
other on a personal level (like paired introductions or
talking about personal experiences) to more work-
oriented activities (like writing a short list of issues or
prioritizing issues that were identified previously by
the group). It is up to the facilitator to suggest these
activities and get the group started successfully.
Another important role for the facilitator is to keep
the group balanced and positive. Humor is useful in
this regard. The facilitator does not need to be a stand-
up comic, but he or she must be prepared to ease ten-
sion or bring the group together if the discussion gets
too heavy or acrimonious. Laughter is often the quick-
est means to this end. Some facilitators use physical
activities as tension breakers. They may ask everyone
to line up and rub the back of the person in front of
them or divide participants into different quadrants of
the room to express opinions. Physical exercises, like
jumping jacks or big arm circles, can bring relief in a
tense setting.
Exercises that encourage creativity and fun can
bring levity to a heavy issue-oriented agenda. An ac-
tivity that stretches the imagination, like challenging
small groups to find as many innovative uses as pos-
sible for a paper clip or toothpick (or any common
item), can add humor to a meeting. Time must be con-
sidered, however, and there is a fine line between group
"work" and frivolity. Again, a good facilitator knows
when to inject ten minutes of a creative exercise into a
packed agenda.
BE SPECIFIC ABOUT FOLLOW-UP
In order to ensure that the energy generated by the re-
treatdoes not dissipate and that the decisions that were
reached are implemented, someone must document the
results of the retreat and establish a timeline for action.
Be sure to designate before the retreat the person who
will be responsible for this task. If you are counting on
the facilitator to produce a final report that summarizes
the retreat, make sure that you've been explicit about
that in advance.
Many facilitators build the reporting process into
the structure of the retreat by publicly recording im-
portant decisions as they are made. Lists and notes
8 Inquiry Service Report
made on a flip chart or large sheets of paper and posted
around the room are helpful later for creating a report
of the retreat's results. If appropriate to the purpose
and nature of the retreat, participants can be given op-
portunities to annotate these public "minutes" during
breaks, so that the record is further enhanced.
Ideally, the last item on the agenda will be awrap-
up that includes next steps and an implementation ac-
tion plan. To the list of next steps, the implementation
action plan attaches names of responsible persons,
specific actions to be taken, and milestones (specific
dates). Although some facilitators include an imple-
mentation plan as part of their assignment (working
with the participants during the retreat to create the
plan, or perhaps with the management team after the
retreat), others may not. Be sure to discuss this with
the facilitator in advance.
Regardless of who creates the follow-up plan, it is
critical to the success of the retreat. When the retreat is
over and participants go back to their "real" jobs, the
implementation plan ensures that the ideas expressed
during the retreat get put into action. The table on page
10 shows an action plan for two initiatives that were
discussed during a retreat in a Midwest city. It identifies
the specific actions to be taken, assigns responsibility
for each action, and sets the date by which each step is
expected to be accomplished.
The wrap-up also gives the retreat leader an op-
portunity to set the date (or dates) for follow-up meet-
ings if they are required. If everyone at the retreat agrees
on common goals and objectives, there will be momen-
tumafterward to take specific actions (for example, at-
tend future meetings or organize committees to follow
up on work done at the retreat). Individuals or com-
mittees might agree to report back to the group within
a certain time on the results of the investigation they
have promised to undertake. The enthusiasm gener-
ated by the retreat can contribute to participants' will-
ingness to volunteer for these assignments.
TYPES OF RETREATS
Council Retreats
Many managers hold annual planning retreats with
their councils. Goal setting and strategic planning are
two of the most common reasons for these retreats, but
other topics could be addressed as well. Whenever a
group could benefit from focusing on a particular is-
sue or set of issues, a retreat could be useful.
In addition to focusing on issues, some councils
conduct retreats to enhance communication among
themselves and with staff. One council used a retreat
as an opportunity to build rapport with a new man-
Retreat norms for board members
The Woodlands Community Association Board evaluated the following list of norms:
• To place cooperation, trust, and respect at
the heart of all we do
• To behave ethically as we carry out our daily
responsibilities
• To operate as an effective team, continually
improving that effectiveness
• To work for win-win situations instead of win-
lose situations
• To actively listen, keeping an open mind and
suspending judgment
• To stay focused and avoid tangents
• To be proactive in the exercise of our office
• To do our best to answer questions posed by
one another, our employees, and the
community
• To honor "discussion" before "decisions"
• To focus policy making on important "ends"
for our owners/customers
• To focus discussion of "means" by identifying
unacceptable practices and trusting our staff
to competently execute their responsibilities
• To be honest and candid with one another
• To give and take positive feedback and
coaching
• To focus on working "with" instead of "for" or
"under"
• To not take differences of opinion personally
• To disagree agreeably and professionally
• To realize that people make mistakes-forgive
and forget
• To realize the virtue of debate and avoid the
liability of argument
• To realize and honor varying work styles,
personalities, and process needs
• To share information and avoid surprises
• To minimize the practice of "sign-offs" and
ratify when needed
• To challenge and motivate one another.
• To maintain a sense of levity. Our service should
be fun as well as work.
The board agreed to adopt the following norms to
govern its interactions:
• To place cooperation, trust, and respect at the
heart of all we do
• To work for win-win situations instead of win-lose
situations
• To honor "discussion" before "decisions"
• To focus policy making on important "ends" for
our owners/customers
• To be honest and candid with each other
• To share information and avoid surprises
• To maintain a sense of levity (humor),
The Retreat as Management Tool 9
ager and staff. In this case the newly appointed man-
ager, top management, and council spent the retreat
articulating expectations and getting to know each
other better. The sidebar on page 11, a list of expecta-
tions the mayor and council articulated for the man-
ager, was a product of the retreat.
Joint Retreat for Council and School Board
Another, more unusual type of retreat is one that brings
two (or more) independent organizations together. The
city of Martinsville, Virginia, holds an annual retreat
with its school board to discuss current issues and en-
hancecommunication between the two governing bod-
ies. Martinsville, like some jurisdictions in Virginia, has
a school board that is appointed by the council but acts
as an independent institution. The city council ap-
proves its budget yet has no line item authority and
therefore no real control over the school board's bud-
get. This can lead to an acrimonious situation between
the board and the council.
Martinsville's city manager, Earl Reynolds Jr., is a
strong believer in communication. Several years ago,
when a new school superintendent arrived, Reynolds
took the initiative and invited the superintendent and
the school board to a retreat. The group (about 15 total
including 5 members of each board, clerks of both gov-
erning boards as well as key staff) gathered together
for one and one-half days off-site. A facilitator inter-
viewed the board members in advance, planned the
meeting, and assisted the group on-site. The retreat was
so successful in improving communications and un-
derstanding between the groups that they have held
joint retreats several times since then. The outcomes
included a new level of mutual trust and respect, as
well as the initiation of a partnering concept between
board members that has also improved understanding.
The sidebar pages 12 and 13 shows the decisions made
during several joint planning retreats.
Team-Building Retreats
Team-building retreats differ from issue-based or plan-
ning retreats. When team building is the primary pur-
pose, different techniques are usually used. Team
building is sometimes less comfortable for participants
than discussion of issues. Sometimes team-building
exercises involve a physical component, like group
challenges with obstacle courses, whitewater rafting,
hiking, etc. Other team-building techniques, such as the
Strength Development Inventory or Myers-Briggs in-
dicators, are more cerebral and are useful when trying
to develop a better understanding of team dynamics.
Kurt Bressner, the city manager of Downers Grove,
Evaluation of retreat norms for board members
The board rated itself on the norms it had chosen.
We place cooperation, trust, and respect at the
heart of alt we do
We focus policy making on important "ends" for
our owners/customers
xx xxx xxx xx
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
We work for win-win situations instead of win-lose
situations
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
We honor "discussion" before "decisions"
x x xxxx xxx
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
Source: Woodlands Community Association, The
Woodlands, Texas.
xxxxx xxx
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
We maintain a sense of levity; our service is fun as
well as work,
x xxx xx x x
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
We are honest and candid with each other
x xx xx xxx x
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
We share information and avoid surprises
x x xxxx xxx
1 2 3 4 5
Strongly Agree Netther Agree or Disagree Strongly Disagree
10 Inquiry Service Report
Mistakes to avoid
Even when a retreat agenda is packed with work-related items and little or no recreational time has been allo-
cated, managers need to be sensitive to perceptions by the public about how the jurisdiction spends its money.
The following list is based on advice from managers about how to avoid unnecessary problems.
• Be aware of the retreat location and setting. A posh resort may draw criticism, so be sensitive to appearances.
If you decide to leave town, think about the perception and expense involved with travel.
• Be aware of public open-meeting laws. You may need to announce the retreat well in advance, and you
may have press coverage.
• Be careful of the perception that retreat participants are "knocking off on city time." Although taking city staff
on a retreat is likely to be highly productive and an excellent use of time, you may want to consider holding
the retreat over a weekend, or at least including part of a weekend in your work.
• Don't plan on tape recording or videotaping the retreat. Tape recorders inhibit discussion and may prevent
participants from speaking freely, Since it is important to record decisions, have the facilitator be responsible
for this task or ask someone else in the group to take charge of recording decisions.
• Avoid expecting too much in too short of a time. Timing is key, and it is important to allow adequate time for
discussion and reflection. Be sensitive to how much work is, expected in the time you allocated.
• Be sure to plan adequate time for implementation and follow-up. Without implementation and a structured
follow-up, there will be no clear relationship between the value of the retreat (and the work accomplished
during the retreat) and progress toward those decisions.
Sample council retreat action plan
January 7-8, 2000
Action steps for telecommunications initiative
Responsible person Due date Status"
1. Review other jurisdictions' Roberto Jones February 15
cellular tower ordinances
2. Develop a cellular towers Roberto Jones March 1
ordinance
3. Develop a glossary of Jane Smith February 15
telecommunications terms
4. Review other jurisdictions' Jane Smith March 15
telecommunications policies
5. Develop a telecommunications Jane Smith April 1
policy for the city
'The "Status" column is used to mark progress as the action plan is reviewed periodically,
Action steps for Web site initiative
Responsible person Due date Status"
1. Research requirements to allow Jim Donovan February 15
e-commerce transactions
2. Develop prototype screens for Jim Donovan May 1
paying traffic citations in line
3. Develop capacity to allow all Wendy Root April 1
vendors to access city's
purchasing site online
"The "Status" column is used to mark progress as the action plan is reviewed periodically.
The Retreat as Management Tool 11
Illinois, wanted to strengthen the relationship between
staff and commissioners and ease the tension between
them. He took the group on a wilderness trail obstacle
course. The session, arranged through a local hospital
that offered corporate training, was well planned and
executed. Although Bressner recalls having to do "a
little shuttle diplomacy" to get everyone to agree to the
retreat, the staff and commissioners ultimately felt it
was extremely successful. The commissioners got to
know the staff in a more relaxed setting, and they could
see firsthand how well the Downers Grove staff worked
together. They also had a chance to experience some-
thing out of the ordinary and challenge themselves.
Bressner, now the manager of Boynton Beach, Florida,
feels that team-building retreats provide a worthwhile
experience and that it is money well spent. "I want to
do the high ropes with the Boynton Beach staff and
commissioners next," he says.
Another team-building tool that many jurisdic-
tions, including Downers Grove, have used success-
fully isthe Myers-Briggs Personality Indicator. This tool
is particularly useful when the group is discussing how
to improve relationships and communication styles.
Although some participants maybe reluctant to reveal
their preferences, confidentiality can be guaranteed. An
overall discussion of different styles and how to work
best with each type of personality can improve rela-
tionships and promote better understanding of indi-
viduals.
Sample retreat outcome: Council expectations for the city manager
Leadership
• In a city forum set issues straight when needed.
• Get out of the shadow of the former city manager and promote the emergence of your own style; be
yourself in terms of skills, knowledge, and way of relating to mayor and council.
• Do what your background says you can do.
• Help develop policy; give the best advice possible.
• Make recommendations known.
• Advocate but don't expect the mayor and council to take your advice on all occasions.
• Be trustworthy and committed to excellence.
• Be here a long time; the city purchased what you have to offer: background, training, and a perspective
that will be beneficial to the city.
• Turn up the microphone, speak out, don't convey passiveness,
• Assess the organization of the city-departments, board and commissions, appointed officials, etc.-and
what improvements might be needed.
• Lay out a game plan for the future mayor and council to make the city an even better place.
• Help identify what the city needs to be doing that it currently is not.
• Communicate frequently-forward information (e-mail),
Management
• Somebody who is hands-on and does not delegate everything; use the skills/abilities of deputy city
manager and know what is going on.
• Run the city-take care of day-to-day things,
• Provide, with deputy city manager, leadership to staff.
• Demand a high level of performance from city staff and departments.
• Communicate and build relationships with other department heads.
• Continue letting senior staff have input.
• Deal competently with the transition-change of relationship between acting/deputy manager and new
city manager,
Interaction with community
• Be very visible in community,
Be aware of the image that the city manager conveys to citizens; communicate respect.
• Remember that you are serving the citizens.
12 Inquiry Service Report
Joint city council-school board retreats
What follows is a composite of the agreements and understandings that the Martinsville city council
and the Martinsville city school board adopted during joint retreats from 1993 through 1996. Each of
these retreats was facilitated by R. David Blackman of Blackman and Associates of Greensboro, N.C.
He documented each retreat, and representatives of the city and the public schools reviewed and
edited the documentation before final copies were printed and distributed. Revisions and additions to
these agreements made during subsequent joint retreats were incorporated in this document,
Visions
The two groups have not agreed upon formal goals for education; however, they identified concepts
that all agreed should be included in the thinking of both groups as they evaluate the annual results of
the educational thrusts of the city schools. In that light, schools should:
• Provide a safe environment for students and faculty
• Establish and meet standards for proficiency in reading, writing, and math
• Train students in practical life skills
• Create an atmosphere conducive to learning
• Assist students in the development of positive attitudes toward lifelong learning
• Seek broad community support for the goals and objectives of education
• Increase the public's awareness of the importance of education to the quality of life of Martinsville
and its impact on economic development
Council-School Board Roles
Roles were identified. It falls to the city manager and the superintendent of schools to manage the
relationships between the council and the school board, Agreement was reached on the following
responsibilities.
Council responsibilities
• Provide funding for the budget of the Martinsville city schools
• Appoint members of the school board
• Define the terms of the school board members
• Establish standards for the selection of school board members
• Employ the city manager
• Establish the personnel policies for city employees
• Establish pay rates and scales for city employees
• Collaborate on policy matters that impact the council and the school board
School board responsibilities
• Establish policy for the operation of the Martinsville city schools
• Review, approve, and modify all school budgets
• Employ the superintendent of schools
• Oversee hiring and all personnel matters
• Establish the personnel policies of the Martinsville city schools
• Establish the pay scales of school employees
• Collaborate on policy matters that impact the council the school board, and the county public
schools,
Building Good Relationships
The groups agree that there must be a continuous effort to improve their relationships. While the
council's official role with the schools concludes with the appointment of the school board and the
approval of the budget allocation, the relationship continues as both groups react to each other's
needs and community input. The council's role as the taxation agent creates community pressures that
the school board should recognize and appreciate. The groups agree that the following can assist in
making their relationships better:
• Establish common systems for management and personnel matters
• Develop a common vision for education
• Encourage citizen input on education goals
• Increase the sharing of information about taxes, schools, personnel, etc.
• Hold regular joint meetings for educational and informational purposes
• Inform the public on school and tax matters and their interrelationship
• Increase one-on-one communications among council and school board members
• Develop a joint plan for providing public information to the community.
The Retreat as Management Tool 13
Council-School Board Budget Process
The development and implementation of the budget process create the greatest tension and potential for misun-
derstanding, During past retreats the council and the school board have agreed on the following principles re-
garding their common budgeting relationship:
• The schools will submit yealry budget requests to cover all programs funded in the previous year's budget.
• All budget requests for new programs for the budget year will be submitted as a supplemental request.
• Budget projections for the year will not include any pay adjustments,
• The school board will advise the council when it is implementing federal and state mandates.
• The school board will alert the council at the earliest possible time when variations are expected in its budget.
• The school board will see that supplemental appropriations are on the council's agenda.
• The school board will inform the council regarding future matters that are likely to impact budget allocations,
• The school board should seek contingency funding in its annual budget requests,
• Council and school board members will receive budget information by April 1 of each year.
• Work sessions will be held to review the budget and make adjustments before the budget comes formally to
the council for adoption.
• The council will make allocations to the school board by May 1 of the budget year; knowing about budget
changes will allow the schools to plan for personnel issues.
• The school board should develop, update, and submit a capital improvement budget each year.
• When programs funded with monies other than those allocated by the council are being discontinued or
when programs are expected to lose their funding base, the school board will inform the council at the
earliest possible time.
• The council and the school board will aggressively increase their joint lobbying efforts with the state to secure
increased funding for capital projects.
• The school board should establish program priorities for its budget and identify the cost for the development
and delivery of those services,
• Compensation issues will be reviewed as a percentage of current costs.
• Both the council and the school board will work at sharing budget and program information in preliminary
exchanges of information so that surprises are eliminated during the budget development phase.
• The council and the school board will work to agree on strategies that will allow the implementation of long-
term plans in the city schools.
• Formal communications among council members and the school board will be by written memos, with copies
distributed by each group's chairperson, Informal communications among group members will be designed
around a "buddy system" to encourage regular sharing of information and concerns.
Source: Prepared for the city council of Martinsville and Martinsville city school board by R. David Blackman and
Associates, Greensboro, N.C.
CONCLUSION
A retreat is an important tool in a leader's arsenal. A
well-run retreat can define the agenda for the group,
build consensus around agenda elements, develop
team buy-in and support for the ideas that will drive
the organization, and create an implementation action
plan. In short, it can be an excellent tool for a variety of
group situations.
Since so much of the work in a jurisdiction is done
by groups (whether it is the council, the commission,
the management team, or appointed decision-making
bodies), good working relations are essential for pro-
ductivity. The retreat enables a group to step back from
its regular business and take time to focus on issues
that might never be examined or addressed otherwise.
A retreat is especially valuable if conflict among group
members is hindering productivity. A facilitator can
help the group work through its conflicts and emerge
a stronger team. A good facilitator can even teach par-
ticipants how to deal with unproductive conflict if it
should arise again.
Planning is key to a retreat's success. Identifying
a good facilitator who will guide the preparations and
on-site work is an extremely important step, as is the
development of an agenda that reflects the outcomes
the group wants to achieve. As these tasks are being
accomplished, off-site locations can be researched. Once
all of these elements are decided on, the retreat is in
the "go" mode. The facilitator will then take over, work-
ing with the group to develop ground rules and en-
couraging active involvement by all participants so that
the agenda of the retreat can be followed. As the hard,
rewarding work of the retreat comes to an end and
hands are shaken and good-byes are spoken, one last
task remains: afollow-up action plan must be created
to ensure that the decisions made on the retreat are
documented and implemented.
The Retreat as Volume 33/ Number 1
Management Tool January 2001
42636
C O V E R S T O R Y
70 Habits
Of Highly Effective Councils
ocal government operations directly affect our daily exis-
tence and experiences and the quality of life that we per-
ceive we have within our communities. No local govern-
ment deserves, nor should its citizens tolerate, a
council or governing body that isn't extraordi-
narily effective and competent in leading the
community.
Thomas Cronin, a recognized authority on public policy,
defines leadership as "making things happen that might not
otherwise happen and preventing things from happening
that ordinarily might happen. It is a process of getting peo-
ple together to achieve common goals and aspirations. Lead-
ership is a process that helps people transform intentions
into positive action, visions into reality."
The quality of leadership effectiveness demonstrated by a
governing body and its ability to be a highly effective council
are not attributes bestowed upon it by a swearing-in cere-
mony. They are the results of disciplined adherence to a set
of fundamental principles and skills that characterize highly
effective governing bodies. Here, then, are 10 "habits" of
highly effective councils, based upon the author's observa-
tions of hundreds of governing bodies over the past 20 years.
NOVEMBER 'I997
4
Think and Act
Strategically
A council's primary re-
sponsibility is not just to make policy
or to do its "Roman emperor" routine
(thumbs down or thumbs up) on
agenda items at public meetings. It is
to determine and achieve the citizens'
desires for the community's future.
Councils and their administrative
teams must accept responsibility for
shaping the future of their communi-
ties by expanding their mental hori-
zons to identify and meet the chal-
lenges that must be addressed through
decisive leadership and through shared
goals for the attainment of that future.
A strategic leader always comes
from the future and takes you "back
to the future" from the present. This
leadership adventure starts with a vi-
sion and evolves into a definition of
the strategic issues that must be mas-
tered to achieve the vision. The next
step is the development of long-range
goals that address these strategic is-
sues and that provide adecision-mak-
ing and budgetary basis for the suc-
cessful implementation of these goals.
Living from one annual budget to an-
other and from one council meeting
to the next condemns your commu-
nity and its future to happenstance
and to the type of thinking that often
befuddles national governance and
policy.
For this reason, polls show that an
overwhelming majority of citizens
want important issues affecting their
lives to be decided at the local, home
town level. Here, they expect leader-
ship, sound thinking, and decisive ac-
tion. In spite of this citizen expecta-
tion, a 1996 survey conducted by the
International City/County Manage-
ment Association (ICMA), "Survey of
Current Practice in Council-Manager
Governments," indicates that fewer
than 40 percent of all councils set
long-term strategic goals to guide their
semimonthly forays into decision
making.
Understand and
Demonstrate the
^ Elements of
Teams and
Teamwork
By law, councils exist and have authority
only when their members convene as
bodies to do business. They also are
components of corporate beings that
must speak, act, and fulfill their commit-
ments with one voice and in a mature,
effective, and reliable manner. Councils
are collections of diverse individuals who
come together to constitute and act as an
entity, and only when operating as an
entity can they exercise authority and
perform in fulfillment of their purpose.
This is a classic definition of "team."
Carl Larson and Frank LaFasto, two pre-
eminent authorities on teams and team-
work, define a team as an entity com-
prising two or more people working
together to accomplish a specific pur-
pose that can be attained only through
coordinated activity among the team
members. In short, a team exists to ful-
fill aspecific function or purpose and is
made up of disparate, interdependent
people who collectively achieve a capac-
ity that none of its members could
demonstrate individually.
Teams always have two components
that we might call their S components:
systemicness and synergy. All teams are
systemic by definition, being made up of
interdependent parts (people) who af-
fect each other's performance and that
of the team. Synergy is the ability to
achieve an effect, when working to-
gether as a team, that is more than the
sum of the team members' individual ef-
forts. While all teams are systemic, rela-
tively few are genuinely synergistic un-
less their members understand, master,
and demonstrate the fundamentals of
teamwork, which are:
• A clear sense of purpose.
• A clear definition of the roles and re-
lationships that unite individual tal-
ents and capacities to achieve team
performance.
• Integration of members who have
basic technical, interpersonal, and
decision-making competence.
• A commitment to team success and
performance excellence.
• A climate of trust, openness, and mu-
tual respect.
• Clear standards of success and per-
formance excellence.
• The support, resources, and recogni-
tion to achieve success.
• Principled and disciplined leader-
ship.
Highly effective councils spend time
building their sense of being a team and
enhancing their skills in productive
teamwork.
Master Small-
Group Decision
~ Making
Most councils are classic small grou
with fewer than a dozen people. Sm
groups demonstrate certain skills an
behaviors that link their members
gether. They also have knowledge of
processes they must follow to make
cisions in fulfillment of their purpo
Figure 1 summarizes the skill sets ess
tial to small-group effectiveness.
Clearly Define
Roles and
~ Relationships
ps,
all
d
to-
the
de-
se.
en-
Each team member, whether mayor or
councihnember, makes a contribution
to and has a relationship with the team.
Contributions and relationships must
be defined in terms of the role to be as-
sumed and how that role is to be carried
out through the behavior of the person
in the role.
A role has two elements: function, the
specific responsibilities of that role, re-
gardless of incumbency; and perfor-
mance, the behavior of the person occu-
pying the role in fulfilling his or her
responsibilities. Councils, through char-
ter, statute, or ordinance, have a clear
definition of their function. The perfor-
PUBLIC MANAGEMENT 5
Figure 1. Effective Small-Group Decision Making
Interpersonal Skills
The ability to work with others
• Listening to and understanding
the views of others
• Constructively confronting and
resolving differences .
• Supporting others and showing
respect for their ideas
• Participating actively in
discussions
• Taking "time outs" to discuss
how well group members
interact
An EFFECTIVE Small Group
Task Skills
Knowledge to do a job
• Knowing the form and role of
the organization
• Knowing law, policies, and
procedures
• Showing civility and good
manners
• Using professional and technical
knowledge
Rational Skills
Ability to deal with issues
and problems rationally
• Selecting and prioritizing the
issues to be addressed
• Analyzing issues and related facts
• Identifying objectives and
outcomes
• Considering alternative
strategies and courses of action
• Assessing obstacles and
consequences
• Reaching consensus decisions
• Evaluating and following up
mance component must be defined
within the team through discussion and
mutual definition of those behaviors
and practices expected of the mayor and
councilmembers in the conduct of their
duties and interactions.
Vince Lombardi, when asked what
made a winning team, replied, "Start
with the fundamentals. A player's got to
know the basics of the game and how to
play his [her] position. The players have
to play as a team, not a bunch of indi-
viduals. The difference between medi-
ocrity and greatness is the feeling the
players have for each other;' that is, their
relationships. Teams talk about and de-
fine expected roles and relationships
and give constructive feedback to their
members on the degree to which they
are fulfilling these expectations.
Establish and Abide
by a Coancil-Staff
Partnership
We have all heard the saying "Council
makes policy, staff implements policy."
Well, this is a total misconception of re-
ality. Polity making and policy imple-
mentation are not distinct and separate
functions. Policy making/implementa-
tion is a continuum of thought and rela-
tions that transforms ideas and abstrac-
tions (visions, policies, goals, and plans)
into defined, observable ends or out-
comes (results, programs, buildings,
streets, deliverable services). Council
and staff share this continuum as part-
ners ensuring each other's success. Each
person plays an important role in mak-
ing sound policies and in ensuring their
effective implementation through reli-
able administrative practices and perfor-
mance. Figure 2 depicts this partnership
and continuum.
John Carver, a widely acclaimed au-
thor who writes about boards that make
a difference, discusses this partnership
as one in which councils define the
needs to be met and the outcomes to be
achieved. He believes that councils
should allow staff, within council-estab-
lished limits, to define the means for
achieving these ends. He sees acouncil-
staff linkage that empowers staff to do
its tasks and to be evaluated on the re-
sults produced.
Councils that accept and abide by this
partnership focus their energy on estab-
lishingvision, goals, and good polity and
on empowering effective staff perfor-
mance. Councils that do not do this will
frequently fall into micromanaging, that
is, they will perceive a need to become
involved in, or retain approval over, even
minor staff activity and plans.
A critical element and important
council task in this partnership is evalu-
ation of the manager or administrator,
based upon clearly defined goals, poli-
cies, and established guidelines on exec-
utive performance. According to the
1996 ICMA survey, only about 45 per-
cent of all councils formally evaluate
their managers' performance.
Make a Systematic
Evaluation of
Policy
~ Implementation
Councils, like most legislative bodies,
frequently exhibit the Jean Luc Picard
syndrome (Star Trek II) and simply tell
their staffs: "Make it so:' They assume
that council action equates to polity and
program implementation. The next
time the council hears about polity is
when a problem or crisis arises.
In contrast, highly effective councils
6 NovEMBER 1997
G A
O D
A M M
'~ M L I A
_
I--- _
- S ~• P N N
S / -n-- I A
S R L ~, S G
I E I ',T E
O S C R---_ _ M
N U Y A E•._
L T N
T I T
S O
N
expect periodic feedback on polity re-
sults and on possible polity amend-
ments that may be required. This feed-
back can be provided through progress
reports, status memos or newsletters,
and polity reviews.
Allocate Council
Time and Energy
~ Appropriately
Councils, like other teams, play in a
number of settings or arenas to achieve
overall, peak performance. There are
four council-staff arenas, and each must
be appreciated for its purpose and for its
contribution to a council's effectiveness:
• Goal setting (retreats or "advances").
• Exploration and analysis (study
sessions).
• Disposition legislation (regular pub-
lic meetings).
• Community relations (interactions
with constituents and with other
agencies).
Figure 3 shows the purpose, typical
setting, focus, and key chazacteristics of
each azena. All four azenas are essential
to highly effective councils' fulfillment of
their leadership, polity-making, goal-
setting, and empowering responsibilities.
A highly effective council will hold at
least one goal-setting retreat or "ad-
vance" annually. It also will hold two
study sessions monthly, usually between
regularly scheduled public hearings.
Here, councihnembers will confer with
staff and other experts on significant
items under consideration that will
eventually require official actions.
While these meetings should be open
to the public as observers, the public
should not participate in the council-
staff dialogue. Many councils short-
change this arena, pushing the opportu-
nity for learning into the formal public
hearing, which is not designed to pro-
mote much in-depth analysis of complex
issues. The arena ofdisposition/legislation
is designed to get to a vote, not to pro-
mote careful analysis of complex issues.
The fourth arena, community rela-
tions, is becoming more important. It is
rapidly transforming the role of the
council and how it spends its time.
Communities today are more dependent
upon sophisticated alliances and pazt-
nerships among groups, both public and
private entities. Jurisdictions are subject
to multiple, profound changes in how
public officials operate. Today, the com-
munity arena requires more time spent
in interactions outside city hall and puts
greater time pressure on mayors and
councilmembers.
Set Clear Rules
and Procedures
for Council
^ Meetings
Council meetings east for the purpose
of doing the council's business. Litera-
ture on how to conduct effective and
productive meetings specifies the need
for an adherence to clearly defined rules
and procedures.
PUBLIC MANAGEMENT 7
Figare 3. Arenas for Governing Body. and Staff Performance
Exploration and Disposition/
Arena
Purposes.
Typical Setting
Focuses
Key Characteristic
Goal Setting
• Establish vision
• Explore potentials
• Set goals
• Set direction/
priorities
-Community
-Services
-Staff action
-Budgets
Retreat or advance-
informal off.-site
• Future of community
• Evaluation of
-Needs
-Trends
-Strategic issues
• Community desires
and values
• Leadership
s • informality
• .Sharing of options
• Open dialogue
• Creative thinking
• Humor and
adventure
Face-to-face/group
interaction
• Understanding the
issue(s)
• Problem
identification
• Selecting "best
options"
• Building
commitment
Study session-
conference room
• Developing knowl-
edge for decision.
,making
• Sorting of options
• Examining
consequences
• Setting strategies
• Making competent
and. informed
decisions
• Starting council-staff
dialogue
• Questioning and test-
ing ideas
• Exchanging
information
• Negotiating and
consensus building
• No.voting
• Face-to-face/group
interaction
• Taking official action
• Voting on items
-Resolutions
-Ordinances
• Gathering public
input
• Mobilizing support
Community
Relations
• Interacting with
constituents/citizens
• Building alliances
• Doing outreach and
liaison
• Coordinating with
other entities
Public-formal council Numerous-
meeting in chambers diverse formats
• Going through the • Communicating
.agenda (formality)... • Problem solving
• Showing authority • Collaborating and
• Ratifiying/adopting coordinating
•.Dealingwith political • Forming
pressures partnership(s)
• Identifying • Acting as a
psychological needs community
• 1vleeting formally • Being "outside" city
• Setting aril following hall
rules and procedures • Responding to
• Encouraging public requests.
npufi and • Starting joint
involvement ventures
• Gaining high • Facilitating
visibility interagenry activity
• Dealing with • Using multiple inter-
pressure/advocacy action modes and
from groups communication
• Voting techniques
• Interacting as groups
Many councils, however, drift from
these rules and procedures in pursuit of
informality, collegiality, and "just being
nice:' They let their meetings drone on
with a lack of focus, redundant com-
ments, and endless discussion.
Rules and procedures do not pre-
clude citizen input, courtesy, or sensi-
tivity to public concerns and view-
points. They respect all these elements
and the necessity to conduct business in
an orderly, disciplined, and productive
manner.
Get a Valid
Assessment of the
Public's
~ Concerns and
an Evaluation of the
Council's Performance
Elections are contests among individuals
vying to become members of the coun-
cil. They are not valid, objective assess-
ments of the public's feeling about the
quality of the council's performance as a
governing body and about whether or
not it is addressing issues effectively.
Highly effective councils seek feedback
through a number of market research
tools such as focus groups, surveys, and
questionnaires. Typically, the phone calls
a councilmember receives or the com-
ments made in public hearings are not
valid or accurate reflections of the entire
communit}~s sentiments about issues and
about the council's performance. "Market
research feedback" should be ongoing
and should be included in the annual
goal-setting retreat or advance.
$ NovEMBER 7997
Practice
Continuous
Personal
~ Learning
and Development as a
Leader
Leaders read, attend workshops, and
constantly seek information, under-
standing, and insight. Highly effective
councils are composed of members who
honestly know they don't know it all.
They take advantage of the myriad of
opportunities to learn and to perfect
their skills by reading, going to state and
national municipal league workshops,
and attending every forum that can ex-
pand their skills to lead and govern well.
A highly effective council also learns
as a council. It works closely with the
manager to improve its leadership skills
and the council-manager relationship,
assessing objectively its performance on
each of the 10 habits. This assessment
should include the observations of coun-
cilmembers, manager, department heads,
and selected members of the community
who have occasion to work and interact
with councilmembers. The effective
council should decide where gains can be
made, then set up the opportunity
through council workshops to learn the
skills needed to make these gains.
In 1990, Mayor Margaret Carpenter
and City Manager Jack Ethredge of
Thornton, Colorado, began a process
with Thornton's council to increase the
council's leadership skills and effective-
ness that incorporated the 10 habits de-
scribed in this article.
First, the council conducted a careful
reexamination of the city's mission and
the role that it had to assume to ensure
fulfillment of that mission. Then, in dis-
cussions with the city manager, coun-
cihnembers made a commitment to lead-
ership innovation and excellence that
focused on long-term and strategic issues
vital to the community's future. The pro-
cess involved advances, close attention to
community feedback through focus
groups and surveys, and frequent self-
evaluation of both council's and staff's
The Manager's Role in
Building: a Highly Effective
toundl
• Focus the council on leadership
and achieving a quality future for
the community.
• Select a time and place to conduct
a facilitated discussion about fac-
tors affecting the council's effec-
tiveness: It is recommended that
the: manager be involved in this
discussion.
• Invite 'the council to assess can`
didly and objectively. its perfor-
mance relative to the 10 habits of
highly effective councils included
in this article and other effective-
ness indicators that councihnem-
bers feel are appropriate.
• Have the council identify where
significant.-gains in effectiveness
are desired.
• Develop specific strategies and op-
portunities with. the council to
.achieve desired goals.
• Schedule specific skill-building
workshops for the council: Include
key staff members when the focus is
on council-staff relationship issues.
• Establish a processwith thecoun-
cil to evaluate gains that have been
made and to target:new opportu-
pities for improvement:
• Remember:: peak performers -con-
stantly seek to improve their ,per=
formance. They know they- are on
an endless journey of growth,
performance effectiveness; and
achievement:
performance and sense of partnership.
Now, the council holds multiple ad-
vances each year to define and validate its
strategic perspective and polity leader-
ship. Skill development workshops ac-
company these advances and focus on
defined needs that are identified by coun-
cilmembers. Specific "time-outs" are
taken to evaluate how the council is func-
tioning as a team, as well as how it func-
tions with staff and with the community.
The continuous quest for effectiveness al-
ways begins with the question "Is there
more we should be doing to improve our
leadership performance and to ensure a
quality future for our community?"
As Jack Ethredge observes: "The entire
process has helped Thornton's council to
identify the issues that are essential to
achieving our community's goals and to
building collaborative relationships with
citizens and with staff to agree about the
goals. Thornton now is a community of
partnerships, all focusing on a vision and
using our combined resources to become
the city we want to be in the future. There
has been a real breakthrough in the
amount of creative energy that is moving
Thornton forward."
The last, and probably most impor-
tant, point: Keep your sense of humor.
Governance is a serious business dealing
with the vital issues affecting our com-
munities and the quality of life we expe-
rience within them. But humor reduces
friction and stress, lets others know that
we and they are human, and brings a
pause that refreshes our insight and
commitment. It is essential to forging
and maintaining good relationships.
Every community deserves nothing
less than a highly effective council that
embraces accountability for the commu-
nity's performance in creating its future
and in effectively addressing, in the pre-
sent, those challenges vital to attaining
that future. That is what is at stake: our
communities' future. With few excep-
tions, every council can be highly effec-
tive and can provide strong leadership,
but to become effective will require a
good governance model and disciplined
adherence to the fundamental habits of
effectiveness.
Carl Neu, Jr., is executive vice president of
Neu and Company, Lakewood, Colorado.
All rights are reserved to Neu and Com-
pany and the Center for the Future of
Local Governance, 1997.
PUBLIC MANAGEMENT 9
L,y~rchl~r>tr~ City Council illeuns
Adopted Januar~~ 23, 20t-1
Reaffirmed I)eccmber 11, 2001
Council Policy Role
1. The City Council is responsible for setting the policies and holding the City Manager
accountable for achieving those policies.
2. Council will formulate policy by determining the broadest policies before progressing
3.
4.
to more narrow ones.
Council should focus primarily on ends, while providing broad guidance regarding
means so that staff can utilize their expertise and creativity. Unless instructed
otherwise, staff's administrative role will ensure that:
• Efforts are within the parameters of the Council's goals, priorities and vision
principles
• Council is consulted on major issues and system changes.
The Council will be the initiator of policy, not merely a reactor to staff initiatives. Individual Council Members may
bring forth initiatives that are of significance to the entire community.
The Council will determine desired ends and priorities (relative to other priorities) by addressing: What good? For what
people? At what cost?
A~aximi;•inX Bffectit~enesc
1. The Council will use the expertise of individual members to enhance the ability of the Council to make good policy
decisions.
2. The Council recognizes that the expression of differences and the debate will ensure that we have good public policy. 1n
support of this, members' opinions will be heard and respected.
3. The City Council will be open to ideas from Council Members, the administration, and staff members.
Council-r'frlufor Role
I. The Mayor will be the spokesperson for the City Council who is most called upon, without limiting other Council
Members' ability to speak on issues.
2. The Mayor and Vice Mayor, because of their roles, have the greatest contact with the City Manager. However, the City
Manager will offer equal access to all Council members.
Communication
1. Staff should provide Council with all relevant information on matters of policy, including pros and cons, alternatives,
and professional recommendations, in order that Council may make an informed final decision.
2. Achieving mutual trust between Council and the City administration and between Council Members themselves should
be a fundamental pursuit.
3. Open and regular communication will be used to insure that Council and the administration is informed so that no one is
surprised orblind-sided.
4. Council will inform the City Manager when there is an issue meriting administrative action or decision.
5. The City Manager will insure that Council is informed about issues that have impact on a major policy area, may attract
media or public attention, or affect major stakeholders.
6. When an emergency decision must be made, the Mayor/Vice-Mayor will work with the City Manager to make the best
decision possible and the City Manager will insure that the rationale for the decision is immediately communicated to
other Council Members.
7. Council may pass along information or request information directly from staff.
S. The City Council will regularly review progress on its collective leadership, goals, priorities and operating guidelines to
insure success/relevance.
Performance Accountability
]. The City Manager will be evaluated on the accomplishment of City Council's stated goals.
2. Evaluation of the City Manager, City Attorney and Clerk of Council will be a collective act of the City Council.
3. Evaluation of the Internal Auditor will be a collective act of the Internal Audit Division.
4. The Council will never give instructions to persons who report to the City Manager.
5. Council will hold the City Manager accountable for staff performance and provide the City Manager with feedback
about staff performance in a private setting.
6. Priorities of the City Manager will be defined by the City Council's goals and priorities in support of the vision.
CITY OF PALO ALTO
PROPOSED COUNCIL PROTOCOLS
All Council Members
All members of the City Council, including those serving as Mayor and Vice
Mayor, have equal votes. No Council Member has more power than any other
Council Member, and all should be treated with equal respect.
All Council Members should:
• Demonstrate honesty and integrity in every action and statement
• Serve as a model of leadership and civility to the community
• Inspire public confidence in Palo Alto government
• Work for the common good, not personal interest
• Prepare in advance of Council meetings and be familiar with issues on the
agenda
• Fully participate in City Council meetings and other public forums while
demonstrating respect, kindness, consideration, and courtesy to others
• Participate in scheduled activities to increase Council effectiveness
• Review Council procedures, such as these Council Protocols, at least
annually
• Represent the City at ceremonial functions at the request of the Mayor
• Be responsible for the highest standards of respect, civility and honesty in
ensuring the effective maintenance of intergovernmental relations
• Respect the proper roles of elected officials and City staff in ensuring open
and effective government
• Provide contact information to the City Clerk in case an emergency or
urgent situation arises while the Council Member is out of town
Council Conduct with One Another
Councils are composed of individuals with a wide variety of backgrounds,
personalities, values, opinions, and goals. Despite this diversity, all have chosen to
serve in public office in order to improve the quality of life in the community. In
all cases, this common goal should be acknowledged even as Council may "agree
to disagree" on contentious issues.
In Public Meetings
• Use formal titles.
The Council should refer to one another formally during Council meetings as
Mayor, Vice Mayor or Council Member followed by the individual's last name.
• Practice civility and decorum in discussions and debate.
Difficult questions, tough challenges to a particular point of view, and criticism of
ideas and information are legitimate elements of a free democracy in action. Be
respectful of diverse opinions.
• Honor the role of the presiding officer in maintaining order and equitx
Respect the Chair's efforts to focus discussion on current agenda items. Objections
to the Chair's actions should be voiced politely and with reason, following the
parliamentary procedures outlined in the City Council Procedural Rules.
• Demonstrate effective problem-solving approaches.
Council Members have a public stage to show how individuals with disparate
points of view can find common ground and seek a compromise that benefits the
community as a whole. Council Members are role models for residents, business
people and other stakeholders involved in public debate.
• Be respectful of other people's time.
Stay focused and act efficiently during public meetings.
In Private Encounters
• Treat others as you would like to be treated.
Ask yourself how you would like to be treated in similar circumstances, and then
treat the other person that way.
2
Council Conduct with City Staff
The key provisions on Council-staff relations found in section 2.04.170 of the Palo
Alto Municipal Code:
"Neither the council nor any of its committees or members shall direct, request or
attempt to influence, either directly or indirectly, the appointment of any person to
office or employment by the city manager or in any manner interfere with the city
manager or prevent the city manager from exercising individual judgment in the
appointment of officers and employees in the administrative service. Except for the
purpose of inquiry, the council and its members shall deal with the administrative
service solely through the city manager, and neither the council nor any member
thereof shall give orders to any of the subordinates of the city manager, either
publicly or privately. "
Governance of a City relies on the cooperative efforts of elected officials, who set
policy, and City staff, which analyze problems and issues, make
recommendations, and implement and administer the Council's policies.
Therefore, every effort should be made to be cooperative and show mutual respect
for the contributions made by each individual for the good of the community.
• Treat all staff as professionals.
Clear, honest communication that respects the abilities, experience, and dignity of
each individual is expected. As with your Council colleagues, practice civility and
decorum in all interactions with City staff.
• Channel communications throu h the appropriate senior City staff
Questions of City staff should be directed only to the City Manager, Assistant City
Manager, City Attorney, City Clerk, Assistant City Clerk, City Auditor, Senior
Assistant City Attorneys, or Department Heads. The Office of the City Manager
should be copied on any request to Department Heads. Council Members should
not set up meetings with department staff directly, but work through Department
Heads, who will attend any meetings with Council Members. When in doubt
about what staff contact is appropriate, Council Members should ask the City
Manager for direction. However, nothing in these protocols is intended to hinder
the access Council-appointed liaisons (e.g. to the San Francisquito JPA or NCPA)
may require in order to fulfill their unique responsibilities.
• All Council Members should have the same information with which to
make decisions. (This has been referred to the Policy and Services
Committee for further discussion).
• Never publicly criticize an individual employee including Council-
Appointed Officers. Criticism is differentiated from questioning facts or
the opinion of staff.
All critical comments about staff performance should only be made to the City
Manager through private correspondence or conversation. Comments about staff
in the office of the City Attorney, City Auditor or City Clerk should be made
directly to these CAOs through private correspondence or conversation-
• Do not yet involved in administrative functions
Avoid any staff interactions that may be construed as trying to shape staff
recommendations. Council Members shall refrain from coercing staff in making
recommendations to the Council as a whole.
• Be cautious in representing Citespositions on issues
Before sending correspondence related to a legislative position, check with City
staff to see if a position has already been determined. When corresponding with
representatives of other governments or constituents, remember to indicate if
appropriate that the views you state are your own and may not represent those of
the full Council.
• Do not attend staff meetings unless requested by staff
Even if the Council Member does not say anything, the Council Member's
presence may imply support, show partiality, intimidate staff, or hampers staff s
ability to do its job objectively.
• Respect the "one hour" rule for staff work
Requests for staff support should be made to the appropriate senior staff member,
according to the protocol for channeling communications. Any request, which
would require more than one hour of staff time to research a problem or prepare a
response, will need to be approved by the full council to ensure that staff resources
are allocated in accordance with overall council priorities. Once notified that a
request for information or staff support would require more than one hour, the
Council Member may request that the City Manager place the request on an
upcoming Council agenda.
• Depend upon the staff to respond to citizen concerns and complaints.
It is the role of Council Members to pass on concerns and complaints on behalf of
their constituents. It is not, however, appropriate to pressure staff to solve a
problem in a particular way. Refer citizen complaints to the appropriate senior
staff member, according to the protocol on channeling communications. The
senior staff member should respond according to the Policy and Procedure for
4
Responding to Customer Complaints. Senior staff is responsible for making sure
the Council Member knows how the complaint was resolved.
• Do not solicit political support from staff.
The City Charter states that "Neither the city manager or any other person in the
employ of the city shall take part in securing or shall contribute any money toward
the nomination or election of any candidate for a municipal office." In addition,
some professionals (e.g., City Manager and the Assistant City Manager) have
professional codes of ethics, which preclude politically partisan activities or
activities that give the appearance of political partisanship.
Council Conduct With Boards and Commissions
The City has established several Boards and Commissions as a means of gathering
more community input. Citizens who serve on Boards and Commissions become
more involved in government and serve as advisors to the City Council. They are a
valuable resource to the City's leadership and should be treated with appreciation
and respect. Council Members serve as liaisons to Boards and Commissions,
according to appointments made by the Mayor, and in this role are expected to
represent the full Council in providing guidance to the Board or Commission. In
other instances, Council Members may attend Board or Commission meetings as
individuals, and should follow these protocols:
• If attending a Board or Commission meeting, identify your comments as
personal views or opinions.
Council Members may attend any Board or Commission meeting, which are
always open to any member of the public. Any public comments by a Council
Member at a Board or Commission meeting, when that Council Member is not the
liaison to the Board or Commission, should be clearly made as individual opinion
and not a representation of the feelings of the entire City Council.
• Limit contact with Board and Commission members to questions of
clarification.
It is inappropriate for a Council Member to contact a Board or Commission
member to lobby on behalf of an individual, business, or developer, or to advocate
a particular policy perspective. It is acceptable for Council Members to contact
Board or Commission members in order to clarify a position taken by the Board or
Commission.
5
• Remember that Boards and Commissions are advisory to the Council as a
whole, not individual Council Members.
The City Council appoints individuals to serve on Boards and Commissions, and it
is the responsibility of Boards and Commissions to follow policy established by
the Council. Council Members should not feel they have the power or right to
threaten Board and Commission members in any way if they disagree about an
issue. A Board or Commission appointment should not be used as a political
"reward."
• Concerns about an individual Board or Commission member should be
pursued with tact.
If a Council Member has a concern with the effectiveness of a particular Board or
Commission member and is comfortable in talking with that individual privately,
the Council Member should do so. Alternatively, or if the problem is not resolved,
the Council Member should consult with the Mayor, who can bring the issue to the
Council as appropriate.
• Be respectful of diverse opinions.
A primary role of Boards and Commissions is to represent many points of view in
the community and to provide the Council with advice based on a full spectrum of
concerns and perspectives. Council Members may have a closer working
relationship with some individuals serving on Boards and Commissions, but must
be fair to and respectful of all citizens serving on Boards and Commissions.
• Kee olitical su ort awa from ublic forums.
Board and Commission members may offer political support to a Council
Member, but not in a public forum while conducting official duties. Conversely,
Council Members may support Board and Commission members who are running
for office, but not in an official forum in their capacity as a Council Member.
• Maintain an active liaison relationship.
Appointed Council liaisons are encouraged to attend all regularly scheduled
meetings of their assigned Board or Commission, or to arrange for an alternate.
Staff Conduct with City Council
• Respond to Council questions as fully and as expeditiously as is practical
The protocol for staff time devoted to research and response is in application here.
If a Council Member forwards a complaint or service request to a department head
or a Council Appointed Officer, there will be follow-through with the Council
Member as to the outcome.
6
• Respect the role of Council Members as policy makers for the Cif
Staff is expected to provide its best professional recommendations on issues. Staff
should not try to determine Council support for particular positions or
recommendations in order to craft recommendations. The Council must be able to
depend upon the staff to make independent recommendations. Staff should
provide information about alternatives to staff recommendations as appropriate, as
well as pros and cons for staff recommendations and alternatives
• Demonstrate professionalism and non partisanship in all interactions with the
community and in public meetings
• It is important for the staff to demonstrate respect for the Council at all times.
All Council Members should be treated equally
ELECTRONIC MAIL COMMUNICATIONS
As society evolves in an increasingly electronic world, we need to have a reliable
system to record and make public all a mail communications and responses to and
from Council Members. Staff commits to working to create and implement such a
system.
OTHER PROCEDURAL ISSUES
• Commit to annual review of important procedural issues.
At the beginning of each legislative year, the Council will hold a special meeting
to review the Council protocols, adopted procedures for meetings, the Brown Act,
conflict of interest, and other important procedural issues.
• Don't politicize procedural issues (e.g. minutes approval or agenda order)
for strategic purposes.
• Submit questions on Council agenda items ahead of the meeting_
In order to focus the Council meetings on consideration of policy issues and to
maintain an open forum for public discussion, questions which focus on the policy
aspects of agenda items should be discussed at the Council meeting rather than in
one-on-one communications with staff prior to the meetings. Any clarifications or
technical questions that can be readily answered can be handled before the
7
meeting. Council Members are encouraged to submit their questions on agenda
items to the appropriate Council Appointed Officer or Assistant City Manager as
far in advance of the meeting as possible so that staff can be prepared to respond at
the Council meeting.
• Respect the work of the Council standing committees.
The purpose of the Council standing committees is to provide focused, in-depth
discussion of issues. Council should respect the work of the committees and re-
commit to its policy of keeping unanimous votes of the committees on the consent
calendar.
• The Mavor and Vice Mavor should work with staff to plan the Council
meetings.
There are three purposes to the pre-Council planning meeting: 1) to plan how the
meeting will be conducted; 2) to identify any issues or questions that may need
greater staff preparation for the meeting; and 3) to discuss future meetings. The
purpose of the meeting is not to work on policy issues. Normally, only the Mayor
and Vice Mayor are expected to attend the pre-Council meetings with the City
Manager and other CAOs.
Note: Enforcement of these protocols will be the focus of continued Council
discussion.
8
m ~IAMIBEACH
OFFICE OF THE CITY MANAGER
NO. LTC #004-2008 LETTER TO COMMISSION
TO: Mayor Matti H. Bower and Members of the City Commission
FROM: Jorge M. Gonzalez, City Manage
DATE: January 9, 2008
SUBJECT: Commission Retreat -January 11 and 12, 2008
The purpose of this LTC is to provide you with a copy of the agenda and related materials
for the Commission Retreat which will be held on January 11 and 12, 2008 at the Miami
Beach Resort and Spa, located at 4833 Collins Avenue.
I have attached copies of articles that may be of interest to you, and can aide with the
discussion. The articles are as follows:
• The Retreat as Management Tool
• 10 Habits of Highly Effective Councils
• Lynchburg City Council Means
• City of Palo Alto -Proposed Council Protocols
If you have any questions or need any additional information, please feel free to contact me.
JMG/DM
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m J~IAMIBEACH
City Commission Retreat
Miami Beach Resort & Spa
Room: Miramar South
4813 Collins Avenue
,January l 1-12, 2008
"Enhancing Our Team's Effectiveness"
AGENDA
Friday, January 1 1
9:00 a.m. Arrivals & Administration of DISC Classic Profile
9:30 a.m. A Fresh Look
• Perceptions from Anew
• What resonated on the campaign trail?
10:30 a.m. Where We've Been -How We Got Here
• Avoiding Revolution through Evolution
• A Historical Perspective
1 1:00 a.m. BREAK
1 1:15 a.m. Leaving a Legacy
• What is your passion?
• What do you hope to accomplish?
• Current Priorities -Where is the fit?
• How can other help you? How will you help
others?
12:30 p.m. LUNCH
(OVER)
We are committed to providing excellent public service and safey to all who live, work, and play in our vibrant, tropical, historic communiy.
1:45 p.m. Defining Our Roles and Responsibilities
• Roles and Responsibilities: City Commission, City
Manager, Executive Team, Leadership Team
• What is the job description of individual
Commission Members?
• Policy Setting vs. Implementation of Policy
(Flying High vs. Low)
3:00 p.m. BREAK
3:15 p.m. DISC Profiles-Review and Discussion of Results
• Assess and discuss the differences in
communication and decision-making styles
• Discuss how such differences affect one's role
within the City
We are committed to providing excellent public service and safety to all who live, work, and play in our vibrant, tropical, historic communiy.
m Pv11AMIBEACH
City Commission Retreat
Miami Beach Resort & Spa
Room: Miramar South
4813 Col I i ns Avenue
January 1 1-12, 2008
"Enhancing Ovr Team's Effectiveness"
AGENDA
SaturdaX, January 12
9:00 a.m. Arrivals /Check-in /Review of Prior Day
9:30 a.m. Review of the Miami Beach Excellence Model
• Making Decisions based on Data
• The Voice of the Customer-More than the Squeaky
Wheel
• Process Improvement vs. Fire-Fighting
• How can we improve upon what we have?
1 1:00 a.m. Essentials of Highly Effective Boards
• Common Vision -What common threads exist
among each of us?
• Communication Ground Rules
• Valuing Differences -Code of Conduct
• Leveraging Strengths -What are yours? What do
you need from others?
• Action-Oriented -Getting Things Done /
Overcoming Barriers
12:30 p.m. LUNCH
(OVER)
We are committed to providing excellent public service and safety to all who live, work, and play in our vibrant, tropical, historic community.
1:30 p.m. If I Only Knew...
• Accelerating the Learning Curve
• Leveling the Playing Field
• What would you have liked to know?
• What do you need to know (processes, terminology,
do's & don'ts)?
3:30 p.m. Wrap-Up and Preparation/Recommendations for
Next Retreat
We are committed to providing exceflent public service and safety to all who live, work, and play in our vibrant, tropical, historic community.
The Retreat as
Management Tool
The idea of a retreat conjures up different images for
different people. Since retreats can be extremely var-
ied in content and format and are used for a variety of
purposes, this report will cover several types of retreats
as well as retreat outcomes. It will focus on elements
of success that may be helpful to public officials plan-
ning and holding retreats, and it will explain areas of
sensitivity that require special attention.
Many city councils, county commissions, and other
governing boards rely on annual retreats to set goals
for the coming year. Strategic or long-term planning is
often accomplished during retreats, either by local gov-
ernment staff, governing boards, or a combination of
both. Besides single subject sessions (like strategic plan-
ning), retreats are useful for other purposes. For ex-
ample, team building retreats are a popular way to
bring disparate people together, foster greater mutual
Seven steps to success
• Plan the retreat from beginning to end. Identify
the goals of the retreat including the objectives
for the meeting.
• Designate a facilitator (preferably a neutral
party trained and skilled in facilitation
techniques).
• Develop an agenda,
• Find an off-site location, Provide a comfortable
environment with adequate refreshments that
is conducive to work.
• Agree on ground rules that promote a safe
and courteous environment.
• Encourage active participation throughout.
• Be specific about follow-up. Develop an
implementation plan that designates
responsibility and time lines.
Amy Cohen Paul, the author of this report, is a partner with
Management Partners, Inc., a consulting firm that
specializes in helping local government managers improve
the way their organizations operate. Ms. Paul has more than
twenty years of experience assisting local governments in a
variety of areas. She has helped lead retreats for public
officials and management teams; conducted community
workshops; facilitated strategic planning processes; provided
training, design, and installation of performance
measurement systems; conducted benchmarking studies; and
led organizational assessments. She was the editor of
ICMA's Managing for Tomorrow: Global Change and
Local Futures (1990).
understanding, and help them cooperate. Retreats can
be used to resolve conflict that is interfering with a
group's work. Regardless of the purpose of the retreat,
the very act of planning and holding a retreat sends a
message to the participants: we have set aside time to
discuss this important subject, and we have work to
accomplish.
The seven steps discussed in this report provide
guidance on how to help ensure a successful retreat
experience. These steps represent a compilation of ad-
vice from experts: local government managers who
have benefited from using retreats and consultants who
have facilitated them.
PLAN THE RETREAT
Planning is the first key element to a successful retreat.
First, think about what you hope to accomplish and
the nature of the group involved. What is the purpose
of the retreat? Do you want to set goals for the coming
year? Is the local government facing aone-time crisis
or a long-term problem? Do you have a long agenda
with complex issues? Is the group used to working to-
gethercollaboratively, or will this be a new experience?
The answers to questions such as these will help de-
termine the time requirements of the retreat as well as
its timing during the calendar year. In addition, the an-
swers will influence the choice of participants, the lo-
cation, the type of facilitation techniques used, and
other aspects of the event.
Open-meeting laws may affect your retreat. While
it is quite appropriate to have the public observe pub-
lic officials setting public policy, some retreat subjects
are more comfortably discussed without an audience.
This is especially true if the purpose of the retreat is to
give direction to or to evaluate an appointee of coun-
cil. Some managers report asking the media not to at-
2 Inquiry Service Report
tend. Depending on the relationship you have with the
media, this prohibition may or may not be appropri-
ate. Other managers have found that scheduling a re-
treat for a weekend minimizes media attention.
Sometimes holding the retreat some distance away
from the local government's jurisdiction discourages
onlookers. Of course, if they suspect that you are try-
ing toavoid them, the press may follow you to the ends
of the earth! Your own laws and local media practices
will determine the most appropriate approach for your
retreat.
The time spent during preparation will help de-
termine the success of your retreat. Planning gives you
the ability to articulate what it is the group wants to
accomplish. The answer to that question should drive
every activity during the retreat. While there is not one
"right" way to prepare, experts have a variety of sug-
gestions.
eration. You may want to hold the goal-setting retreat
before you begin preparing the budget, so that re-
sourcesneeded to achieve the goals are reflected in the
budget. On the other hand, if the purpose of the re-
treat is team building, the preferable timing may be
following an election or before a series of important
council meetings.
Be sure to give participants enough advance no-
tice so that they can arrange to attend the retreat, par-
ticularly if a weekend is involved or time away from
work is required. Be sensitive to participants' needs and
their time constraints. As you plan, think about what
you can realistically accomplish during the retreat. For
example, athree-hour retreat will not yield the same
level of discussion or outcome as a retreat spanning a
day and a half.
Decide Who Should Participate
Time and Timing
If the purpose of the retreat is to set goals for the com-
ing year, the timing of the retreat in terms of the local
government's fiscal cycle will be an important consid-
Another critical part of the planning process, once the
broad objective of the retreat is defined, is to consider
the question "Who should participate?" Participation
can be a dicey issue. Even when the retreat is targeted
to one group, such as the city council or county com-
Pre-retreat interview questions for department staff
Core staff
How would you describe the overall purpose of
your department?
To what degree do you experience employees
being clear about the purpose of the depart-
ment?
To what degree do you see the department's
leadership focused on this purpose?
How do you experience the city's/department's
ability to set priorities?
Customers
Whom do you see as your customers?
To what degree do you experience your depart-
ment/team/city aligning itself toward the interests
of its customers?
Consequences
To what degree do you experience the city as a
place that makes results matter?
Does your team/department have goals/perfor-
mance measures?
Is everyone aware of these goals/performance
measures?
How often are these goals measured?
Are the results communicated throughout the
agency?
How are people held accountable within the
organization?
How do you know whether or not you are suc-
cessful in your job?
Are there any rewards for good performance or
consequences for poor performance?
Control
Do you feel that you have the information you
need to do your job effectively?
Do you have the authority to make decisions you
think you should be making?
Culture
How would you describe working here in one
word or phrase?
To what extent do you feel trusted by others?
To what extent do you feel empowered?
To what extent do you feel valued/appreciated?
Are there any unwritten rules in your department/
city government? What are they?
Trends
What do you see as the most critical issues or
trends (internal and external) facing the city?
Politics
How do you think your department is viewed by
the city council?
Infrastructure and resources
Are there particular resource constraints or op-
portunities that you think we should be aware of?
Leadership
What do you think the city/department should do
to improve its performance?
What do you think are the barriers (pastor
present) to making this happen?
Contributed by Camille Cates Barnett of the
Public Sector Group.
The Retreat as Management Tool 3
mission, the "who" question may not be as straight-
forward as it seems on the surface. For example, if the
retreat is on growth management, it may be appropri-
ate to invite the chairs of the planning commission,
zoning board, or others with particular knowledge
about this subject area. When the purpose of the re-
treat is solving a complex problem or mastering a mul-
tifaceted issue, "who" participates becomes especially
important. "Not inviting the right people can be really
damaging; 'warns Michael Conduff, facilitator and city
manager of Bryan, Texas.
If a governing board is deliberating about strate-
gic planning or goal setting, it is appropriate to have
the jurisdiction's management team present. Depend-
ing onthe board, the relationships, and the agenda, staff
may be invited as full participants or just observers.
The goals of the retreat will drive these decisions. Some-
times not inviting staff can be interpreted as exclusion-
ary or distrustful. The facilitator should help the council
think through these issues before making a decision.
Solicit Input from Participants
Kurt Jenne, assistant director of the Institute of Gov-
ernment, University of North Carolina at Chapel Hill,
and former city manager of Durham, North Carolina,
prefers involving all the participants in the planning
stage for a retreat. "I always try to meet in a group for
planning purposes. I think it is essential that everybody
who is going to participate in the retreat help plan it."
He feels strongly about getting buy-in before the meet-
ingfrom all participants so that everyone understands
the goals of the retreat. "If you have someone who's
left out of the planning stage," he explains, "that could
scuttle the whole thing. They may have a legitimate
gripe if they haven't been asked about their needs."
Similarly, Jenne has a rule that everyone on the
council or board must attend the retreat. He admits that
sometimes this is hard to achieve, but he says it is es-
sential. Everyone's attendance is especially important
if the group is contentious or having trouble getting
along with one or two individuals. He described one
community that took six months to convince one of its
members to participate in a retreat. As he admits, "The
downside is that one member can hold the group hos-
tage."
Other facilitators and managers suggest conduct-
ing individual interviews before the retreat. This en-
ablesparticipants todiscuss their primary concerns and
allows any underlying issues to surface. For example,
hidden agendas sometimes come to the fore. It also
permits the facilitator to establish a relationship with
each of the participants.
Yet another way of soliciting input from partici-
pants is to administer a questionnaire in advance of
the retreat. Depending on the size of the group, this
may be the most expedient way to query the partici-
pants about their ideas and get their opinions. If a ques-
tionnaire is used, the facilitator usually tabulates results
and presents them as the jumping off point at the be-
ginning of the retreat. The sidebar on page 2 prepared
by Camille Cates Barnett (former chief administrative
officer of the District of Columbia and former city man-
ager of Austin, Texas) shows a series of interview ques-
tions that have been used as a planning tool with
department staff. Prior to the retreat, each of the par-
ticipants was asked to think about and answer the ques-
tions. This kind of attention to the topic and
self-examination before the retreat will enhance the
discussions and make the time off-site more valuable.
Identify Materials To Be Read in Advance
Retreats can be enriched when participants prepare by
thinking about issues or reading books or articles in
advance of the meeting. For example, some managers
ask all the members of their team to read the same book
and come prepared to discuss its application to their
own situation or management system (see sidebar).
Some facilitators also ask councils to provide back-
ground information or to prepare for discussion by
reading materials they have chosen on a particular
subject.
If you want participants to read materials before
the retreat, you should give them adequate notice or
provide copies for everyone involved well in advance
of the meeting.
Some jurisdictions take the preparatory work a
step farther by asking participants to prepare and sub-
mit written responses to questions in advance. Such
homework may vary significantly, depending on the
purpose of the retreat. For example, council members
maybe asked to prioritize issues to be discussed at the
retreat or respond to open-ended questions concern-
ing the city's vision and mission. One community dis-
tributed the current vision and mission statement to
each council member in advance and asked them to
edit it bycolor-coding the phrases according to whether
Retreat reading list
Motivational books that discuss business in terms of
parables have been popular among retreat plan-
ners. Who Moved My Cheese? by Spencer Johnson
and Fish! A Remarkable Way to Boost Morale and
Improve Results by Stephen C. Lundin et al, are two
examples. Management titles recommended by
managers in recent years include Zapp! The Light-
ning of Empowerment: How to Improve Quality,
Productivity, and Employee Satisfaction by William
C. Byham, Seven Habits of Highly Effective People
by Steven R. Covey, The One Minute Manager by
Ken Blanchard, The Fifth Discipline: The Art and
Practice of the Learning Organization by Peter M.
Senge, and almost any of Peter Drucker's books.
Articles by John Carver on governance are par-
ticularly relevant for governing boards,
4 Inquiry Service Report
they should be deleted, kept, or revised. As a starting
point for discussion during the retreat, the facilitator
displayed the original vision and mission statement as
well as the edited versions. This type of advance prepa-
ration enables the group to launch into a healthy dis-
cussion more quickly than if it begins the meeting
"cold."
Develop a Budget for the Retreat
When budgeting for a retreat, consider the following
elements:
• Meeting room rental
• Overnight hotel rooms (if an out-of-town site is
chosen)
• Refreshments (meals, snacks, and beverages)
• Facilitator fees and expenses, if applicable
• Miscellaneous materials and equipment
It is possible toplan aloes-budget retreat, if that is
the objective. For example, creative retreat planners
have found innovative retreat locations that cost very
little (like a local community center). The appearance
of spending too much is sometimes as important as
actual expense, so consider what will be politically ac-
ceptable in your situation when choosing among al-
ternative solutions.
Even on a very low budget, it is important not to
skimp on food and refreshments. Physical needs should
be anticipated and cared for so that participants feel
good and can focus on their work. "Breaking bread"
together as a group is a valuable component to a re-
treat because it allows participants to relate to each
other on a different level than in the working group.
Adequate time for meals as well as breaks for refresh-
ments should be allocated to encourage participants
to get to know each other.
Try to anticipate all of the equipment and materi-
als that will be needed-routine materials (such as
pens, paper, markers, flip charts, and masking tape) as
well as more unusual items (such as Power Point pro-
jectors or video players). If any outdoor adventures are
planned, other equipment might be required.
DESIGNATE A FACILITATOR
Can a retreat be successful without a facilitator? No!
Can a retreat be successful without an outside facilita-
tor? Yes, it is possible. Is there an advantage to having
a neutral party, trained and skilled in facilitation tech-
niques, guiding a retreat? Definitely! Somebody,
whether a member of the group or an outside third
party, must be responsible for filling this critical role.
Without a person explicitly designated as facilitator,
group dynamics are likely to jeopardize the objectives
of the retreat.
There are clear advantages to having an outside
facilitator at the helm during a retreat. Perhaps the most
important is that he or she can ask the hard questions
with impunity and help the group work through them.
As a neutral party, the facilitator can remain objective
and stay focused on defining the issue, the differing
points of view, and the possible solutions. If a member
of the group is acting as facilitator, he or she may have
difficulty remaining neutral when important or
emotionally charged issues are being discussed.
The second advantage of an impartial outside fa-
cilitator is the ability to pay attention to group dynam-
ics. Agood facilitator allows the group enough time to
deliberate on each agenda item yet has the skill to move
the discussion along so that the retreat accomplishes
its purpose. Besides assisting with the timing and the
pace of the meeting, the facilitator pays close attention
Facilitator interview guide
rer introducing yourself, set the stage for the
~ilitator you are interviewing by telling him or her
~nething about your jurisdiction, the group (size
~d composition) that you are anticipating having
the retreat, and the objectives that you hope to
:complish. Then choose from the following ques-
ns to help determine whether the facilitator is
ht for your group.
• Please describe your facilitation style, including
the types of exercises you like to use to engage
a group.
• Please describe a successful retreat that you
facilitated and what made it successful.
• Please describe the most difficult retreat that
you facilitated and what made it difficult,
• What type of preparation would you do for the
type of retreat I've described to you?
• Please tell me about a situation where you
were the facilitator, and there was conflict
among group members. How did you deal with
it? What was the outcome at the end of the
retreat? Did the group feel the meeting was
successful?
• Have you worked with public sector groups
before? With whom? When? Why?
• Have you ever facilitated a retreat where the
press and/or the public were present? Are you
comfortable doing that? Wouid you do
anything differently if they attend? If so, what?
• What end product(s) would we expect if you
were to facilitate this retreat?
• Are there any timing issues that we should
consider?
• Are there any requirements for retreat facilities
that we should consider if you were to
facilitate? What type of room arrangements do
you prefer?
• How long have you been facilitating groups?
What is your formal training?
• What is your fee to facilitate this type of
retreat? Does it cover expenses, or are they in
addition?
The Retreat as Management Tool 5
to the pulse of the group. For example, if a member of
the group is being counterproductive, it is the
facilitator's job to help the group work together. Like-
wise, if a member of the group isn't participating fully,
a good facilitator draws the person out to make sure
that all opinions and suggestions are on the table. The
facilitator can also make sure that hidden agendas don't
hijack the discussion or subvert the work of the retreat.
Helping lead the group to a successful conclusion
requires particular skills and experience. In a conflict
situation an outside facilitator trained in conflict reso-
lution is essential.
Choosing a Facilitator
and other physical needs of the participants.
Many facilitators prefer to work from a draft
agenda with specific time periods blocked and
identified. This enables the facilitator to track whether
the group is on target at any given time. It is usually
not necessary to share all the details included in the
draft agenda with participants. The sidebar on this page
provides an example of an agenda used during aplan-
ningworkshop retreat for The Woodlands Community
Association in The Woodlands, Texas (Steven Burkett,
president and CEO). The retreat was facilitated by Julia
D. Novak (city manager of Rye, New York).
An agenda also reinforces the outcome and the
steps that are anticipated to get there. As this example
shows, the retreat's goals and norms are articulated.
Many management and organizational development
consultants specialize in group facilitation, and many
university professors also do this type of work. Some
city and county managers are skilled facilitators; hir-
ing acolleague from another jurisdiction may be a good
option. A member of the local clergy maybe skilled in
facilitation techniques. It is important to make sure that
the person chosen to facilitate is politically neutral and
not a stakeholder in the group holding the retreat. For
that reason, in some situations an out-of-town facilita-
tor is advantageous.
Regardless of how you choose the facilitator, treat
the selection as seriously as you would treat hiring a
member of your staff. Get references and talk to others
who have worked with the facilitator. Does he or she
seem to have a good grasp of your unique situation?
Ask questions about processes that the facilitator likes
to use and make sure you are comfortable with the an-
swers. For example, some facilitators may use exercises
that could be rejected by your group as too "touchy-
feely." Choose a facilitator who is comfortable with
your group's style. Other questions to consider are in-
cluded in the sidebar on page 4. Since success depends
on interpersonal skills, after doing a basic reference
check, go with your gut reaction. Then allow the facili-
tator to use his or her skills to develop a working
agenda for your retreat.
During the selection process, be sure to ask about
fees. Some facilitators charge by the hour, but most
charge a fixed fee for the entire retreat, including prepa-
ration, on-site time during the retreat, and preparation
of a final report/action plan (if this has been agreed to
in advance). Also be sure to discuss expenses in ad-
vance. If you agree to pay expenses, be clear about what
expenses are reimbursable. For out-of-town facilitators,
expect to pay mileage or airfare as well as lodging and
meals. A local facilitator may not require expenses.
DEVELOP AN AGENDA
Developing a detailed agenda forces the planners to
think about every hour of the retreat and ensures that
time is used wisely. An agenda helps planners and par-
ticipants to anticipate breaks, time for refreshments,
Retreat agenda
Woodlands Community Association Planning
Workshop Retreat, May 13, 2000
Facilitator: Julia D. Novak
Introductions
Welcome participants and make introductions,
• Explain norms and expectations for the retreat.
Role of the board
• Review concepts from Carver Governance
Model.
• Articulate the role of the board.
Board/staff expectations
• Discuss the psychological contract and its
implications for board/staff relations.
• Articulate mutual expectations.
Issues and priorities
What are the key issues facing the Woodlands
Community Association?
What does the board need to focus on during
the next twelve months in order to achieve the
vision?
Twelve months from now, how will we know if
we have succeeded in making progress on
priority issues?
Board norms and interactions
• Discuss the purpose of articulating norms.
• Agree on critical norms for the group.
• Evaluate performance on norms.
Next steps/closing
• Get to know each other better (team building).
• Get a sense of broader community issues.
• Clarify and articulate board priorities for the
coming year.
• Develop norms and expectations for board
interactions.
• Discuss and clarify the board's decision-making
process.
• Articulate the role of the board in achieving
the mission and vision of Woodlands
Community Association.
6 Inquiry Service Report
Like a road map, the agenda enables participants to
see the path that will allow them to accomplish their
work. If warranted by the discussion and agreed upon
by the group, detours from the path may occur.
FIND AN OFF-SITE LOCATION
Although leaving the jurisdiction is sometimes not po-
litically acceptable, it is advantageous to locate a re-
treat off-site. By meeting somewhere other than the
regular council chambers or conference room, the
group is less prone to "business as usual" and less likely
to be distracted by outside influences. Many manag-
ers think an off-site location makes a retreat more pro-
ductive.
Some facilitators report urging participants not to
call the office on their breaks. Laudable in concept, this
"rule" is difficult to enforce. However, being off-site
does emphasize the importance of the work to partici-
pants and helps reduce their inclination to run back to
the office or try to conduct regular business during the
retreat.
Since appearances are important in the public con-
text, the location of the retreat should be considered
carefully. Beware of fostering the perception that the
council is holding its retreat in the lap of luxury, for
example. One Midwest jurisdiction flew its department
heads to a California resort for a management retreat,
and the press had a field day. State parks and universi-
ties may offer lower-cost alternatives and provide ideal
facilities for retreats. Community centers and senior
centers also can be good locations.
DEVELOP GROUND RULES
Before beginning work on the substance of the retreat,
the group should agree on ground rules. Ground rules
establish working assumptions about conduct and ex-
pectations and can be referred to as needed by the fa-
cilitator or group members. The ground rules used by
the village of Clemmons, North Carolina, for its coun-
cil retreat are shown in the accompanying sidebar. Al-
thoughground rules like these may seem like common
sense (and definitely reflect common courtesy), they
Suggested ground rules for working groups
Ground rules are commitments made to one another by members of a working group that are designed to
help the group function more effectively. The following are some that we have found to be useful to governing
boards, not only in retreats, but also in the conduct of their regular business.
Share all relevant information. When the board is discussing an issue, it is helpful for the members to share all the
information they have that is relevant to understanding the issue or solving the problem at hand. The informa-
tion may be facts, feelings, reactions, opinions, etc, Each person must take responsibility for sharing whatever
information he or she holds and not assume that others in the group know it already. The group cannot use it
until it has it.
Be specific and use examples. Speaking in generalities often makes it difficult for others to understand because
each person's experience is different. Saying specifically what you mean increases the chances that you will be
understood. Using an example can give each person who is listening a common reference point,
Test assumptions and inferences publicly. If someone makes a statement that seems to you to include an un-
supported assumption,you can avoid a lot of misunderstanding by verifying that the person made that assump-
tion and finding out why he or she made it. You can also test out your own assumptions by asking the group if
your assumption is correct.
Define what important words mean. Often words mean different things to different people. If a word or a term is
important in the discussion and if there seem to be different meanings applied to the word, it is usually worth-
while to stop and establish a common meaning for the whole group.
Discuss interests before positions are taken. People establish their positions on issues on the basis of their inter-
ests. However, it is sometimes possible for differing interests to be satisfied by a position or solution that nobody
has thought of yet, To find out whether that is possible, people have to say what their interests are. On the other
hand, if people just argue for their positions without stating their interests, it is often difficult or impossible to find
a common solution that might meet everyone's needs.
Don't take cheap shots or in other ways distract the group. When members take cheap shots at one another, it
often takes the group off track and distracts the member receiving the cheap shot. Likewise, the group may be
distracted by side conversations or individuals doing "off-task" activities.
Compiled by Kurt Jenne, assistant director, Institute of Government, University of North Carolina, from a set of sixteen
ground rules developed by Roger Schwarz and published in "Groundrules for Effective Groups," in Popular
Government, Vol. 54, no. 4 (Spring 1989): pp. 25-30. Reprinted by permission of the Institute of Government, the
University of North Carolina at Chapel Hilf.
The Retreat as Management Tool 7
can remind participants of agreed-upon behaviors
when emotions heat up or discussions get contentious.
Ideally, the facilitator gets buy-in from the group be-
forehand, and during the event keeps the ground rules
posted in full view.
With groups that already have a proven track
record of working well together, ground rules may
seem superfluous. However, for groups that have not
worked together before, or have a contentious work-
ing relationship, ground rules are essential. There is
value in beginning with agreement. With some groups,
this may be the one area that everyone agrees on
throughout the day!
Some facilitators prefer to articulate norms for
group interaction during the retreat instead of estab-
lishingground rules beforehand. Sidebars on this page
and on pages 8 and 9 show two sets of norms identified
by the community association board in The Woodlands,
Texas-the first are those that the participants agreed
to use during the planning retreat. As part of their work
at the retreat, the board then considered a longer set of
norms and agreed to adopt a subset of them to govern
their own interactions during subsequent meetings. As
the sidebar shows, the board then went a step farther
and rated its current performance compared with the
norms it had just adopted. It is easy to see the value of
this type of exercise by a board that wants to improve
its interactions and communication.
ENCOURAGE ACTIVE PARTICIPATION
THROUGHOUT THE RETREAT
The well-prepared facilitator begins the retreat with a
good understanding of each of the participant's needs
as well as each person's issues and concerns. A skilled
facilitator executes the agenda and keeps the meeting
flowing. He or she makes sure that all participants take
an active role in discussions and that their opinions get
heard. It is also the responsibility of the facilitator to
help the group stick to the agenda and accomplish what
it set out to do.
A skilled facilitator brings a "bag of tricks" to use
as applicable. For example, such techniques as nomi-
nal group process, force field analysis, cause-and-
effect diagrams (also known as flshbone diagrams) can
be used very effectively, depending on the desired out-
come of the group and the issue or problem being dis-
cussed. An experienced facilitator knows when to
encourage consensus and when to allow participants
to express themselves through a vote. This expertise
helps ensure active participation and a good flow of
ideas.
The facilitator usually builds in appropriate ice
breakers or warm-up techniques to get the group talk-
ing at the beginning of the retreat. Warm-ups range
from activities that help people to get to know each
other on a personal level (like paired introductions or
talking about personal experiences) to more work-
oriented activities (like writing a short list of issues or
prioritizing issues that were identified previously by
the group). It is up to the facilitator to suggest these
activities and get the group started successfully.
Another important role for the facilitator is to keep
the group balanced and positive. Humor is useful in
this regard. The facilitator does not need to be a stand-
up comic, but he or she must be prepared to ease ten-
sion or bring the group together if the discussion gets
too heavy or acrimonious. Laughter is often the quick-
est means to this end. Some facilitators use physical
activities as tension breakers. They may ask everyone
to line up and rub the back of the person in front of
them or divide participants into different quadrants of
the room to express opinions. Physical exercises, like
jumping jacks or big arm circles, can bring relief in a
tense setting.
Exercises that encourage creativity and fun can
bring levity to a heavy issue-oriented agenda. An ac-
tivity that stretches the imagination, like challenging
small groups to find as many innovative uses as pos-
sible for a paper clip or toothpick (or any common
item), can add humor to a meeting. Time must be con-
sidered, however, and there is a fine line between group
"work" and frivolity. Again, a good facilitator knows
when to inject ten minutes of a creative exercise into a
packed agenda.
Retreat norms for participants
• Listen with respect...
...no interrupting
...no talking over
...disagree agreeably
• Stay on task
• Value differences
• Be candid and honest
• Enjoy! Have a GOOD DAY
• No sidebar conversations.
From Woodlands Community Association, The
Woodlands, Texas.
BE SPECIFIC ABOUT FOLLOW-UP
In order to ensure that the energy generated by the re-
treatdoes not dissipate and that the decisions that were
reached are implemented, someone must document the
results of the retreat and establish a timeline for action.
Be sure to designate before the retreat the person who
will be responsible for this task. If you are counting on
the facilitator to produce a final report that summarizes
the retreat, make sure that you've been explicit about
that in advance.
Many facilitators build the reporting process into
the structure of the retreat by publicly recording im-
portant decisions as they are made. Lists and notes
8 Inquiry Service Report
made on a flip chart or large sheets of paper and posted
around the room are helpful later for creating a report
of the retreat's results. If appropriate to the purpose
and nature of the retreat, participants can be given op-
portunities to annotate these public "minutes" during
breaks, so that the record is further enhanced.
Ideally, the last item on the agenda will be awrap-
up that includes next steps and an implementation ac-
tion plan. To the list of next steps, the implementation
action plan attaches names of responsible persons,
specific actions to be taken, and milestones (specific
dates). Although some facilitators include an imple-
mentation plan as part of their assignment (working
with the participants during the retreat to create the
plan, or perhaps with the management team after the
retreat), others may not. Be sure to discuss this with
the facilitator in advance.
Regardless of who creates the follow-up plan, it is
critical to the success of the retreat. When the retreat is
over and participants go back to their "real" jobs, the
implementation plan ensures that the ideas expressed
during the retreat get put into action. The table on page
10 shows an action plan for two initiatives that were
discussed during a retreat in a Midwest city. It identifies
the specific actions to be taken, assigns responsibility
for each action, and sets the date by which each step is
expected to be accomplished.
The wrap-up also gives the retreat leader an op-
portunity to set the date (or dates) for follow-up meet-
ings ifthey are required. If everyone at the retreat agrees
on common goals and objectives, there will be momen-
tum afterward to take specific actions (for example, at-
tend future meetings or organize committees to follow
up on work done at the retreat). Individuals or com-
mittees might agree to report back to the group within
a certain time on the results of the investigation they
have promised to undertake. The enthusiasm gener-
ated by the retreat can contribute to participants' will-
ingness to volunteer for these assignments.
TYPES OF RETREATS
Council Retreats
Many managers hold annual planning retreats with
their councils. Goal setting and strategic planning are
two of the most common reasons for these retreats, but
other topics could be addressed as well. Whenever a
group could benefit from focusing on a particular is-
sue or set of issues, a retreat could be useful.
In addition to focusing on issues, some councils
conduct retreats to enhance communication among
themselves and with staff. One council used a retreat
as an opportunity to build rapport with a new man-
Retreat norms for board members
The Woodlands Community Association Board evaluated the following list of norms:
• To place cooperation, trust, and respect at
the heart of all we do
• To behave ethically as we carry out our daily
responsibilities
• To operate as an effective team, continually
improving that effectiveness
• To work for win-win situations instead of win-
lose situations
• To actively listen, keeping an open mind and
suspending judgment
• To stay focused and avoid tangents
• To be proactive in the exercise of our office
• To do our best to answer questions posed by
one another, our employees, and the
community
• To honor "discussion" before "decisions"
• To focus policy making on important "ends"
for our owners/customers
• To focus discussion of "means" by identifying
unacceptable practices and trusting our staff
to competently execute their responsibilities
• To be honest and candid with one another
• To give and take positive feedback and
coaching
• To focus on working "with" instead of "for" or
"under"
• To not take differences of opinion personally
• To disagree agreeably and professionally
• To realize that people make mistakes-forgive
and forget
• To realize the virtue of debate and avoid the
liability of argument
• To realize and honor varying work styles,
personalities, and process needs
• To share information and avoid surprises
• To minimize the practice of "sign-offs" and
ratify when needed
• To challenge and motivate one another.
• To maintain a sense of levity. Our service should
be fun as well as work.
The board agreed to adopt the following norms to
govern its interactions:
• To place cooperation, trust, and respect at the
heart of all we do
• To work for win-win situations instead of win-lose
situations
• To honor "discussion" before "decisions"
• To focus policy making on important "ends" for
our owners/customers
• To be honest and candid with each other
• To share information and avoid surprises
• To maintain a sense of levity (humor).
The Retreat as Management Tool 9
ager and staff. In this case the newly appointed man-
ager, top management, and council spent the retreat
articulating expectations and getting to know each
other better. The sidebar on page 11, a list of expecta-
tions the mayor and council articulated for the man-
ager, was a product of the retreat.
Joint Retreat for Council and School Board
Another, more unusual type of retreat is one that brings
two (or more) independent organizations together. The
city of Martinsville, Virginia, holds an annual retreat
with its school board to discuss current issues and en-
hancecommunication between the two governing bod-
ies. Martinsville, like some jurisdictions in Virginia, has
a school board that is appointed by the council but acts
as an independent institution. The city council ap-
proves its budget yet has no line item authority and
therefore no real control over the school board's bud-
get. This can lead to an acrimonious situation between
the board and the council.
Martinsville's city manager, Earl Reynolds Jr., is a
strong believer in communication. Several years ago,
when a new school superintendent arrived, Reynolds
took the initiative and invited the superintendent and
the school board to a retreat. The group (about 15 total
including 5 members of each board, clerks of both gov-
erning boards as well as key staff) gathered together
for one and one-half days off-site. A facilitator inter-
viewed the board members in advance, planned the
meeting, and assisted the group on-site. The retreat was
so successful in improving communications and un-
derstanding between the groups that they have held
joint retreats several times since then. The outcomes
included a new level of mutual trust and respect, as
well as the initiation of a partnering concept between
board members that has also improved understanding.
The sidebar pages 12 and 13 shows the decisions made
during several joint planning retreats.
Team-Building Retreats
Team-building retreats differ from issue-based or plan-
ning retreats. When team building is the primary pur-
pose, different techniques are usually used. Team
building is sometimes less comfortable for participants
than discussion of issues. Sometimes team-building
exercises involve a physical component, like group
challenges with obstacle courses, whitewater rafting,
hiking, etc. Other team-building techniques, such as the
Strength Development Inventory or Myers-Briggs in-
dicators, are more cerebral and are useful when trying
to develop a better understanding of team dynamics.
Kurt Bressner, the city manager of Downers Grove,
Evaluation of retreat norms for board members
The board rated itself on the norms it had chosen.
We place cooperation, trust, and respect at the
heart of all we do
We focus policy making on important "ends" for
our owners/customers
xx xxx xxx xx
1 2 3 4 5
Strongly Agree Neither Agree or Disagree STrongly Disagree
We work for win-win situations instead of win-lose
situations
1 2 3 4 5
Strongly Agree Neither Agree or Disagree STrongly Disagree
We honor "discussion" before "decisions"
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
Source: Woodlands Community Association, The
Woodlands, Texas.
xxxxx xxx
1 2 3 4 5
STrongly Agree Nether Agree or Disagree Strongly Disagree
We maintain a sense of levity; our service is fun as
well as work.
x xxx xx x x
1 2 3 4 5
Strongly Agree Neither Agree or Disagree Strongly Disagree
We are honest and candid with each other
1 2 3 4 5
Strongly Agree Neither Agree or Disagree STrongly Disagree
We share information and avoid surprises
x x xxxx xxx
1 2 3 4 5
STrongly Agree Neither Agree or Disagree Strongly Disagree
10 Inquiry Service Report
Mistakes to avoid
Even when a retreat agenda is packed with work-related items and little or no recreational time has been allo-
cated, managers need to be sensitive to perceptions by the public about how the jurisdiction spends its money.
The following list is based on advice from managers about how to avoid unnecessary problems.
• Be aware of the retreat location and setting. A posh resort may draw criticism, so be sensitive to appearances.
If you decide to leave town, think about the perception and expense involved with travel.
• Be aware of public open-meeting laws. You may need to announce the retreat well in advance, and you
may have press coverage.
• Be careful of the perception that retreat participants are "knocking off on city time." Although taking city staff
on a retreat is likely to be highly productive and an excellent use of time, you may want to consider holding
the retreat over a weekend, or at least including part of a weekend in your work.
• Don't plan on tape recording or videotaping the retreat. Tape recorders inhibit discussion and may prevent
participants from speaking freely. Since it is important to record decisions, have the facilitator be responsible
for this task or ask someone else in the group to take charge of recording decisions.
• Avoid expecting too much in too short of a time. Timing is key, and it is important to allow adequate time for
discussion and reflection. Be sensitive to how much work is, expected in the time you allocated.
• Be sure to plan adequate time for implementation and follow-up. Without implementation and a structured
follow-up, there will be no clear relationship between the value of the retreat (and the work accomplished
during the retreat) and progress toward those decisions.
Sample council retreat action plan
January 7-8, 2000
Action steps for telecommunications initiative
Responsible person Due date Status"
1. Review other jurisdictions' Roberto Jones February 15
cellular tower ordinances
2. Develop a cellular towers Roberto Jones March 1
ordinance
3. Develop a glossary of Jane Smith February 15
telecommunications terms
4. Review other jurisdictions' Jane Smith March 15
telecommunications policies
5. Develop a telecommunications Jane Smith April 1
policy for the city
*The "Status" column is used to mark progress as the action plan is reviewed periodically.
Action steps for Web site initiative
Responsible person Due date Status"
1. Research requirements to allow Jim Donovan February 15
e-commerce transactions
2. Develop prototype screens for Jim Donovan May 1
paying traffic citations in line
3. Develop capacity to allow all Wendy Root April 1
vendors to access city's
purchasing site online
*The "Status" column is used to mark progress as the action plan is reviewed periodically.
The Retreat as Management Tool 11
Illinois, wanted to strengthen the relationship between
staff and commissioners and ease the tension between
them. He took the group on a wilderness trail obstacle
course. The session, arranged through a local hospital
that offered corporate training, was well planned and
executed. Although Bressner recalls having to do "a
little shuttle diplomacy" to get everyone to agree to the
retreat, the staff and commissioners ultimately felt it
was extremely successful. The commissioners got to
know the staff in a more relaxed setting, and they could
see firsthand how well the Downers Grove staff worked
together. They also had a chance to experience some-
thing out of the ordinary and challenge themselves.
Bressner, now the manager of Boynton Beach, Florida,
feels that team-building retreats provide a worthwhile
experience and that it is money well spent. "I want to
do the high ropes with the Boynton Beach staff and
commissioners next," he says.
Another team-building tool that many jurisdic-
tions, including Downers Grove, have used success-
fully isthe Myers-Briggs Personality Indicator. This tool
is particularly useful when the group is discussing how
to improve relationships and communication styles.
Although some participants maybe reluctant to reveal
their preferences, confidentiality can be guaranteed. An
overall discussion of different styles and how to work
best with each type of personality can improve rela-
tionships and promote better understanding of indi-
viduals.
Sample retreat outcome: Council expectations for the city manager
Leadership
• In a city forum set issues straight when needed.
• Get out of the shadow of the former city manager and promote the emergence of your own style; be
yourself in terms of skills, knowledge, and way of relating to mayor and council.
• Do what your background says you can do.
• Help develop policy; give the best advice possible.
• Make recommendations known.
• Advocate but don't expect the mayor and council to take your advice on all occasions.
• Be trustworthy and committed to excellence.
• Be here a long time; the city purchased what you have to offer: background, training, and a perspective
that will be beneficial to the city.
• Turn up the microphone, speak out, don't convey passiveness.
• Assess the organization of the city-departments, board and commissions, appointed officials, etc.-and
what improvements might be needed,
• Lay out a game plan for the future mayor and council to make the city an even better place.
• Help identify what the city needs to be doing that it currently is not.
• Communicate frequently-forward information (e-mail).
Management
• Somebody who is hands-on and does not delegate everything; use the skills/abilities of deputy city
manager and know what is going on.
• Run the city-take care of day-to-day things.
• Provide, with deputy city manager, leadership to staff.
• Demand a high level of performance from city staff and departments.
• Communicate and build relationships with other department heads.
• Continue letting senior staff have input.
• Deal competently with the transition-change of relationship between acting/deputy manager and new
city manager.
Interaction with community
• Be very visible in community.
Be aware of the image that the city manager conveys to citizens; communicate respect.
• Remember that you are serving the citizens.
12 Inquiry Service Report
Joint city council-school board retreats
What follows is a composite of the agreements and understandings that the Martinsville city council
and the Martinsville city school board adopted during joint retreats from 1993 through 1996. Each of
these retreats was facilitated by R. David Blackman of Blackman and Associates of Greensboro, N.C.
He documented each retreat, and representatives of the city and the public schools reviewed and
edited the documentation before final copies were printed and distributed. Revisions and additions to
these agreements made during subsequent joint retreats were incorporated in this document.
Visions
The two groups have not agreed upon formal goals for education; however, they identified concepts
that all agreed should be included in the thinking of both groups as they evaluate the annual results of
the educational thrusts of the city schools. In that light, schools should:
• Provide a safe environment for students and faculty
• Establish and meet standards for proficiency in reading, writing, and math
• Train students in practical life skills
• Create an atmosphere conducive to learning
• Assist students in the development of positive attitudes toward lifelong learning
• Seek broad community support for the goals and objectives of education
• Increase the public's awareness of the importance of education to the quality of life of Martinsville
and its impact on economic development
Council-School Board Roles
Roles were identified. It falls to the city manager and the superintendent of schools to manage the
relationships between the council and the school board. Agreement was reached on the following
responsibilities.
Council responsibilities
• Provide funding for the budget of the Martinsville city schools
• Appoint members of the school board
• Define the terms of the school board members
• Establish standards for the selection of school board members
• Employ the city manager
• Establish the personnel policies for city employees
• Establish pay rates and scales for city employees
• Collaborate on policy matters that impact the council and the school board
School board responsibilities
• Establish policy for the operation of the Martinsville city schools
• Review, approve, and modify all school budgets
• Employ the superintendent of schools
• Oversee hiring and all personnel matters
• Establish the personnel policies of the Martinsville city schools
• Establish the pay scales of school employees
• Collaborate on policy matters that impact the council the school board, and the county public
schools.
Building Good Relationships
The groups agree that there must be a continuous effort to improve their relationships. While the
council's official role with the schools concludes with the appointment of the school board and the
approval of the budget allocation, the relationship continues as both groups react to each other's
needs and community input. The council's role as the taxation agent creates community pressures that
the school board should recognize and appreciate. The groups agree that the following can assist in
making their relationships better:
• Establish common systems for management and personnel matters
• Develop a common vision for education
• Encourage citizen input on education goals
• Increase the sharing of information about taxes, schools, personnel, etc.
• Hold regular joint meetings for educational and informational purposes
• Inform the public on school and tax matters and their interrelationship
• Increase one-on-one communications among council and school board members
• Develop a joint plan for providing public information to the community.
The Retreat as Management Tool 13
Council-School Board Budget Process
The development and implementation of the budget process create the greatest tension and potential for misun-
derstanding. During past retreats the council and the school board have agreed on the following principles re-
garding their common budgeting relationship;
• The schools will submit yealry budget requests to cover all programs funded in the previous year's budget.
• All budget requests for new programs for the budget year will be submitted as a supplemental request.
• Budget projections for the year will not include any pay adjustments.
• The school board will advise the council when it is implementing federal and state mandates.
• The school board will alert the council at the earliest possible time when variations are expected in its budget.
• The school board will see that supplemental appropriations are on the council's agenda.
• The school board will inform the council regarding future matters that are likely to impact budget allocations.
• The school board should seek contingency funding in its annual budget requests.
• Council and school board members will receive budget information by April 1 of each year.
• Work sessions will be held to review the budget and make adjustments before the budget comes formally to
the council for adoption.
• The council will make allocations to the school board by May 1 of the budget year; knowing about budget
changes will allow the schools to plan for personnel issues.
• The school board should develop, update, and submit a capital improvement budget each year.
• When programs funded with monies other than those allocated by the council are being discontinued or
when programs are expected to lose their funding base, the school board will inform the council at the
earliest possible time.
• The council and the school board will aggressively increase their joint lobbying efforts with the state to secure
increased funding for capital projects.
• The school board should establish program priorities for its budget and identify the cost for the development
and delivery of those services.
• Compensation issues will be reviewed as a percentage of current costs.
• Both the council and the school board will work at sharing budget and program information in preliminary
exchanges of information so that surprises are eliminated during the budget development phase.
• The council and the school board will work to agree on strategies that will allow the implementation of long-
term plans in the city schools.
• Formal communications among council members and the school board will be by written memos, with copies
distributed by each group's chairperson. Informal communications among group members will be designed
around a "buddy system" to encourage regular sharing of information and concerns.
Source: Prepared for the city council of Martinsville and Martinsville city school board by R. David Blackman and
Associates, Greensboro, N.C.
CONCLUSION
A retreat is an important tool in a leader's arsenal. A
well-run retreat can define the agenda for the group,
build consensus around agenda elements, develop
team buy-in and support for the ideas that will drive
the organization, and create an implementation action
plan. In short, it can be an excellent tool for a variety of
group situations.
Since so much of the work in a jurisdiction is done
by groups (whether it is the council, the commission,
the management team, or appointed decision-making
bodies), good working relations are essential for pro-
ductivity. The retreat enables a group to step back from
its regular business and take time to focus on issues
that might never be examined or addressed otherwise.
A retreat is especially valuable if conflict among group
members is hindering productivity. A facilitator can
help the group work through its conflicts and emerge
a stronger team. A good facilitator can even teach par-
ticipants how to deal with unproductive conflict if it
should arise again.
Planning is key to a retreat's success. Identifying
a good facilitator who will guide the preparations and
on-site work is an extremely important step, as is the
development of an agenda that reflects the outcomes
the group wants to achieve. As these tasks are being
accomplished, off-site locations can be researched. Once
all of these elements are decided on, the retreat is in
the "go" mode. The facilitator will then take over, work-
ing with the group to develop ground rules and en-
couraging active involvement by all participants so that
the agenda of the retreat can be followed. As the hard,
rewarding work of the retreat comes to an end and
hands are shaken and good-byes are spoken, one last
task remains: afollow-up action plan must be created
to ensure that the decisions made on the retreat are
documented and implemented.
The Retreat as Volume 33/ Number 1
Management Tool January 2001
42636
C O V E R S T O R Y
10 Habits
Of Highly Effective Councils
ocal government operations directly affect our daily exis-
tence and experiences and the quality of life that we per-
ceive we have within our communities. No local govern-
ment deserves, nor should its citizens tolerate, a
council or governing body that isn't extraordi-
narily effective and competent in leading the
community.
Thomas Cronin, a recognized authority on public policy,
defines leadership as "making things happen that might not
otherwise happen and preventing things from happening
that ordinarily might happen. It is a process of getting peo-
ple together to achieve common goals and aspirations. Lead-
ership is a process that helps people transform intentions
into positive action, visions into reality."
The quality of leadership effectiveness demonstrated by a
governing body and its ability to be a highly effective council
are not attributes bestowed upon it by a swearing-in cere-
mony. They are the results of disciplined adherence to a set
of fundamental principles and skills that characterize highly
effective governing bodies. Here, then, are 10 "habits" of
highly effective councils, based upon the author's observa-
tions of hundreds of governing bodies over the past 20 years.
NOVEMBER 'I997
4
Think and Act
Strategically
A council's primary re
sponsibility is not just to make policy
or to do its "Roman emperor" routine
(thumbs down or thumbs up) on
agenda items at public meetings. It is
to determine and achieve the citizens'
desires for the community's future.
Councils and their administrative
teams must accept responsibility for
shaping the future of their communi-
ties by expanding their mental hori-
zons to identify and meet the chal-
lenges that must be addressed through
decisive leadership and through shared
goals for the attainment of that future.
A strategic leader always comes
from the future and takes you "back
to the future" from the present. This
leadership adventure starts with a vi-
sion and evolves into a definition of
the strategic issues that must be mas-
tered to achieve the vision. The next
step is the development of long-range
goals that address these strategic is-
sues and that provide adecision-mak-
ing and budgetary basis for the suc-
cessful implementation of these goals.
Living from one annual budget to an-
other and from one council meeting
to the next condemns your commu-
nity and its future to happenstance
and to the type of thinking that often
befuddles national governance and
policy.
For this reason, polls show that an
overwhelming majority of citizens
want important issues affecting their
lives to be decided at the local, home
town level. Here, they expect leader-
ship, sound thinking, and decisive ac-
tion. In spite of this citizen expecta-
tion, a 1996 survey conducted by the
International City/County Manage-
ment Association (ICMA), "Survey of
Current Practice in Council-Manager
Governments," indicates that fewer
than 40 percent of all councils set
long-term strategic goals to guide their
semimonthly forays into decision
making.
Understand and
Demonstrate the
^ Elements of
7'~eams and
Teamwork
By law, councils exist and have authority
only when their members convene as
bodies to do business. They also are
components of corporate beings that
must speak, act, and fulfill their commit-
ments with one voice and in a mature,
effective, and reliable manner. Councils
are collections of diverse individuals who
come together to constitute and act as an
entity, and only when operating as an
entity can they exercise authority and
perform in fulfillment of their purpose.
This is a classic definition of "team:'
Carl Larson and Frank LaFasto, two pre-
eminent authorities on teams and team-
work, define a team as an entity com-
prising two or more people working
together to accomplish a specific pur-
pose that can be attained only through
coordinated activity among the team
members. In short, a team exists to ful-
fill aspecific function or purpose and is
made up of disparate, interdependent
people who collectively achieve a capac-
ity that none of its members could
demonstrate individually.
Teams always have two components
that we might call their S components:
systemicness and synergy. All teams are
systemic by definition, being made up of
interdependent parts (people) who af-
fect each other's performance and that
of the team. Synergy is the ability to
achieve an effect, when working to-
gether as a team, that is more than the
sum of the team members' individual ef-
forts. While all teams are systemic, rela-
tively few are genuinely synergistic un-
less their members understand, master,
and demonstrate the fundamentals of
teamwork, which are:
• A clear sense of purpose.
• A clear definition of the roles and re-
lationships that unite individual tal-
ents and capacities to achieve team
performance.
• Integration of members who have
basic technical, interpersonal, and
decision-making competence.
• A commitment to team success and
performance excellence.
• A climate of trust, openness, and mu-
tual respect.
• Clear standards of success and per-
formance excellence.
• The support, resources, and recogni-
tion to achieve success.
• Principled and disciplined leader-
ship.
Highly effective councils spend time
building their sense of being a team and
enhancing their skills in productive
teamwork.
Master Small-
Group Decision
~ Making
Most councils are classic small grou
with fewer than a dozen people. Sm
groups demonstrate certain skills
behaviors that link their members
gether. They also have knowledge of
processes they must follow to make
cisions in fulfillment of their purpo
Figure 1 summarizes the skill sets ess
tial to small-group effectiveness.
Clearly Define
Roles and
^ Relationships
ps,
all
and
to-
the
de-
se.
en-
Each team member, whether mayor or
councihnember, makes a contribution
to and has a relationship with the team.
Contributions and relationships must
be defined in terms of the role to be as-
sumed and how that role is to be cazried
out through the behavior of the person
in the role.
A role has two elements: function, the
specific responsibilities of that role, re-
gardless of incumbency; and perfor-
mance, the behavior of the person occu-
pying the role in fulfilling his or her
responsibilities. Councils, through char-
ter, statute, or ordinance, have a clear
definition of their function. The perfor-
PUBLIC MANAGEMENT 5
Figure 7. Effective Small-Group Decision Making
Interpersonal Skills
The ability to work with others
• Listening to and understanding
the views of others
• Constructively confronting and
resolving differences .
• Supporting others and showing
respect for their ideas
• Participating actively in
discussions
• Taking "time outs" to discuss
how well group members
interact
An EFFECTIVE Small Group
Task Skills
Knowledge to do a job
Rational Skills
Ability to deal with issues
and problems rationally
• Knowing the form and role of
the organization
• Knowing law, policies, and
procedures
• Showing civility and good
manners
• Using professional and technical
knowledge
• Selecting and prioritizing the
issues to be addressed
• Analyzing issues and related facts
• Identifying objectives and
outcomes
• Considering alternative
strategies and courses of action
• Assessing obstacles and
consequences
• Reaching consensus decisions
• Evaluating and following up
mance component must be defined
within the team through discussion and
mutual definition of those behaviors
and practices expected of the mayor and
councilmembers in the conduct of their
duties and interactions.
Vince Lombardi, when asked what
made a winning team, replied, "Start
with the fundamentals. A player's got to
know the basics of the game and how to
play his [herJ position. The players have
to play as a team, not a bunch of indi-
viduals. The difference between medi-
ocrity and greatness is the feeling the
players have for each other," that is, their
relationships. Teams tallc about and de-
fine expected roles and relationships
and give constructive feedback to their
members on the degree to which they
are fulfilling these expectations.
Establish and Abide
by a Coancil-Staff
Partnership
We have all heard the saying "Council
makes policy, staff implements policy."
Well, this is a total misconception of re-
ality. Policy making and policy imple-
mentation are not distinct and separate
functions. Policy making/implementa-
tion is a continuum of thought and rela-
tions that transforms ideas and abstrac-
tions (visions, policies, goals, and plans)
into defined, observable ends or out-
comes (results, programs, buildings,
streets, deliverable services). Council
and staff share this continuum as part-
ners ensuring each other's success. Each
person plays an important role in mak-
ing sound policies and in ensuring their
effective implementation through reli-
able administrative practices and perfor-
mance. Figure 2 depicts this partnership
and continuum.
John Carver, a widely acclaimed au-
thor who writes about boards that make
a difference, discusses this partnership
as one in which councils define the
needs to be met and the outcomes to be
achieved. He believes that councils
should allow staff, within council-estab-
lished limits, to define the means for
achieving these ends. He sees acouncil-
staff linkage that empowers staff to do
its tasks and to be evaluated on the re-
sults produced.
Councils that accept and abide by this
partnership focus their energy on estab-
lishingvision, goals, and good polity and
on empowering effective staff perfor-
mance. Councils that do not do this will
frequently fall into micromanaging, that
is, they will perceive a need to become
involved in, or retain approval over, even
minor staff activity and plans.
A critical element and important
council task in this partnership is evalu-
ation of the manager or administrator,
based upon clearly defined goals, poli-
cies, and established guidelines on exec-
utive performance. According to the
1996 ICMA survey, only about 45 per-
cent of all councils formally evaluate
their managers' performance.
Make a Systematic
Evaluation of
Policy
®Implementation
Councils, like most legislative bodies,
frequently exhibit the Jean Luc Picard
syndrome (Star Trek In and simply tell
their staffs: "Make it so." They assume
that council action equates to polity and
program implementation. The next
time the council hears about polity is
when a problem or crisis arises.
In contrast, highly effective councils
6
NovEMBER 1997
G A
O D
A M M
'• M
- L I A
I--- _
-- S ~~ P N N
S / -i0-_ I A
S R L ~, S G
I E I ',T E
O S C R--- - M
N U Y A E~,_
L T N
T I T
S O
N
expect periodic feedback on policy re-
sults and on possible polity amend-
ments that may be required. This feed-
back can be provided through progress
reports, status memos or newsletters,
and polity reviews.
Allocate Council
Time and Energy
~ Appropriately
Councils, like other teams, play in a
number of settings or arenas to achieve
overall, peak performance. There are
four council-staff arenas, and each must
be appreciated for its purpose and for its
contribution to a council's effectiveness:
• Goal setting (retreats or "advances").
• Exploration and analysis (study
sessions).
• Disposition legislation (regular pub-
lic meetings).
• Community relations (interactions
with constituents and with other
agencies}.
Figure 3 shows the purpose, typical
setting, focus, and key chazacteristics of
each azena. All four arenas are essential
to highly effective councils' fulfillment of
their leadership, polity-making, goal-
setting, and empowering responsibilities.
A highly effective council will hold at
least one goal-setting retreat or "ad-
vance" annually. It also will hold two
study sessions monthly, usually between
regularly scheduled public hearings.
Here, councihnembers will confer with
staff and other experts on significant
items under consideration that will
eventually require official actions.
While these meetings should be open
to the public as observers, the public
should not participate in the council-
staff dialogue. Many councils short-
change this arena, pushing the opportu-
nity for learning into the formal public
hearing, which is not designed to pro-
mote much in-depth analysis of complex
issues. The arena ofdisposition/legislation
is designed to get to a vote, not to pro-
mote careful analysis of complex issues.
The fourth arena, community rela-
tions, is becoming more important. It is
rapidly transforming the role of the
council and how it spends its time.
Communities today are more dependent
upon sophisticated alliances and pazt-
nerships among groups, both public and
private entities. Jurisdictions are subject
to multiple, profound changes in how
public officials operate. Today, the com-
munity arena requires more time spent
in interactions outside city hall and puts
greater time pressure on mayors and
councihnembers.
Set Clear Rules
and Procedures
for Council
® Meetings
Council meetings exist for the purpose
of doing the council's business. Litera-
ture on how to conduct effective and
productive meetings specifies the need
for an adherence to clearly defined rules
and procedures.
PUBLIC MANAGEMENT 7
Figure 3. Arenas for Governing Body, and Staff Performance
Exploration and Disposition/
Arena Goal Setting Analysis Legislation
Purposes • Establish vision • Understanding the • Taking official action
• Explore potentials issue(s) • Voting on items
• Set goals • Problem -Resolutions
• Set direction/ identification -Ordinances
priorities • Selecting "best • Gathering public
-Community options" input
-Services • Building • Mobilizing support
-Staff action commitment
-Budgets
Community
Relations
• Interacting with
constituents/citizens
• Building alliances
• Doing outreach and
liaison
• Coordinating with
other entities
Typical Setting Retreat or advance-
informal off.-site
workshop Study session-
conference room Public-formal council
meeting in chambers- Numerous-
diverse formats
Focuses • Future of community • Developing knowl- • Going through the • Communicating
• Evaluation of edge for decision. .agenda (formality)... • Problem solving
-Needs making • Showing authority • Collaborating-and
-Trends • Sorting of options ' Ratifiying/adoptmg coordinating
-Strategic issues. .Examining • Dealing with political • Forming
• Community desires consequences pressures partnership(s).
and values • Setting strategies • Identifying • Acting as a
• Leadership • Malang competent psychological needs community
and. informed
decisions
Key,Characteristics • Informality • Starting council-staff • Meeting formally • Being"outside" city
• .Sharing of options dialogue • Setting and following hall
• Open dialogue • Questioning and test- rules and procedures • Responding to
• Creative thinking ing ideas • Encouraging public requests
• Humor and • Exchanging, input and • Starting joint
adventure information involvement ventures
Face-to-face/group • Negotiating and • Gaining high • Facilitating
interaction consensus building- visibility interagenry activity
• No_voting • Dealing with • Using multiple inter-
• Face-to-face/group pressure/advocacy action modes and
interaction from groups communication
. Voting techniques ,
• Interacting as groups
Many councils, however, drift from
these rules and procedures in pursuit of
informality, collegiality, and "just being
nice." They let their meetings drone on
with a lack of focus, redundant com-
ments, and endless discussion.
Rules and procedures do not pre-
clude citizen input, courtesy, or sensi-
tivity to public concerns and view-
points. They respect all these elements
and the necessity to conduct business in
an orderly, disciplined, and productive
manner.
Get a Valid
Assessment of the
Public's
® Concerns and
an Evaluation of the
Council's Performance
Elections are contests among individuals
vying to become members of the coun-
cil. They are not valid, objective assess-
ments of the public's feeling about the
quality of the council's performance as a
governing body and about whether or
not it is addressing issues effectively.
Highly effective councils seek feedback
through a number of mazket research
tools such as focus groups, surveys, and
questionnaires. Typically, the phone calls
a councilmember receives or the com-
ments made ui public hearings are not
valid or accurate reflections of the entire
community's sentiments about issues and
about the council's performance. "Market
research feedback" should be ongoing
and should be included in the annual
goal-setting retreat or advance.
$ NOVEMBER 7997
Practice
Continuous
Personal
^ Learning
and Development as a
Leader
Leaders read, attend workshops, and
constantly seek information, under-
standing, and insight. Highly effective
councils are composed of members who
honestly know they don't know it all.
They take advantage of the myriad of
opportunities to learn and to perfect
their skills by reading, going to state and
national municipal league workshops,
and attending every forum that can ex-
pand their skills to lead and govern well.
A highly effective council also learns
as a council. It works closely with the
manager to improve its leadership skills
and the council-manager relationship,
assessing objectively its performance on
each of the 10 habits. This assessment
should include the observations of coun-
cilmembers, manager, department heads,
and selected members of the community
who have occasion to work and interact
with councilmembers. The effective
council should decide where gains can be
made, then set up the opportunity
through council workshops to learn the
skills needed to make these gains.
In 1990, Mayor Margaret Carpenter
and City Manager Jack Ethredge of
Thornton, Colorado, began a process
with Thornton's council to increase the
council's leadership skills and effective-
ness that incorporated the 10 habits de-
scribed in this article.
First, the council conducted a careful
reexamination of the city's mission and
the role that it had to assume to ensure
fulfillment of that mission. Then, in dis-
cussions with the city manager, coun-
cilmembers made a commitment to lead-
ership innovation and excellence that
focused on long-term and strategic issues
vital to the community's future. The pro-
cess involved advances, close attention to
community feedback through focus
groups and surveys, and frequent self-
evaluation of both council's and staff's
The Manager's Role in
Building; a: Highly Effective
Coundl
• Focus the council on leadership
and achieving a quality future for
the community.-
•Select atime and place to conduct
a facilitated discussion about fac-
tors affecting the council's effec-
tiveness: It is recommended that
the: manager be involved in this
discussion.
• Invite the council to assess can-
didly and objectively its perfor-
mance relative to the I0 habits of
highly effective councils included
in this azticle and .other "effective-
ness indicators that councilmem-
bers feel are appropriate.
• Have the council identify where
significant gains in effectivene§s
are desired:
• Develop specific strategies and op-
portunities with the council to
achieve desired goals.
• Schedule specific skill-building
workshops for the council. Include
key staff members when-the focus is
on council-staff relationship issues:
- Establish a process with the coun-
cil to evaluate gains thaf have-been
made. and to target new opportu-
pities for improvement:
• Remember:: peak. performers -con-
. stantly seek to improve their ,per-
formance. They-know they are on
an endless journey of growth,
performance effectiveness, and
achievement.
performance and sense of partnership.
Now, the council holds multiple ad-
vances each year to define and validate its
strategic perspective and polity leader-
ship. Skill development workshops ac-
company these advances and focus on
defined needs that are identified by coun-
cilmembers. Specific "time-outs" are
taken to evaluate how the council is func-
tioning as a team, as well as how it func-
tions with staff and with the community.
The continuous quest for effectiveness al-
ways begins with the question "Is there
more we should be doing to improve our
leadership performance and to ensure a
quality future for our community?"
As Jack Ethredge observes: "The entire
process has helped Thornton's council to
identify the issues that are essential to
achieving our community's goals and to
building collaborative relationships with
citizens and with staff to agree about the
goals. Thornton now is a community of
partnerships, all focusing on a vision and
using our combined resources to become
the city we want to be in the future. There
has been a real breakthrough in the
amount of creative energy that is moving
Thornton forward:'
The last, and probably most impor-
tant, point: Keep your sense of humor.
Governance is a serious business dealing
with the vital issues affecting our com-
munities and the quality of life we expe-
rience within them. But humor reduces
friction and stress, lets others know that
we and they are human, and brings a
pause that refreshes our insight and
commitment. It is essential to forging
and maintaining good relationships.
Every community deserves nothing
less than a highly effective council that
embraces accountability for the commu-
nity's performance in creating its future
and in effectively addressing, in the pre-
sent, those challenges vital to attaining
that future. That is what is at stake: our
communities' future. With few excep-
tions, every council can be highly effec-
tive and can provide strong leadership,
but to become effective will require a
good governance model and disciplined
adherence to the fundamental habits of
effectiveness.
Carl Neu, Jr., is executive vice president of
Neu and Company, Lakewood, Colorado.
All rights are reserved to Neu and Com-
pany and the Center for the Future of
Local Governance, 1997.
PUBLIC MANAGEMENT 9
Ly~ichhi~rg City Council 1'~9eans
Adopted .lanuary 23, 2001
Reaflinncd December 11, 2001
Council Yolicy Kole
1. The City Council is responsible for setting the policies and holding the City Manager
accountable for achieving those policies.
2. Council will formulate policy by determining the broadest policies before progressing
to more narrow ones.
3. Council should focus primarily on ends, while providing broad guidance regarding
means so that staff can utilize their expertise and creativity. Unless instructed
otherwise, staff's administrative role will ensure that:
• Efforts are within the parameters of the Council's goals, priorities and vision
principles
• C'nnncil ;~ consulted nn major issues and system changes.
4. The Council will be the initiator of policy, not merely a reactor to staff initiatives. Individual Council Members may
bring forth initiatives that are of significance to the entire community.
5. The Council will determine desired ends and priorities (relative to other priorities) by addressing: What good? For what
people? At what cost?
A~aximi:,inK Effectiveness
1. The Council will use the expertise of individual members to enhance the ability of the Council to make good policy
decisions.
2. The Council recognizes that the expression of differences and the debate will ensure that we have good public policy. In
support of this, members' opinions will be heard and respected.
3. The City Council will be open to ideas from Council Members, the administration, and staff members.
Council-,'~luyor Role
I. The Mayor will be the spokesperson for the City Council who is most called upon, without limiting other Council
Members' ability to speak on issues.
2. The Mayor and Vice Mayor, because of their roles, have the greatest contact with the City Manager. However, the City
Manager will offer equal access to all Council members.
Communication
1. Staff should provide Council with all relevant information on matters of policy, including pros and cons, alternatives,
and professional recommendations, in order that Council may make an informed final decision.
2. Achieving mutual trust between Council and the City administration and between Council Members themselves should
be a fundamental pursuit.
3. Open and regular communication will be used to insure that Council and the administration is informed so that no one is
surprised orblind-sided.
4. Council will inform the City Manager when there is an issue meriting administrative action or decision.
5. The City Manager will insure that Council is informed about issues that have impact on a major policy area, may attract
media or public attention, or affect major stakeholders.
6. When an emergency decision must be made, the Mayor/Vice-Mayor will work with the City Manager to make the best
decision possible and the City Manager will insure that the rationale for the decision is immediately communicated to
other Council Members.
7. Council may pass along information or request information directly from staff.
8. The City Council will regularly review progress on its collective leadership, goals, priorities and operating guidelines to
insure success/relevance.
Perfornrunce Ac•cotrnfubilif}~
1. The City Manager will be evaluated on the accomplishment of City Council's stated goals.
2. Evaluation of the City Manager, City Attorney and Clerk of Council will be a collective act of the City Council.
3. Evaluation of the Internal Auditor will be a collective act of the Internal Audit Division.
4. The Council will never give instructions to persons who report to the City Manager.
5. Council will hold the City Manager accountable for staff performance and provide the City Manager with feedback
about staff performance in a private setting.
6. Priorities of the City Manager will be defined by the City Council's goals and priorities in support of the vision.
CITY OF PALO ALTO
PROPOSED COUNCIL PROTOCOLS
All Council Members
All members of the City Council, including those serving as Mayor and Vice
Mayor, have equal votes. No Council Member has more power than any other
Council Member, and all should be treated with equal respect.
All Council Members should:
• Demonstrate honesty and integrity in every action and statement
• Serve as a model of leadership and civility to the community
• Inspire public confidence in Palo Alto government
• Work for the common good, not personal interest
• Prepare in advance of Council meetings and be familiar with issues on the
agenda
• Fully participate in City Council meetings and other public forums while
demonstrating respect, kindness, consideration, and courtesy to others
• Participate in scheduled activities to increase Council effectiveness
• Review Council procedures, such as these Council Protocols, at least
annually
• Represent the City at ceremonial functions at the request of the Mayor
• Be responsible for the highest standards of respect, civility and honesty in
ensuring the effective maintenance of intergovernmental relations
• Respect the proper roles of elected officials and City staff in ensuring open
and effective government
• Provide contact information to the City Clerk in case an emergency or
urgent situation arises while the Council Member is out of town
Council Conduct with One Another
Councils are composed of individuals with a wide variety of backgrounds,
personalities, values, opinions, and goals. Despite this diversity, all have chosen to
serve in public office in order to improve the quality of life in the community. In
all cases, this common goal should be acknowledged even as Council may "agree
to disagree" on contentious issues.
In Public Meetings
• Use formal titles.
The Council should refer to one another formally during Council meetings as
Mayor, Vice Mayor or Council Member followed by the individual's last name.
• Practice civility and decorum in discussions and debate.
Difficult questions, tough challenges to a particular point of view, and criticism of
ideas and information are legitimate elements of a free democracy in action. Be
respectful of diverse opinions.
• Honor the role of the presiding officer in maintaining order and equity.
Respect the Chair's efforts to focus discussion on current agenda items. Objections
to the Chair's actions should be voiced politely and with reason, following the
parliamentary procedures outlined in the City Council Procedural Rules.
• Demonstrate effective problem-solving approaches.
Council Members have a public stage to show how individuals with disparate
points of view can find common ground and seek a compromise that benefits the
community as a whole. Council Members are role models for residents, business
people and other stakeholders involved in public debate.
• Be respectful of other people's time.
Stay focused and act efficiently during public meetings.
In Private Encounters
• Treat others as you would like to be treated.
Ask yourself how you would like to be treated in similar circumstances, and then
treat the other person that way.
2
Council Conduct with City Staff
The key provisions on Council-staff relations found in section 2.04.170 of the Palo
Alto Municipal Code:
"Neither the council nor any of its committees or members shall direct, request or
attempt to influence, either directly or indirectly, the appointment of any person to
office or employment by the city manager or in any manner interfere with the city
manager or prevent the city manager from exercising individual judgment in the
appointment of officers and employees in the administrative service. Except for the
purpose of inquiry, the council and its members shall deal with the administrative
service solely through the city manager, and neither the council nor any member
thereof shall give orders to any of the subordinates of the city manager, either
publicly or privately. "
Governance of a City relies on the cooperative efforts of elected officials, who set
policy, and City staff, which analyze problems and issues, make
recommendations, and implement and administer the Council's policies.
Therefore, every effort should be made to be cooperative and show mutual respect
for the contributions made by each individual for the good of the community.
• Treat all staff as professionals
Clear, honest communication that respects the abilities, experience, and dignity of
each individual is expected. As with your Council colleagues, practice civility and
decorum in all interactions with City staff.
• Channel communications through the appropriate senior City staff
,Questions of City staff should be directed only to the City Manager, Assistant City
Manager, City Attorney, City Clerk, Assistant City Clerk, City Auditor, Senior
Assistant City Attorneys, or Department Heads. The Office of the City Manager
should be copied on any request to Department Heads. Council Members should
not set up meetings with department staff directly, but work through Department
Heads, who will attend any meetings with Council Members. When in doubt
about what staff contact is appropriate, Council Members should ask the City
Manager for direction. However, nothing in these protocols is intended to hinder
the access Council-appointed liaisons (e.g. to the San Francisquito JPA or NCPA)
may require in order to fulfill their unique responsibilities.
• All Council Members should have the same information with which to
make decisions. (This has been referred to the Policy and Services
Committee for further discussion).
3
• Never~ublicly criticize an individual employee, including Council-
Appointed Officers. Criticism is differentiated from questioning facts or
the opinion of staff.
All critical comments about staff performance should only be made to the City
Manager through private correspondence or conversation. Comments about staff
in the office of the City Attorney, City Auditor or City Clerk should be made
directly to these CAOs through private correspondence or conversation-
• Do not Qet involved in administrative functions.
Avoid any staff interactions that may be construed as trying to shape staff
recommendations. Council Members shall refrain from coercing staff in making
recommendations to the Council as a whole.
• Be cautious in representing City positions on issues.
Before sending correspondence related to a legislative position, check with City
staff to see if a position has already been determined. When corresponding with
representatives of other governments or constituents, remember to indicate if
appropriate that the views you state are your own and may not represent those of
the full Council.
• Do not attend staff meetings unless requested by staff.
Even if the Council Member does not say anything, the Council Member's
presence may imply support, show partiality, intimidate staff, or hampers staff s
ability to do its job objectively.
• Respect the "one hour" rule for staff work.
Requests for staff support should be made to the appropriate senior staff member,
according to the protocol for channeling communications. Any request, which
would require more than one hour of staff time to research a problem or prepare a
response, will need to be approved by the full council to ensure that staff resources
are allocated in accordance with overall council priorities. Once notified that a
request for information or staff support would require more than one hour, the
Council Member may request that the City Manager place the request on an
upcoming Council agenda.
• Depend upon the staff to respond to citizen concerns and complaints.
It is the role of Council Members to pass on concerns and complaints on behalf of
their constituents. It is not, however, appropriate to pressure staff to solve a
problem in a particular way. Refer citizen complaints to the appropriate senior
staff member, according to the protocol on channeling communications. The
senior staff member should respond according to the Policy and Procedure for
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Responding to Customer Complaints. Senior staff is responsible for making sure
the Council Member knows how the complaint was resolved.
• Do not solicit political support from staff
The City Charter states that "Neither the city manager or any other person in the
employ of the city shall take part in securing or shall contribute any money toward
the nomination or election of any candidate for a municipal office." In addition,
some professionals (e.g., City Manager and the Assistant City Manager) have
professional codes of ethics, which preclude politically partisan activities or
activities that give the appearance of political partisanship.
Council Conduct With Boards and Commissions
The City has established several Boards and Commissions as a means of gathering
more community input. Citizens who serve on Boards and Commissions become
more involved in government and serve as advisors to the City Council. They are a
valuable resource to the City's leadership and should be treated with appreciation
and respect. Council Members serve as liaisons to Boards and Commissions,
according to appointments made by the Mayor, and in this role are expected to
represent the full Council in providing guidance to the Board or Commission. In
other instances, Council Members may attend Board or Commission meetings as
individuals, and should follow these protocols:
• If attending a Board or Commission meeting identify your comments as
personal views or opinions
Council Members may attend any Board or Commission meeting, which are
always open to any member of the public. Any public comments by a Council
Member at a Board or Commission meeting, when that Council Member is not the
liaison to the Board or Commission, should be clearly made as individual opinion
and not a representation of the feelings of the entire City Council.
• Limit contact with Board and Commission members to uestions of
clarification.
It is inappropriate for a Council Member to contact a Board or Commission
member to lobby on behalf of an individual, business, or developer, or to advocate
a particular policy perspective. It is acceptable for Council Members to contact
Board or Commission members in order to clarify a position taken by the Board or
Commission.
• Remember that Boards and Commissions are advisory to the Council as a
whole not individual Council Members.
The City Council appoints individuals to serve on Boards and Commissions, and it
is the responsibility of Boards and Commissions to follow policy established by
the Council. Council Members should not feel they have the power or right to
threaten Board and Commission members in any way if they disagree about an
issue. A Board or Commission appointment should not be used as a political
"reward."
• Concerns about an individual Board or Commission member should be
pursued with tact.
If a Council Member has a concern with the effectiveness of a particular Board or
Commission member and is comfortable in talking with that individual privately,
the Council Member should do so. Alternatively, or if the problem is not resolved,
the Council Member should consult with the Mayor, who can bring the issue to the
Council as appropriate.
• Be re~ectful of diverse opinions.
A primary role of Boards and Commissions is to represent many points of view in
the community and to provide the Council with advice based on a full spectrum of
concerns and perspectives. Council Members may have a closer working
relationship with some individuals serving on Boards and Commissions, but must
be fair to and respectful of all citizens serving on Boards and Commissions.
• Keep political support away from public forums.
Board and Commission members may offer political support to a Council
Member, but not in a public forum while conducting official duties. Conversely,
Council Members may support Board and Commission members who are running
for office, but not in an official forum in their capacity as a Council Member.
• Maintain an active liaison relationship.
Appointed Council liaisons are encouraged to attend all regularly scheduled
meetings of their assigned Board or Commission, or to arrange for an alternate.
Staff Conduct with City Council
• Respond to Council questions as fully and as expeditiously as is yractical.
The protocol for staff time devoted to research and response is in application here.
If a Council Member forwards a complaint or service request to a department head
or a Council Appointed Officer, there will be follow-through with the Council
Member as to the outcome.
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• Respect the role of Council Members as policy makers for the City
Staff is expected to provide its best professional recommendations on issues. Staff
should not try to determine Council support for particular positions or
recommendations in order to craft recommendations. The Council must be able to
depend upon the staff to make independent recommendations. Staff should
provide information about alternatives to staff recommendations as appropriate, as
well as pros and cons for staff recommendations and alternatives
• Demonstrate professionalism and non-partisanship in all interactions with the
community and m public meetm~s
• It is important for the staff to demonstrate respect for the Council at all times
All Council Members should be treated a uall .
ELECTRONIC MAIL COMMUNICATIONS
As society evolves in an increasingly electronic world, we need to have a reliable
system to record and make public all a mail communications and responses to and
from Council Members. Staff commits to working to create and implement such a
system.
OTHER PROCEDURAL ISSUES
• Commit to annual review of important procedural issues
At the beginning of each legislative year, the Council will hold a special meeting
to review the Council protocols, adopted procedures for meetings, the Brown Act,
conflict of interest, and other important procedural issues.
• Don't politicize procedural issues (e g minutes approval or agenda order
for strategic p_pr oses
• Submit questions on Council agenda items ahead of the meeting
In order to focus the Council meetings on consideration of policy issues and to
maintain an open forum for public discussion, questions which focus on the policy
aspects of agenda items should be discussed at the Council meeting rather than in
one-on-one communications with staff prior to the meetings. Any clarifications or
technical questions that can be readily answered can be handled before the
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meeting. Council Members are encouraged to submit their questions on agenda
items to the appropriate Council Appointed Officer or Assistant City Manager as
far in advance of the meeting as possible so that staff can be prepared to respond at
the Council meeting.
• Respect the work of the Council standing committees.
The purpose of the Council standing committees is to provide focused, in-depth
discussion of issues. Council should respect the work of the committees and re-
commit to its policy of keeping unanimous votes of the committees on the consent
calendar.
• The Mayor and Vice Mayor should work with staff to plan the Council
meetings.
There are three purposes to the pre-Council planning meeting: 1) to plan how the
meeting will be conducted; 2) to identify any issues or questions that may need
greater staff preparation for the meeting; and 3) to discuss future meetings. The
purpose of the meeting is not to work on policy issues. Normally, only the Mayor
and Vice Mayor are expected to attend the pre-Council meetings with the City
Manager and other CAOs.
Note: Enforcement of these protocols will be the focus of continued Council
discussion.
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