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Home My WebLink AboutStrategic Planning Retreat Book The Town of Westlake and Westlake Academy a an MM 0 M an M ame mmum B � 0 � A �c Ow �F " lb U"/ May +_o and z; , 2011 Academy Strategic Planning Retreat May 20, 2011 8:30 a.m. to 5:00 p.m. I. Defining the High Performance Governance Team Estimated Time: 1 % hours Presenters: Tom & Mike a. Individual Profiles/Team Profile L Quality of Decision Making b. Governance 101— Diagnostic Tool c. Board —Staff Team Development II. Academy Strategic Planning Estimated Time: 2 % Hours Presenters: Mike,Tom, Ben a. Review and Revise Mission, Vision &Values (See Tab #1 —Current Strategic Plan) L "What one thing do you want to see at Westlake Academy that we don't have?" b. Review formatting of the strategic planning document with IB Standards & Practices, BSC and dashboard (See Tab #2—Proposed Strategic Plan) c. Discuss ways to integrate the strategic plan into the BOT agenda III. Financial Planning/ Human Resources Estimated Time: 2 % Hours Presenters: Tom, Debbie, Ben a. Five-year financial forecast—from 3/10 Option B with class size of 20- (See Tab #3) b. Review Hayes report in conjunction with proposed CIP -(See Tab#4) c. Five-year financial forecast relative to the Hayes projections - (See Tab#5) d. Review financial policy- (See Tab#6) e. Student & Staff Recruitment IV. In-depth Governance Analysis Estimated Time: 1 % Hours Presenters:Tom & Mike a. Board of Trustees Policy Manual—(See Tab #7) b. Town Council / Board of Trustees Relations & Ethics Policy- (See Tab #8) c. Advisory Board /Affiliates Policy—(See Tab #9) Municipal Strategic Planning Retreat May 23, 2011 8:30 a.m. to 5:00 p.m. I. In-depth Governance Analysis Estimated Time: 2 hours Presenters:Tom & Mike a. Board of Trustees Policy Manual (cont.) - (See Tab #7) b. Town Council / Board of Trustees Relations & Ethics Policy (cont.) - (See Tab #8) c. Advisory Board /Affiliates Policy (cont.) - (See Tab #9) d. Governance Discussion / Role Play i. Case Study II. Municipal Strategic Planning Estimated Time: 3 % hours Presenters:Tom &Amanda a. Review and revise Mission, Vision & Values statements—(See Tab#10—Current Municipal Strategic Plan) i. "What one thing do you want to see at the Town of Westlake that we don't have?" b. Comprehensive Plan Review c. Review current and updated draft of strategic plan with Strategic Issues-Focused Governance System —(See Tab #11 —Proposed Strategic Plan) d. Strategy Map for Balanced Score Card (Outcome Objectives) e. Program Budget Synopsis III. Financial Planning Estimated Time: 1% hour a. Five-year Forecast- (See Tab#13) Presenters:Tom & Debbie b. Review CIP c. Financial Policy Review—(See Tab #14) IV. Council Re-cap and Governance Direction * Lunch will be served for one-hour during the approximate times of 11:30 to 1:30 p.m. Council will recess the meeting during the lunch hour. Council/Board — Manager/Superintendent Laura Wheat Carol Langdo7n ] Tim Brittan hnetsity +27 +28 .24 segment +18 -27 +26 26 _�24 +27 +28 +26 +24 +9 +9 9 +9 �14 �18 -9 +9 +14 +18 2�8 +6 ------- ....... ...•..•• 6 +8 +12 +6 6 +8 +12 +6 ------ ---- +5 --------- --------- ---- +6 '+7 +1 +7 +11 +5 -10 +4 1 +4 +10 +4 1.2.... +6 +10 4 + +9 +3 +2 ------ 0 +9 .+3 +8 +2 1 + +1 -2 0 -4 +7 +1 +7 +1 -4 -3 segment -+9 17 777 77 . --------- ............................. i 7 ----- ---------- ...........T-6--------:7_. ---- ----------- --- -------------------- 3 7 1 ..........i----- ...U. ................ ----- ---------- ------ ------ --y---- 8 --- ----y---- ----- ----- ----- -1 1 -4 1 1 -4 -To -IT .-2 0 _�c -2 -2 0 t2 =3-- --------------- . .... .... ----- ---------- -------- - --- -12 -13 -4 -7 -13 -4 -7 -13 2 -7 -14 -4 -8 3 ......... -14 -5 -4 -8 -14 -4 -8 ------ --------:_6----- ------ -6 -7 -8 li -27 1-26 1-27 1-26 1-26 -27 -26 4 1 7 1 2 1 2 5 1 3 1 3 6 7 1 1 Promoter Inspirational = Inspirational Ox Tom Bry Rick Renn Clif C::= Kerr7l,,-111111�� 40 t I ;nom ay 127 +27 +2R -26 +24 +27 +28 +26 +24 4.14 - 1 +18 +14 -18 +9 +0 +q 18 12 +6 +8 1 +6 +6 +8 +12 +6 411 7 =i1 +5 6 +7 r11 +5 +10 4 _io +4 + 6 +10 +4 C. +9 +3 0 +9 + +3 --- •------------------- - ---- .............. 48 �2 6, -1 -_. -2 4 :2 4 +7 +10 �7 �1 ` /+7 +1 -3 1 -4 2 0 I..... ........... ..........7.... --------------- ----------- -----------7--------- ------------- ..... .... .. .... .........:_ ------------------- ---- ----------------- --------------- ---------- 9 9 10 -To it __.Ii I I\2� _T3 -27 -26, -27 -26 .4 -9 -I ,I -4 -4 0 -2 0 -------- ----- -------------- ---- .... ...ff..... 57. 3 2 -13 :4 3 -14 .74 5 -A -4 -4 -4 .3 ........... ... -------15---------- ------ --- -------- is -7 _16 -26 -27 _-26 -2.' 5 4 4 3 5 2 4 1 5 7 7 1 �.._. 1 1 1 I I Creative Inspirational WALT Team Tom Brymer Allison Schneider Tracy Odom Ben Nibarger -27 +A '26 +24 W—y .26 �26 42' �27 28 24 +27 -2,S +7 7 ------Z, ------ ------ --------- --f- -------- ------;7S----- ----- --------- --- .7 6 TT 3 + -6 +f �6 1 11 -5---- .---y------------- 19 0 3 --0- 1 ....�4 ---- -T5----- 2 4 4 1 + --------- -- ---------- 4 -2 — -----.. . ........................... .",..... ------.... ................... 5 .2 z r 6 7 7 --l-,- ----------- ---------------- -T ........ ....... 9 -9 4 -9 -4 IG -11 -2 a -5 -10 ---- ...... - ----- l2 -------------- ------------ 3 -14 5 14 -5 6 .... ......... _-4 � -4 6 ......7.1 4 ----- ---E7--- 9 -7 -16 1 1 z2,•. -26 -27 -26 -17 -26 -27 -26 .27 't -27 1-26 -27 -2L -27 -26 7 1 1 1 5 3 2 7 6 3 1 2 1 5 6 1 2 4 Persuader Inspirational Creative Creative = 0 Clint Calzini Rod Harding I.z ,:.o f tl>N ij wl:. ¢l t.lntn.tra Leadership Team Tom Brymer Ginger Awtry Kelly Edwards 27 '26 +26 .2? .27 +28 26 24 +9 +14 +18 �9 04 -18 -27 �28 +6 +9 t!2 +b - 9 --- --------- ------- -------- +6 +8 +Q 6 17 6 .6 .... --------;,y----- ------- Ti---- -------- 7 'T + ------ ---- --- +8 + +to .4 +1 �4 ---------------- ------ ------ ---- ---- -- ----------------- ----------------------------- + ---- ----------------------------------------- 72�, +l 7-2 -4 -6 77----------6.---- ---------ff.... .... .........T..........F---- .... ........... -13 4 7 -14 - -4 -14 -5 -4-16 -11.... '--;7 1 ------- 'Z7----------g-7V---- ----------- 4 -27 1 -27 -26 1 -27 -26 -2t -26 7 1 7 1 1 4 1 7 9 3 2 2 5 7 t�td i Inspirational Promoter Perfectionist Amanda DeGan Debbie Piper Eddie Edwards .Ry 26 24 -27 �2,, .22 -26 24 -A -27 a 126 +24 -i4 +18 +14 °9 -- . -i2 +e__.. +9 9 +6 +12 +6 .......... • ---------- ........ --- +4 ----- ...... + 7 + ----- ------------------------- ------ ----- ----- ............ 2, +4 7 ^1 -4 ---- ------------------------- �3 1 ---- --- ----------------------------- .... ------ ----- --------- -2 2 ------ ------------ --------------- ............ -2 G -5 .... ...fi----- - 76- -12 :2 14 3 4 _T3 -4 3 ----- .... ................. 16 -11 16 8 -17 1-2c 1-2- 26 -2t 7 -27 26 1-2 7 3 2 4 Developer Perfectionist-:e Leadership Team cont. Jarrod Greenwood Richard Whitten 2? 20 '24 -6 8 12 +6 -T-------------- +0 - t� 7 7 Dominance lnflta}nce -4 ---------- -Y + �2 -7 I 3if, ;mot ----- -- --- 2 -4 - --------------- -3 Consdentousness o �4 .2 0 Ak 12 3 ------ CI .3 4 :2 A -14 -4 -8 is --6 -5 RELIABILITY 16 3 7 ;J7 15 1 .27 1-26 crand" Todd Wood Troy Meyer r MM Mill I.t—sty intensity Segment 27 +28 +26 +24 +27 28 �26 �24 +14 +18 +14 +18 +(; t 9 +9 +9 +8 +12 +6 +6 +8 12 +6 Seumen +7----- •---+51 .76----- +7---------- ------ 17 + +10 +4 +4 +1 +6 + 0 9 +3 0 +3 -- 7-7-i--------7-57------------ ----------- +8 +2 --—----I ------ :2 +4 7 +1 -2 +4 3 +-3 + 2 7 6 3_ -2o -21 9 +9 1-8 -------- . ...... .. + + --- ---------- _+4 -4 0 -------------- -------------- -------- ----------- -- -------------- ----- ----- --- --------- ----- ------- ---------------°- -------- ------ -------------------- 2 8 9 -4 -2 -2 0 -5 - ------------- ..I_I..... ---------- -7 ------- 5 -7 -4 -8 -14 -5 -g----- ---9------ ---V--- • -4 -8 -7 -11 -i5 ---------5------ ----�7---- -27 -27 -26 -27 1-26 1 -27 1-26 2 1 5 1 6 Creative Agent MEMORANDUM Date: May 16, 2011 T®: Honorable Mayor and Town Council FROM: Tom Brymer, Town Manager/Superintendent SUBJECT: Work to Date {reformatting the WA Strategic Plan At a Board of Trustee workshop earlier this year, the Board expressed their desire to place the WA Strategic Plan into a format that made it easier to follow, track, and to measure its results. Since then, Staff has put in many hours toward making this Board direction a reality. For Board discussion at this retreat, you will find information in this notebook that has been prepared as a proposal by Staff. It is a framework recommended as a means to move towards attaining the results the Board has expressed as a desired result for our WA Strategic Plan. This proposal involves reformatting the Strategic Plan, aligning it with IB practices and standards, and putting it into a Balanced Scorecard format to measure progress toward attaining the Strategic Plans desired outcomes. 3 Village Circle, Suite 2o2 -Westlake, Texas 76762 Metro: 817-430-0941 - Fax: 817-43o-1812 - www.westlake-tx.org l STRATEGIC PLAN WE KE E M y A central tenet of die Tonvn of Westlake is the belief that communities with die brightest future are those where knowledge is highly valued auhd its goals and objectives are based on acquiring an education, 1anerrt $icar�al ra,rdd aa�cal ` learning together and imparting knoNvledge to our future generations. In Westlake's case, those generations are found in the students 1 � � t attending the Academy now �uhd in the future. In keeping ��ith tlis b;< � ��. ��. � � � philosophy, c,stlahe Academy is the only municipally owned and operated Charter School in the State of Texas and as such, is the largest operating department of the To,,vn of Westlake. f The development of the Strategic Plan is designed to provide the Westlake community, our faculq, students, and parents and our peer Table of contents schools with the luhotivledge necessary to understand the direction of Mission/VisionNalues 2 the Academy as well as the emphasis the Board of Trustees places in Overflew 3 educating our next generation of leaders. Desired Outcomes 4 The Strategic Plan contains the mission, vision, and values of Westlake Highlights of the Academy 4 Academy as defined by the Academy's Board/Staff team. The Plan is High Student Achievement 5 untended to equip our faculty, parents, students, administration and the Parent/Comm.Connections 12 Board with a road map" to pursue the desired outcomes that .move Financial Stewardship 16 the school closer to this vision and ultimately-, to the highest level of Student Engagement 20 student success we can attain NIVith the resources provided. Effective Educators/Staff 23 12600J.T.Ottinger Road j Westlake,Texas 76262 (Phone: (817)490-5757 Fax: (817)490-5758 www.westlakeacademy.org Approved: April 5,2010 RN NMR- Westlakc Acacleiny° is governed by a six (6) rllember Board of Tr.itstee.s comprised of file Board President and five: (,'a) Trustees. -1'lle°se. positions selwe - ar clrlarl role — as laodi the Ac•adviny's governing board and the Town Cound for the Town ol'Westlake. Tile Trustees scrve two (`?) year star gered terries of office all(] are re.sponsilalc for the g;ovcrilallice of, tine school, 11,111cll Inclrldes adoptin", Policies related to c..ducattlonarl services and trr'og-3-arlis approving the annual laud c°t and a riapoirrtinc:rrt of menlim—, to tile: Westlake .kc dcllly z I1'ouradation. . Tile Board ;dso appoints file c1lic1, FIXeclltivc Officer cat' the school, -wilo is responsible for tl.lc: Academy's dally operations. stall' appolnollenti 111ar11ag-'.Meet. plant illalntellarnce, mid frllarlclal administration. In aciditioll, the t'E0 lilrlctions as t1w rllmlil lana,,cr-f<ar tlrc Town ofAN'estlake, MISSION ISION '1,Fes511akc. c:-a cmy S a azw-uu-ang� rz tr .r`trr cal xer �a err a Baccalaureate diaiYe-j-school uho,5c nii5sion lss to achieve acade-mlc e-rc,hence, and/.o de melf�phk-lopg lcamej-s who beco-me well-balanced and-re.sponzible glO al C -era..-" VALUES (GUIDING PRINCIPLES) ® Academic success through the IB curriculum ® Student and family oriented environment ® Being a municipally olvned and operated charter school a Engaged students ivith international aivareness } ® Community involvement and support Diverse learning experience 2 The strategic plan is the result of many liours of review and discussion with the Board of Trustees, and Westlake Academy Staff', which spanned a year-long process where we guttered information, discussed our long-range goals and � developed comprehensive guidelines to ensure student success. The Board met, during a planning retreat, to develop tie mission / vision statement: and identify; the values that were important to the Academy. The plan was then expanded to include live (5) Desired Outcomes which the Staff used to develop Specific Outcomes, Indicators and Activities to accomplish these directives. l t Vision/ IB�issiou Values d's (Guiding Principles) Desired YZI Outcomes 61 Specific Outcomes Indicators .Specilic Outcomes rue designed to suppotY the fire(S)main Desiied Outcomes iden6lied as unpottaot to tie success of tie students. Specific Outcome= 1.0 Students will be well prepared to matriculate and succeed in college. SbolI-RaIIA)v x1d 011 YOIIIy G(VIA Team Leaders are identified to monitor our t Team L(:atfeP(S): FIeadS t3f Se('tIE7FI ,_ progress toward the stated goals Indlc'atoi's:Le tneasumble statements/ activities designed to TIldICatO£= 1. 0Oti Ol Sttidf 1314 al'C p 2SSIt7g CI 15SF(>t)ITl C LTTIS Show 111atspecilic Estlniated Completion Date: Oii--OIIlg Goal Outcomes have been acltiered Assigned completion dates for each Indicator Specific Outcomes are Activity= 1.1.1 C:ontiuued integration of IB curriculFl into<ill assigzied a deadline relative chLily educatioLlal pI ogI atns Activuies.ue actvons Srsil7 to the time anticipated it will complete to achieve[lie will take 1'o complete the goal set out in the task. corresponding Indicator Short Range= l -2 years Mid-Range= 2-3 years Long Range°3-5 y=ears arid Can-going 3 High Student Achievement Develop inquiring, knowledgeable, caring and disciplined young people who use their unique talents to create a better and more peaceful world through intercultural understanding and respect Strong Parent & Community Connections To involve all stakeholders in buildinc, a better Westlake Academy community --Financial Stewardship & Sustainability, To ensure sufficient. well-manaaed resources to support and ad- Vance the mission of Westlake Academy Student Engagement–Extracurricular activities To ensure that all athletics, community service and extra-curricular activities are held to the same standard of excellence as the curricula programs to promote well-balanced students – Effective Educators & Staff Recruit, develop and retain a core faculty and staff with the personal qualities, skills and expertise to work effectively with the 113 inquiry-based, student-centered curricula • Westlake Academy is the only school in the state of Texas to provide their students with all three 113 programs—Primary Years, Middle Years and the Diploma Program; and one of five schools to offer all three in the United States. • Provides numerous extra-cuiricular opportunities, in addition to the rigorous curriculum, such as athletics, drum line, music, yearbook, Black Coiv journalism and newspaper publishing, historian and aarden club, student council, science and history competition. Model United Nations, etc. • Our first graduating class, 24 students, have received over $1 million dollars in scholarship • Rated as "Exemplary"by the Texas Education Agency for three (3)) of the last seven (7) years Critical Readin- 9th loth 11th Math 9th I Oth I I th Writine, 9th I Oth I I th National Mean 41.6 41.6 46.7 National Mean 44 44 48.9 National Mean 41 41 45.8 Texas Mean 40.3 40.3 44 Texas Mean 43.5 43.5 47 Texas Mean 40.4 40.4 44.4 Westlake Students 48.9 50.6 56.5 Westlake Students 47.2 51.3 59.2 Westlake Students 46.5 48.5 54.7 4 -------------------------- ------ A central focus of Westlake Academy is to prepare students to achieve a world class education through the use of the 1B curriculum and ultimately toward doing well in college. Special attention will be given to providing students with the educational framework needed.to help them experience success on their homeG fork assignments and in taking classroom based -ima vhic] rk indicators as to a tests. Both of v i can be used as bencl -m. -n students performance on. the rigorous final 1B exams adi inis- tered during their senior year of the Diploma Program. Students will receive instruction in foreign language studies, exposure to and. application. of modern technology in the classrooms, and be given the opportunity to model the 1B Learner Profile traits that will assist them in the formation of their critical thinking skills. Profile Traits Inquirers Open-minded Knowledgeable Caring Thinkers Risk-takers Communicators Balanced Principled Reflective Staff Nvill focus on providing curriculum and school experiences that will translate into achieving the students coals of entering the college of their choice. Among other tasks,we will provide the students with time management and research study skills which are crucial to college coursework and examine the feasibility of providing on-campus review courses for the SAT and ACT exams along with the implementation of other external assessment tools to gauge the students capabilities in reading,mathematics and problem solving tasks. We will also perform a complete alignment of the IB curriculum across the spectrum of our K-12 facility. This will allow each`section' of students to better succeed as they progress through their learning experiences. For example, each subject (math, science, etc.) will undergo continuous review to ensure the curriculum and methods being taught in the Primary Years (PYP) will transition into the Middle Years Program(MYP) and so on,into the 11th and 12th grade,known as the Diploma Program (DP). Students who matriculate from Grade 6 (PYP) to Grade 7 (MYP) and from Grade 10 (MYP) to Grade 11 (DP)will be prepared do well in their studies. As parents are an integral component to the achievements of the student, the Board of Trustees, n - through the use of the Westlake Academy Strategic Plan, have developed specific programs and n n directives designed to assist new families in their transition into the Academy's community along with maintaining multiple lines of communication for our continuing families. Please see the following Specific Outcomes and indicators associated with High StudelitAchievemelit for more information. 5 Specific Outcome 1.0 Students will be well prepared to matriculate and succeed in college Short-Range and On going Goals Team Leader(s): Heads of Section 1.1 100%of students are passing classroom exams Estimated Completion Date: On-going Goal 1.1.1 Continued integration of IB curricula into all daily educational programs 1.2 Graduate 100%of our students Estimated Completion Date: On-going Goal 1.3 100%college enrollment for all graduates Estimated Completion Date: On-going Goal 1.3.1 Continued integration of IB curricula into all daily educational programs 1.4 90%-will test for two (2)or more subject specific Diploma Program certificates Estimated Completion Date: Spring,2011 1.5 Students will perform at a level that is within the top 25% (upper quartile)on college entrance exams(ACT,SAT)as compared to: • State average • Surrounding school districts • Comparable IB schools Estimated Completion Date: On-going Goal 1.5.1 Provide onsite testing to increase student access to exams;Research our ability to provide a preparatory SAT,ACT program within Westlake Academy. 1.6 Review the use and interpretation of college skills readiness exams,which are necessary to gauge the student's ability to perform at the college level Estimated Completion Date: Fall,2010 1.6.1 Research the capacity and applicability of alternative programs,such as the College and Work Readiness Assessment (CWRA),for administration during freshman and senior years,to determine the college skills levels for the MYP and DP students 1.6.2 Explore the use of the Program for International Student Assessment (PISA),Progress in International Reading Literacy Study (PIRLS),Trends in International Mathematics and Science Study(TIMSS),iCritical Thinldng Certification,etc. as evaluation tools of student progress 1.7 Prepare students to use cutting edge technology flexibly and effectively Estimated Completion Date: On-going Goal 1.7.1 Research the availabi itylpartnership of a technical sponsor 1.7.2 Effectively integrate technology into all IB programs 1.8 Develop time management and research skills study units to further prepare the students to succeed in college level courses Estimated Completion Date: Fall,2010 6 a e Specific Outcome: 2.0 Graduate the maximum number of students with an IB Diploma on an annual basis— On bomb Goal Team Leader(s): Diploma Program Coordinator 21 80%of graduates achieve the IB Diploma by 2015 211 Students will achieve at a level that exceeds the national average relative to other IB schools 2.2 90%will test for the complete panel of Diploma Program exams Estimated Completion Date: Spring,2011 Specific Outcome: 3.0 Students will excel on the TAKS test- Onboinb Goal Team Leader(s): Heads of Section 3.1 All students will pass the TAKS exams Estimated Completion Date: On-going Goal 3.1.1 Develop parameters to ensure the students are prepared for State mandated exams in a manner that aligns with the IB instruction 3.2 Exceed the number of commended students relative to internal and external assessments Estimated Completion Date: On-going Goal 3.2.1 Benclunark the students commended level relative to neighboring school districts (see also High Student Achievement,5.1) 3.2.2 Establish regular and uniform progress reports as it relates to indi«dual students on a year to year and by grade level basis(see also,High Stude;itAchiL�?emenr,9.8.1) 3.3 Maintain the highest Texas Education Agency rating allowable for public schools Estimated Completion Date: On-going Goal Specific Outcome: 4.0 IB Learner Profile will be integrated throughout the entire spectrum of the Westlake Academy curricula and culture—On going Goal Team Leader(s): Primary,Middle Years and Diploma Program Coordinators 4.1 Students will view learning as a life-long process and possess the following competencies: • The ability to think critically,creatively,and solve problems • The ability to collaborate effectively,and lead by influence • The ability to think flexibly,deal effectively with change,and use a variety of tools to solve problems • The ability to adapt to new and unfamiliar surroundings,take initiative,and trust themselves to be creative • The ability to communicate effective and cogently(oral and written form) • The ability to access and analyze information ® The ability to ask focused,purposeful.questions 7 (Specific Outcome 4.0—Integration oflBLearnerProfile,cone.) 4.2 Students will act as arbitrators to settle disputes Estimated Completion Date: Spring,2011 4.2.1 Research the availability and integration of formal arbitration training to allow students the opportunity to develop problem solving strategies and dispute resolution skills 4.3 Students will demonstrate the following facets of international-nundedness: Estimated Completion Date: On-going Goal • Knowledge and understanding beyond one's own nationality • Awareness and understanding of the interdependence among people • Awareness and understanding of the independence of people and countries • Awareness and understanding of the similarities and differences among people 4.3.1 Students will be provided with a fair and balanced view of issues and events 4.3.2 Curriculum will be presented in a holistic manner,so that both the cognitive and affective domains of learning are stimulated 4.3.3 Promote broad student participation in residential trips 4.4 Explore programs and partnership opportunities to foster international nundedness through the use of cultural/foreign exchange programs,Forgotten Diamonds,sister cities,etc. Estimated Completion Date: Fall,2011 Specific Outcome: 5.0 Westlake Academy's IB curricula and assessment methods are a product of continuous review- On going Goal Team Leader(s): Administrative Services Coordinator;Primary,Middle Years and Diploma Program Coordinators 5.1 Westlake Academy in top performing 5%of the following(for all grades): Estimated Completion Date: Fall,2011 • Texas Charter schools • Texas public schools • Benchmark schools 5.1.1 Use TAKS and additional criteria,such as,SAT,PSAT,Stanford testing,etc.to determine comparable exam scores,applicable data sets and proper comparisons to benchmark our outcomes against other schools(see also,High Student Achievenicnt,32.1) 5.1.2 Review the use of the`building evidence'component of the 1B to assist the Staff in identifying the appropriate measures and methods to accurately compare our IB success with other schools 5.2 Develop methods to review the curriculum and create alignment with TEKS and between the Primary Years,Middle Years,and Diploma programs Estimated Completion Date: Fall,2010 8 _ (Speciric Outcome 5O-Rel,iewofIBcu-rricalqlassess-rne-nts,cont.) 5.2.1 Identify subject or activity specific programs(Mathematics,Science,AtMetics,Spanish, English,etc.)to be reviewed amivally,each spring and fall,for continuous improvement and internal evaluations 5.2.2 Create task force for curriculum reconunendations on expansion and/or improvements to cur- rent course offerings (examples: additional foreign language,choir,media arts program,etc.) Specific Outcome: 6.0 Create a list of benchmark schools for educational comparison and explore the formation of a consortium group to foster professional collaboration and methods review - Short-Range Goal Team Leader(s): Administrative Services Coordinator Specific Outcome: 7.0 Work with Council,stakeholders,teachers,and staff to foster a discussion and generate a definition of"What malzes an excellent school?"-Shart-Range Goal Team Leader(s): Chief Executive Officer and Heads of Section (see also Effectivc Educators and Staff,5.1) Specific Outcome: 8.0 Students will possess a working proficiency in a second language-ShortlMid-Range and Team Leader(s): Diploma Pro-ram Spanish Teacher &I Develop a formal ized process to gauge the proficiency levels and gather a teacher based assessment for each student at the beuirming of each school year-(PYP,MYP and DP) Estimated Completion Date: Sununer,2010 8.2 Students matriculating in grades 6 and 10 meet identified grade level standards for second language proficiency Estimated Completion Date: Spring,2011 8.3 Graduates will demonstrate the following: • Know how to conununicate effectively in a number of situations and within the culture where the language is spoken • Corm-nunicate clearly and effectively in a range of situations;understand and accurately use oral and written forms of the language • Express ideas with clarity and fluency while understanding the vocabulary and common usage • Possess the ability to understand and respond appropriately to the written and spoken material of average difficulty Estimated Completion Date: On-going Goal 8.4 Explore the feasibility of a full-time Spanish teacher for the primary grades Estimated Completion Date: Sprina,2011 8.5 Review the establishment of sister-school relationship for a Spanish immersion experience, Estimated Completion Date: Fall,2012 9 i m 4 Specific Outcome: 9.0 Parents will be encouraged to participate in the educational process to support students in their studies— Short/Mid-Ranmeand On boirng-Goals Team Leader(s): Primary,diddle Years,and Diploma Program Coordinators 9.1 Develop methods to achieve 100%attendance rate for new parents at parent/teacher meetings Estimated Completion Date: Sununer,2011 9.2 Create an educational development process for parents to simulate the student's IB learning environment and increase their understanding of the curricula Estimated Completion Date: Spring,2012 9.3 Provide parents with information from the IB action kits to further communications,explain curriculum and answer related questions Estimated Completion Date: Summer,2010 9.4 Draft parent commitment agreement,which will explain the homework requirements,IB philosophy and learner profile,along with information relative to each program that will augment the parents understanding of IB and identify the comprehensive structure of the Westlake Academy learnuzg environment Estimated Completion Date: Summer,2010 9.4.1 Provide parenting resources,strategies and focus--mails from Staff 9.5 Conduct mandatory new parent meetings to review the parent commitment agreement,and other items specific to Westlake Academy to thoroughly identify the topics and focus items necessary for their children to succeed Estimated Completion Date: On-going 9.5.1 Open meetings to interested parents on the waiting list 9.6 Develop transitional meetings for those students and parents completing one program and moving into another(PYP to MYP/MYP to DP) Estimated Completion Date Summer,2011 9.7 Identify and provide volunteer opportunities to involve parents/grandparents in the educational process Estimated Completion Date: On-going 9.7.1 Streamline the volunteer application process to reduce the clearance time;research the use of an online application form 9.7.2 Develop process to track the number of volunteer hours and benchmark with other schools and utilize the data in relative grant opportunities 9.7.3 Examine the feasibility of implementing a full-time volunteer coordinator position 9.8 Create content mechanism for quick parent access to their child's academic progress in all subjects Estimated Completion Date: Summer,2010 9.8.1 Establish standard procedures,timelines and content for all faculty for placement of student grades,assignments,course syllabi,etc.in an online access point for constant parent engagement of child's academic progress on a real time basis (sce nlso,High Saadntt Achie�Felrient,3.23) 10 Specific Outcome: 10.0 Consistently review the Staff to student ratio to determine reasonable levels of the number of students per class- On-going Goal Team Leader(s): Administrative Services Coordinator 10.1 Heads of Section to perfonn analysis on an annual basis,during the budget process,and report the information to the CEO Estimated Completion Date: On-going Goal |l 1 @gk' The involvement of the entire Westlake Academy community is important to the achievements of the school and the students. Our group of stakeholders include a wide range of different types of individuals and contributors who work in tandem with our educators and Staff on a daily basis. These range from the families of our children, residents of Westlake, corporate businesses who support our efforts, and educational allies, such as various philanthropic foundations. All ' of whom help to create the unique environment you and your F student will find at the Academy. Staff will focus on strengthening our ties within the Westlake community, with neighboring school districts, philanthropic organizations and benchmark schools, through multiple avenues, such as the use of the Academy's school newspaper, The Black Cony, the development of internship programs with local businesses, collaborative efforts for regional training and forming relationships with education oriented non-profit organizations. The goal of this Desired Outcome is to further inform our residents and families of the current topics of interest to the students with the journalistic reflections and articles found in their news articles along with allowing students the opportunity to explore aspects of the corporate world by working closely with industry leaders. In addition, a parent survey will be presented to the Board for approval on an annual or biyearly basis to promote the formal exchange of information with our parents. This will allow each family with children in the school to express their opinion on a range of topics which are important to the direction of the school and our overall success. Please see the following Specific Outcomes and Indicators associated with StroiigParerltColalmitinolt for more information. 12 __ 000h-Od 66�e=0 - SOVW FAMUC 4- CO===iq- CM.U0C0172W, -------_--_-- 1.__.___________'------------ ---------- Specific Outcome: 1.0 Westlake Academy will work in tandem with the Town to foster community ties-Mid-Range and On-going Goals Team Leader(s):Administrative Services Coordinator 11 Distribute the Black Cow newspaper to all households in the Westlake Academy community and Westlake residents Estimated Completion Date: On-going Goal ZD 0 1.1.1 Open Black Cow subscription to parents on the waiting g list 1.2 Research the development of a newsletter to be distributed to businesses and other concerned parties in the community Estimated Completion Date: Spring,2012 1.2.1 Work with the Director of the Westlake Academy Foundation to determine the level of interest and appropriate subject matter of the newsletter 1.3 Investigate the development of a community education program(Spanish courses,partnerships with local colleges,recycling and composting classes,arts/ceramics) 0 ZD Estimated Completion Date: Spring,2011 1.3.1 Perform a survey to detern-dne the types of courses according to community feedback 1.3.2 Contact the local colleges and discuss partnerships for on-site credit courses as a satellite campus 1.4 Work with Town Staff to develop an internship program for Diploma Program students in the local business community Estimated Completion Date: Spring,2010 1.4.1 Include the use of job-shadowing on a week-by-week—one-time occurrence and/or long term opportunity Specific Outcome: 2.0 Maintain multiple avenues of communication between the school and Westlake Academy stakeholders and develop a communication plan which contains at a minimum: Team Leader(s): Heads of Section;Administrative Services Coordinator-Short-Range and On-going Goals 2.1 Conduct the parent survey on an annual,or bi-yearly,basis to assist the Staff in their educational efforts;identify areas in need of improvement and promote feedback opportunities for parents Estimated Completion Date: On-going Goal 2.2 Review the current web site and re-design as needed to increase flexibility and user-friendly aspects of navigation/information Estimated Completion Date: Spring,2011 2.2.1 Expand Parent survey questions to include additional feedback on web site configuration and usage trends 13 (Specific Outcome-20,Stakeholder Communication,coat) 2.2.2 Compare CMS platforms to streamline the updating procedures for the web site 2.3 Increase the use of technology and outreach measures to foster transparency and involve the Academy community Estimated Completion Date: On-going Goal 2.3.1 Develop affiliate access to the web site to provide the House of Commons,Westlake Academy Athletic Club,Black Cow,etc.with the ability to link their home page to the school 2.3.2 Draft parameters for posting content to the web site to ensure consistent delivery of information to parents/students 2.3.3 Publish and maintain grade level web sites and the Academy web site 23.4 Research the implementation of online accessible grading systems to inform parents of student progress 2.3.5 Research the Town's sign ordinance to determine the feasibility of the construction of an informational sign to be placed on J.T.Ottinger Road in order to post events and announcements to the school community and Westlake residents 2.4 Develop and update a community events link through the web site Estimated Completion Date: Fall,2010 2.4.1 Add community events link to include major events such as Arbor Days,Monster Mash, Tree Lighting Ceremony,Decoration Day,etc. 2.5 Formalize procedures through the CEO's office to gather feedback from parents and students who withdraw from the Academy and use for continuous improvement Estimated Completion Date: Fall,2010 Specific Outcome: 3.0 Ensure a smooth transition of new students into Westlake Academy Team Leader(s):Heads of Section;Primary,Middle Years, and DP Coordinators,Primary and Secondary Counselors–Short-term and On-going Goals 3.1 Develop peer mentors for new students and families Estimated Completion Date: Summer,2010 3.1.1 Encourage House of Commons to assist Staff in the development of the peer mentors for families 3.1.2 Utilize the student ambassadors to assist new students with their transition in the West- lake Academy community 3.1.3 Sponsor a mandatory orientation program for new students 3.1.4 Establish annual introductory meetings with DP Coordinator and Secondary Counselor to answer questions and concerns of the student as it relates to the DP Program F 14 Specific Outcome: 4.0 Continue to establish local business support to promote the Academy and community events Team Leader(s): Administrative Coordinator -Mid-.Range and On going Gods 4.1 Increase corporate community participation in events and activities Estimated Completion Date: Summer,2012 4.1.1 Host Westlake Academy night at fast food restaurants to promote fundraising(allow for a portion of sales to return to the school and/or wear spirit wear to receive discount);work with HOC,specific class grades to develop opportunities 4.12 Host movie nights,etc.with corporate sponsors to build`community'within the school and Town 4.1.3 Corporate student events-work with business community to sponsor a`teaching' event/night(i.e. Fidelity could speak on saNdng/investing at an early age,discussions regarding the types of students businesses would like to employ and/or utilize as in- terns) 4.1.4 Discuss the posting of athletic jerseys,photos of athletes,sports statistics,etc.in local restaurants or businesses Specific Outcome: 5.0 Foster ties with organizations which will assist Westlake Academy in achieving their goals -such as,other schools and philanthropic groups(Hudson Foundation and neighboring ISD's,etc.) -Short-Range Goal Team Leader(s): Chief Executive Officer,Heads of Section and Administrative Coordinator OR Noonan= V 15 ^° �A. . _--------- Westlake Academy is in a unique situation being an open- enrollment charter school. Funds for our daily operations are 1 supplied largely through State of Texas public education funds, as well as the Town of Westlake .funding. These tv<o funding sources are supplemented by private donations. These important donations are raised primarily through the annual Blacksmith Campaign, a which is coordinated and conducted by the Westlake Academy Foundation. Town of Westlake fundin6 through the municipal budgeting proc- ess,remits payments for the debt service on all bonds issued to build and/or expand the Academy. Crass-organizational support is pro- �r # � vided through the combining of departmental resources from the Town departments, which include finance, human resources/ administrative, technology, and facilities maintenance, etc., for the needs of the Academy Staff. Financial stability and the procurement of funds to meet the needs of our current and future students is a priority for the Academy. The school is an open-enrollment charter school that is owned and operated by the Town of Westlake,and as such,is the largest operating department of the Town. A guiding philosophy of the operational practices of the Academy is shown through the use of these types of resource sharing opportunities that avail themselves when a school is owned and operated by a municipality. Since a significant portion of the Town's municipal budget is allocated to the support and success of the student's at the Academy, the Town Council/Board of Trustees and the Staff consistently strive to identify and implement cost saving measures which will increase our capacity to serve our students while being good stewards of the financial resources of the Town. The organizational structure which allows the Town Council members to also serve on the Board of Trustees, further displays the carnunitment to the success of the school found within the Westlake community. The board members are able to gain a broad perspective on the challenges and opportunities facing both the Town as a whole, including the school, wlLile providing consistent and proactive governance policies to guide the Staff. The budget is approved on an annual basis by the Town Council/ Board of Trustees. The board then works closely with the Westlake Academy Foundation including the appointment of members to the Foundations'Board of Directors. The Town Council/Board members also appoint the executive leadership through the Town Manager/ Chief Executive Officer position. This person oversees and appoints the Westlake Academy Leadership Team, the Academy's daily operations, and manages the financial components of the school. In addition, the Town Manager/CEO, and Academy Leadership Team,work together in supporting the Board's policy initiatives,including the Strategic Plan, as well as making recommendations to the Board relative to pol- icy options and IB academic program choices. The Staff will continue to look for ways to implement cost savings measures to maximize our financial return on the money entrusted to us for the student's education. This will include looking for opportunities to partner with the Westlake Academy Foundation to sponsor fundraising events and working with other philanthropic groups who would like to be a part of the success of Westlake Academy. Please see the following Specific Outcomes and Indicators associated with Financial Stewardship acid Sustainability for more information. 16 1 h . Specific Outcomes: 1.0 Westlake Academy will work with the Town staff to provide cost effective services to the students and stakeholders Team Leader(s): Administrative Services Coordinator -On going Goals 1.1 Operate within budget allocation on an annual basis Estimated Completion Date: On-going Goal 1.1.1 Provide quarterly reports to the Board of Trustees 112 Staff will remit receipts and deposits to the Finance Department in a timely manner(at least once a week) 1.1.3 Staff will handle monetary transactions in a manner consistent with the Town's approved financial practices policy 1.2 All purchases will be negotiated and/or researched to ensure the best and lowest possible bid/ price for the Academy Estimated Completion Date: On-going Goal 1.2.1 Heads of Section and Administrative Coordinator will collaborate to identify the best/ appropriate vendor for school related expenditures Specific Outcome: 2.0 Westlake Academy Staff and students will work with the Town and community to maximize the efficient use of utilities and procurement of school resources— Short-Range Goal Team Leader(s): Administrative Services Coordinator;Facilities and Recreation Director; Technology Coordinator 2.1 Reduce utility costs by 10%within 18-months and explore recycling opportunities Estimated Completion Date: Sumner,2011 2.1.1 Promote the conservation of electricity,control the usage of water to non-peak hours and work with the Facilities Director to install rain control sensors for watering 2.1.2 Reduce the use of printers/copiers to lower costs;research`printing on demand' technology similar to college systems(possible electronic submission of assignments) 2.1.3 Reconunend new technology to reduce the need to print/copy items (Smart Boards,etc.) 2.1.4 Work with Public Works and Facilities Director to expand recycling opportunities on campus(computers,paper,etc.)and to involve community in those efforts Specific Outcomes: 3.0 Compensation packages for the educators and Staff will be regularly reviewed to remain competitive with surrounding school districts Team Leader(s): Director of Administrative Services— Ongoing Goal 3.1 Goals will be set to maintain teacher compensation at a competitive level as compared with surrounding school districts Estimated Completion Date: On-going Goal 17 (Specific Outcome 3.0—Compensation Packages,cont.) 3.1.1 Human Resources Director to perform analysis on an annual basis and prepare a report for the CEO 3.1.2 Study options and feasibility of compensation systems that reward teacher effectiveness relative to student achievement Specific Outcome: 4.0 Staff will support and assist the Westlake Academy Foundation in fundraising and grant opportunities Team Leader(s): Heads of Section -Mid-Range and On going Goals 4.1 Staff will participate in Gallery Night and other fundraising events Estimated Completion Date: On-going Goal 4.1.1 Art teachers will serve in an advisory capacity to the Director of the Foundation to promote and recruit parents/students to submit art work for Gallery Night 4.2 Conduct annual joint goal setting meetings Arith the Foundation and Staff Estimated Completion Date: On-going Goal 4.3 Create Staff task force to,,vorlk with the Foundation Director to pursue grant opportunities (see Financial Stewardship and Sustainability,621) Estimated Completion Date: Spring,2012 4.4 Work with the Foundation to develop expansion opportunities to increase the number of students who are provided access to the IB programs Estimated Completion Date: Spring,2013 4.5 Begin the implementation of an alumni program for the Academy Estimated Completion Date: Fall,2010 Specific Outcome: 5.0 Increase the growth of resources Team Leader(s): Chief Executive Officer;Heads of Section- Short/Mid-Range and On booing Goals 5.1 Strive to reach participation rate of 90%of parents in the Blacksmith Apprentice program to maximize parent participation and support the efforts of the Academy Estimated Completion Date: On-Going Goal 5.1.1 Conduct informational sessions to explain the importance of the Blacksmith program and answer questions regarding the donations 5.12 Staff to establish meetings with the Foundation to discuss and identify additional avenues to promote the Blacksmith Program at school events;discuss ways to increase the parents understanding of the linkage of their donations and the actual use in the classroom 5.1.3 Work with the Foundation to prepare and distribute flyers and email notifications to kick-off the campaign drive and follow-up with parents to increase participation rates i r, a 3 Specific Outcome: 6.0 Constant study,analysis,and emphasis on effective use of all financial resources to attain long term financial stability Team Leader(s): Chief Executive Officer 6.1 Continued progress each fiscal year to improve Westlake Academy's operational efficiencies and move closer to fully covering the following; a.)all operating costs and b.)unproved coverage of direct/indirect costs in the municipal budget other than debt service Estimated Completion Date: Spring,2010 6.2 Heads of Section/WALT team to work in tandem with CEO to review the financial requirements and funding options for the school Estimated Completion Date: Spring,2011 6.2.1 Benchmark the finances of Westlake Academy relative to other comparable IP and Charter schools for both operational and debt service expenditures 6.2.2 Research grant opportunities to augment revenue sources (see Financial Stewardship and sustainahility,43) 6.3 Perform regular reviews of the financial policies associated with the Academy Estimated Completion Date: On-going OEM FMMM d r 19 Student engagement is an integral component of the Academy's q� cornerstone,the International Baccalaureate (IB) curriculum. The IB curriculum rests on a learning philosophy that emphasizes an individualized, inquiry based platform tailored to a child's learning x strengths and can be seen in the profile traits which are woven into the curriculum of the school. Students are encouraged to display the following behaviors in their school work and extra-curricular activities,which are found in the IB Learner Profile: 44 ,• Inquirers Open-minded Knowledgeable Caring Thinkers Risk-takers Communicators Balanced Principled Reflective Leadership and community engagement opportunities are provided at Westlake Academy through various service requirements used to benefit local charities/non-profit based groups. We also use student-based groups, athletics and are researching the addition of summer educational opportunities to foster student engagement. The Academy has implemented a "House" system where each student and faculty member is assigned to a House for the length of their tenure at the school. Each House was named after individuals who represent the qualities important to our mission. statement. The system fosters school and team spirit, along with a sense of community through inter-campus competition and service based projects to help those in need. The Strategic Plan contains initiatives to promote and provide the necessary support for the House system to thrive and increase student participation. Students are also engaged through the use of many extra-curricular opportunities such as,music programs, book and chess clubs, drum line,junior historians, Rotary Interact Club, Future Business Leaders, drama club,dancing clubs,etiquette classes,etc. The goal is to support the IB through these opportunities,which alloly the students to be well-rounded hadi�Aduals with varying interests that can be explored and nurtured in a xvide range of student groups. Athletic programs are also important to the school and allow the children to explore their natural talents through competitive sports and active exercise-based. participation. We offer several options when. it comes to team choice — including, volleyball., soccer, cross-country, six (6) man football, basketball, softball and baseball,to name a few. Many sports are offered.for both a boys and girls team,with our soccer teams fielding a co-ed nix of students. Competition is balanced.-\vith the educational requirements of the Academy and many of our teams have been successful enough to either advance to or vin the Texas Christian Athletes Fellowship state championships in.their respective sports. Please see the following Specific Outcomes and Indicators associated with Student Engtgemetit for more information. 20 __ Specific Outcome: 1.0 Westlake Academy Staff will promote school-wide leadership,athletic,community service and extra-curricular opportunities for students Team Leader(s): Primary,Middle Years,and DP Coordinators;Athletic Director—Short-Term and On going Goals 1.1 Promote and develop community service opportunities to ensure that all students,K-12,complete the necessary service hours Estimated Completion Date: Fall,2011 1.1.1 Establish online activities calendars,which allow for the coordination of extra-curricular, athletic,and community service activities 1.1.2 Staff will continually review commmunity service guidelines to prepare Primary and Middle Years students to meet the demands of the CAS requirements in the DP program 1.2 Include or expand wording in the Parent Survey to establish a benchmark approval rating for the athletic sports and extra-curricular programs Estimated Completion Date: Spring,2011 1.2.1 Administer annual student survey to gauge approval rating and suggestions to the sports and extra-curricular events offered at the Academy 1.2.2 Staff will support and collaborate with the Westlake Academy Athletics Club 1.3 Provide diverse opportunities for non-athletic based extra-curricular programs Estimated Completion Date: Fall,2011 1.3.1 Identify and pursue Staff sponsors for science,debate,Odyssey of the Mind,etc. 1.4 Research and if feasible,implement UIL participation in academic events for students Estimated Completion Date: Fall,2010 1.5 Develop department based strategic plan for athletic program to identify main goals and objectives to support and serve the student athletes Estimated Completion Date: Fall,2010 1.6 Examine the current athletic conference and compare with alternative groups,such as the University Interscholastic League(UIL),Texas Association of Private and Parochial Schools (TAPPS),for alternative sports opportunities and a broader base of competition schools Estimated Completion Date: Fall,2010 Specific Outcome: 2.0 Prepare an annual student based survey(current and alumni) to cover topics relative to their experiences at Westlake Academy,satisfaction levels with athletics and extra-curricular pro- grams,curriculum feedback,etc. Team Leader(s): Administrative Services Coordinator;Heads of Section— On-Going Goal MUM Mil 1 IN 21 Specific Outcome: 3.0 Staff will promote and support the House system Team Leader(s): House Coordinator—Mid-Range Goal 3.1 Work with the House coordinator to identify House leadership opportunities and establish regular participation in major events Estimated Completion Date: Fall,2012 3.2 School sponsored service activities to work through the House system to increase participation Estimated Completion Date: Fall,2012 Specific Outcome: 4.0 Westlake Academy will sponsor summer programs for educational advancement Team Leader(s):Middle Years,Diploma Program Coordinator and Secondary Counselor—Mid- Range Goal 4.1 Finalize discussions as to the need and offering of summer school programs for Secondary classes Estimated Completion Date: Spring,2010 4.2 Research the ability of summer programs of surrounding businesses,such as the Solana Club and other school districts,to expand activities into offerings for Academy students Estimated Completion Date: Spring,2011 Specific Outcome: 5.0 Students will be recognized for achievements Team Leader(s): Heads of Section— On-Going Goals 5.1 Staff will recognize students within the Westlake Academy cormnunity Estimated Completion Date: On-going Goals 5.1.1 Recognition to occur at commendation ceremonies; announcements at flag and where applicable,through signs posted around the school,in newsletters,and/or Black Cow,etc. 5.2 Students will receive recognition in local newspapers for educational,service and/or athletic achievements,etc. Estimated Completion Date: On-going Goals 5.2.1 Athletic Director will notify publication entities of sports scores and outstanding student successes 5.2.2 Staff will provide press releases to publications for notable accomplishments in academics or service related activities i 22 I Effective student education cannot and will not occur at Westlake Academy without effective educators and staff. This is a given, and for that reason, this desired outcome has been developed and identified as an important Specific Outcome in the Strategic Plan. Recruitment, development, and retention of faculty and staff are the areas of highest dollar investment by Westlake Academy. �Y Investment in this valuable resource,our employees,yields results in the classroom as the correlation between high student . � -. .. achievement and effective teachers is indisputable. To that end,resources will continue to be marshaled through a variety of initiatives identified in this Plan, all of which, are intended to pursue continuous learning opportunities for Academy faculty and staff. Emphasis will be maintained on providing,but also increasing, IP training to all our teachers with the goal of all faculty having the highest level of IP training available. Other staff learning opportunities will be developed, featured and explored, including but not limited to, collaborative efforts with area schools to bring nationally and regionally known educational trainers and speakers to the Academy. This will assist in the creation of an environment that nurtures an organizational culture of continuous improvement for our teachers and furthers their professional development. The Strategic Plan identifies the need to map out the Academy's future campus facility needs so that we can anticipate the types of facilities our teachers need to be effective in the classroom.. A multi-year technology plan is slated to be developed through this Desired Outcome to coordinate the further implementation of technology to maximize teacher effectiveness with our students. Development of Westlake Academy as an "employer of choice" will also emphasize strong teacher recruitment initiatives to hire teachers who are passionate about what they do and seek to inspire their students to have a passion for learning. Teacher development and retention will include a variety of mentoring and coaching programs that involve the teacher assessing and critiquing their own performance to take it to the "next level" with the facilitation of a performance coach. Finally, a variety of means identified in this Plan will be used to promote an organizational culture that values and fosters leadership and collaboration among teachers across curricula. Please see the following Specific Outcomes and Indicators associated with Effective Educators af2d Staff for more information. 23 i g ' _ ............ .. .__._.. _...... __.___._ ............ __. .. .. ._._....... Specific Outcome: 1.0 Educators and Staff will attend professional development training opportunities Team Leader(s): Heads of Section;Primary,Middle Years,and Diploma Coordinators—Short/ Mid-Range and On-going Goals 1.1 Develop an organizational culture and framework for professional development Estimated Completion Date: On-going Goals 1.1.1 Heads of Section to work with Staff to identify the type/frequency of training opportunities 1.1.2 Maintain imbedded professional development within the IB for Staff 1.1.3 Conduct public speaking training,teamwork and leadership development for Staff 1.1.4 Examine the feasibility of dlevelopingan in-house professional development coordinator position 1.2 Examine the implementation of a teacher focused professional development program such as the National Board for Professional Teaching Standards (NBPTS) Estimated Completion Date: Sunmzer,2010 1.2.1 Prepare a report for the Board of Trustees outlining the benefits and professional development advantages of the program 1.3 Secure funding for the leadership team to participate in the Change Leadership Group training,or similar programs,which focuses on educational leadership and mentoring of teachers Estimated Completion Date: Spring,2011 1.4 Staff will provide reports on workshops and professional development meetings Estimated Completion Date: Spring,2011 1.4.1 Develop a workshop summary form to describe experiences and record materials and contacts from workshops;Organize to provide reference for all teachers 1.4.2 Implement effective teaching strategies acquired from attending professional development training sessions 1.4.3 Prepare presentations to the Board of Trustees,on an as needed basis,outlining the benefits and training received at professional development courses 1.5 Research the hosting of professional development courses with surrounding schools and local businesses Estimated Completion Date: Sumner,2013 1.5.1 Contact schools to determine interest and opportunities for training 1.5.2 Prepare report and submit to Head(s)of Section/CEO/BOT by Fall of 2010 24 --MEMNON= 29VAd-i-od 06&W24 - a Awal-40wo and sadp Specific Outcome: 2.0 Staff will conduct on-site visits with 113 officials for evaluation purposes and perform periodic review of the Academy's Charter document Team Leader(s): Heads of Section—On-going Goals 2.1 Conduct consistent review of the Academy Charter along with appropriate recoinmendations to the Board as to necessary procedural changes and amendments Estimated Completion Date: On-going Goals 2.2 Staff will work with administration to complete preparatory activities and official on-site visits for IB evaluation and Charter renewal applications Estimated Completion Date: On-going Goals Specific Outcome: 3.0 Promote an environment and culture which fosters leadership and collaboration across K-12 faculty Team Leader(s): Heads of Section—Short-Range and On-Going Goals 3.1 Hold Monthly whole staff/faculty meetings and`as needed'section meetings to promote staff development Estimated Completion Date: On-going Goal 3.2 Incorporate the Strategic Plan of Westlake Academy into staff meetings and staff participation 0 0 activities Estimated Completion Date: On-going Goal On-going 0 3.3 Integrate the mission,vision and value statements of the Academy into documents and staff comrnumcations;post the information in various school locations Estimated Completion Date: Fall,2010 3.4 Conduct Westlake Academy Leadership Team meetings on a regular basis Estimated Completion Date: On-going Goal On-going ZD 3.5 Implement the use of video sessions to provide feedback on meeting structure and avenues for improvement of leadership team and presenters of information to faculty Estimated Completion Date: Summer,2011 3.6 Research the use of a teacher survey to facilitate communication with the Board and Leadership Team of the Academy. Estimated Completion Date: Fall,2012 Specific Outcome: 4.0 Draft long-range facility master plan and integrate with the capital improvement plan(CIP) for the Town of Westlake Team Leader(s): Chief Executive Officer;Facilities and Recreation Director— Short-Range Goal 4.1 Work with the Leadership Team to establish a viable facility planning and review process Estimated Completion Date: Spring, 2011 4.2 Draft facility master plan(FMP)scope with the Board and receive direction Estimated Completion Date: Fall,2011 43 Integrate with the CIP for the Town Estimated Completion Date: Fall, 2011 25 E Specific Outcome: 5.0 OVA will recruit,develop,and retain effective and highly qualified teachers,staff and management Team Leader(s): Chief Executive Officer and Heads of Section— Short-Range and On going Goal 5.1 Develop a specific profile and definition of the traits,abilities,skills,and competencies,which define an"effective,hugl�ly qualified and accomplished teacher,support staff (non-teaching) position,and Head of Section(principal)position"(secaiso,High StudctitAchin milt,i.o) Estimated Completion Date: Fall,2010 5.1.1 Incorporate the profile into the annual review process for Staff 5.2 Create teaching teams to support and review in-class presentations and teaching methods Estimated Completion Date: Spring,2012 5.2.1 Video tape four(4)classroom sessions for each teacher,on an annual basis,to create a method for coaching Staff 5.3 Review the use of`Fund 100'for teacher and staff development opportunities (teacher grants, professional development,legacy teachers) Estimated Completion Date: Spring,2011 5.4 All teachers will receive IB training,as well as Staff and administrators beconung conversant in all state requirements Estimated Completion Date: On-going Goal 5.5 Perform exit interviews with all teachers/staff to determine reasons for leaving and possible improvements Estimated Completion Date: Fall,2010 5.5.1 Closely monitor and track reasons for voluntary contract refusal Specific Outcome: 6.0 Develop a multi-year technology plan for the Academy Team Leader(s): Director of Administrative Services—Mid-Range Goal Specific Outcome: 7.0 Structure,systems,and protocols that address academic and administrative needs will be implemented and communicated to Staff Team Leader(s): Administrative Coordinator—Mid-Range Goal 7.1 Compile a list of all internal processes (e.g.field trip procedures,check requests,attendance, expense accounts,etc.)and place in a single manual for teachers/staff Estimated Completion Date: Summer,2012 7.2 Codify all procedures and protocols for the school and make the accessible to faculty and staff Estimated Completion Date: Sumner,2012 7.2.1 Compile a list of all reports required for 113,state and federal authorities and put into place procedures to ensure full compliance 26 -a SV ^s i F fig£ a Y i � k d v iffi, Y r"a �k SUOMIWESTLAKE ACA E Y—STRATEGIC PLAkf This page left intentionally blank. Westlake Academy �—� Frable of Contents \ � Westlake Academy Mission/Vision Statement..................................................... .................................4 Howdid vve get here?................................................................... .........................................................5 TheVillage Blacksmith....................................................... .................. .............................................5 Whereare yye going?....................................................................... ......................................................6 Vision and Mission guide resources .......................................................................................................6 Achieving our Vision and Mission--_----_-------__'_------------__---.7 Westlake Academy's Desired Outcomes--....-----------------------------8 Our Process..........................................................................................................................................—8 Creating a Balanced Scorecard System.................................................................................................l8 Figures Tables Westlake Academy .-' &INE&I WESTLAKE ACADEMY—STRATEGIC PLAN,; Westlake 'Vision Statement DRAFT "Westlake Academy is a nurturing, community-owned International Baccalaureote charter school whose mission is to achieve academic excellence and to develop life-long learners who become well- balanced and responsible global citizens." NMI Y y sa ` n •e r,.,H`. a`tit ',4y y5. re" Westlake Academy f� fWESTLAKE ACADEMY—STRATEGIC PLANT W did We get here DRAFT On September 2, 2003 the vision of many was made a reality when the Academy doors opened to the first class of Westlake Academy students. Many obstacles had to be traversed just to reach this point, but as the students and teachers entered the Academy for the first time,their expectations high,we realized that this decision will change the lives of hundreds of students and their lives will make an impact felt around the world. The Village Blacksmith He goes on Sunday to the church, Under a spreading chestnut tree And sits among his boys The village smithy stands; He hears the parson pray and preach, The smith, a mighty man is he, He hears his daughter's voice, With large and sinewy hands; Singing in the village choir, And the muscles of his brawny arms And it makes his heart rejoice. Are strong as iron bands. it sounds to him like her mother's voice, His hair is crisp, and black, and long, Singing in Paradise! His face is like the tan; He needs must think of her once more, His brow is wet with honest sweat, How in the grave she lies, He earns whate'er he can, And with his hard, rough hand he wipe And looks the whole world in the face, A tear out of his eyes. For he owes not any man. Toiling,--rejoicing,--sorrowing, Week in, week out,from morn till night, Onward through life he goes, You can hear his bellows blow; Each morning sees some task begin, You can hear him swing his heavy sledge, Each evening sees it close, With measured beat and slow, Something attempted, something done, Like a sexton ringing the village bell, Has earned a night's repose. When the evening sun is low. Thanks, thanks to thee, my worthy friend, And children coming home from school For the lesson thou bast taught! Look in at the open door, Thus at the flaming,forge of life They love to see the flaming forge, Our fortunes must be wrought, And hear the bellows roar, Thus on its sounding anvil shaped And catch the burning sparks that fly Each burning deed and thought! Like chaff from a threshing-door.` Henry Wadsworth Longfellow Westlake Academy ��m��mm�� Where are we going? At Westlake Academy we spend our days with the future leaders of the world and provide a framework that allows each child tn reach their potential. VVe help them to develop their natural curiosity and build skills that allow them 10 continue to learn as they grow. This natural inquiry leads to knowledge, afoundation on which they will be able to build thoughtful, reasoned and ethical decisions, Y� -�lel/isi0� �%�� As they grow,vve help them tUbeterundeotandandexprea� ^ 80IG 1�3� �C8 �{X� �|�� their ideas inxvritinQ, verbaUy, in multiple languages, and , - through their ability to work collaboratively with others. Their understanding and appreciation of the world helps them to �becooeopen-mindedendcarinQvhi|ehavingthecourageto �I J—c " o 91 take risks, exploring new ideas and making a positive impact in the lives ofothers. Most important our future leaders must be well-balanced and reflective, understanding the importance their strengths and limitations, and using them to their advantage asa life-long learner. Vision and Mission Guide Resources The Academy's vision and mission determine where resources are allocated and provide the basic road map to where vve are going. |f the vision and mission are not clear,then we may end up somewhere vve never intended going. The Board of Trustees' provides this direction and the , . necessary resources to ensure that the Academy's mission and vision are financially supported. ----- -- ----------- ` Our administration supports the teachers in their never ending process of discovery inthe classrooms. By providing` adequate support to the teachers,they are able to focus on the students and their learning,which in the end is what will ultimately accomplish our vision and mission. Using the framework ofthe International Baccalaureate programme, the administration and — teachers are able to develop the systems and tools necessary to accomplish our mission and reach �Westlake Academy MESTLAKE ACADEMY—STRATEGIC our vision. Our teachers are the frontline in this process, working with each student at their own level of understanding, helping each uf them to reach their potential. ` Achieving our Vision and Mission In order to better achieve our mission and reach our vision of the future we are moving into a Balanced Scorecard system as a strategic and performance management tool. The Balanced Scorecard system provides a framework that aligns the work xve do with our mission,vision, and strategy. It will help to communicate to internal and external stakeholders of the organization our strategic intent. Figure wStrategicBalamced Scorecard System Logic ` ar ^ strategic 7,47 8A tive Aftt Mor is our purpose P what do we do? V,4fu0 What is our picture ofthefutur-0 to evoluate results? 1,11hat are one mainjecus areas(Viflars of Exceflence-j?Mot results do ive need to achieve? MP needed to get results? How do we create and communicate our Value to nisromers? � ' ^ / . ft. How wiliwe know if we ore achieving the rk 05 we wont, WWII Mor prograiris,services,and activities S lould We Pursue? levels are cApropriate? What budge � a�� m��c��r � ^ � The Balanced Scorecard forces us to ask these questions: What are we trying to accomplish? Are vve doing the if we are doing the right things, are we doing them n�nT? There are many . advantages to creating an integrated ~� that aligns the financial and human resources of the Academy with its mission and vision. By aligning the daily activities of the Academy to the available resources within a framework that provides feedback at every level of the organization, it is possible for all the faculty and staff members at the Academy to understand their impact on accomplishing the mission of the Academy, and ng our vision for the future. ^ DRAFT Westlake Acade MY Westlake Academy's Desired Outcomes Westlake Academy's strategic plan is the result of many hours of review and discussion with the Board of Trustees, and Westlake Academy staff,which spanned a year-long process where we gathered information, discussed our long-range goals and developed comprehensive guidelines to ensure student success, The Board met, during a retreat,to develop the mission/vision statement and identify the values that were important to the success of the Academy. The plan was then expanded to include five desired outcomes: l. High Student Achievement Develop inquiring, knowledgeable, caring and disciplined young people who use their unique talents to create a better and more peaceful world through intercultural understanding and respect. 2. Strong Parent&Commrnunity Connections To involve all stakeholders in building abetter Westlake Academy community. 3. Financial Stewardship&SmstainmbUity To ensure sufficient,well-managed resources tu support and advance the mission of Westlake Academy. 4. Student Engagement& Extracurricular Activities-To ensure that all athletics,community service and extracurricular activities are held tQ the same standard of excellence asthe curricula programs to promote well-balanced students. 5. Effective Educators&Staff Recruit,'develop~ andretrain a core faculty and staff with the personal qualities, skills and expertise to work effectively with the 1B inquiry-based, student- centered curricula The vveu/axe Academy Leadership Team has n developed over the years uy the Board or Trustees and Westlake Academy's` faculty and staff and placed inan actionable format that allows for better implementation, tracking, and monitoring of the strategic plan. . Our Process ~^ ` What we hope to accomplish with the implementation of the Balanced Scorecard at Westlake Academy is an alignment between the day-to-day operations and our mission and vision, As this ia another system-that utilizes continuous impr noe ' ~ � process is never �complete, but loop ` . ' that constantly reviews what vve are doing, and whether or not vve are doing ` well. DRAFT -'WESTLAKE ACADEMY—STRATEGIC P1'liq 3 � Figure 2-Process Map of WA 8SC i Mission DRAFT Vision Values Desired Outcomes Strategic Plan IB Standards & Practices i - -q--- Stakeholder Involvement Balanced, Financial Stewardship Scorecard Educational &Administrative Methods - - Leadership, Growth & Learning Dashboard SMART Goals Specific Improvement Measurable Plans Attainable Realistic Timely Lo °sc Model Resources/Inputs Budget/ Activities i Resource Outputs Allocation Outcomes Impact Westlake Academy WEST KE t.+CADE Y—STRATEGIC PLAN:,, Creating a Balanced There are two phases that contain nine steps to fully implement a Balanced Scorecard system. Phase one consists of six steps: 1. Organizational assessment to determine the pains, enablers, and values. 2. Strategy, customer and stakeholder value propositions are defined and used to create the organization's strategy. 3. Strategic objectives are developed. 4. Strategy Maps are created to show causal relationships. S. Performance measures and targets are used to create strategic measures and track execution. 6. Identification of new Strategic Initiatives to close performance gaps. Phase two consists of three steps: 7. Automation of performance data (Dashboard Reporting) 8. Cascading the Balanced Scorecard throughout the organization 9. Evaluation (Plan, Do, Study, Act) Currently the staff is working on steps five and six. We are identifying performance measures and targets that are in line with our strategic plan and the iB standards and practices. As these are fully developed they will be placed into a dashboard that will provide an intuitive graphical report that will allow the Board and Administration to monitor the execution of the strategic initiatives and their impact on accomplishing our mission. The final product of this process creates a strategy-based Balanced Scorecard system that translates customer needs, mission,vision, and values into organization goals, strategy, objectives, performance measures, and new initiatives. DRAFT NjtWestlakeAcademy i m lit �w � E - N=oo � e °W v a t h G � PA Lij Sm LLI 2 s° y v h s l a 3 * «L c N V 3 � r �x s 3 o mt..°c «:o v', r- s y 4 w i I CN C"i C-4 CN co CJ CIJ C\1 I c"I CN Clj- C-i C-4 C\j M, m co m m < C) co im m co im C) rn < N C-� LL < m 15 E E > 2 a) cr 0 (n >UQ 2� 2 0 LU 0 r_- 0 421 (n 2 (D 2 cu M Q) 0-1 0 76 Ej 'E cu (n ate P E G3 2 CD = = o In ca. (D 0 E L -a 03! a -0 (D = E > a) cz E C6 - CZ W a) 7b _0 cu M =3 < m 0 0 0 0 LL Cf) 1 t15 0 U) LL cu cu E '6 uj (n 0 a) E cz a 2 cu (n ku En ;> 0 c -Z5 US 0- :t-- cu p -E .4 0 U) E G >1 m w M a M 0 212 0 .-tf 0 a. M m CU (D m 0- " 0. 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N CB u fi O 1 f z'Ei ca- § pp k ( 3: ! E E ice' ,III tII� C6� U) U)3 cn d (n a) s ! g m cn € E LL cz ' cn c -O o >1 p {cu i_0 LO � 1Q !� o -O ) m o ?-O c Ol U .. mom 10 � a� Ica ' t� cOU m id c CO buluaua1 Westlake su ti Basic Assumptions: ® 18 students per class in Kindergarten ® 20 students per class in G1-G6 ® 20 students per section in G7-G10 ® 10%decrease in students in the DP program ® Average Daily Attendance rate of 97% ® Foundation State Program (FSP)funding per student=$6,752 ® Blacksmith donation per student=$800 Revenues: 100%use of Blacksmith ($800/student) 10% reduction FSP funding s 3%annual growth in other revenues ® 3%annual growth in FSP funding beginning FY 13/14 Expenditure: ® Salaries are held flat through FY 12/13 (3%annual increase thereafter) ® 3%growth in all other expenditures ® Transfer indirect costs from Town to WA starting FY 11/12 3 �y V 'Z h O �o N O O O O O� 00 ^ O 00 Or O VI O O 00 00 V �O W O M 00 n+ 10 N O ^ ^ E; Cl O R �D N O C h b O O m M h nvJ J h O O w OO Jn O O O W V oMo � 0 10 10 Q\ O M V Da ri b l Q\ Q+N D\ N N N � M � f N b M M O ^ N vt vS Vi V' Vi v 0 w O M m - 'n of N O oo cl C M oc N 00 00 N M S Qr N O T O -- 00 O .� ' ' W h O GD V1 N M N N 7 N w -cl� -cl� O N o0 d' w O N N Vf O 7 b 10 N CO h ol b O m 00 W N T N O ^• •.• C' 16 00 CC JA Qr 00 M N M C'4 d- 7 M A ^ h W O vt C b O` h O o V h V o0 o O O C' M O w N w O M w O b m m 3 h N W ll lO r h Vl O N h oo lO O I A W O 0o b N M O N M O N N N C � d V VJ M VJ p�e cl b b O 7 O O O 'n O o0 M V W O M 07 rr ® p d N O ol w M o W m W h 7 T N O O N N O M o0 1 7 O ^ N b V M N [ o O M l� h N t� 07V O <n h ^ O N n! M � h 7 � M N O CO O+ � � h b h [� d' O O� •-. M O V GD b ri N 7 CA 7 V M V a Ld®i ®V O O o W V M MN 11 W M '!J M O V O C M O N It M M Ocl O N m N W^10 kn b O N O a b h .- C` b .-• h �D �D ti W V 'n b h N h N O .-. O 'n CL I O� Q, O O w W h h �D O d' d' V 7 '% T V N O O O d' O l� C M M N h 7 d• O ^ N � 7 � ` .... N M O� M C W h ' M M N N N M h C\ O V lO b i_ t6 4� 1A M "t m N M O C� 00 O O O l� b O w m b W O M oo �n 41 h O M h h V' M {n (fj.. .- N �o 00- •y O M O M '- M b m Mn. Q\ e'l1 'h C' Ut M O O h U O vj O u i OA Q�y ® :.: i® p O M O O� o� •V U 'n vJ C• C N O VJ 17 Ol o M cl 'A 11 V O N G. T C C� O � O O O DD N N M N N N 7 oC O` b b b Cl h M O O\ b ^ C\ h ^ h W W 7 V w N M N N N M O N o r b M N M h oC ^ h v� p♦� t V S Ln C 1> C V> Cl O h M O C O oC co �O d' Ir b V' S C N u'J C N Cl V O - o C 'A C R O oC M C o w O1 cl 1 d' O l/l V O IO h O� 'n N O d' t� b N pp b O 'n O\ O\ to N b N M ^ N h M mw�D O o h N 'c M N M !� W - h IA�7 64 V7-'- C O C> 7 C C GD w� M O O 00 V] N w N O C O O oo J W,- b O O O U O - - o M = oC M M O b b N V7 M 00 V Q\ V CL nJ h h b h .-. CY. b N V' N M •-. b .� W .� h c LO AL d E ® W n U y z cci V d R C U a� c O w ac G n A w c d a d tl w = rn a@ C6 O Q U F twj > ® A o c v D m x X E= x x x x q a a O A o E m R a `a °• z E a i Y R > m z W x x x x x x z a d z c w A A ? W a>i v 0.` m a� a�i W C: N M V vJ m w O 10 7 D z rte, o K E �, '> a a c - > A b b b b a rn ;? c > F -' c d •u d 5 ems, o f ry ¢ o y a A 0 0 - 0 0 0 o w a' z V U E V 0 0 0 W aJ v z c c o E o F W W L cn a O d w d w y W c c .. E a z > w a� w - c ,m., �"�• Q v1 .�°. F 0. v a� a� u u F '$' `v `v c G z .�,�o A .o .•_ / C/) .0 `°u n i i C7 cG W 3 0 3 ° w d F F m F F F F w o o O O O O F O O O F W C7 ¢ ¢ w it CA F H a F MEMORANDUM Date: May 18, 2011 TO: Honorable Mayor and Town Council FROM: Tom Brymer, Town Manager/Superintendent SUBJECT: Draft Revised/Proposed CIP Attached for your review and discussion at our planning retreats is a draft of the revised/proposed 5 year capital improvement plan. In an effort to see how these draft revisions/proposals would impact the Town's cash and debt position via a financial forecast over a 5 year period, we have included some new projects to the current Council approved CIP. This CIP and the Five Year Forecast uses the effective tax rate based on our current preliminary totals from the Tarrant Appraisal District for M&O; therefore, the revenue produced by ad valorem taxes remains flat. The I&S rate is based only on the approved bonds issued during FY 2010-11 and the approved bond issue for the remaining CIP in FY 13-14. These additional new projects and their funding sources are as follows: • $15.5 million for various WA campus improvements (i.e. staff took the Hayes facilities report and converted its recommendations into capital projects to consider as a part of a larger CIP). Note: The proposed funding source to retire the bonds for these improvements would be State public education funds we would receive by significantly increasing enrollment. So in that sense, these projects would be "self funded". However, to continue receipt of favorable (low) interest rates, these bonds would have to be issued with a property tax pledge behind them as we have done in the past. • $4.6 million for Dove Rd/Ottinger Rd improvements funded by Hillwood per the development agreement between the Town and Hillwood. • $3.5 for a Town office building on JT Ottinger Rd which would be funded partially by cash on hand and also by some debt issuance that would be serviced with money we are now spending yearly ($200,000) to lease office space. By doing this we create an asset, build equity and have meeting space that community groups could use and space that could be cross utilized for employee training, etc. 3 Village Circle, Suite zoz -Westlake, Texas 76262 Metro: 817-430-0941 - Fax: 817-43o-1812 - www.westlake-tx.org Zt` �.�r �K•� ��5 •2, a.JUi wrN was Sidi J- !.1 A{•._+ i, OF WEST ow I�KE ACA This page left intentionally blank. Table of Contents ExecutiveSummary................................................................................................................................5 Introduction............................................................................................................................................7 Whatis a CIP?.....................................................................................................................................7 Whatis a Capital Project? ..................................................................................................................7 What is the Process for Developing the CIP?.....................................................................................8 CapitalAssets by Category.................................................................................................................9 Sourcesof Funding...........................................................................................................................10 Deciding to Borrow:Three Considerations......................................................................................10 WhoShould Pay?..........................................................................................................................10 Consider Your Funding Sources....................................................................................................11 CanWe Afford It?.........................................................................................................................11 How Inflation Impacts the CIP..........................................................................................................11 Conclusions.......................................................................................................................................13 CapitalImprovement Plan....................................................................................................................14 Current Project Update by Category................................................................................................14 Transportation..............................................................................................................................14 Utilities .........................................................................................................................................15 Facilities........................................................................................................................................16 Parks& Recreation.......................................................................................................................16 Vehicles& Equipment..........................................................................................................................17 Parks& Recreation...............................................................................................................................18 PublicFacilities.....................................................................................................................................24 Transportation......................................................................................................................................38 Utilities .................................................................................................................................................53 WorksCited..........................................................................................................................................59 Figures Figure 1- Five Year History for CIP by Source........................................................................................5 Figure 2-Capital Improvement Plan Model (Elmer, 2006)....................................................................8 Figure 3 -Asset Replacement Values by Category (Source: 2010 Audit)...............................................9 Figure 4- Municipal Cost Index(1990-2011)......................................................................................12 Figure 5-Municipal Cost Index- 12 mo.Average%Change...............................................................12 Town of Westlake ITable of Contents Figure 6-Municipal Cost Index Analysis.............................................................................................. 13 Figure7-Funded CIP 2002-2011....................................................................................................... 14 Figure 8-Facilities Assets:Percentage of Total................................................................................... 24 Figure 9-Graphic Display of New Facility Locations........................................................................... 27 Figure 10-Transportation Assets: Percentage of Total ......................................................................38 Figure 11-Pavement Condition Over Time(Lazarus,2007)...............................................................40 Figure 12-Utility Assets:Percentage of Total.....................................................................................53 Tables Table 1-CIP by Category Funded/Un-Funded.......................................................................................5 Table 2-CIP Funding Sources for Funded Projects............................................................................. 10 Table 3-Vehicle&Equipment Replacement Values&Depreciation (original audited values- adjustedfor inflation).......................................................................................................................... 17 Table 4-Facilities Current Replacement Value (original audited values-adjusted for inflation)...... 26 Table 5-Transportation Asset Values&Depreciation (original audited values-inflation-adjusted) 40 Table 6-Utility Asset Values&Depreciation(original audited value-inflation-adjusted)................54 Table of Contents I Town of Westlake Executive Summary The 2011-2012 Capital Improvement Plan like its predecessors, is designed to present the Town Council and community with a view of the capital projects that are needed over the next five years. The proposed projects emphasize the preservation and maintenance of the Town's infrastructure and assets including water&sewer mains,streets, parks &trails,and facilities. In addition to the proposed projects,this Capital Improvement Plan provides extensive analysis of current and future capital needs including a discussion of the planning process and funding options as well as a primer on capital infrastructure maintenance.The following Capital Improvement Plan outlines 31 projects totaling$38.6M over the next five years. Table 1-CIP by Category Funded/Un-Funded FY 2012 FY 2013 1 1 2016 Parks&Recreation $562,525 $335,920 $640,600 $378,600 $0 Public Facilities $1,765,903 $16,731,719 $115,450 $639,750 $4,798,560 Transportation $2,748,999 $4,927,260 $1,644,125 $0 $0 Utilities $603,603 $1,520,489 $0 $0 $0 Funded $3,508,137 $6,632,869 $1,664,125 $0 $0 Un-Funded $2,172,893 $16,882,519 $756,050 $1,018,350 $4,798,560 Grand Totals $5,681,030 $23,515,389 $2,420,175 $1,018,350 $4,798,560 Figure 1-Five Year History for CIP by Source Five Year History for CIP by Source $3,000,000 v __ $2,500,000 $2,000,000 $1,500,000 $1,000,000 $500,000 - $0 -- Governmental CO Bonds GO Bonds Utility Fund Contributions Funds Town of Westlake I Executive Summary ALL SUBMITTED CAPITAL PROJECTS BY CATEGORY 5 YEAR PROJECTION Pgle DESCRIPTION Est.thru FY )1-12 FY 12 13 FY 13 14 FY 14 15 FY 15 16 TOTALS TRANSPORTATION 41 FM 1938 Streetscape/Wayfmcling 719,922 914,140 1,944,800 902.950 - - 4,481,812 42 Dove/Ottinger Landscaping - 238,970 401,440 - 640,410 43 Aspen Lane Reconstruction and Drainage 186.750 - 186,750 44 Stagecoach Hills Street Reconstruction&Drainage - 338,210 - - - - 338,210 45 N.Roanoke Rd Reconstruction&Drainage(N of 170) 186,840 - 186.840 46 S.Roanoke Rd Reconsttruction&Drainage(170-DC) - - 299,520 - - - 299,520 47 Sam School Road Reconstruction&Drainage - - - 162,575 - - 162.575 48 Dove Road Creek Crossing 35,000 565,112 - - 600,112 49 W.Dove&Ottinger Rd Reconstruction&Drainage - 41.200 557,960 - - - 599,160 50 E.Dove Rd Reconstruction&Drainage(Vaq- TB) - - 598.600 598,600 51 Ottinger/Dove Intersection - 77,250 1,723,540 - - - 1,800,790 52 Dove Rd/N.Pearson Intersection Improvements 25,000 200,527 - - - - 225,527 TOTAL TRANSPORTATION PROJECTS $ 779,922 $ 2,748,999 $ 4,927,260 $ 1,664,125 $ $ - $ 10,120,306 UTILITIES 55 TRA Assumption of N1 Sewer Line 12,900 114,438 - - - - 127,338 56 N-1 Sewer Line Transfer 1&I Study/Repairs 10,000 112.360 122,360 57 Stagecoach Hills Waterline Connection 309,819 298,880 - 608,699 58 Ground Storage Tank(approx$170K/10 yr) - 77,925 1.520.489 - - - 1,598,414 TOTAL UTILITIES PROJECTS $ 332,719 $ 603,603 $ 1,520,489 $ - 5 5 5 2,456,811 PARKS&RECREATION PROJECTS 22 Trail-Westlake Academy to Vaquero Underpass - 155,535 185,120 - - - 340.655 TOTAL PARKS&RECREATION $ $ 155,535 r$ 185,120 $ I $ - $ $ 340,655 TOTAL • • CAPITAL PROJECTS 0: PUBLIC FACILITIES 28 High School Building 31,291 469,359 4.863,258! - - - 5,363,908 29 Middle School Building 25,819 387,281 3,855,921 4,269,020 30 Media Center 9,317 139,753 858,380 1,007,450 31 Multi-Purpose Building 9,826 147,394 1,470,435 - - - 1,627,655 32 Primary School Addition 9,578 143,671 1,230,275 1,383,524 33 Performance Hall- 'Shear 10,393 155,897 1,311,309 1,477,599 36 Westlake Academy- Cover Existing Walkway - - - - 267,750 - 267,750 37 Westlake Academy- West Parking Improvements 115,450 115,450 TOTAL ACADEMY FACILITIES $ 96,224 $ 1,443,353 $ 13,589,579 $ 115,450 5 267,750 $ - $ 15,512,356 34 Westlake Administration&Civic Center 21.503 322,550 3,142,140 3.486.193 35 Fire Station - - - - 372,000 4,798,560 5,170,560 TOTAL PUBLIC FACILITIES 1 $ 117,7271 $ 1,765,903 1 31,7191 $ 115,450 $ 639,750 $ 4,798,560 $ 24,169,109 PARKS&RECREATION PROJECTS 19 Cemetery Improvements - 46,755 46,800 262,500 - - 356,055 20 Trail- Aspen Ln.Connection Project(.S mi.) - 273,100 - 273,100 21 Trail. WA to Cemetery(0.25 mi.) - - - - 273,600 - 273,600 23 Glenwyck/Terra Bella Park Improvements - 360,235. 104,000 1 105.000 105,000 - 674,235 TOTAL PARKS&RECREATION $ - $ 406,990 $ 150,800 1$ 640,600 $ 378,600 $ - $ 1,576,990 TOTAL •• .0 5 38,663,871 Executive Summary Town of Westlake Introduction The Town of Westlake Capital Improvement Plan is guided by the Town's mission,vision, and core values. Our vision recognizes the attributes we cherish as a community and sets the standard for the Westlake that we want to see in the tomorrows that are yet to be. Westlake's Community Vision • Westlake is a one of a kind community—an oasis with rolling hills,grazing longhorns, and soaring red-tailed hawks, located in the heart of the Fort Worth- Dallas metropolitan area. • Inviting neighborhoods—architecturally vibrant corporate campuses find harmony among our meandering roads and trails, lined with native oaks and stone walls. • We are leaders—In education we are known for our innovative partnerships between the Town-Owned Charter School and its corporate neighbors.We are environmental stewards—exemplifying the highest standards. • Hospitality finds its home in Westlake—As a community,we are fully involved and invested in our rich heritage,vibrant present and exciting, sustainable future. For this community vision to have meaning, it must be accompanied by deliberate planning that leads the organization and community to its desired future. This requires clearly defined goals, proactive strategies, committed leadership, effective management and above all,the resources to carry out these plans and objectives. What is a CIP? First, what it is not; a CIP (Capital Improvement Plan) is not a wish list, rather it is a realistic plan designed to fulfill the strategic goals and objectives necessary to achieve the mission and vision of the community. A CIP is a document that summarizes the capital needs of a community over a specific time period. It outlines the individual capital projects, their strategic value and relationship to the community's long-term goals and objectives as well as the fiscal impact that they pose to the community. What is a Capital Project? Capital includes all long-lived infrastructures such as water facilities, sewers, streets, parks and buildings along with major equipment like fire trucks, radio systems, vehicles, computers and fixtures. Capital projects are the individual action plans that make up a Capital Improvement Plan. The capital projects in this CIP have been categorized into one or more of the following groups: parks & recreation,transportation, utilities and facilities. Town of Westlake I Introduction What is the Process for Developing the CIP? Capital budgeting may be described as the process used to determine the Town's long-term infrastructure needs. They are generally broken down on a project basis which describes the scope and total costs associated with the design, construction, operations, and maintenance of the project. The CIP leans heavily upon the Town's comprehensive and strategic plan. The CIP plays an integral role in the implementation of the Town's strategic plan, long-term operating budget, and capital budget. The flowchart in Figure 1 outlines how the Town's comprehensive and strategic plan are essential in successfully creating a capital improvement program. Figure 2-Capital Improvement Plan Model(Elmer,2006) I —o Comprehensive Plan Strategic j— Plan -- Long-term Operating Budget Plan Capital Needs Analysis Capital Capital Operating __ Improvement ' ►) - 1 Budget Budget Feasibility Program Study Introduction I Town of Westlake Capital Assets by Category When most people think of the Town's capital assets, they automatically think of the Westlake Academy campus. While the campus is certainly a very important and visible asset owned by the Town, it is but one of many. Included in the assets of the Town are all of the Town's infrastructure such as its streets, water and sewer mains, vehicles and other equipment. In preparing this year's CIP, the staff utilized our annual audit and the inflationary trends discussed later to estimate the current value of the Town's assets. Figure 3 illustrates these values. Figure 3-Asset Replacement Values by Category(Source:2010 Audit) Current Estimated Replacement Value of Capital Assets $1,207,901,2% $2,246,443,4% $815,125, 19/1 $19,247,514,31% $28,068,862,45% $5,177,911,8% jk --$5,510,005,9% ■ Utility Improvements ■ Utility Machinery& Equipment Roads&Streets a Buildings All Other Improvements Vehicles Furniture, Fixtures, Equipment(FFE) Town of Westlake I Introduction Funding Considerations In all communities the cost associated with capital projects far outweighs the available resources necessary to pay for them; in short there is not enough money. This requires prioritization of the projects based upon their perceived impact on the community. Due to the vast number of individual desires it is near impossible to satisfy everyone and requires a collaborative effort to create situations where the benefits are shared equitably with community stakeholders. In addition, dedicated revenues will, in most cases, determine which projects get funded. For example, the Utility Fund may only contribute towards capital projects that improve water and wastewater projects. Sources of Funding There are four primary funding sources for capital improvements: revenue sources such as sales, hotel/motel and property taxes (cash funded), state/federal funding through public grants, private funding via developmental impact fees or charitable donations and issuance of bonds. The proposed projects in this CIP rely on bond proceeds and other revenues in the Governmental and Enterprise Funds as well as contributions from corporate partners for funding. The following table illustrates the anticipated funding sources for the funded portion of this CIP: Table 2-CIP Funding Sources for Funded Projects Funding Sources FY 2012 FY 2013 1 1 2016 Contributions/Grants $1,278,594 $3,048,060 $172,000 $0 $0 Governmental Funds $914,140 $299,520 $0 $0 $0 Governmental Bonds $711,800 $1,764,800 $1,492,125 Utility Fund $603,603 $0 $0 $0 $0 Utility Bonds $0 $1,520,489 $0 $0 $0 Deciding to Borrow: Three Considerations Before deciding which types of bonds to issue a municipality should first consider three factors:first, who should ultimately pay for the project, second, what other funding sources should be utilized and to what degree and third,whether or not the municipality can afford to issue debt. Who Should Pay? Deciding who should pay for a project may seem like a strange concept at first. However, it is important to consider the benefactors of the project when deciding how the project should be funded. Just because a community can afford to bond-fund a project does not necessarily mean that it is the best or most appropriate funding method. The source of a project's funding should be indicative of who ultimately benefits from the project. Projects that benefit a single development or business should be funded through impact fees or any other method that localizes the project cost 1 Introduction I Town of Westlake to the beneficiary. Likewise, projects that benefit the community at-large should be funded through broad-based taxes or bonds that are supported by those taxes. Consider Your Funding Sources Although avoiding debt may seem like prudent financial management; there are many instances where bond financing is indicative of sound fiscal stewardship. Long term capital assets of a local government(public buildings, infrastructure, etc.) are typically financed largely by long-term debt so residents living in the community in year 20 of the asset's life are helping to pay for the asset as they use it. However, cities sometimes reduce their long-term debt costs by "buying down" or reducing their debt issuance with cash on hand that exceeds their fund balance policy requirements. Allowing for a mix of funding sources(contributions,grants, available funds and bonds) provides the greatest utility of resources. Funding sources should be viewed as important and strategic aspects of the overall capital plan. Can We Afford It? Finally, a municipality should consider whether or not it can afford to pay the debt service required by the proposed bonds. There are three major indicators and benchmarks that are used by the bond rating agencies as affordability indicators: • Overall net debt as a percentage of assessed or market valuation. Net debt is that which is supported by taxes, specifically excluding self supporting, single purpose debt of the jurisdiction. If it is over 10% of either the assessed or market valuation of the properties of the locality,or if it has increased rapidly over the previous years,this is a warning sign. • Overall net debt per capita (or per household) as a percent of per capita (or household) income. This index is what is known as the Standard and Poor's index. If this figure is close to or over 15%,this is also a warning sign of a problem. • Net Debt Service as a percentage of net operating revenues. The rating agencies use the figure of 20% as a maximum figure that a jurisdiction should have to obtain the highest credit rating. Rating agencies also like to have the first two indicators for the entire tax base, regardless of the jurisdiction involved.That is,they are interested in what the total burden is on the tax payer in the "underlying" or"overlapping"taxing districts. • According to our Financial Advisor, these debt ratios are less of a factor for Westlake due to the fact that much of the current and proposed debt will be supported by revenues including sales tax and State funding. Westlake also benefits from the fact that its tax rate compared to surrounding jurisdictions is very low. How Inflation Impacts the CIP Inflation is defined as a rise in the price of all goods and services over time. This implies that the purchasing power, or value, of currency will decline in the future relative to costs. Therefore, more money will be required to fund CIP related expenditures and must be accounted for.To measure the impact of inflation, the federal government records current rates and creates indexes to track inflation over time. Town of Westlake I Introduction Similarly, the Municipal Cost Index (MCI) was created by the publication American City& County to illustrate how inflation affects costs specific to municipal service provision, including construction costs.AC&C's website explains that, "the MCI draws on the monthly statistical data collected by the U.S. Departments of Commerce and Labor as well as independently compiled data to project a composite cost picture for the municipal budget officer or operating department manager. Figure 4-Municipal Cost Index(1990-2011) MCI (1990-current) 260 220 180 --- --- - - — -- - -- 140 .-- 100 --,- O O N M g Ln m to r, w 01 O O e i N M �t to m w I,- W m O O T T T T T T T T M, M M O O O O O O O O O O O O r-1 -1 C >O aa� ?co i . .- C > a T c > a T O v 9 O N - o M O N - o O Z n � 9Z Ln 5; Z Ln 2 Z Ln :E 2 — z The composite index is adjusted by changes in the cost of materials and supplies, wages and contracted-for services. It is a weighted average of the more detailed price indexes measuring consumer cost fluctuations, industrial commodity wholesale prices, and construction contract costs. Figure 5-Municipal Cost Index-12 mo.Average%Change i MCI 12 Month Rolling Average of Percent Change 8.00% 6.00% I 4.00% 2.00% i 0.00% —r- ri N M M CY Ln Ln W r- r, W M M O a-i i-f N M M V Ln Ln W I, r, W Ql 01 O rl Q� Q� Ql Ol O> Ol 01 Ol Ol T T O O O O O O O O O O O O O O U to i U to U M U W i U W L U M L U Go " U M i U pp L U pp i v a v = a v D a v S a w = a w = a W = a v = a W a v a i i o Q a o Q a o Q a o a a o Q a o Q a o Q a o Q a o Q a o Q a1 Figure 5 depicts the 12-month rolling average percentage change in the MCI. Notice that a positive slope indicates that the MCI is increasing at an increasing rate, while negative slopes still indicate a positive increase, but at a lesser rate. While no predictor of future changes in the economy is ever certain, a common and reliable method for estimating these changes utilizes the average percentage change over time to estimate future long-term trends. The average percentage change across all years in the MCI is 2.78% (represented by the dark trend line). Introduction I Town of Westlake Figure 6-Municipal Cost Index Analysis Recent Percent Change Compared to Average S --- _ __ _—__ - --- -- ----- 4 - - 3 2 -- 1 0 r_ ------ Jan Feb Mar April May June July Aug Sept Oct Nov Dec Average 2010 Monthly%Change 2011 Monthly%Change Similar to stock markets which have historically averaged 10% returns, this average is made up of individual fluctuations that vary greatly. Figure 6 above utilizes statistical regression analysis to provide the thresholds for these percentage changes in any given month. In other words, 95% of the time, the average inflation for municipal costs will fall within this range. Like many other similar economic trends, recent months have fallen outside the norm which is typical during a recession or post-recessionary period. This data is important in calculating the Town's future liability; by utilizing these inflation trends to calculate future capital replacement costs we can determine how `waiting' a year or more impacts the total project cost. Most are aware of the benefits of compounding when it comes to investing. Unfortunately, this same principle works in reverse as inflation causes costs to compound higher over time. Conclusions Capital Improvement Plans play an integral role in helping a municipality reach its stated strategic objectives. Equally important to the capital project development process are funding and economic considerations. Prudent financial stewardship should be based on cost minimization and long-range strategic capital preservation. While there are many methods for funding capital projects, consideration to who benefits from the project, the life of the capital asset and the affordability of the funding method are all important factors to consider. Town of Westlake I Introduction Capital Improvement Plan The five year Capital Improvement Plan for 2010 through 2015 presents the Town's plan for infrastructure development and improvements. On September 30, 2010, the Town Council adopted the first year of the plan (2010/11) as part of the annual budget process. The remaining four years are recommended as a plan for future town infrastructure development and improvement. The five year Capital Improvement Plan is evaluated annually by the Town leadership to determine the financial availability of resources for design, construction, operations, and maintenance. The following chart provides a graphical comparison of the previous capital improvement plans. Figure 7-Funded CIP 2002-2011 1 Funded Capital Improvement Plans 2002 - 2011 2011 ++ 2010 ( I 2009 2008 2007 i 2006 I { i I 2005 ] i 2004 2003 I 2002 I I I 11 , $0 $5 $10 $15 $20 $25 $30 $35 Millions ■ Funded Un-Funded As can be seen from the graphic above,the majority of capital improvements in Westlake have been un-funded. Several of these projects such as the permanent fire station and municipal complex are multi-million dollar projects that have been carried forward since the Academy Complex was established. Current Project Update by Category The following projects are currently in progress or nearing completion in the Town of Westlake: Transportation FM1938 Streetscape Project-The FM1938 streetscape project has been on-going since FY 08/09; the total amount expended this fiscal year will be approximately $720,000. A large portion of this amount will go towards the decorative concrete stamping that was recently completed on the finished retaining walls. This project is planned to continue through FY 2013/2014. Capital Improvement Plan I Town of Westlake Mahotea Boone Reconstruction and Drainage — The Mahotea Boone street improvement project should be completed by fiscal year end and is anticipated to cost a total of$67,000. Street Survey — This year the Town Council approved a street survey project that will provide valuable information regarding the current condition and usage levels on each of our major streets and thoroughfares. The project is estimated to cost $100,000 and will be completed by the end of this fiscal year. Deloitte Vehicular Entry—This project will create a vehicular entry point on the West side of the Deloitte Campus that will connect to Ottinger Road. The project also includes overlay and enhancements to Ottinger Rd. approaching the new entry on both the north and south sides. The project costs have been estimated by Hillwood and are funded by the developer agreement. This project is estimated at$500,000 and will be completed by July of 2011. Westlake Academy Vehicular Entry Improvements — This project will make lane adjustments/improvements to the north and south vehicular entries on Ottinger Rd. at Westlake Academy. This project is funded through the Deloitte/Hillwood developer agreement. The project costs have been estimated by Hillwood and are funded by the developer agreement. This project is estimated at$560,000 and will be completed by August of 2011. Dove Rd. Creek Crossing—This project will provide major improvements to the creek crossing on Dove between Ottinger Rd. and Pearson Ln. It will also provide infrastructure for a pedestrian trail. The project costs have been estimated by Hillwood and are funded by the developer agreement. This project is estimated at$600,000 and will be completed by January of 2012. Dove Rd./N. Pearson Ln. Intersection Improvements—The project will make lane adjustments and intersection improvements to the intersection at Dove Rd. and N. Pearson Ln. Foresee crack sealing during the 2nd year after completion. The estimated project cost reflects construction cost estimates from the Hillwood developer agreement. This project is estimated at$225,000 and will be completed by January of 2012. Utilities TRA Assumption of N-1 Sewer Line — The Town is preparing to transfer the repair and maintenance responsibility of the sewer main to the TRA. As part of the agreement with TRA, the Town must install metering apparatus and other necessary infrastructure at the "in-flow" point. $13,000 this fiscal year and an additional$114,000 next fiscal year with completion scheduled for FY 11/12. N-1 Sewer Line Transfer—Inflow&Infiltration Repairs—The Town is preparing to transfer the repair and maintenance responsibility of the sewer main to the TRA. As part of the agreement with TRA, the Town must first conduct repair and maintenance on the existing line; the project is estimated to cost$10,000 this year and an additional$112,000 next year with completion scheduled for FY 11/12. Town of Westlake I Capital Improvement Plan Stagecoach Hills Waterline Connection-The Town is in the process of completing a major utility enhancement to the Stagecoach Hills subdivision including installation of a 20" water main and repair/replacement of existing water lines. Over the past two years the project has cost a total of $67,428. The project is estimated to cost $242,000 this year and $299,000 next fiscal year with completion in 2012. Facilities Westlake Academy Dining Hall Expansion - Due to an increase in the number of students attending the Westlake Academy, the Council authorized the expansion of the current dining hall. The project retrofits an adjacent classroom to accommodate the room's use for meals as well as classes during non-meal periods. The estimated cost of the project is $140,000 which will be completed by fiscal year end. Parks&Recreation Trail - Westlake Academy to Vaquero Underpass-This project is planned for inclusion in the developer agreement that covers Ottinger and Dove road improvements and will be funded and completed simultaneously with these projects per the developer agreement. The current estimated project cost is$340,000. Capital Improvement Plan I Town of Westlake Vehicles & Equipment Vehicles and equipment represent approximately 6%of the Town's assets or roughly $3.4M. While the current CIP does not contain any proposals for vehicle or equipment replacement, it is important to note that of the seven vehicles (including a utility truck) the Town currently owns, three are completely depreciated and three more will become completely depreciated within the next five years. Similarly, of the fourteen FF&E asset groups, eight are currently fully depreciated and the remainder will be within the next five years. Whether or not an asset has been fully depreciated does not by itself warrant the need to replace it, however, depreciation does serve as an indicator that the likelihood the asset will need to be replaced in the near future is fairly high. The Town maintains a Vehicle & Equipment Fund and is working towards funding annually for any replacement items needed in subsequent years. Table 3-Vehicle&Equipment Replacement Values&Depreciation(original audited values-adjusted for inflation) Current #of Depreciating over Type • Asset Replacement Assets -• -• Next 5 Years Value Furniture, Fixtures & Equipment(FFE) $2,246,443 14 8 6 Vehicles $1,207,901 6 2 3 Town of Westlake I Capital Improvement Plan Parks & Recreation - The Parks & Recreation Department is responsible for maintaining the Town's parks and trails. The Town of Westlake provides residents with one Town park which is located near the Glenwyck subdivision. The Town also maintains several trails located near the Glenwyck and Vaquero subdivisions. While many more trails have been discussed, no funding has been provided in recent years. In recent resident surveys parks and trails have , consistently rated as high priority/low satisfaction items suggesting a need for improvement. One of the goals of the current CIP is to begin creating the trails that will provide connectivity from the Town's West side to its Eastern limits as well as interconnectivity with neighboring jurisdiction's trail systems. Cemetery Improvements( 360k) Trail—Aspen L. Connection Project($275k) Glenwyck/Terra Bella Park 1171provements Trail—WA to Cemetery($2751) ($675k) Trail—WA to Vaquero underpass($340k) Cemetery Improvements Trail -Aspen Ln. Connection These improvements will consist of a wrought Project iron and stone fence on the south side of the This project will provide connectivity from the property. Also includes section markers, trail that will run along Dove to a new trail roadways and landscaping. Based on current along Pearson to the South towards Keller's funding sources, this project will be future trail system. dependent upon the future sale of plots. Trail - WA to Cemetery Glenwyck/Terra Bella Park This project will provide a scenic trail from the Improvements Academy complex to the Town Cemetery. Purchase of playground equipment, benches and trail head structures to be located along Trail - WA to Vaquero Underpass the current GlenWyck Farms and Terra Bella This project will provide east to west trail systems. This project would include interconnectivity within the Westlake trail additional features along FM 1938 trail, i.e. system by connecting the Academy to the park benches, trash cans, stretching stations, Vaquero trail where it currently terminates at mile markers and way finding signs etc. the underpass on Dove Rd. Capital Improvement Plan I Town of Westlake Project P1: Cemetery Improvements Total Project Cost: $360,000 Funding Status: Not Approved This project will emphasize general beautification of the Town cemetery through landscaping and facilities. These improvements will consist of a wrought iron and stone fence on the south side of the property. Also includes section markers, roadways and landscaping. Based on current funding sources,this project will be dependent upon the future sale of plots. Operating Budget Impact: There is no additional impact to operating costs created by these projects. Estimated Annual Operating/Debt Service Costs: - PF Operating Costs $0 Memorial Ga dens New Roads &Walking Paths—' Debt Service $0 t Funding Sources for This Project: Funding Source Proiected Amount New Stone Fence 4 Un-identified $360,000 _ _ - _ ►t_1i Project Timeline: Begin Date FY 11-12 Completion Date FY 13-14 Town of Westlake JCapital Improvement Plan Project P2: Trail - Aspen Lane Connection Project Total Project Cost: $275,000 Funding Status: Not Approved This project will provide connectivity from the trail that will run along Dove to a new trail along Pearson to the South towards Keller's future trail system. Operating Budget Impact: There is minimal impact to operating costs created by these projects in the form of landscape and irrigation. Estimated Annual Operating/Debt Service Costs: Operating Costs $12,000 Debt Service $0 • 4 i Funding Sources for This Project: Funding Source Protected Amount Un-identified $275,000 Project Timeline: Begin Date FY 13-14 Completion Date FY 13-14 Capital Improvement Plan I Town of Westlake Project P3: Trail - Westlake Academy to Cemetery Total Project Cost: $275,000 Funding Status: Not Approved This project will install a scenic trail from the Westlake Academy campus to the Town cemetery. Operating Budget Impact: There is minimal impact to operating costs created by these projects in the form of landscape and irrigation. Estimated Annual Operating/Debt Service Costs: Operating Costs $12,000 Debt Service $0 Funding Sources for This Project: Funding Source Proiected Amount Un-identified $275,000 Project Timeline: Begin Date FY 14-15 Completion Date FY 14-15 Town of Westlake I Capital Improvement Plan Project P4: Trail - Westlake Academy to Vaquero Underpass Total Project Cost: $340,000 Funding Status: Approved This project will provide east to west interconnectivity within the Westlake trail system by connecting the Academy to the Vaquero trail where it currently terminates at the underpass on Dove Rd. The project has been included in the Hillwood developer agreement. Operating Budget Impact: There is minimal impact to operating costs created by these projects in the form of landscape and irrigation. Estimated Annual Operating/Debt Service Costs: ��:�► �-■ Operating Costs $1,500 Debt Service $0 ` Funding Sources for This Project: Funding Source Proiected Amount 's .. Contribution $340,000 Project Timeline: Begin Date FY 11-12 Completion Date FY 12-13 Capital Improvement Plan I Town of Westlake Project P5: Glenwyck/Terra Bella Park Improvements Total Project Cost: $675,000 Funding Status: Not Approved This project encompasses the purchase of playground equipment, benches and trail head structures to be located along the current GlenWyck Farms and Terra Bella trail systems. This project would include additional features along FM 1938 trail, i.e. park benches, trash cans, stretching stations, mile markers and way finding signs etc. Operating Budget Impact: There is minimal impact to operating costs created by these projects in the form of landscape, irrigation and maintenance. Estimated Annual Operating/Debt Service Costs: Operating Costs $4,000 Debt Service $0 s Funding Sources for This Project: Funding Source Projected Amount Un-identified $675,000 ' Project Timeline: Begin Date FY 11-12 Completion Date FY 14-15 Town of Westlake (Capital Improvement Plan Public Facilities Currently, The Town of Westlake owns and operates three facilities: the Westlake _ Academy, the temporary buildings that house our emergency services personnel and equipment, and the Parchment house which is currently being utilized for storage. The Town also leases approximately 12,000 square feet of office space. This Capital Improvement Plan proposes -- increasing the number of buildings on the Westlake Academy campus as well as providing a new municipal building for staff and community events. The rationale for these proposals is discussed in greater detail in the project detail sheets. High School Building($5.410) Performance Hall- 'Shell'($1.5M) Middle School Building($4.3M) Westlake Administration& Civic Center($3.5M) Media center($1M) Fire Station ($5.2M) Multi-Purpose Building ($1.6M) WA-Cover Existing Walkway($268,000) Primary School Addition ($1.4M) WA- W. Parking Improvements($115,000) High School Building Figure 8-Facilities Assets:Percentage of Total This project consists of the construction of a -----new four section high school. The building Facility Assets will be 2 stories and approximately 22,570 square feet in size. The total estimated construction cost is $5,363,908. The high school will house approximately 194 students ' and 22 teachers including computer and engineering labs, special education facilities and additional space for administrative staff. ■All Other Assets ■Facilities Capital Improvement Plan I Town of Westlake Middle School Building and equipment provided by contributions and This project consists of the construction of a grants. The total estimated construction cost new middle school. The building will be 2 is $1,477,598. The building will be stories and approximately 19,320 square feet constructed without furnishings or fixtures in size. The total estimated construction cost with the intent that these will be paid for is $4,269,020. The middle school will house through fundraising efforts. approximately 540 students and 17 teachers including science and computer labs, an art Westlake Administration & C1V1C room and additional space for administrative Center staff. This project consists of the construction of an office and meeting space that will serve both Media Center staff and the community. The building will be This project consists of the construction of a 2 stories and approximately 12,000 square new media center/library adjacent to the Arts feet in size. The total estimated construction & Science Building. The building will be cost is $3,486,194. The building will be single-story and approximately 3,000 square located on the land that is just north of the feet in size. The total estimated construction pond on the Westlake Academy Campus. cost is$1,007,449. Approximately$700,000 of this project will be funded with cash and contributions. Multi-Purpose Building This project consists of the construction of a WA — Fire Station new multi-purpose room on the Southeast This facility is proposed as a permanent corner of the main building. The building will structure to replace the temporary buildings be single-story and approximately 4,500 currently utilized by the Town's emergency square feet in size. The total estimated personnel. The project will provide a 12,000 construction cost is $1,627,656. The building square foot fire station including four bays, will provide flexible space for large group sleeping area, meeting room, kitchen, storage gatherings and future expansion. and two offices. The estimated project cost is $5,170,160 and the proposed completion Primary School Addition date is FY 15/16. This project consists of the construction of an addition to the Northeast corner of the WA- Cover Existing Walkway current building. The addition will be a one- This project will provide an all-weather story building of approximately 5,200 square covering for the existing walkway from Pod D feet in size. The total estimated construction to the north entrance of the Sam and cost is$1,383,525. Margaret Lee Arts & Science Center. The estimated cost is$267,750. Performance Hall - 'Shell' This project consists of the construction of a new performance hall. The building will be built as a 2-story 'shell' of approximately 11,500 square feet with furniture, fixtures Town of Westlake I Capital Improvement Plan WA—W. Parking Improvements by creating medians and other improvements. This project will bring the Northwest parking The estimated project cost is $115,450 with area up to code with the Town's ordinances completion scheduled for FY 13/14. Table 4-Facilities Current Replacement Value(original audited values-adjusted for inflation) Current #of Depreciating over Type of Asset Replacement Value Buildings $28,068,862 8 0 1 Capital Improvement Plan I Town of Westlake f Is ' I � N I/ i CL O C i i I C � Q I Q m U o Y Ln I 4J ri a x o Y ll U N •� v \ I ri L LL �; I Z O T CL O •. G cn10 l7 LL *0*w-I Project Fl: High School Building Total Project Cost: $5,400,000 Funding Status: Not Approved This two-story, 22,570 sq. ft. facility will include 19 classrooms, a computer lab, engineering lab, special education, and administrative space. The building will be located in the open space on the SE corner adjacent to the soccer fields. The high school will house approximately 194 students and 22 teachers. The additional space will allow for expansion of course offerings and an increase in the student population. The proposed plan estimates the building will be open and ready for use by August of 2013. Operating Budget Impact: This project does not affect the on-going operating budget; the annual debt service and operations will be funded from increases in State funding resulting from higher student enrollment. Estimated Annual Operating/Debt Service Costs: Operating Costs $116,000 High School i — Black Box Thei Debt Service $351,000 i i Mi Funding Sources for This Project: 1 Funding Source Projected Amount *Bond Proceeds $5,400,000 Ak 4k * These bonds are backed by property taxes. However, no increase in the current property tax rate is anticipated. As noted above, current estimates show that all costs will be covered by the increase in State funding due to higher student enrollment. Project Timeline: Design Oct.2011—Jan. 2012 Pre-Construction Jan.2012—Aug. 2012 Construction Aug. 2012—Jul. 2013 Occupancy August 2013 Capital Improvement Plan I Town of Westlake Project F2: Middle School Building Total Project Cost: $4,300,000 Funding Status: Not Approved This two-story, 19,320 sq. ft. facility will have 15 classrooms, including a computer lab, science lab, special education, art, and administrative space. The building will be located on top of the current sports-court area just north of the Arts & Science building. The additional space will allow for expansion of course offerings and an increase in the student population. The proposed plan estimates the building will be open and ready for use by August of 2013. Operating Budget Impact: This project does not affect the on-going operating budget; the annual debt service and operations will be funded from an increase in state funding that will result from higher student enrollment. Estimated Annual Operating/Debt Service Costs: Operating Costs $100,000 High school Media c Black Box Theater Debt Service $279,000 / Middle School P Funding Sources for This Project: Funding Source Projected Amount *Bond Proceeds $4,300,000 * These bonds are backed by property taxes. However, no increase in the current property tax rate is anticipated. As noted above, current estimates show that all costs will be covered by the increase in State funding due to higher student enrollment. Project Timeline: Design Oct. 2011—Jan. 2012 Pre-Construction Jan. 2012—Aug. 2012 Construction Aug. 2012—Jul. 2013 Occupancy August 2013 Town of Westlake I Capital Improvement Plan ' Project F3: Media Center Total Project Cost: $1,000,000 Funding Status: Not Approved This 3,000 sq. ft. facility will be located adjacent to the Arts & Science building on the south side. The media center will provide library/media resources for secondary students. The proposed plan estimates the building will be open and ready for use by August of 2013. Operating Budget Impact: This project does not affect the on-going operating budget; the annual debt service and operations will be funded from an increase in state funding that will result from higher student enrollment. Estimated Annual Operating/Debt Service Costs: High School Media Center Operating Costs $15,500 Black Sox Theater Mt — Middle School % Primary Debt Service $65,000 - - - Funding Sources for This Project: ` Funding;Source Projected Amount •, E *Bond Proceeds $1,000,000 ~ Al" AL' * These bonds are backed by property taxes. However, no increase in the current property tax rate is anticipated. As noted above, current estimates show that all costs will be covered by the increase in State funding due to higher student enrollment. Project Timeline: Design Oct.2011—Jan. 2012 Pre-Construction Jan. 2012—Aug. 2012 Construction Aug. 2012—Jul. 2013 Occupancy August 2013 Capital Improvement Plan I Town of Westlake Project F4: Multi-Purpose Building Total Project Cost: $1,700,000 Funding Status: Not Approved This 4,500 sq. ft. facility will be used as the cafeteria and gymnasium for the primary students. The building will be located on the SE corner of the main campus building, directly east of the main entrance. The space allows for expansion of course offerings and an increase in the student population. The proposed plan estimates the building will be open and ready for use by August of 2013. Operating Budget Impact: This project does not affect the on-going operating budget; the annual debt service and operations will be funded from increases in state funding resulting from higher student enrollment. Estimated Annual Operating/Debt Service Costs: Media Center Town Hal Operating Costs $ 23,000 Multi-purpose Building-_ Primary Addition — Debt Service $110,500 - -.-... _... Funding Sources for This Project: ' L � Funding Source Projected Amount *Bond Proceeds $1,700,000 " * These bonds are backed by property taxes. However, no increase in the current property tax rate is anticipated. As noted above, current estimates show that all costs will be covered by the increase in State funding due to higher student enrollment. Project Timeline: Design Oct. 2011—Jan. 2012 Pre-Construction Jan. 2012—Aug. 2012 Construction Aug.2012—Jul. 2013 Occupancy August 2013 Town of Westlake I Capital Improvement Plan Project F5: Primary School Addition Total Project Cost: $1,400,000 Funding Status: Not Approved This 5,200 sq. ft. facility will be located on the Westlake campus to provide additional classroom space for expansion of the primary years programme and an increase in student population. The building will be located on the SE corner of the main campus adjacent to the current primary building. The proposed plan estimates the building will be open and ready for use by August of 2013. Operating Budget Impact: This project does not affect the on-going operating budget; the annual debt service and operations will be funded from increases in state funding resulting from higher student enrollment. Estimated Annual Operating/Debt Service Costs: Media Center ... Operating Costs $27,000 Multi- ur Buildin — Town Hal ose P P q' -�...... _ Primary Addition I Debt Service $91,000 1.............:. Al................:..... Funding Sources for This Project: I Funding Source Projected Amount Bond Proceeds $1,400,000 * These bonds are backed by property taxes. However, no increase in the current property tax rate is anticipated. As noted above, current estimates show that all costs will be covered by the increase in State funding due to higher student enrollment. Project Timeline: Design Oct. 2011—Jan. 2012 Pre-Construction Jan. 2012—Aug. 2012 Construction Aug. 2012—Jul. 2013 Occupancy August 2013 Capital Improvement Plan I Town of Westlake Project F6: Performance Hall - 'Shell' Total Project Cost: $1,500,000 Funding Status: Not Approved This 11,500 sq. ft. facility will be located on the Westlake campus to provide additional space for expansion of course offerings and increases in student population. The building will be built as a 2- story 'shell'to be completed at a later date with private funding/contributions. Operating Budget Impact: This project does not affect the on-going operating budget; the annual debt service and operations will be funded from increases in state funding resulting from higher student enrollment. Estimated Annual Operating/Debt Service Costs: Black eo Operating Costs $60,000 / i Box School -- Debt Service $97,500 — -- ---- -�- -- Funding Sources for This Project: Funding Source Projected Amount *Bond Proceeds $1,500,000 * These bonds are backed by property taxes. However, no increase in the current property tax rate is anticipated. As noted above, current estimates show that all costs will be covered by the increase in State funding due to higher student enrollment. Project Timeline: Design Oct. 2011-Jan. 2012 Pre-Construction Jan. 2012-Aug. 2012 Construction Aug. 2012-Jul. 2013 Occupancy August 2013 Town of Westlake I Capital Improvement Plan Project F7: Westlake Administration & Civic Center Total Project Cost: $3,500,000 Funding Status: Not Approved This 12,000 sq.ft. facility will be located on the east end of the Westlake Campus and will house the Town's administrative staff and Municipal Court. The building will also provide flexible meeting space for community events and affiliated groups. Operating Budget Impact: This project, as proposed,will cause a short-term increase in the annual operating costs (the difference between the current lease amount and projected operating costs). However, the annual debt service and operations are projected to reach a break-even point within the next ten years and will have a net benefit for the remainder of the life of the building. Estimated Annual Operating/Debt Service Costs: Operating Costs $ 47,000 lig Town Hall — -,... Debt Service $182,000 — _...... Funding Sources for This Project: Funding Source Projected Amount r' *Bond Proceeds $2,800,000 Governmental Funds $700,000 * These bonds are backed by property taxes. However, no increase in the current property tax rate is anticipated. As noted above, the annual operating costs are substantially similar to the amount spent on the leased space at Solana. Project Timeline: Design Oct. 2011—Jan. 2012 Pre-Construction Jan. 2012—Aug. 2012 Construction Aug.2012—Jul. 2013 Occupancy August 2013 Capital Improvement Plan I Town of Westlake Project FS: Fire Station Total Project Cost: $5,100,000 Funding Status: Not Approved This facility is proposed as a permanent structure to replace the temporary buildings currently utilized by the Town's emergency personnel. The project will provide a 12,000 square foot fire station including four bays, sleeping area, meeting room, kitchen,storage and two offices. Operating Budget Impact: The new facility will require significant operating and debt service funding on an annual basis. A location for the proposed building has yet to be identified. Estimated Annual Operating/Debt Service Costs: Operating Costs $ 50,000 Debt Service $331,500 ri Funding Sources for This Project: s►`._j �, Funding Source Projected Amount * Bond Proceeds $5,100,000 * The proposed bonds would be backed by a property tax pledge. Project Timeline: Design Oct. 2014—Jan. 2015 Pre-Construction Jan. 2015—Aug. 2015 Construction Aug.2015—Jul. 2016 Occupancy August 2016 Town of Westlake I Capital Improvement Plan Project F9: Westlake Academy - Cover Existing Walkway Total Project Cost: $265,000 Funding Status: Not Approved This project will provide an all-weather covering for the existing walkway from Pod D to the north entrance of the Sam and Margaret Lee Arts & Science Center. The estimated cost is $267,750 and scheduled completion date is FY 14/15. Operating Budget Impact: This project, as proposed, does not affect the on-going operating budget; the annual debt service and operations are not projected to exceed the current amount expended on our leased office space. Estimated Annual Operating/Debt Service Costs: Operating Costs $2,000 '�'" r r•�+ . ' 1, �� T 1 Debt Service $0 6�.� • . • Funding Sources for This Project: F t� t I"JOL. -4,Funding Source Projected Amount v Un-identified $265,000 !` +•��.�.. • , Project Timeline: Begin Date FY 14-15 Completion Date FY 14-15 Capital Improvement Plan I Town of Westlake Project F10: Westlake Academy - West Parking Improvements Total Project Cost: $135,000 Funding Status: Not Approved This project will bring the Northwest parking area up to code with the Town's ordinances by creating medians and other improvements. Operating Budget Impact: The operating impact of this project is minimal; some crack sealing and utility usage will occur on an annual basis. Estimated Annual Operating/Debt Service Costs: _ Operating Costs $2,500 N Debt Service $0 - Funding Sources for This Project: , �Y Funding Source Projected Amount , Un-identified $135,000 Project Timeline: Begin Date FY 13-14 Completion Date FY 13-14 Town of Westlake (Capital Improvement Plan Transportation One of the major concerns for any municipality is its infrastructure of streets. With the approval of the previous year's CIP and accompanying bond issuance, the Council recently addressed many of the most pressing street I maintenance concerns in Westlake; -r -: a this type of commitment is essential _ to maintain these valuable Town - - assets. FM 1938 Streetscape/Wayfinding($4,5M) Sam School Rd. ($165k) Dove/Ottinger Landscaping($640k) Dove Road Creek($600k) Aspen Lane($186k) E. Dove Rd. Vaquero to Terra Bella($60010 Stagecoach Hills($340k) W. Dove& Ottinger Rd. ($600k) N. Roanoke Rd. ($190k) Ottinger/Dove Intersection ($1.8M) S. Roanoke Rd. ($300k) Dove Rd./N. Pearson Intersection ($225k) FM 1938 Streetscape/Wayfinding Figure 10-Transportation Assets:Percentage of Total Project consists of the design and ----- - - - --- -- - construction of landscape and hardscape Transportation Assets improvements to the FM 1938 corridor from SH 114 south to Randol Mill Road, including sidewalks, trailheads, signage, rest areas, plantings, entry monuments. The Town is , required to install sidewalks on the west side of FM 1938 from Dove to SH 114 per the ' Fidelity developer's agreement at our cost. Utility relocations will be necessary to accommodate construction, including adjusting manholes, fire hydrants, valves and meters as necessary. Maintenance is for ■All Other Assets ■Transportation irrigation only. Capital Improvement Plan I Town of Westlake Dove/Ottinger Landscaping S. Roanoke Road Reconstruction & As part of the recent developer agreement Drainage with Hillwood and Deloitte, $640,000 has The project will provide stabilization of road been allocated for all landscaping pertaining subgrade and 6" of asphalt to approximately to the Dove Road and Ottinger Road 4,000 LF of Roanoke Road and reconstruction projects. replace/improve culverts and ditches. Project improvements will be from Highway Aspen Lane Reconstruction&Drainage 170 south to the Town Limits. Foresee crack The project will provide stabilization of road sealing during the 2nd year after completion. subgrade and 2" of asphalt to approximately The cost below reflects construction by 2,700 LF of Aspen Lane and replace/improve private contractor without participation from culverts and ditches. Anticipate crack sealing Tarrant County; it includes 3rd party during the 2nd year after completion. This construction inspection services. project is not a candidate for Tarrant County participation; it includes 3rd party Sam School Road Reconstruction & construction inspection services. Drainage The project will provide stabilization of road Stagecoach Hills Street Reconstruction & subgrade and 6" of asphalt to approximately Drainage 2,000 LF of Sam School Road and The project will provide stabilization of road replace/improve culverts and ditches. subgrade and 2" of asphalt to the Anticipate crack sealing 2nd year from approximate 4,500 LF of pavement in the completion. The project cost reflects Stagecoach Hills Subdivision and construction by private contractor without replace/improve culverts and ditches. Foresee Tarrant County participation; it includes 3rd crack sealing during the 2nd year after party construction inspection services. completion. This project is not a candidate for Tarrant County participation; it includes Dove Road Creek Crossing 3rd party construction inspection. The project will provide road and bridge enhancements on Dove Road at the creek North Roanoke Road Reconstruction & overpass between JT Ottinger Road and N. Drainage (Hwy 170 North to Town Pearson Lane. Limits) The project will provide stabilization of road E.Dove Road Reconstruction&Drainage subgrade and 6" of asphalt to approximately The project will provide stabilization of road 750 LF of Roanoke Road and replacement of a subgrade and 6" of asphalt to approximately narrow bridge at a 60" drainage structure. 6,500 LF of Dove Road from Vaquero to Terra Foresee crack sealing during the 2nd year Bella and replace/improve culverts and after completion. The cost below reflects ditches. Anticipate crack sealing 2nd year construction by private contractor without from completion. This project will also Tarrant County participation; it includes 3rd include construction of a pedestrian trail from party construction inspection services. FM 1938 to the Glenwyck Farms. Town of Westlake I Capital Improvement Plan W. Dove&Ottinger Rd.Reconstruction & IT Ottinger/Dove Intersection Drainage Re-alignment of Dove/JT Ottinger intersection The project will provide stabilization of road to improve traffic and pedestrian safety. The subgrade and 6" of asphalt to approximately realignment of this intersection will also 5,000 LF of Dove and Ottinger Roads and include construction of a pedestrian trail. replace/improve culverts and ditches. Project improvements will cover portions of Dove and Dove Rd./N.Pearson Ln. Intersection Ottinger that are not included in other The project will make lane adjustments and projects from Westlake Academy to Vaquero. intersection improvements to the intersection Foresee crack sealing during the 2nd year at Dove Rd. and N. Pearson Ln. Foresee crack after completion. The cost below reflects sealing during the 2nd year after completion. construction cost estimates from the The cost below reflects construction cost Hillwood developer agreement. estimates from the Hillwood developer agreement. Figure 11-Pavement Condition Over Time(Lazarus,2007) Pavement Condition Over Time Excellent 401;'o drop i Good I in quality 75%of life -a r Will cost$1 here �40%"drop ?poor x xx ►n quality i ..-.. Very Door }_- � -.- --r_- �.^�'ill cost here -- 12°l of life =ailed 0 5 10 15 20 'rE R_c Figure 11 above illustrates the exponential increase in the cost of street maintenance caused when these projects go unfunded for too long. While this graph applies to roadways that are designed for 20 years of service, the ratios are applicable to shorter-life surfaces as well. In other words, in general the most critical point for maintenance occurs when the surface has reached two-thirds of its useful life. After that,within a relatively short period of time the surface deteriorates from fair to very poor quickly and the cost of repair more than doubles. Table 5-Transportation Asset Values&Depreciation(original audited values-inflation-adjusted) Current #Of Depreciating over Type of Asset Replacement Assets Depreciated Next Roads S Streets $5,510,005 27 14 0 Capital Improvement Plan I Town of Westlake Project T1: FM 1938 Streetscape/Wayfinding Total Project Cost: $4,500,000 Funding Status: Approved Project consists of the design and construction of landscape and hardscape improvements to the FM 1938 corridor from SH 114 south to Randol Mill Road, including sidewalks, trailheads, signage, rest areas, plantings, entry monuments. The Town is required to install sidewalks on the west side of FM 1938 from Dove to SH 114 per the Fidelity developer's agreement at our cost. Utility relocations will be necessary to accommodate construction, including adjusting manholes, fire hydrants, valves and meters as necessary. Maintenance is for irrigation only. The estimated completion date of this project is FY 2013/2014. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of landscape maintenance and minor repairs to sidewalks and other Town-owned assets associated with the project. Estimated Annual Operating/Debt Service Costs: Operating Costs $ 5,000 Debt Service $58,500 F Funding Sources for This Project: + Funding Source Projected Amount t�+•.,�" `� Contributions $ 350,000 Capital Projects Fund $3,200,000 *Bond Proceeds $ 900,000 *These bonds are backed by a property tax pledge and will be supported by the ad valorem property tax. Estimated Expense thru FY 10/11: $719,922 Town of Westlake I Capital Improvement Plan Project T2: Dove/Ottinger Landscaping Total Project Cost: $640,000 Funding Status: Approved This project will be carried out in conjunction with the Hillwood and Deloitte development agreement to provide for the landscaping aspects of the Ottinger and Dove Road improvements. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of landscape maintenance. Estimated Annual Operating/Debt Service Costs: Operating Costs $1,500 Debt Service $0 Funding Sources for This Project: Funding Source Proiected Amount Contributions $640,000 Project Timeline: Begin Date FY 11-12 Completion Date FY 12-13 Capital Improvement Plan I Town of Westlake Project T3: Aspen Lane Deconstruction and Drainage Total Project Cost: $187,000 Funding Status: Approved This road improvement project will re-stabilize and overlay approximately 2,700 linear feet of Aspen Lane. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. Estimated Annual Operating/Debt Service Costs: �� + • J _ Operating Costs $ 3,000 Debt Service $12,155 ! -- Funding Sources for This Project: 4 Funding Source Proiected Amountc ''f - *Bond Proceeds $187,000 *These bonds are backed by a property tax pledge and will be supported by the ad valorem property tax. Project Timeline: Begin Date FY 11-12 Completion Date FY 11-12 Town of Westlake I Capital Improvement Plan Project T4: Stagecoach Hills St. Reconstruction & Drainage Total Project Cost: $340,000 Funding Status: Approved This road improvement project will replace the culvert, re-stabilize and overlay approximately 4,500 linear feet of Stagecoach Hills Street, Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. Estimated Annual Operating/Debt Service Costs: j Operating Costs $ 5,000 ai Debt Service $22,100 Funding Sources for This Project: Funding Source Projected Amount *Bond Proceeds $340,000 *These bonds are backed by a property tax pledge and will be supported by the ad valorem property tax. Project Timeline: Begin Date FY 11-12 Completion Date FY 11-12 Capital Improvement Plan I Town of Westlake Project T5: N. Roanoke Road Reconstruction & Drainage Total Project Cost: $185,000 Funding Status: Approved This road improvement project will re-stabilize and overlay approximately 750 linear feet of Roanoke Rd.from Hwy 170 North to the Town limits. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. 71 A Estimated Annual Operating/Debt Service Costs: - ... Operating Costs $ 1,000 Debt Service $12,000 ` - Funding Sources for This Project: � �'! ' - Funding Source Projected Amount io *Bond Proceeds $185,000 *These bonds are backed by a property tax pledge and will be supported by the ad valorem property tax. Project Timeline: Begin Date FY 11-12 Completion Date FY 11-12 Town of Westlake ICapital Improvement Plan Project T6: S. Roanoke Road Reconstruction & Drainage Total Project Cost: $300,000 Funding Status: Approved This road improvement project will re-stabilize and overlay approximately 4,000 linear feet of Roanoke Rd.from Hwy 170 South to the Town limits. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. Estimated Annual Operating/Debt Service Costs: Operating Costs $ 5,000 Debt Service $19,500 �„. . X. Funding Sources for This Project: Funding Source Proiected Amount - •ri *Bond Proceeds $300,000 , • ` *These bonds are backed by a property tax pledge and will be supported by the ad valorem property tax. Project Timeline: Begin Date FY 12-13 Completion Date FY 12-13 Capital Improvement Plan I Town of Westlake Project T7: Sam School Road Reconstruction & Drainage Total Project Cost: $165,000 Funding Status: Approved This road improvement project will re-stabilize and overlay approximately 2,000 linear feet of Sam School Rd.from Solana to the Town limits. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. r Estimated Annual Operating/Debt Service Costs: f ;•',*,;: +!!I� `" 9 Operating Costs $ 2,500 Debt Service $10,725 Funding Sources for This Project: Funding Source Projected Amount *Bond Proceeds $165,000 *These bonds will be backed by a property tax pledge and will be supported by the ad valorem property tax. Project Timeline: Begin Date FY 13-14 Completion Date FY 13-14 Town of Westlake I Capital Improvement Plan Project T8: Dove Road Creek Crossing Total Project Cost: $600,000 Funding Status: Approved This project will fortify the bridge and creek crossing on Dove Rd. between JT Ottinger Rd. and N. Pearson Ln. It is one of the projects listed in the Hillwood developer agreement and is funded by contributions. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing over the bridge area. Estimated Annual Operating/Debt Service Costs: Operating Costs $1,500 Debt Service $0 Funding Sources for This Project: , Funding Source Proiected Amount Contributions $600,000 Project Timeline: Begin Date FY 10-11 Completion Date FY 11-12 Estimated Expense thru FY 10/11: $35,000 Capital Improvement Plan I Town of Westlake Project T9: W. Dove & Ottinger Road Reconstruction & Drainage Total Project Cost: $600,000 Funding Status: Approved The project will provide stabilization of road subgrade and 6" of asphalt to approximately 5,000 LF of Dove and Ottinger Roads and replace/improve culverts and ditches. Project improvements will cover portions of Dove and Ottinger that are not included in other projects from Westlake Academy to Vaquero. Foresee crack sealing during the 2nd year after completion. The cost below reflects construction cost estimates from the Hillwood developer agreement. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. Estimated Annual Operating/Debt Service Costs: Operating Costs $ 6,000 Debt Service $39,000 Funding Sources for This Project: Funding Source Projected Amount :1 *Bond Proceeds $600,000 *These bonds will be backed by a property tax pledge and will be supported by the ad valorem property tax. Project Timeline: Begin Date FY 11-12 Completion Date FY 12-13 Town of Westlake I Capital Improvement Plan Project T 10: E. Dove Road Reconstruction & Drainage Total Project Cost: $600,000 Funding Status: Approved This road improvement project will re-stabilize and overlay approximately 6,500 linear feet of Dove Rd.from Vaquero to Terra Bella. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. Estimated Annual Operating/Debt Service Costs: ooeRd Operating Costs $ 4,000 Debt Service $39,000 1 1'-• Funding Sources for This Project: Funding Source Protected Amount i *Bond Proceeds $600,000 �. �'kl01.4 *These bonds will be backed by a property tax pledge and will be supported by the ad valorem property tax. Project Timeline: Begin Date FY 13-14 Completion Date FY 13-14 1 Capital Improvement Plan I Town of Westlake Project T11: J.T. Ottinger / Dove Intersection Total Project Cost: $1,800,000 Funding Status: Approved This project is designated within the Hillwood developer agreement. The project will reconstruct the intersection at Ottinger and Dove Rd. to enhance traffic flow to address safety concerns. A trail will be added to improve connectivity. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. Estimated Annual Operating/Debt Service Costs: — Operating Costs $1,500 Debt Service $0 Funding Sources for This Project: Funding Source Proiected Amount Contributions $1,800,000 Project Timeline: Begin Date FY 11-12 Completion Date FY 12-13 Town of Westlake Capital Improvement Plan Project T12: Dove Rd. / N. Pearson Ln. Intersection Total Project Cost: $225,000 Funding Status: Approved The project will make lane adjustments and intersection improvements to the intersection at Dove Rd. and N. Pearson Ln. Foresee crack sealing during the 2nd year after completion. The cost below reflects construction cost estimates from the Hillwood developer agreement. Operating Budget Impact: This project will have minimal impact on the Town's annual operating budget. The annual operating costs for this project will consist of surface maintenance utilizing periodic crack sealing. Estimated Annual Operating/Debt Service Costs: Operating Costs $1,500 Debt Service $0 Funding Sources for This Project: Funding Source Projected Amount Contributions $225,000 Project Timeline: Begin Date FY 10-11 Completion Date FY 11-12 Estimated Expense thru FY 10/11: $25,000 Capital Improvement Plan I Town of Westlake Utilities The Town of Westlake currently owns a minimum of approximately$24M of utility fixed assets. These take the form of water, sewer and telecommunications duct bank lines. These assets are initially installed through development and later transferred to the Town for upkeep and maintenance. With the recent completion of the Stagecoach Hills water main,the Town's utility infrastructure is in relatively good shape with no known deficiencies. The five items that are fully Y.� depreciated are water lines that were transferred from the City of Keller which may need replacement in the near future but that are fully operational now. It should also be noted that the Town is currently engineering a GIS system that will map all infrastructure; this project provides us the opportunity to review the condition of these assets and their values which will be revised as necessary. TRA Assumption of N1 Sewer Line($127,000) Stagecoach Hills Waterline Connection($610,000) N-1 Sewer Line Transfer 1&f Study 1Reaairs($122,000) Ground Storage Tank($1,600,000) TRA Assumption of N1 Sewer Line Figure 12-Utility Assets:Percentage of Total This project is intended to transfer ownership - -- - - -of a section of sewer line from Westlake and Utility Assets Southlake to TRA. It includes the design and construction of a metering station with SCADA equipment at the proposed Town of Westlake "Point of Entry." Westlake will be required to conduct an extensive inflow and infiltration study and perform repairs (separate capital project). N-1 Sewer Line Transfer I&I As a condition of the N-1 sewer line transfer Westlake was required to conduct an ■Total Assets ■Utilities extensive inflow and infiltration study. The study will identify repairs that need to be made. Town of Westlake I Capital Improvement Plan Stagecoach Hills Waterline Connection existing pump station. We anticipate this tank will be a 1,000,000 gallon tank and will This project will consist of constructing a be needed to augment services once Deloitte water line to Stagecoach Hills from the has become fully staffed. Maintenance existing pump station or 20" water line and the replacement of lines within the (consisting of inspection and cleaning) would subdivision itself. not be expected until year two. Debt service payments = approximately $170k/yr for 10 Ground Storage Tank years. This project will consist of designing and constructing a new ground storage tank at the Table 6-Utility Asset Values&Depreciation(original audited value-inflation-adjusted) Current #of # Fully # Depreciating over Type of Asset Replacement Value Assets Dep -• Next 5 Years Utility Improvements $19,247,514 24 5 0 Utility Machinery& Equipment $5,177,911 7 1 0 Capital Improvement Plan I Town of Westlake Project U1: TRA Assumption of N-1 Sewer Line Total Project Cost: $127,000 Funding Status: Approved This project will prepare the sewer line to be transferred from Westlake and Southlake to TRA. The scope of the project includes the design and construction of a metering station with SCADA equipment at the Town's'point of entry' for water and sewer. Operating Budget Impact: This project does not affect the on-going operating budget as all future operating costs will become the responsibility of TRA. Estimated Annual Operating/Debt Service Costs: Brok>. ©ond D, ^ . Operating Costs $0 ! • ,, P Debt Service $0 �' �'" ,.t•`` ' ken tlGnd Ur RR 1. A Funding Sources for This Project: ' Funding Source Projected Amount F O V.S Df t:4 r t ♦ " Utility Fund $127,000 Project Timeline: Begin Date FY 10-11 Completion Date FY 11-12 Estimated Expense thru FY 10/11: $12,900 Town of Westlake I Capital Improvement Plan Project U2: N-1 Sewer Line Inflow & Infiltration Repairs Total Project Cost: $122,000 Funding Status: Approved This project will prepare the sewer line to be transferred from Westlake and Southlake to TRA. The scope of the project includes making general repairs to the existing sewer lines as required by the transfer contract with TRA. Operating Budget Impact: This project does not affect the on-going operating budget as all future operating costs will become the responsibility of TRA. Estimated Annual Operating/Debt Service Costs: Operating Costs $0 j 4 P g Debt Service $0 t Funding Sources for This Project: Funding Source Proiected Amount �• `_ i� ' -� "1 Utility Fund $122,000 Project Timeline: Begin Date FY 10-11 Completion Date FY 11-12 Estimated Expense thru FY 10/11: $10,000 Capital Improvement Plan I Town of Westlake Project U3: Stagecoach Hills Water Line Connection Total Project Cost: $610,000 Funding Status: Approved This project consists of the installation of a 20" main waterline into the Stagecoach subdivision as well as repairs to existing lines. Operating Budget Impact: This project does not affect the on-going operating budget as repairs or maintenance on new water lines is extremely rare. Estimated Annual Operating/Debt Service Costs: --------� An:- Operating Costs $0 j Debt Service $0 Proposed waterline Funding Sources for This Project: Funding Source Protected Amount Utility Fund $610,000 Project Timeline: Begin Date FY 10-11 Completion Date FY 11-12 Estimated Expense thru FY 10/11: $309,810 Town of Westlake I Capital Improvement Plan Project U4: Ground Storage Tank Total Project Cost: $1,600,000 Funding Status: Approved This project will increase the capacity at the pump station to respond to and plan for increases in demand created by development within the Town. The project includes the installation of a 1M gallon water tank. Operating Budget Impact: This project does not affect the on-going operating budget; the annual debt service will be funded from utility revenues. Estimated Annual Operating/Debt Service Costs: Operating Costs $ 500 �. s { �� Debt Service $170,000 h, « Funding Sources for This Project: Funding Source Projected Amount -� *Utility Bonds $1,600,000 t :_. r r_. .. *The ability to create additional indebtedness in the Utility Fund has yet to be determined; therefore, the funding source for this project is uncertain as of the date of preparation of this CIP document. Project Timeline: Begin Date FY 12-13 Completion Date FY 12-13 Capital Improvement Plan I Town of Westlake Works Cited Elmer, V. (2006). Capital Improvement Plan and Budgets. Berkeley: University of California at Berkeley. Lazarus, C. (2007). Public Works. In C. W. Stenberg, & S. L. Austin, Managing Local Government Services(pp. 201-234).Washington DC: ICMA. Town of Westlake I Works Cited Westlake Academy | Summary General Comments: 1 Model assumes all that new classroom sections can be readily populated at all grade levels 2 Assumes the capital campaign can continue to generate an average of$8001student per year Other capital campaign funds would be developed for the black box interiors and tennis court not 3 included in this budget 4 Some of the model assumptions for teacher to staff ratios and other staffing assumptions are based on data and discussion with a local peer, high performing 113 school, as well as existing operation data and salaries for the current operations. 5 The operating costs are adjusted proportionate to the facility size increase, and the added debt service. 8 Staff salary freezes assumed through 2013'2014 7 Students per section assumptions are: 20 in PYP. 25 in K8YP&25 in DP 8 Teachers per section assumptions are: 1.35inPYP. 1.85inK0YP& 1.G0inDP Q Average Daily Attendance (ADA) in assumed toboS70X 10 Prof. Contracted Services and Other Operating Costs are assumed to increase 20% in model. 11 Utilities, Maintenance, Supplies & %0etaria|a assumed to inunaomo proportional toSq Ft increase 12 Student Retention Rate ie assumed tnbe 100% in grades K4B. and SU% in grades 11 & 12. 13 Models assumes State Revenue will be$6,961 per student in 2013,with a 3% increase per year 1 Construction to Start August 2012, and finish August 2013 2 Aggressive school growth in enrollment from grade to grade is a concern 3 Natural "organic" school growth in enrollment from grade to grade -no culture hurdles 4 5 Sections of Primary School moving into 4 sections of Secondary School 5 6th grade will be in the Middle School Building -PYP is through 5th grade only 6 Construction in 2012 introduces risk of escalation of interest and construction costs 7 Black Box -Shell with Rest rooms; rectangular for a tilt-up; minor architectural accents. 1 1/2 story structure; no interior finishes 8 2012 borrowing of$5.13MM issued with the max. $10MM issued in 2013 Building Sq Ft Cost High School 22,570 $ 5,363,908 Middle School 19,320 $ 4,269,020 Media Center 3,000 $ 1,007,449 Multi-Purpose BId'g 4,500 $ 1,627,656 Primary School Addition 5,200 $ 1,383,525 Existing Kitchen Reno i Black Box $ 1,477,598_ TOTAL 54,590 1 $ 15,129,156 Surplus/Shortfall Projections Fiscal Year Notes 2012-2013 $5.13MM borrow 9/2012 2013-2014 $836,507 Add $10MM borrow 1/2013 2014-2015 $215,732 2015-2016 $234,452 5/19/2011,11-.28 AM Westlake Town Hall I Summary of Development I `� General Comments: 1 Site assumes there is adequate area for parking 2 Assumes site is adjacent to Academy and all utilities are privite taps,not public, 3 Costs below do not include any land purchase or easement costs. 4 15,255 SF Town Hall includes a room to seat 300 people with parking for 200 cars. 5 11,880 SF Town Hall includes a room to seat 100 people with parking for 100 cars. 6 Assumes construction to begin August 2012 and complete August 2013. 7 Assumes design &construction of Town Hall&Academy will be concurent with same A/E and Contractor. Large Meeting Space Town Hall Option Buidling with 300 seat Mtg Space Sq Ft Cost Building 15,255 1 $ 4,569,027 TOTAL 15,255 1 $ 4,569,027 Debt Service Projections Debt Notes $296,987 $4,569,027 Borrow 9/1/2012 Smaller Meeting Space Town Hall Option Buidling with 100 seat Mtg Space Sq Ft Cost Building 11,880 1 $ 3,486,194 TOTAL 11,880 1 $ 3,486,194 Debt Service Projections Debt Notes $226,603 $3,486,194 Borrow 9/1/2012 5/19/2011,11:16 AM 1 _. - - r _.-s -. - _ _ � ` � - .�. � • , :, �:' .. ,, -� � .�. Westlake Academy Budget for Option 2-A Nigh School,6th-8th grade Middle School,Media Center,Muli-Purpose Bld'g and K-5 Primary School Addition and Existing Kitchen Renovation all to open year four, Fall 2013 Budget Detail Report F Cost Code Description Budget Notes 01 Professional Services 01100 Project Management Services $284,906 Based on 3%of construction cost 01120 Project Management Additional Services $0 01130 Project Management Reimbursables $28,491 01200 A/E Services-Plarming(---) $0 01210 A/E Services-Basic Services $633,124 Based on 7%of construction cost 01220 A/E Additional Services $31,656 01230 A/E Services Reimbursables $30,000 Other Consultants&Related Expenses $0 01300 ICivil Engineer(---) $205,000 01310 ISurveying(---) $50,000 Allowance 01320 ISignagge (---) $19,000 01330 lGeotechnical(---) $44,000 01340 Environmental/AHERA Report $25,000 01350 1 Materials Testing(---) $124,986 1%of construction 01360 [blank] $0 01370 Data/IT/Securi $100,000 01380 1 Regulatory/Printing/Permits/Advert $90,446 1%of const 01390 10ther Reimbursables/Expenses $50,000 Subtotal Professional Services $1,716,610 02 Prime Construction Contract 102200 Construction Contract $9,044,634 See Detail Estimates 02210 lContractor Contingency $0 Inc.in construction costs above 02220 lConstruction Contingency-5% $452,232 Subtotal Prime Construction Contract $9,496,866 03 Other Capital Improvement Contracts 03100 FIVAC Svstern Test.,Adjust.&Balancing $0 In Construction Contract 03110 Telephone $85,000 Allowance 03120 Utility Service/Easements/Tap Fees $40,000 Allowance 03130 Temporary Utilities $0 In Construction Contract 03140 Signs $22,000 Allowance 03150 Fencing/Covered Canopy $175,000 03160 Security Systems $95,533 $1.75/SF 03170 IT/Data(infrastructure) $136,475 $2.50 1SF 03180 IT Hardware $689,000 03200 Furnishings/Equipment $545,000 Subtotal Other Construction Contracts $1,788,008 Totals $13,001,483 04 Owner's Internal Costs 104100 Internal costs,fees,etc. $0 04200 Interest/closing expenses $0 04300 Blanc $0 Subtotal Internal Costs $0 05 Owner's Contingency 05100 Owner's Project Contingency-(5%) $650,074 Subtotal Contingency* $650,074 Project Grand Totals $13,651,557 5/1912011,11:28 AM Westlake Academy Black Box I To Open Fall 2013 in all options 1-4 Budget Detail Report Cost Description Budget Notes Code 01 Professional Services 01100 Project Mana ement Services $34,729 Based on 3%of construction cost 01120 Project Management Additional Services $0 01130 Project Management Reimbursables $3,473 01200 A/E Services-Planning(---) $0 01210 A/E Services-Basic Services $77,175 Based on 7%of construction cost 01220 A/E Additional Services $3,859 01230 A/E Services Reimbursables $5,000 Other Consultants&Related Expenses 01300 Civil Engineer(---) $20,000 01310 Surveying(---) $10,000 01320 Signage (---) $0 01330 Geotechnical(---) $10,000 01340 Environmental/AHERA Report $0 01350 Materials Testing(---) $11,5761%of construction 01360 [blank] 01370 Data/IT/Security $5,000 Allow 01380 Re ulatory/Printing/Permits/Advert $22,050 2%of const 01390 Other Reimbursables/Expenses $5,000 Subtotal Professional Services $207,862 02 Prime Construction Contract 02200 Construction Contract $1,102,500 11,500/SF*$80/SF(shell and RR) 02210 Sitework and flatwork 02220 Construction Contingency-5% $55,125 Subtotal Prime Construction Contract $1,157,625 03 Other Capital Improvement Contracts 03100 HVAC System Test.,Adjust.&Balancing $2,000 In Construction Contract 03110 Telephone $1,000 Alllowance 03120 Utility Service/Easements/Tap Fees $0 03130 Temporary Utilities In Construction Contract 03140 Signs Philanthropy 03150 Drop-Off/Pick-Up Canopy&Fencing $0 Philanthropy 03160 Security Systems $10,000 03170 IT/Data(infrastructure) $28,750 03180 IT Hardware Philanthropy 03200 Furnishings/Equipment Philanthropy Subtotal Other Construction Contracts $41,750 Totals $1,407,237 04 Owner's Internal Costs 04100 Internal costs,fees,etc. $0 04200 Interest/closing expenses $0 04300 Land $0 Subtotal Internal Costs $0 05 Owner's Contingency 05100 1 Owner's Project Contingency-(5%) 1 $70,362 Subtotal Contingency* $70,362 Project Grand Totals $1,477,598 Westlake Town Hall with Large Meeting Space Meeting Space to accomidate 300 people Budget Detail Report 15,255 Cost Description Budget Notes Code 01 Professional Services 01 100 Project Management Services $103,097 Based on 3%of construction cost 01120 Project Management Additional Services $0 01130 Project Management Reimbursables $10,310 01200 A/E Services-Planning(---) $0 01210 A/E Services-Basic Services $229,104 Based on 7%of construction cost 01220 A/E Additional Services $11,455 01230 A/E Services Reimbursables $6,000 Other Consultants&Related Expenses 01300 Civil Engineer(---) $50,000 01310 Surveying(---) $10,000 Allowance 01320 Si.gna,ge (---) $5,000 01330 Geotechnical(---) $8,000 01340 Environmental/AHERA Report $5,000 01350 Materials Testing(---) $34,366 1%of construction 01360 [blank] 01370 Data/IT/Security $20,000 01380 Regulatory/Printing/Permits/Advert $32,7291%ofconst 01390 10ther Reimbursables/Expenses $10,000 Subtotal Professional Services $535,060 02 Prime Construction Contract 02200 Construction Contract I $3,272,9151$50K utilities pending Westlake conf 02210 1 Contractor Continency $0 Inc.in construction costs above 02220 lConstruction Contingency-5% $163,646 Subtotal Prime Construction Contract $3,436,560 03 Other Capital Improvement Contracts 03100 HVAC System Test.,Adjust.&Balancing $0 In Construction Contract 03110 Telephone $25,000 Allowance 03120 Utility Service/Easements/Tap Fees $0 Allowance 03130 Temporary Utilities In Construction Contract 03140 Sims $20,000 Allowance 03150 Fencing $0 None Anticipated 03160 Security Systems $26,696$1.75/SF 03170 IT/Data(infrastructure) $38,138$2.50/SF 03180 IT&AV Allowance $200,000 03200 Furnishings/Equipment $70,000 Allowance Subtotal Other Construction Contracts $379,834 Totals $4,351,455 04 Owner's Internal Costs 04100 1 Internal costs,fees,etc. $0 04200 1 Interest/closing expenses $0 Subtotal Internal Costs $0 05 Owner's Contingency 05100 0wner's Protect Continency-(5%) $217,573 Subtotal Contingency* $217,573 Project Grand Totals $4,569,027 Westlake Town Hall with Larger Meeting Space Meeting Space to accomidate 300 people NameLast INarneFirst Position Department Shared/Single Office Sq Ft Wood jTodd Director Human Resources/I.T. Single single 140 Piper IDebbie Director Finance Single single 140 Ford Jaymi Assistant Finance Shared office open 100 Whigham Sherri Records Clerk Finance Shared office open 100 Edwards Kelly Town Secretary Town Secretary Single single 140 Meyer Troy Director Facilities/Parks&Rec Single shared with joseph 200 Awtry Ginger Assitant Town Manager Single single 140 Brymer Tom Town Manager Town Manager Single single 140 Ehrenberg IPete Director Texas Student Housing Single open 100 Greenwood Jarrod Director Public Works Shared single large for future shared office 200 Lopez lJoseph Technician Public Works/Facilities Shared shared with Troy Inc Edwards Eddie Director Planning&Development Single shared office with future staff person 200 Landers Trish Assistant Facilites/H.R./Planning Shared open,with receptionist counter 140 Intern lintern Intern Finance/Town Manager Shared open 100 Intern Intern Intern Planning&development shared open 100 Wilson Sharon clerk Municipal Court shared open,with cashier's exchange counter 140 Crow Troy Marshall Municipal Court shared open 100 Solis Martha clerk Municipal Court shared open 100 DeGaan Amanda Administrator Municipal Court single single 140 officer I officer Keller Police Officer Municipal Court single open 100 future staff single 140 future staff single 140 future staff open 100 future staff open 100 Partitioned Multi-Purpose Room-Up to 300 people capacity 4000 Breakroom 250 Work Room 250 records rooffire rated 500 Conf Rooms 700 Lobby/Waiting Area 500 Restrooms 1000 MEP,Custodial&IT Rooms 500 General Storage 600 Common Areas(35%) 3955 Total 15,255 Westlake Town Hall with Smaller Meeting Space Meeting Space to accomidate 100 people Budget Detail Report e t l_!:a. u:;. 11,880 Cost Description Budget Notes Code 01 Professional Services 01100 Project Management Services $77,389 Based on 3%of construction cost 01120 Project Management Additional Services $0 01130 Project Management Reimbursables $7,739 01200 A/E Services-Planning(---) $0 01210 ME Services-Basic Services $171,975 Based on 7%of construction cost 01220 A/E Additional Services $8,599 01230 IAIE Services Reimbursables $6,000 Other Consultants&Related Expenses 01300 Civil Engineer(--- $50,000 01310 Surveying(---) $10,000 Allowance 01320 Signage (---) $5,000 01330 Geotechnical(---) $8,000 01340 Environmental/AHERA Report $5,000 01350 Materials Testing(---) $25,796 1%of construction 01360 [blank] 01370 Data/IT/Security $20,000 01380 Regulatory/Printing/Pen-nits/Advert $24,5681%ofconst OU90 Other Reimbursables/Expenses $10,000 Subtotal Professional Services $430,066 02 Prime Construction Contract 02200 Construction Contract $2,456,789$50K utilities pending Westlake conf 02210 Contractor Contingency $0 Inc.in construction costs above 02220 Construction Contingency-5% $122,839 Subtotal Prime Construction Contract $2,579,628 03 Other Capital Improvement Contracts 03100 HVAC System Test.,Adjust.&Balancing $0 In Construction Contract 03110 Telephone $25,000 Allowance 03120 Utility Service/Easements/Tap Fees $0 Allowance 03130 Temporary Utilities In Construction Contract 03140 Sims $20,000 Allowance 03150 Fencing $0 None Anticipated 03160 Security Systems $20,790$1.75/SF 03170 IT/Data(infrastructure) $29,700$2.50/SF 03180 IT&AV Allowance $150,000 03200 Fumishings/Equipment $65,000 Allowance Subtotal Other Construction Contracts $310,490 Totals $3,320,184 04 Owner's Internal Costs 04100 lInternal costs,fees,etc. $0 04200 1 Interest/closing expenses $0 Subtotal Internal Costs $0 05 Owner's Contingency 05100 Owner's Project Contingency-(5%) $166,009 Subtotal Contingency* $166,009 Project Grand Totals $3,486,194 Westlake Town Hall with Smaller Meeting Space Meeting Space to accomidate 100 people NameLast INarneFirst Position Department Shared/Single Office Sq Ft Wood ITodd Director Human Resources/I.T. Single single 140 Piper IDebbie Director Finance Single single 140 Ford 1.1ayrni Assistant Finance Shared office open 100 Whigham ISherri Records Clerk Finance Shared office open 100 Edwards lKelly Town Secretary Town Secretary Single single 140 Meyer ITroy Director Facilities/Parks&R.ec Single shared with joseph 200 Awtry lGinger Assitant Town Manager Single single — in le 140 Brymer Tom Town Manager Town Manager Single single 140 Ehrenberg Pete Director Texas Student Housing Single open 100 Greenwood Jarrod Director Public Works Shared single large for future shared office 200 Lopez lJoseph Technician Public Works/Facilities Shared shared with Troy Inc Edwards Eddie Director Planning&Development Single shared office with future staff person 200 Landers Trish Assistant FaciIites/H.R./Planning Shared open,with receptionist counter 140 Intern Intern Intern Finance/Town Manager Shared open 100 Intern Intern Intern Planning&development shared open 100 Wilson Sharon clerk Municipal Court shared open,with cashier's exchange counter 140 Crow Troy Marshall Municipal Court shared open 100 Solis IMartha clerk Municipal Court shared open 100 DeGaan Amanda Administrator Municipal Court single single 140 officer officer Keller Police Officer Municipal Court single open 1Q0 future staff single 140 future staff single 1d0 future staff open 100 future staff open 100 Meeting Room-Up to 100 people capacity 1500 Breakroom 250 Work Room 2so records rooffire rated 500 Conf Rooms 700 Lobby/Waiting Area 500 Restrooms 1000 MEP,Custodial&IT Rooms 500 General Storage _c0 Common Areas(35%) 3080 Total 11,880 a o W N N � O) O J if1 Q J z J r > o Q N � a m w z a w 0 0 z U O F- W N J Q N J N Z J Q a Q a _ C Q N > m v 2 ¢ W m > C O m E F o a o a w J ¢ r � N Z C J C �U Q J � O � O d a U ¢ c a m w z a U W O y L ti N = y � = U 3 m z < N ~ Q N O c0 G = J c n c E 0 0 o m N E a > CL U m E 0 E m a o O 'C > E E E m j ,C}1 I v u O` VJ O C p y Q a - E g O O y wa00a- Fn Ci f 2 3 c IL fa 3 v z i� U C j LLU J _ nI;Irr-n rlTll--,jy?J �rrrrl FUTUITTTI TI rrrrrn 4SJ:i = IMTI+ill-Tr4 u2L1.T.,i, rrin"rrl rrl :rrir5ln'nl"rrl •IrrlTtTl'I - r GS:CTSL77 STSa :,U1.t.I u EZLLL;-LLrl ❑E11117]LIIL1 3ITIJJSM r-lrll r:n rttrrrn�rrrrrrfd n' 2t;I r_ur rtmzrsr"r-nlzl rsnrizt:o Irrrrrmn rrrn-rmnlrrlV>I mrrrrn rcraii S=O l+.l'frrlS❑ ilT]ITtIrIll"r, y ' ITr.rm rn rt:`nrtTrrrrrnArrtnnrYn ..1. .L J t.t k 11TTjTt1T ULLUI:LMI UTTM I:UIM CLMTrrrl; f-fn rrlT fl alnl'n Tn"Yn nYnTnrr. J' x. vo 11A, M A z s 4, � T' J ��' I • '��M 1. �i s .. . v�. t r , LA k y i' LL 9�2r_ •QT'" • _ ��- � � cn .... .... .... ... c LL o ' > .> � —�- `TTT-t-I_I_rl..rl CI-L.-LA11 Z-1T LL '- LPL r�-1TTl r f-r.l_r 7-r7-rl rTT L r l l r:7`I..1-r rT" i TTTT.I.1-FT-1-1 1-0:==LL iT.LLrr_n-m-rT-r: C==--O 17 CTILL 1_lI r- _L._._ _ _L L_._._JM_ rTl1TT'T7= QTrn-n-l-rTTTI- rrT-T-TT-m-1-� n"rrrrrlTr rrTTrr rIT'rrTTi "r 7 r rrrr�`n ITTT -Fl-M7- rTrrrn-1TrTTrT1 F7TT'l'-rl-1-F f1 T 1Tri T r T a�r fi-FI-1-1-1 I TTTTTF rTFTI--n TFT- M- -I L L LIL!L_ oo r1_L _ET __ _L . .2....L TTT--M rrTTTTTTTT. �I rrrl l l f TTrrl T rTTr-Fl--Fl= L7� i. rTl I rTl-fTn Q.CaLLLL- r- CT1 Crl7�] rT1TT I I T-i FTl-ITI"I-rrrT iTt rTlTn-r F I I I FT TTT fT rTM-n- n?l-rr'< rTT-M-11 rSCT1A.1-LIA1 LL . _ C]ET.0- I_.__ _t 1 _.__ Q1CI7=CCLLI i LM i Nk c cr t Ate% L � w r; L L,L t t' H, • 1 Edr C ■■ ■ ■ ■CCCC C C� CC:r ■C■ ■r CC -� LA rC�i■ ■ r ri■■�i CC: C. rCC CC C : ■ CC m�rm m mm �Gi C ■� i Crr CC � • CC ■ ■■� CC CC . Westlake Town Hall with Large Meeting Space I � � 1 , Meeting Space to accomidate 300 people Budget Detail Report j 15,255 Cost Description Budget Notes Code 01 Professional Services 01100 Project Management Services $103,097 Based on 3%of construction cost 01120 Project Management Additional Services $0 01130 Project Management Reimbursables $10,310 01200 A/E Services-Planning(---) $0 01210 A/E Services-Basic Services $229,104 Based on 7%of construction cost 01220 A/E Additional Services $11.455 01230 A/E Services Reimbursables $6,000 Other Consultants&Related Expenses 01300 Civil Engineer(---) $50,000 01310 Surveying(---) $10,000 Allowance 01320 Signage (---) $5,000 01330 Geotechnical(---) $8,000 01340 Environmental/AHERA Report $5,000 01350 Materials Testing(---) $34,366 1%of construction 01360 [blank] 01370 Data/IT/Security $20,000 01380 Regulatory/Printing/Permits/Advert $32,7291%ofconst 01390 Other Reimbursables/Expenses $10,000 Subtotal Professional Services $535,060 02 Prime Construction Contract 02200 Construction Contract $3,272,9151$50K utilities pending Westlake conf 02210 Contractor Contingency $0 Inc.in construction costs above 02220 Construction Contingency-5% $163,646 Subtotal Prime Construction Contract $3,436,560 03 Other Capital Improvement Contracts 03100 HVAC System Test.,Adjust.&Balancing $0 In Construction Contract 03110 Telephone $25,000 Allowance 03120 Utility Service/Easements/Tap Fees $0 Allowance 03130 Temporary Utilities In Construction Contract 03140 Signs $20,000 Allowance 03150 Fencing $0 None Anticipated 03160 Security Systems $26,696$1.75/5F 03170 IT/Data(infrastructure) $38,138$2.50/SF 03180 IT&AV Allowance $200,000 03200 Furnishings/Equipment $70,000 Allowance Subtotal Other Construction Contracts $379,834 Totals $4,351,455 04 Owner's Internal Costs 04100 JIntemal costs,fees,etc. $0 04200 1 Interest/closing expenses $0 Subtotal Internal Costs $0 05 Owner's Contingency 05100 1 Owner's Project Contingency-(5%) $217,573 Subtotal Contingency` $217,573 Project Grand Totals $4,569,027 T e � 1 s'� t n s wle ,k M N O -- O O O M N W) N N O - M N In h O O 07 V O In C` IN V o0 O M V' N O 00 we O N In �D O O �O 'n T t� O vi M N ' ' 7 t� O o0 O� �O �O N d' N V1 m , o0 M h h -- N d' M ' t� , 1O .6 O 7 h - N 7 M 90 00 IN �O N IN V' g h N t� N t� 00 Q� t� �O O Fd M O N Cl a, t� 7 d' V In T V'1 In O ,-• C� EH ^ O h - V' 'IT 'n eP O M O o0 vJ C, O O O M N In W N pNp IN 'n O 'n ^ 00 W O N N IM 11 `7 0 M O O O as ® CS O \O '�D O O+ C+ t� 00 00 .r .-+ O1 l� O� h t� 00 M 7 In M O 00 In 10 V M 00 IN C� N Cl O In M Z\ 'n C` O l� O N �D �D 00 'N tT M 7 In a N 'n 7 M v) ^ qA B. vi L /A a V 2.1 p O p® C0 M In v� �D M O t^ �O Jn M ' ' M o0 O o0 c' aia N 'n V M In .-� V O� T M N M OO ("� .-� M 10 !� O O 7 In +d IN V oo - N �C N N O N M M N M M M M 'n C1 O V1 P 00 oo C 'N O V^ Q\ Vt V' 7 00 h ^ V' N O 'N 01 C` - O m M CQ O O O M N N ay 1 h C V C` G1 O � h t� M M h 'V O V of O N O C M 10 h O o0 y� t� C, h h C = �O x ID 'n O^ C^ Vn Ci 'n t� N oo M t- ' ' 00 In O o0 10 W 4 M M O . W .0 l� .0 N �.: �O Vl M M M M O V o0 N � M � h - IN �O IN O - ^ N Q\ M h CO N o0 IN O O O IN O O N O M M ® - O O N O N N m• -' 7 Q\ O N In Q\ I, O+ P GD Cr O O M t 'n h N O CD 7 M O O O M N Vl 10 C 00 V M O h 'n O O ^ ^ M V;, t� C` M M M ' ' O O oo O' z ® ,., .. 00 V M JO t� V V' M N O � � h -� NV N O [ ' sV V v' 00 O C� oC W �D O 'd' C M O oC v' N V' 'n t� t� Cl o0 M t� O C O M IN to L W ^ O M h N N h d' V' CT N M M vt C\ M [� M O M V O oC b Vl d' O ® N 01 IN 'n 'O O V M^ N V M fpipm LL Q Q< W VS p N M I '- M W o 7 t� [� N Gt h V M - M O h C1 C\ O 7 V N N 1� C w N M V 'n co W M M g O 'n O O O V N In M V G1 GO `-" M Cif OC ® •^ C\ T O �O 12-1 ® � GJ1 (A C N M O Q` OC O O M N N C h N O vY N vt O O M - O CO M O O N 'N CO M /9� ^ h O M h -- M �O o0 7 V lC O V M [� M O h C� N O O 7 'n N vl .-. d' D\ 0` M �C O M [T �C CC a M M O - yq G� d' <T �D ^ N M M d' C, V' �D .-• v1 ui D oo W C, V ^ o d V/ IN CO C ^ M l� O O N N N C' h 0 c0 'V O Vl O O M C, O Dr - W V CC O M 00 .� O M O CT W ^ V" a` W GD h M It 0 In G. N M O '7 O a` O M 'V N h 'V C, N W O Q\ Q\ h VI O W 7 h O Or C± N M N N IN N p N o0 N (i1 M 'N Ca C V N \O IN CQ G, In - Cl C+ 7 Vi x N M IN N C\ O oC LLJ �' lD O C rl - �O M N M M C M d' - M IA F- �1 CC V O O vJ O IN O O M M M h h O h G`� O O O O 'V N O W d' V' 10 C OV O V' C, 10 r W M W vJ O 'n D\ O M N N N 7 e �D (�! O M M vl d' M M h In O 'N - 7 O 16 h C\ N h O 7 O b Md /R � � �D �- O 'n �- 'N O O Vl M Vr N M -- N •V 'N �D -• ^ h V <t 7 M 7 •mom � W O O O O M O V 'n N C 'n W h 0 0 7 O O O W W O GD O In O W C W 16 b M M W O 7 O O 7 O O - - - O M 'n v1 W M ,- In W h y t� V h N M 0 0 0 O O 00 CO M O 00 vl N N M .6 cl M h M D` cl h C V N M V M Vt V N O O1 M M M G1 10 O - - N V C� lG 'I 'D N M 00 ^ h }d M M 7 M 'I qV/�� t yW fR W J d W 7 + W N e W v, v Z b (n U o to a Q ® a p 0 a2 b e z t7 L = ss v ' a a °XI o W CIO a. c V O Ca V F v '° > z tb W Q o q .n o v c cn X X F X X X X G? ao. O G o = x R c •°3 ,� o, W N, X ri v: M X v y v In O ®p R o �✓ C4 > w, K .n ''" G: J 0 W �,' O y i A o o 0 0 o . 6 m Q ¢ 'c -o u u Y' �' C�+ `" o ., v o w ❑ .7 U U U U U U ,� 0.� CY. v� °- g E+ _ Z CC C4 y v m 2 4 :c ❑ c W W a O Q W v v o 0 0 o Q W c,.., W c y g o o c Z t'^ aL> I+^ °' = a ea F d a> b v aJ w v F T. aL� Lv v 7 •`� ° ca tact `o R K 0 3 5 ¢ F F v F F F F W O O O O 0 O F 0 O O F W t7 G 2 c 7 xt i F F F $ 4 Id STATEMENT OF PURPOSE The broader intent of the following Fiscal and Budgetary Policy Statements is to enable the Academy to achieve a long-term stable and positive financial condition. The watchwords of the Academy's financial management include integrity, prudent, stewardslup, planning, accountability, and full disclosure. The more specific purpose is to provide guidelines to the Finance Director in planning and directing the Academy's day-to-day financial affairs and in developing reconu-nendations to the Academy Superintendent or his designate and Academy Board of Trustees. The scope of these policies generally span, among other issues, accounting; purchasing, auditing, financial reporting,internal controls,operating budgeting, revenue management,cash and investment management, expenditure control, asset management, debt management, and planning concepts, in order to: • Present fairly and with full disclosure the financial position and results of the financial operations of the Academy in conformity with generally accepted accounting principles (GAAP), and • Determine and demonstrate compliance with finance related legal and contractual issues in accordance with provisions of the Texas Local Govenument Code and other pertinent legal documents and mandates. The Academy Board of Trustees will annually review and approve the Fiscal and Budgetary Policy Statements as part of the budget process. II. SUMMARY OF POLICY INTENDED OUTCOMES This policy framework mandates pursuit of the following fiscal objectives: Operating Budget: Prepare conservatively, estimate revenues, present and adopt the Academy's annual operating plan. Revenues Management: Design,maintain and administer a revenue system that will assure a reliable; equitable,diversified and sufficient revenue stream to support desired Academy services. Expenditure Control: Identify priority services, establish appropriate service levels and administer the expenditure of available resources necessary to assure fiscal stability and the effective and efficient delivery of services. Fund Balance: Maintain the fund balance of the various operating funds at levels sufficient to protect the Academy's creditworthiness as well as its financial position from emergencies. 1 Intergovernmental Relationships: Coordinate efforts with other. agencies to achieve coinnion policy objectives, share the cost of providing governmental services on an equitable basis and support favorable legislation at the State and Federal level. Grants: Seek, apply for and effectively administer Federal,. State, and foundation grants-in-aid which address the Academy's current priorities and policy objectives. Fiscal Monitoring: Prepare and present regular reports that analyze, evaluate, and forecast the Academy's financial performance and economic condition. Financial Consultants: With available resources, seek out and employ the assistance of qualified financial advisors and consultants in the management and administration of the Academy's financial functions. Accounting, Auditing, and Financial Reporting: Comply with prevailing Federal, State and local statues and regulations. Conform to generally accepted accounting principles as promulgated by the Government Accounting Standards Board (GASB), the American Institute of Certified Public Accountants(AICPA),and the Goverrunent Finance Officers Association(GFOA). Internal Controls: To establish and maintain an internal control structure designed to provide reasonable assurances that the Academy's assets are safeguarded and that the possibilities for material errors in the Academy's financial records are minimized. M. OPERATING BUDGET ® Preparation — Budgeting is an essential element of the financial planning, control, and evaluation process. The "operating budget" is the Academy's annual financial operating plan related to educational service instructional costs. • The Academy operating budget is legally required to include the Academy's General, Debt Service, and Food Service Funds. Currently, Westlake Academy only has one fund,the General Fund, which must be legally adopted annually. The Academy budgets the Special Revenue Funds for informational purposes only. • Information to be prepared includes doctunentation related to Service Level Adjustments (SLAs) for increases to existing service levels or additional services, position control schedules, general and administrative cost implications, etc. will be submitted and reviewed during the budget process. • SLA's related to new position requests will include an assessment of their impact on additional internal services necessary to support these positions as it relates to General & Administrative (G&A) charges in the Academy budget ( subject to funding availability) to fund these costs. • A budget preparation calendar and timetable will be established and followed in accordance with State law. 2 • Revenue Estimates for Budgeting - In order to maintain a stable level of services, the Academy shall use a conservative, objective, and analytical approach when preparing revenue estimates. The process shall include analysis of probable economic changes and their impacts on revenues, number of students, and trends in revenues. It will also include an assessment of the State legislative environment related to public charter school funding levels. This approach should reduce the likelihood of actual revenues falling short of budget estimates during the year and should avoid mid-year service reductions. • Balanced Bridget—Current operating revenues, including State"Foundation''funds,donations and grants which can be used for operations, will be sufficient to support current operating expenditures. Anrlrrally recurring revenue will not be less than annually recurring operating budget expenditures. • Proposed Bridget Content and Process — A proposed budget shall be prepared by the Superintendent or his designate with the participation of the Academy's Leadership Team, Finance Director and Academy staff, and then submitted to the Superintendent for review. Following Superintendent review, the proposed budget will be presented to the Board for its consideration. • The proposed budget shall include five basic segments for review and evaluation: (1) personnel costs, (2) base budget for operations and maintenance costs, (3) service level adjustments for increases of existing service levels or additional services, (4) revenues, and(5)General Administrative(G&A)costs. • The proposed budget review process shall include Board of Trustees review of each of the four segments of the proposed budget and a public hearing to allow for citizen participation in the budget preparation process. • Concurrent with the Academy budget preparation,Town staff will identify and provide to the Board all direct Academy expenses contained in the Town's murnicipal budget. • The proposed budget process shall allow sufficient time to provide review as well as address policy and fiscal issues by the Board of Trustees. • A copy of the proposed budget shall be filed with the Town Secretary when it is submitted to the Board of Trustees as well as placed on the Academy's website. ® Bridget adoption - Upon the detemlination and presentation of the final iteration of the proposed budget document as established by the Board of Trustees, a public hearing will be set and publicized. The Board will subsequently consider a resolution which, if adopted, such budget becomes the Academy's Annual Budget. The adopted budget will be effective for the fiscal year beginning September 1. ® Bridget Amendments — The Superintendent or his designate and Finance Department will monitor all financial operations. A school district must amend the official budget before exceeding a functional expenditure category, i.e., instruction, administration, etc. in the total budget. The budget team will decide whether to proceed with the budget amendment and, if so, will then present the request to the Board of Trustees. If the Board decides a budget amendment is necessary, the amendment is adopted in resolution fonnat and the necessary budgetary changes are then made. • Planning—The budget process will be coordinated so as to identify major policy issues for the Board of Trustees by integrating it into the Board's overall strategic planning process for the Academy. • Reporting - Monthly financial reports will be prepared by the Finance Depar-tinent and distributed to the Superintendent or his designate. Information obtained from financial reports and other operating reports is to be used by persomiel to monitor and control the budget. Sun-rnary financial reports will be presented to the Board quarterly. IV. REVENUES MANAGEMENT A. REA VE N + DESIGN PARAMETERS. The Academy will strive for the following optimum characteristics in its revenue system: • Simplicity - The Academy, where possible and without sacrificing accuracy, will strive to keep the revenue system simple in order to reduce costs, achieve transparency, and increase parent and citizen understanding of Academy revenue sources. • Certainty - A thorough knowledge and understanding of revenue sources increases the reliability of the revenue system. • administration -The benefits of a revenue source will exceed the cost of administering that revenue. Every effort will be made for the cost of administration to be reviewed aru3ually for cost effectiveness as a part of the indirect cost and cost of service analysis. ® Equity - The Academy shall make every effort to maintain equity in its revenue system: i.e. the Academy shall seek to minimize or eliminate all forms of subsidization between entities. Adequacy, Diversification and Stability — To the extent practical, the Academy shall attempt to achieve a balance in its revenue system. The Academy shall also strive to maintain a balanced and diversified revenue system to protect the Academy from fluctuations in any one source due to changes in local economic conditions which adversely impact that source. B. REVENUE SOURCES. Currently, Westlake Academy receives revenue to firnd its armual operating budget fiom the following sources: • State Education finzding • State and Federal Grants • General Donations—The Academy recognizes that private donations comprise a significant part of the Westlake Academy budget. All funds received will become part of the budget and be subject to appropriation for Academy general operations. 4 General Donations—(continued) • Westlake Academy Foundation • House of Corni-nons • Westlake Academy Athletic Club • Local Merchants Specific Purpose Donations—Funds donated for a specific purpose C. REVENUE MONITORING. Revenues as they are received will be regularly compared to budgeted revenues and variances will be investigated. This process will be suinrnarized in the appropriate budget report. V. EXPENDITURE CONTROL • Appropriations — The point of budgetary control is at the function level in the General Fund and Special Revenue Funds. When budget adjustments among finictions are necessary,they must be approved by the Board of Trustees. • Current Funding Basis - The Academy shall operate on a ciirrent funding basis. Expenditures shall be budgeted and controlled so as not to exceed current revenues plus the planned use of fund balance accumulated through prior year savings. (The use of fund balance shall be guided by the Fund Balance/Retained Ean-dngs Policy Statements.) • Avoidance of Operating Deficits - The Academy shall take immediate corrective actions if at any time during the fiscal year expenditure and revenue re-estimates are such that an operating deficit (i.e., projected expenditures in excess of projected revenues) is projected at year-end. Corrective actions can include a hiring freeze,expenditure reductions, or use of fund balance within the Fund. Use of fund balance must be recommended by the Superintendent and approved by the Board of Trustees. Expenditure deferrals into the following fiscal year, short-terin loans, or use of one- time revenue sources shall be avoided to balance the budget. • Periodic Program Reviews - The Superintendent or his designate shall undertake periodic staff and third-parry reviews of Academy programs for both efficiency and effectiveness. Where appropriate, privatization and contracting with other governmental agencies will be evaluated as alternative approaches to service delivery. Service delivery which is determined to be 4-iefficient and/or ineffective shall be reduced in scope or eliminated. • General and Administrative (G&A) Charges — To the extent practical, an arm-Lial analysis of G&A charges will be performed and fai-iding allocated, if available. The analysis shall involve an objective consideration of the service demands currently being met by municipal staff to support Academy operations and a determination of factors that will continue to affect and increase the time needed for the performance of these services. For example, new Academy staff requires additional support staff time to perform tasks related to insurance, payroll, etc. Where feasible, G&A costs will be charged to all fwads 5 for services of indirect general overhead costs, which may include general administration, finance, facility use, persormel, technology, engineering, legal counsel, and other costs as deemed appropriate. The charges will be determined through an indirect cost allocation study following accepted practices and procedures. • Purchasing- The Academy shall make every effort to maximize any discounts offered by creditors/vendors. Staff shall also use purchasing cooperatives as well as competitive bidding in accordance with State law to attain the best possible price on goods and services. • Prompt Payment -All invoices will be paid within 30 days of receipt in accordance with the prompt payment requirements of State law. • Salary - The Academy shall strive to maintain competitive salary levels for faculty and staff. A salary survey will be conducted arulually, sampling surrounding Independent School Districts and Charter Schools, to create a comparison. The Academy will strive to maintain salary levels within three percent(3%) of the median of surveyed schools. Vt. FUND BALANCE • General Fund Undesignated Fund Balance - The Academy shall strive to maintain the General Fund undesignated fund balance at 45 days of operation. • Use of Fund Balance - Fund Balance will be targeted to only be used with Board approval and can be only be used for the following: emergencies, non-recurring expenditures, such as technology/FF&B (furniture, fixtures and equipment), or major capital purchases that cannot be acconnrnodated through current year savings. Should such use reduce the balance below the appropriate level set as the objective for that fiind,recommendations will be made on how to restore it. Use of fund balance will be recommended by the Superintendent and must be approved by the Board of Trustees. L INTERGOVERNMENTAL RELATIONSHIPS • Inter-local Cooperation in Delivering Services - ha order to promote the effective and efficient delivery of services, the Academy shall actively seek to work with other local entities in joint purchasing consortium, sharing facilities, sharing equitably the costs of service delivery,and developing joint progianns to improve service to it's students. • Legislative Program - The Academy shall cooperate with other entities to actively oppose any state or federal regulation or proposal that mandates additional Academy programs or services and does not provide the firndung to implement them. Conversely, as appropriate,the Academy shall support legislative initiatives that provide additional flinding. VIII. GRAN'T'S • Grant Guidelines - The Academy shall apply, and facilitate the application by others, for only those grants that are consistent with the objectives and high priority needs previously 6 identified by Academy Board of Trustees. The potential for incurring ongoing costs, to include the assumption of support for grant fi nded positions from local revenues, will be considered prior to applying for a grant. • Grant Review - All grant submittals shall be reviewed for their cash match requirements, their potential impact on the operating budget, and the extent to which they meet the Academy's policy objectives. If there are cash match requirements, the source of fiuld ng shall be identified prior to application. Staff will focus on one-time grants to avoid long tenrr implications related to additional expenditures in future years. • Grant Program Termination - The Academy shall terminate giant funded programs and associated positions when grant funds are no longer available uliless alternate funding is identified and obtained. IX. FISCAL MONITORING • Financial Status and Performance Reports - Quarterly reports comparing expenditures and revenues to current budget, noting the status of fund balances to include dollar amounts and percentages, and outlining any remedial actions necessary to maintain the Academy's financial position shall be prepared for review by the Superintendent and the Board of Trustees. Student roster information will also be included in the quarter reports submitted to the Board of Trustees. • Compliance with Board Policy Statements - The Fiscal and Budgetary Policies will be reviewed annually by the Board of Trustees and updated, revised or refined as deemed necessary. Policy statements adopted by the Board of Trustees are guidelines, and occasionally, exceptions may be appropriate and required. However, exceptions to stated policies will be specifically identified,and the need for the exception will be documented and frilly explained. X. FINANCUL CONSULTANTS To employ the assistance of qualified financial advisors and consultants as needed it the management and administration of the Academy's financial functions. These areas include but are not limited to investments, debt administration, financial accounting systems, program evaluation, and financial impact modeling. Advisors shall be selected on a competitive basis using objective questionnaires and requests for proposals based on the scope of the work to be performed. XL ACCOUNTING,AUDITING,AND FINANCIAL PORT G To comply with prevailing local, state, and federal regulations relative to accounting,, auditing, and financial reporting. Accounting practices and financial reporting shall conform to generally accepted accounting principles as promulgated by the Governmental Accounting Standards Board (GASB), the American Institute of Certified Public Accountants, (AICPA), and the Govenu-nent Finance Officers Association (GFOA). The Board shall select an independent fine of certified public accountants to perfornn an annual audit of all operations. Required Texas Education Agency (TEA) account coding 7 will be used for all revenue and expenditure reporting. • Accounting - Currently, the Education Service Center (Region XI) books all revenues and expenditures, and prepares bank reconciliations. Academy staff is responsible for all coding and approval of expenditures and revenues. Documentation and coding of deposits are forwarded to the Town's Finance Department for review and preparation of deposit slips. Town's Finance Director and staff are responsible for review and transfer of invoices and other documentation to the Service Center for processing as well as the physical deposit of funds. It is the responsibility of the Superintendent or his designate and Academy staff to review the monthly reports for any discrepancies and report to the Town's Finance Director for analysis and re-class of questioned bookings,if appropriate. • External Auditing - Academy will be audited annually by outside independent accountants (auditors). The auditors must be a CPA fnin and must demonstrate significant experience in the field of local government auditing. They must conduct the Academy's audit in accordance with generally accepted auditing standards. The auditors' report on Academy's financial statements will be completed within a timely period of the Academy's fiscal year- end. The auditor will jointly review the management letter with the Academy Board of Trustees, if necessary. In conjunction with this review,the Finance Director shall respond i-i writing to the Academy Board of Trustees regarding the auditor's Management Letter, addressing the issued contained therein. The Academy will not require auditor rotation, but will circulate request for proposal for audit services on a periodic basis as deemed appropriate. • Responsibility of Auditor to Academy Board of Trustees - The auditor is retained by and is accountable directly to the Academy Board of Trustees and will have access to direct con-irnunication with the Academy Board of Trustees if the Academy Staff is unresponsive to auditor recommendations or if the auditor considers such communication necessary to fulfill its legal and professional responsibilities. • Internal financial Reporting - The Finance Department will prepare internal financial reports sufficient for management to plan,monitor,and control Academy's financial affairs. XH. INTERNAL.CONTROLS • Written Procedures - Whenever possible, written procedures will be established and maintained by the Finance Director and utilized by all Academy personnel for all functions involving purchasing, cash handling and/or accounting throughout the Academy. These procedures will embrace the general concepts of fiscal responsibility set forth in this policy statement. • Academy Staff Responsibilities - The Superintendent or his designate, in consultation with the Finance Director, will be responsible for ensuring that appropriate internal controls are followed throughout the Academy, that all directives or internal controls are implemented, and that all uidependent auditor internal control recomnnlendations are addressed. Staff will develop and periodically update written internal control procedures. 8 XIII. ASSET MANAGEMENT • Investments — The Finance Director shall promptly invest all Academy funds with the depository bank in accordance with the provisions of the current Bank Depository Agreement or in any negotiable instrument authorized by the Academy Board of Trustees. T he Academy Board of Trustees has formally approved a separate hlvestment Policy for the Academy of Westlake that meets the requirements of the Public Funds Investment Act(PFIA), Section 2256 of the Texas Local Government Code. The Academy's investment practices will be conducted in accordance with this policy. The Finance Director will issue quarterly reports on investment activity to the Academy Board of Trustees. • Cash Management-Academy's cash flow will be managed to maximize the cash available to invest. Such cash management will entail the centralization of cash collections,where feasible, including field trips, and other collection offices as appropriate. Periodic review of cash flow position will be performed to determine performance of cash management and conformance to investment policies. The underlying theme will be that idle cash will be invested with the intent to(1) safeguard assets,(2)maintain liquidity, and(3)maximize return. • Faxed Assets and Inventory - Such assets will be reasonably safeguarded and properly accounted for and prudently insured. The fixed asset inventory will be updated regularly. • Capital Assets — Currently all capital assets of Westlake Academy are owned and purchased by the Town of Westlake. hl subsequent years, additional asset purchases may be paid with Westlake Academy funds. • Capitalization Criteria — For purposes of budgeting and accounting classification, the following criteria must be capitalized: • The asset is owned by the Westlake Academy • Tlne expected useful life of the asset must be longer than one year,or extend the life on an identifiable existing asset by more than one year • The original cost of the asset must be at least' 5,000 • The asset must be tangible • On-going repairs and general maintenance are not capitalized • New Purchases —All costs associated with bringing the asset into working order will be capitalized as a part of the asset cost. This includes start up costs, engineering or consultant type fees as part of the asset cost once the decision or commitment to purchase the asset is made. The cost of land acquired should include all related costs associated with its purchase • Improvements and Replacement—Improvement will be capitalized when they extend the original life of an asset or when they make the asset more valuable than it was originally. The replacement of assets components will nornnally be expenses unless they are a significant nature and meet all the capitalization criteria. Computer System/Data Security — The Academy shall provide security of its computer/network system and data files through physical and logical security systems that will include, but are not hinted to: network user authentications, firewalls, content filtering, spam/virrs protection,and redundant data backup. 9 MEMORANDUM Date: May 16, 2011 TO: Honorable Mayor and Town Council F Tom Brymer, Town Manager/Superintendent SUBJECT:: Governance Readings Attached for your reading prior to our school and municipal planning retreats, are selected governance readings from Mr. George Cuff. Mr. Cuff is a former mayor and now consultant to local governments, primarily in Canada, on ways to improve the governance of municipalities. I have attended 2 half-day sessions where Mr. Cuff spoke on this topic at the annual International City Management Association Conference. My assessment is that Mr. Cuff knows firs t hand this topic of policy governance and how to improve it. I think you will find these materials helpful. 3 Village Circle, Suite 2-02 -Westlake, Texas 762-62 Metro: 817-430-0941 - Fax: 817-430-1812 - www.westlake-tx.org SCHOOL BOARDS : SPECIFIC RESPONSIBILITIES 1. To establish the goals of the school district. 2. To establish op lice for the governance of the school system. 3. To delegate to the superintendent responsibility for all administrative functions, except those specifically reserved through board policy for the board chairperson. (Those reserved areas might include: conducting board meetings and public hearings, approving the agenda and minutes and other activities associated with serving as a presiding officer of the board.) 4. To support the superintendent fully in all decisions that conforms to professional standards and board policy. 5. To develop a plan for board-superintendent communications. 6. To channel communications with school employees that requires action through the superintendent, and to refer all applications, complaints, and other communications, oral or written to the superintendent. 7. To establish a o�lig on the effective management of complaints. S. To rp ovide the superintendent with a comprehensive employment contract. 9. To hold the superintendent responsible for the administration of the school through regular constructive written and oral evaluations of the superintendent's work. (Effective evaluation is an ongoing effort and should be linked to goals established by the board with the assistance of the superintendent.) 10. To hold all board meetings with the superintendent or a designee rep sent. 11. To consult with the superintendent on all matters, as they arise, that concern the school system and on which the board must take action. 12. To give the superintendent the benefit of the board's counsel in matters related to individual board members expertise, familiarity with the local school system, and community interests. 13. To take action on matters only after hearing the -recbMmendations of the superintendent. -2- 4 KEY RESPONSIBILITIES Of SCHOOL BOARD I. Sets goals and objectives and designs policies to attain those goals. 2. Hires a superintendent and delegates detailed duties to a trained administrative staff headed by this single executive. 3. Evaluates the policies and superintendent in terms of their effectiveness in attaining the board's goals and makes necessary modifications. 4. Makes certain that the board remains responsive to the community. - Sample Policy Issues for a Council We see the following om matters [n which Council should be expected to provide policy leadership to: )�, A statement of the Council's vision and values > A statement ofCouncil priorities based oO its sense of the welfare of the citizens aGm vvhO\e > The development and evaluation of the policies and programs of the municipality > The corporate Business Plan > The need for and timing of any new Council orientation > The Council's own performance assessment > The recruitment process and selection of the CA{J > The contract, agreement and bylaw of appointment for the Chief Administrative Officer The manner, mechanism and timing of a performance review of the Chief Administrative Officer > The compensation authorized for the CA(] Approval of the organizational structure and any changes thereto Approval of new positions recommended > Approval of the annual or multi-year budgets > Approval of variances to the budget > Approval of capital projects andaDyFecOmnnnaOdedchoOgeathepeto > Approval nf funding to community groups > Approval of bylaws and plans as required by the legislation > Approval of any matters imposed on Council by the legislation, by bylaws or other enactments not delegated to the CAD by bylaw and/or not otherwise authorized within any current policy o[ bylaw i These are not the only issues that ought to be the subject of policy but will certainly provide o good base VO which tObuild. CUFF'S RULES of GOOD GOVERNANCE Governance Rules o Rule #1 Clarity of Mandate Effective governance and administration requires the presence of a clearly established mandate (generally set in the legislation, bylaws or constitution. Each governing body (in most instances, the Council) must understand not only what powers it possesses but also what authority can be delegated to any operational or advisory boards and committees. o Rule #2 Clarity of Authority In addition to understanding the legislated mandate, the degree of authority of each of those roles must also be made clear. This authority may be conveyed by legislation but also will likely need to be clarified by bylaws, policies and procedures. o Rule #3 Public Accountability and Responsiveness An effective governance model (or decision-making system) must also reflect the basis of any democratic institution — reliance upon the endorsement of the public. Decisions must be based on a clear sense of what is in the best interests of the public (or the members of the organization or both). o Rule #4 Clear Sense of Purpose Organizations require a clear understanding as to its purpose as stated in its mandate, goals, objectives and strategies. This is essential for the organization to maintain relevancy and focus and to be accountable for achieving its targets. o Rule #5 Full Disclosure A basic principle of sound governance is access by the governing body to the necessary information which it must have in order to make informed decisions. This is one of the components of a sound decision-making process and is central @ George B. Cuff and Associates Ltd. 1 CUFF'S RULES of GOOD GOVERNANCE to the level of confidence exhibited between the governing body and its chief officer(s). o Rule #6 Sense of Integration Most organizations are multi-faceted and involved with many issues.. Each has the very real potential of reflecting confusion in purpose. An important principle is that all components must be viewed as operating from the same page. o Rule #7 Sound Relationship: Governing Body and Chief Officer The relationship of the governing body to its CEO/CAO (if any) is critical to how well the overall system is run. This relationship must reflect respect and confidence at a minimum in order to survive. o Rule #8 Independence of the Governing Body While the governing body may receive input from a wide variety of sources, the act of governing is its responsibility. The onus is clearly on it to ensure that the organization is being governed appropriately. o Rule #9 Orientation and Succession Planning This rule reflects two related and necessary "bookends" of sound governance- administrative system. At the outset of any term the governing body (should receive a thorough briefing from the senior administration as to expected roles, relationships, powers, key issues, etc. o Rule #10 Ongoing Performance Assessment Any system or model of governance must include a mechanism or process to ensure that it is performing as anticipated and, if not, that corrective steps are being taken. While it may be difficult for any governing body to conduct a self- assessment, it is not impossible nor all that unusual. @ George B.Cuff and Associates Ltd. 2 George B. Cuff&Associates Ltd. A Background Report on the Key Elements of Good Governance (DGeorge B. Cuff F± Associates Ltd. 2010 ©A Background Report on Governance 1 George B. Cuff & Associates Ltd. (NOTE: This paper recognizes the importance of a Council following the provisions of the prevailing legislation and so in all instances wherein there may be a question as to what I mean, the Legislation takes precedence. It has also been written in a generic fashion i.e. he/she when referring to either the Mayor or City Manager). Background Comments on Good Governance The Functions of Governance For the purposes of this review, we define governance as: "The process of exercising corporate and community leadership by the policy-making authority on behalf of the community to the organization as a whole in terms of its purpose, control and future and overseeing the organization to ensure that its mandate is achieved." Effective governance relies upon accountability by the elected leaders (City Council) for all of the policies and bylaws utilized in governing the City. This requires that the governance processes of Council are based upon its understanding of their strategic impact on the vision and priorities of the City. The intent of such processes is to enable the citizens of the City to receive quality services and programs delivered in a responsible manner. This definition begins by describing 'governance' as a process. That is, it requires ongoing attention and is not a one-time project wherein a manual of written policies is adopted. Rather, this process presumes that governance matters will regularly surface and that the governing body is the body which has the final authority to set governance direction. The definition also speaks of 'Leadership'. White this word has many connotations, it generally denotes direction and authority. In the context of a local government Council has the assigned authority to set forth where it is that the organization (and the community) is going and how it will proceed. This direction, i n the context of good governance, is provided by Council through its establishment of vision and priorities as well as a clear policy framework. Finally, there is the matter of monitoring the organization's sustainability. The governing body (Council) must understand both how to monitor and what to monitor. This is a critical aspect of governance but one often overlooked until problems arise. Too often, the terms "monitoring" and "oversight" are interpreted by elected officials as permission to delve into the minutiae of the administration. This is inappropriate as it blurs the tines of distinction between the two arms of the organization and encourages both elected and appointed officials to misunderstand or misrepresent their respective roles. System Evaluation @A Background Report on Governance 2 George B. Cuff&Associates Ltd. One of the key principles of good governance is that of ongoing evaluation. As the primary governing body, Council has an obligation to assess the performance of the City Manager. This evaluation needs to be planned and pursued throughout the course of the year so as to ensure that both Council and the City Manager (as its chief advisor and operating officer) are aware of the concerns of each other and the importance of dealing with those concerns on a proactive basis. There is also a need for the Council to engage in a process of self-examination. Such a process of self-examination should address the basic elements of Council's own role (including its vision and annual objectives) and could be an effective means of serving as Council's "report card" to the public. If conducted in an open and transparent manner, this mechanism may also be useful in seeking public feedback. Some Keys to Understanding Governance Governance is not a simple matter. It is decidedly different than other roles that Council members may have had prior to becoming elected to City Council and thus the learning curve for most will generally be quite steep. Whereas the experience of most members of a Council stems from their involvement as a community volunteer, or as a staff member of another organization/business, or as an owner of a small business or as a sole practitioner, the business of governance is substantially different. Governance relies upon teamwork at the highest possible levels. As the elected leaders of the City, a Council's focus is more on future direction than day-to-day business; on policy rather than processes/regulation; on leadership rather than management. It is our view that: 4."- Governance is distinct and can be learned This role is considerably different than that of management and it would be a mistake to presume otherwise. Governance refers to the setting of direction, the leading of an organization, establishing the vision and the policy-making authority that is accorded to the elected Council. -*.- Governance is carried out by the elected leaders of the City While there will obviously be considerable focus placed on those hired to manage any corporate body, governance is an equally critical and essential function. In terms of local government the onus is placed on the elected Leaders to govern while those appointed are engaged in the equally important yet vastly different process of management. -.*- Good governance requires a clear vision One of the keys to any Council functioning effectively is the development by Council of a clear sense of what it sees as the vision of the City. Such a vision includes the identification by Council of its goals, objectives and priorities. These are not simply a List of preferred projects of management. Nor are these @A Background Report on Governance 3 George B. Cuff& Associates Ltd. instruments of future direction effective if they do not reflect the values and future perspective of the current Council. Rather, one of the basics of good governance is the notion that this Council will be the primary "author" of its statement of vision and priorities. This Council needs to articulate what it wants to see either addressed or accomplished in the current term. ��• Good governance relies on respect and confidence in the Council-City Manager relationship Respect and trust in the Council-City Manager relationship are fundamental to the organization moving forward in a confident manner. As the City Council's chief officer, the City Manager needs to be assured of Council's support for the Manager's commitment to providing apolitical advice and ethical management. The role and performance of the City Manager is also critical to the confidence of the Council and the community. Because so much of what a Council does must flow through the City Manager and because the flow of advice to a Council comes by way of the City Manager, it is critical that Council members have a high degree of confidence in this person. Council's confidence in the City Manager is also important to the confidence of the administration in their leader and in their ability to perform up to Council's expectations. •:- The Object of Council's Focus A reality that confronts every Council is the fact that the legislation and practice of good governance underlines the notion that a Council is not expected to be an extension of the administration. Rather, Council needs to place its focus on two central dimensions: externally (the public) and internally (governance). These two dimensions of the "Governance Agenda" include: community well- being which speaks to the issue of "How do we as the governing body add to the current quality of our community?" and good governance which speaks to the question of "How do we as the governing body ensure that we act in such a way as to improve the quality of governance we practice?" Both of these dimensions require a strategic focus: these are not the minutiae of administration but, rather, the focal point of leadership. The Critical Importance of "Tone at the Top" The Mayor and Councillors set the tone for the entire organization from a policy perspective. Thus, how Council functions as a corporate body has a significant impact on the public's assessment of the City's a dministration. There is little doubt that the degree to which the administration is focused on the priorities of the public will be impacted by the ability of the Council to identify such priorities and commit them to the business planning process. Proactive Councils are willing to consider how they do business. Such Councils are willing to explore new ways of governing and providing effective leadership. Such Councils recognize that it is their responsibility to assess OA Background Report on Governance 4 George B. Cuff&Associates Ltd. governance functions and determine what improvements may be required. (This Report is one outcome of such an assessment). ®.® Significance of Unified Leadership It is critically important that collegiality and respect between the Chief Elected Official Et the City Manager (Chief Administrative Officer) underlines their relationship. These two people work very closely together in discussing the ongoing direction of the City and thus their relationship needs to be based on trust, respect for professionalism and respect for commitments. The willingness of Council to show its respect for the professionalism and independence of senior management is important in that this will greatly assist in minimizing any interference in the day-to-day operations of the City. Importance of Strategic Agenda The role of a Council is not that of detailed strategic planning. It is, however, establishing the vision and the community's sense of priorities. Council's focus needs to be on planned priority-setting linked to a results orientation. In other words, "what is it we wanted to accomplish and how will we know whether or not we are making any real progress on the big issues facing our community?" Council's priorities need to be the focus of both Council and the organization. If both parties adhere to the belief that Council has been elected to govern, then both must also be committed to finding ways that ensure Council's priorities are at the core of the administration's annual business plan. Council can assist in placing the public's focus on its priorities by ensuring that these are spoken to and accounted for in its annual report (which may not be Legislatively required) to the public. Such a Report which clearly ,links the strategic planning process to outcomesfaction can be extremely useful in keeping the public informed relative to the outcomes of Council's commitments during an election as well as a mechanism for highlighting future objectives. This process needs to be not only communicated to all of the community (including affected groups/agencies) but in such a manner that those who read the materials provided can understand the meaning and consequence of what Council and its administration have been doing. ®:® Council's Communication Council's communication needs to be recognized as a two-way flow, with concerns/advice flowing in and information/decisions flowing out. Whereas many communities across Canada have become somewhat more proficient in determining mechanisms for the public's voices to be heard by giving them forums into the decision-making process, considerably less emphasis has been accorded how Council's messages are communicated out to the public. Communication to the whole community needs to be emphasized. While it is the role of the media to communicate what it sees as the "news", it is a rote of Council to ensure that the community also hears from its elected leaders relative to perceived challenges and accomplishments. ©A Background Report on Governance 5 George B. Cuff&Associates Ltd. 4- Role Clarity Critical Effective municipalities recognize the importance of , role clarity. They understand that the role of Council is very different from that of management. Training and encouragement is provided to the Council in terms of pursuing its rote, and the distinctiveness of Council's rote is celebrated. Management is not what a Council does. Management responsibilities are delegated to the CAO (City Manager). Council needs to focus on: public communication/engagement, policy issues, emerging community issues, relationship building, key community projects and so on: in effect, the key elements of good governance. -*.- The Ethical Bar: It Begins with Council/City Manager Council must understand that it helps to set the ethical bar by how it behaves and functions in its own rote. Council needs clear parameters with respect to what behaviour is acceptable and fits within Council's "code of conduct". Council can empower a committee of Council with some of the responsibility to oversee the proper fulfillment of its roles. A Governance/Audit Committee with the appropriate terms of reference can be of significant assistance in helping to define the parameters of Council's behaviour and how it is to monitor its performance. The importance of the external auditor cannot be over-stated in this regard, given the role an auditor can play in assessing how well Council is fulfilling its fiduciary responsibilities. Someone holding the position of Mayor or Councillor may be in the most powerful position he/she has ever held. This rote is property noted as "servant leadership" because a member of Council's main function is to serve the citizens of the City. It is important for every member of Council to ensure he/she strikes a reasonable balance between the demands of the office and that of their home/family and career. It is always wise to remember: the current role is replaceable; one's family is not. Good governance results in: The impacts of a City Council seeking to provide "good governance" to its residents and the civic administration are numerous. These include: • Focus placed on the governing body's right and obligation to Lead; that is, the primacy of the Council is respected • Confidence in how business is done; citizens can observe a Council that has good processes in place, is proactive and not overly reactive, listens to citizen requests but does not over-respond by making untenable or illegal commitments • A sense of confidence in outcomes; that is, Council is assured that its administration is carrying out the will of Council as evidenced in the Council's decisions and the administration's responsiveness • Ongoing dialogue with constituents; that is, mechanisms are developed which enable citizens to become involved @A Background Report on Governance 6 George B. Cuff & Associates Ltd. • Involvement of key advisors; that is, Council is respectful in asking for advice from its senor management and respects the apolitical nature of their administration • Oversight to critical functions; that is, Council is expected to question how the City is doing on various key indices (e.g. financial health, policy implementation, engagement of the Province and Region, etc). Hallmarks of Effective Governance The hallmarks of effective governance include the following components: -*.- A learning environment: • All Council members understand that there is a Lot more to Learn regardless of length of time on Council. -*-- A servant mindset: • While elected officials are expected to be leaders of the City, they are also expected to act as servants of the people. 4'- Respect for the views of others: • While issues can and will be challenged, what is cherished is the person's right to hold opposing opinions. -.*- Challenge ideas: • A Council needs to be prepared to challenge ideas (of each other and those of their administration). 4o, Focused agenda: • The agenda is not only the package of materials placed before members of Council every two weeks but also refers to the key priorities established by Council during its public planning retreats. -*.- Members prepared: • The business of the City requires that members of City Council come to the table prepared through reading their agenda package and any other background materials made available. -.1- Respect for the role of others: • Willingness to delegate based on clear accountability is a hallmark of a Council that respects the rote of the City Manager and his/her administration. It also shows that Councillors are confident in the ability of their administration to get the job done without interference. -*.- The beauty of "dumb questions": • Every member of Council at one time or another may feel that the question they would really like to ask may sound dumb to their colleagues. Regardless, it is our experience that often those questions are the ones @A Background Report on Governance 7 George B. Cuff& Associates Ltd. which everyone has thought of and wants to see asked and may be the very questions which really do shed light on the situation. ❖ Oversight rote of governors respected: • Similar to the need for the elected officials to be supportive of their staff and in particular the City Manager, is the need for the administration to show respect for the difficult and challenging role played by the Council members. ❖ Decision-making: • In order for decisions to be sound, they need to be made as a result of a thorough process. Governance speaks to the type of processes used by a Council to make such decisions and where those processes are sound, they are much more likely to be defensible. ❖ Focus on the community: • While Council members will hear the opinions of many people in the community and from some very articulate spokespersons, it is up to Council to seek to reflect in its decisions the will of the community as a majority. The needs of the full City need to be viewed as more important than those of any vested interest group. ❖ Personal integrity: • While adherence to a Code of Conduct is to be sought, the onus is still on each elected official to continually examine each action and decision and ensure that there is no breach of personal ethics. •®• Vision casting: • The Council in their role as policy-makers set the vision for the City. This is an obligation of each Council that it not only identifies the vision and values of the City but also the key annual and three year priorities. Governance Landmines It is our view that governance suffers when... • Council misunderstands its primary role • Council is drawn into the details but lacks focus on the larger picture • Governance processes are out-dated or cumbersome • The Procedural Bylaw is unnecessarily complex • Agenda issues lack governance focus • Council governance processes not reviewed • No attempt is made to work as a unit • Petty personal difference overwhelm public commitment • Council decisions are made in advance of a Council meeting • Decisions are voted on based on who is in support and not ©A Background Report on Governance 8 George B. Cuff&Associates Ltd. ® Council members attempt to draw staff onto "their" side. Elements of a Governance System What are the elements of an effective governance system? How can a Council best provide the leadership necessary to govern this City and its multiplicity of demands? What governance structures and systems need to be in place that affords Council with the best opportunity to exercise its role effectively? While there are likely a number of alternate responses to the foregoing questions, there are also a number of basics that seem to define "good governance" from a Local government perspective. These basics include: Orientation Process The Council is fully briefed at the outset of any new term as to its powers and expectations. A comprehensive orientation process is made available to all members of Council as soon as possible (i.e. days) after Council has been sworn in. Principles of Governance Council takes the time to outline its guiding principles which will thereafter guide its decision-making processes. These principles are recognized as this Council's and thus must be discussed and revised or developed as necessary to meet the requirements of each successive Council. Role Definition and Clarity The respective roles of the Mayor, Councillors, the City Manager and senior managers will be fully explained at the outset of a new term of office for Council members. A core feature of the orientation process will incorporate a clear definition of roles. Decision-Making Components Governance is all about how a governing body makes decisions; the importance of a step-by-step process and the role of advisory committees cannot be overstated. Council members will have a solid grasp of the mechanisms it utilizes in its governance functions. These will be reviewed immediately after each municipal election. Agenda Development and Issues Leadership Effective governance relies upon a systematic and reliable approach to decision-making. This relies upon the outcome of the combined processes of Council and management as issues are raised and decisions are made. The Council agenda is viewed as Council's agenda and therefore the input of Council is sought. Strategic Business Planning OA Background Report on Governance 9 George B. Cuff&Associates Ltd. Council takes the time to establish its goals at the outset of every term so that its thinking and plans guide the direction of the City. Defined Roles of ABCs The terms of reference of special purpose bodies (known as ABCs-agencies, boards and committees) and their relationship to Council is fully defined in writing, explained and understood by all parties. Advisory Role of Administration The advisory role of the City Manager and his/her administration is clear, comprehensive and fully respected. The apolitical nature of the administration is respected and political interference is not tolerated. The City Manager is respected as the quality control sign off on all issues placed before Council for discussion/resolution. Accountability The accountability of the City Manager is made clear to all members of Council and is viewed as Council's only employee; any attempt by Councillors to step past the City Manager without his/her approval is met with administrative solidarity behind the City Manager and is supported by all of Council. Access to the administration through the City Manager and department heads is clearly outlined and respected. Policy and Procedural Framework Council reviews current, key policies on a proactive and step-by-step basis. Council expects the administration to place before it the current policy context of any issue and thus frames the matter based on a policy framework. The procedural bylaw is reviewed and adapted to the preferred governance style of this Council. Role Statements for the Key Players Role of the Mayor The Mayor is recognized in legislation as the chief elected official of the municipality. This position is an important one to single out because of the significant influence the person holding this position can exercise. The Mayor has considerable power, albeit largely informal, and can exercise this influence in a positive manner with regard to the conduct of the business of the municipality. This does not ignore the fact that the Mayor has only one vote on all matters and is, in many respects, co-equal with his/her colleagues on Council. Rather, it reflects the fact that the public and media often tend to pay more attention to the Mayor than to others on Council. The Mayor must @A Background Report on Governance 10 George B. Cuff&Associates Ltd. therefore be very prudent in the use of this power and exercise it for the good of the community as a whole. The Mayor should be able to chair meetings of Council without attempting to be the only voice heard at the table. The procedural bylaw should speak to the issue of how/where the Mayor is able to speak to the matter at hand and the Mayor should be careful not to over-extend this privilege. The image of the Mayor as an effective leader is highly dependent on the willingness of the rest of Council to follow the lead of the Mayor and to work together. This does not dispute the right of individual Council members to have independent views on all topics. Rather, this observation reflects the need of Council to receive Leadership from the chair and to respect the right of the Mayor to provide appropriate direction. There is considerable inherent value to the community in the role of the Mayor providing that this rote is clearly understood and the positive thrust of it maximized. Each Mayor will approach the job somewhat differently in terms of their style of Leadership, although there are certain common expectations and duties. Central to the role, however, is the need to recognize its political base and the fact that there is no expectation for the Mayor to be involved in the day-to-day work of the staff. Expected Roles of the Mayor In addition to those responsibilities set out in the legislation, the Mayor's anticipated roles include that of: • Chairperson of Council • Consensus seeker amongst members of Council • Liaison with the City Manager • Advisor to Council • Ex-Officio on various boards and committees • Ceremonial responsibilities • Liaison with other levels of government a) Chairperson of Council This rote is perhaps that which is seen the most frequently by the public and Council alike. Its visibility and importance is enhanced even more so by the presence of the public and also the media at meetings of Council. The Mayor is expected to chair each meeting of Council and ensure that the business of Council is handled expeditiously and effectively. This requires the Mayor to be aware of meeting protocol, the needs of his Council members, the personalities of Councillors, and the issues to be determined at that meeting. @A Background Report on Governance 11 George B. Cuff& Associates Ltd. He needs to be comfortable with the authority and esteem associated with his office. The Mayor needs to be well-briefed by the City Manager with regard to each business matter on the agenda of every Council meeting. The Mayor should understand the basics of the issue; what is expected by the administration; the advantages and disadvantages of each presented optional course of action; those who are most likely to be impacted; and what sort of public participation and/or reaction will be expected. A thorough discussion of these issues should be held between the Mayor and City Manager prior to the meeting itself. b) Consensus Seeker Albeit not particularly well understood, the Mayor is the most logical person to act as the conciliator for all of Council and that person most likely to find any common ground between sometimes polar opposite points of view. The Mayor should attempt to draw the views of her/his colleagues together and to point out a reasonable compromise if one exists. The Mayor needs to retain her/his impartiality on the issues until the issue has been presented to Council and until it is appropriate for the Mayor to voice his/her personal views on the issue. While the Mayor is not expected to compromise her/his principles, most issues contain the potential for agreement providing that people are prepared to see each other's point of view. The difficulty, of course, is convincing everyone that some degree of compromise is needed to reach a reasonable solution. c) Liaison through the City Manager to Staff Although the role of a Mayor is to be the political leader of the Council, it is also often the case that both the Council and administration expects the Mayor to provide a linkage between the legislative and administrative arms of government. In part due to his/her position as leader of Council and in part due to the more frequent presence, the Mayor is expected to be Council's main spokesman to the administration. The Mayor needs to be able to advise the City Manager as to Council's anticipated view of a matter or to clarify a policy position or explain a particular grievance as expressed by Council. The Mayor needs to be careful, however, that his actions do not lead the rest of the organization to conclude that he/she is the administrator. The Mayor like alt members of Council should defer to the City Manager on administrative and operational issues or run the risk of severely damaging and undermining that office. This is one of the reasons why the Mayor needs to be careful in how accessible he/she is to other members of staff other than the City Manager. d) Advisor to Council The Mayor is often expected to be in a position to bring issues and concerns to the attention of his/her colleagues on Council. This derives from the Mayor's ©A Background Report on Governance 12 George B. Cuff & Associates Ltd. increased contact with the public, organizations and other levels of government. As an advisor, there is an implied expectation on behalf of Council that any information to which the Mayor becomes privy will be shared with his/her colleagues on Council as early as is possible and realistic. Otherwise, members of a Council may perceive that important information is being withheld for questionable motives. In some instances, advice from the Mayor may be presented informally while, in other instances, the advice could be shared by way of memorandum and/or remarks at a committee meeting of Council. e) Ex Officio to Boards a nd Committees The Mayor may attend the meetings of various advisory group/agency from time to time based either on an invitation or on the perceived importance of a matter the body is dealing with at that meeting. It needs to be made clear that the Mayor's role is to reflect the views of Council (as they exist in terms of policy, resolutions, bylaws and informal debates/discussions) to the external group/agency. The role of the Mayor must be that of a liaison rather than that of advocate and this should be made apparent to any and all advisory agencies. f) Ceremonial Responsibilities The Mayor is the "face" of Council. That is, the residents of the City presume that the Mayor is speaking for the full Council whenever he/she speaks. When the community is hosting a particularly important social event or significant occasion, the citizens of the City likely expect their Mayor to be the one who speaks and brings the greetings and goodwill of the Council and the community. If the Mayor is not available, then the City needs to ensure that it has a designated roster for replacing the Mayor in such instances. Delegation of this responsibility should be firstly the Deputy (Acting) Mayor and then individual Councillors. g) Liaison with Other Jurisdictions The Mayor is also expected to be the key representative of Council in meetings with other municipalities (unless delegated to another member of Council) and the Provincial and Federal governments. Any liaison on a political level should normally be conducted through the Mayor's office. Discussions on an administrative level should, on the other hand, be carried out by the City Manager. Where meetings are planned with the political leaders of other levels of government, it would be preferable for the Mayor to ask another member of Council to attend as well as the City Manager (where that is acceptable to the other party). This ensures that the Mayor has witnesses to her/his message as well as to the commitments of the other levels pf government. ©A Background Report on Governance 13 George B. Cuff & Associates Ltd. h) Implied Power The vast majority of the power of the Mayor's office is more implied than it is stated. That is, the office of the Mayor carries with it considerable perceived clout in the City given the status and respect which most people accord to that office. While it may not have much additional formal power than that of any other member of Council, the Mayor is expected to be the leader of the City and to be capable of taking charge of the issues. Due to the prominence of the office, the Mayor may often be briefed on issues prior to the rest of Council. Such a briefing will generally come via the City Manager (and other senior staff) and in some instances by virtue of the Mayor's greater degree of access to other provincial officials and even the public. This additional access to information places the Mayor under some obligation to ensure that the rest of Council receives a full briefing of such issues so that they are cognizant of all the relevant concerns and potential remedies. It is not wise for the Mayor to ever withhold such information if he/she expects his/her Council to want to work together under her leadership. Thus, the Mayor and the City Manager will need to establish a mechanism that ensures that all members of Council are equally and concurrently advised of the issues as they develop. With regard to the appointment of Council members to boards and committees, it is normally deemed to be a prerogative of the Mayor to recommend the appointment of Council members on an annual basis. This prerogative needs to be accompanied by a commitment by the Mayor to consult with all members of Council prior to any recommended appointments being placed before the full Council. This can be perceived as a fairly significant and sometimes an emotionally charged issue given the desire by Council members to serve on particular boards and organizations with which they have personally some degree of affinity. It is our bias on the other hand that all members of Council should be considered to be generalists on all issues and thus should be eligible for appointment to all boards and committees. In this regard, we believe it is wise for the Mayor and Council members to reconsider this list of appointments each year and ensure that some degree of rotation occurs during the course of a Council term. The Role of Councillors A Broad Range of Duties and Expectations A Council has a broad range of significant responsibilities. These may more generically be defined as follows: • Develop a clear sense of direction, goals and priorities for the City • Determine the needs and wishes of the City's residents and reflect these in the decisions that Council is asked to make ©A Background Report on Governance 14 George B. Cuff &Associates Ltd. • Ensure that there are ample opportunities for the citizens to become involved in the City's business and afford citizens the courtesy of a fair and timely hearing in terms of their concerns • Seek the input and advice of the City Manager as the chief administrative officer of the City and expect that the City Manager will provide reasonable advice based on his training and expertise • Pass bylaws providing for public safety and good government • Provide regular and honest feedback to the City Manager on his/her performance through whatever format the Council feels is relevant to that task • Maintain a close awareness as to the fiscal health of the City and ensure that the administration is exercising due caution in the use and expenditure of City funds; request an assessment from the City's external auditor as to the processes the management follow that bear upon the fiduciary responsibilities of the Council •Make clear, informed and consistent decisions that the Council feels are in line with the expectation of the public for the Council to provide good government. Council as One Unit Each Council is made up of a variety of personalities and individual interests. Councils are not elected on a state or party platform and as a result, come at each issue with often very different perspectives. The key to the success of any Council Lies in its ability to forge a team approach that while it tolerates differences it ensures that each person's views are respected and treated equally. -*.- All Members Equal Regardless of personal views relative to effectiveness, the public believes that it elects "their" Council members as being co-equal to all other members on a Council. The notion of one Councillor being in a superior or more favoured position than another is not a creation of the public nor is this notion discussed at election time. It is true that the Mayor, as chief executive officer (or as chief elected official in some Provinces), has different powers as granted formally by the Act and informally by other means, as we describe herein. That is distinct from the rest of Council and needs to be discussed separately. The remainder of Council, however, is to be viewed as a body where each brings separate personal attributes to the table but where each is a necessary complement of the whole. We have previously described the roles of the Council and indicate that these supplement our understanding of those detailed as requirements of the legislation. What is apparent in our review of the functioning of Councils across Canada is that the effectiveness of a Council is often a reflection of the willingness of each member to participate as an equal representative of the @A Background Report on Governance 15 George B. Cuff &Associates Ltd. public interest. That is, there must be a willingness by each member to view themselves and each of their colleagues as the elected voice and conscience of the public. The election process determined whom the public views as best representing their opinions on how matters should be handled. Every Council could function at a higher level if it fully understood the dynamics of differing interests and strengths. Each member has something to contribute. Each represents a slice of the community. The input of each will be needed in all matters of significance that come before Council for resolution. Role of the City Manager We are also cognizant of the tremendous impact that a chief administrative officer (City Manager) can have on the organization as a whole and on Council's governance functions. The City Manager is Council's "go to" person in terms of placing its plans and policies into action. Our briefing of Council and the City Manager included some comments relative to the role of and impact on an organization by its City Manager. These points included: ® Experienced, educated, professional policy advisor to Council The City Manager is recognized by legislation as the key policy advisor to Council. He is at the apex of the administrative structure and is expected to coordinate the advice of the departments to the decision-making body. He does so as a result of his/her training, expertise and experience both within this system as well as his/her prior experience. Regardless of any interpersonal issues between the City Manager and individual Council members (which may occur from time to time), the City Manager's advice should still be sought and respected. •:® Team leader of the administrative body The City Manager plays a significant role administratively in that he is recognized as the team leader for all the staff and perhaps more specifically for those reporting to him at the senior levet(s). That is, there is an expectation that each department head will act as the leader of their respective functional or sector teams. The City Manager is expected to find the best mechanisms to determine what changes to the structure or functional authority will make the tasks of his/her senior managers flow better and impediments decrease. As team leader, the City Manager also needs to keep an eye on the morale of the administration and ensure ways are found to identify emerging issues and to respond to any roadblocks which might presently be having a negative impact on the organization. ❖ Champion of the administration; mentor There are two allied roles to mention here. The City Manager must be viewed as the champion of the rest of the administrative structure and therefore as someone who would "go to bat" for any and all staff should an issue arise. (This OA Background Report on Governance 16 George B. Cuff &Associates Ltd. perception does not detract from the expectation that he might still be part of the process that disciplines anyone guilty of some infraction that is contrary to policy). The key here is that all staff should have a clear understanding that their boss acts as their buffer. There is also the expectation that the City Manager will be available to act as a mentor to others in the organization. This is an expected role of senior managers in any organization and one which a City Manager can fulfill for at Least his/her direct reports as well as others who would have reason to be frequently in touch with the City Manager. Thus, the City Manager needs to be continually aware of what messages he is sending to others based on his/her handling of both routine as well as difficult situations. -o- Conduit of Council decisions to administration One of the principal tasks of a City Manager is to act as the channel for information to flow upward from the administration to Council and downward from Council to its administration. In both instances, the flow must be allowed to proceed in an effective, responsible manner and it must be sufficiently expedited such that decisions in both instances can be made promptly. Council members presume that their decisions will reach the desk of those charged with the implementation the very next day. It is incumbent upon the City Manager to determine the best strategy to make that happen. While the actual tasks may fall to another member of the administration, the accountability for ensuring that reasonable actions promptly follow Council's decisions still resides with the City Manager. -:- Approval authority for administrative actions The City Manager is charged with getting the job done within the policies of Council, the approved budget of Council, the provisions of the legislation and the parameters of the City Manager bylaw. The authority granted the City Manager by legislation enables administrative decisions to be made and carried out with the recognition that such actions are prior approved by the powers conveyed to the City Manager by bylaw. This bylaw (together with the employment contract) needs to be reviewed on an annual basis by Council during the performance review of the City Manager in order to ensure that all members of Council are aware of and comfortable with the aspects of the City's business being delegated to the City Manager. Implementer of Council decisions Once Council has determined its course of action on any decision, it is up to the City Manager to ensure that such decisions are implemented quickly and effectively. Much of this responsibility may be delegated to others in the organization based on the nature of the decision. However, the accountability for getting action taken in accordance with Council's guidance remains a priority responsibility of the City Manager. The only time there might be a delay in the process of moving Council decisions from motion to action that ©A Background Report on Governance 17 George B. Cuff& Associates Ltd. ought to be considered permissible is if the City Manager finds that the action contemplated is contrary to independent legal counsel, based on an interpretation of the legislation. It is important that the City Manager make use of whatever tracking system the City has developed as a means of following up the disposition of Council's decisions. It is our view that such a mechanism is very useful in providing some assurance that Council's will is being acted upon by the City Manager in a prompt and respectful manner. ®:® Quality control of advice up and action down A further principal role of a City Manager lies in his/her responsibility to ensure that the information being put before Council is sound and reflects the best advice that the administration can assemble on the topic. Council members rely on this principle. While the report to Council may originate from this department or that, the onus for ensuring that the report is clearly written, sound and comprehensive and identifies all of the relevant information that a Council will require to make an informed decision rests with the City Manager. Similarly, the City Manager is accountable for ensuring that any actions taken as a result of Council's decisions are done so in the appropriate spirit and context of the Council's decision. ®:® Partnership builder; liaison to administrative colleagues It is important for the City to be connected in a regional network with those with whom it may do business or may need the support of in an approach, for example, to another level of government. One of the key aspects of a City Manager's position in a City is the formation of such linkages which may not only serve to further the City's position at some point in the future but which help to position the City as leader amongst its regional allies. While the Mayor has a similar obligation on a political basis, the City Manager can be instrumental to future City successes through cultivating and nurturing such friendships on an administrative level. ®:® Impact of the Style of the City Manager We have written extensively with regard to the impact that those at the top of any organization have on how the rest of the organization function. This "tone at the top" is expressed in many ways including: style of management meetings, degree of camaraderie in the office, personal regard for each other, degree of respect in communication with the City Manager, degree of informality in contacts with the City Manager, flow of information (such that routine issues are dealt with routinely whereas everyone understands that the City Manager expects to see issues of significance quickly and with an action plan of resolution attached). The style of the City Manager impacts the openness that staff members feel in providing feedback and input in terms of how the organization is functioning and in terms of what they see as the strengths and weaknesses of the present administration. While most employees are normally reticent to express any ©A Background Report on Governance 18 George B. Cuff & Associates Ltd. criticisms regarding their boss, the degree to which they do will inevitably be impacted by the openness they feet within the organization. The style of the City Manager also impacts the perception by Council relative to the speed with which their issues and decisions are implemented. If the administration is perceived as distant from Council, then there is Likely to be some suspicion that administrative issues will take precedence over those raised by Council. Where there is a healthy degree of respect being shown to the political process and the concerns expressed by Council, the Latter will be far more Likely to sense that their administration is quick to respond on Council's requests and to give such issues an elevated status. White the community is best served in our view where there is a strong, cohesive Council with an articulate and forceful personality as Mayor combined with an equally strong and committed City Manager, one of the keys to appropriate rote recognition and respect is the ability of the administration to always defer to the Council on issues that Lie beyond their scope of authority. The Rote of Management Management has a variety of key roles to play in any governance system, not the Least of which is an advisory role in developing the issues that go to Council (or a committee of Council). It is expected that the City Manager and senior management will: • Seek to advise Council on the best ways to make their system of governance work for Council so as to enhance Council's decision-making • Ensure that any report to Council is complete, accurate, policy-focused and reflective of clear policy choices • Identify the strategic issues of consequence for Council and, where possible, frame issues within the context of Council's approved strategic initiatives • Add value to any Council discussion through clarifying issues and ensuring that the focus stays on the broader policy-oriented issues • Refrain from being drawn into a purely political response to any issue but, rather, to respond based on what makes the most sense from an administrative point of view • Ensure that any agenda matters that are being referred to Council are not within the administration's authority to approve • Ensure that all members of Council are treated equitably and fairly • Move quickly towards the implementation of any Council decision • Report back to Council on the implementation of key issues so as to "close the Loop" in the reporting process It is our view that the senior management of the City can play a more strategic rote in its advice to Council. Council needs first rate advice on the key issues as @A Background Report on Governance 19 George B. Cuff & Associates Ltd. well as proactive strategic insights into what the administration views as the possible governance context of such matters. This necessitates a senior management team (SMT) which is prepared to learn afresh how they can add value to the Council's role of leading the City. It also requires people whose individual and collective egos are comfortable in acting as subservient to those whom the electors have chosen as their elected leaders. Led by the City Manager, the SMT will need to use its time together wisely in assessing the significant issues of the day; reviewing the reports of each other's departments; ensuring that the cross-departmental issues are being well- managed and integrated; outlining the possible consequences of each new initiative; encouraging each other as colleagues; ensuring that City systems (e.g. human resources policies/processes) are respected by all departments; ensuring that business unit plans are being developed and evaluated; and so on. Such issues should fall into the following categories: • Proposed new policies • Revisions to existing policies • Matters evolving which are of deemed significance to Council • Referred matters from Council • Status variance reports to the budget; business planning issues • Monthly and quarterly financial statements/updates • Independent reports from the external auditor • Capital projects status reports • Statutory referrals • City system wide process issues. The City Manager, with the assistance of the SMT, will be responsible for reviewing these matters before placing them (as applicable to Council) on a draft agenda for review. In order to ensure that the system works as intended, the presence of an effective SMT is essential. The SMT should be expected to provide advice to the City Manager on key aspects of the organization but particularly on issues which cross departmental Lines. The SMT will be a central player in the decision-making process by assisting the City Manager in vetting key reports to Council and ensuring that these reports cover all aspects of the issue under review. The SMT would also be instrumental in ensuring that only Council level issues go forward with any issues of a routine nature being referred back to departments for decisions at that level. Thus, the number and type of items on Council agendas would be focused on policy matters or essential items (i.e. those which require Council decision). OA Background Report on Governance 20 George B. Cuff&Associates Ltd. Committee Charters The following principles ought to govern the functioning of all City-appointed agencies, boards and committees (ABCs): Principle # 1: Clear expectations Any ABC should be established with clear expectations in mind; this principle addresses the questions: why do we have it? What do we hope to achieve by establishing this ABC or by appointing one or more of our members to it? Principle # 2: Terms of reference Any ABC should be established with clear terms of reference (what is it to do?) What areas of inquiry do we expect this body to pursue? What will be its mandate? These statements should be broad so as to provide each committee with sufficient scope but yet not that which overlaps with any other committee. Principle # 3: Established tenure Any ABC should be established with a clearly established tenure; this principle requires the governing body to think through the life expectancy of the committee. Does this ABC have a specified end date (i.e. a sunset clause)? Is that established by a date imposed now or by when the body has completed its assigned task? Or is the body expected to be ongoing e.g. reviewing impacts of decisions on the natural environment? Principle # 4: Reporting structure Each ABC should be designated with a clear reporting structure. How is this ABC to report in to the Council? Will that be via its minutes circulated to the Council on a monthly basis? Or will the Chair of the ABC be expected to meet with the Council on a quarterly basis? Who will be responsible for ensuring that the minutes or "requests for decision" are filed with the Council? Principle # 5: Use of staff resources Whether or not the ABC is to have a staff member assigned to it by the Council should be determined at the outset. The rote of the staff resource needs to be clearly defined at the outset. The role should be either as a recording secretary or as a staff advisor. The ABC should not have the authority to direct the staff member; that is the prerogative of the City Manager and responsible department head. Principle # 6: Access to funding It should be made clear as to what financial resources the City will make available to any ABC; will it have an established budget? If so, what assistance/services are expected of it? How will the funding be determined? Is ©A Background Report on Governance 21 George B. Cuff&Associates Ltd. that to be area specific or the City as a whole? Who makes the application for funding? Is a meeting in front of the Council required? Principle # 7: Power to decide or advise Any ABC will either be asked to act as an advisory agency or will be vested with decision-making authority (if so required by legislation or bylaw). Such authority need to be clearly specified at the outset. Principle # B: Contact with the Media Will this ABC be expected to have a high profile in the community and will that be achieved by virtue of unfettered access to the media? Who will have the authority to speak on behalf of the ABC? Will it be able to comment on issues which have yet to be considered by Council? Is there to be one or multiple spokespersons? Principle # 9: Role of Council Representative What is the expected role(s) of the representative appointed to this ABC by the Council? Is the representative to be an advocate or a liaison? If an advocate then what is the role of the Chair of the ABC? If a liaison, then how will the representative report back to the Council? How frequently? Will the chair be expected to be in attendance at meetings of the Council whenever one of its items is on the table? Principle # 10: Chairmanship Who has the authority to appoint the chair? Is that to be done by the members of the ABC themselves or is that the prerogative of the Council? How often will the Chair role be reviewed in terms of rotation? Who will make that call? What powers will the chair have? Who makes that decision? Principle # 11: Membership and Rotation How frequently will the membership of the ABC be rotated? Who decides? Who will handle the request for applications for new members and the interviewing of prospective candidates? Will the Council representation be regularly rotated? Is that the call of the Mayor or full Council? Principle # 12: Public Meetings vs. In Camera Are the meetings of the ABC to be held in camera or in the eye of the public? Are there certain matters on which the ABC can move their business in camera? Who decides? (These matters need to be addressed within the context of the prevailing legislation). Principle # 13: Selection of Members Depending on the nature of the ABC, the Council may have considerable flexibility in terms of who is selected to serve on these bodies. An initial question should be: are we looking to establish a layperson body or an expert ©A Background Report on Governance 22 George B. Cuff&Associates Ltd. body? Based on that judgment, members could be identified through an advertisement or through careful pre-screening and recruitment to such a body. The key will be to not establish any body who sees as its aim the undermining of the advice being provided by the administration to Council. Principle # 14: Appointment of Members Depending on the nature of the ABC, the Council may have considerable flexibility in terms of who is appointed to serve on these bodies An initial question should be: is this to be a layperson body or an expert body? Based on that judgment, members could be chosen through an advertisement or through careful pre-screening and recruitment to such a body. Any appointment process should involve pre-screening by the Clerk to the Council followed by interviews by a select panel of Council members Such a panel would be assigned authority to recommend to the full Council the appointment of the best qualified and most suitable individuals Principle # 15: Technical Advisory Committees The City Manager might see the need to establish certain "technical advisory committees" to assist in identifying solutions to complex and perhaps technical matters. Such committees will be established under the authority of the City Manager and will be deemed to be advisory to the City Manager. Such committees may consist of a cross-section of members from experts chosen from the City and/or region, and/or from the staff of the City; in most instances it is acknowledged that a cross-section of both would add more Lasting value to the City. The City Manager will have sole authority in determining if the Technical Committee should be asked to make a presentation to the Council. Meetings of Council Meetings of Council provide the forum for where issues are discussed and decisions made. They represent the Last steps in the decision-making process and conclude a process that began when an issue was surfaced which needed resolution. Many issues can be resolved by the administration. The City Manager is expected to have sufficient authority to handle issues that are within Council policies and ensure that these are discharged according to the parameters established by those policies. Meetings of City Council are intended to not only enable Council to "get its business done" but also to provide the public with an opportunity to view the process and participate where desired or possible (this needs to be done within the context of the prevailing Legislation). Regardless of the activities and actions leading up to regular meetings, the gathering together of Council members to debate the merit of issues and then to decide their resolution is essential to the good government of the City. @A Background Report on Governance 23 George B. Cuff &Associates Ltd. Such meetings are important in also establishing the style of a Council and its willingness to be held to account by its citizens. it is up to every Council to determine how frequently it will meet and whether or not those meetings or portions thereof are open to or closed to the public. (The legislation needs to be closely followed in terms of whether or not the Council should be considering certain matters in camera). Meetings of Council are to be properly advertised and are to follow the procedures established by Council in its Council (Procedural) Bylaw. They are to follow a certain order so as to permit the business to be conducted but in such a manner as to afford the citizenry the opportunity to view the process and where appropriate provide input. If Council meetings are to be effective, they must contain certain key elements. These include: • Defined rules of conduct (what is appropriate and acceptable as conduct amongst members and between members of Council, the public and the administration) • An order to the agenda (when do issues get heard; what time will be allocated; when does Council hear delegations, etc) • Delegations (who may speak; what time is allocated; how many spokespersons are allowed; what question and answer session follows; when will a decision be made) • Committee inputs (what flow of information will Council receive from Committees; when is that information to be received; who speaks to the issues provided by the Committees; is there chair invited to speak; how is the committee notified or thanked for their input) • Council reflection (what time is set aside for Council members to discuss the key issues and to reflect on the viable options) • Administrative role (what role do members of the staff play at Council meetings; do members of staff speak directly to Council, or does the department head, or does the City Manager; how does the City Manager ensure that staff do not appear disjointed or arguing their case to each other) Each city establishes a series of decision-making processes that enable the members of Council to fully grasp the issues under review, their policy and budget consequences and their potential impact on the public. The Council meeting is simply the forum for where the decision is finally considered and either approved or denied (or, from time to time, referred back to the administration for additional research on some outstanding question(s). In many municipalities though not all, the best opportunity for debate and discussion occurs at the committee level. Council members are appointed to serve on various committees that are assigned a particular mandate that OA Background Report on Governance 24 George B. Cuff&Associates Ltd. Council feels will best enable it to receive the additional judgment and thoughtful consideration of its members. Committees often represent the best and the worst of Local government decision processes. That is, depending upon the Council's understanding of the mandate of a committee, its members may feet that they have power over all members of Council and that whatever they determine will unlikely be open to challenge from other members of Council. A comfortable quid pro quo develops such that the members of one committee are deferred to on matters within their mandate in exchange for the same respect from members of other committees. This is not what is intended by the legislation nor is it in the best interests of the citizens. Rather, the intent of the committee should be to ensure that the governance concerns of the Council have been identified and considered such that the committee's report to Council can identify those and become a part of what all members of Council consider before endorsing the report. Otherwise, its members may not deal with the business of Council as a whole, but, rather, by a small segment of Council members who may find themselves Led to certain conclusions by either the staff who are attached to serve the committee or by the public who attend such meetings. Effective committee meetings reflect: • An openness to debate and to other points of view • A respect for those presenting reports, whether they be members of the administration or members of the public • Administrative reports that have been considered by the office of the City Manager prior to being circulated to members of the committee for discussion so that the administrative recommendations are subject to a high Level scrutiny and quality control • Adherence to the procedural bylaw and etiquette (for Council committees) that ensures that the meetings are conducted in a manner that is sensitive to the opinions of others and away from any personal attacks or demeaning commentary • A relaxed approach to the rules of discussion in committee so the members are free to discuss policy options, seek the opinion of others without declaring a political position, and think through what others are saying while resisting the urge to jump into the fray as though the matter was being discussed for the last time. Effective Council meetings reflect: • Adherence to the procedural bylaw and agreed upon rules of engagement • Decorum in voicing matters of dispute • Respect for the right of others to disagree • Respect for the Chair @A Background Report on Governance 25 George B. Cuff&Associates Ltd. • Important matters dealt with early on • Public input respected and focused • Council questions to administration always directed through the City Manager; administrative comments to Council through the City Manager • Emphasis on issue resolution and not grandstanding/media attention • A willingness to refer when it is apparent that there are more questions than answers • A reluctance to refer when the primary aim is to avoid making a decision. Public Involvement Council chambers across Canada are noted by one striking similarity: very few members of the public in attendance. While that can change in a moment, often because of public outrage over a pending decision, in the main the chambers are relatively silent except for the voices of Council members and that of the administration. The public believes that the members they have selected and elected to office will do their very best and attempt to reflect what they believe to be the will of the majority. They do not see the need to watch every decision being made but can be encouraged to attend where the decision is particularly important or likely to be controversial. Members of the public should be assured that they are welcome to attend meetings of Council and participate in Council decisions. Meeting dates and times should be well-advertised; minutes should be posted very quickly on the City's website; opportunities for presenting petitions or letters of interest to Council should be clearly identified. The City should be doing all it can to get that message out by whatever means appears to work the best. That might require posting upcoming agendas and background reports on the City's website. It may mean sending out notices on utility bills or as a quarterly newsletter to alt City residents highlighting current decisions and upcoming issues. It will likely mean posting notices through the neighbourhood associations and service clubs as well as through any other legitimate source of communication to a body of people. An effective and balanced approach to public participation would reflect: • Agenda materials made available at the door of the Council Chambers and/or on the internet a day or so in advance of any Council or committee meeting • Open and properly advertised committee meetings that enable the public to make representation on matters on the agenda • Council protocols that advise the public how their input will be received; how tong they have to speak on any given item; whether or not their input can be received both at the committee level as well as at Council meetings OA Background Report on Governance 26 George B. Cuff &Associates Ltd. • Respect for those attending meetings and attentiveness to their presentations • Response by the Mayor as Council meeting chair as to when the public might expect Council to formally debate the issue of concern (and for which they have made representation) • Involvement in committees, boards, commissions and task forces established to garner public response and input to matters of ongoing concern; public comments by the Mayor and Councillors expressing appreciation for their input. The public has a right to be included in the Council's decision-making processes. While this right should be balanced with the responsibility of a Council to act on behalf of all citizens, planned public input is nonetheless fundamental to good governance. @A Background Report on Governance 27 How to Manual Po/icy Development O Geor4e B. Cuff& Associates Ltd. Management Consultants THE FOLLOWING ISAN EXCERPT FROM THE ORIGINAL DOCUMENT 5.0 Characteristics of Policies While the following characteristics are not necessarily associated with each and every policy, they are useful in providing the reader with a broad description of what distinguishes policies from other forms of decision-making. The following are seen as some of the attributes of policies which serve to distinguish policies from other useful management tools. �> GENERAL GUIDELINES Policies, for the most part, are intended to set out general guidelines to those who implement policies rather than detailed prescriptive statements. That is, policies are expected to be fairly broad in their nature rather than providing a detailed roadmap on how something is to be done. As we will note later in this manual, the detailed directives are contained in the form of operating regulations or, in other words, procedures. FUTURE ORIENTATION Policy statements are written to deal not only with what is currently happening, but with an eye to the future. Thus, policies must anticipate changing conditions and must be sufficiently broad so that such changes can be covered within the existing guidelines. DISCRETIONARY Policies will often provide some degree of discretion within their interpretation to allow for some flexibility by those who administer policies. That is, often policy making anticipates that senior staff will still be allowed some degree of discretion in deciding how to impose a particular policy. Thus, the interpretation and enforcement of policies can be purposefully flexible, ��- BASED ON PRINCIPLES Policy statements embody a reflection of what the leaders of the organization believe to be right, just, good, and "ought to be". Policies represent the values and principles which reflect the orientation of those charged with approving policies. ACTION ORIENTED Policy statements are a reflection of action. That is, rather than merely establishing goals for the organization, policies speak to the matter of what will be done now and in the future. In part, for that reason, policies operationalize goals and objectives. LIMITS While policy statements may be broad and flexible depending upon the subject matter being dealt with, policy statements also establish boundaries or limits. Policies are meant to provide a clear indication of the direction preferred by the leaders of the organization. For that reason, policies provide the boundaries of what is approved in comparison to that which is clearly not in the best interest of the organization. � DYNAMIC Policies are not intended to remain static within an organization, but, rather, are open to change on a continual ongoing basis. Policies may be amended from time to time based on good evidence that the current policy does not address fully all of the issues or that current conditions have changed. As well, policies may be waived from time to time depending upon the nature of the request. It is certain that your policy manual should be reviewed in its entirety at least once every one to two years to ensure that existing policies are indeed current. '1-1 RECONCILE CONFLICT Policy statements, when open to the public, provide the local citizens with a clear indication of the existing Council policy and, as a result, may provide some justification for the decisions currently being undertaken. Due to the manner in which they are prepared, policies will provide a useful reference point for all parties entering into the discussion around a particular policy. As well, policies can be useful in reconciling conflict by being seen as equally fair to all people and in all situations. �- ESTABLISHED BY COUNCIL AS POLICY MAKERS A key consideration in the establishment of policies is the need to address the particular roles of each part of the community. While we go into this particular topic in greater depth later, it is evident that policies are intended to be established by Council as the policy maker. Thus, while most policies will be drafted by senior staff and will be reviewed by them for error in content, they will be approved formally by Council. Policies should be presented to Council at a Council meeting or a committee meeting for active discussion leading up to the approval of the policy. It may well be, for instance, that Council refers the particular policy back to the administration or to a committee of Council for further review prior to establishing a clear cut policy on the matter. END OF EXCERPT Preparl' ng Councl' ls for The'Ir Work full he legitimacy of an individual council member's power comes directly from the electorate, but respect and influence cannot be presumed; they have to be earned through action.. The manager's position, However, conies from professional qualifications to manage and provide policy guidance. In t contrast with members of the council, the local government manager and professional staff benefit from abrig-term familiarity with issues, special- ization, and technical expertise and also from an organizational structure familiar to all. As we know, linking politics and the work of a governing body with the management of government involves an ongoing set of tasks and challeng- es. The idea of council-manager government is that political and adminis- trative realms can be in partnership and not dependent on the system of checks and balances that characterizes our state and federal governments, where separation of legislative and executive powers is valued. The relationship between the manager and the elected officials sets a tone for the entire local government. Although some elected officials shy away from acknowledging a team or partner relationship between and among members of council and between the council and the staff, it is critical E - that the professional manager prepares the council for its How managers can help build work. council capacity is going to In part, this takes place as the manager helps the coon- be the topic of the authors' presentation at the Eldon cil build its capacity to work as a body, earning respect for Fields Colloquium,which will one another and in an effective partnership with staff. In be Feld at JC A's 2009 An- nual Conference in Montreal, this article, we set out some of the Ways the manager can Quebec,Canada,Sept. l3-16. facilitate the building of council capacity. .. �ub3e�.Fi�eagestsecvt : August�OD9 _. CENTRAL T S F A council and staff use the same words, ORIENTATION GOVERNING Y they speak a different language. Ideally, the orientation process begins In a formal sense, the role of a govern- The tools we identify below are before the election, when individuals ing body is set out in a typical state- intended to enable a willing council to declare their candidacy for council. ment such as "the council is charged deal with difficult issues by building 1 The manager's opportunity to prepare with providing overall leadership for council capacity inn important piece them begins then: open the doors of the local government by enacting laws , of that capacity is an effective partner- i city hall to the candidates and provide and allocating resources for programs, ship with staff. them with nonconfidential correspon- services, and activities." Individuals dente and copies of agenda materials. are elected by voters who, in turn, TOOLS TO BUILD After the election, meet individually expect the council to listen to their GOVERNANCE with those elected to find out their ! concerns and address their individual Adopting policy in open session where concerns; offer to allow them to ex- issues, political values are constantly collid- plore areas of community business of' As accurate as these phrases are, ing is not for the faint at heart. What -particular interest, they do not fully convey the work of can the manager do to prepare the i As soon as practical after the elec- the council, and they are insufficient council, largely made up of arnateur tion, the manager should arrange for to help new councilors understand politicians (no disrespect intended), a full orientation for new members what is expected of them. in fact, for its work? of the governing body—invite the Short phrases only rarely capture continuing members to attend the council's work. Local norms _. ._... _ as well—and provide them with i and tradition are as important as -t-_' > _ "Government 101." Brief them on any charter when it comes to un- current issues, the status of long- range-- range plans and capital projects, derstanding the council's work. In addition, the composition of - - and the budget process. In its ori- contact a council can influence how the entation, Shoreline, Washington, i council and the individual rnen3- { 1� * covers both the basics of members, hers see their roles. service on the council as well as To be effective, councilmembers m �m -_ - specific govermnent projects (see crust talk about their work, what -- - - the box on page 26). m they think is expected of them,and Provide tours of operational what They expect of each other. facilities. Let them see the garage __. where the city cares for its fleet OBSTACLES TO EFFECTIVE and even the shop where it stores GOVERNANCE - '_ '` and maintains its lawnmowers. r1 Although councils differ, three ob- te � _ J tour of water and wastewater treat- --------------- stacles to council effectiveness are �� - - ment facilities is fascinating and fundamental. First, councils that allows the behind-tine-scene work- are A-rilling to deal with big issues will First, we want to emphasize that i ers who do the city's business every have to confront conflicting political staff' can. help prepare the council for day to shine. values. These values include repre- its work, but the council is respon- ! But also remember that if staff pre- sentadon, efficiency, social equity, sible for that ,work, and the council pare the agenda for the orientation, and individual rights. Choices among bears a good deal of responsibility for the agenda likely will be based on values are not choices between right building its own capacity. The goal is what staff members think the council and wrong, and councils searching for ' a partnership, and staff mernbers who needs to know in order to be effective. "correct" answers to policy issues are tape too much responsibility for the Every new councilmernber must face bound to become frustrated, council's work may actually create a two crucial questions: How do I get Second, councilors must confront dependency rather than an effective " my issues on the political agenda of the difficult values work they are re- partnership. other councilmembers and staff' How sponsible for in the absence of hierar- In our collective 50 years of expe- ' do 1 influence other councihnrembers chy—the mayor is not the boss. How rience working with and for elected effectively? Rarely do staff-developed many jobs have you had where no one 4 and appointed local government orientations include discussion of was in charge? professionals, we have seen several these kinds of questions. The third obstacle is the difference ' practices that are effective tools in That is why it is essential to put in perspective between council and managers' tool kits to help overcome ! new members in contact with former staff differences that are often dif- ; the barriers to council and staff worn:- councilmembers who are regarded ficult to understand because while ing effectively. as exemplars and, if possible, snake 1CMA.orglpm a body, during its tithe in office. The 7- EMMM most effective councils hold annual sessions where goals are revisited, up- dated,and validated. $1 1 R JJNF_ These sessions, like the orienta- tion,should be seen as annual events Cc unicil a be r e atio so there is no debate on whether New they should take place. Goal setting ' o occurs most effectively in a retreat h environment where the entire day _ Part I Council meetings (or two) is set aside for the purpose of reaching consensus on council • Open Public Meetings Act priorities. Having department heads • i-meetings/public records attend these discussions provides 2. Co rncii rules and procedures staff with important context for un- arious types of council meetings:Business meeting,study session,work- d.erstanding the "why" behind the shop dinner meeting,and executive sessions priorities. Agenda process As part of setting goals,the council and staff should come to an agree- First council meeting:Swearing-in ceremony and election of mayor nlent on how the council wants to 3. Council-staff communications be informed about progress on goals . Council office and objectives. During the retreat the Council correspondence process:E-mail,letters council can also focus on improv- Business expense policy ing working relationships within the Miscellaneous:Council voice mail,Web site,e-maii,payroll,bealtii'benefits, council by discussing norms and be- onferences;council photo and exploring personal styles in a guided discussion with. a trainer Part If-Council Goals,Boards& o nmissiorss,Proje ts,issues and facilitator. S. Council goals An exploration of styles should not be tniniinized. It is important because Council goal-setting process:Retreat all councilmembers are equals. The i 200"9 council,goals/council work ply unintended consequence of equal- . Council Work Man quarterly reports ity is that no one has the power and b. Council boards and commissions authority to resolve conflict or set or Council of Neighborhoods legitimize plans and direction. Library Board In the absence of the hierarchical Parks Board structure we are all accustomed to day Economic Development Advisory Committee in and day out, a gathering of equals Planning Commission who are dealing with problems for which there are no correct answers 7. Projects and emerging issues highlights differences in ways indi- Long-range financial planning victual members exercise influence, City Hall project hoer much information they need, the Point Wells extent to which they see themselves • Aurora corridor project as a group, how they deal with con- Parks bind projects flict and even the hinds of concerns 8. wrap-up individually they thinle are worth considering. Additional information/briefings/tours? REGULAR E-3° 6 MEETINGS therm part of the orientation. Im- RETREATS AND GOAL Although the formal relationship is portantly, these exemplars should SETTING between the manager and the coup- represent a range of styles so new During a council retreat,probably the ! cilmembers as a body, nurturing in- members can become acquainted ! most important activity of the govern- dividual relationships is an important with and relate to at least one for- ing body is spending time articulat- component of creating a productive mer councilrnember. ing what it wants to accomplish, as working relationship between council . F'ubEsc_hF�na�es�?err�_� Augusc 2,009 ..............._.._._ _._. and staff. At a minimum, the manager should have one-to-one time with members of council at least once each quarter. Many managers visit ; Ak much more frequently with individual $' councilmembers. This is especially important when the council itself is divided. If the Council-Staff Communications Guidelines manager meets only with members of Shoreline,Washington the majority, the manager plays into the perception that the staff is sup- Governance of a city relies on the cooperative efforts of elected officials,who porting the majority=at the expense of set policy and priorities,and city staff,who analyze problems and issues,Ariake the minority. Although the manager recommendations,and implement and adr inister-the council's policies.Here are is bound to implement the policy ad- general guidelines to help facilitate effective communications between the city opted by the majority,the relationship council and city,staff, the manager develops must be with the body as a whole as well as with „ Channel communications through the appropriate city staff. i each individual who snakes up the < All council members should have the same information with which to make body Local government managers clearly decisions. are spending more time than ever with Depend upon the staff to respond to citizen concerns and complaints as fully councilmembers. What is not clear is and as expeditiously as;practical. the changing role of department:heads s The city council sets the direction and policy-city staff are responsible for in light of the new allocation of the administrative functions and city operations. managers tune. It used to be a bonus " In order-to provide the council with timely information,please strive to sub to find department heads who could snit questions on council agenda items ahead of the tweeting, understand the council's politics and respect the will of the"full"city council. the work of the managers office. Today, that need has become im- Depend upon the staff to make independent and objective recommendations. perative because the manager does The city manager and staff are supporters and advocates for adopted council not have sufficient time to spend with policy. department heads. Refrain from publicly criticizing an individual employee.'Criticism is differenti- ated from questioning facts or the opinion of staff. APPROPRIATE T " Seeking political support from staff is not appropriate. DEPARTMENT HEADS Having the council interact directly with staff can be a touchy issue for DOCUMENTED BUSINESS THE COUNCIL MUST some managers, but it is a direct PRACTICES MANAGE ITSELF consequence of managers having to The day-to-day business of govern- The manager's job is to create oppor- spend more time on the politics of the ment involves responding to corre- tunities for the council to be prepared jurisdiction.The primary council-staff spondence, e-.nails, and constituent so the members can operate in an en- relationship should be vvfth the man- requests. Establishing a practice of vironment of mutual understanding. ager, but allowing councilmembers how to handle these items ensures Each of the steps outlined in this ar- ment heads can actu- fair treatment among all members of ticle can help create the environment access to depart ally build trust between the council the governing body. Some jurisdic- for effective governance, but there and the manager. tions call these rules of procedure, will be exceptions. Open dialogue between the man- and they are adopted by resolution Individuals sometimes ignore rules, ager and the department heads about and govern how the council con- and toxic personalities sometimes cre- how that interaction happens and ducts itself. ate challenges for professionals. But what is shared back with the man- Topics include everything from ` do not forget—difficult personalities ager ensures that the manager is receiving and responding (or not) to on the council create a challenging properly informed and the council is public comment at public meetings and uncomfortable environment for well served. Shoreline, Washington, and when it is appropriate to use t:lhe council itself. This is not just a has developed written guidelines for official letterhead, to how items get staff problem, and often there is no council-staff communications that placed on agendas and how many silver bullet strike an appropriate balance (see the logo shirts each councihnernber re- In the end, the council must man- box on this page). ceives—and everything in between. age its own behavior and seek compli- 1CMA.org/pm Pasbh;'Managermq t ,. August 2009 ance from its own members. Staff can do only a limited amount to support R a dysfunctional council, and inviting councilmembers to vent to the man- Ira the May 2W9 issue of€hl,readers were asko6d to sub it,their"twwa - ager and staff about other councilors *, at worst can create an expectation minbte'elevator speeds that explains to' tom e they've just et or that it is the manager's job to some- that helps a citizen,quitidy understand what they do for a living: lee are hove fix the council, That simply can- the replies that were received: not happen. 1FllT two-minute elevator-speech dues not list two minutes.I tell the pub- BENEFITS their training video, Leadership:An lie that any success I have land comes from ha vin the ability+t! mat 1 arty Art of Possibility, Ben and Rosamond told.In my role as a city manager,the city council sets the policy direr- Zander tall:about the art of leadership Lion,and it is tray job to use the resources of the city,in partnership with as creating a possibility to live into the city employees,Dover•governmental agencies,not-for"-pr'of`its,busi- radher than a standard to live up to. tresses,and citizens to carry out that polity with the highest d g,, of Preparing the council for its work lays success possible the groundwork for establishing an environment where the council-staff —� Of 6.4,, # en partnership can flourish and good ara tiger governance can be supported by good ,Dubuque,,Iowa management. ._ t Yrngr@chy�s�dd��itive.or ' Julia Novak, 1CMA-CM, is regional vice president,Management Partners, Inc., Cin- Being hart of a team"of ethical professia oAs dedicated tci facilitating,our cinnati,Ohio,and is a former city manager community's success—that is my role in local government as a depot (inovak @managementpar-tners.com). John city manager. Nalbandian is a faculty member in the Pub- My job is to assist the city manager in her efforts,to'irnplerrrent tan- lic Administration Department at the Uni- gibie po I icier and programs that'will.sha e the prof Tess our city council versity of Kansas,Lawrence,Kansas.He is a former councilmernber and mayor in Law- sees t achieve_ rence,Kansas(nalbandj @gmaii.com). tray to day,I apply best management practices to ensure drat iublic resources are being used effectively and efficiently f6r the tiri's ity's benefit.I do that by leading a depirtmen't"octrs'ed on tieighbtirlaciod services—the municipal functions that directly affi4r t residents,like solid Upcoming waste,transit,code enforcement,and animal services. P M As a professional manager,I maintain aspen limes of communication with division supervisors and field staff about the city,council's goals and objectives and the city manag&'s direction.As,a,neighb6rhoad services team,our common mission is to ensure that the,work we do every day Contents m complements and is consistent with the direction that our' elected,offi- cials wish to lead the community. The work is fun,exhilarating,and very challenging.The'best reward Public comes when we heat-from a resident that a job is"well done!" and we Communication see in our performance measurements that progress is being made in providing the highest quality services at the best value to taxpayers.!vocal Systems government management is a great field,and I hope to pursue my career in it for years to come. Genf!+ ubs Deputy City Manqger Conditions Elk Grove,California ctubbs elkgrovec ty.org 1CMA CONSU"'LTING SERVICES .. ...... ............. If you need help addressing the most critical issues in your jurisdiction,from community problem—solving,to police and ' fire mergers to smart growth codes,consider ICMA.If you want a team of local government management experts who can provide your community with a solution that will r improve the lives of your residents,hire ICMA. For nearly 100 years, ICMA has provided technical consulting support to local governments nationwide.We've helped large N t x and small communities solve some of their most critical problems b p y offering support in the following areas-, A f t 3'" C a K a 9 w ` ._ Call -289- �, Email us at st rser i es@i r am r Or visit us online at icma.org/consultingservices a a r 10 HABITS OF HIGHLY-EFFECTIVE GOVERNING BODIES Carl H.Neu, Jr. Lakewood, Colorado Local government operations directly affect our daily existence and experiences and the quality of life we perceive we have within our communities.No local government deserves, nor should its citizens tolerate, governing bodies and elected and appointed public officials who don't exhibit extraordinary effectiveness, integrity and competence in leading their community's public institutions. 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 people together to achieve common goals and aspirations. Leadership 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 highly-effective are not attributes bestowed upon it by a swearing-in ceremony. They are the result of disciplined adherence to a set of fundamental principles and skills that characterize highly-effective governing bodies. Listed below are 1.0 "habits" of highly effective governing bodies based upon the author's observations of hundreds of city, county, special service district and school district governing bodies over the last twenty years. 1. 'Think and Act Strategically A governing body's primary responsibility is not just to make policy or do its "Forman Emperor" routine (thumbs up or thumbs down) on agenda items at public meetings. It is to determine and achieve citizens' desires for the community's future. Governing bodies and their administrative teams must accept responsibility for shaping the future of the community by expanding their mental horizons to identity and meet the challenges that must be addressed through decisive leadership and goals for the attainment of that future. A strategic leader always comes at you from the future and takes you "back to the future" from the present. This Ieadership adventure starts with vision, and evolves to defining the strategic issues that must be mastered to achieve the vision. The next step is the development of long-range goals that address these strategic issues and which provide decision-making and budgetary focus for the successful implementation of these goals. Living from one annual budget to another, and from one meeting to the next, condemns your community and its future to happenstance and the type of thinking that befuddles national governance and policy. For this reason, polls show an overwhelming majority of citizens want important issues affecting their lives to be decided at the local, "home town" level. Here, they expect leadership, sound thinking, decisive action, and accountability for results. ©Neu and Company and the Center for the Puture of Local Governance, 1997.2002. All rights reserved. Winword 9/97/word 8.0 12102 2. Respect "shared constituency": what do the people need? No city, town, county, local govermnent jurisdiction or non-governmental community entity is an island. The actions and decisions of any one affects all others. But, there is an even more profound reality: most governmental jurisdictions and non-governmental entities overlap in representing and providing service to the same people, i.e., shared constituencies. For example, any given citizen is represented and served simultaneously by the federal, state, county, and city governments plus the school district, special purpose districts, neighborhood associations, chambers of commerce, newspaper publishers, non-profits, etc. These governments and community entities usually see themselves as separate institutions, often with conflicting and competing agendas rather than as components contributing in a coordinated and integrated manner to seamless service delivery meeting the citizens" needs. Frequently, local governments and community entities operate as special interests advocating their particular institutional needs and prerogatives They fail to define how a public service category meeting the needs of a community of shared constituents (public safety, transportation, community development, human services, health care, education, etc.) is defined and functions in a seamless manner with each jurisdiction and entity ensuring its appropriate contribution to the effective and efficient performance of the whole service system. An example of a service category system is roads. A citizen expects to be able to get from point a to point b on good quality roads that make this possible. That citizen does not want to think, nor cares about, "whose road am I on now; a federal, state, Community or city road?" To that citizen "roads are roads" and it is up to all the government entities to make the system work! The same for public safety, and all services. When a sheriffs deputy can not communicate with a city police officer due to different radio systems and frequencies, it is a service system breakdown which doesn't meet the citizen's need for seamless effective service. Effective governing bodies recognize they must horizontally(local government with local government with Community entities) and vertically(local government to federal and state government) coordinate and integrate to ensure citizens' needs are met. They also recognize that collaboration and integration work best if it originates at the local government, city and county, level. It is at this level where needs are best defined and responded to by service providers. In reality,all government, as it touches peoples daily lives and existence, is local. 3. Understand and Demonstrate the Elements of Teams and Teamwork Governing bodies by law, exist and have authority only when their members convene as a "body" to do business. Each member is a component of a corporate being which must speak, act, and fulfill its commitments with one voice, in a mature, effective and reliable manner. Governing bodies are collections of diverse individuals who come together to constitute and act as an entity, and only when operating as that entity do they exercise authority and perform in fulfillment of their purpose. This is a classic definition of team. Carl Larson and Frank LaFasto, two preeminent authorities on teams and teamwork,define team as an entity comprised of two or more people working together to accomplish a specific purpose that can be attained only through coordinated activity among the team members. In short, a team is an entity that exists to fulfill a specific function, or purpose, made up of disparate, interdependent parts (individuals) who collectively achieve a capacity that none of its members could demonstrate individually. Teams always have two components that one might call their"S" components: systemicness and synergy. All teams are systemic, by definition, being made up of interdependent parts (people) who affect each other's performance and that of the team. Synergy is the ability to achieve an effect, when working together as a team,that is more than the sum of the team members' individual efforts. While all teams are systemic, relatively few are synergistic unless their members understand, master and demonstrate the fundamentals of teamwork which are: ® a clear sense of purpose and goals; • clearly define roles and relationships that unite individual talents and capacities into team performance; • integration of members who have basic technical, interpersonal, and rational decision making competence; • a commitment to team success and quality performance; ® a climate of trust, openness, and mutual respect; ® clear standards of success and performance excellence; ® the support, resources and recognition to achieve success; and ® principled and disciplined leadership. Highly-effective governing bodies spend time building their sense of being a team and their skills for productive teamwork. 4. Master Small Group Decision Making Most local government governing bodies are classic small groups, with fewer than a dozen people. Small groups demonstrate certain skills and behaviors that"link"their members together. They also have clearly defined processes for making decisions in fulfillment of that group's purpose. Figure I summarizes the "skill sets" essential to small group effectiveness. EFFECTIVE Small Group Decision-Making Interpersonal Skills Task Skills Rational Skills The ability to/work and Knowledge to do a job Ability to deal with issues interact with others and problems rationally ®Listening to/understanding of ®Knows form and role of e Selecting and prioritizing the views of others organization issues to be addressed ®Constructively confronting ®Knowledge of law,policies e Analysis of issues and related and resolving differences and procedures facts •Supporting others and @ Civility and manners e ldentifying objectives— showing respect for their ideas e Professional-technical outcomes •Participating actively in knowledge m Considering alternative discussions strategies/courses of action •Taking`"time outs'to discuss e Assessment of obstacles and how wel I group members consequences interact with each other ®Consensus decision making e Evaluation&follow-up Figure 1: Effective Sniall Group Decision-Making 5. Have Clearly Defined Roles and Relationships Each team member's contribution to the team's efforts and success must be defined in terms of roles to be assumed (functions) and how that role is to be carried out through one's behavior(performance). Role has two elements:function, the specific responsibilities of that role irrespective of incumbency, and pe7fo7-i77 nice, how one occupying the role is expected to behave and fulfill his/her responsibilities. Most governing bodies, whether through charter, statute or ordinance, have clear definitions of their function. The performance component must be defined within the team through discussion and mutual definition of those behaviors and practices expected of the governing body's members in the conduct of their duties and interactions. Vince Lombardi when asked, what makes 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 individuals. The difference between mediocrity and greatness is the feeling the players have for each other," (relationships). Teams talk about and define expected roles and relationships and give constructive feedback to their members on the degree to which they are fulfilling these expectations. 6. Honor the Board-Staff Partnership We have all heard the popular phrase, "the governing body n-iakes policy, staff implements policy". This is a total misconception of reality. Policy making and policy implementation are not distinct and separate functions. Policy making-implementation is a continuum of thought and relationships that transforms ideas and abstractions (visions,policies, goals, and plans) into defined, observable ends or outcomes (results,programs, projects, deliverable services). Board members and staff share this continuum as partners ensuring each other's success. Each person plays an important role in creating sound policies and ensuring their effective implementation through reliable administrative practices and performance. Figure 2 depicts this partnership and continuum. BOARD'S SPHERE GOVERNANCE-POLICY PROCESSES ADMINIMGR SPHERE °C0117n1Uillty P -- --- A -Political O D taff-Implementor -Performance Issues -Factors L M -Values-Expertise -Values 1 ,Gratification C IN -Gratification y A continuum-interaction G A A B O D D O A M IVI M °,. IVI L I A I R �....... ....... P N N N D S / ''.O•..... S A I S R L T G S I E I E T O S C A' ........ M R N U Y T E .. A L I N T T O T I S N O N Figure 2: Board-Staff Partnership To what degree is this partnership understood, discussed, and respected by board members? John Carver, a widely acclaimed author who writes about boards that make a difference, describes this partnership as one in which boards define what needs are to be met and ends (outcomes) achieved. He believes that boards should allow staff, within board-established limits, to define the means for achieving these ends. He sees a board-staff linkage that empowers staff to do its tasks and be evaluated on the results produced. The board-staff partnership functions best when it is vision-driven and goals based. Boards that accept and abide by this partnership focus their energy on establishing vision and goals, on good policy, and on empowering effective staff performance. Those that do not do this, frequently fall prey to micromanaging; that is, they will perceive a need to become involved in, or retain approval over, staff activity and plans. A critical element and important board task in this partnership is the evaluation of the manager or administrator, based upon clearly defined goals, policies, and established guidelines on executive performance. 7, Allocating Governing Body Time and Energy Appropriately Time, especially to elected officials, is a critically precious and limited, commodity. The typical board or council operates as a governing body, providing governance, for relatively few hours; usually less than 200 hours annually, as compared to the typical 2400+ hours per work year for senior administrators. How boards allocate and use their time is vital to their leadership effectiveness and performance. Boards, like tears, "play" in a number of settings or"arenas"to achieve overall, peak performance. There are four board-staff arenas, and each must be appreciated for its purpose and contribution to a board's effectiveness. ® Goal-setting (retreats or"advances") • Exploration and analysis (study sessions) • Disposition/legislation (regular public meetings) • Community relations (interactions with constituencies and other jurisdictions and agencies) Figure 3 identifies the purpose, typical setting, focus, and key characteristics of each arena. All four arenas are essential to highly-effective governing body's fulfillment of its leadership, policy malting, goal setting, and empowering responsibilities. ARENA GOAL-SETTING EXPLORATION& DISPOSITION- COMMUNITY ANALYSIS LEGISLATION RELATIONS Purpose ® Establish vision ® Understanding e Official action ® interaction with • Explore potentials the issue(s) e Vote on items constituency- • Set goals ® Problem -Resolutions citizens • Direction/Priorities identification -Ordinances ® Building alliances -Community i Selecting"best e Public input ® Outreach-liaison -Services options" v Mobilization of 6 Coordination with -Staff action ® Building support other entities -Budgets commitment Retreat/Advance Study Session Public Numerous Typical Setting -informal off-site -conference room -formal board -diverse formats workshop meeting in chambers ® Future of county, Developing ® Agenda-formality Communication Focus city/community knowledge for "ShoNV"of Problem solving Evaluation of decision making authority Collaboration- -Needs ®Sorting of options ® Ratification/ coordination -Trends ®Examine Adoption Partnership -Strategic issues consequences ® Political pressures ® Acting as a Community desires ®Set strategies ® Psychological community &values ®Ability to make needs Leadership competent& informed decisions Key Characteristics e Informality e Board-staff ® Formal meetings Being"outside"city • Sharing of options dialogue 6 Rules and hall/court house • Open dialogue 0 Questioning- procedures Responding to • Creative thinking testing of ideas ® Public requests • Humor-adventure a Information input/involvement a Joint ventures • Face-to-face/Group exchange ® High visibility ® Interagency activity interaction a Negotiating- ® Pressure/advocacy ® Multiple interaction consensus building fi•om groups modes and No voting V ® Voting communication e Face-to-face/group ® Group interaction techniques interaction Figure 3: Arenas for Governing Body-Staff Performance Highly-effective governing bodies will hold at least one goal-setting retreat or"advance" annually. They also will hold two study sessions monthly, usually between regularly scheduled public hearings. Here they confer with staff and other experts on significant items under consideration requiring eventual official actions. While these study sessions are open to the public, as observers, the public should not participate in the board-staff dialogue. Many boards short-change this arena, pushing the opportunity for learning into the formal public hearing, which is not designed to promote much in-depth analysis of complex issues. The arena of disposition%legislation is designed to get to a vote, not promote careful analysis of complex issues. The fourth arena, connnunity and inteijurisdictional relations, is becoming more important. it is rapidly transforming the role of the governing body and how it and its members spends their time. Communities today are more dependent upon sophisticated alliances and partnerships among groups,public and private entities. All jurisdictions are subject to multiple, profound changes in how public officials operate as they deal with complex multijurisdictionaI and regional issues and the growing popularity of citizen democracy and community building/renewal. Today, the community arena requires more time spent in interactions outside of city hall/courthouse and puts greater time pressure on elected officials. 8e Have Clear Rules and Procedures for Board Meetings Board meetings exist for the purpose of doing the board's business. Literature oil how to conduct effective and productive meetings specifies the need for, and adherence to, clearly defined rules and procedures. Many boards, however, drift from these rules and procedures in pursuit of informality, collegiality, and "just being nice."They let their meetings drone on with lack of focus, redundant comments and endless discussions. Rules and procedures do not preclude citizen input, courtesy or sensitivity to public concerns and viewpoints. They respect all these elements and the necessity to conduct business in an orderly, disciplined and productive manner. 9. Conduct Systematic and Valid Assessments of Policy Implementation and the Public's Concerns and Evaluation of the Boards/Council's Performance. Governing bodies, like most legislative bodies, frequently fall into the Jean Luc Picard syndrome {Star Trek 1I} and simply tell their staffs: "Make it so." They assume that board action equates to policy and program implementation. The next time board hears about the policy is when a problem or crisis arises. Highly effective governing bodies expect periodic feedback on policy results and on possible policy amendments that may be required. This feedback can be provided through progress reports, status memos or newsletters, and "policy reviews." Elections are contests among individuals vying to become a member of an elected governing body. They are not valid, objective assessments of the public's feeling about the quality of board's performance as a governing body and about whether or not it is addressing issues effectively. Highly effective boards seek feedback through a number of proven market research tools such as focus groups, surveys and questionnaires. Typically, the phone calls a board member receives, or the comments make in public hearings, are not valid or accurate reflections of the entire community's sentiments about issues and the board's performance. "Market research feedback" should be ongoing and included in the annual goal setting retreat or advance. 10. Practice Continuous Personal Learning and Development as a Leader Leaders read, attend workshops, and constantly seek information, understanding and insight. Elizabeth Kautz, Mayor of Burnsville, Minnesota, giving advice to newly-elected municipal officials said: "Decide what your role is, identify the skills you need to be effective in that role, and GET THEM! Highly-effective governing bodies are comprised of members who honestly know they don't know it all. They take advantage of the myriad of opportunities to learn and perfect their skills by reading, going to workshops, and forums that can expand their skills to lead and govern well. Highly-effective governing bodies also learn as a group. They assess objectively their performance relative to each of the ten habits. They also decide where gains can be made and set up the opportunity through board workshops to learn the skills to make these gains. The last, and probably most important, point: Keep your sense of humor. Governance is a serious and sometimes messy business dealing with vital issues affecting our communities and the quality of life we experience daily within them. Humor reduces friction and stress, lets others know we and they are human, and is a pause that refreshes our insight and commitment. It is essential to creating and maintaining relationships. It also can open one's mind to new ideas. Every community deserves nothing less than highly effective governing bodies that accept accountability for the community's performance in creating its future and in effectively addressing, in the present..those challenges vital to attaining that future. That is what is at stake: our communities' future. With few exceptions, every board can be highly effective and can provide strong leadership. But to become effective requires a good governance model and disciplined adherence to the principles (habits) of effectiveness. Carl Neu, Jr., is executive vice president of'Neu & Company, Lakela,00d, Colorado. All rights reserved to Neu & Company and the Center for the Future of Local, Governance, 1997. Winword 9i97.r.4l98,r. 12102 Word S Code of Ethics for Board Members As a member of Board,I shall promote the best interests of the District as a whole and,to that end,shall adhere to the following ethical standards: Equity in attitude o I will be fair,just,and impartial in all my decisions and actions. ® I will accord others the respect I wish for myself. • I will encourage expressions of different opinions and listen with an open mind to others' ideas. Trustworthiness in stewardship • I will be accountable to the public by representing District policies,programs,priorities,and progress accurately. • I will be responsive to the community be seeking its involvement in District affairs and by communicating its priorities and concerns. ® I will work to ensure prudent and accountable use of District resources. ® I will make no personal promise or take private action that may compromise my performance or my responsibilities. Honor in conduct • I will tell the truth. ® I will share my views while working for consensus. ® 1 will respect the majority decisions as the decision of the Board. ® I will base my decisions on fact rather than supposition,opinion,or public favor. Integrity of character • I will refuse to surrender judgment to any individual or group at the expense of the District as a whole. ® I will consistently uphold all applicable laws,rules,policies,and governance procedures. ® 1 will not disclose information that is confidential by law or that will needlessly harm the District if disclosed. Commitment to service ® I will focus my attention on fulfilling the Board's responsibilities of goal setting,policymaking,and evaluation. • I will diligently prepare for and attend Board meetings. ® 1 will avoid personal involvement in activities the Board has delegated to the Superintendent. ® I will seek continuing education that will enhance my ability to fulfill my duties effectively. Student-centered focus ® I will be continuously guided by what is best for all students of the District. SCHOOL DISTRICT (SAMPLE) BOARD OF TRUSTEE EFFECTIVENESS APPRAISAL FORM DATE: APPRAISAL PERIOD: FROM: TO: DIRECTIONS Listed below are practices that cover the major areas of board responsibilities. These practices have been recognized as characteristics of effective school boards. These characteristics were developed by the Texas Association of School Boards and the Texas Association of School Administrators. For each practice you are asked to select on of three ratings: Exceeds Expectations or Meets Expectations or Below Expectations PRACTICE: A. Relationship with the superintendent The Board: Delegates to the superintendent the authority for the administration of the school and avoids becoming directly involved in day-to-day operations. Provides a clear job description for the superintendent and communicates as a board the criteria that will be measured to evaluate performance. Makes decisions using pertinent information and recommendations provided by the superintendent. Promotes mutual respect and trust by offering commendation to the superintendent whenever deserved and constructive criticism when necessary. Follows the appropriate policy on public complaints concerning the schools. Keeps the superintendent informed of issues,needs, and complaints so that problems can be resolved in a professional manner. Exhibits confidence and trust in the superintendent. Encourages the superintendent to grow professionally. Exceed Expectations ❑ Meets Expectations ❑ Below Expectations Comments: Page 1 of 7 B. Policy Making The Board: Regards policy making as a key responsibility and ensures that a comprehensive review of district policies occurs at least once every three years. Reviews district policies on an ongoing basis to ensure that they are clear, complete,current, and consistent with district goals. Has studied the policy manual and is aware of its structure and contents. Asks the superintendent for recommendations before adopting policy. Distinguishes between policy and administrative procedure. Adopts written policies on a timely basis that are in compliance with State Board rules and state and federal laws. Makes policy decisions,only after full discussion at publicly held board meetings, readily accessible to staff and the public. Ensures that there is appropriate dissemination of policy and that there is free and easy access to policy information. Adheres to and supports adopted board policies. Exceed Expectations ❑ Meets Expectations ❑ Below Expectations Comments: C. Goal Setting The Board: Ensures that planning and evaluation includes facilities, management, curriculum, instruction,staff development, student achievement, and other district domains as specified in legislation. Requires that campus planning include involvement of professional staff, parents, and community members. Ensures that the superintendent and staff develop and implement objectives and action plans to accomplish district goals. Communicates with the public to ensure support and understanding of district goals and practices. Adopts clear and definite short-term and long-range goals. Page 2 of 7 Provides funds for the district to accomplish its goals. Approves campus plans that are in line with the district's mission,goals,and plans. Uses academic excellence indicators,campus performance objectives,and local performance objectives,and local performance data to evaluate each campus and the district's instructional program. Bases evaluation of the superintendent in part upon the accomplishment of the district goals. Exceed Expectations ❑ Meets Expectations ❑ Below Expectations Comments: D. Personnel The Board: Demonstrates support and respect for the superintendent as the chief administrative employee of the district. Adopts policies that clearly define guidelines for salaries and benefits. Follows appropriate policies on employee complaints. Receives recommendation from the superintendent before employing or dismissing staff members. Encourages the staff to grow professionally by providing enough funds for in- service education as approved by the superintendent. Develops sound personnel policies involving the staff when appropriate. Hears employee complaints only after they have been processed through appropriate administrative channels. F1Exceed Expectations Meets Expectations Below Expectations Comments: Page 3 of 7 E. Finance The Board: Evaluates the income and spending of the district in terms of the quality of education that should be provided and the ability of the community to provide support. Takes the lead in securing community support for additional funding as necessary. Authorizes the administration to prepare the annual budget. Holds the administration accountable for the spending of funds in compliance with law and sound business practice. Authorizes individual budgetary allotments and non-budgeted expenditures only after considering the total needs of the district. ❑ Exceed Expectations ❑ Meets Expectations Below Expectations Comments: F. Board Meetings The Board: Paces the use of meeting time,encourages members to be concise and to the point,and concludes at a reasonable time. Is friendly,open,and projects a positive public image. Insists that meeting dates are legally posted and publicized. Uses agendas prepared cooperatively by the board and administration and makes sure that agenda information is received before the meeting. Calls meetings or work sessions only when necessary and as authorized under state law. Maintains confidentiality of executive session. Holds regularly scheduled board meetings with all members in attendance and on time. Focuses debate on issues and does not allow discussion to become personal. Does not generally take action without first requesting a staff recommendation. Uses care when criticizing a staff recommendation. Page 4 of 7 Is prepared to discuss material that was sent out in advance. Adopts and follows effective parliamentary procedures. Weighs decisions in terms of what is best for all students. ❑ Exceed Expectations ❑ Meets Expectations ❑ Below Expectations Comments: G. Instruction The Board: Understands that student learning is the top priority. Receives frequent up-dates regarding school program and student achievement. Is knowledgeable about the instructional program and informed about instructional requirements dictated by the Legislature and the State Board of Education. ❑ Exceed Expectations ❑ Meets Expectations ❑ Below Expectations Comments: H. Relationships with Community The Board: Has clear procedures for the citizens to communicate with the board at board meetings. Ensures that there is an appropriate program to disseminate public information regarding the schools. Protects the school and staff from unjust criticism and the efforts of special interest groups. Directs all concerns,complaints,and criticisms of the school system to the superintendent or as otherwise specified by policy. Page 5 of 7 0 Exceed Expectations Meets Expectations Below Expectations Comments: 1. Personal Qualities Each Board Member: Demonstrates respect for the leadership team by supporting group decisions. Demonstrates a willingness to devote the time necessary to become an effective board member. Demonstrates a sincere and unselfish interest by making decisions in the best interest of all students. Annually completes school board member training hours. ❑ Exceed Expectations ❑ Meets Expectations ❑ Below Expectations Comments: I Board Relationships The Board Members: Listen to ideas and opinions of other board members. Have confidence and trust in each other. Remain cordial and businesslike when disagreeing on issues. Support publicly the decision of the majority once a vote has been taken. Work together as a team in a spirit of cooperation. Exceed Expectations o Meets Expectations o Below Expectations Comments: Page 6 of 7 Signed: Board President Date Board Secretary Date Page 7 of 7 WESTLAKE ACADEMY Board r s STS OAKS Policies Manual to ATM "amps v ................ t� y W $IAWJ� y_ ( Contents Adirnissions 3 Policy Name: Proof ufResidency 3 Policy Name: Admissions Policy 5 FacitihvAtt"niction and Re ten 7 Policy Name: Responsibility for Personnel Decisions and Setting Parameters for the CEO Regarding Establishment of Managerial Reporting and Organizational Structure 7 Policy Name: International Faculty Recruitment and Retention S Policy Name: Westlake Academy Nepotism Policy 18 Par.evr-i t Studeyyt af,'al"F"Zi,cu-1h� �eh��o ns an0/��pect��oi�s 12 Policy Name: Access to Student Records & Directory Information 12 Policy Name: Attendance 15 Policy Name: Bullying Policy 17 Policy Name: Closed Campus 18 Policy Name: Complaint Policy 19 Policy Name: Compulsory Attendance, excused absences, and truancy 21 / Policy Name: Parent-Student Handbook 23 Policy Name: Student Drivers 24 Policy Name: Volunteer Policy 28 Policy Name: Academic Honesty and Honor Code 28 Policy Name: Technology Use and Computer System Responsibilities 3Q Policy Name: Electronic Communications and Faculty Responsibilities 34 Policy Name: Learning Community Commitment Statement 36 Ffnasric/�,V ��' Policy Name: Surplus Property Disposition 38 44 Policy Name: Code ofConduct 44 Policy Name: Discipline 47 Policy Name: Discrimination, Prevention of 52 Policy Name: Campus Facility Renovation/Modification Projects and Capital Projects Guidelines 53 Policy Name: Board Parameters for Staff Recommendations tm the Board of Trustees 54 Policy Name: Adherence to the Texas Education Agency, International Baccalaureate and Charter Guidelines 55 Policy Name: Use of Academy Facilities by Non-school Related Groups 56 pagol1 Policy Name: Vehicle Transportation Policy 58 Studer,4Ach/evennent 6� Policy Name: Grading System,Westlake Academy 62 � Policy Name: Board Parameters for School Sanctioned Trips 65 Policy Name: Assessment and Grade Reporting Policy 70 Secondary—Middle Years Program and Diploma Program 70 Policy Name: Graduation Policy 73 Policy Name: |B Exam Fees 77 Policy Name: Homework Policy 78 Policy Name: GtudentAdh|etic/Extra Curricular Program Academic Eligibility__8O Policy Name: Retention and Transfer Course Credit Policy 81 Policy Name: Primary(K^G6) Assessment and Grade Reporting 83 Studenif Behavior 89 Policy Name: Drugs,Tobacco, Alcohol and Weapons 88 Policy Name: Uniform Requirements 92 Page 12 Admissions TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 0 -09: Date Board Adopted: May 4, 2009 Date Board Amended: December 6, 2010 Effective Date: December 6, 2010 Policy Category: Adrniss ns Policy Name: Proof of Res ency Policy Goal: Clear and concise communication for students and parents regarding admission requirements based upon: a.) residency status; b.) assisting in the engagement of all stakeholders by clarification of the residency status, and c.) the inclusion of a process/criteria for admittance of grandchildren of Westlake resident grandparents who submit appropriate and acceptable documentation that they are providing substantial after school care for their grandchild wishing to be admitted as a Westlake Academy student. Policy Description: If, during the enrollment period, Westlake Academy receives more applications from eligible applicants than there are spaces available in a class, then admission shall first be offered to eligible applicants residing within the geographic boundaries of the Town of Westlake. in order to receive priority admission consideration as a resident of the Town of Westlake, each applicant's parent, legal guardian, or other person having lawful control must provide the following proof of residency with the enrollment application: Required Documentation to Establish Residency A parent, legal guardian, or other person having lawful control, must present a current utility bill or other proof of residence showing an address within the Town of Westlake boundaries and provide a photo identification card that includes the person's photograph, name, and an address that matches the utility bill or other proof of residence. An applicant relying on a residential lease to establish residency must provide a copy of a fully executed lease with a lease-term that extends the duration of the school year for which the applicant is seeking admission. An applicant relying on an approved building permit from the Town of Westlake Building Department to establish residency, must provide proof that the permit was on file prior to September 1St of the school year in which admission is sought. Eligibility for students admitted under this provision will be withdrawn if, in the opinion of the Superintendent, there is no satisfactory progress on the home or demonstration of intent to live in Westlake by September 1St of the following year. Page 13 Acceptable photo identification cards for proof of eligibility shall include a current and valid state-issued driver's license, a Texas identification card, a valid passport, a military or government-issued identification card, or a consular card. Westlake Academy will not accept a credit card, debit card, or any membership card for proof of eligibility, even if such card includes a photograph. Nonresident Student in Grandparent's After-School Care: The parent and grandparent of a nonresident student requesting admission as a Town of Westlake resident due to a grandparent providing substantial after- school care for the student shall provide the required proof of residency based on the grandparent's Westlake residency and provide notarized documentation on a form provided by Westlake Academy confirming the extent of after-school care to be provided by the grandparent. The Head of School shall have authority to approve such admission applications in accordance with the following criteria: a minimum of ten (10) hours per week of documented after-school care provided by the grandparent at the grandparent's Westlake residence. Residency Review A Westlake Academy representative may make periodic visits to a home to verify that the student is actually living at the address provided on the enrollment application or is entitled to enrollment as a resident because of after-school care provided by a grandparent. A person who presents false information or false records to obtain admission to Westlake Academy commits a criminal offense and is subject to prosecution under Texas Penal Code Section 37.10. Page 14 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 9- 10: Date Board Adopted: May 4, 2009 Date Board Amended: January 10, 2011 Effective Date: January 10, 2011 Policy Category: Adrnissions Polio Name. Admissloins Pogflicy Policy Goal: Communication/Transparency of student and parent requirements for admission into Westlake Academy; Engagement of stakeholders and fiscal stewardship Policy Description: Applications from new students are accepted from December 1't through January 31st. Currently enrolled students receive a Notice of Intent to Return form the first week of January. This form asks students to state whether they intend to return to Westlake Academy the following school year and to identify any siblings who wish to attend Westlake Academy the following year. This form must be returned by January 31't. Currently-enrolled students expressing a desire to return are automatically enrolled for the following school year upon timely receipt of the Notice of Intent to Return form. A currently-enrolled student who originally obtained admission as the child of a Westlake Academy faculty member beginning with the 2009-2010 school year retains the right to re-enrollment only if the student's parent continues to serve on the Westlake Academy faculty for at least three years. Vacancies in each class are then determined. If the number of eligible applicants does not exceed the number of vacancies, then all eligible applicants who timely applied will be offered admission. If there are more eligible applicants than available spaces in a class, then admission shall first be offered to eligible applicants residing within the geographic boundaries of the Town of Westlake. Admission for any remaining spaces shall be determined by lottery, except that siblings of returning students, the children of Founders, and the children of current Westlake Academy teachers, are exempt from the lottery and will be given priority in admission. All eligible transfer applicants will be placed in the lottery. A name will be drawn for each vacancy that exists, and each applicant whose name is drawn will be offered admission. The remaining names will be Page 15 drawn and placed on a waiting list for each grade level in the order they are drawn. If a vacancy arises, the individual on the waiting list with the lowest number assignment will be offered admission. Applicants are not required to provide copies of transcripts or other academic records prior to enrollment. In addition, a student will not be precluded from enrolling due to Westlake Academy Charter School's failure to receive the information required for enrollment from the student's parent and/or previous school. Westlake Academy Charter School does not discriminate in admissions based on gender, national origin, ethnicity, religion, disability, academic, artistic, or athletic ability or the district the child would otherwise attend. Westlake Academy will not enroll any student with documented histories of a criminal offense, juvenile court adjudication, or discipline problems under Texas Education Code Chapter 37, Subchapter A. Page 16 Faculty Attraction and Retention. TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 0921: Date Board Adol2ted: February 9. 2009 Date Board Amended: December 7, 2009 Effective Date: February 9, 2009 Policy Category: Facf-flt.'y Attraction a Ret-enl"',""on Policy Name: Responsibility for Personnel Decisions and Settinig Pararneters fi -," the CEO Regardirig EstabifshImen,11 of VNIanagerial nd Organizational Stru�C-tpuire Policy Goal: Efficient and Effective Recruitment /Accountability Retention of Staff PoIi2y_qg§cHpt1ion: Administrative regulations governing Texas Charter Schools assigns to the Chief Executive Officer (CEO) responsibility for personnel decisions. As such, it is the purpose of this Board policy to delegate this function to the CEO as follows: a.) The CEO has final authority to offer employment, terminate employment, evaluate, promote, demote, appoint, and employ all Westlake Academy employees. b.) The CEO or his/her designate shall define the qualifications (excepting those that may be established by the Board), duties and responsibilities of all Academy positions and shall ensure that job descriptions are current and accessible to all employees and supervisors. c.) All compensation will be in accordance with Board approved teacher salary scales and establishment of new positions shall be approved by the Board. d.) The Board shall have input into the process utilized for the selection of section head positions. Page 17 e.) The CEO shall be responsible to the Board for establishing (and modifying when necessary) a managerial reporting and organizational structure, pursuant to applicable Board budget approvals, that meets the following criteria as well as facilitates and enhances: • student achievement in alignment with the IB Learner profile • communication with all Academy stakeholder groups • timely staff decision making • staff accountability • employee empowerment and teamwork • attainment of Board policies and adopted strategic plan desired outcomes • staff professional development and effectiveness • stewardship regarding the effective and efficient use of available resources • clarity of reporting structure, lines of staff authority, and staff roles Page 18 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-01: Date Board Adol2ted: January 4, 2010 Date Board Amended: N/A Effective Date: January 4, 2010 Policy Category: -t-a"Cutty anel Reterr1,-J1,-,on Policy Name: hiterrmtlioral 'FaCL11ty Rec-�ru6tn-ienof and Retention. Policy Goal: Establishing Guidelines for the Recruitment and Retention of International Faculty to Enhance School Diversity and International-mindedness Policy Description: Since its inception as an International Baccalaureate (IB) World school, Westlake Academy has pursued the recruitment of a diverse, international teaching body through the use of stipends and payment of visa costs for faculty recruited from abroad. This effort has been carried out to facilitate for the Academy's students a diversity of teachers, teaching approaches, varying world views, and international-mindedness, all in concert with the IB Learner Profile. To this end, the Chief Executive Officer (CEO) is authorized to recruit internationally or retain existing international faculty subject to the following: a.) the CEO will be charged with determining the proper mixture of international and national faculty to provide the best educational services for Academy students. b.) when determined to be in the best interests of Westlake Academy students, the CEO may promulgate visa cost sharing arrangements by the Academy to recruit or retain international faculty on a case by case basis, subject to funding availability in the Academy budget and/or Fund 100. c.) the CEO is authorized, subject to annual Board budget approval, to pay yearly stipends to the Academy's international teachers with said stipends to be paid only for international staff that, when recruited by the Academy, had to move to the United States. d.) any consideration for payment of green card expenses by the Academy related to an international faculty member employed at Westlake Academy can only be made after first receiving the recommendation of the CEO followed by the approval by the Board of Trustees. This consideration is also subject to funding availability in the Academy budget and/or Fund 100. Page 19 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-02: Date Board Adopted: April 5, 2010 Date Board Amended: May 9, 2011 Effective Date: May 9, 2011 Policy Ca!2_qor Fa"U a,- Ity Attract'ot-, ,,-,-nd Policy Name: %Ne-silake -,4'ennfi.Gn-,, P01"'.,-;y Policy Goal: Establishing Guidelines for the prevention of Nepotism in the workplace and ensuring best practices of employees in the performance of assigned duties. Policy Description: No person related within the second degree of affinity or within the third degree by consanguinity to any elected officer of Westlake Academy, or to the Superintendent, shall be appointed any office, position, or clerkship, or other service of Westlake Academy. Relatives of all other persons employed by Westlake Academy may not be employed by the Academy if the relative is within the second degree of affinity or within the second degree of consanguinity. This policy applies to all Westlake Academy departments, and may not be circumvented in cases where a relative would not be supervised by the existing employee. In the event that two employees enter into a marital relationship while working in the same department or section, one employee will be required to resign their employment with Westlake Academy within thirty (30) days. Present or future employees may not be promoted nor transferred to a position that would be in violation of this policy. Exemptions to this policy may be made by the Superintendent, to the extent allowed by law, in order to enhance the Academy's recruitment and retention efforts. Consideration of applicable exceptions must first require a clear and demonstrable separation in the chain-of-command, appraisal, discipline, and job performance accountability between employees and their immediate supervisor and/or supervising Principal. The decision of the Superintendent under this policy is final and may not be appealed. Page 110 For the purposes of this policy, a relative is defined to include: First degree affinity—spouse, spouse's mother, spouse's father, spouse's son, spouse's daughter; Second degree affinity— spouse's brother, spouse's sister, spouse's grandmother, spouse's grandfather, spouse's granddaughter, spouse's grandson; First degree of consanguinity— employee's mother, father, daughter, son; Second degree of consanguinity— employee's brother, sister, grandmother, grandfather, granddaughter, grandson; Third degree of consanguinity— employee's aunt, uncle, niece, nephew, great grandmother, great grandfather, great granddaughter, great grandson. All provisions of this policy apply to relatives and/or relationships established between employees of the Town of Westlake and Westlake Academy. ** Note: The above definitions have been amended to comport with relationship definitions contained in Chapter 19 of the Texas Administrative Code 100.1113(c). The term "CEO" has been changed to "Superintendent" Page 111 Parent, Student and Faculty Relations and Expectations TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 0914: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Ca!tgory: Sturfi,,nt and F,,,,, 1,,:;,ultv �.,md E x c t a i i Policy Name: Access tep Stufd.enit, Records & Directory Infiornnation Policy Goal: Comm unication/Transparency and access to records that pertain to the student. Policy Description: Definitions For the purposes of this policy, the term "educational records" means those records, files, documents, and other materials that contain information directly related to a student and that are maintained by an education agency or institution, or by a person acting for such agency or institution. The term "education records" does not include: a. Records that contain only information about a student after the student is no longer attending the school. b. Records made by school personnel that are kept in the sole possession of the maker, are used only as a personal memory aid, and are not accessible or revealed to anyone other than a temporary substitute for the maker of the record; or c. Records maintained by a law enforcement unit of the school that were created by that unit for the purpose of law enforcement. 20 U.S.C. Sec. 1232g(a)(4)(A)-(B); 34 C.F.R. Sec. 99.3 Confidentiality, Inspection and Amendment of Education Records The Family Educational Rights and Privacy Act (FERPA) protects the confidentiality of student education records and grants parents and students access to student educational records. Parents and students 18 years of age or older, have the following rights in connection with educational records: Page 112 1. To inspect and review the student's educational records who are or have attended Westlake Academy. 2. Non-custodial and divorced parents have equal rights relating to student records unless the school has been provided a court order to the contrary. A court order may specify the deletion of all references to a place of residence in the students records before the release to another party. 3. To review all written records pertaining to the student; including, attendance records, test scores, grades, disciplinary records, counseling records, psychological records, applications for admission, health and immunization reports, teacher/counselor evaluations and reports of behavioral issues. TEC 26.004; C.F.R. 99.3(b), 99.4, 99.31(a)(8); Tex. Fam. Code. 153.012, 153.073 4. To request amendment of the student's educational records to ensure that the records are not inaccurate, misleading, or in violation of student rights, including the right to a formal hearing, if necessary. 34 C.F.R. 99.20, 99.21 Access by Other Persons Requires Consent FERPA prohibits the Academy from providing personally identifiable student information without prior written consent from a student's parent(s); a student's guardian(s); or the student, if the student is at least 18 years of age or is attending a post-secondary institution. 34 C.F.R. 99.30 Exceptions to the Consent Requirement Consent is not required when the requested information is provided: 1. In compliance with a court order or subpoena - Staff must make a reasonable effort to notify the parent/student in advance of the school's compliance; 2. To other school officials, including teachers, who have been determined to have "legitimate educational interests"; 3. To other schools/school systems in which the student seeks or intends to enroll; Page 113 In connection with a student's application or receipt of financial aid; 4. To organizations conducting studies for, or on behalf of, educational agencies or institutions for the purpose of developing, validating or administering predictive tests, student aid programs, and improving education; 5. To accrediting organizations; 6. In connection with a health and safety emergency 34 C.F.R. 99.31 Directory Information "Directory Information" pertains to information contained in an education record of a student that would not generally be considered harmful or an invasion of privacy if disclosed. This may include, but is not limited to, the student's name, address, telephone number, e-mail address, photograph, date and place of birth, dates of attendance, grade level, enrollment status, participation in official sports or activities, weight and height of members of athletic teams, honors and awards received, and the most recent educational agency or institution attended. The Academy shall give notice, and an annual basis, to parents of the following: 1. Types of information designated as "directory information" by the school; 2. Right to refuse to allow the release of any or all types of information about the student designated as directory information; and 3. Period of time within which a parent may submit written notification of his/her refusal to allow the disclosure of directory information by the school. 34 C.F.R. 99.3, 99.37 Page 114 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Pare_n'if, Studtnr,a t z WICII FaCCU011tV ', Policy Name: Attendwnce Policy Goal: To encourage attendance and outline student and parent requirements Policy Description: Regular and consistent attendance is required to achieve academic success at Westlake Academy, Poor attendance is a major contributing factor toward receiving unsatisfactory grades and results in an additional commitment of after school hours to complete make-up assignments and review of class lecture notes. Students are required to be in school except in the case of emergency, illness or religious observance. Unless otherwise exempted by the Heads of Section, students must be present at least 90% of the school days. In addition, the Texas Education Code §25.085 mandates compulsory attendance for students who are at least six years old as of September I St of the applicable school year. The law requires a student to attend public school until the student's 18th birthday, unless the student is exempt under § 25.086. This requirement is enforced through §§ 25.093 and 25.094. Westlake Academy requires cooperation from parents in the matter of school attendance and punctuality. Parents should: • Ensure your child arrives and is picked up on time each day. Families who do not pick up their students by the time specified in the Parent/Student Handbook may be subject to a late pick up fee after the second offense. • Schedule routine medical and dental appointments after school hours when possible. • Schedule family vacations during the school's vacation days and notify the school prior to any planned absence. • Parents should inform the office before 10:00 am of any absences. Page 115 Parents must notify the school office via signed note of the absence or it will be marked "unexcused.". An absence is excused under the following conditions: 1. Personal illness 2. Major religious holiday of the family's faith 3. Emergency doctor or dental appointments which cannot be made after school 4. A death in the family or death of a close friend 5. Other necessary and justifiable reasons as excused by school administrators Additional procedural information as it relates to attendance, shall be recorded and published in the Parent/Student Handbook on an annual basis. Page 116 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09_IA- Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Polio r Parent. Studv�, nit atnrd' FaCuilty R-e`V'atJo;,is andi Cate _NLame. Bullying Policy Polio.poal: Creation of a supportive and safe learning environment Policy Descril2tion: Bullying of any kind is totally unacceptable and will not be tolerated. Bullying can take many forms, but is primarily physical, verbal or emotional. Bullying is behavior which makes other people feel uncomfortable or threatened, whether this outcome is intended or not. Bullying can take place on or off the campus, and may include, but is not limited to, name calling, teasing, physical abuse (e.g., hitting, pushing, pinching, or kicking), threats, taking of personal possessions, sending abusive text messages, instant messages, Internet e- mails, and phone messages, forcing others to hand over money, forcing others to do things against one's will, ignoring or leaving others out, attacking others in any way, hiding personal property, insulting, spreading rumors and isolating others. Bullying includes harassment of a racist or sexual nature. The Board strives to develop and maintain an effective learning and friendly social environment. This should be characterized by tolerance across and within year groups and with a positive involvement from adults, Independence of thought and action should be respected, allowing individuals to flourish without fear. Westlake Academy staff will develop a bullying policy designed to discourage this type of behavior and promote a safe and productive learning environment. The policy and other steps necessary to reduce the instances of inappropriate behavior will be published in the Parent/Student Handbook on an annual basis. Page 117 TOWN OF WEST LAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy o. 09-1 : Date Board Adapted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: !,.,AhAd- en,,� Fa�,,.nfl�y R,Oatiog"S 'N"( Exr-Aed,,aflcuns Policy Name. Clwsed Campus Policy Goal: Student Safety Poli212ft§cnption: Westlake Academy operates the campus as a closed facility. Students are not allowed to leave campus during lunch except as approved by the Head(s) of Section, on a case-by-case basis — generally, in response to a parent's written request. Students who leave campus without prior approval at lunch or during the school day will be subject to disciplinary action in accordance with the Academy disciplinary procedures as specified in the Parent/Student Handbook. Page 118 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Paxe, .., StrudenA , --&d l-,-a-.at uRy R,,�:-Iations� Expectatiofr�s Policy Name: Gor,-O.aint Policy Policy Goal: Outline the policy and processes for filing a complaint or addressing concerns at the Academy. Policy Description: Except as addressed by specific complaints below, this Policy applies to all complaints or grievances from students or parents. • Expulsion (See the Code of Conduct) • Identification, evaluation, or educational placement of a student with a disability within the scope of Section 504. • Identification, evaluation, educational placement, or discipline of a student with a disability within the scope of the Individuals with Disabilities Education Act, and the parents' rights handbook provided to parents of all students referred to special education. Formal Complaint General Provisions • "Complaints" and "Grievances" have the same meaning. • Complaints arising out of an event or a series of related events must be addressed in one complaint. A student or parent may not bring separate or serial complaints arising from any event or series of events that have been or could have been addressed in a prior complaint. • All time limits must be strictly followed unless modified by mutual written consent and, if a complaint or the appeal of a decision about a complaint is untimely, the complaint may be dismissed. Page 119 For the purpose of this policy, "days" means school business days. Formal Complaint Process 1. Within 20 days of the date a student or parent first knew, or with reasonable diligence should have known, of the decision or action giving rise to the complaint or grievance, an original complaint, in writing and dated, describing the matter complained of and the date of the occurrence(s), must be presented to the lowest level administrator whom the student or parent perceives to have the authority to remedy the concern. 2. If that administrator is unable to resolve the complaint, the administrator shall direct the complainant, in writing, to the next level administrator who shall either resolve the complaint or direct the complainant in writing to the next level, continuing until the complaint reaches the CEO. 3. A complaint reaching the CEO's level must be in writing, setting out all prior attempts to resolve the complaint and the remedy requested. The CEO, or designee, may schedule a conference with the complainant and within ten business days of receipt of the written complaint, shall issue a written decision. 4, If the decision is unsatisfactory to the complainant, or if the CEO, or designee fails to respond timely, the complainant may, within 15 days of submission of the written complaint to the CEO, submit a written request to the CEO to have the complaint considered by the Board of Trustees. 5. If Board review is requested, the CEO shall submit the entire written record of the complaint and any further response to the President of the Board of Trustees who shall create an Agenda item for consideration of the complaint at the next available regular meeting, or the next appropriate meeting thereafter. At that meeting the Board shall, at a minimum, consider the written complaint, and any response thereto and may, or may not, issue a decision. 6. Failure of the Board to issue a decision at or before the next regular Board meeting following the meeting at which the complaint was presented to the Board will uphold the decision of the administration. Page 120 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Pw'en.nt,, StLSdi,"end annm,' Expecltafion,s Policy Name: Connpputllsor%,, Attendailce,,, eXGu,_s-,ed absences, an.d truarwy Policy Goal: To adhere to state regulations as it relates to school attendance Policy Description: Compulsory Attendance The State of Texas requires children to attend school under the following parameters: A child who is at least six (6) years of age, or who is younger than six (6) years of age and has previously been enrolled in 1't grade, and who has not yet reached his/her 18th birthday, shall attend school. On enrollment in pre-kindergarten or kindergarten, a child shall attend school. TEC 12.104(b)(1), 25.085(b)(c),(e) Truancy At the beginning of each year, the staff of Westlake Academy shall notify parents of the truancy policy of the school. The information shall be contained in the Parent/Student Handbook and shall utilize the following framework: Pursuant to TEC 25.095 — Warning Notices, when a student reaches ten (10) full or partial day absences within a six month period, or 3 full or partial days within a four-week period, a notice will be sent home notifying them that continued absences will put them at risk for the following: Page 121 (1) The student's parent is subject to prosecution under TEC 25.093, and (2) The student is subject to prosecution under TEC 25.094 The Academy shall notify a parent if the student has been absent from school, without excuse under TEC 25.087, on three full or partial days within a four-week period. The notice shall contain information outlining the following: (1) It is the duty of the parent to monitor and require school attendance. (2) The parent is at risk for prosecution under TEC 25.093 (3) And, request a meeting between the appropriate school officials and the parent to discuss the absences. Failure of the parent to receive the notice, is not a defense to prosecution. Excused Absences A student shall be excused from school attendance for temporary absence resulting from any cause acceptable to the student's teacher(s), Head(s) of Section, or CEO. A student shall be excused from attending school for the purpose of attending religious holy days, including traveling for that purpose. TEC 25.087 The Parent/Student Handbook shall outline the specific and allowable school approved situations involving absences from class. The information will be published on an annual basis. Page 122 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy o. 0 -04: Date Board Adopted: February 9, 2009 Date Board Amended: August 16, 2010 (Res 10-12) Effective Date: February 9, 2009 Polio_Category: pa,-H ni, Studarill ai,,,,,d Pacullt%y Relaivans a,,id Polio Name: Parent-Student Handbook Policy Goal: Effective communication of Parent-Student Expectations and Standards Polio Des�crition: The purpose of this policy is to outline the Board of Trustees' desired outcome to have a Parent/Student Handbook to facilitate communication to Westlake Academy parents and students of the various aspects of the Academy's operations, student expectations, and student standards. In that light, the Westlake Academy staff is charged with drafting, updating, and publishing, at least annually prior to the start of the school, a Parent/Student Handbook (Handbook). A copy of the current Handbook will be placed on the Academy's web site. During the course of the school year, the Academy staff is responsible for identifying amendments that may need to be made to the Handbook due to changes in Board policy or Academy procedures. If any amendments are made, they shall be communicated in a timely fashion to all Academy parents and students prior to their effective date. Parents and students will be expected to sign an acknowledgment form stating they have read and understand the policies and procedures outlined in the Handbook for each applicable school year. A student that fails to provide a signed acknowledgment within the allotted time frame may be subject to expulsion from the Academy. Page 123 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Parent, S!4W--k,1gt PAldi Rn,,cul'ty ReLi,-fioris ;-',n(rl Ex, e 3a �Iudent Dr ive-s Policy Nam " e: 11� Policy Goal: Outline the requirements and responsibilities for student driving and parking assignments on campus Policy Description: In consideration of the safety of the students and due to the limited number of parking spaces, the Board reserves the right to institute regulations concerning the operation and parking of vehicles on Academy grounds —TEC 37.102(a). A written application will be required prior to the issuance of a permit. A parking permit shall be required for a student to drive to the school campus and park a personal vehicle on school property. The permit holder is also subject to the following regulations: (1) Annual parking permit fees will be assessed and the amount published pursuant to the publication of the Parent/Student Handbook each year. (2) Students may apply for the permit upon proof of a state issued driver license (which does not include temporary permits), proof of insurance or financial responsibility documents, parental authorization and liability forms. (3) Upon approval, a parking decal will be issued to the student which shall be placed on the vehicle in accordance to the directives in the Parent/Student Handbook. (4) Westlake Academy may suspend the permit of any student for the following reasons: a. Violation of the Student Driver Policy b. Unsafe driving c. If the driving privilege is interfering with class attendance or academic performance. Page 124 All students must obey the applicable traffic laws and restrictions pertaining to licensed drivers under the age of 18 while operating a motor vehicle on campus. The school also reserves the right to search a student's vehicle, with student supervision while it is parked on school grounds. Further parking and driving procedures will be published in the Parent/Student Handbook on an annual basis. Page 125 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Polity_No. 10-20: Date Board Adopted: September 13, 2010 Date Board Amended: N/A Effective Date: September 13, 2010 Policy Category: Pan'- andi Policy_Aame: Vol-,nte_ r Policy Policy Goal: Pursuit of the Academy's mission/vision for effective education via a teacher-student-parent partnership which promotes positive parent and community involvement at Westlake Academy through a volunteer program constructed according to appropriate policy guidelines. Policy_Pascription: The purpose of this policy is to provide overall guidance and policy direction to faculty, staff, and volunteers regarding Westlake Academy's volunteer program. Westlake Academy's Board of Trustees supports the use of volunteers, subject to the requirements of this policy, as a means to utilize the many abilities and talents of volunteers to enhance the educational experience for Westlake Academy students. It is recognized that volunteers provide the staff and students at Westlake Academy with resources and talents that would otherwise not be affordable or would require use of scarce Academy budget dollars to acquire. Unless specifically stated herein, this policy applies to all volunteers in all programs and projects undertaken at or on behalf of the Academy. Accordingly, it is appropriate for Westlake Academy staff to develop processes and procedures to manage and administer a volunteer program within the following policy boundaries: Westlake Academy volunteers are those individuals who choose to perform services for the Academy as defined by Academy staff without compensation or expectation of compensation of any kind. Volunteers are not employees of Westlake Academy. Page 126 • Anyone interested in volunteer service at Westlake Academy shall first apply by completing a volunteer application packet, which is available at the Academy office and on-line. • A volunteer may not perform any volunteer duties for the Academy until: 1. The Academy has obtained all necessary criminal history record information related to the volunteer as may be required by state law and board policy; and 2. The Superintendent's designee makes a determination in his/her discretion on the appropriateness of volunteer service by the applicant and provides written notice that the volunteer's application has been approved; and 3. The approved volunteer completes annual mandatory training, including completion of training on the Family Educational Rights and Privacy Act (FERPA) conducted by Academy staff, and signs the Academy's Learning Commitment. • Approved volunteers will be assigned tasks and duties based upon the needs of the Academy as identified by Academy staff. All persons approved for volunteer service shall perform their volunteer service under the supervision of a Westlake Academy staff/faculty person. Volunteers will access their volunteer work stations at the Academy via the campus security system established by staff. • Academy volunteers must comply with all applicable Academy policies and procedures at all times that volunteer services are provided; including, but not limited to, the Academy's acceptable use policies related to technology. Use of volunteers does not constitute, either implicitly or explicitly, a binding contractual or personnel agreement on behalf of Westlake Academy. The Board of Trustees reserves the right to change this policy or any other policy related to use of volunteers and require adherence by all new and current volunteers. Page 127 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-13: Date Board Adopted: August 16, 2010 Date Board Amended: N/A Effective Date: August 16, 2010 Policy Category: �Iwrer,�t StiAdt",mt and Fauft _qo r y: 9 il 1, �kl Expecl.,,�tior'is Policy_Name: Acaderrflc hionesty and Honmr � ,),die Policy Goal: To establish a standard for academic honesty and the expectations relative to an honor code for Westlake Academy Policy Description: A component of the mission statement for Westlake Academy is to strive to achieve academic excellence and develop life-long learning traits for the success of the students. As such, an academic honesty and honor code is necessary to support those endeavors. All students are expected to act with integrity in regards to Academic and non- academic contexts. Any form of plagiarism, including downloading and using information from the internet without quoting sources, will be considered a violation of the code of conduct. We expect all students to be on their honor, and cheating will be dealt with severely. Academic Dishonesty Academic dishonesty is defined as: • Engaging in any act of plagiarism by passing off ideas or words of another as one's own, using another's work without quoting sources, committing literary theft, or presenting an idea from an already existing source as new or original; • Receiving or providing assistance on an assignment in or out of the classroom where collaboration is not explicitly condoned by the instructor; • Communicating or attempting to communicate with another student during an examination via verbal, nonverbal, written, or electronic means; • Disclosing the content of assessment material to another student who is taking or has taken the same course but has not yet taken the assessment in question; • Possessing or using forbidden materials or aids during an assessment; or Page 128 Stealing, attempted theft, or collusion with any who attempt to steal assessment materials. Cheating, plagiarism, forgery and any other forms of academic dishonesty are considered severe discipline infractions and will be subject to the progressive discipline process outlined in the Parent/Student Handbook. Honor Code By means of an Honor Code, students practice responsible leadership, accept personal responsibility and develop strong character and create an atmosphere free from suspicion. At its core, the Honor Code is based on mutual respect and trust, serving as a written model for what is expected from students in terms of behavior, as well as a pledge to live by the school's values. All students will be required to support the traits identified in the 113 Learner Profile by committing to the following: Honor Pledge: I pledge to uphold the honor of Westlake Academy and ensure that all work carrying my name is my own." Students who commit themselves to upholding the Westlake Academy Honor Code will be instilled with a sense of honor and integrity that will last beyond their school years. Page 129 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-14: Date Board Adopted: August 16, 2010 Date Board Amended: N/A Effective Date: August 16, 2010 Policy Category: .0 t and F E x P e o n s Poli2y Name: ra-M�knoloay "Use and Cornpurter Sys'em Respon�sibil i fi es Policy Goal: To establish accountability standards and parameters for the use of technology at Westlake Academy congruent with the Academy's academic honor and employee/student conduct codes and expectations. Poli2y_q2§criRtion: In an effort to promote to appropriate use of technology in the classroom and within the broader learning environment, the Board of Trustees approves the following policies and procedures for Westlake Academy. Technology Resources Access Access to the Academy's electronic communications system and/or technology resources is a privilege, not a right. All users shall be required to acknowledge receipt and understanding of all Board policies and administrative regulations governing use of the system and shall agree in writing to allow monitoring of their use and to comply with all policies, regulations and guidelines. Noncompliance may result in suspension of access or termination of privileges and other disciplinary action consistent with Academy policies, any applicable employee policies or procedures, and the Parent/Student Handbook. Violations of law may result in disciplinary action by the Academy, in addition to any action taken by law enforcement. Access to the Academy's electronic communications system/technology resources will be governed as follows: 1. Students in Kindergarten-Grade 12 will be assigned individual student login/access ID's to utilize the Academy's system by parental permission, as appropriate. Page 130 2. As appropriate and with the written approval of the immediate supervisor and completion of relevant training, Academy employees will be granted access to the Academy's technology resources as necessary. 3. A staff member may apply for a generic email account and in doing so will ultimately be responsible for use of the account. 4. The Academy will require that all passwords be changed when necessary. All passwords must remain confidential and may not be shared. 5. Any system/resources user identified as a security risk or as having violated Academy and/or campus technology use guidelines may be denied access to the Academy's technology resource system. 6. All users will be required to sign a user agreement annually each August for issuance or renewal of an account. Academy employees that violate the user agreement or the Academy's Technology Policy may be subject to an adverse employment action up to and including termination of employment. Academy students that violate the user agreement or the Academy's Technology Policy may be subject to disciplinary action in accordance with the Academy's discipline policies and the procedures outlined in the Parent/Student Handbook. 7. All Academy technology resource systems are business assets and are not private. The Academy may access and review any use of technology, including, but not limited to, all Web pages and e-mails sent to and from employees, during transmission or storage. Technolow Resources User Resl2o sibilities The following standards will apply to all users of the Academy's technology resources systems: 1. The individual in whose name a user ID/login is issued will be responsible at all times for its proper use. 2. The technology resources system may not be used for illegal purposes, in support of illegal activities, or for any other activity prohibited by Academy policy or guidelines. 3. Users may not disable, or attempt to disable, a content/media filtering device on the Academy's technology resources system. 4. Encryption methods other than those used and approved by the administrator may not be utilized. 5. System users may not use another person's user ID/login without written permission from the campus administrator or Academy coordinator, as appropriate. Page 131 6. Students may not distribute personal information about themselves or others by means of the technology resources system; this includes, but is not limited to, personal addresses and telephone numbers. 7. Students should never make appointments to meet people whom they meet online and should report to a teacher or administrator if they receive any request for such a meeting. 8. System users must purge and/or make hard copies of electronic mail and file such in accordance with established retention guidelines. 9. System users may not redistribute copyrighted programs or data except with the written permission of the copyright holder or designee. Such permission must be specified in the document or must be obtained directly from the copyright holder or designee in accordance with applicable copyright law, Academy policy, and administrative regulations. 10. System users should avoid actions that are likely to increase the risk of introducing viruses to the system, such as opening e-mail messages from unknown senders and loading data from unprotected computers. 11. System users may not install public domain programs to the technology resources system. Users may not download public domain programs for their own use nor non-commercially redistribute a public domain program and are responsible for determining whether a program is in the public domain. 12. System users may not use the Academy's technology resources to send or post messages that are abusive, obscene, pornographic, sexually oriented, threatening, harassing, damaging to another's reputation, or illegal. 13. System users may not purposefully access materials that are abusive, obscene, pornographic, sexually oriented, threatening, harassing, damaging to another's reputation, or illegal. 14. System users should be mindful that use of school-related electronic mail addresses might cause some recipients or other readers of that e-mail to assume they represent the school, whether or not that was the user's intention. 15. Users may not waste Academy technology resources related to the system. 16. System users may not gain unauthorized access to resources or information. 17. System users understand and agree that all documents and communications are the property of the Academy. As such, a system user may not copy, download, disseminate, e-mail or disclose Academy property to third parties not directly related to Academy business without the express written authority of the Academy Superintendent. Page 132 Information from Third Parties System users and parents of students with access to the Academy's technology resource system should be aware that, despite the Academy's use of technology protection measures as required by law, use of the system may provide access to other electronic communications systems in the global electronic network that may contain inaccurate and/or objectionable material. Any user and/or student who gains access, or knows of others accessing such material is expected to discontinue the access as quickly as possible and to report the incident to the supervising teacher/administrator(s). A student knowingly bringing prohibited materials or media into the school's electronic environment will be subject to suspension of access and/or revocation of privileges on the Academy's system and will be subject to disciplinary action in accordance with the Student Code of Conduct. An employee knowingly bringing prohibited materials or media into the school's electronic environment will be subject to disciplinary action in accordance with Academy policies. Disclaimers Opinions, advice, services, and all other information expressed by system users, information providers, service providers, or other third-party individuals in the system are those of the providers and not necessarily the Academy. The Academy will cooperate fully with local, state, or federal officials in any investigation concerning or relating to misuse of the Academy's technology resources system. Page 133 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-16- Date Board Adol2ted: August 16, 2010 Date Board Amended: N/A Effective Date: August 16, 2010 Policy Category: "a r Sfiod""ertt and an,,Jl Policy Name: E"'Ji e G tr('P C GC R es n Hk i e S Policy Goal: Establishing clear guidelines for the use of electronic communication between Westlake faculty/staff and parents, between Board members and parents, as well as between Academy faculty/staff members and their students. Policy Description: Effective communication is an essential component of any successful organization, and the Board wishes to encourage this type of communication among all Academy stakeholder groups and constituents. To that end, it is recognized that electronic communication is frequently used to achieve communication between parties on a timely basis. It is important to identify when electronic communication is appropriate, when it is not, and how to best utilize this method of communication for maximum effectiveness in the school setting. Definitions For the purposes of this policy, the term "electronic communication(s)" shall be defined as: a. Email b. Text messaging c. instant Messaging d. Social media sites, such as Facebook and Twitter Page 134 Electronic Communication shall be used for short and precise exchanges to: a) plan or schedule meetings between a parent and teacher or between faculty/staff members b) answer a brief factual/logistical question about a student's homework assignment or scheduling of a test, quiz, or project, (i.e. when tests, quizzes, or projects will be given or when they are due) c) announce trip arrangements and logistics Electronic Communication on these topics shall be timely and concise. As such, inquiries sent via electronic communication shall be answered/returned by faculty/staff within twenty-four (24) hours or less of their receipt from a parent or student (weekends excepted). Electronic Communication shall not be used for substantive discussions and conversations. These include, but are not limited to, the following: a) discussions about a student's (or students') behavior or conduct, either in or outside of the classroom, on or off campus b) discussions regarding a student's (or students') academic performance or any aspect of student life protected as confidential under State and/or Federal law (i.e., special education needs, learning disabilities, discipline imposed, etc) c) discussions regarding teaching methods, subject content, policy or administrative decisions, or discipline measures/decisions All communication on topics such as these shall occur in face-to-face meetings or telephone conversations, as appropriate. Such meetings and/or telephone conversations shall be set and/or occur in a timely fashion. Faculty/staff members are prohibited from using social media, personal email, or third-party websites to communicate with students or parents about any Academy-related matters. Page 135 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-17: Date Board Adopted: August 16, 2010 Date Board Amended: N/A Effective Date: August 16, 2010 Policy Category. Stu,(Jent ,mr. # floris aand Policy _Narne: Lean-,Jr,�,g Gonruynunity Corinmih-nieeta SIA"aternen,111 Policy Goal: To pursue shared commitment between faculty, students and parents to build and nurture a flourishing learning community at Westlake Policv Description: For quality education to occur, a partnership between parents, students, and faculty must unite towards a common vision and goals. As such, the Board of Trustees has established vision, mission, and values statements for Westlake Academy all grounded in Westlake Academy's strong roots in the International Baccalaureate (IB) curriculum and the IB Learner Profile. In order to bring this vision into the daily school life of our students, tools must be in place to connect the vision by emphasizing and cultivating the development of a learning community. This commitment is contained in the Westlake Academy Learning Community Commitment. There is much written in educational literature about schools as "learning communities", centered on the faculty/staff, student and parents creating a learning community, which is often characterized as having these attributes (SEDL): • supportive and shared leadership • collective creativity • shared values and vision • supportive conditions • shared personal practice The Academy's Learning Community Commitment is intended to help chart, reinforce and communicate to the parents, students, and faculty, not only the clear path necessary toward achieving a student's successful graduation, but the behaviors and ideals necessary to achieve that end. As such, the Board has developed statements toward establishing a Learning Community Commitment for faculty, students and parents. Page 136 The student portion of the Learning Community Commitment is an acknowledgment of the traits found in the IB Learner Profile which are integral to their overall development and achievement during the course of their educational career. Students in grades 5 — 12 are required to sign the commitment statement on an annual basis. Failure to do so may subject the student to the discipline consequences found in the Parent/Student Handbook, up to and including expulsion from the Academy. The faculty and staff section of the Learning Community Commitment identifies and reinforces the professional conduct required to support our students while they are enrolled in our learning environment at Westlake Academy. Faculty and staff are also required to sign the commitment statements on an annual basis. Failure to do so may result in an adverse employment action. The parent statement portion of the Learning Community Commitment affirms the importance of the parent's role in attaining a quality education for their child and supporting their student, as well as the staff, in achieving the long term goal of creating a high quality learning environment. Parents are strongly encouraged to read and discuss the student commitments with their children in grades K-5 and pledge their support to the success of the students by signing the parent commitment on an annual basis. Page 137 Financial Stewardship TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Financial Stewardship Policy Name: Stuff phis Property Disposition Policy Goal: Proper disposition of surplus Town assets acquired for Academy use in accordance with applicable local, State and other legal requirements and guidelines. Policy Description: 1 Purpose. The purpose of this policy is to describe the guidelines for the disposal of surplus, obsolete, and non-repairable Westlake Academy properties and fixed assets. 2. Effective. Immediately on the date of its passage by the Board of Trustees. 3. Applicability, This policy applies to all employees. 4. Disposal of Westlake Academy Property. The CEO or designee, is authorized to sell worn-out, scrap, obsolete or unused personal property ("Surplus Property") other than items routinely discarded as waste. Disposal may take the form of an on-site auction, Internet auction, recycling, or trash disposal. 5. General Information. Westlake Academy may schedule items for auction that are considered economically unusable. These include fixed assets such as surplus, obsolete, or non-repairable properties. A Surplus Property Transfer Form signed by the department supervisor and CEO or designee is used to facilitate the transfer of these items for disposition. Arrangements for transfer are made based on available storage space and truck schedules for pick up. Every effort should be made to determine if a need for the surplus property exists anywhere else in Westlake Academy before a sale or disposal occurs. The CEO or designee maintains a list of surplus property scheduled for disposal. Other departments may requisition any properties on the surplus list by sending a completed requisition form to the CEO or designee. Page 138 Property cannot be sold by the school, given to or taken by any employee for personal use, or disposed of in any manner other than described in this policy. All rights and titles to Westlake Academy property, whether real or personal, shall be vested in the Board of Trustees and its successors in office. The Board may, in an appropriate manner, dispose of property that is no longer necessary for Westlake Academy operations. The CEO or designee is authorized to declare Westlake Academy materials, equipment, and supplies to be unnecessary and shall dispose of unnecessary materials, equipment, and supplies for fair market value. If the unnecessary property has no value, the CEO or designee may dispose of such property according to administrative discretion. Items obtained as federal surplus or with federal funds shall be managed according to federal regulations. The CEO or designee shall establish procedures for the sale, at fair market value, of any surplus personal property such as books, equipment, and supplies. Items obtained as federal surplus or with federal funds shall be handled in accordance with federal regulations. Personal property includes any item owned by Westlake Academy not classified as real estate. Items of substantial value such as portable buildings and buses shall not be disposed of without advance Board notification under administrative regulations. Monies collected from the sale of obsolete materials, equipment, and supplies shall be deposited to the Westlake Academy General Fund. 6. Surplus Property Property no longer needed by Westlake Academy becomes surplus. If a need for the property is not known, it should be transferred to storage by using a Surplus Property Transfer Form. 7. Westlake Academy Property Disposal Procedures: Any property that is movable or not attached to the land (referred to as personal property) such as furniture, fixtures, vehicles, equipment, tools, instruments, clothing, or other such items of value, which has lost its useful value to the Academy or has become obsolete. Personal property does not include real estate such as land, including the building or improvements on it, or its natural assets, such as minerals and water. Once items have reached their "end-of-useful-life" (as determined by the CEO or designee), the items will be classified as disposed property. Procedures for disposal are: a. Whenever an item of equipment is deemed to be obsolete or unfit for use, such equipment may be disposed of on a competitive basis, either by trade-in or outright sale to the highest prospective buyer. b. Items that cannot be sold in their original form, or lose their identity while in the possession of the Westlake Academy, may be sold as scrap, if deemed advisable, at the highest obtainable offer. Page 139 c. The determination of the highest prospective buyer shall be made with the approval of the CEO or designee, or an authorized representative. The CEO or designee coordinates a public sale of surplus property as needed for items that are no longer needed by Westlake Academy. Employees of Westlake Academy or the Town of Westlake will be permitted to purchase items at the sale on the same basis as all other buyers. a. Fixed Asset or Inventory items must be removed from Westlake Academy's inventory prior to disposal. b. Items should never be discarded at the department or campus level. Instead, items should be transferred to Surplus Property storage where they will then be sold in a Disposal Sale or discarded per instructions from the CEO or designee. C. Since there are many contributors to a Disposal Sale, proceeds are pooled and are not returned to any particular department's budget. Westlake Academy property shall, at the option of the CEO or designee, be disposed of by one of the following methods: a. On-site Auctions. The CEO or designee advertises the auction in a local newspaper two weekends prior to the date of the auction. The advertisement shall indicate the time, date and location of the auction. The advertisement guidelines are as follows: i. The advertisement must state that the Westlake Academy reserves the right to cancel or void any sale that has not been conducted in accordance with the terms of the auctioneer's contract; ii. All sales shall be "as/where is"; iii. Payment must be made at the time of sale, and all sales are final; iv. All sales will be for cash, money order, cashier's check, or check with Bank Letter of Guarantee; and V. Westlake Academy shall not be responsible for any loss or damage to any article(s) sold at auction after the sale has been consummated. The advertisement guidelines are as follows: All items proposed for auction will be stored in a central location the day of the auction. Federally funded items are to be segregated on the auction floor. The sending department and the Finance Department will prepare the documents if required by federal and state guidelines. Page 140 The CEO or designee shall retain the right to remove any items from sale at the auction if the item does not yield at least 80 percent of the predetermined sales price or if the final sale is not in the best interest of Westlake Academy. An internal auditor must be present to serve as an independent observer to ensure compliance with auction procedures and must remain until all proceeds have been collected. The internal auditor will issue a written formal audit report to the Finance Director. Auction guidelines are as follows: i. Auctioneer. The auctioneer is selected by an open bid process conducted by the CEO or designee. The CEO or designee works with the auctioneer prior to the auction to verify that all items have been documented and have correct pallet and lot numbers on the auctioneer's coupon sales ledger. The CEO or designee provides the auctioneer with a copy of the auction lists, including a list of prices to establish a minimum bid price. ii. Vehicle Auction. All vehicles being sold at auction must have Westlake Academy emblems, license plates, and peripheral equipment (radios, sirens, etc.) are removed by the using department prior to the auction. The emblems are destroyed by the using department. The license plates are sent to the CEO or designee. After the sale, the CEO or designee releases the title to the new owner. iii. Collection and Distribution of Funds. All expenses incurred for the auction will be paid out of the receipts of the auction. The CEO or designee shall collect a desegregation form and applicable Tax Exempt Certificates from all buyers and collect and distribute all funds obtained from the auction. A minimum of two staff members will be required to process or collect all payments. Monies from the auction will be collected, in full, on the day of the auction, and submitted to the finance department. iv. Time Limit to Remove Auctioned Items. A maximum time limit of five days or less will be set by the CEO or designee, for the removal of all items after the auction. If items are not removed by this time, the items may be disposed of or re-auctioned. In such cases, no refund will be made to the buyer. V. Removal of Auctioned items. The new owner assumes all risks associated with moving or loading the property from the auction location. The CEO or designee, if necessary, will assist in loading the auctioned items, but assumes no liability for damage. Page 141 b. Electronic Auction. An auction Web page will be secured by CEO or designee to facilitate an online auction and the items for sale will be listed. A starting bid price and a reserve price, if applicable, will be assigned to each item on the lists created through a coordinated effort by the CEO or designee, and the sending department. Any items not sold on the online auction may be listed at the on-site auction. Procedures for the on-site auction will apply to the electronic auction. c. Donation, sale, or lease to Public Entities. Property may be donated, sold, or leased to certain government or educational institutions. Prior to transfer, the Board of Trustees must declare no value or nominal value and that the Westlake Academy does not need the real property or improvements. The entity to whom the transfer is made has shown, to the satisfaction of the Board of Trustees, that the entity intends to continue to use the real property and improvements for public purposes. The President of the Board of Trustees shall execute a deed transferring ownership of the real property and improvements to the municipality, county, state agency, or nonprofit organization. The deed must: i. Recite the resolution of the Board of Trustees authorizing the donation; and ii. Provide that ownership of the real property and improvements revert to Westlake Academy if the municipality, county, state agency, or nonprofit organization discontinues use of the real property and improvements for public purposes; or iii. Executes a document that purports to convey the property. d. Other Means of gj§posal. Property may be directly disposed of under the following circumstances: i. If the item is broken, unusable, and/or hazardous. Documentation and pictures must be provided for an item to be disposed of. ii. Offer the property as a trade-in for new property of the same general type if the CEO or designee considers that action to be in the best interest of the Academy. iii. Order any of the property to be destroyed or otherwise disposed of as worthless, if the Academy undertakes to sell that property and is unable to do so because no bids are received. iv. Competitive sealed bids following the guidelines of Chapter 252 of the Texas Local Government Code for competitive bidding. Page 142 8. Transfer of Assets Purchased with Federal Funds: When items purchased wholly, or in part, with federal funds are no longer serviceable or required by Westlake Academy, the CEO or designee ensures that all federal and state regulations are met before disposition of assets at public auction or through the competitive bid process. 9. Texas Education Agency Approval to Dispose of Equipment: The CEO or designee will ensure that any items requiring TEA approval prior to disposal shall be done in accordance with applicable TEA regulations and in accordance with the procedures outlined in this policy. Page 143 Governance TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Governamce Policy Name: Code of Conduct Policy goal: To delineate the standards of conduct for students, parents, teachers and administrators. Policy Description: Westlake Academy promotes integrity, truth, knowledge, trust, discipline, and respect in a safe learning and teaching environment. The Code of Conduct applies to all students, parents, teachers and administrators, each of whom has the right to a safe and productive environment. The underlying goal of the code of conduct is that community members develop the skills and attitudes to become self-disciplined. Westlake Academy policies will be disseminated to all students and parents/guardians regarding the Code of Conduct through the publication of the Parent/Student Handbook. Westlake Academy Code of Conduct 1. All members of the Westlake Academy school community — the students, parents/guardians, volunteers, teachers, staff and administrators must observe the regulations. 2. All members of the school community are to be treated with dignity and respect. 3. Responsible citizenship involves appropriate participation in the school community. Each member accepts the responsibility to participate in a manner reflecting dignity and respect. 4. Positive reinforcement of good behavior and recognition of a job well done are the most effective means of promoting high standards of behavior and academic achievement. Page 144 5. The Westlake Academy does not employ corporal punishment and does not tolerate violent behavior. 6. Disruptions of class impede student learning and teacher productivity. All members of the school community are responsible for maintaining a positive learning environment. 7. All students are expected to act with integrity in regards to Academic and non-academic contexts. The Academy will not tolerate any form of plagiarism, including downloading and using information from the internet without quoting sources. We expect all students to be on their honor and cheating will be dealt with severely. Roles and Responsibility School Board Provides policy direction that ensures individual student opportunity, excellence, and accountability for the Westlake Academy school community and is the ultimate Board of appeal in the disciplinary process. The School Board will: • Develop policies that communicate and uniformly enforce the Westlake Academy Code of Conduct in a manner that ensures their commitment and support. • Seek input from students, parents, and staff and review their policies regularly. • Provide opportunities for staff to acquire the knowledge and skills necessary to maintain excellence. Chief Executive Officer (CEO) Is responsible for providing a safe and positive learning environment. In compliance with State and Federal laws and regulations and the direction of the School Board, the CEO is responsible for all daily operations of the school, including personnel, curriculum development, enforcement of School Board policies and compliance with state and federal reporting guidelines; developing the annual budget and strategic planning to be submitted to the Board for approval; establishing parental participation and involvement guidelines; and regularly communicating with students, parents, Westlake Academy affiliated groups and the school community. Head(s) of Section Is directly responsible for the organization and the administration of their section. Head(s) of Section will work in collaboration with teachers, to maintain a positive safe learning environment. Page 145 Teachers and School Staff Under the leadership of the Head of Sections and executive manager, will maintain order in the school and are expected to hold everyone to the highest standard of respectful and responsible behavior. As role models, staff upholds these high standards when they: • Communicate regularly and meaningfully with parents when needed; • Maintain consistent standards of behavior for all students; • Demonstrate respect for all students, staff, and parents; • Prepare students for the full responsibilities of citizenship. Students Are to be treated with respect and dignity. In return, they must demonstrate respect for themselves, for others, and for the responsibilities of citizenship through acceptable behavior. Respect and responsibility are demonstrated when a student: • Comes to school prepared, on time, and ready to learn; • Comes to school properly dressed in our school uniform; • Shows respect for him/herself, for others, and for those in authority; • Refrains from bringing anything to school that may compromise the safety of others; • Follows the established rules and takes responsibility for his or her own actions; • Is responsible for turning in all assignments on time. Parents Play a vital role in the education of their children and have a responsibility to support the efforts of school staff in maintaining a safe and respectful learning environment for all students. Parents fulfill this responsibility when they: • Show an active interest in their child's school work and progress; • Communicate regularly with the school; • Help their child be neat, appropriately dressed, and prepared for school; • Ensure that their child attends school regularly and on time; • Promptly report to the school their child's absence or late arrival; • Encourage and assist their child in following the rules of behavior; • Assist school staff in dealing with disciplinary issues. • Follows the complaint procedure in case of grievance. Violations of the Code of Conduct will be subject to progressive disciplinary actions and/or expulsion as outlined in the Parent/Student Handbook. Page 146 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: August 16, 2010 (Res 10-10) Effective Date: August 16, 2010 Policy Category: G%'.iwernancz--, Policy Name. D I s c hp I�ri.e Policy Goal: Description of the discipline policy Policy Description: Our primary belief is that no student or member of the Westlake Academy community has the right to impede the education of another student. Any behavior, which is disruptive to the learning environment, will not be tolerated and appropriate disciplinary action will be taken, as necessary, to ensure the integrity of the learning environment. The Academy encourages parents to work with their children and school personnel to establish clear expectations for student behavior. Staff and students will use the 113 learner profile attributes as a basis for the development of a constructive behavior environment. Every effort will be made to develop positive consequences, which can be applied to individual students as well as classrooms. Consistency is important and will be a priority in decisions involving student behavior and discipline in order to establish firm and consistent limits for students. The 113 program also establishes a positive educational environment for both the student and teacher. Parent/Student Handbook: Each year, Westlake Academy shall make available the Parent/Student Handbook, which shall describe the acceptable standards of student conduct and the disciplinary consequences applicable to violations of the standards of conduct or other school or classroom rules. Both parents and students are expected to sign acknowledgement of the receipt and review of the Parent/Student Handbook for each year in which the student is enrolled in the Academy. A student that fails to provide a signed acknowledgment within the allotted time frame may be subject to expulsion from the Academy. Revisions to the Handbook that are made during the school year shall be made available promptly to students, parents, teachers, administrators, and others. Page 147 Progressive Discipline: Generally, consequences for disregarding acceptable standards of conduct or school and classroom rules will include one or more of the following: 1. Warning from teacher or any member of school staff and reflection by student 2. Disciplinary action from classroom teacher and reflection by the student 3. For more serious offenses, Principal directed disciplinary action and reflection by the student 4. For repeated infractions or serious offenses, disciplinary action by the Principal or Superintendent, parent notification and reflection by the student Disciplinary action may include: 1. Detention 2. In-school Suspension 3. Saturday School 4. Out-of-school Suspension 5. Expulsion 6. Or other consequences determined by the Principal or Superintendent to be appropriate in compliance with the procedures identified in the Parent/Student Handbook Depending on the severity of an offense, school personnel may request immediate intervention by the Principal or Superintendent in any disciplinary matter. Parents will be notified promptly if a student's behavior may result in a disciplinary consequence that includes detention for which the parent may need to make alternative transportation plans for the student, in-school suspension, out-of-school suspension, or proposed expulsion. Guidelines for Discipline Procedure: Westlake Academy personnel shall adhere to the following general guidelines when imposing discipline: 1. A student shall be disciplined when necessary to improve the student's behavior, to maintain essential order, or to protect other students, school employees, or property. 2. Students shall be treated fairly and equitably. Discipline shall be based on a careful assessment of the circumstances of each case. Factors that may be considered include: a. Seriousness of the offense; b. Student's age; Page 148 c. Frequency of misconduct; d. Student's attitude; e. Potential effect of the misconduct on the school environment; f. Provisions of the Parent/Student Handbook. 3. When applicable, the following steps will be taken to ensure Westlake Academy students receive appropriate due process: • The student will be informed of the prohibited conduct or rule violation that he/she is alleged to have committed. • The student will be provided information related to the factual basis for the allegations. • The student will have an opportunity to respond to the allegations and provide any additional information relevant to the allegations, including any defenses or other mitigating factors. 4. Discipline for serious offenses: A student may be removed from class if the student engages in conduct involving a public school that contains the elements of the offense of false alarm or report under Texas Penal Code 42.06, or terroristic threat under Texas Penal Code 22.07. A student may be removed from class if the student commits the following on or within 300 feet of school property, as measured from any point on the school's real property boundary line or while attending a school-sponsored or school- related activity on or off school property: 1. Engages in conduct punishable as a felony, 2. Engages in conduct that contains the elements of assault, under Penal Code 22.01(a)(1), 3. Sells, gives, or delivers to another person, or possesses, uses, or is under the influence of: a. Marijuana or a controlled substance, as defined by the Texas Controlled Substances Act, Health and Safety Code Chapter 481, or by 21 U.S.C. 801, et seq; b. A dangerous drug as defined by the Texas Dangerous Drug Act, Health and Safety Code, Chapter 483. 4. Sells, gives, or delivers to another person an alcoholic beverage, as defined by the Alcoholic Beverage Code, 1.04, or commits a serious act or offense while under the influence of alcohol, or possesses, uses, or is under the influence of an alcoholic beverage, 5. Engages in conduct that contains the elements of an offense relating to an abusable volatile chemical under Health and Safety Code, 485.031 through 485.034, Page 149 6. Engages in conduct that contains the elements of the offense of public lewdness under Penal Code, 21.07, 7. Engages in conduct that contains the elements of the offense of indecent exposure under Penal Code, 21.08. 8. Students shall not smoke, use or possess tobacco products, Any conduct by a student that poses a risk to the safety of the student, other students, school employees or school property may be treated as a serious offense and may result in the student's removal from class and other appropriate discipline, up to and including expulsion. The consequences for a serious offense may result in disciplinary action up to and including expulsion on the first offense. Serious offenses may also include other prohibited behaviors as identified in the Parent/Student Handbook based on the circumstances and severity of the offense. 5. Prior to expulsion from Westlake Academy, a student will have an opportunity for a hearing before the appropriate Principal. The student's parent shall be notified in advance of the hearing. If the Principal recommends expulsion, the student may appeal that decision to the Superintendent. If the Superintendent upholds the recommendation for expulsion, the student may appeal that decision to the Board of Trustees. Gun-Free Schools Act In accordance with the Gun-Free Schools Act, Westlake Academy shall expel, from the student's regular program, for a period of one (1) year, any student who is determined to have brought a firearm, as defined by federal law, to school. The Superintendent may modify the term of expulsion for a student or assess another comparable penalty that results in the student's exclusion from the regular school program, on a case-by-case basis. 20 U.S.C. § 7151; Tex. Educ. Code §§ 12.104(b)(1), 37.007(e). For purposes of this policy, "firearm" means: A. Any weapon (including a starter gun) which will, or is designed to, or which may readily be converted to expel a projectile by the action of an explosive; B. The frame or receiver of any such weapon; C. Any firearm muffler or firearm silencer; D. Any destructive device. "Destructive Device" means any explosive, incendiary, or poison gas bomb, grenade, rocket having a propellant charge of more than four (4) ounces, missile having an explosive or incendiary charge of more than one-quarter ounce, mine, or device similar to any of the preceding described devices. It also means any type of Page 150 weapon (other than a shotgun shell or a shotgun that is generally recognized as particularly suitable for sporting purposes) by whatever name known which will, or which may be readily converted to, expel a projectile by the action of an explosive or other propellant, and which has any barrel with a bore of more than one-half inch in diameter; and any combination of parts either designed or intended for use in converting any device into a destructive device as described in this item, and from which a destructive device may be readily assembled. 18 U.S.C. § 921. Page 151 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policv Category: Gove P-na,,.n'-'-"e Policy Name: Discrinniriation, Preventiori of Polity Goal: Provide an effective learning environment free from discriminatory practices. Policy De§2LjRjjM: Westlake Academy affirms its intent to comply with all Federal and State laws relating to the prevention of discrimination based upon race, color, creed, national origin, age, sex, or handicap. This compliance is to include, but not be limited to, the regulations of the Title IX Act, which prohibits discrimination on the basis of sex in educational programs or activities which receive Federal funds, extending to employment in and admission to such programs and activities; and will comply with the Education of all Handicapped Children Act, Public Law 94- 142, the Americans with Disabilities Act and Section 504 of the Rehabilitation Act. This compliance also includes, but is not limited to the regulations of the Title V1 of the Civil Rights Act of 1964, which prohibits discrimination on the basis of race, color, creed, national origin, age, sex, or handicap. Page 152 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-20: Date Board Adopted: December 7, 2009 Date Board Amended: N/A Effective Date: December 7, 2009 Policy Category. Gco%iernanic,e Policy Name: Campus Facility Reg-pot,,at,.o.,,�/Modificat-'tor,t Projects aned Cw,.Atal Projects (37uidefines Policy Goal: Establishment of a process and central point of contact and coordination for Westlake Academy campus facility additions, renovations, modifications, and proposed capital projects. Policy Description: As Westlake Academy has transitioned into a K-12 educational facility, the need now exists to formally identify a specific individual/position for capital project submission requests as well as coordination of all campus facility renovation and modification projects. The CEO, or his/her designee, shall be the central point of contact for all such projects. All projects involving additions or modifications to the existing campus will be submitted during the Academic Services Budget preparation process with a full description of the project, its budget, and any impact on on-going operating costs. All capital projects will be submitted in accordance with the capital budgeting process and the budget calendar on forms provided by the Town. All projects will be submitted through the CEO or his/her designate. All capital projects will be submitted in accordance with the Town's current financial policies adopted with the Town budget. This policy applies to projects submitted by Staff and by Academy affiliate organizations. Page 153 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No, 09-20: Date Board Adopted: December 7, 2009 Date Board Amended: N/A Effective Date: December 7, 2009 Policy Category: Governance Policy Name: Board Paraffl etern for Staff Recommendations to ihe Board of Tru-,stees Policy goal: Board definition of executive limitations and boundaries for Staff compilation of reports and recommendations presented to the Board Policy Description: In an effort to provide the CEO and Staff of Westlake Academy with the proper guidance necessary to operate the school in an effective manner and ensure the Board is provided with the most current and complete information possible when making decisions, the following policy statement regarding executive limitations is established: Information, advice, reports, as well as recommendations and research presented to the Board of Trustees by the Staff will contain no significant gaps in regards to timeliness of the information, completeness of the research, or accuracy of the facts associated with the presentation. Adherence to this policy, will allow the Board to make well informed and appropriate decisions necessary to achieve the success of Westlake Academy and its students. Page 154 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-20: Date Board Adopted: December 7, 2009 Date Board Amended: N/A Effective Date: December 7, 2009 Policy Category: Goven-mince Policy Name: Adherenice to the Texas Educatmri Agericy, Inte-nationaal, Baccalaureate an',d Charter Guidel"ines Policy Goal: Establish Board policy governance parameters by which the education activities and decisions related to the students at Westlake Academy will be conducted Policy Description: As Westlake Academy is an open-enrollment public charter school, which provides education to students utilizing the International Baccalaureate (IB) curriculum, the school is required to adhere to criteria and regulations promulgated by various authorizing agencies. In an effort to provide the CEO and Staff of Westlake Academy with clear guidance from the Board of Trustees, as it relates to these multiple authorizing agencies, the following policy statement regarding operational guidelines is established: Any action in the activities or education of the students at Westlake Academy, which materially deviates from the International Baccalaureate curriculum, Texas Education Agency (TEA) guidelines for Charter schools and/or the Academy's Charter passed and approved by the TEA (and as may be amended and approved by TEA) will be considered imprudent by the Board of Trustees. The statement is issued to indicate the importance the Board places in the mission/vision of Westlake Academy to educate students utilizing the IB methods and organizational goals specified in the Charter as approved by our authorizing entity, the Texas Education Agency. Page 155 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-04: Date Board Adopted: April 5, 2010 Date Board Amended: N/A Effective Date: April 5, 2010 Policy Category. G 0 V e r r 5 a -i f;e-, Policy Name: Use of Acadeirny Fac'Ilifies by Re kit e,,-1 Gro(,ips Policy Goal: Establishment of a policy as it relates to the use of Westlake Academy campus facilities by auxiliary student-related groups not directly involved in the educational curriculum of the students. Policy Dea21j21!M: As the interests and opportunities for student involvement have expanded, the Board has identified the need to develop a structured policy for the use of Academy facilities by non-school related groups. These groups should enrich the school experience of the students and offer them the opportunity to participate in additional philanthropic based events and organized club meetings which are not directly involved in the daily educational curriculum of the students. Staff is directed to create an application process to accommodate requests for the use of campus facilities by such groups. Priority for the use of campus facilities will be given to Academy-sponsored groups and activities as well as officially recognized Westlake Academy affiliate organizations, which include the Westlake Academy Foundation, the House of Commons, and the Westlake Academy Athletic Council. Other requests under this policy will be considered according to the order of submittal and available meeting space and times. Student participation in meetings scheduled subject to this policy shall be strictly voluntary. All such meetings must occur during non-instructional time of the students' day and shall not require official staff intervention or facilitation. Page 156 This policy shall function in tandem with the Town of Westlake Facility Use policy and all applicants under this policy shall abide by all procedural requirements as set forth in the Town's Facility Use policy, except that an applicant under this policy need not be a resident of the Town of Westlake. The use of Westlake Academy facilities is considered to be a privilege and as such, the Academy reserves the right to prohibit any group from utilizing the facilities if they partake in activities which include unlawful conduct, result in property damage, or engage in other types of disruptive behavior. Any fees or deposits required through the Town's Facility Use policy shall be waived for eligible applicants reserving campus facilities under this policy. Page 157 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 10-15- Date Board Adopted: August 16, 2010 Date Board Amended: N/A Effective Date: August 16, 2010 Policy Category: G#,-�ve rrta nce Policy acne: Vehicle Transportation Policy y Policy Goal: To establish the standards and parameters governing the use of school owned, leased, or rented vehicles in a manner which promotes safety and protects school assets from loss or damage. Policv Description: In an effort to promote safe transportation for all school-related events and establish appropriate standards regarding the use of Westlake Academy-owned, leased, or rented vehicles, the Board of Trustees approves the following policies and procedures for Westlake Academy. Policy Definitions For purposes of this policy: 1. "Bus" means a motor vehicle used to transport persons and designed to accommodate more than ten persons, including the driver. 2. "Passenger car" refers to a motor vehicle, other than a motorcycle, used to transport persons and designed to accommodate ten or fewer passengers. 3. "Passenger van" means a motor vehicle, other than a motorcycle or passenger car, used to transport persons and designed to transport 15 or fewer passengers, including the driver. 4. "School activity bus" means a bus designed to accommodate more than 15 passengers, including the operator, that is owned, operated, rented, or leased by Westlake Academy and is used to transport public school students on a school-related activity trip, other than on routes to and from school. The term does not include a chartered bus, a bus operated by a mass transit authority, or a school bus. 5. "School bus" means a motor vehicle that was manufactured in compliance with the federal motor vehicle safety standards for school buses in effect on the date of manufacture and that is used to transport preprimary, primary, or secondary students to and from school or on a school-related Page 158 activity trip other than on routes to and from school. The term does not include a school-chartered bus or a bus operated by a mass transit authority. 6. "Motor bus" means a vehicle designed to transport more than 15 passengers, including the driver. Education Code 34.003, Transportation. Code 541.201 7. "Motor vehicle" means a self-propelled vehicle or a vehicle that is propelled by electric power from overhead trolley wires. The term does not include an electric bicycle or an electric personal assistive mobility device, as defined by Texas Transportation Code 551.201(11). Bus Operation A school bus may not be operated if: 1. The door of the school bus is open; or 2. The number of passengers on the bus is greater than the manufacturer's design capacity for the bus. Student Transportation The Board of Trustees may contract for all or any part of its public school transportation with a mass transit authority or commercial transportation company, provided that the authority or commercial transportation company: 1. Requires its school bus drivers to have the qualifications required by and be certified in accordance with standards established by the Department of Public Safety; 2. Transports 15 or more students only in school buses or mass transit authority buses that meet or exceed safety standards for school buses established under Education Code 34.002; 3. Conducts all the following education programs with Board approval: a. A program to inform the public that public school students will be riding on the authority's or company's buses; b. A program to educate drivers of the buses to be used under the contract of the special needs and problems of public school students riding on the buses; and c. A program to educate public school students on bus riding safety and any special considerations arising from the use of the authority's or company's buses. School Activities When transporting students in connection with school activities: 1. Only school buses or motor buses may be used to transport 15 or more students; and 2. Passenger cars or passenger vans may be used to transport fewer than 15 students. Education Code 34.003(b)(1), (2) Page 159 Drivers The operator of a passenger car or passenger van used to transport students to school or to a school activity shall ensure that the number of passengers does not exceed the designed capacity of the vehicle and that each passenger is secured by a safety belt. Education Code 34.003(c) 1. Drivers will be fully licensed and shall not be under the influence of any substance that may alter their ability to drive. 2. Drivers will meet all applicable staff qualifications including a satisfactory criminal history and motor vehicle record check (MVR). 3. Drivers will obey all traffic regulations. 4. The driver shall not be included in the child: staff ratio. Drivers must not be distracted from safe driving practices by being simultaneously responsible for the supervision of children. 5. The Driver will be familiar with the planned route ahead of time. 6. Drivers must be authorized by Westlake Academy prior to operating any Academy-owned, leased, or rented vehicle. Approval of all drivers will be based on established administrative criteria and guidelines. 7. Operational procedures governing the use and maintenance of Academy_ owned, leased, or rented vehicles will be based on established administrative criteria and guidelines. Transportation Safety Westlake Academy shall meet or exceed the safety standards for school buses established by the U.S department of Transportation and the Texas Department of Public Safety (DPS), with the advice of TEA. Safety Standards Westlake Academy may not require or allow a child to stand on a moving bus or passenger van. Education Code 34.004 An operator of a school bus, while operating the bus, shall prohibit a passenger from: 1. Standing in the bus; or 2. Sitting: a. on the floor of the bus, or b. in any location on the bus that is not designed as a seat. Transportation Code 545.426 An operator may not use a wireless communication device while operating a motor vehicle within a school crossing zone, unless: 1. The vehicle is stopped; or 2. The wireless communication device is used with a hands-free device. An operator may not use a wireless communication device while operating a passenger bus with a minor passenger on the bus unless the passenger bus is stopped. Transportation Code 545.425 Seat Belts Page 160 A bus, including a school bus and a school activity bus, operated by or contracted for use by Westlake Academy for the transportation of school children shall be equipped with a three-point seat belt for each passenger, including the operator. This requirement applies to: 1. Each bus purchased by Westlake Academy on or after September 1, 2010, for the transportation of school children; and 2. Each school-chartered bus contracted for use by Westlake Academy on or after September 1, 2011, for the transportation of school children. Westlake Academy is required to comply with this requirement only to the extent TEA pays or commits to pay Westlake Academy for expenses incurred in complying with the requirement. Transportation Code 547.701(e)—(f) Westlake Academy shall require a student riding a bus operated by or contracted for operation by Westlake Academy to wear a seat belt if the bus is equipped with seat belts for all passengers on the bus. Westlake Academy may implement a disciplinary policy to enforce the use of seat belts by students. Education Code 34.013 Page 161 Student Achievement TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy o. 0 -03: Date Board Adopted: January 12, 2009 Date Board Amended: N/A Effective Date: January 12, 2009, contingent upon approval by TEA Policy Category: Student Achievement Policy Name: Grading System, Westlake Academy Policy Goal: Effective and Understandable Student Achievement Measurement Policy Description: This grading policy applies on to the Secondary School - Grades 7 and above. Westlake Academy, as an 113 MYP and DP school, gives grades out of 7 (7 being the highest grade, 1 the lowest, with 4 being considered a 'pass' by 113 standards). Thus, there are three steps to this process: 1. How we record the semester grades 2. How to convert those grades from 7-1 to a percentage 3. How to convert this percentage to a GPA 1. Semester grades. There are two semesters, and each is marked in the same way. Each semester has three marks recorded - 40% of the total mark is the work from the first half of the semester, 40% from the second, and 20% from the end of semester exam. Where the average is .5, we will take standard mathematical practice and round this up — e.g. 3.5. becomes 4.0. This is because all submitted grades need to be whole numbers. A mid-term progress report is issued to parents at the end of the first half term, and a full report card at the end of the semester. Page 162 2. Grades to percentages. These semester grades can be converted to percentages. 7= 96 - 100 6 = 90 - 95 5 = 83- 89 4 = 76 - 82 3 = 70 - 75 2 = 60- 69 1 = 59 and below 3. Percentages to GPA. All courses, with the exception of physical education courses, will be included in the GPA. Pre-IB and Pre-AP courses, in addition to IB and AP courses, will be weighted. College courses taken for high school and college credit (dual credit) will be weighted. IB/AP/DUAL CREDIT 90-100 = 4.0 90-100 = 5.0 89 = 3.9 89 = 4.9 88 = 3.8 88 =4.8 87 = 3.7 87 = 4.7 86 = 3.6 86 = 4.6 85 = 3.5 85 = 4.5 84 = 3.4 84 = 4.4 83 = 3.3 83 = 4.3 82 = 3.2 82 = 4.2 81 = 3.1 81 = 4.1 80 = 3.0 80 = 4.0 79 = 2.9 79 = 3.9 78 = 2.8 78 = 3.8 77 = 2.7 77 = 3.7 76 = 2.6 76 = 3.6 75 = 2.5 75 = 3.5 74 = 2.4 74 = 3.4 73 = 2.3 73 = 3.3 72 = 2.2 72 = 3.2 71 = 2.1 71 = 3.1 70 = 2.0 70 = 3.0 69 and below = 0.0 69 and below = 0.0 The selection of Valedictorian and Salutatorian: During the second semester of the 12th grade year, percentage grades will be averaged to determine the top 2 students in the class. All grades for courses receiving high school credit, with the exception of P.E. grades, will be used in the computation. The Head of Secondary and Head of School will verify the computations and the results before they are announced. Page 163 Grade Conversion Chart as referenced in Grading System Policy: 7 100 3.9 80 6.9 100 3.8 79 6.8 99 3.7 78 6.7 98 3.6 77 6.6 97 3.5 70 8.5 96 3.4 75 6.4 95 3.3 75 6.3 95 3.2 74 6.2 94 3.1 74 6.1 94 3 73 6 93 2.9 73 5.9 93 2.8 72 5.8 92 2.7 72 5.7 92 2.6 71 5.6 91 2.5 70 5.5 90 2.4 69 5.4 89 2.3 60 5.3 89 2.2 67 5.2 88 2.1 66 5.1 88 2 65 5 87 1.9 64 4.9 87 1.8 03 4.8 86 1.7 62 4.7 85 1.6 61 4.6 84 1.5 60 4.5 83 1.4 59 4.4 82 1.3 59 4.3 82 1.2 59 4.2 81 1.1 59 4.1 81 1 59 4 80 Page 64 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-08: Date Board Adopted: March 9, 2009 Date Board Amended: August 16, 2010 (Res 10-11) Effective Date: March 9, 2009 Policy Category: Student Achievemient Policy Name: Board Para rnete rs ,["f r School Sairictioned Trips Policy Goal: Students Who Become Well Balanced, Life Long Learners Policy Description: The Board of Trustees supports Academy sanctioned trips as a means to pursue, promote, and enhance IB learning goals for Academy students as set out in the IB Learner Profile. As such, all school sanctioned trips should fit and promote this IB Learner Profile, the IB curriculum, as well as be of direct educational value for the student participants of these trips. In an effort to provide the safest possible environment for the students of Westlake Academy, this policy for student trips will be enforced on any and all trips that require students to be away from the property located at 2600 J. T. Ottinger Road, Westlake, TX 76262. Board Approval for Out-of-State Trips The Board shall approve all out-of-state, school-sponsored trips. Such approval shall consider the immunity laws applicable for the destination, District and employee liability for damages arising from accidents and/or injuries that may occur during the trip, the stated educational value of the trip, and whether participation results from advancement in a regional or national competition. The following grade level(s) and trip formats have been identified as consistent with the IB curriculum and Learner Profile and thereby, effective as of the 2011/2012 school year, approved as to a standing schedule for the Academy. Page 165 Grade Trip Format/Location Date of Occurrence Primary 4 Team Building (Local destination) Spring 5 Domestic or International Trip (Location subject to approval) Spring Secondary 7 Team Building (Domestic) Fall 8 Historical/Boston, Washington D.C. (Domestic) Spring 9 Language Immersion (Domestic) Fall 10 International Trip (Location subject to approval) Fall 11 Team Building (Local destination) Fall 12 Senior Trip (Location subject to approval) Spring All other policy directives contained in this document will begin with the 2010/2011 school year as it relates to, requests to organize student trips, staff training and chaperone responsibilities, non-school sanctioned trips, conduct expectations and consequences, and student participation. Requests to Organize Student Trips Other than the previously identified trips associated with each grade level, trip requests within the contiguous 48 states must be submitted to the Principal of each section for review, prior to Board approval. Requests for student trips to locations outside the United States will be submitted to the Superintendent for review, prior to Board approval. Student trips should coordinate with the Academy's school calendar as much as possible. If any part of the requested trip will occur during scheduled instructional time, the request should adequately address how the academic needs will be met for any students not participating in the trip. The Superintendent or his/her designee is responsible for establishing required chaperone ratios that address safety needs. All student trips must be organized in accordance with the requirements established in the Parent-Student Handbook, other applicable administrative procedures, and any requirements imposed by the Superintendent. The Superintendent shall review the request and, if applicable under this policy, forward it to the Board for approval. All student trip decisions are the sole purview of staff and faculty, subject to the restrictions of this policy. As such, parent input on such trips will be encouraged and utilized as appropriate however all final decisions on Westlake Academy student trip destinations and trip logistics will be made by Superintendent designated staff and faculty subject to the parameters of this policy. Any trip taken away from the school is a privilege, not a right, and as such, students are required to represent our school in a responsible manner. This privilege could be revoked as a disciplinary measure if deemed necessary by the Page 166 school administration. Students who violate the code of conduct or directives given by school staff during a school trip, will be subject to the disciplinary processes contained in the Parent/Student Handbook. Serious conduct violations that occur during a school trip may result in expulsion in accordance with Academy policies and Parent/Student Handbook. Vendor Identification Staff shall utilize a Request for Proposal (RFP) process to identify and select a vendor to provide the school sponsored trips on an annual basis. All trip locations will be coordinated through the selected vendor who will work with the Superintendent or his/her designee to schedule the events. Staff Training and Chaperone Responsibilities Any staff member who participates in a school sponsored trip will be required to undergo a training process which explains the trip guidelines and responsibilities associated with serving as a chaperone. The foremost duty of all chaperones shall be the care and supervision of the students. All written and implied rules of conduct in the Employee Manual or found in the Parent/Student Handbook will be followed. Additionally, trips will have a designated Group Leader, assigned by the appropriate Principal, to serve as the staff member who will coordinate the logistics, recruit additional chaperones, communicate with parents and make any necessary decisions which concern the welfare of the students while away from the Academy. Chaperones are not permitted to bring a spouse or other children who are not otherwise eligible for participation in a school trip as their guests, even at their own expense. Participation in Student Trips The Academy shall obtain written parent permission before any student may participate in any school-sponsored student trip or other activity away from school. Participation is subject to any pre-requisites that may be set in compliance with the Parent/Student Handbook. Students who participate in school-sponsored trips shall be required to ride in transportation arranged or provided by the school to and from the event. An exception may be made if the student's parent or guardian personally requests that the student be allowed to ride or travel with the parent or presents a written request to the office. The Academy shall not be liable for any injuries that occur to students being transported/traveling outside the school arranged transportation. Each school sponsored trip will be subject to a minimum number of student participants that will be deemed necessary to continue with the event. The Board Page 167 has established 2/3 as the minimum number of student participation rate for each grade level trip. However, should a simple majority of 50% be achieved, the Superintendent, or his/her designee, is directed to review the educational benefits of the trip and determine if the trip should proceed as planned. Non-residential trips will require the Principal's approval for both location and the minimum number of student participants necessary to plan the event. Non-school Sanctioned Trips As school attendance, participation in the classroom environment and exposure to the appropriate educational material is vital to the success of the student, families are encouraged to refrain from removing their children) for family trips during the school term. Parents who schedule trips during the school year, which are not officially sanctioned by the Academy, subject their student(s) to unexcused absences. Any absences of this nature must be submitted to the Principal for review and approval prior to the withdrawal of the student. Approved trips will be given an excused absence and conversely unapproved trips will be given an unexcused absence, which will follow the guidelines in the Parent/Student Handbook for make-up work and attendance consequences. Residential Trips At Westlake Academy, we believe that residential trips give the students greater opportunities for experiential learning within an appropriate, relevant and authentic context, as well as the chance to develop their independence and self- management skills. Time away from home helps cement and forge friendships, as well as strengthening the bonds that they have with their teachers. In addition to the aforementioned, residential trips afford students with the opportunity of experiencing different perspectives and cultures, thus promoting and developing greater understanding and international-mindedness. The following are the Learning Outcomes for Residential Trigs: DEVELOPING KEY SKILLS • Using and applying knowledge, skills and understanding in different, realistic and exciting contexts • Developing the ability to work co-operatively • Developing the ability to communicate successfully • Showing initiative and a positive attitude • Showing greater independence, moving towards self-reliance • Becoming increasingly risk aware and increasing understanding and independent action Page 168 RAISING ACHIEVEMENT BY BOOSTING SELF-ESTEEM AND MOTIVATION • Raising self-esteem through successful participation and enjoyment • Developing a positive attitude to learning • Helping demonstrate strengths and understanding of limitations • Encouraging responsibility • Improving behavior • Addressing disaffection DEVELOPING SOCIAL EDUCATION AND CITIZENSHIP • The ability to work with others, accept and support them, building relationships • Learning to tolerate others and respect their views — understanding equal opportunities • Learning to accept the consequences of their own actions • Learning to defend their own point of view • Encouraging a commitment to voluntary service • Exploring attitudes and values they will carry into adult life PROMOTING EDUCATION FOR SUSTAINABLE DEVELOPMENT • An appreciation of the natural world as a source of interest and challenge • A concern for living things • An understanding of the need for interdependence between people and the environment • Recognition of the effect of present actions on the future • An increasing ability to access evidence and make personal decisions PROMOTING HEALTH AND FITNESS AND A POSITIVE USE OF LEISURE (where applicable) • Developing a positive attitude to physical activities and a healthy lifestyle • Developing and experiencing physical fitness and well-being • Achieving success in physical activities • Developing self-respect and self-discipline and the ability to cope with adversity Page 169 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-18: Date Board Adopted: November 3, 2009 Date Board Amended: N/A Effective Date: November 3, 2009 Policy Category: Stu.dent A(Jlievenrueb-At Policy Name: Assessirrient and Grade Reporting Policy . econclary -- Middle Years Progrmn and Dlplonna Orograrn Policy goal: Definition, uniformity, and transparency in the Academy's Secondary (MYP and DP) assessment and grading policy. Policy Description: Uniform assessments and grade reporting standards are a significant component of the success of the Secondary (MYP and DP) student's at Westlake Academy. As such, the following purposes of these standards are necessary to accurately reflect the academic achievement of the student: • Ability of the assessment / grading system to report actual classroom performance on exams, homework assignments, projects, etc. • Allow the parent to easily identify and gauge their child's performance • Consistency across grade level(s) of assessment application and grade reporting • Assist colleges in determining the achievements of the students • Demonstration of college readiness • Identification of any subject area where a student may need additional assistance to reach educational goals Page 170 In consideration of the need to establish comprehensive grade reporting and assessment policies for the student body of Westlake Academy, the following numerical grades will be utilized by the Staff to indicate academic performance on report cards. A = 100 - 90 points B = 89 - 80 points C = 79 - 70 points F = 69 points and below I = Incomplete for extenuating circumstances (to be determined by the Head(s) of Section) Staff will administer a variety of assessments to measure student knowledge and progress throughout the year. The frequency and type of assessment utilized will be program specific, - i.e. Primary, Middle or Diploma Program. In the Secondary School (Middle Years and Diploma Program), a student shall not be required to complete more than two major assessments on the same day. In addition, SENIORS in the Diploma Program sitting for the IB exams, may be eligible for final exam exemption based on absence criteria Report Cards - Westlake Academy will send home four (4) report cards and two (2) interval progress reports each year. The report cards will be sent home at the end of each quarter. The interval progress reports will be issued within the quarter grading period. Parent Teacher Meetings - Staff will conduct two (2) parent/teacher conferences per year - one (1) each semester. This will allow parents to meet with teachers to briefly discuss their child's progress. Additional concerns will be addressed at individually scheduled conferences available at any time during the school year. Letter Grades for Citizenship - Staff will assign a letter grade for student citizenship using the following criteria: E = Excellent Observes the rules all of the time S = Satisfactory Observes the rules most of the time N = Needs Improvement Observes rules infrequently/inconsistently U = Unsatisfactory Almost never observes the rules Page 171 Elements of the IB Learner Profile will be to be used to assess citizenship grades. • Practices respect • Uses self-control • Talks at appropriate times • Obeys school rules • Works well with others • Uses acceptable language • Follows Uniform Code • Follows Honor Code Guidelines consistent with these policies will be developed by Staff and published in the Parent/Student Handbook. Page 172 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-18: Date Board Adopted: November 3, 2009 Date Board Amended: N/A Effective Date: November 3, 2009; contingent upon approval by TEA Policy Category: Studer',A' Act-0ewerniz-;nt Policy Name: Giraduation Policy Policy Goal: Defining the commencement participation requirements; establishing Valedictorian, Salutatorian and Honor Graduate policy; Policy Description: Eligibility for Commencement-Westlake Academy seniors who have satisfied all Academy requirements for graduation are eligible for participation in the graduation ceremonies. For students who do not meet the requirements, an exception may be made in the event that a senior lacks one (1) credit towards the graduation requirements. The student must have a plan approved by the Head of Secondary to complete the credit prior to the beginning of the next school year. No other exceptions to participation in the graduation ceremony will be granted. Only students who have completed all the requirements of Westlake Academy will receive a diploma. Those requirements are as follows: • Completion of a minimum of 29 credit hours according to the Westlake Academy Program of Studies • Not assigned to a Disciplinary Alternative Education Placement (DEAP) setting during his/her senior year at the Academy or any other educational facility Page 173 As reflective of the Academy's rigorous and enriching IB curriculum and desire to foster college readiness, students who graduate from Westlake Academy will complete a program of study, which includes higher academic standards and additional credit hours than those established through the guidelines of the State of Texas. Students who receive a Westlake Academy high school diploma will have completed a minimum of 29 hours of course work, which reflects those higher levels of academic achievement. The graduation requirements detailing the necessary courses are incorporated into the policy by addendum A. The provision for the Westlake Academy Diploma will become effective for the students in the graduating class of 2011. Approved Courses Included in Formal Grade Point Average (GPA) - All courses taken at the secondary level at Westlake Academy which contain specific objectives, determined by the Texas Education Agency (TEA) and are not modified in content will be included when calculating grade point average. The following general criteria govern the calculation of the grade point average: • GPA will be calculated by the Counselor and rounded up to the nearest whole number • GPA will be determined using semester grades earned in state approved courses • Grades earned in courses completed at other fully accredited school(s) and transferred to the Academy will be included in determining grade point average Course criteria must be consistent with the standards established at Westlake Academy. Correspondence courses, Credit-by-Exam, Dual Credit courses, courses modified in content, Pass/Fail courses, Local Credit courses not required for graduation, Advanced Placement Exams, International Baccalaureate Exams and grades earned in credit-bearing courses taken prior to Grade 9 will not be included in the calculation of the formal GPA, but will be reflected on the student's Academic Achievement Record/Transcript. Quality Points for IB Courses - Beginning in Grade 9, Westlake Academy will award ten (10) points to the final grade for any IB Diploma Program or Advanced Placement course and no less than five (5) points for any honors (pre-IB/AP) course, as determined by the school administration. Raw grades in the course must be a passing grade of 70% or better to receive quality points. Raw semester grades are shown on a student's report card and Academic Achievement Record (AAR)/Transcript. Indicators for quality points will be included on the Report Card and the AAR/Transcript. Quality points will be included in GPA calculation and this weighted GPA will appear on the student's transcript. Page 174 Grades earned in honors (pre-IB/AP) courses and IB/AP courses taken at other accredited districts will receive quality points if the following conditions are met: • Quality points awarded from other schools will not exceed or be less than the numerical weight of quality points awarded at Westlake Academy • The previous school provides official documentation of advanced courses Academic Recognition - Westlake Academy will encourage and recognize academic achievement through the establishment of a class Valedictorian, Salutatorian and Honor Graduates. Only grades earned at Westlake Academy and those earned at schools approved by Westlake Academy will determine the student's academic recognition. Calculating and Reporting GPA - A counselor will determine a student's GPA calculation at regular intervals as determined necessary by the Head of Secondary. The intervals will be communicated through the use of the Parent/Student Handbook. Rank in Class - Rank in class will only be reported for the purposes of: • Automatic admission of the top 10% of the class into a Texas public college or university • Consideration for scholarships Valedictorian and Salutatorian - Graduating seniors with the top two cumulative grade point averages (CGPA), as determined by the Head of Secondary or his/her designee, will be eligible to serve as the Valedictorian and Salutatorian, respectively. In the event of a tie for Valedictorian, the students will share the honor and no Salutatorian will be designated. All courses and corresponding numerical grades used to determine GPA must not be modified in content and must be identified by the state as regular, honors, and AP or IB courses in order to qualify for Valedictorian and Salutatorian. Valedictorian and Salutatorian eligibility requires attendance at Westlake Academy for six (6) consecutive semesters preceding graduation. Further, a student who is in violation of the Academy codes and requirements, Town code, or State codes, may be deemed ineligible by the Chief Executive Officer or his/her designee to represent Westlake Academy as the Valedictorian or Salutatorian. Honor Graduates - A graduating senior's weighted cumulative grade point average (CGPA) rounded to 90% or above will be determined to be an Honor Graduate and will be duly recognized at commencement. Page 175 All courses and corresponding numerical grades earned to determine GPA must not be modified in content and must be identified by the state as regular, honors, and AP or IB courses in order to qualify for Honor Graduate status. The Head of Secondary and his/her designee are granted the authority to include students whose CGPA is 90% or above at the end of the final semester. Operational guidelines consistent with the above policy directives will be detailed and published by Academy Staff in the Parent/Student Handbook on an annual basis. Graduation Requirements Side-by-Side Comparison WA WA NHP TEA Actual Required Distinguished* English 4 4 4 4 Mathematics 5 4 4 4 Science 4 4 4 4 Social Studies 4 4 4 3.0 Gov't 0.5 0.5 0.5 0.5 Economics 0.5 0.5 0.5 0.5 Foreign Language 5 3 3 3 Physical Education 1.5 1.5 1.5 1.5 Health 0.5 0.5 0.5 0.5 Speech 0.5 0.5 0.5 0.5 Technology 2.0 2.0 1.0 1.0 Fine Arts 2.0 1.0 2.0 1.0 Tok 2.0 2.0 1.0 n/a Electives 1.0 1.0 2.5 2.5 CAS/Extended Essay 1.0 0.5 n/a n/a (32.5) (29.0) (29.0) (26.0) *Source: TEA Website 074f.htnil Page 176 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-20- Date Board Adopted: December 7, 2009 Date Board Amended: N/A Effective Date: December 7, 2009 Policy Catego[y: Sfa_!deint AcIrdevey'nient Policy Name: 1B ffi,4 arn Fees Policy Goal: To maximize student opportunity to take IB Diploma Exams Policy Description: This establishes a Board policy regarding IB exam fees, directs Staff to conduct an annual review of same during each budget year, and to determine the school's ability to share the associated costs with parents and students. The Diploma Program students who wish to graduate with an IB Diploma are required to take subject specific exams to complete the program and attain the diploma issued through the International Baccalaureate Organization (IBO). As a component of the process, the IBO requires each student to remit associated registration and exam fees. In order to support Academy students in their efforts to attain an 113 Diploma, the Board directs the Staff, as part of the annual budget preparation process, to estimate the number of graduating seniors eligible to sit for the exams and calculate the anticipated costs of the registration/exam fees. Once the costs are calculated, Staff will review the school's budget and determine if the Academy may assist our students and their families, by paying up to one-half of the exam fees. Any costs reimbursed by the State shall also be utilized in the calculations and retained by the Academy to reduce the overall monetary commitment require do the students. Staff is further directed to adopt administrative procedures so that sufficient controls are in place to ensure public educational purpose is served. Page 177 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-18: Date Board Adopted: November 3, 2009 Date Board Amended: N/A Effective Date: November 3, 2009 Policy Category: Stt.°cI'eant Achi eve rnent Policy Name: Vllo fie,-.work Poflf;y Policy Goal: Creation of an effective and supportive learning environment Policy Description: Westlake Academy is a school with a desired outcome of high academic achievement for each student. In support of this outcome, homework is considered as an integral component of a student's school career and serves the vital purpose of assisting the student in their pursuit of knowledge. Homework is viewed as: • An avenue to increase and enhance student learning • Providing additional drill, practice and study • A support vehicle for teaching and developing personal responsibility • Informing parents of the subject matter and classroom lessons of their child Staff will develop uniform homework requirement guidelines for all grades and place the information in the Parent/Student Handbook and on the Academy's web site on an annual basis. Allowances and contingency plans will be developed for excused absences along with consequences for unexcused absences and the submittal of late assignments. In addition, schedules for student/teacher tutorials will be included in the homework requirement guidelines. Page 178 Parents are encouraged to assist the Academy's instruction program by providing the student with the necessary tools and time to complete the homework requirements. Failure to adhere to the homework requirements will subject the student to the possibility of receiving poor/failing grades on assignments. Continued abuse of the homework requirement guidelines will subject the student to the progressive disciplinary policy of the Academy. Page 179 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy o. 09-2 : Date Board Adopted: December 7, 2009 Date Board Amended: November 1, 2010 Effective Date: November 1, 2010 Policy.g Category: �3 fiudent Ac tie vernent Policy Name: StuiJent Athlefic/Ex tra. Curricular Prograrn. Academic Eligibility Policy Category: Student Achievement Policy Goal: Uniform Academic Criteria and Guidelines for Determining Student Participation in Westlake Academy's Athletic/Extra-Curricular Programs Policy Description: Westlake Academy offers the rigorous International Baccalaureate Organization (IBO) course work as the standard curriculum for students in grades K-12 and values the traits found in the 113 Learner profile. In particular, the traits of being Principled and Balanced will be emphasized in our sports and extra-curricular programs. The Academy will offer the students the opportunity to participate in these types of activities in an environment that fosters fairness, justice and respect for the dignity of the individual, groups and communities and also promotes a greater understanding of the importance of intellectual, physical and emotional balance. Currently, Westlake Academy participates in the Texas Christian Athletic Fellowship (TCAF) League for competitive sports and as such, athletes, teams and coaches must abide by their policies and procedures in order to remain eligible and participate in the team or individual sports program. Staff is directed to periodically review the League's requirements as it pertains to eligibility and update the Parent/Student Handbook in order to inform the students of the necessary academic performance levels required to participate each year. Page 6 80 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-18: Date Board Adol2ted: November 3, 2009 Date Board Amended: N/A Effective Date: November 3, 2009 Policy Category: Studen.1 Ach,eve-n: -,'It Policy Name: Retentlorl and Trwnsfer Cot.lrse Credit Policy Policy Goal: Describe criteria/circumstances for student retention based on unsatisfactory academic achievement and develop guidelines for acceptance of transfer course credits Policy Description: In order to ensure academic achievement and the mastery of the necessary skills to advance to each subsequent grade level, the Staff of Westlake Academy will develop specific Retention Guidelines for the students, which will be published in the Parent/Student Handbook on an annual basis. Legally mandated and internally required assessments will be administered to assist the teachers in determining if a student has attained the necessary educational understanding to advance to the next grade level. The assessments may include, but are not limited to, grade/subject specific examinations, essays, homework assignments, group and individual projects, and state mandated assessment tests. Summer School/Alternative Educational Programs - Students, who do not meet the necessary requirements for advancement, must complete a comparable course in summer school or through an alternative education program. A student who fails three (3) or more core classes may not advance to the next grade level. Students who do not satisfactorily complete a state required course for high school graduation must complete the course through a summer or alternative educational program approved in advance by the Head of Secondary or his/her designee prior to being considered for graduation from Westlake Academy. Students who fail a core course must retake the class during the summer session immediately following the academic year in which the class was failed. Page 181 If not offered at Westlake Academy, it is the parent/guardian's responsibility to locate a summer school or alternative educational program within their home district for remediation that is acceptable for credit and approved by the Head of Secondary or his/her designee. Westlake Academy reserves the right to accept or deny summer school credit. Prior to attending summer school or any alternative educational program, parents and students should obtain written approval from the Head of Secondary or his/her designee to ensure that the credit has been approved and is acceptable by the Academy. Evaluation of Credits for Transfer Students — The Academy accepts credits from other schools accredited by the State of Texas. Courses will be evaluated by a counselor to determine if the course meets the requirements for graduation from a Texas high school, as well as from Westlake Academy. All transfer grades earned in accredited schools will be converted to Westlake Academy grading scale and course designation consistent with the Academy's standards. In order to receive credit for completed work, students entering Westlake Academy from a non-accredited school or from home schooling must take credit- by-exam (CBE) tests approved in advance by Westlake Academy. Students are responsible for any applicable fees associated with these tests and must achieve acceptable test scores as determined by the Head(s) of Section. Texas Assessment of Knowledge and Skills Testing and Remediation — The Board of Trustees and the Staff of Westlake Academy are committed to student success on the Texas Assessment of Knowledge and Skills (TAKS) and takes seriously its obligation to provide students the support and assistance they need to succeed. All students at TAKS-testing grade levels, (Grades 3-11) will be administered regular benchmark testing to ensure they are making appropriate progress through the required TAKS curriculum. Students who are not making adequate progress will receive remedial assistance. In addition, students who have failed a TAKS test in the previous year will be required to attend remedial classes/tutorials. The schedule(s) will be developed by Staff and communicated to the parent/guardian of the students needing additional assistance. Operational guidelines consistent with the above policy directives will be detailed and published as necessary by Academy Staff in the Parent/Student Handbook on an annual basis. Page 182 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 1005: Date Board Adopted: April 5, 2010 Date Board Amended: N/A Effective Date: April 5, 2010 Policy Category: Sth.,;,,Ierit Ac:tie venlent, Policy Name: Primary IK-G6i Assessment and Grade Reporting Policy Goal: Definition and Transparency in the Primary (K-G6) Student Assessment and Grading Policy Policy Description: The purpose of this assessment policy is to help all members of the school community understand and use educational assessment in a consistent and successful way. Our goal is to create a community that embraces assessment as a valuable and essential part of the learning cycle. 1) Our Purposes for Using Assessment a) For learners, assessment does the following: i) Promotes efficient learning by focusing the student's attention on what is important ii) Promotes understanding and life-long learning iii) Promotes self-evaluation and self-monitoring by the use of well- defined expectations and criteria iv) Motivates learning by communicating progress concerning what a student knows and is able to do v) Helps understand how school learning relates to present world and future goals. b) For teachers, assessment does the following: i) Provides formative and summative data about student learning ii) Provides diagnostic data to improve learning iii) Assists instructional planning by providing informed feedback iv) Helps to determine teaching effectiveness - what approaches and methods work Page 183 v) Helps to determine whether the program is achieving desired goals (program accountability) vi) Is a tool for communicating to others c) For administrators, assessment does the following: i)Assists in determining the effectiveness of programs ii) Assists in determining school and grade-level learning goals iii) Assists in allocation of resources, including professional development iv) Monitors student achievement and supports student learning d) For parents, assessment does the following: i) Provides formative and summative data about student learning and attainment. ii) Provides information about the child's learning experience in school. iii) Provides information about future educational opportunities, iv) Helps provide information of the strengths and weaknesses of both the instructional program and the individual learner. In consideration of the need to establish relevant and comprehensive grade reporting and assessment policies for the student body of Westlake Academy, the following numerical grades will be utilized by the Staff to indicate academic performance with regard to critical concepts, content and skills on primary report cards. Grade 4 Meets with Excellence Grade 3 Meets with Proficiency Grade 2 Developing Proficiency Independently Grade 1 Requires Support to Meet Proficiency In addition to the abovementioned, the following descriptors and rubric will be utilized by the Staff to indicate academic performance with regard to higher order, conceptual understanding. These descriptors and rubric will be used to indicate the level of understanding for each of the six grade level units of inquiry that are implemented each academic year. Primary Report Unit of Inquiry Descriptors for Understanding K-3 Accomplished: • Interprets information (data, ideas, or concepts) accurately, appropriately, and in-depth in a variety of contexts • Applies formulas, procedures, principles, or themes accurately, appropriately, and/or creatively in a variety of contexts • Explains—accurately and thoroughly—possibly using multiple solutions, positions, or perspectives that balance opposing points of view Page 184 • Creates a detailed conclusion or complete solution that is well- supported, logically consistent, and often unique • Integrates ideas or develops solutions that are clear, coherent, and cohesive • Reflects independently and thoughtfully by using supporting details and examples. Uses the reflective process to set goals and targets. • Perceives and approaches problems in a number of different ways, often exhibiting clever, unique or unusual ideas. CompetentIConsolidating: • Presents information (data, ideas, or concepts) accurately and appropriately in familiar contexts • Applies formulas, procedures, principles, or themes accurately and appropriately in familiar contexts • Describes a solution, position, or perspective accurately • Organizes a conclusion or solution that is complete, logical, and consistent with evidence presented • Connects ideas or develops solutions in a clear and coherent order • Reflects thoughtfully by using some supporting details and examples. Uses the reflective process to set general goals. Developing: • Reports information (data, ideas, or concepts) in familiar contexts with minor inaccuracies, irrelevancies, or omissions • Uses appropriate formulas, procedures, principles, or themes in familiar contexts with only minor inaccuracies • Identifies a simple solution or a perspective with only minor inaccuracies • Offers an abbreviated conclusion or simple solution that is mostly consistent with the evidence presented, with minor inconsistencies or omissions • Arranges ideas or solutions into a simple pattern In Reflects thoughtfully with some assistance. BeginninglNovice: • Copies information (data, ideas, or concepts) • Labels formulas, procedures, principles, or themes • Names a single solution, position, or perspective • Attempts a conclusion or solution that is consistent with evidence presented • Lists ideas or expresses solutions in a fragmentary/random manner • Reflects with support and assistance Primary Report Unit of Inquiry Descriptors for Understanding Grades 4-6 Accomplished: ■ Interprets information (data, ideas, or concepts) accurately, appropriately, and in-depth in a variety of contexts Page 185 • Applies formulas, procedures, principles, or themes accurately, appropriately, and/or creatively in a variety of contexts • Explains—accurately and thoroughly—multiple solutions, positions, or perspectives that balance opposing points of view • Creates a detailed conclusion or complex solution that is complete, well-supported, logically consistent, and often unique • Integrates ideas or develops solutions that are exceptionally clear, coherent, and cohesive • Reflects independently and thoughtfully by using supporting details and examples. Uses the reflective process to set goals and targets. • Perceives and approaches problems in a number of different ways, often exhibiting clever, unique or unusual ideas. CompetentlConsolidating: • Presents information (data, ideas, or concepts) accurately and appropriately in familiar contexts • Applies formulas, procedures, principles, or themes accurately and appropriately in familiar contexts • Describes two or more solutions, positions, or perspectives accurately • Organizes a conclusion or solution that is complete, logical, and consistent with evidence presented • Connects ideas or develops solutions in a clear and coherent order • Reflects thoughtfully by using some supporting details and examples. Uses the reflective process to set general goal Developing: • Reports information (data, ideas, or concepts) in familiar contexts with minor inaccuracies, irrelevancies, or omissions • Uses appropriate formulas, procedures, principles, or themes in familiar contexts with only minor inaccuracies • Identifies simple solutions, over-simplified positions, or perspectives with only minor inaccuracies • Offers an abbreviated conclusion or simple solution that is mostly consistent with the evidence presented, with minor inconsistencies or omissions • Arranges ideas or solutions into a simple pattern • Reflects thoughtfully with some assistance BeginninglNovice: • Copies information (data, ideas, or concepts) • Labels formulas, procedures, principles, or themes • Names a single solution, position, or perspective • Attempts a conclusion or solution that is consistent with evidence presented • Lists ideas or expresses solutions in a fragmentary/random manner • Reflects with support and assistance Staff will administer a variety of authentic assessments to measure student understanding and progress throughout the year Page 186 IBPYP Attitudes — Students, in collaboration with teachers, will assign a letter indicator to at least six (6) IBPYP Attitudes per quarter to communicate the following: C = I practice consistently the following attitudes W = I am working on the following attitudes The IBPYP Attitudes are as follows: • Appreciation: appreciating the wonder and beauty of the world and its people • Commitment: being committed to their learning, preserving and showing self-discipline and responsibility • Confidence: feeling confident in their ability as learners, having the courage to take risks, applying what they have learned and making appropriate decisions • Cooperation: cooperating, collaborating and leading or following as the situation demands • Creativity: being creative and imaginative in their thinking and in their approach to problems and dilemmas • Curiosity: being curious about the nature of learning and the world, its people and cultures • Empathy: imaginatively projecting themselves into another's situation, in order to understand his/her thoughts, reasoning and emotions • Enthusiasm: enjoying learning • Independence: thinking and acting independently, making their own judgments based on reasoned principles and being able to defend their judgments • Integrity: having integrity and a firm sense of fairness and honesty • Respect: respecting themselves, others and the world around them • Tolerance: feeling sensitivity towards differences and diversity in the world and being responsive to the needs of others Page 187 Specialist Grades - Specialist Teachers (Art, Strings, P.E., Music, and Spanish) will grade according to discipline specific criteria. Each of the aforementioned categories will be graded utilizing the following indicators: Grade 4 Meets with Excellence Grade 3 Meets with Proficiency Grade 2 Developing Proficiency Independently Grade I Requires Support to Meet Proficiency Report Cards - Westlake Academy will send home four (4) primary report cards each year. The report cards will be sent home at the end of each nine (9) week grading period. Parent Teacher Meetings - Staff will conduct two (2) parent/teacher conferences per year - one (1) each semester, and one (1) student-led conference - in semester two (2). This will allow parents to meet with teachers to briefly discuss their child's progress, and, in the case of student-led conferences, witness the demonstration of understanding firsthand. Additional concerns will be addressed at individually scheduled conferences available at any time during the school year. Page 188 Student Behavior TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Student Behavior Policy Name: Drugs, "Ifobacco, Alc-ohol ar.,d Weapo.rm Policy Goal: To delineate the policy pertaining to illegal drugs, tobacco/alcohol use, and weapons on school campus, school sanctioned trips or activities, and off-site teaching facilities. Policy Description: In order to create a conducive learning environment and outline the policy on the use of illegal drugs, tobacco, alcohol and weapon possession, Westlake Academy will follow the following guidelines, which are consistent with state law, that govern these items on school campuses. The Parent/Student Handbook will outline the progressive disciplinary actions and expulsion options for violations of this policy. A student may be removed from class if the student engages in conduct involving a public school that contains the elements of the offense of false alarm or report under Penal Code 42.06, or terroristic threat under Penal Code 22.07. A student may be removed from class if the student commits the following on or within 300 feet of school property, as measured from any point on the school's real property boundary line, or arriving on campus or while attending a school- sponsored or school-related activity on or off school property: 9. Engages in conduct punishable as a felony, 10.Engages in conduct that contains the elements of assault, under Penal Code 22.01(a)(1), 11.Sells, gives, or delivers to another person, or possesses, uses, or is under the influence of: Page 189 a. Marijuana or a controlled substance, as defined by the Texas Controlled Substances Act, Health and Safety Code Chapter 481, or by 21 U.S.C. 801, et seq; b. A dangerous drug as defined by the Texas Dangerous Drug Act, Health and Safety Code, Chapter 483. 12.Sells, gives, or delivers to another person an alcoholic beverage, as defined by the Alcoholic Beverage Code, 1.04, or commits a serious act or offense while under the influence of alcohol, or possesses, uses, or is under the influence of an alcoholic beverage, 13.Engages in conduct that contains the elements of an offense relating to an abusable volatile chemical under Health and Safety Code, 485.031 through 485.034, 14.Engages in conduct that contains the elements of the offense of public lewdness under Penal Code, 21.07, 15.Engages in conduct that contains the elements of the offense of indecent exposure under Penal Code, 21.08. 16.Students shall not smoke, use or possess tobacco products, Gun-Free Schools Act In accordance with the Gun-Free Schools Act, the open-enrollment charter school shall expel, from the student's regular program, for a period of one (1) year, any student who is determined to have brought a firearm, as defined by federal law, to school. The CEO may modify the term of expulsion for a student or assess another comparable penalty that results in the student's exclusion from the regular school program, on a case-by-case basis. 20 U.S.C. § 7151; Tex. Educ. Code §§ 12.104(b)(1), 37.007(e). For purposes of this policy, "firearm" means: A. Any weapon (including a starter gun) which will, or is designed to, or which may readily be converted to expel a projectile by the action of an explosive; B. The frame or receiver of any such weapon; C. Any firearm muffler or firearm silencer; Page 190 D. Any destructive device. "Destructive Device" means any explosive, incendiary, or poison gas bomb, grenade, rocket having a propellant charge of more than four (4) ounces, missile having an explosive or incendiary charge of more than one-quarter ounce, mine, or device similar to any of the preceding described devices. It also means any type of weapon (other than a shotgun shell or a shotgun that is generally recognized as particularly suitable for sporting purposes) by whatever name known which will, or which may be readily converted to, expel a projectile by the action of an explosive or other propellant, and which has any barrel with a bore of more than one-half inch in diameter; and any combination of parts either designed or intended for use in converting any device into a destructive device as described in this item, and from which a destructive device may be readily assembled. 18 U.S.C. § 921. Page 191 TOWN OF WESTLAKE WESTLAKE ACADEMY BOARD OF TRUSTEES POLICY Policy No. 09-14: Date Board Adopted: August 3, 2009 Date Board Amended: N/A Effective Date: August 3, 2009 Policy Category: Student Behavior Policy Name: Uniform Requiremen-ts Policy Goal: Creation of an effective learning environment Policy Description: Students at Westlake Academy are required to wear school approved uniforms each day. Appropriate dress and grooming contributes to a productive academic environment in which students can focus on learning, develop an awareness of others, develop character and good citizenship skills, and instill respect and self- discipline. Uniform standards also promote a positive image of the school within the community and encourage students to uphold and enhance that image. All students must wear the approved uniform at all times while on campus. The prescribed uniform includes a dress uniform, a casual uniform and a gym/P.E. uniform. Dress Uniform Required for Grades I — 12 — are to be worn on days predetermined by the Head(s) of Section. All dress uniform days will be conveyed to the students in advance, however, students may also wear the dress uniform at their own choosing on any school day. There are no dress uniform requirements for Kindergarten. Casual Uniform Required for all grades— all students should purchase casual uniforms which will contain a combination of colors and styles. The casual uniform may not be worn on dress uniform days, but may be worn at all other times. P.E. Uniform Required for Grades 2 — 12 — students will be required to wear the P.E. uniform as outlined in the Parent/Student Handbook. Page 192 Free Dress Day Will be approved by the respective Head of Section on an as approved basis. Guidelines for appropriate dress on these occassions will be outlined in the Parent/Student Handbook. There are no exceptions to the uniform policy. Students wearing anything other than the prescribed uniform may be sent home. Clothing that resembles the prescribed garments are not permitted. Westlake Academy staff will periodically review the designated uniform provider to ensure the quality and price are advantageous to our students and their parents. Parents will be informed of any changes to the uniform provider on a timely basis. Page 193 own Uouncil Member Board of Trustee Relations Policy and Code of Ethics Adopted 07/28/2008 Revised 02/28/2011 Raftim We Will Dever bring disgrace to this, our Town, by any act of°dishonesty or cowardice; we will fight for our ideals and sacred things of the Town, bath alone and with many, We will never bring disgrace to this, our Fawn, by any act of dishonesty or cowardice; we will fight for our ideals and sacred things of the Town, bath alone and with cony, we will revere and obey the Fawn's laws and do our best to incite a like respect and reverence in those about us, we will strive unceasingly to quicken the public's sense of civic duty, and thus in all the ways we will strive to transmit this Town not only not less but greater, better and more beautiful than it was transmitted to us® The Ephebic Oath was that taken by the young men of the ancient Athens when they became of age to assume the responsibility of citizenship Page 2 of 10 The Westlake Town Council is the governing body for the Town of Westlake and the Board of Trustees is the governing body for Westlake Academy; therefore, they must bear the initial responsibility for the integrity of governance. The Council/Board is responsible for its own development (both as a body and as individuals), its responsibilities, its own discipline, and its own performance. The development of this policy is designed to ensure effective and efficient governance. This policy will address Mayor/President and Council/Board relations, Council/Board and Staff relations, and Council/Board and media relations. By adopting these guidelines for elected officials, we acknowledge our responsibility to each other, to our professional staff, and to the public. The Council/Board will govern the Town/Academy in a mariner associated with a commitment to the preservation of the values and integrity of representative local government and democracy, and a dedication to the promotion of efficient and effective governing. The following statements will serve as a guide and acknowledge the commitment being made in this service to the community: 1. The Council/Board has as high priorities the continual improvement of the member's professional ability and the promotion of an atmosphere conducive to the fair exchange of ideas and policies among members. 2. The Council/Board will endeavor to keep the community informed on municipal/academy affairs; encourage communication between the residents and the Council/Board; strive for strong working relationships among neighboring municipalities and elected officials. 3. In its governance role, the Council/Board will continue to be dedicated to friendly and courteous relationships with Staff, other Council/Board members, and the public, and seek to improve the quality and image of public service. 4. The Council/Board will also strive to recognize its responsibility to future generations by addressing the interrelatedness of the social, cultural, and physical characteristics of the ties of the community when making policies. 5. And finally, each Council/Board member will make a commitment to improve the quality of life for the individual and the community, and to be dedicated to the faithful stewardship of the public trust. Page 3 of 10 mJ� Council/Board ��. �� ,,��~"�� Member In order to ensure the proper discharge of duties for the improvement of democratic municipal and school governance, Westlake Council/Board Members should display behavior that demonstrates independent, impartial review of all matters addressed by them and be duly responsible to the residents of Westlake and to each other iu their relationships. �� /� /� �� ,"��.�� _��'�� RELATIONS A.MAYOR'S T&08SUD0NT RESPONSIBILITIES |. The Mayor/President shall be the presiding officer o1 all meetings. The Mayor Pro-teuzshall preside io his/her absence. 2. Except ua provided for bv State law pertaining to voting ou Council/Board matters,the Mayor /President shall have m voice io all matters before the Cououd8Bou/d. 3. The Mayor/President shall preserve order and decorum and shall require Cnuuuil/Bourdoeodboru engaged iu debate to limit discussion oo the question under consideration. 4. The Mayor/President is the spokesperson for the Council/Board on all matters unless absent, at which time his/her designee will assume the role. j. The Mayor/President will encourage all CounciliBoard members to participate in Council/Board discussion and give each member an opportunity to speak before any member can speak again on the same subject. 6. The Mayor/President may limit each speaker to five(5)minutes to ensure an efficient use of time. The Mayor/President io responsible for keeping the meetings oodcdvbvrccoguiziog each member for discussion, limiting speaking time,encouraging debate among members and keeping discussion ou the agenda item being considered. 7. Should conflict arise among Council/Board members,the Mayor/President will serve as the mediator. Page 4of|0 B. MAYOR/PRESIDENT AND COUNCIUBOARD RESPONSIBILITIES 1. Any Council/Board member may request at a workshop and/or regular meeting,under"Future Agenda Item Requests",an agenda item for a future meeting. The Council/Board member making the request will contact the Town Manager/Superintendent with the requested item and the Town Manager/Superintendent will list it on the agenda. At the meeting,the requesting Council/Board member will explain the item,the need for discussion of the item,the item's relationship to the strategic priorities,and the amount of estimated staff time necessary to prepare the item for discussion. If the requesting Council/Board member receives a second,the Town Manager/Superintendent will place the item on the agenda calendar allowing for adequate time for staff preparation on the agenda item. 2. Requests for Administrative Inquiry. A Council/Board member may request that the Town Manager/Superintendent investigate a specific topic or subject and report staff's response and/or findings back to the entire CounciVBoard by brief email. Adminstrative inquiries are strictly intended for items that are of interest to the Council/Board as a whole,will require only brief staff time to investigate and respond,and in the Council's/Board's view does not merit time or discussion at a Council/Board meeting. The requesting Council/Board member will explain the topic of the administrative inquiry and the reason{s}it is desired to have staff investigate this item. 3. Reports. Reports are prepared by staff and placed on Council/Board work shop agendas for informational purposes and will be accepted as presented.There will be no presentation for these items or separate discussion unless a Council/Board member requests that a report be removed and discussed separately. 4. Each Council/Board member is responsible for being prepared to attend the meetings and discuss the agenda and is encouraged to attend at least one Texas Municipal League or Texas Charter School sponsored conference each year in order to stay informed on issues facing municipalities and charter schools. 5. It is the responsibility of Council/Board members to be informed about previous action taken by the Council/Board in their absence. In the case of absence from a work session where information is given, the individual Council/Board member is responsible for obtaining this information prior to the Council/Board meeting when said item is to be voted upon. 6. When addressing an agenda item, the Council/Board member shall first be recognized by the Mayor/President, confine himself/herself to the question under debate, avoid reference to personalities, and refrain from impugning the integrity or motives of any other Council/Board member or Staff member in his/her argument or vote. 7. In the absence of a ruling by the Mayor/President on any procedural matter, a Council/Board member may move to change the order of business or make any other procedural decision deemed appropriate. The affin-native vote of a majority of the Council/Board members present and voting shall be necessary to approve the motion. Page 5 of 10 8. Any Council/Board member may appeal to the Council/Board as a whole from a ruling by the Mayor/President. If the appeal is seconded, the person making the appeal may make a brief statement and the Mayor/President may explain his/her position, but no other member may speak on the motion. The Mayor/President will then put the ruling to a vote. 9. Any Council/Board member may ask the Mayor/President to enforce the rules established by the Board. Should the Mayor/President fail to do so, a majority vote of the Council/Board members present shall require him/her to do so. 10, When a Council/Board member is appointed to serve as liaison to an affiliate board, the Council/Board member is responsible for keeping all Council/Board members informed of significant activities. 11. As much as practicable, Council/Board agendas, particularly workshop meetings, should be centered on the Council's/Board's strategic plans and related policy matters. To achieve that end, the Town Manager/Superintendent and his/her Staff will work to facilitate that focus. CODE OF CONDUCT FOR MAYOR AND BOARD MEMBERS During the Council/Board meetings, members shall preserve order and decorum, shall not interrupt or delay proceedings, and shall not refuse to obey the orders of the Mayor/President or the rules of the Council/Board. Council/Board members shall demonstrate respect and courtesy to each other, to professional Staff, and to members of the public appearing before the Council/Board. Council/Board members shall refrain from rude and derogatory comments and shall not belittle Staff members, other Board members, or members of the public. They should not use their position to secure special privileges and should avoid situations that could cause any person to believe that they may have brought bias or partiality to a question or issue before the Council/Board. Members of the Council/Board will not condone any unethical or illegal activity. All members of the Council/Board agree to uphold the intent of this policy and to govern their actions accordingly. Page 6 of 10 SECTION 11 BOARD AND STAFF RELATIONS No single relationship is as important as that of the Council/Board and their Town Manager /Superintendent in effectively governing the Town of Westlake/Westlake Academy. It is for this reason that the Council/Board and Town Manager/Superintendent must understand their respective roles in that process. The Town Manager/Superintendent is the primary link between the Council/Board and the professional Staff. The Council's/Board's relationship with the Staff shall be through the Town Manager/Superintendent. 1. In order to ensure proper presentation of agenda items by Staff, questions arising from Council/Board members after receiving their information packet should be, whenever possible, presented to the Town Manager /Superintendent for Staff consideration prior to the meeting. This allows the Staff time to address the member's concern and provide all members with the additional information. 2. The Town Manager/Superintendent shall designate the appropriate Staff member to address each agenda item and shall see that each presentation is prepared and presented in order to inform and educate the Council/Board on the issues which require action. The presentation should be professional, timely, and allow for discussion of options for resolving the issue. The Staff member making the presentation shall either make it clear that no action is required, or present the specific options for Council/Board consideration. 3.The Town Manager /Superintendent is directly responsible for providing information to all the Council/Board concerning any inquiries by a specific Board member. If the Town Manager or his/her Staff's time is being dominated or misdirected by a Council/Board member, it is his/her responsibility to inform the Mayor/President. 4. The Town Manager/Superintendent will be held responsible for the professional and ethical behavior of himself7herself and the discipline of his/her Staff. The Town Manager/Superintendent is also responsible for seeing that his/her Staff receives the education necessary to address the issues facing municipal government. 5. Any conflicts arising between the Town. Staff and the Council/Board. will be addressed by the Mayor/President and the Town Manager/Superintendent. All Staff members shall show each other, each Council/Board member, and the public respect and courtesy at all times. They are also responsible for making objective, professional presentations to ensure public confidence in the process. 7. The Town Manager /Superintendent, after an election, will make sure that the Staff has prepared information needed for the orientation of new Council/Board members and inform them of any Texas Municipal League/Texas Chat-ter School conferences and seminars available. The Town Manager /Superintendent will also be responsible for meeting personally with new members and informing them about Town/Academy facilities and procedures. Page 7 of 10 & The Town is responsible for the urioo1ahoo of all new members uftcz an election. The orientation ubuU include meeting procedures, Staff and media relations,current agenda items and leadership training programs. �� ,� m�| �� RELATIONS Since the dernocratic form of government is only successful when the citizens are kept informed and educated about the issues facing their municipality, it is imperative the media play an important role in the council-manager-media relations. It is through an informed public that progress is insured and good government remains sensitive to its constituents. These guidelines are designed to help ensure fair relationships with print,cudQo,undtok:vioiooroportors. TbcCouociKBoocdaudtbeIon/o&8uuug*r/ Superintendent recognize that the news media provides an important link.between the Council/.Board and the public. Itiu desire to establish u professional working relationship to help maintain u well informed and educated citizenry. |. During the conduct of official business,the news inedia shall occupy places designated for them or the general public. 2. All reporters will have access to an agenda and will be furnished support material needed for r/ oludfioubuoifnrqu�u��d . � 3. In order to preserve the decorum and professionalism of Council/Board meetings,the media are — requested Uuo:baio from conversing privately with other people iu the audience and tn conduct any ' - interview with the public outside the meeting room while the Council/Board iuiusession. �- 4. Since each government body conducts business differently,it is requested that all repoi-ters new to (^� Board meetings meet with the Town Manager/Superintendent,Mayor/President, or the designated onediu relations representative prior cocovering their first oectiug tobe informed of the policies and procedures to help foster a professional working relationship between the media reporter and the Town. 5� On administrative matters,the Town Manager/Superintendent is the spokesperson,unless he/she has appointed u media relations person topresent staff information ou the agenda. 6. The Mayor/President,or his/her designee,is the primary spokesperson for the Town/Academy on matters regarding policy decisions or any Council/Board information pertaining to issues nnthe agenda. In order to ensure fair treatment of an issue, any clarifications requested by the media on the issue should be addressed after the meeting.When opposing positions have been debated,regardless of the outcome,tbeyuhliciobettoriufonocdvvbenuUmidox6uvnudequat coverage hv the rnedia. This lets the public know that the item was seriously debated and options discussed before a vote Page 8of)0 was taken,and helps build confidence in the democratic process. 7. The Town of Westlake Council/Board is made up of five(5)Council/Board Members and a Mayor/President,each elected by the residents of Westlake. In respect to each Council/Board Member and his/her constituents,his/her views as presented on an issue before the Board should provide equitable representation from all members. Even though Council/Board members may express differing ideas,equitable representation helps promote unity of purpose by allowing the public to be informed of each member's position during his/her term of office and not only during an election campaign. Page 9 of 10 We all have the responsibility to protect the integrity of our governing process and therefbre, have read and agreed to the above guidelines. Town of Westlake Council/Board Member cgag oftlais The office of elected officials is one of trust and service to the residents of the Town of Westlake and Westlake Academy. This position creates a special responsibility for the Westlake Council/Board Member. In response to this, the Westlake Council/Board is expected to govern this Town in a manner associated with a commitment to the preservation of the values and integrity of representative local government and local democracy and a dedication to the promotion of efficient and effective governing. To further these objectives, certain ethical principles shall govern the conduct of every Council/Board Member,who shall: L Be dedicated to the highest ideals of honor and integrity in all public and personal relationships in order that the member may merit the respect and confidence of the residents of Westlake; 2. Recognize that the chief function of local government at all times is to serve the best interests of all of the people; 3. Be dedicated to public service by being cooperative and constructive, and by making the best and most efficient use of available resources; 4.Refrain from any activity or action that may hinder one's ability to be objective and impartial on. any matter coming before the board. Do not seek nor accept gifts or special favors; believe that personal gain by use of confidential infon-nation or misuse of public funds or time is dishonest; 5. Recognize that public and political policy decisions, based on established values, are ultimately the responsibility of the board and 6. Conduct business in open,well publicized meetings in order to be directly accountable to the residents of Westlake. It is recognized that certain exceptions are made by the State for executive sessions; however, any action as a result of that type of meeting will be handled later in open session. Page 10 of 10 Town of Westlake Westlake Academy Town Council / Board of Trustees CITIZEN ADVISORY BOARD/COMMITTEE/AFFILIATE RELATIONS AND COMMUNICATIONS POLICY " 008 CITIZEN ADVISORY BOARD/COMMITTEE/AFFILIATE �� Y�� 0��Y�� l�� ~~~~�~~~ ~~.^~~~ .~.~~~ ~~~~^-~.-~=^.`�"�� ~~^�= � ~�=�=° Contents iPOLICY PURPOSE....................................................................................................................................2 U. POLICY GOALS.........................................................................................................................................2 Hi POLICY PARAMETERS .............................................................................................................................2 A. Annual Meeting with Board.............................................................................................................2 B. IRS Tax-Exempt Status Requests......................................................................................................] C. Use of Town and Academy Name, Resources, and Logos...............................................................3 D. and —..—.-----------.,—..3 1 December 8/ 2008) 1. POLICY PURPOSE. To establish a clear framework and process for enhanced collaborative interaction, -communication, and mutual understanding of roles and responsibilities between the Town Council (TC) and the Board of Trustees (BOT) and their various citizen advisory boards, commissions, committees, and organizations affiliated with the Town of Westlake and/or Westlake Academy. 11. POLICY GOALS. The goals of this policy are: A. Enhanced two-way communication between the TC/BOT and its various advisory boards, commissions, committees and affiliate organizations(and vice versa). B. Reaching mutual agreement regarding annual programs of work for these various citizen advisory boards, commissions, committees, and affiliate organizations to enhance and assist in the pursuit of the TC's/BOT's strategic priorities. C. Achieving a common paradigm that all advisory boards, commissions, committees, and affiliates of the Town of Westlake and Westlake Academy exist to further the TC/BOT strategic agenda and are under the direct control of BOT/TC or, if they are a Westlake Academy affiliate, are under the day-to-day direction of the Head of School. D. Creating a clear understanding, coordination, and agreement by the TC/BOT and its citizen advisory boards, commissions, committees, and affiliate organizations as to each group's role, function, and scope of responsibility in terms of their relationship to the Town of Westlake and/or Westlake Academy. E. Establishing a direct link between Westlake Academy, its Head of School, and the Academy's Senior Management Team as being the first point of contact for coordinating the activities of Westlake Academy affiliates. Ill. POLICY PARAMETERS. To achieve this policy's purpose and goals, the following parameters are put in place: X. Annual IVieeting with Board. All TC/BOT advisory boards, committees, commissions, and affiliate organizations shall meet at least annually with the TC/BOT to: 1.) Report on progress to date in implementing that group's program of work for the current fiscal year 2.) Review a proposed program of work for the coming fiscal year as well as submit any budget requests and requested staff resources for this proposed program of work. Said program of work will be discussed within the context of the organization's program of work carrying out the TCs/BOA's strategic plan for both the Town and Westlake Academy. All funding requests should be submitted not later than the July 1st prior to the upcoming fiscal year. Requests received after that time will not be considered until the following fiscal year. 3.) Review fund raising activities underway or planned to support the current or proposed plan of work. 2 (adopted December 8, 2008) 4.) The chair of each advisory board, committee, and/or affiliate organization shall schedule this annual meeting (or more frequent if needed) through the Town Secretary's office. The TUBOT may choose to hold these meetings one or two times per year. 5.) All affiliates of Westlake Academy, prior to meeting with the TC/BOT, will meet with the Head of School to make sure they their proposed efforts are coordinated through the Head of School and his/her designates. B. IV.RS Tax-Exempt Status Requests. All advisory committees, commissions, boards, and affiliates seeking tax-exempt status from the Internal Revenue Service 501(c)3 must receive prior approval from the TC/BOT. When submitting a request to the TC/BOT to apply for this IRS 501(c)3 status, the organization wishing to apply must be able to demonstrate and illustrate to the TUBOT the benefits of this status for achieving TUBOT strategic priorities as well as the advantages of this designation not currently afforded by the Town's existing tax- exempt status. Further, the organization requesting to apply for this 501(c)3 status must be able to demonstrate to the TUBOT their organizational capacity to administer and comply with all IRS regulations related to this status on an on-going basis. C, Use orrown and Acadeniv Name, Resources, and Logos. Any advisory board, commission, or committee, as well as affiliate organizations of the Town or Westlake Academy, that wish to begin using the Town or Academy's name or logo in their operational efforts must receive prior approval from the TC/BOT. Said approval can be withdrawn at any time by the TC/BOT. Additionally, any on-going use of Town facilities, resources, and staff by an advisory committee, commission, board, or affiliate must be requested through the Town Manager's office and is subject to his/her approval prior to on-going utilization of those resources. Requests to add organizations covered by this policy to the Town's insurance policy shall be submitted to the Town Manager for his prior approval before any insurance coverage is extended. If approved, the annual cost of this insurance shall be borne by the requesting organization. Requests to add staff to support any advisory board, commission, committee, or affiliate shall be made through the Town Manger's office as a part of the annual budget preparation process and must be approved in advance by the TC/BOT. This request will include the identification of funding resources to pay for this position, the operational reporting arrangement for this position, and which payroll/insurance program this position will fall under. 1), Fiduciary'Stewardstflp Respo ns i bili ties and Requireinents, All advisory boards, commissions, committees, and affiliates that expend funds through their own bank accounts must first have TC/BOA approval to have separate bank accounts. All such groups will also submit their financial control procedures to the Town Manager or his/her designate for review and approval as to providing acceptable internal control on collection and expenditure of funds from these bank accounts. 3 (adopted December 8, 2008) Additionally, if this approval for separate bank accounts is authorized by the TC/BOT, a timely annual audit of this account(s) shall be submitted to the Town Manager or his/her designate for presentation to the TCIBOT. Said audit may be conducted by an external CPA auditing firm or may be conducted by the Town's Director of Finance with that decision being made by the Town Manager depending on staff workload requirements at the time. Since the Westlake Academy Foundation has IRS 501(c)3 status at the time of the adoption of this policy, that organization shall, at its cost, utilize the same external auditor concurrently used to audit Westlake Academy finances. This Westlake Academy Foundation audit shall be prepared on a timely basis for presentation to the TC/BOT at the same time that the Academy's audit is presented. For those advisory boards, commissions, and committees funded by the TC/BOT through the Town or Academy approved budget, use of approved budgetary allocations shall be made on transaction by transaction basis. That is, the chair or president of that organization will identify the vendor they wish to utilize, contact the Town's Director of Finance, and submit necessary invoices so that the vendor can be paid by the Town for goods/services rendered to that advisory committee, commission, or board from their TC/BOT approved budget. Use of approved Town budgeted funds by these organizations shall be in accordance with State purchasing statutes and Town purchasing policies. All by-laws for proposed for citizen advisory boards, commissions, committees, and organizations affiliated with the Town of Westlake and/or Westlake Academy shall first be reviewed and approved by the TC/BOT. 4 (adopted December 8, 2008) MEMORANDUM Date: May 16, 2011 TO: Honorable Mayor and Town Council FROM: Tom Brymer, Town Manager/Superintendent SUBJECT: Updating and Reformatting the Municipal Strategic Plan As a part of my performance review in the context of setting goals and objectives for the next 12 months, I mentioned the need to update and reformat the Municipal Strategic Plan. The Town Council gave direction to me to begin work on this effort prior to its planning retreat. The attached information is the result of that Council direction. This proposed iteration of Westlake's Strategic Plan (attached for your review prior to our planning) utilizes a "strategic issues" based approach. A strategic issues approach to strategic planning is selective, identifying those issues for special attention above and beyond the organization's day-to-day work that will drive the organizations change agenda. (Sadie, 171). A strategic issues approach to strategic planning 1.) identifies and selects strategic issues, 2.) formulates strategies to deal with the issues, and 3.) manages implementation of the strategies (including assignment of roles and responsibilities for implementation). (Sadie, 171-172) At Monday's retreat, Staff will review work-to-date using this strategic issues approach for the Municipal Strategic Plan and will solicit Town Council input and direction concerning it. 3 Village Circle, Suite 2o2 -Westlake, Texas 76262 Metro: 817"430-0941 - Fax: 817-4.30-1812 - www.westlake-tx.org i t Note: This article is physicists,biologists,psycholo- which involves the most sophis- gists,and anthropologists,to ticated,subtle,and,at times, drawn front.the second name but a few,have also subconscious elements of hu- edition of Paul's book, made significant contributions man thinking."'As this quote "Balanced Scorecard to the field of strategy. illustrates,the difficulty with defining strategy is that it holds Step by Step:Maximiz- From the huge mountain of in- different meanings to different ing Performance and formation that exists we must people and organizations.Some Maintaining lie- distill what is most critical to the feel strategy is represented by Article Highlights discussion at hand.Developing the high-level plans manage- • The study of business strategy, sults" (Wiley, 2O06). a comprehensive strategy for ment devises to lead the organi- :.. while relatively new,has pro- your organization is beyond the zation into the future.Others duced thousands of works over STRATEGY scope of my books.Many well would argue strategy rests on the,past several decades. written and cogent texts are the specific and detailed ac- The field of strategy is undoubt available on the subject In this tions you'll take to achieve your • Many schools of thought exist edly the most chronicled sub article I will focus on a review of desired future.To others still, relating to the formulation of ject in the world of business. the common elements of strat- strategy is tantamount to best strategy. What's amazing is that the dis- egy,and most importantly for practices.Finally,some may ciplined study of business strat- us,will outline why strategy and consider strategy a pattern of • While strategy development is egy has really only been with us the Balanced Scorecard must consistency of action over time. vital,teue success is entirely de- for a few decades,but in that be woven together to get the Rather than focus on a stifling pendent upon the successful time has spawned literally thou- maximum benefit f rom both. definition of this nebulous term, execution of strategy. sands of works.An additional let's look at some of the key challenge to discussing strategy What is Strategy? principles of strategy: • The Balanced Scorecard is a is the fact that it has relevant proven toot fordescribing and connections with numerous A prolific writer on the subject ® Different activities:Strat- executing strategy. other areas of study.Who of strategy,Henry Mintzberg, egy is about choosing a among us doesn't know at least provides this excellent synopsis different set of activities one person proudly displaying a of the subject to begin our dis- than your rivals the pursuit copy of"The Art of War"in their cussion."My research and that of which leads to a unique office?Of course military strat- of many others demonstrates and valuable position in egy has been with us for thou- that strategy making is an im- the market.il if everyone sands of years,but historians, mensely complex process, were to pursue the same About the author Paul R.Niven is an author,management consultant,and noted speaker on the subject of the Balanced Scorecard.As both a practitioner and Consultant he has developed successful Balanced Scorecard sys- tems for clients large and small in a wide variety of organizations,including Fortune 1000 companies, public sector agencies,and nonprofit organizations.The second edition of his very popular book "Balanced Scorecard Step by Step:Maximizing Performance and Maintaining Results"was released in September,2006.The first edition has been translated into over a dozen languages.His two previous books are:`Balanced Scorecard Step by Step for Government and Nonprofit Agencies"released by John Wiley&Sons in June,2003,and`Balanced Scorecard Diagnostics"which was released in April,2005.He 'r may be reached at 760.789.2449 or through his website at www.paulniven.com, www.roadmapstrategy.com or www.senalosa.com. Copyright 2009©Paul R.Niven Page 2 ' Strategy & the BiScontinued from page 1 activities,then differentia- change in strategies,gen- began this way:"Take this quick tion would be based purely erally they should not be quiz.Question#1:three frogs on operational effective- constantly re-invented.The are sitting on a tog.One de- ness.In their excellent strategy crystallizes your cides to jump off.How many book,I think it offers the thinking on basic issues are left?You might think two, freshest thinking on strat- such as how you will offer but the answer is three.One egy to be produced in customer value,and to has decided to jump off.Ques- years,'Blue Ocean Strat- what customers.This direr- tion#2:three companies have egy"authors Kim and tion needs to be clear to poor earnings.One decides to Mauborgne distill the es- both internal(employees) revitalize key product lines, sence of successful strat- and external(customers) strengthen distribution chan- egy to three elements:fo- constituents.v*l Changes nels,and become customer cus,divergence,and a may bring about new op- intimate.How many companies compellingtagline.11i Focus- portunities which can be have poor earnings?You get ing on key strengths,differ- assimilated into the cur- the idea:deciding and doing c entiating yourself from rent strategy-new tech- are two different things."m Al- competitors on typical in- nologies for example. though some organizations ,Scorecard provides dustry dimensions,and ® Various thought processes: question the value of strategy in offering a memorable tag- Strategy involves concep- an era characterized by hyper the frarraelpork fox line. tual as well as analytical change,the vast majority con- an organ.Zation to Trade-Offs:Effective strate- exercisesyi,As the Mintz- sider strategy a mandatory com- gies demand trade-offs in berg quote at the outset of ponent of success.The problem move f om deciding competition.Strategy is this section reminds us, is not one of developing a strat- to live their strate more about the choice of strategy involves not only egy-numerous options are what not to do than what the detailed analysis of available for that task as we to,doing it." to do.Organizations cannot complex data,but also saw in the previous section.The compete effectively by at- broad conceptual knowl- fundamental issue is one of tempting to be everything edge of the company,in- implementation,translating the to everybody.The entire dustry,market,etc. strategy into terms that every- organization must be one understands and thereby aligned around what you Using the elements discussed bringing focus to their day to choose to do and create above as ingredients,an organi- day actions.Statistics suggest value from that strategic zation could literally cook up that seventy percent of CEO position.iv innumerable types of strategies, failures are not the result of ® Fit:The activities chosen and over the years they have.In poor strategy,but poor execu- must fit one another for their book,"Strategy Safari," tion. sustainable success.Peter authors Ahlstrand,Lampel,and Drucker in his"Theory of Mintzberg offer ten schools of The Balanced Scorecard pro- the business,"suggests strategic thought which have vides the framework for an or- our assumptions about the emerged in the ongoing prac- ganization to move from decid- business must fit one an- tice of management vile ing to live their strategy to doing other to produce a valid it.The Scorecard describes the theory.Activities are the Strategy and the Balanced strategy,breaking it down into same,they must produce Scorecard-A Critical Link its component parts through an integrated whole.v the objectives and measures Continuity:While major I recently read an article dis- chosen in each of the four per- structural changes in the cussing the execution of strat- spectives.The Balanced Score- industry could lead to a egy in organizations.The article card is ideally created through a Copyright 2009©Paul R Niveu n ,.� — - Page s Strategy & the conflnued from page 2 shared understanding and a series of activities aimed at organization toward its overall translation of the organization's creating customer intimacy, vision and mission.Instead they strategy into objectives,meas- then your Balanced Scorecard often reflect a number of good ures,targets,and initiatives in should reflect this strategic di- ideas that lack a coherent story each of the four Scorecard per- rection.We would expect to see or direction.The Balanced spectives. The translation of linked measures through the Scorecard and strategy truly go vision and strategy forces the four perspectives which when hand in hand.I believe Kaplan executive team to specifically taken together will drive this and Norton sum up this subject determine what is meant by strategy.Measures related to very well."The formulation of The translation of sometimes imprecise terms service of targeted customers strategy is an art.The descrip- visior2 and strafe contained in the strategy,for should appear prominently in tion of strategy,however, example:"world class,""top-tier the Customer perspective, should not be an art,If we can forces the executive service"and"targeted custom- linked to relationship manage- describe strategy in a more dis- tearmm to secifzcally ers."Through the process of ment metrics in the Internal ciplined way,we increase the developing the Scorecard an Process perspective,and per- likelihood of successful imple- determ;ine ivhat is executive group may determine haps selling skill measures in mentation.With a Balanced ;meant�y sometimes "world class"translates to the Employee Learning and Scorecard that tells the story of means zero manufacturing de- Growth perspective.This chain the strategy,we now have a ia3precise terms fects.All employees can now of linked measures which mir- reliable foundation."x contained in the focus their energies and day-to- rors your chosen activities is day activities toward the crystal hypothesized to drive revenue strategy clear goal of zero defects rather growth in the Financial perspec- than wondering about,and de- tive.Again,the Balanced Score- bating the definition of"world card provides the means to de- class."Using the Balanced scribe and articulate the activi- Scorecard as a framework for ties separating you from your translating the strategy these competition. organizations create a new lan- guage of measurement that It is possible to develop a serves to guide all employees' Scorecard-like system without a actions toward the achievement clear and concise strategy,and of the stated direction. many organizations do just that. However,this mix of financial A key attribute of strategy for- and non-financial measures is } mation is performing different better termed a key perform- set of activities than your rivals. ance indicator Scorecard,or key By choosing a distinct set of stakeholder Scorecard rather related activities you have the than a Balanced Scorecard.The opportunity to create unique problem with this approach is value propositions for your cus- that you simply cannot harness tomers and thus separate your- the true power of the Balanced self from competitors.These Scorecard without a strategy activities must be reflected in driving its construction.KPI or the Balanced Scorecard,which constituent Scorecards lack the should parallel the strategy.In ability to align an entire organi- other words,if you wish to dis- zation around a set of comple- tinguish yourself by engaging in mentary themes which drive the Copyright 2009©Paul R Niven rt� Why the need for a Balanced ployees don't understand the The Balanced Scorecard Scorecard? vision and strategy,and of Highlights:' course it is very difficult to im- The Balanced Scorecard(BSC) Article Rarely will a day pass without plement something you don't was developed to overcome • The pace of change has im- someone commenting on the understand.Secondly,our per- many of the challenges outlined pacted private,nonprofit and pace of change in modern or- formance measurement sys- above. The framework was cre- public sector organizations. ganizations.In fact,it truly does tems are geared primarily for ated in 1990 by two men: All mustfocus on the execu- seem as if change is the only measuring past performance, Robert Kaplan and David Nor- tion of strategy. constant in our turbulent world. chiefly financial results,when ton.They realized that in order One thing that has not changed, the execution of strategy de- to thrive,or even compete,in • The Balanced Scorecard sys however,is the critical impor- mands a forward look.Finally, the 21St century,organizations tem,while originally created tance of crafting an effective in today's organizational envi- required a system that allowed with the private sector in strategy to differentiate you ronment intangible assets are them to take advantage of in- mind,can be easily altered to from rivals.While many organi- increasingly marking the differ- tangible assets,and balanced fit the demands of the public zations excel at creating strate- ence between success and fail- both financial and non-financial gies,sadly the vast majority ure.Staff knowledge,stake- indicators of success,thereby sector. struggle mightily to effectively holder relationships,and cul- increasing the odds of strategy • Many public sector organiza execute with recent estimates tures of innovation and change execution.The basic premise tions have embraced the Bal suggesting upwards of 90%of are the stuff of modern value behind the Balanced Scorecard anced Scorecard and are organizations failing to imple- creation,but their"soft"es- is a simple,yet profound,one. using it to drive focus,ac- ment their strategies.The rea- sence makes them difficult to Financial measures are,and countability,and alignment. sons for this profound failure identify,track,and fully exploit. always will be important,but are many and varied,but may Clearly a change is needed if they must be supplemented be summarized by a number of organizations are to rise to the with other indicators which pre- factors:first,in many organiza- challenges awaiting them in the dict future success. tions the vast majority of em- twenty-first century. About the author Paul R.hliven is an author,management consultant,and noted speaker on the subject of the Balanced Scorecard.As both a practitioner and Consultant he has developed successful Balanced Scorecard sys- tems for clients large and small in a wide variety of organizations,including Fortune 1000 companies, ' public sector agencies,and nonprofit organizations.The second edition of his very popular book `Balanced Scorecard Step by Step:Maximizing Performance and Maintaining Results"was released in September,2006.The first edition has been translated into over a dozen languages.His two previous ' books are:"Balanced Scorecard Step by Step for Government and Nonprofit Agencies"released by John Y _ Wiley&Sons in June,2003,and"Balanced Scorecard Diagnostics'which was released in April,2005.He may be reached at 760.789.2449 or through his website at www.paulniven.com, www.roadmapstrategy.com or www.senalosa.com. Copyright 2009©Paul R.Niven Page 2 . . Using 111 IM lip Sector confinued from page 1 Customer Who do we define as our customer? How do we create value for our customer? Financial ? Internal process How do we add value for F= To satisfy customers while customers while controlling meeting budgetary constraints, costs? at what business processes tTnAke traditional must we excel? performance Jv measurement sterns How do we enable ourselves to wbich bape f nano al grow and change,meeting ongoing demands? controls at their-core, the Balanced Employee Learning&Growth Scorecard begins with an organ.Zat on's strategy°„ At the center of the Balanced tions we can derive measures expectations for us as an or- Scorecard diagram we see the that allow us to track our suc- ganization.Finally,the Score- word"strategy."Unlike tradi- cess from their perspective. card forces us to grapple with tional performance measure- Now we turn our gaze inward the true value-creating mecha- ment systems which have finan- and examine our Internal Proc- nisms of modern organizations, cial controls at their core,the esses.To meet customer de- intangible assets.We do so in Balanced Scorecard begins with mands there are core proc- the Employee Learning and an organization's strategy.We esses at which we must excel. Growth perspective.The focus seek to translate the strategy Every organization will have here is on measuring three into performance measures dozens if not hundreds of proc- things:human capital which can be tracked and used esses but in this perspective (employee skills,training,etc.), to gauge our success in the suc- we're attempting to measure information capital(access to cessful implementation of the our performance on those that information for example),and strategy.For public sector en- directly impact performance for organizational capital-the abil- terprises,the Customer per- our customers.As public sector ity to change and sustain suc- spective is placed at the top of organizations,it's critical to bal- cess(culture,teamwork,etc.). the Scorecard model.Here we ance effectiveness(getting the Sometimes considered"soft measure our performance from job done for customers)with stuff,"these measures are truly the eyes of our customer.What efficiency.That's where the Fi- the enablers of everything else do they expect or demand from nancial perspective comes in. appearing on an organization's us-timely service,quality,a Here we measure ourselves Balanced Scorecard. deeper relationship,accessibil- from the eyes of our financial ity?By answering these ques- stakeholders,and gauge their Copyright 2009©Paul R Niven 1,NONNI Page 3 Using now= in i continued from page 2 Success Stories Army Medical Department (AMEDD):When Lt.General Thousands of organizations James Peake took over the or- around the globe have har- ganization in 2000 he realized nessed the simple,but not sim- they"recruit soldiers,but retain plistic,principles embodied in families,"and developed a new the Balanced Scorecard model strategy to ensure the provision to achieve tremendous results. of outstanding medical benefits. From an unrelenting focus on The BSC was chosen as the strategy,to employee alignment mechanism to help execute this around a few key goals,to strategy.The Scorecard has breakthrough financial results, been used successfully through- these organizations have used out the department,and has the Balanced Scorecard as a been particularly effective in powerful measurement and helping groups compete more management system,one truly effectively for scarce resources. suited for the modern world we face.Here are a few examples: Texas Education Agency(TEA): A$15 billion organization pro- Fulton(Georgia)County School viding some 4 million elemen- System:This 83 school,73,000 tary and high school students student organization turned to with a quality education,the the BSC in 2000 in an effort to TEA chose the BSC in 1999 to align strategy with system depict strategy in more graphic needs and measure perform- and precise terms,prioritize and ance.Since that time,SAT streamline goals,and help the scores have gone from meeting agency communicate more ef- the national average to exceed- fectively with politicians and ing it by 23 points.The BSC has regulators.Today,up to 50%of also helped the school system the agency's divisions have de- build new schools on time and veloped Balanced Scorecards on budget which has been criti- which has helped them reap cal since Fulton County,like more than$5 million in effi- most public sector organiza- ciency gains. tions,has recently been forced to"do more with less." v�r Copyright 2009 0 Paul P_Niven � f group r w. . ` �>.. Artfolo HighUghts. Does your organization have tended purpose?So why is ment,and therefore wind up Despite the widespread popn- a strategic plan?I'm sure that not the case? creating what Peter Drucker • larity of strategic planning,a , you're nodding your head in Issues with the Strategic Plan- once labeled A Hero Sand- majority oforganizations are the affirmative at that simple ning Process wich of Good Intentions."In not satisfied with the process they'-ploy. question,so lets try another: As a consultant I've had the other words the'plan'is a If you played a role in the chance to review legions of languid recitation of every • Traditional strategic planning development of the plan,were so-called strategic plans over good and noble thing the or- suffers from a number of flaws,including the inability you satisfied with the process the years and while the prob- ganization dreams of accom- to succinctly define the word employed?Is your head mov- lems that plague the process plishing.Executing such a strategy and the lack:of true strategic choice demonstrated ing now?How about one are varied,I've detected four plan is rendered virtually im- in'most plans. more question:Do you use critical flaws that consistently possible. There are simply • The Roadmap Strategy pros- your strategic plan to make conspire to derail many plan- too many options,too many ess provides an easy to apply major decisions at your or- Ding efforts.Each is outlined roads to travel,and thus sty- method built y onfundamen- tal strategic questions every ganization?If you re like below. mied by indecision,organiza - organization must answer. most people your head will be tions simply trod the comfort- The result is a strategy that quite still at this point because The first issue I've discovered able path of the old and fainil- fan be Ling execution curio communicated, research shows that a majority with man strategic plans is iar,frustrating employees facilitating executon and j �' y � � c alignment from top,tobonom. of people are not satisfied their dearth of true strategy. starving for direction as they with the strategic planning Making choices is at the heart face decisions on the front process used at their organiza- of strategy-determining what lines of the business. tion,and fewer than a quarter to do,and perhaps more im- say they use the strategic plan portantly what not to do- At the other end of the spec- to make major strategic deci- when facing a universe of trum are those organizations sions.Given the countless potential options to pursue. producing strategies better hours logged in pursuit of Unfortunately many organiza- suited to a game of`buzzword creating differentiating strate- Lions either neglect to con- bingo'than to providing a gies that will lead to sustained sider this or perhaps(my clear and direct response to success,isn't it vital that the cynical side here)simply their environment.For exam- output of such intense labor choose to ignore it because ple,"Out,strategy is to pro- actually be used for its in- it's too difficult an assign- vide leading-edge, world- About the author Paul R Niven is an author,management consultant,and noted speaker on the subjects of strategy formation and strategy execution with the Balanced Scorecard.He has assisted clients large and small in a vide variety of organi- zations,including Fortune 1000 companies,public sector agencies,and nonprofit organizations develop success- , ful Performance Management systems.Paul's newest book is"Roadmaps and Revelations:Finding the Road to Business ql Success on Roure I01,"an entertaining and informative business fable on the topic of strategic planning.His other g P� P g� books include:"Balanced Scorecard Step by Step:Maximizing Performance and Maintaining Results"(second edition) which has been translated into over a dozen languages."Balanced Scorecard Step by Step for Government and Nonprofit " Agencies"(second edition)and"Balanced Scorecard Diagnostics."He may be reached at 760.789.2449 or through his websiteatwuww.senalosa.com. Copyright 2009 0 Paul R.Niven,The Senalosa Group PagerF^ Accelerating tC t i I nnin continued from page i class products by capitalizing term so that all involved are create a simple yet robust on synergistic opportunities able to channel their energies framework for developing that ivill catapult us fi-oin in creating an outcome that strategy that would lead to good to great."Are your eyes will be shared,understood, improved plans and effective rolling at that sentence?How and acted upon by your entire Balanced Scorecards. can employees possibly be team.I describe strategy as Over the next several years I expected to act on such a sub "The broad priorities adopted reviewed hundreds of strate- ary-sweet concoction of popu- by an organization in recog- gic plans,scoured the litera- lar jargon?The short answer: nition of its operating envi- ture from the likes of Porter, they can't. ronment and in pursuit of its Mintzberg,Raynor,Kim& mission."Read on to discover Mauborgne,and many others, Engaging in strategic plan- how we determine those all the while constantly asking ning requires a commitment broad priorities. myself what core elements to both the rational analysis of appeared again and again— quantitative data and a thor- A Bridge to Better Strategy what represented the`DNA' ough investigation of underly- of effective strategic plan- in business and environ- Allow me to squeeze in one ning?There are literally hun- t, conditions.However, additional issue,one that led dreds of approaches to strate- for many organizations the me to developing the Road- gic planning,but my investi- pendulum has swung deci- map Strategy process.For gation yielded a set of ques- "The broadpriorities sively to the side of number- over a decade I have been tions that appeared in one adopted by an organization, crunching and remains fixed consulting in the Balanced form or another in virtually all there,with little if any atten- Scorecard field.The Score- of the materials I discovered. in recognition t its inpu- tion paid to the`softer' side of card was developed as a tool Those core questions came to suit o its mission."and in pur-, strategic planning:challeng- for organizations to execute form the basis of Roadmap suit of its mission." in assumptions underlying their unique strate'gies b Strategy,a process I docu- g P Y� � q � Y gY> p lonb held beliefs,examining translating it into objectives mented in my newest book, the environment and making and measures in four related and first management fable, judgment calls.While hard perspectives:Financial,Cus- "Roadmaps and Revelations: numbers will always play a tomer,Internal Processes,and Finding the Road to Business role in the composition of a Employee Learning,and Success on Route 101."As strategy,they are ill-equipped Growth.However,over the you can see,the process on their own to forge a sus- years many organizations draws its name from the tainable path forward. have answered my question, book's title. "Why do you lvant to develop A final,and very pernicious, a Balanced Scorecard,"with Roadrnam Strategy issue with many strategic what seemed to them a very planning efforts is the simple logical response:"To develop The diagram below provides inability of many organiza- our strategy."But in fact that an overview of my process— tions to define the word strat- is not a logical response,be- you'll see four fundamental egy.I challenge you to ask cause again,the Scorecard strategy questions,and on the five people within your ranks was designed to facilitate the outer ring of the diagram to define the term for you.My execution of strategy,not its you'll find what I call the four bet is that you'll receive five formation.Digging deeper to `lenses,'each of which will different answers ranging examine why any organiza- assist you in answering the from:specific tactics to long- tion would turn to the Score- fundamental strategy ques- range goals to everything in card as a means to craft strat- tions.At the center of the between.In order to create a egy led to my discovery of the diagram is the word Mission, compelling strategy,the very issues enumerated above,and first imperative is defining the started me on my quest to Copyright 20090 Paul R.Niven,The Senalosa Group Accelerating i Planning continued from page 2 and it is the starting point of tion of your operating envi- The Four Fundamental Roadmap Strategy. ronment,and in pursuit of Questions You Must An- your mission.In other words, sayer When Creating a the mission guides the devel- Strategy Mission 8ctrates=v- A Crib- opment of strategy by acting cal Link as a beacon for your work. Let's briefly review each of Additionally,the mission can the four questions,beginning A Mission Statement outlines be used by your senior leader- with the first: your organization's reason for ship team to explain the rele- being as an organization,why vane of strategic decisions, 971 at Propels Us Forward? you exist beyond making outlining how strategic At this very moment your money,which for any profit- choices align with your ulti- organization is being pro- seeking enterprise,is a given. mate purpose as an organiza- gelled in some direction by a Recall from above that strat- tion. force put in place through egy outlines the broad priori- years of decisions made on ties you'll adopt in recogni- everything from how you vll .'a.q ri "The mission guides the de- velopment of strategy by act- ing as a beacon for your work. What Propels Us Forward ? k 4n t How DO What Do F We r Sell w� k » «' 7. Who Are Our C a Customers r e, s rr� Copyright 2009©Paul R.Liven,The 3enalosa Group Accelerating r continued from page 3 allocate your financial re- ing of your current group of your alternatives. sources to who you hire to customers by reviewing stan- A Strategy to Create True how you employ technology. dard metrics such as:cus- Alignment from Tots to Bot- What propels you forward tomer satisfaction,loyalty, torn represents,in many ways, profitability by customer your corporate identity.Most group,retention,and market If you were to ask a group of organizations will typically be share.It's also vital to experi- CEOs what they most desire propelled by one of six forces: ence things from your cus- for their company it's a safe Products and services tomers'point of view in order bet that many would discuss Customers and markets to glean insights not visible their pursuit of alignment, Capacity or capabilities from within the walls of your getting everyone—from top to Technology corporate headquarters. bottom—rallied around a core Sales&distribution strategy and its execution.But t channels How Do We Sell? for any person in an organiza- ;< Rm+ materials This is perhaps the most cru- tion,from the executive suite In order to truly capitalize on cial of the four questions,as it to the shipping room floor,to ff t this principle you must com- determines what experts be aligned with the organiza- mit to one driving force for might call your`value propo- tion's direction they must first your organization and align sition.'In other words,how understand specifically where your resources around that do you add value for custom- the organization is headed and "He whose ranks are united decision. ers,or to put it even simpler: why they've chosen that in purpose will be why would anyone buy from course.Flawed strategic plan- victorious." Wiat Do We Sell? you?Despite the importance ning processes,with their Regardless of which of the six of the question,the choices blind devotion to numbers areas propels you forward as awaiting you are limited and and reluctance to true strate- an organization,you must sell basic:you can either attempt gic choice render that knowl- something,some mix of prod- to offer the lowest total cost edge practically impossible. ucts or services,to your cus- of ownership to your custom- Roadmap Strategy,on the tomers in order to keep your ers,or you can put forth a other hand,focuses on the business alive.The challenge differentiated product or ser- fundamentals of strategy and inherent in this question is vice by focusing on creating the result is a simple state- making the critical detennina- the best product(additional ment,often just a paragraph tion of which products and features,technology,etc.)or in length that clearly articu- services you'll place more ensuring the best experience lates what the organization is emphasis on in the future,and (outstanding customer ser- about,what it sells,to whom, which you'll place less em- vice,building long-term rela- and how.Armed with this phasis on. tionships). precise information,employ- ees can make more informed YYho Are Our Customers? The Four Lenses decisions relating to scarce When determining to whom resources,and align them- you'll sell,you are once again On the outer ring of the Road- selves in a common purpose faced with a choice:which map Strategy diagram you'll towards the mission.And as customer groups(and geogra- find what I call"the four Sun Tzu reminded us over phies)do we place more em- lenses."Think of each of two-thousand years ago:"He phasis on in the future,and these as just that,a lens whose ranks are united in which deserve less of our through which to consider the purpose will be victorious." attention?The first step in question you're pondering,or answering this question is a different perspective to acquiring a clear understand- adopt as you deliberate on i Renee Dye and Olivier Sibony,"How to Improve Strategic Planning,"McKinsey Quarterly, August 2007. ii Peter F.Drucker,Managing the Nonprofit Organization(New York:Harper Business, 1990). Copyright 20090 Paul R.Niven,The Senalosa Group } aF ;t 'v: 7 dept fyi 'dj Mai�agi g�5..tr #�gic4lssues .F�®xi �4 izlc#1 r Douglas C Eadie Strategic Development Consulting,Inc.,Shaker Reights,Ohio a a rJ 1. INTRODUCTION This chapter Is intended to provide practitioners with detailed,down-to-earth guidance in building and managing their organizations'strategic change agendas,using a major F variation on the strategic planning theme that I call"strategic issue management."Moving well beyond the conventional notion of strategic planning as the production of weighty master-plan-like documents that ultimately end up on the proverbial shelf,strategic issue management holds special promise for public managers who are committed to stiakgic managetmnt,but vilio7also We in a real world that demands concrete results in &I ear term: y vThe'raajor product of strategic issue management is a dynamic strategic change agenda that serves to keep an organization in balance with its ever-changing environment. In describing the creation and management of the strategic change agenda,my focus will be on the structural and procedural questions associated with designing and implementing strategic issue management applications.I will give less attention to classifying and describing planning outcomes,since this facet is adequately addressed elsewhere in this volume. This chapter first provides an overview of the rapidly developing field of strategic planning/management and describes the basic steps involved in strategic issue manage- ment,after which the process of designing strategic issue management applications is described in detail.One of the basic tenets of this chapter is that the development of a detailed design that Is carefully tailored to organizational expectations,circumstances, and capabilities is critical Ito successful applications of strategic issue management. T69 170 Eodie The remainder of the chapter is devoted to consideration of significant aspects 'r of the strategic issue management process: (1)the role of the policy body and its n; working relationship to the executive function,(2)the application of strategic issue management to the budget preparation process,and(3)the application of strategic issue management in building and managing the internal organizational development agenda. In preparing this practitioner-oriented chapter,I have drawn heavily on my several ? years of experience both as a public-sector executive and as a consultant to several public and nonprofit organizations in designing and implementing strategic management applica- tions xnd on published reports of actual public and nonprofit experience.My intent is not to summarize the theoretical literature,such as it is,but,drawing on theory as appropriate,to help the reader find a reliable path to the application of strategic issue R~ managements Although there are broad strategic management themes that transcend sectors,my j strong opinion—validated by experience—is that the differences between,on the one hand,the public and nonprofit sectors,and on the other the for-profit sector are signifl- cant enough that one must draw on for-profit sector experience with great care(Moskow, 1978).This is particularly true as one moves from more universal themes,such as human ! resource development,to the process—the mechanics—of planning and management.This chapter accordingly reflects this caution. II. STRATEGIC ISSUE MANAGEMENT: AN OVERVIEW r A. A Rapidly Changing Field As this is being written,the field of public strategic management is changing rapidly,and ; even the most skilled and dedicated observer is hard pressed to keep up.Any reader who has dipped at least a big toe in one of the strategic management streams has noted the , strong,accelerating current.Greater commitment and knowledge soon reveal that there is no one,broad stream of development—no"Mississippi River"of strategic management. Instead,we must deal with a number of meandering streams and tributaries(Bryson, 1988;Eadie,1987;Olsen and Eadie, 1982,5chendel and Hofer,1979). The observer who stands back a bit,however,can discern certain major develop- mental themes that taken together,give public-sector strategic management greater consistency.I would like to describe some of these themes briefly,after which i will deal in greater detail with the elements of strategic issue management. t B. Beyond Strategic Planning :r In the early years of public—and for-profit—strategic planning,the analytical techniques 't involved in formulating strategies captured the lion's share of attention,and the basic ` product of this effort was seen as a formal document,more often than not a kind of n s; comprehensive master plan.However attractive theoretically or esthetically,these often ., expensive early applications frequently produced little significant benefit in terns of: organizational performance.Documentation was,indeed,all too often the main,if not sole,product. The updated version of strategic pl'atning that Is commonly known as"strategic management"represents a serious attent to correct the design deficiencies of the ea efforts.At its heart are certain key concepts: (Ill an action orientation,�(2)the importance of design;and,o) the importance of the human factor(Eadie, 1983;Tichy,1983; Gluck,1985). : -t Identifying and Managing Strategic Issues 171 1. Action Orientation It is now widely recognized that strategies,no matter how carefully and creatively crafted,do not implement themselves,and that documents lead to action only if imple- mentation is accorded serious attention in the planning process.The practical manifesta- tion of this recognition is a move beyond grandiose goals statemen o ciion f plans,with schedul s of event acc u Vision is thereby �y' anc ore by action planning(King and Cleland,1978). 2. Design Design involves matching desired outcomes with the processes to achieve them,and the recognition that there are many kinds of outcomes of strategic planning has led to the current focus on the design task.What an organization accomplishes through the strategic management process and how quickly these accomplishments are to be achieved are obviously tied to its capability,including human and financial resources.Not t,,, omake the- essential link explicitly is to risk committing one of the cardinal sins of management: wishful thinkin ie,1 3. The Human Factor People,we now know,are as,if not more,important to the success of strategic planning than are the mechanics of the planning process,The fact is,computers only manipulate data,but people make strategic decisions—more or less effectively.And,of course,people manage the implementation of strategies,and the time they devote systematically to implementation activities will more than anything else determine the success of strategies. Since people learn to identify issues and formulate strategies,considerable attention is now ve ri to the development of the human resource as a key element in strategic management applications.Also,recognizing the benefits of collective effort in both strategy formulation and implementation,we now properly view management team building as crucial to strategic management success(Sadie and Steinbacher, 1985; Robinson and Eadie,1986). � s The bias a n oseof'th strategic rnanagementyprocesi1s=toaz aisitairi a ialaiice bet"vreea n -ionmeniIiwAh that the organization's resources are put to the best feasible use in responding to environmental change,in terms of both opportunities and problems.Rather than addressing all matters of organizational management across the boa the strategic management process is focused on developing and managing a ,max change agnda ose basic result is the maintenance of a favorable balance between organize nand environment(Sadie,1985), i 4 trateg sic»issue Managerfaeixi'Process prefez.the tersnstrateg[c issue management 'ifiage- mcnt' becauseeLLdarscattnlaon`t s sstres�beeirig ad 'ies ;thus`betLE%convEy�ng the se4t #fttt 'Irtcreahng and managing a change agenda;an organization is ... nodealing with th®full range©fits activities;rather,rt E seectangticerrain.:issues for very peetai at#ention`above aad eyond rts day-fo da}� rork`iTius strategic t e management process°bastcallyiirtvoives� }) entif �ar►d st e t �°�e's, 2 ormu,�,�g _Ate tea dreg ues = d 3 m im lemetttatlon of a st a E tes `" 172 Eadle �l i The first major step in the issue identification and selection process is to scan the external en Torment,which involves collecting and analyzing information that is pertinent to the `mission and functions of the organization--economic,demographic, technological,and j. social/cultural. The analysis of environmental trends and conditions in light of the organization's mission and functions cannot help but surface actual and potential oppor- tunit_ies and problems for the organization. Obviously,not all issues are equally important to an organization,and selectivity is essential in building the strategic agenda.I have a rough and ready definition of"strategic issue"that has worked well in actual practice:it is a problem or opportunity bat,if action is not taken on it now,is likely to saddle e o fut re costs. a concept of cost is nece y vague,but the point is that a serious attempt ismade to assess both the direct costs that might be incurred through failure to act, I as well as the less direct cost of foregone benefits.A perfect example of a strategic issue "! by this definition is capital infrastructure.The well-documented failure to plan for infrastructure improvements in many older industrial cities has resulted in a monumental { price tag. :.�• Q��° _. �rs�t��ues/P.rrotess The design of an environmental scan should not be delegated to a planning or research department.Rather,senior managers should be involved in determining what information Is pertinent,how it should be collected,and how it should be displayed.For example, i one city appointed a senior management task force consisting of the budget,finan ce,and planning directors to develop its scan. a With regard to the identification of the information to be collected,it is important to keep in mind that lack of selectivity is just as likely to be a problem as lack of informa- tion.The challenge is to select information that appears to relate directly to the work of the organization and to avoid the generation of research tomes. The issue identification phase of strategic issue management offers a significant opportunity for policy-body involvement;indeed,not to have such involvement may jeopardize the process.Many cities and other organizations have organized day-long trends/conditions review meetings involving their policy bodies and senior managers.One approach that has worked is to combine a formal staff briefing using attractive graphics with facilitated discussion of issues eland d_ d ndsJconditionsbnefingsinta�lmg!ajo ct itis, {f)ceaenue,c`xgeridtture, s" rialysis {2}popyiatitin,{3 tis s ng n(4}l and;(-)theeeconont Eormmu t#ng Shat jgi, An Overview Once certain issues have been selected for the strategic agenda,the organization must decide how to deal with them;this is the strategy formulation job. it basically involves getting a detailed"handle"on each issue,identifying the various subissues comprising the broad issue,assessing the resources that can he brought to bear in addressing the issue and subissues,and then selecting specific change targets or objectives and developing action strategies to achieve the targets. ham dh m t.11 meu f mean em '`'io�ceas. ii�consists; e`nx o_a'num,;eras a e ch eta, ets•;each:with>a `'.x` sate`d"ac" n strat ` egyattacheiltto sues that n ave beg levied.>'This ages a is dynamic, Identlfytraf and Managing Strategic Issues 173 in the sense that it will change over time as strategies are implemented and new strategies i are formulated to address new issues. a. RoleslResponsibilitleslProcess interdepartmental task forces have been effectively utilized to develop strategies to address strategic issues.Such task force efforts must be meticulously managed if they are l; to fulfill their chprge in a full and timely fashion.An organization planning to utilize task forces in strategy formulation should address the following matters: 'S The selection of task-force leadership capable of managing both the technical and human i dimensions of the job The provision of staff support to the task forces The provision of orientation and training to task force members A detailed,realistic workplan is critical to the ultimate success of a task force.It should describe the technical approaches to be utilized in the strategy formulation process, provide a schedule of events,and specify the responsibilities of task force members. , b. Depth of Participation , Strategic issue management is by its very nature a top-down process;issues cannot be identified or strategies formulated by the accumulation of bottom-up input,as in the annual budget preparation process.However,the strategy formulation phase of strategic i issue management offers an opportuni to inv e man emen eve I3 be ow`�1"ie senior team, rou artici ation on the formulation task The"go den rule"in is regard in manageability.As long as the process can be managed,and achieves its +s intended results,inclusiveness is a virtue.Certainly the broader and deeper the participa- tion,the richer the planning and the easier the implementation process are likely to be (Lenz and Lyles,1986;Shea and Guzzo,1987). 3. Ranging Implementation , ?fie strategic change agenda cannot implement itself,like any other major organizations] agenda,success depends on close constant attention.This is uniquely the job of the chief executive and top management staff of the organization,who ensure that the required resources are firmly committed and that an implementation structure is put in place i f. (e.g.,task forces,progress reporting)(Hosmer,1982). E. A Word on internal Organization Development SI. The foregoing discussion of strategic issue management addresses basically an organiza- tion's agenda of"external'service issues,not its internal managerial development—what ' we often call`organization development."The reader will want to keep in mind that a modified form of the strategic issue management logic can be applied to development of ' an internal managerial or organization development strategic agenda that complements ' the extbrnal agenda.l will address this variation on the theme later in this chapter in some detail. � s ltt. DESIGNING APPLICATIONS i For some reason, the public planning literature has paid only slight attention to the design of strategic management applications,despite the obvious influence of design on a 3 174 Eddle .,a� wavugst a lim"Llulg cycle. The design process is comprised of four major steps: (1)assessment of organza- re tional capability,(2)formulation of planning objectives,(3)development of a planning structure and process,and (4) formulation of a planning workplace(Sadie, 1987; Bryson,1988). A. Capability Assessment Assessing the capability of an organization to apply strategic issue management is i obviously not a scientific process,but,subjective or not,it serves the essential purpose of preventing wishful organizational thinking. The clearer an organization's sense of the resources it can bring to the strategic issue management process,and of the constraints 0 ' within which it must work,the more realistic the design is li7cely to be.The major facets o of organizational capability are its human resources,its planning experience,its mana- gerial infrastructure,and its external pressures(Sadie,1986). 1. The Human Resource The human resource dimension consists of.two principal elements:(1)the characteristics of the key participants in strategic issue management,and(2)the level of staff support to s Aye r&`e management design.We need to have a sense of their understanding of, and commitment to,strategic issue management,their planning skills and experiences, and their relationships with each other. For example, a highly adversarial relationship between a city council and the city manager must be seen as a serious constraint,if not an insurmountable barrier,in implementing a strategic issue management process.A council consisting of two or more waning factions will constrain the process,as will a . senior management staff that has seldom worked closely as a team or has recently gone through an unsatisfactory planning exercise. The literature and my practical experience strongly suggest that the chief executive officer is the single most important participant in design and implementation.As Olsen and Eadie(1982)observe,"Few would question that the chief executive is an organiza- tion's preeminent strategist,that his or her active support is an essential element in successful strategic planning,and that even his or her neutrality,much less opposition, is enough to cripple the planning process." An organization with a chief executive officer whose attention span is too short to accommodate the demands of strategic management or whose style of management precludes serious policy-body and/or senior 3} (i- �k I . Identifying and Managing Strategic Issues 17$ management participation in the process would be an unlikely candidate for the applica- tion of strategic issue management. A chief executive officer committed to applying strategic issue management might take the lead in assessing the key participants,or this step in the design process might be accomplished by an external consultant.Whatever the approach,the point is to ensure ` that the major human resource constraints are factored into the design process,and that the costs involved in making a situation manageable are both understood and,equally important,paid before the application goes forward.For example,before detailed design can proceed,an organization may need to repair the policy body-chief executive relationship,a process that is likely to consume both time and money. 2. Organizational Planning Experience The more positive and sophisticated an organization's experience with planning,the better prepared it will be to utilize strategic issue management techniques—and vice versa, of course.If several senior managers have recently been through a planning process widely perceived as unproductive,skepticism at best—cynicism at worst—must be addressed in the design process. An organization whoa history includes minimal policy-body participation in planning is Less well prepared to apply strategic issue management than one with a tradition of significant,positive involvement. Analysis of an organization's budget preparation process can be useful in asseing the status of its planning.An organization that annually produces a bare-bones object ss-of- expenditure budget with little or no planning content,or that involves its senior managers little in development of its operational plans,will have more difficulty in applying strategic issue management than an organization that has invested more heavily in budget planning and participation. 3. Managerial infrastructure I use this term to describe an organization's"bread-and-butter"administrative and service delivery systems, such as financial management (payroll, accounting, inventory, purchasing,and the like),personnel management,contract management,registration and scheduling in a higher education institution or a recreation program,and the like.If there are serious deficiencies in one or more of these basic systems,the cost in time and money to correct them can be a serious constraint on the application of strategic issue manage- ment,perhaps slowing the pace or even deferring the application. 4. :External Pressures An organization's capability to apply strategic issue management is also affected by external demands on its time and attention,and these demands should be anticipated and factored into the design process.For example,a city government or school system with a i tax levy on the ballot can anticipate that many of its policy-body members and its chief t executive and senior managers will be heavily involved in the tax campaign,leaving less time and attention for strategic issue management. likewlse,senior managers in state government are often required to devote considerable time to gubernatorial reelection campaigns. 176 Eadie 5. Foundation Building Beyond its obvious usefulness in setting the appropriate pace for a strategic issue manage. t ment application,the capability assessment is critical to determining the foundation work 5 that must precede the application.Is a systematic policy-body development program a t prerequisite for a successful application? Should management team members receive special team-bttilding training,as well as training in the techniques of strategic planning? th Building on a weak foundation may jeopardize the whole strategic issue management b' process. :f B. Formulation of Objectives The capability assessment provides a context for the design effort,which begins with the 1! formulation of the objectives to be achieved by the application of strategic issue manage- r' went.My experience leads me to believe that the policy body and chief executive officer � should initially work out the objectives,after which the remainder of the design A (structure,process,workplan)can be addressed by the chief executive with his or her senior managers. L The objectives are the most important benefits that an organization expects to realize from the application of strategic issue management.Although they may appear obvious,if an organization limits its aspirations to those that come first to mind,the return that it receives on its investment in planning may fall well short of the potential. y Examples of less obvious outcomes are strengthening the policy-body role and the board- or counci=executive re a�tionship, bu d�ronn management tearn, !. improving the internal climate,and communlc tin more effectively with the public at large. The following statement developed by a middle-sized city includes some less obvious objectives: To strengthen the strategic capability of the Rockville City Government,specifically its capability to manage cross-cutting strategic issues and major departmental issues To enhance the role of Mayor/Council in strategic decision making and policy formulation r g To strengthen the Mayor/Council-Manager-Staff partnership in managing the City's 2• strategic agenda To build a stronger Senior Management Team,capable of providing strong collective ` direction to the Strategic Management Program Formulation of strategic issue management process objectives might take place over the course of a one-or two-day work session involving the policy body and chief executive officer.Often held in a retreat setting and professionally facilitated,such work sessions are not only important for clarification of strategic issue management objectives,Other outcomes that are pertinent to the ultimate success of the process are: Clarification of the policy-body role in the strategic issue management process,which might be dealt with in the broader context of the poilcyrnaking role and the relationship of policy formulation to strategic decision making(I deal with this subject in greater 4etail below). Clarification of the policy body-executive working relationship vis-A-vis strategic issue management. IN Identifying and Managing Strategic!sues 777 Clarification of the costs involved in implementing the strategic issue management process. Cost clarification is one of the most important outcomes of this design work session. The ad slogan,"No pain—no gain,"certainly holds true for the application of strategic Issue management,and the policy body's commitment will be a stronger one if made In light of a realistic sense of cost.Where the policy body is concerned,the os t will basically be in terms of substantial time—above and b and the normal business— required for issue identification, review of strategies, and other facets of e roc Out of this design session will come another critical,if intangible,outcome: a sense of policy-body ownership of the strategic issue management process.As a result of the intensive dialog,strategic issue management should be perceived as a policy-body tool to achieve outcomes that the policymakers have actually helped to identify,rather than as some kind of abstract"good government"management improvement.with- out a proprietary interest in the process,consistent,strong support will be much less likely. C. Structure/Process/Work tan P � Once policy body-chief executive agreement has been reached on the strategic issue management objectives,the role of the policy body in the process, the nature of the pollcymakers'working relationship with the chief executive in the process,and the costs to be incurred,the remaining details of the design can be worked out at the senior management level.There are a couple of strong arguments for intensive senior manage. } ment involvement in this phase of the design process.Their skills and knowledge will help to ensure that the detailed design is technically complete and that it is realistic in terms of the organization's capabilities.Also,the resulting sense of commitment to the process enhances its changes of success. .; Building on the identified objectives,the senior managers,preferably in a one-to two-day work session,reach agreement on the schedule of events,specify the resporl i bilities for performing the several tasks involved in implementing the process,and i develop the management structure. i i For example,when will the environmental scan be ready for policy body review? How will it be developed?will a subcommittee or task force be responsible?Who are its members,and who will chair it?Wall the senior management staff collectively monitor progress?When?How?Will there be a strategic issue management process manager or i coordinator,what will his/her responsibilities be,and who will M the job? ' There is a virtue in the preparation of a formal strategic issue management design i document that presents the various aspects of the design that has been worked out to secure formal policy body and senior management staff review and approval,after which implementation can begin.The design document might be organized along the following lines: An introduction describing the reasons why the organization undertook the design effort I and how the design document was prepared A statement of objectives ' A description of structure,roles,and responsibilities A schedule of events that specifies preparation and decision-making accountabilities 4' V I The strategic issue management process obviously exists outside of the permanent 'there is management structure and processes of the organization,at least in its early days before strategy re tr it is firmly institutionalized. There are always strong pressures working against the makers,". 3' process,including day-to-day organizational activities and occasional crises, and the often tit potential for breakdowns at one point or another or a gradual loss of momentum is annual. always great.The appointment of a process manager(perhaps the"Strategic Management counc' . Program Coordinator")with the requisite skills and time to devote can lower the risk of quest, process breakdown. What should an organization look for in a strategic issue management process and s. coordinator?First,the person should be able to deal as an equal with other members of such the senior management team;otherwise,the coordinator's directions and requests are less hardl. likely to elicit the desired responses.Equally important,the coordinator should have easy "ad ti access to the chief executive officer,so that decisions are made in a timely fashion, real problems are solved expeditiously,and the like. nego Although expertise in strategic planning is not essential,the ability--and commit- whit° went—to master the basic skills is critical,as is an understanding of project management. bod Finally,people who work well with people normally achieve more,faster,than those who maj sl have less well developed interpersonal skills. cre a 2. A Word on Consultant Assistance for exec Whether,and how much,external consulting assistance makes sense for an organization J c and intending to implement a strategic issue management process is an important design plot: question.The answer will depend on a number of factors,including the organization's u < current knowledge of,and expertise in,strategic issue management techniques,the level an of staff support that can be committed to the process,and the pace at which the organization wants the process to move forward. p4, Consultants have proved useful in the design of applications, in the facilitation : of critical work sessions,and in the provision of expert advice during implementation. f One city found the facilitation role especially important (Robinson and Eadie, ex 1986): ni The use of an external third party skilled in group process and perceived as B neutral made it possible to address complex and often sensitive issues in unfamiliar settings (most notably, council-manager-staff intensive work sessions).The facilitator was able to keep the discussion on course,and could play the "devil`s advocate"when such a course might be risky for staff. ve td IV. POLICY, STRATEGY, AND POLICY BODIES j intensive policy-body involvement in strategic issue management process design,issue management process design, issue identification, strategy formulation, and strategy implementation enhances the chances of successful application and at the same time if strengthens the strategic leadership of the policy body.This is no mean accomplishment, in light of the difficulties many organizations have encountered in addressing the roles and responsibilities of policy-body members. t a k'L fi' ` ' k ems 3 Village Circle,Suite 202,Westlake,Texas 76262 www.westlake-tx.org (817)430-0941 Vision. Statement Westlake is a one-of-a-kind community—an Or '€ J 3U�e oasis with rolling hills, grazing longhorns, and soaring red-tailed hawks, located in the heart InnQat,flr; of the Fort Worth-Dallas metropolitan area. a Astrongknowtedgeyeducation base Inviting neighborhoods and architecturally 'leniiendlar, , i lcon„ng vibrant corporate campuses find harmony among our meandering roads and trails, lined Farnilyfocus with native oaks and stone walls. � m 'Engaged cftjzen5 Auniqururaiseting We are leaders. In education, we are known empha Sizing preservabgn(if for our innovative partnerships between the our natural beauty Town-owned Charter school and its corporate m Aesiheticantstandals neighbors. We are environmental stewards— deveionn�ent standards exemplifying the highest standards. Hospitality finds its home in Westlake. As a Table of Contents community, we are fully involved and invested in our rich heritage, vibrant present and History and Demographics 2 exciting, sustainable future. Key Result Area Summary and 3 Timelines Community Strengths and 4 Challenges Mission Statement Vision Point One 5 Vision Point Two 6 "On behalf of the citizens, the mission of the Town of Westlake is to be a one-of-a-kind community that blends our rural atmosphere Vision Point Three 7 with our rich culture and urban location. Outcome Strategies and 8 Objectives W"Tcn trf, estlalte. History r i Approximately 700 residents currently occupy the Town of Westlake's 6.6 square miles, a which is situated in the northern triangle of the Fort Worth—Dallas area. Originally settled in 1847,Westlake was incorporated in 1956. Today, the Town of ` Westlake is home to several neighborhoods,all of which share a commitment to excellence,but possess unique character and charm.All residents live in single-family homes and there is an award winning private golf course in Town. The median age in Westlake is 47,and 51% of the residents are female. Some of the community's top employers are: Fidelity Investments,Chrysler Financial,and First American Real Estate Information Services,Inc. Several companies have offices in Solana,a high-profile corporate campus near State Highway 114. Solana's Village Circle also provides a mix of retail spaces and restaurants,plus offers the 296-room Marriott Solana hotel. The sales tax rate in Westlake is 825%.Of the money collected,6.25% is paid to the state of Texas,1% to the Town,and the remaining 1% to a local property tax relief fund and an economic development fund. "Westlake, a premier ® Fidelity Investments knowledge ® Chrysler Financial lased 0 First American Deal Estate Information Services, Inc. Co�7Z172Z112ZtJ199 ® Wells Fargo hank ® McKesson Corporation Major& Planned Developments W Fidelity Investments North Texas Campus ® Solana Corporate Campus Chrysler Financial—Westlake Campus ® First American Campus Solana Office Complex ® Deloitte University Campus (in-design) a Marriott/Solana Motel Page,3 f€j #= fiia Strategic Plan's Organization and Timelines During the strategic plamling process,the Town Council and staff Leadership Team developed an overview of the major work related objectives and mission for the Town of Westlake. The vision and mission statements were drafted to reflect the unique characteristics found within our community and the values which are important to our residents. The information is contained within three vision points which describe the areas that the Council has determined are vital to maintaining our Town and providing services to enhance the quality of life of our residents. Vision Point One—Inviting Residential and Corporate Neighborhoods Vision Point Two—We are Leaders Vision Point Three—Hospitality Finds Its Home in Westlake "GXision without The vision points are then divided into key Result Areas (KRA's) and outcome action is a dream. measures which serve to focus the efforts of the staff on achieving the desired results Action zvitl�out of the Council. vision is simply These range from issues such as maintaining neighborhood integrity through passiaago tbe time. infrastructure maintenance and development standards to promoting historic preservation and citizen involvement. Action �a�ith vision i s naahina a Within each outcome measure, the staff has identified key objectives and a timeline ill which to complete tasks and reach our goals. The timelines are either assigned short, positive di f ference." mid,or long-range goals,while some are considered to be on-going and necessary on a -Joel Barker reoccurring basis. Short-Range Goals = 1-2 years Mid-Range Goals = 3-5 years Long-Range Goals= 5 or more years On-going Goals �r The outcome measures are also assigned a Team Leader or Co-Leader who is responsible for working with a staff team to complete or work toward achieving the tasks in each Key Result Area. * ' age � i rk of I eke Community try the and alley s The Westlake Mayor and Town Council are united in their view that the community enjoys many strengths. Westlake has no current ad valorem tax, however,this requires the Town to assess and evaluate alternative sources of revenue to maintain financial stability.The history of responsible planning and zoning, along with a growing corporate campus base is viewed as a benefit to the community. The Mayor, Council and staff continue to anticipate, identify and prepare for external conditions or activities, which would detract from the success and unique development of the Town. Special attention is given to practicing fiscal conservatism while delivering the highest quality of services to our residents. Future questions on such issues as the consideration of oil and gas drilling standards within the Town, creating a retail base, revenue opportunities, efficient service delivery, public safety concerns and the development of Westlake Academy will be important to Westlake elected officials, residents,the business community and staff, Future it st s and Events • Groundbreaking of Deloitte University • Completion of the Sam and Margaret Lee Arts and Sciences Center Strengths • Fully integrated community duct bank • Access to top quality of life amenities • Development of quality corporate campuses and partnerships • Promotion of the Town as an event and conference location Opportunities and Challenges • Further development of a diversified revenue sources for the Town • Enlarged Westlake Academy campus with track,soccer,and baseball fields • Expanded park system • Attraction of retail development • Development of extensive interconnected trail system with surrounding municipalities • Potential SH 114 connectivity to SH 1-35 _ ® Expansion of eco-friendly /green initiatives within the Town • Further urban sprawl from surrounding communities • Review of maintenance needs of infrastructure and funding for major repairs • Need to identify location of secondary water source and develop existing water supplies 09, ; Strategic Plan Summary POINT VISION ONE-INVITING RESIDENTIAL AND CORPORATE NEIGHBORHOODS I The Town is home to several communities;residential,corporate and agricultural uses. Our largest residential development is home to a state of the art golf facility and many L `' beautiful homes. Stagecoach Hills is located along the historic stagecoach line which g transported passengers from Keller to Denton. Westlake neighborhoods include: ® Aspen Lane e Glenwyck Farms e Mahotea Boone ® Paigebrooke Farms Stagecoach Hills e Terra Bella e Vaquero e Wyck Hill The Town is located along the Tarrant and Denton County borders and has portions of Entrance toGienwyckFarms major State highways that surround our perimeter. We are an ideal location for businesses and have enjoyed a long history with our corporate campus developments. [�Kejy�Reesu�fltkeas Supporting the Vision Point On-going comprehensive i Sensitivity to Neighborhood Outstanding Community planning Integrity Appearance j Short-Rance Goals Short-Ran e Goals Short-Range Goals I (® Update Master Plans: ! Landscaped Entrances ® Streetscape Projects Comprehensive Use,Open I I Space/Trails, Land Use Mid-Rance Goals� � Mid-Range Goals Connected Trail System ® Long-Ran e Goals Precinct Line Rd. Construction ® Town-wide Completed Trail Is Develop Master Plan as System I I Community Focal Point I i Highest Quality Development Open Space Preservation and Aesthetic Standards Short-Range Goals ( I Short-Range Goals Deloitte Groundbreaking I® Open Space Land Acquisition ® Update Codes/Amendments ® Park Space Expansion ® Fidelity Phase II Completion I Finalize Oil and Gas Related 1 Ordinances Fidelity Investments Construction Project Mid-Range Goals ( li 1® Attraction of Retail Development Strategic fay Summary VISION POINT-Two-WE ARE LEADERS Town leaders foresaw the need for a facility to educate the children of Westlake uz a local setting and to provide the citizens with a civic campus. n 2003,the Town raised funds to build Westlake Academy,the only open-enrollment charter school owned and operated by a municipality in the State. The Academy offers the rigorous International Baccalaureate curriculum and all residents are eligible to enroll their children. The elected Town Council also serves as the Board of Trustees for the Academy. The Westlake Academy unique arrangement serves to strengthen the working relationship between the Academy and the Town. Westlake is also one of a handful of towns in Texas that does not levy a property tax. Instead,revenue from sales taxes,user fees,and franchise fees fiend Town services. Key Result Areas Supporting i i t Premier Educational Facilities i Producing Well Educated Future Environmental Stewardship and Programs Leaders and Thinkers Initiatives Shoat Range Goals Short-Range Goals Short-Range Goals ® Opening of Arts and Sciences Academy Students in Create Westlake Green Team Center Internships at Corporate Campuses ® Automated Recycling Program ® Academy and Deloitte University Mentorir.g ® Plan for Environmental Programs Improvements and Water Conservation Strategies High Quality Services Delivery Infrastructure Maintenance and Coupled with Financial Planning Stewardship Short-Range Goals Short-Range Goals ® Town Facility Master Plan ® Review of growth related policies: "Growth pays for ® Develop Capital Improvement Growth" Plans Public Safety Service Delivery Drainage Utility and Storm and Funding Review Water Planning ` Long Ran e Goals Entrance to Westlake Academy ® Regional Rail System Strategic Plan Summary VISION POINT THREE—HOSPITAUTY FINDS ITS HOME IN WESTLAKE In an effort to foster citizen engagement,enhance our neighborhoods and increase partici- pation in the community, many of the residents serve on various advisory boards that are committed to furthering the mission of the Town and ensuring Westlake is truly a unique , community. The Westlake Historical Preservation Society was created to identify, preserve, and perpetuate the history of the Town of Westlake and the Cross Timbers region. The Town is committed to protecting and improving the quality of life of Westlake residents, WA campus Fountain businesses and students by encouraging, inspiring, educating and entertaining artistic and creative endeavors.The Public Art Society of Westlake provides a wide range of professional and artistic presentations to foster the arts in the community. Westlake is also a member of Tree City USA .The Town must meet strict standards to ensure there are viable tree management plans and programs in place to help support growth and forestry. Key It Areas Supporting the Vision Point Citizen Engagement and Historic Preservation Tourism Development Communication Short-Range Goals Short-Range Goals Short-Range Goals Improve Web Site User i Integrate Mission of the Host Regional Events Friendliness Historical Preservation Society into Community Development to Include Develop Communication Plan Events Additional Hotels and Restaurants Review E-government j Usage for Service Delivery i rl Conduct Regular Neighborhood Meetings Arts and Culture i Short-Range Goals Implement Westlake Speaker ' i Series to Feature Community rLeaders Page6 Vision Point One—inviting Residential rat Neighborhoods Key It Areas and Outcome Strategies ,,. . I ON-GOING COMPREHENSIVE PLANNING -Ensure the master plans are continually updated and reviewed to enhance the development of the Town. N i'Outcome Measure: All master plan documents are not more than 5 years old. Outcome Strategies: 1. Update master plans to guide development and provide a framework for future projects; 0 x` promote the Master Plan as a community focal point—Short&Mid-Range Goats. Glenwyck Park Team Co-Leaders:Tom Srymer/Eddie Edwards Objective 1.1: Develop RFP for master plan review. Estimated Completion Date: Spring, 2010 Objective 1.2: Work with consultant to draft the master plans—form community/staff task force. ---------_---_--_-__---_---.___._ Estimated Completion Date: Winter, 2010 `the are lilnited, 2. Precinct Line Road construction—Mid-Range Goal. 110t by our abilities; bar ou bzrt r ow<a Team Leader:Jarrod Greenwood vi��M." Objective 2.1: Facilitate stakeholder meetings to communicate project status and -A engage community members. F7ot�l�nou�� Estimated Completion Date: Fall, 2009 Objective 2.2: Finalize construction plans with TxDOT;TxDOT bid placernent. Estimated Completion Date: Summer, 2010 Objective 2.3: TxDOT commences construction. Estimated Completion Date: Winter 2010 SENSITIVITY TO NEIGHBORHOOD INTEGRITY—Maintain the high standards of neighborhood planning and residential construction to foster the Town's unique character and rural atmosphere. Outcome Measure: Utilize the 2009 Direction Finder survey to establish a benchmark measure for F neighborhood integrity. Outcome Strategies: 1. Promote and develop landscaped entrances to neighborhoods—Arid-Range Goal. Team Leader:Troy Meyer Objective 1.1: Review and update ordinances and Unified Development Code for all Vaquero landscaping requirements which would include, but not limited to: irrigation systems, plans,trees,xeriscape concepts, water features, lighting, gates, and signs. Estimated Completion Date: Spring, 2010 Sensitivity to Neighborhood Integrity(cont.) Objective 1.2: Develop and implement a process to educate developers, homeowners associations, and staff on new requirements. Estimated Completion Date: Summer, 2011 2. Review and update the current trail system plan and develop interconnectivity options with surrounding municipalities—Mid and Long-Flange Goals. Team Leader:Troy Meyer Objective 2.1: Partner with Keller,Trophy Club, Southlake and Roanoke on best location Arbor Days Hot Air Balloon for connecting local and regional trail systems. Estimated Completion Date: Winter,2010 Objective 2.2: Develop standards for park benches,water features, picnic tables,signs, and pet stations. Estimated Completion Date: Winter, 2010 Objective 2.3: Identify changes to the open space plan created March of 1999 and present to the Town Council for approval. Estimated Completion Date: Spring, 2011 OUTSTANDIN G COMMUNITY APPEARANCE—Enhance the appearance of the Mown with public art displays and high-quality,environmentally'responsibie landscaping brojects. Outcome Measure Utilize the 2009 Direction Finder survey to,establish a benchmark measure for community appearance. Outcome Strategies: 1. Streetscape projects to enhance community appearance—Short-Range Goa(. Team Leader:Jarrod Greenwood Objective 1.1: Work with consultants,TxDOT, and community stakeholders to develop streetscape concept that will incorporate existing themes and characteristics within Westlake. Estimated Completion Date: Fall, 2009 Objective 1.2: Work with Public Art Committee to enhance the FM 1938 corridor by developing a streetscape plan that includes areas dedicated for public art. Estimated Completion Date: Fall, 2010x Entrance to Stagecoach Hills HIGHEST QUALITY DEVELOPMENT AND AESTHETIC STANDARDS—Ensure standards are met which maintain the superior appearance and construcfbP� of develr pmer«ts.:, Outcorrie Measure: At least one local, regional,or national award/recognition on an annual basis for new Westlake'residential or commercial development. �4 r r• G Outcome Strategies: 1. Support our newest corporate partners, Deloitte and Fidelity,with Deloitte University and t . the completion of Fidelity Phase 11—On going Goal. Team Leader: GingerA,wtry I T.Ottinger Road Objective 1.1: Facilitate communication between the stakeholders—PR/marketing team,Town Council,staff, citizens and businesses—to aid and promote the groundbreaking and opening activities. Estimated Completion Date: On-going Objective 1.2: Coordinate and assist with press releases,special required permitting, community traffic flow, security needs, local dignitary contacts, and any other municipal areas in which assistance is warranted. Estimated Completion Date: On-going 2. Revise and update all codes and related amendments—Short-Range Goal. Team Leader: Eddie Edwards Objective 2.1: Revise plan review checklists to reflect the new codes, policies, and procedures; Update Estimated Completion Date: Summer, 2009 Objective 2.2: Update Town of Westlake internet site to reflect the new code adoptions. Estimated Completion Date: Summer, 2009 Objective 2.3: Update contractor handouts reflecting new codes, revised policies, and procedures. Estimated Completion Date: Spring, 2010 3. Finalize oil and gas drilling related ordinances—Short-Range Goal. Team Leader: Eddie Edwards Objective 3.1: Develop applications,forms, policies, and procedures related to issuing il permits and administering the adopted codes. Estimated Completion Date: Summer, 2009 Objective 3.2: Amend technical standards provision in Code of Ordinances. Estimated Completion Date: Summer, 2009 Terra Beira Entry Objective 3.3: Amend zoning ordinance to allow drilling and production in additional zoning districts. Estimated Completion Date: Summer, 2009 Highest Quality Development and Aesthetic Standards (cont.) 4. Work to attract nationwide,well known anchor and retail businesses—Mid-Range and Ongoing Goals. Team Co-Leaders: Tom Brymer/Eddie Edwards „ Objective 4.1: Explore viable economic development tools to attract retail development,specifically in the western area of Westlake, which would be beneficial to the Town and potential business partnerships. Estimated Completion Date: Winter, 2010 Cielo Restaurant Objective 4.2: Research the use of special districts and other incentives that would allow the Town to be proactive in our effort to attract retail uses. Estimated Completion Date: Winter, 2010 and On-going OPEN SPACE PRESERVATION —Maintain the rural atmosphere,spacious residential lots, park facilities and open areas within the master planned community,development. Outcome Measure: Utilize comprehensive plan to develop a recommendation or feasible ratio of open space to land development. Outcome Strategies: 1. Open space land management and park system expansion—Mid-Range Goal. Team Leader: Troy Meyer/ Richard Whitten Objective 1.1: Define the "Open Space Land Management" concept to develop practices and policies to protect our natural resources. Estimated Completion Date: Winter, 2009 Objective 1.2: Review current land management plans; "inventory" available open space/potentials sites located in the flood plains/wet lands. Estimated Completion Date: Winter, 2009 Objective 1.3: Develop long range plans to maintain resources including ordinances and additional requirements to site plans/SUP submittals mandating open space requirements as developments proceed through the Town. Estimated Completion Date: Summer, 2010 Objective 1.4: Analyze the open space in relation to comprehensive trail system and r " amend trail space to integrate cohesive planning. � r. Estimated Completion Date: Fall, 2010 Objective 1.5: Work with Planning Department to ensure public open spaces are included in development proposals. Marriott/Solana Hotel Estimated Completion Date: On-going Objective 1.6: Hire consultant for revised trail master plan,to include, overview of system components,cemetery design elements Estimated Completion Date: Fall, 2010 Objective 1.7: Examine the establishment of a parks master plan. Estimated Completion Date: Fall, 2010 f� 9� .. w�, lR�e��faftie Vision Point Two —We Are Leaders PREMIER EDUCATIONAL FACILITIES AND PROGRAMS-Develop high quality educa- tional facilities and learning opportunities for the students of Westlake Academy. Outcome Measure: Completion of Arts&Sciences Center. i E xn Outcome Strategies: M 1. Complete the Sam and Margaret Lee Arts and Sciences Center—Short-Range Goal. Team Leader:Troy Meyer Vaquero Objective 1.1: Pouring of concrete foundation. Estimated Completion Date: Spring, 2009 Objective 1.2:Continual supervision and interaction with contractors and suppliers to facilitate contract completion for construction related matters. Estimated Completion Date: Fall,2009 Objective 1.3: Opening of Arts and Sciences Center. Estimated Completion Date: Fall, 2009 "[Flestlake has been PRODUCING WELL EDUCATED FUTURE LEADERS AND THINKERS support the;: a lot of Mill but it Academy staff in their efforts to educate the students'. has never been Outcome Measure Development of program processes and objectives;creation of 2 intern positions orclinaPy." and placement of students within 2 years. I~ort 111,01tl) 1. Create partnerships between municipal and Academy staff to utilize local government Star Tele�ra7n resources to enhance student learning and achievement-Short-Terra and On-going Goals. Team Leader: Debbie Piper / Richard Whitten A. Field Trips Objective 2.1: Discuss with the Leadership Team any field trip opportunities that will be of interest to the students and introduce them to the responsibilities of local government services. 191 Estimated Completion Date: Fall, 2009 Objective 2.2: Meet with Head of Sections to develop a plan and determine what grade levels would be applicable. Estimated Completion Date: Fall, 2009 Objective 2.3: Based on meeting outcome ,scheduling limitations and student availability, conduct a meeting with staff to identify field trip dates and assist the respective Department Head with scheduling, if necessary. Vaquero Estimated Completion Date: Winter, 2009 f = g Producing Well Educated Future Leaders and Thinkers(cent.) B. Internships and Mentoring Objective 2.4: Meet with staff to determine level of interest and assistance the interns will be able to provide and formulate rotation to allow students the experience of working in all aspects of local government. rir� Estimated Completion Date: Fall, 2009 '411 i e Objective 2.5: Coordinate placement opportunities with local businesses and prepare evaluation forms and feedback process for both students and employers. Beginning Phase ofA&S Site Preparation Estimated Completion Date: Spring, 2010 Objective 2.6:Select interns and prepare a schedule with Town and Academy staff. Estimated Completion Date: Spring, 2010 ENVIRONMENTAL STEWARDSHIP'INITIATIVES—Develop and implement comprehensive`green'programs for the residents,corporations,and the Academy. Outcome Measure: lmp)ementation of approved environmental programs within five years. Outcome Strategies: 1. Develop a comprehensive automated recycling and composting program to identify new technology which maybe utilized in our environmental stewardship—Short-Range and On-going Goals. Team Co-Leaders: Jarrod Greenwood /Troy Meyer / Richard Whitten Objective 1.1: Conduct Council workshop presentation to identify environmental stewardship initiatives and prioritize tasks within the program—to include, geo-thermal and bio-diesel options and e-waste recycling opportunities Estimated Completion Date: Spring, 2010 A. Formation of Westlake Green Team Objective 1.2: Establish the Westlake Green Team to address issues with recycling/composting. Will include Town Council, staff,student representatives, corporate residents and waste management provider. Estimated Completion Date: Spring, 2010 Objective 1.3: Coordinate activities of Team with NCTCOG,especially its Green Cities Committee. B. Recycling Program Objective 1.4: Survey surrounding recycling and composting programs and available services to develop a comprehensive program. , `` Estimated Completion Date: Winter, 2009 Objective 1.5: Implement recycling program at all Town facilities. Estimated Completion Date: Summer, 2009 , z Objective 1.6: Provide hazardous material disposal for citizens. Estimated Completion Date: On-going Westlake Academy and Student Body gage ? 6€if W6W Ae Environmental Stewardship Initiatives(cunt.) C. Water Conservation Efforts Objective 1.7: Develop water conservation messages for landscaping and the use of xeriscaping in neighborhoods and common areas. Develop plant listing for landscape ordinance. Integrate input from resident master gardeners to enhance conservation and landscaping recommendations. Estimated Completion Date:Spring, 2010 Objective 1.8: Assist Academy with water conservation, protection, and production education by speaking to students and arranging field trips to water and wastewater treatment facilities. Estimated Completion Date: On-going Objective 1.9: Provide water conservation information to customers through the website, mailings, news letters, and Academy publications. Estimated Completion Date:On-going HIGH QUALITY SERVICES DELIVERY COUPLED WITH FINANCIAL STEWARDSHIP Research available revenue resources to offset the cost of providing services;continue to provide outstanding government administrative support services while working within the municipal budget. Outcome Measure: Implementation of at least one new demand driven revenue source per year,over the next five years. Outcome Strategies: 1. Establish a strategy for achieving long-term financial sustainability for the Town government, including Westlake Academy —Mid-Range Goal. Team Leader: Tom Brymer Objective 1.1: Review 2009 Direction Finders results with Council. Estimated Completion Date: Summer, 2009 Objective 1.2: Review 2009 Westlake Academy Parent Survey with Council. Estimated Completion Date: Summer, 2009 Objective 1.3: Review Town Capital Improvement Plan, municipal 5-year financial forecast, and Academy financial forecast during proposed 09/10 budget deliberations. Estimated Completion Date: Summer, 2009 lid Objective 1.4: Research and compile report regarding municipally owned and operated charter schools and their organizational structure. Estimated Completion Date: Fall, 2009 Westlake DPS Engine Objective 1.5: Council to review long-range financial forecast,Academy cost structure components, staff to identify options and strategies to address financial issues and their timing. Estimated Completion Date: Spring, 2010 Ott High Quality Services Delivery Coupled with Financial Stewardship(cunt.) Objective 1.6: Council to prioritize service options and provide staff direction on future x budgeting and resource allocation. t Estimated Completion Date: Spring, 2010 2. Review and discuss growth related policies—Short-Range Goals. Team Co-Leaders: Tom Brymer/Todd Wood/ Debbie Piper A.Council discussion of "Growth pays for growth"approach to financial stewardship and policy making. Objective 2.1: Identify sources of Town expenditures related to service delivery which are not currently offset by fee collection. Analyze identified expenditures,from the standpoint of current impact and future expansion to ensure quality service delivery. Estimated Completion Date: Fall, 2010 Objective 2.2: Identify actual or potential costs incurred by the Town. Estimated Completion mate: Fall, 2010 Objective 2.3: Survey other communities to benchmark costs for newly proposed fees and amendments of existing fees. Estimated Completion Date: Fall, 2010 B. Impact Fees Objective 2.4: Discuss and receive Council direction on impact fee feasibility study. Estimated Completion Date: Spring, 2010 Objective 2.5: Prepare proposal of utility impact fee analysis and feasibility report. Estimated Completion Date: Fall, 2010 Objective 2.6: Review impact fee recommendations and consider fee adoption. Estimated Completion Date: Summer, 2011 C. Park Land Dedication and Development Fee Objective 2.7: Discuss and receive Council direction on park land dedication and development fee implementation. Estimated Completion Date: Spring, 2010 Objective 2.8: Prepare proposal of park land dedication and development fee analysis and feasibility report. Estimated Completion Date: Fall, 2010 3. Explore public safety service delivery options and funding—Short-Range Goal. fl- Team Co-Leaders: Tom Brymer/Richard Whitten Objective 3.1: Research available options to deliver and fund public safety programs. > r Estimated Completion Date: Spring, 2010 � Objective 3.2: Present options and recommendations to Council. Westlake DPS Ambulance Estimated Completion Date: Summer, 2010 '16' .. Tamer of €stt6e High Quality Services Delivery Coupled with Financial Stewardship(cont.) 4. Enhance the effectiveness of service delivery via intergovernmental partnerships— Mid-Range and On-going Goals. Team Leader: Tom Brymer Objective 4.1: Council discussion of the use of inter-local agreements as a means to pursue various types of intergovernmental partnership opportunities with area municipalities. Expected Completion Date: Winter, 2009 Objective 4.2: Share a draft of a memorandum of understanding and/or inter-local agreement with municipalities surrounding Westlake to determine the interest level of such partnerships. Estimated Completion Date: Spring, 2010 Objective 4.3: Pursue dialogue and discussion at both the staff and Council level with cities that have expressed an interest in pursuing identified opportunities of mutual interest. "Good bzrsiness Estimated Completion Date: On-going leaders create a vision, articulate the INFRASTRUCTURE MAINTENANCE AND PLANNING`Identify the maintenance needs of existing buildings, review the impact of severe weather patterns on our neighborhoods and formulate a vision,passionately longterm capital improvement plan. NPH the vision, and Outcome Measure: Approved capital improvement plan 'within two years. relentlessly drive it Outcome Strategies: to completion. " -Jack lljelc% 1. Draft facility master plan with Council—Short-Range Goal. Team Leader: Amanda DeGan Objective 1.1: Work with the Leadership Team to establish a viable facility planning/CIP process. Estimated Completion Date: Winter, 2009 Objective 1.2: Discuss facility master plan (FMP)scope with Council and receive direction. Estimated Completion Date: Spring, 2010 ' Objective 13: Draft FMP scope and solicit project proposals; retain outside consultant to assist staff on FMP. Estimated Completion Date: Spring, 2011 Objective 1.4: Select priorities from FMP and convert into a rolling 5-10 year capital ttsy 4�" improvement plan. Estimated Completion Date: Summer, 2011 2009 P 17 Infrastructure Maintenance and Planning(cont.) 2. Review the drainage and storm water plans needed to minimize the impact of severe weather on our neighborhoods—Short-Range GoaL Team Leader:Jarrod Greenwood Objective 2.1:Complete Stagecoach Hills subdivision draining improvement project. Estimated Completion Date: May, 2009 Spring Flowers 3. Storm Water Utility review—Short Range Goal Team Leader: Jarrod Greenwood Objective 3.1: Discuss storm water utility(SWU)fee with Council as to feasibility and receive direction. Estimated Completion Date: Summer, 2010 Objective 3.2: Draft SWU feasibility analysis scope; retain outside consultant to assist staff. Estimated Completion Date: Spring, 2011 Objective 3.3: Receive SWU report and present recommendations to Council. Estimated Completion Date: Summer, 2011 Objective 3.4: Implement SWU fee. Estimated Completion Date: Fall, 2011 4. Work with transportation representatives to include Westlake in regional rail system—Short-Ranrge and Orr-going Goals. Team Leader: Kelly Edwards Objective 4.1: Compile a list of resources for information on a regional rail systern. Estimated Completion Date: Summer, 2009 Objective 4.2: Monitor progress of plans for and implementation of a regional rail system through legislation, NCTCOG, NE Leadership Forum, etc. Estimated Completion Date: On-going Objective 4.3: Survey community interest/seek input frorn corporate neighbors and residents for a rail system. Estimated Completion Date: Fall, 2009 ` � Objective 4.4: Consider Town Council resolution approval in support of rails system. pp pp Y Estimated Completion Date: Winter, 2009 Objective 4.5: Communicate information and progress of system to corporate neighbors and residents. Estimated Completion Date: Spring, 2010 and On-going g ; 8 T6ft 6f'iiVes6ke Point Vision Hospitality i Westlake 9 P CITIZEN ENGAGEMENT AND COI`; MUNICAT{ON—Design a,'comprehensive plan to communicate with residents,Academy families,corporate partners,and other community stakeholders. Outcome Measure: Utilize the 2009 Direction Finder survey to establish a benchmark for resident satis- faction in communication and engagement efforts. Outcome Strategies: 1. Develop overall communication plan for the residents and businesses—Short-Range and On going Goats. Team Leader: Kelly Edwards Objective 1.1: Coordinate with PR firm to develop a communications plan for the Town and Academy. Estimated Completion Date: Surnmer, 2009 Objective 1.2: Establish and conduct regular PR/marketing team meetings,to include, selected business community members,to implement the communication plan and gauge the success of the activities. Estimated Completion Date: On-going Objective 1.3: Establish regular monthly meeting dates and times with PR firm to discuss promotion of the Town and Academy. Estimated Completion Date: On-going 2. Use of technology to enhance service delivery and citizen engagement.—Short-Range and On-going Goals. Team Leader: Todd Wood A.Web-site re-design Objective 2.1: Increase user-friendly accessibility and information dissemination Estimated Completion Date: Summer, 2009 Objective 2.2: Collectively review the website for updates; assess the relevance of content and remove the obsolete information. Estimated Completion Date: On-going S. Review the use of e-government k � Objective 2.3: Staff to conduct feasibility study and applications for integrated e-government services for customers. Estimated Completion Date: Fail, 2009 Objective 2A Present study to Council in workshop. Westlake Academy Estimated Completion Date: Winter, 2009 Objective 2.5: Implement Council directed e-government program. Estimated Completion Date: Summer, 2010 HISTORIC PRESERVATION -Record the events,individuals,or groups associated with the Town of who had an;impact on the region to provide an accurate portrayal of the history of Westlake. Outcome Measure: Host two events on an annual basis to increase awareness of the Town's history. Outcome Strategies: 1. Integrate the mission of the Westlake Historical Preservation Society(WHPS) into community events—Short-Range and On-going Goals. f. Team Leader: Ginger Awtry r ' Objective 1.1: Meet with WHPS president to review mission and strategic plan of both the Society and the Town/Academy plan to ensure continuity. Decoration Day Flags Estimated Completion Date: Winter, 2009 Objective 1.2: Coordinate and foster communication with community groups and Westlake Academy liaison to ensure our local events promote historical preservation and the Society's visibility; coordinate the event calendars of the groups. Estimated Completion Date: On-going Objective 1.3: Assist in communication between the WHPS and other groups, "Ll'ision is the art specifically the Public Arts Society,to promote historical preservation and of seeii2g what is visibility along trail pathways, entry points, parks and civic carnpus, etc. i�avisible to others,„ Estimated Completion Date: On-going -Jonathan Szvift Objective 1.4:Continue to provide assistance in the hosting of Decoration Day;assist the PR firm in marketing the event to residents and the general public. Estimated Completion Date: On-going TOURISM DEVELOPMENT-Promote the Town as an ideal location for hosting conferences and large meeting events and market the Town's hotel and restaurants as an additional component of regional attractions. Outcome Measure Increase in occupancy and group meeting rate bookings at the Marriott/Solana Hotel within two years. m Outcome Strategies: a,=.y 1. Host regional events to attract individuals to our restaurants, hotel and businesses— r Short-Range and On going Goals. =�r Team Leader: Ginger Awtry Objective 1.1 Facilitate and partner in communications with ARTSNET and our corporate resident, Maguire Partners,to promote our Masterworks Wyck Hill Concert Series in an effort to provide local entertainment and attract individuals from neighboring communities. Estimated Completion Date: On-going Tourism Development(cont.) Objective 1.2: Work with PR/marketing team, consultants and Masterworks partners to develop concert series and increase participation by 10%annually . Estimated Completion Date: On-going Objective 1.3: Partner with the Recreation department in annual Arbor Days celebration; working to increase resident,student and corporate participation. Westlake Academy/Civic Campus Estimated Completion Date: On-going Objective 1.4: Review Town survey results, discuss with marketing team, other municipalities and applicable corporate marketing staff to determine the level of interest in hosting an expanded number of events in Westlake. Estimated Completion Date: Spring, 2010 2. Develop and assist the PR/marketing team,working with the Town's PR consultant group to promote Westlake as a business and tourist destination—Short-Range Goal. Team Leader: Kelly Edwards Objective 2.1: Develop concept for marketing tearn; including goals and objectives and target audience(based on progress of communications plan). Estimated Completion Date: Fall, 2009 Objective 2.2: Interact with PR firm, and possibly corporate partners,to develop collateral material for use proactively/reactively to request for information regarding the Town. Estimated Completion Date: Spring, 2010 Objective 2.3: Formulate a contract with Marriott/Solana for the use of the hotel/motel occupancy tax funds setting occupancy rate targets to promote the hotel as a prernier tourist destination and to increase the visibility of the facility. Estimated Completion Date: Fall, 2009 Page 21 Town of Westlake ARTS ND' UL 'URE Work with Arts Society to place.art pieces within the Town and encourage varied forms of artistic mediums to compliment our natural resources,diverse neighborhoods and oorporate architecture. Outcome Measure: Implementation of two speaker sessions per year and incorporate sites for aft piacetYient into the comprehensive planning process. Outcome Strategies: i 1. Implement a Westlake speaker series featuring community leaders -Short-Range and On going Goals. Team Leader:Ginger Awtry Objective 1.1: Work with Public Arts Society(PAS)to develop community speaker series for both residents and student body. Estimated Completion Date: Spring, 2010 Sunrise at Westlake Academy Objective 1.2: Facilitate report with PAS to the Council in order to determine the future direction of the program. Estimated Completion Date: On-going Successful strategic Mans are not successful because of the plan itself. They are not successful because of their vision statement, their mission statement, values, tactics, outcomes, or performance measures. Yes, these things are all part of a successful strategic plan—but, the strategic plan must be a part of something larger than even the plan's vision. It must tell a story. A story that captures one's imagination, fires one's dreams, and compels one to want to be a part of that story, because it is so inspiring. Westlake's story is not yet finished, and the best chapters are yet to come!The 2009 strategic plan will help write the next chapters—the story of a "premier, knowledge based community." And, we hope this strategic plan inspires you, the reader, to want to be a part of the Westlake story. 5m 9tyw&P 7-pot Iffaq Premier communities have a shared 3 Village Circle, Suite 202, II'le�tla�e, vision, mission, and values. ore Texas 76262 ___ -- than that, they have a plan t® turn Phone: (817)430-0869 Fax: (817) 430-0967 that vision into something real that adds value to the community's quality of E e. This is the Westlake Town C'ouncil's strategic plan forits continued pursuit of excellence on behalf of the residents of the Town I ORION ®f Westlake. www.Westlake-tx oig c I xI tt�. bwn bf,, Wes a T ' ke , DRAYF Strategic Issues-Focuse System The philosophy of the Town of Westlake's team embraces a"shared services model" as the most cost effective method to deliver excellent public services to the community through our dedicated and professional staff members. The community consists of our local residents,the children,parents and staff of Westlake Academy,our corporate citi- zens,the employees who work irr Westlake and various other customers,developers and visitors who do business in and around our town. Through the use of a hybrid of internal direct service provision,infer-local agreements,public/private partnerships and the shared provision of programs at Westlake Academy,the staff strives to maintain Westlake as a premiere choice for families and corporate neighbors while operating in a financially responsible mariner. Each departmental. director and their staff teams are cross-trained and provide support or management of the service programs for both the Town of Westlake and the Town-owned charter school,Westlake Academy. These programs include,facilities maintenance,development,human resources,IT support,financial services,communications,and executive level management. This results in a group of individuals who are actively engaged in creating a unique living experience through community events,educational opportunities and distinctive neighborhoods,which cannot be experienced anywhere else. In order to focus our efforts as it pertains to serving our residents and businesses as well as creating a dynamic strategic planning document,the Council and staff developed a Strategic Issues-Focused Governance System(SIDS). The system is designed to combine the strategic plan,Balanced Scorecard and program based budget document into a comprehensive tool to guide the Town Council and staff as well as create an achievable vision for the Town. The plan is organized according to Strategic Issues,identified as affecting our community over the next 12-24 months.This type of issues-focused version of a traditional strategic plan is designed to allow the organization to scan our environment for opportunities or challenges as it relates to our community and develop action plans to t is achieve the best result for Westlake. Staff further identified Table of Content- Management Related Functions that,while not considered a Vaquero strategic issue, are also important to the direction of Strategic Plan d 2 Westlake and are incorporated into the daily activities of the staff at all levels of the organization. Mission,Vision&community 2 The Strategy Map from the Balanced Scorecard component of the SIGS outlines the Town Values Statements Council Directives which are vital to our service provision levels for our community and Business cycle Chart identify measurable objectives to indicate our performance in these areas of achievement. -- The Program Based Budget is an effort to quantify the cost of services by program rather Balanced scorecard strategy Map than the traditional line-item budget document. The financial costs are identified by each program,rather than by department along with an explanation of the core services and Program Based Budget Summary program objectives. This page left intentional1v blank, f6 U L O m m c v C 67 ,�,' w E u : g �- o a O on L v' S C wUF > � u # � � j U x o aj cu G Y L g O > o C L a) O U O a Os d bA C x a) on U a ' a o s o —° w O , _ _ v e tr m w U Ln o o own � -Q. c v w v O a C E C ° +° ra � 3 C L s _ > 9 `n w m =a g g C x C a 44 C ,. >, to w. [6 �' U 3 cu .> (a O y Z O N t N U u o t O a) x Eu a W O s. LO of J g U oA � } O OL', O 0 as: O ¢ U CL m _ u u w U O +� 4- v, s ¢ c u 3 O E o O e r @ CD v Q Q U U L i m 7 O L +i, ,+O— O r C L d � � p 3 O a) w µ- a O M 7 u v 3 a v wo u r U = v o o Q an m v ' +� w > � +� o tivn x a a� O, w 06 a) m > r w to C m o �� m v U m CL ern > O 0' O O U E O w a ! O. *' O C a) s n N 3 k a � c gga�y 1 r v W t, + _ LU cue, > � `L- 0 •� LU low "Z o a off; 47 ix IUJ Zn LU C AC mdY 03 ti h. i u T d R � C O LLJ F, v O • m `�� .. o uj E f � s v h K i Y� a o 0 0 I es1l, k 'T W- 11", own , Westlake, c 3 Village Circle,Suite 202,Westlake,Texas 76262 www.westlake-tx.org (817)430-0941 Vision Statement Westlake is a one-of-a-kind community—an oasis of tranquility and natural beauty amidst an ever expanding urban landscape. Westlake's uniqueness has multiple dimensions, including a, focus on learning and sense of community that connects us to our rich heritage and pioneer- ing spirit. A Sense of Place. Distinctive neighborhoods and architecturally vibrant corporate campuses grazing long- horns,and soaring red-tailed hawks,find harmony among our meandering roads and trails, lined with natural stone and native oaks. We are Leaders. Building on our founder's vision, Westlake seeks to become a premiere place to live and work through its leadership in public education,corporate and governmental partnerships, development standards, and environmental stewardship. We are a{Caring Community. Our residents are engaged, informed, and involved--sharing a strong sense of belonging and investment in our small town charm,values, and preservation of Westlake's rich heri- Community her!- Community Values tage. Exemplary Governance, • innovation Town officials, both elected and appointed: exhibit respect,stewardship,vision, and trans- • A strong parency while setting a clear direction for the community that encourages innovation and knowledge/education base collaboration—working in tandem with out,dedicated staff. • Being friendly and Service Excellence. welcoming Public service is respo€�sive and professional, while balancing efficiency,effectiveness, and • Family!focus financial stewardship. Employees serve the public through co€°nmunity involvement and per- •i Engaged citizens sonal commitment to the success of our o own. • A unique rural setting emphasizing preservation of Mission our natural beauty • Aesthetic appeal and high development standards "On behalf of the citizens, the mission of the Town of Westlake is to • Open and transparent goeer,ment be a one-of-a-kind community that blends our rural atmosphere 41 Fiscai respo nsibility with our rich culture and urban location."' Page 0 € testl R, History r i Approximately 992 residents currently occupy the Town of Westlake's 6.6 square miles, which is situated in the northern triangle of the Fort Worth—Dallas area. Originally settled in 1847,Westlake was incorporated in 1956. Today, the Town of Westlake is home to several neighborhoods,all of which share a commitment to excellence, but possess unique character and charm.All residents live in single-family homes and there is an award winning private golf course in Town. The median age in Westlake is 38,and 51% of the residents are female. Some of the community's top employers are: Fidelity Investments,Chrysler Financial Services,and CoreLogic. Several companies have offices in Solana,a high-profile corporate campus near State Highway 114. Solana's Village Circle also provides a mix of retail spaces and restaurants,plus offers the 296-room Marriott Solana hotel. The sales tax rate in Westlake is 825%. Of the money collected,6.25% is paid to the state of Texas,1% to the Town,and the remaining 1% to a local property tax relief fund and an economic development fund. "Good lousiness Top Employers leaders create a a Fidelity Investments vision, articulate a Chrysler Financial Services the vision, and a CoreLogic relentless) d�-zve a Wells Fargo hank it to cow pletione 0 McKesson Corporation -Jack- f rlekh Deloitte University a Marriott -- Solana Recent Infrastructure -i st t & Development a FM 1938—Construction of major north/south thoroughfare a Deloitte University 0 Dove Load and Ottinger Load Improvements a Stagecoach Mills Waterline &z Paving/Drainage Improvements Solana Office Complex a Aspen Lane,Mahotea Boone and Roanoke Road Paving/Drainage Improvements a SFI 114/SFI 1170 Interchange Page.S i'o,*7 of" Strategic During the 2011 strategic planning process,the Town Council and staff Leadership ''` Team developed an overview of the strategic issues facing Westlake and developed action plans to morutor the success and completion of the projects. The vision and mission statements were updated to reflect the unique characteristics found within our community and the values which are important to our residents. , The information is contained within five vision points which describe the areas that the Council has determined are vital to maintaining our Town and providing services to enhance the lives of our residents and community. Vision Point One—A Sense of place Vision Point Two—We are Leaders Vision Point Three—We are a Caring Community Vision Point Four—Exenlar-v Governance Vision Point Five—Service Excellence "Visiion witbout SENSE OF PEACE —The Town is home to several different types of community action is a dream. developments,which include residential,corporate and agricultural uses. Our largest fiction xithout residential neighborhood is home to a state of the art golf facility and many beautiful vision , simply homes. Stagecoach Hills is located along the historic stagecoach line which once passing the time. transported passengers from Keller to Denton. Westlake residential neighborhoods llction 2vith vision include: is maing a • Aspen Lane e Glenwyck Farms e Mahotea Boone e Paigebrooke Farms positive difference." • Stagecoach Hills e Terra Bella e Vaquero e Wyck Hill -Joel Barker The Town is located along the Tarrant and Denton County borders and has portions of major State highways that surround its perimeter.We are an ideal location for businesses and have enjoyed a long history with our corporate campus developments. E ARE LEADERS—Town leaders foresaw the need for a facility to educate the chil- dren of Westlake in a local setting and to provide the citizens with a civic campus.b p p In 2003,the Town raised funds to build Westlake Academy,the only open-enrollment charter school owned and operated by a municipality in the State. The Academy of- fers the rigorous International Baccalaureate curriculum,for grades K-12,and all resi-dents are eligible to enroll their children. The Town also utilizes the shared services" configuration to provide cutting edge service delivery to our residents and customers. The staff steps outside the traditional roles associated with each department in a municipality and works in a cross- functional mariner between the Town and the Academy programs. This assists us in keeping our overhead to a mininnum while serving our community. I �� DRAFr E ARE A CARING COMMUNITY-° In an effort to foster citizen engagement,enhance our neighborhoods and increase participation in the community,many of the residents serve on various advisory boards that are committed to furthering the mission of the Town and ensuring Westlake is truly a unique community. F The Westlake Historical Preservation Society was created to identify,preserve,and per- a petuate the history of the Town and the Cross Timbers region. , 3 The Town is committed to protecting and improving the quality of life of Westlake resi- �1 C r` dents,businesses and students by encouraging,inspiring,educating and entertaining ar- tistic and creative endeavors.The Public Art Society of Westlake provides a wide range of professional and artistic presentations to foster the arts in the community and we are a co -sponsor of the MasterWorks Series with the Arts Council Northeast who promote local artists through public concert events. Westlake also hosts several local events to foster community involvement through the amnual Christmas Tree Lighting Event,Decoration Day and Arbor Days. EXEMPLARY GOVERNANCE— Westlake is governed by a Mayor and Town Council with each of the five council members serving a tvvo-year term. The Town Council also serves ., as the governing board for Westlake Academy,in the capacity of the Board of Trustees. The dual service configuration supports the cooperative delivery of program services for the Westlake community. The Town Council appoints the Town Manager,who also serves as the Academy's Superintendent,establishes town policies,and serves as the legislative body of the Town. In this capacity,the Council also approves the Town budget. The community is fortunate to have a dedicated group of residents who serve on our various boards and strive to promote the vision of the Town. SERVICE EXCELLENCE --The Town is staffed by a group of professionals who provide our residents and customers with the highest quality of public services in an efficient and responsive mamler. The staff is involved in community gatherings,such as the neighbor- hood meetings,concerts series,and various holiday based events—as well as strives to maintain a personal relationships with our residential population to foster the Sense of Place and Carbig Cotttzttiazity found in Westlake. K { The Town's Leadership Team of Department Directors brings more than 150 years of collective municipal experience and knowledge to the Town along with a strong tee;" commitment to public service excellence. Entrance to Glenwyck Farms Page 7 Town Of Westlake Strategic Plan DRATT ° egic Issues I P ! EET—Ensure the infrastructure and capital investments of the Town are maintained to the highest possible standards. J i Outcome Strategies: ----------- ------- 1. Existing Infrastructure Reinvestment(Current Assets) Westlake Academy Leadership Team Member(s):Tom Srymer/Eddie Edwards/Jarrod Greenwood j Troy Meyer Issue 1.1: Facilities—Review of long-term rental options in comparison to building a permanent structure. Issue 1.2: Cemetery—Analysis of long-term sustainability and marketing opportunities to increase the return on investment in the facility. Issue 1.3: Completion of FM 1938(Precinct Line Road)-Implementation of streetscaping projects and discussions with Council relative to future development along the thoroughfare. Issue 1.4: FM 114/170 Interchange—Partner with TxDoT to complete the highway project and increase mobility through Westlake. 'Westlake has been Issue 1.5: Utility Maintenance and Repair—Review of existing duct bank, water, and a lot of things, baat it sewer structures to identify any needed upgrades to the long-term viability has never been of the systems and integrate into the utility services program. orclinarg." 2• Technology and Equipment Fort ffl'orth Leadership Team Member(s):Todd Wood/Richard Whitten/ Eddie Edwards Star Telegram Issue 2.1: Capital Investment in Vehicles—Review of emergency and fleet maintenance needs and replacement opportunities. Issue 2.2: Radio Accessibility of Emergency Services—Locate and implement an alternative solution for participation in the trunk system that fosters communication between Westlake's emergency services personnel. 3. Infrastructure Cost from Growth (Future Assets) Leadership Team Member(s):Tom Rrymer/ Debbie Piper/Jarrod Greenwood/ Eddie Edwards/Todd Wood Issue 3.1: Impact Fees Development—Draft a policy for Council review that will contain a recommendation for the implementation of impact fees to offset y the cost of infrastructure related development. Issue 3.2: Park Land and Trail Development—Work in partnership with surrounding municipalities to allow for connection of trails within Westlake to our neighboring communities. Issue 3.3: Westlake Academy Expansion of Facilities—Evaluate the impact of the Hayes report, relative to future technology needs, should the Council expand the campus in the next two years. 2{11 Page DRAYIP Strategic Issues, (cont.) INTERGOVERNMENTAL PARTNER SHIPS,—Maximize the service provision level to our cus- tomers through the use of the shared services model,public/private partnerships and the iimplemehta- u ., lion of innovative intergovernmental agreements. Outcome Strategies: 1. Maintain the current partnerships with other local municipalities. Leadership Team Member(s):Town Manager and All Departmental Directors Issue 1.1: Monitor the current police services contract to ensure a safe Glenwyck Park environment for our residents. Issue 1.2: Work in tandem with the City of Keller on the joint water tower Issue 1.3: Seek additional partnerships through either the use of Memorandums of Understanding(MOU's)or Interlocal agreements(ILA's)-relative to items such as economic development,tourism, cost reductions or enhanced efficiencies in service delivery mechanisms, infrastructure developments, mobility activities, etc. 'We are limited, not by,our abilities, COMPREHENSIVE PLANNING AND MANAGEMENT OF DEVELOPMENT—Ensure, but by our on)n. the standards are maintained and promoted in the management of growth and development within the i i Town to foster our unique character and rural-like atmosphere. vson. -Anony7uous Outcome Strategies: 1. Open Space Management and Development Leadership Team Member(s):Troy Meyer/Eddie Edwards/)arrod Greenwood Issue 1.1: Define the "Open Space Land Management" concept relative to the standards and practices found within Westlake. Link these concepts to the Comprehensive Planning document. Issue 1.2: Develop long range plans to maintain our resources including ordinances and additional requirements to site plans/SUP submittals mandating open space requirements. 2. Review of Land Use Plan Leadership Team Member(s):Tom Brymer/Eddie Edwards Issue 2.1: Understanding the impact of the current land use plan on future growth and financial sustainability of the Town's municipal services,fees, and i infrastructure necessary to support future development. 3. Review of Current Comprehensive Planning Document and Drafting of Proposal to Update the Publication Vaquero Leadership Team Member(s): Eddie Edwards/Tom Brymer Issue 3.1: Review existing plan provisions and incorporate into new proposal; Examine the possibility of hiring an outside consultant to assist in the process. Page 9 TOW0,0 e ti Ce DRAYr FFSt_rategi_c1s_sue_s,_(co_nt.)______ ME MIS FISCAL STEWARDSHIP—Maintain a balanced approach to revenue forecasting and expenditure allocation to ensure the necessary resources for long-term sustainabiliity. Outcome Strategies: 1. Budget according to established service level provisions within departments. Leadership Team Member(s): Town Manager and All Departmental Directors Issue 1.1: Prepare budgets in a fiscally responsible manner to maintain a low tax rate while serving our residents and customers. Issue 1.2: Continually monitor our revenue income and expenditures as it relates to the program budgeting function to provide Council with comprehensive financial information. Issue 1.3: Re-investment in infrastructure through the identification of a revenue source or allocation of funds to retire outdated equipment PERSONNEL—Provide the appropriate•staffing levels at the Town as it relates to service delivery to our community. Outcome Strategies: 1. Include personnel estimates into the five-year financial forecast based on expansion of service provision to the Academy and our community as directed by growth or demand for services. Leadership Team Member(s):Town Manager and All Departmental Directors Issue 1.1: Department heads to evaluate future impact of service provision on their departments as the Town grows or service needs at the Academy increases in response to student enrollment. Issue 1.2: Continually evaluate ways to maximize our delivery methods by cross-training employees and identifying skill sets which would be beneficial and could be ti utilized across all departments ll security at the Academy,event preparation and volunteering, communication efforts through dynamic publications, ITS services between the Academy/Town,etc.) Entrance to Stagecoach Hills Page>16 DRATT Organizational Effectiveness Functions Outcome Strategies: .1. Public Safety Services Function 1.1: Continue to evaluate the service delivery methods, along with the cost effective nature of inter-governmental partnerships to provide for all levels of public safety services. p2. Economic Development t; Function 2.1: Pursue quality economic development opportunities that are congruent with Council policies and philosophy. Function 2.2: While maintaining high standards, continue to create incentive mechanisms that encourage businesses to locate in Westlake. These include flexible Spring Flowers "deveiopment friendly" ordinances, adequate or expandable infrastructure, simplified fee structures and review procedures, and responsive staff support. 3. Code Review Function 3.1: Amend technical standards provision in Code of Ordinances. 4. Communication/ Marketing Function 4.1: Provide consistent and timely communication to promote resident and stakeholder engagement in the business,events and opportunities in Westlake. Function 4.2: implement new website and monitor/update content material for relevancy and timeliness. Function 4.3: Research alternative means of communication, including the use of social media, as deemed necessary by the citizens survey. 5. Environmental Preservation Function 5.1: Provide environmental education and opportunities for the Westlake community. Function 5.2: Implementation of environmental programs and initiatives to help protect our natural resources. Function 5.3: Adequate planning and partnership development for securing the future water needs of our community. 6. . Emergency Preparedness Function 6.1: Ensure all departments have adequate training, equipment, and communication tools, along with an established response plan,to effectively Terra Berra Entry address emergency situations as they arise. Function 6.2 Rehearse, review, and implement Town and Academy emergency plans to maintain readiness. Function 6.3 Maintain communication functionality to ensure residents are notified in a timely manner. 'Vision Point One. Inviting Neighborhoods _EL2grarn Key Department Comprehensive Planning&Economic Development Dept, 11-Administration Building inspections Dept. 12-Planning&Development Plan Review& Inspections Dept. 12-Planning&Development Gas Well Permit Administration Dept. 12-Planning&Development Code Enforcement Dept. 12-Planning&Development Planning&Zoning Dept. 12-Planning&Development Right of Way(ROW) Management Dept. 16-Public Works Transportation Services Dept. 16-Public Works Parks& Recreation Maintenance Dept. 19-Parks&Rec Vision Point Two: We are Leaders Municipal Governance Dept. 11-Administration Academic Governance Dept.11-Administration Financial Management Dept, 11-Administration Municipal Administration Dept. 11-Administration Academic Administration Dept. 11-Administration Records Management Dept. 13-Town Secretary Texas Student Housing Dept. 13-Town Secretary Emergency Prevention Dept. 14-Public Safety Emergency Operations Dept.14-Public Safety Operations Support Dept. 14-Public Safety Emergency Operations-Billing Services Dept. 14-Public Safety Emergency Operations-Support Services Dept. 14-Public Safety Police Services Dept. 14-Public Safety Municipal Court-Case Processing Dept. 15-Municipal Court Municipal Court-Docketing Dept. 15-Municipal Court Warrant&Jail Services Dept. 15-Municipal Court Municipal Court-Collection Services Dept. 15-Municipal Court Judiciary&Administration Dept. 15-Municipal Court Water Services Dept. 16-Public Works Sewer Services Dept.16-Public Works Solid Waste&Recycling Dept. 16-Public Works Utility Billing&Processing Dept. 18-Finance Westlake Academy Foundation Support Services Dept. 18-Finance Municipal Accounting Services Dept. 18-Finance Academic Support Services Dept.21-Human Resources Human Resources Administration Dept.21-Human Resources Human Resources Total Compensation Dept.21-Human Resources Human Resources Risk Management Dept.21-Human Resources Human Resources Employment Services Dept.21-Human Resources Vision Point Three: Hospitality Finds Its Home in Westlake Citizen Engagement Communication Dept. 11-A ministration Election Administration Dept. 13-Town Secretary Municipal IT Operations Dept.20-Information Technology Municipal Network Operations Dept. 20-Information Technology PARK LAND DEDICATION REQUIREMENTS Purpose and Intent The proposed requirements for park and recreational areas are intended to ensure that there will be sufficient land dedicated or otherwise set aside, to meet the demand and need of the future residents for parks and recreational areas. The proposed requirements considered the projected growth in population and also development within the municipality and the amount of park and recreational facility needs. However, while use have policies that support land dedication of parks and open spaces, we day not have a mechanism that provides that, as development occurs and creates the seed for public par open space, that development provide for those seeds. A parkland dedication ordinance is a'tool that many municipalities;use to implement their comprehensive plan as it pertains to public parkland/open space dedication. The current land dedication policies that are found in the 1992 comprehensive plan include the following park and open space policies. 1. Open space corridors should be provide primarily along flood plain and drainage area. 2. Flood plains and land with slopes in excess of 25% should constitute the majority of open space system. 3. Location of park land should conform to the Open Space Plan. 4. Have easy access from all households in a moderate density residential area and be a minimum of 10 acres in size. 5. Land uses allowed in parks and open space should include a broad range of activities including hiking, jogging, riding, golf tennis and other sport courts. However, some uses may be restricted in certain areas for the safety and convenience of the public. Proposed Requirement 1. Park Land is redefined as containing an area of 400' X 300' in size with a maximum slope of 2%. 2. Residential Developments: Park and recreational areas is a ratio of one (1) acre of park land for every ten (10) residential dwelling units. 3. Non-residential developments must provide dedicated parks and/or reserved public open space at a ratio of one (1) acre of park land for every twenty (20) non- residential gross acres of development or prorated portion. 1 4. Transfers and Credits for Prior Dedications, Fees and Gifts. May be applicable. 5. The Town Council shall consider the Parks, Recreation and Open Space Master Plan, and other policies and ordinances, as a guideline for decisions relating to variances and trade-offs. 6. Physical or Equipment Improvements to Public Parks may be made in lieu of land dedication. 7. A developer may request credit for any private park but such private park may satisfy no more than 16% of the total park and recreation area dedication requirement. 2 CHAPTER 82 ARTICLE XIV PARK LAND DEDICATION REQUIREMENTS Article 82.387 Purpose and Intent: The requirements for park and recreational areas contained in this Article are intended to ensure that there will be sufficient land dedicated or otherwise set aside to meet the demand and need of the future residents for parks and recreational a In determining the size, shape and quality of parks and recreational areas that should be ide and reserved in the manner set out in this Article, the Town has considered t cted growth in population and development within the municipality and the amount k ecreational facilities needed to accommodate such growth as stated in the Parks, ation, an n Space Master Plan. Article 82.388 Applicability: (a) Unplatted Property: This article applie II rty for whic al plat has not been formally submitted t wn for app less otherwise no d herein. (b) Exempt Property: Any tra to ied by a 'sting residential dwelling unit at the time of ad ion of thi rdina all b empt from the dedication requirements 'cle herei his e ert only to the tractor lot that the existin entia Iling is b Any .onal lots created by subdivision of the prope all be s ct to the irements herein. ( ssess ents ta°ned in this article shall be assessed at me o val o final p plicable property. Article 8 Land Dedica e ui nts: (a) G I: Land de tion requirements herein are based on the Town's adopted Land Use and the ks Recreation & Open Space Master Plan. The developer to shall show t d tion requirements contained herein with the submittal of a development p ept plan, preliminary plat or other appropriate development submittal. (1) Residential Developments: Park and recreational areas, meeting the requirements contained within this Article, shall be dedicated to the Town at a ratio of one (1) acre of park land for every ten (10) residential dwelling units or prorated portion thereof. 1 (2) Non-Residential Developments: Non-residential developments create environmental impacts which may negatively affect the living environment of the community. These impacts may be ameliorated or eliminated by providing park or open space areas which buffer adjoining land uses, prevent undue concentration of paved areas, allow for the reasonable dissipation of automotive exhaust fumes, provide natural buffers to the spread of fire or explosion, and provide separation of lighting, waste disposal, and noise by-products of non-residential operations and activities from adjacent residential areas. The Town hereby determines that non-residential developments must provide dedicated parks and/or reserved public open space at a ratio of one (1) acre of park land for every twenty (20) non-residential gross acres of development or prorated portion thereof. (3) Off-site Dedications: With the consen Town Council, a developer may dedicate the required park land for a developm nother location within the Town, provided that the off-site land dedication is in da ith this Article. (b) Transfers and Credits for Prior tions, Fees a ifts: In considering the amount of land dedication required proposed develop m the Town may, at its discretion, apply former dedications were in xcess of t quirement at that time to current or future dedication re me the same er/applicant. A dedication or cash payme lieu of ded ade prior to th assage of this Ordinance shall be controlle ovisions o ordinance in effect at the time such obligation arose, provided th a as been itted to the Town for approval prior to the passage of this Ord ce. iscreti the Town, any former gift of land to the m may be dited he t of the current Ordinance toward eve nd tion req m n the donor of such lands. Article 82.390 Character of P nd: The n Cou all nsider the characteristics of proposed icated par recr al areas outlined in the Parks, Recreation, and Open Master Pla det ing whether to accept or refuse the dedication of park Ian es, facilities com ion thereof as outlined in Article 82.391 below, the Town cil shall co er the arks, Recreation and Open Space Master Plan, and other po and ordin es, as a guideline for such decisions. Article 82.391 Alternati Dedication: In any case where a dedication is required, the Town Council shall have the right, but not the obligation, to accept the dedication as submitted for approval, or in the alternative, to refuse dedication of the same, and in lieu thereof to require payment of cash under the formula contained in this Article or to allow the developer to construct recreation or park improvements. The Town may permit a combination of dedication, improvements and fees to be used to fulfill this requirement. 2 (a)Fee Payment: (1) Approval of Fee Payment:The Town Council shall determine the acceptability of a developer's payment of fees in lieu of the land dedication requirement of this Article. (2) Calculation of Fees: The Town Council shall periodically establish an acreage land value cost figure to be used in calculating park fees.This determination shall be based on a study approved by the Town Council. This figure shall be the acreage cost under which all park fees are calculated. Fees paid in lieu of dedication shall be on a determination made by the Town Council. Fees shall be paid prior to th I eing filed, unless authorized otherwise in a developer's agreement approved own cou (b) Physical or Equipment Impro nts to Public Parks. (1) Compatibility with Par ster Pla The Tow ncil may grant a developer the option of improvi xis acilities wit unicipal parks and/or improving d d park Ian of park land dedic ion or payment of cash. Should any tions 'be oved, the Town and the developer shall, prior to initiatio w such im ments, enter into a Developers Agreement. In no case 11 the be re to reimburse the developer for im at an a nt gr req _ d_by this Article. A request to e fac mprove ieu dication shall be submitted in writi Article 82.3 Park rOp aces: de er desir o incorporate a private park, within its developm it m quest limited credit for these private parks facilities gainst its p par dication requirements. A developer may request dit for any to park ut such private park may satisfy no more than 10% of t tal park a ecreation area dedication requirement of this ordinance. The Tow st a e the incorporation of private park or recreation areas to meet t ents of this Article. The Town Council shall have authorization to grant a variance to the Park Land Dedication requirements of this article, but not to any other sections of this article. A varicance request will only be considered for applicants that seek to plat and develop under an existing or new Planned Development District. J Definitions: Open Space— The words "open space" shall mean that land area which is relatively free of manmade structures, where water bodies, land forms, and vegetation predominate. (Definition carried over from Chapter 1 of the Code of Ordinances.) Open Space Plan— The words "Open Space Plan" shall mean the town's Open Space Plan, as adopted by the Town Council, and as amended from time to time. (Definition carried over from Chapter 1 of the Code of Ordinances.) Park Land —The words Park Land shall mean land that meets the definition of Open Space as defined above, which contains an area of 400' x 300' in size wi maximum slope of 2%, and has connectivity to the Town's trail system or roadways base e Town's Open Space Plan, and has utility access for water, sewer and electricity, and is d to the Town. Park Master Plan - The words "Park Master Plan" a mean own's Park Master Plan, as adopted by the Town Council, and as amended me to time. Privately Owned Public Parks and Recreation s - Parks and Recr Areas owned by a private party that are, by easement or written ag nt, a ible to the ral public. Private Park—Any park that is not b ion a Publi Public Parks and Recreation Areas- Op p " efined that is owned by the Town and is designated by the Town a Park that be a e to t eral public. 4 TOWN OF WESTLAKE FIVE YEAR FORECAST ASSUMPTIONS r * Assumes approval of the ClP including all proposed Academy Buildings and Municipal Building PROPERTY TAX REVENUE Based on 15 year projection Effective tax rate used;therefore, no increase to M O ad valorem tax revenues assumed. I&S rates reflect the amounts approved related to the 5 Year Capital Plan adopted in FY 10-11, SALES TAX REVENUE FY 11-12 1% increase FY 12+ 2% increase GENERAL FUN FY 11-12 All other revenues at 2% increase FY 11-12 $325K indirect cost transferred in from Academy FY 11-12 $750,000 funds transferred to Capital Projects Fund ** * FY 11-12 $348,000 funds reimbursed from bond issue ** FY 11-12+ Additional transfers to Vehicle and Equipment Replacement Fund (VE) FY 11-12 Payroll costs remain flat/Payroll related costs increase 10% FY 11-1.2+ Remaining expenditures increase 3%annually FY 12-13 Payroll costs remain flat/Payroll related costs increase 10`10 FY 12-13+ Additional transfers to General Major Maintenance (GM) FY 12-13+ 70%of debt service payment for Municipal Building transferred out ($118,000) ** $ FY 13-14+ Payroll costs increase 3r0/Payroll related costs increase 10% FY 13-14 70% (GF proportionate share) of Maguire lease payment of$150,000(approx. $215,000 total payments)reduced ** VISITORS ASSOCIATION FUND FY 11-12+ Revenues increase 2%annually FY 11-12 $200,000 funds transferred to Capital Projects Fund ** FY 11-12 $90,000 funds reimbursed from bond issue ** FY 11-12 Expenditures increase 3%annually FY 11-12 $15K transferred to VE Fund FY 12-13+ 15% of debt service payment for Municipal Building transferred out ($32,000) ** FY 12-13 $10K transferred to VE Fund FY 13-14 15% (VA proportionate share)of Maguire lease payment of$32,000 reduced ** PROPERTY TAX REDUCTION IO FUND FY 11-12 $350,000 funds transferred to Capital Projects Fund ** $ FY 11-12 $162,000 funds reimbursed from bond issue ** w FY 12-13+ Additional Funds transferred out to GM and VE Funds TOWN OF WESTLAKE -: FIVE YEAR FORECAST ASSUMPTIONS DEBT SERVICE FUND FY 12-13 Proportionate shares transferred in from GF,VA and OF for debt payment of Municipal Building FY 12-13+ Transfer in from WA for the facilities portion of debt ** UTILITY FUND FY 11-12+ Revenues and Expenses increase 3%annually FY 12-13 15%debt service payment for Municipal Building transferred out ($32,000) FY 12-13+ Additional funds transferred out to Utility Major Maintenance and Vehicle & Equipment Replacement Funds FY 13-14 15% (UF proportionate share) of Maguire lease payment of$32,000 reduced ** CAPITAL PROJECTS FUND FY 11-12 Issue $2.8M for Municipal Building/$5.2M for Academy facilities ** FY 11-12 includes Transfers in from GF, PTR and VA for cash funding with a reimbursement when bond proceeds are received FY 12-13 Issue $10M for Academy facilities FY 12-13 Issuance of$10M for remainder of Facilities funding ** FY 12-13 Bond issuance of$1.6 per adopted CIP of FY 10-11 FY 13-14 Bond issuance of$1.6 per adopted CIP of FY 10-11 (swill push out one year if the $10M is issued in FY 12-13) * IJM / 11 11/VEFII �E E�I31PI41EI T $! REPLA EIVIE 17 FUNDS Based on additional transfers from GF, PTR, VA and OF Based on Prior Year Five Year expenditure projections TOWNOF WESTLAKE FIVEYEAR FORECAST A.11. Municirml. Funds (In-elluding Adopted CIP only) .......... Rev per penny 73,747 77,027 78,567 80,139 80,139 Anticipated Tax Rate 0.16054 0.15370 0.15069 0,14773 0.14773 Property Tax 0% 0 1,183,930 1,183,930 1,183,930 1,183,930 1,183,930 1,183,930 General Sales Tax 1% 1,597,195 1,250,000 1,262,500 1,287,750 1,313,505 1,339,775 1,366,571 Beverage Tax 2% 17,902 17,750 18,105 18,467 18,836 19,213 19,597 Franchise Fees 2% 603,233 612,000 624,240 636,725 649,459 662,448 675,697 Permits and Fees 2% 1,738,536 424,875 433,373 442,040 450,881 459,898 469,096 Fines&Forfeitures 2% 647,171 550,190 561,194 572,418 583,866 595,543 607,454 Interest 2% 24,166 9,235 9,420 9,608 9,800 9,996 10,196 Misc Income 2% 114,915 80,767 82,382 84,030 85,711 87,425 89,173 Contributions 0% 189,097 175,000 0 0 0 0 0 Transfer In-VA 220 Payroll 0 174,971 177,024 181,652 190,664 200,304 210,624 Transfer In-OF SOO Payroll 0 227,292 227,602 233,552 245,140 257,534 270,803 Transfer In-OF 500 Impact 0 133,000 18,540 19,096 19,669 20,259 20,867 Transfer in-WA(Indirect Cost) 0 0 325,000 325,000 334,750 344,793 355,136 Transfer in-CPF(Reimbursement) 0 0 0 0 0 0 o 0 'T " 4 Payroll Wages 0%11-12/3%12 on (1,454,868) (1,867,843) (1,867,843) (1,867,843) (1,923,878) (1,981,595) (2,041,042 Payroll Related 10% (391,798) (600,976) (661,074) (727,181) (799,899) (879,889) (967,878 xpenditures 3% (1,939,471) (2,037,375) (2,098,496) (2,161,451) (2,226,295) (2,293,084) (2,361,876 fransfer Out-GM 600 0 (60,000) (60,000) (60,000) (60,000) (60,000) (60,000 Transfer Out-ED 210 (35,758) (35,758) (35,758) (35,758) (35,758) (35,758) (35,758 Transfer Out-VE 257 (5,000) (76,407) (60,000) (60,000) (60,000) (60,000) (60,000 Transfer Out -CP410 (49,301) (2,085,000) 0 0 0 0 0 Transfer Out-DSF 0 0 1 0 0 0 0 C 7-4 Beginning Fund Balance 2,675,312 3,731,332 1,806,982 1,947,121 2,029,155 2,009,536 1,880,33C 1,947,121 Ending Fund Balance 3,731,332 1,806,982 T 2,029,155 2,009,536 1,880,330 1,632,921 Restricted Funds 195,000 375,850 383,367 391,034 398,855 406,832 414,965 Operating Days 380 134 160 165 158 141 ill: M I ME IN I I ll Revenues 2% 475,977 478,975 488,555 498,326 508,292 518,458 528,82-, Transfers In-CPF(Reimbursement) 0 0 0 0 0 0 T 7,'77, 0 Expenditures 3% (245,700) (241,962) (249,221) (256,697) (264,398) (272,330) (280,50( Transfer Out-GF 100 Payroll (174,569) (174,971) (177,024) (181,652) (190,664) (200,304) (210,62, Transfer Out-DS 300 (179,266) (180,944) (182,416) (183,692) (179,722) (180,852) (180,85: Transfer Out-CP 410 (20,447) 0 0 0 0 0 Transfer Out-VE 257 0 0 (15,000) (10,000) 0 0 1 Beginning Fund Balance 1,244,945 1,100,941 982,039 846,933 713,217 586,724 451,691 ending Fund Balance 1,100,941 982,039 846,933 713,217 586,724 451,696 308,54 astricted(Historical/Public Arts) 0 0 1 0 0 0 0 04 1 i"z 802'4 "41 Operating Days 1 956 860 725 594 471 349 22 CIP Including Adopted CIP c 5118/2( WC! MINE Imi iii Revenues 3% 5,615 16,875 17,381 17,903 18,440 18,993 19,563 Transfers In 0 0 0 0 0 0 0 - Expenditures 3% (27,822) (24,350) (25,081) (25,833) (26,608) (27,406) (28,«8) Transfers Out 0 0 0 0 0 0 0 T+staExpee�ture ,T �ift 4 Beginning Fund Balance 163,356 141,149 133,674 125,975 118,045 109,877 101,463 Ending Fund Balance 141,149 133,674 125,975 118,045 109,877 101,463 92,798 Restricted Funds 0 0 1 0 0 0 0 0 Revenues 298,072 375,010 0 0 0 0 0 Transfers In 35,758 35,758 35,758 35,758 35,758 35,758 35,758 otlietierre#cancers 33,#3b< 6 _` k ,? 3a, 3x,758 Expendures (333,830) (410,768) (35,758) (35,758) (35,758) (35,758) (35,758) Tra#nnsferpsq Out g ¢ y 3{0 00 gg yy00p 0y {{{0}}} (0p y( pg0y , 1l7;"6 Beginning Fund Balance 0 0 0 0 0 0 0 Ending Fund Balance 0 0 0 0 0 0 0 Restricted Funds 0 0 0 0 0 0 0 kt 7 77 oesf rued nili sg 9aEs .67, ]pct {}" f}"';.. 9` 6 " 0 Kmwl =23MMEM-1137, ! 1111:1111i:, HIM= Revenues 948,096 813,000 631,250 643,875 656,753 669,888 683,285 Transfers In 0 0 0 0 0 0 Expendures 0 0 0 0 0 0 0 Transfer Out (948,096) (842,231) (660,481) (673,106) (685,984) (699,119) (712,516) Tort ElLrCd�ttrr .1ranerslcet; 94 tt86` x. 1 , 3 .,. .. .. xT3kQ6 : i8k4. i } . : Beginning Fund Balance 297,308 297;308 268,077 238,846 209,615 180,384 151,153 Ending Fund Balance 297,308 268,077 238,846 209,615 180,384 151,153 121,922 Restricted Funds 0 0 1 0 0 0 0 0 rieestrfctEr #arsg. ataneesjected" 297;3t? 'ZS8) 7 :23 , b 2t3;fi15 1 #);38453, 5 Z ; 2' WMIM Revenues 957,024 818,300 631,250 643,875 656,753 669,888 683,285 Transfers In 0 8,770 0 0 0 0 0 Transfer In-CPF(Reimbursement) 0 0 0 0 0 0 0 otat FCueraoes €ransfes trr=, 457,6324` ?kt7 S3k75s1, S43kf12 = =65fa,7 Fra ,88$,;: &8k285' Transfer Out-GF 100 0 0 0 0 0 0 0 Transfer Out-FM 252 (1,256) 0 0 0 0 0 0 Transfer Out-DS 300 (372,008) (477,143) (811,711) (643,230) (632,701) (618,435) (605,038) Transfer Out-CP 410 (41,316) (1,205,000) 0 0 0 0 0 Transfer Out-GM 600 (23,000) (41,274) (33,248) (114,594) (66,500) (111,752) (50,000) Transfer Out-VE 257 (17,729) (10,000) (32,160) (50,000) (50,000) (50,000) (50,000) tciaes s c ►t; 4x66> s {4 : . . isi . B ,s2 } a <zi,; dsaks3s} gi A a to Beginning Fund Balance 1,068,034 1,569,749 663,402 417,534 253,585 161,137 50,837 Ending Fund Balance 1,569,749 663,402 417,534 253,585 161,137 50,837 29,085 Restricted Funds 0 0 0 0 0 0 0 3�srestxicleitnring'13alaucelprtl} cted} , 1,569,74% 563,402" `#1"1;$3453; 81, 7 5tf31 )5' CIP Including Adopted CIP onl} 2 5/18/2011 1,1-11 YJ Rate based on 2011&2015 Rev per penny 73,747 77,027 78,567 80,139 80,139 CO's only Anticipated Tax Rate 0.02097 0.01996 0.03281 0.03228 0.03226 perty Tax 0 29,065 154,658 153,765 257,791 258,704 258,503 Transfer In-4B 200 948,096 842,231 660,481 673,106 685,984 699,119 712,516 Transfer In-VA 220 179,266 180,944 182,416 183,692 179,722 180,852 180,852 Transfer In-PTR 260 372,008 477,143 811,711 643,230 632,701 618,435 605,038 Transfer In-GF 100 0 0 0 0 0 0 0 Transfer in-OF 0 0 00 „ 0 0- 0 0 Expenditures (1499,369) (1,503,661) (1,654,608) (1,500,028) (1,498,406) (1,498,406) (1,498,406) Expenditures-2011 CO-$2.095M CP 0 (25,722) (154,658) (153,765) (153,791) (154,704) (154,503) Expenditures-2012 CO-$2.8M MB 0 0 0 0 0 0 0 Expenditures-2015 CO-$1.6M CP 0 0 0 0 (104,000) (104,000) (104,000) Transfers Out 0 y 9 0 0 0 0 f 0 ¢ �0g Beginning Fund Balance 0 0 `' 0 0 0 0 0 Ending Fund Balance 0 0 0 0 0 0 0 Restricted Funds 0 0 0 0 0 0 0 Revenues 3% ' 2,217,235 2,533,416 2,609,418 2,687,701 2,768,332 2,851,382 2,936;923 Transfers In 0 0 0 0 0` 0 0 7, 77777, Expenditures 3% (782,099) (743,308) (765,607) (788,575) (812,232) (836,599) (861,697) Water Purchases 3% (745,891) (1,051,600) (1,083,148) (1,115,642) (1,149,112) (1,183,585) (1,219,093) Debt Service(Hillwood) 3% (67,924) (108,000) (111,240) (114,577) (118,015) (121,555) (125,202) =bt Service(Keller Overhead Storage) (40,750) (116,053) (116,668) (118;212) (119,462) (118,949) (118,949) ransfer Out-DSF 0 0 0 0 Transfer Out-GF 100 Payroll 0 (227,292) (227,602) (233,552) (245,140) (257,534) (270,803) Transfer Out-UM 600 0 0 0 (100,000) (100,000) (100,000) (100,000) Transfer Out-GF 100(Impact Fees) 0 (133,000) (18,540) (19,096) (19,669) (20,259) (20,867; Transfer Out-VE 257 0 0 (31,170) (159,900) (253,000) (100,000) (100,000; Capital Projects (67,428) (332,719) (603,603) 0 0 0 0 Debt Service on Municipal Bldg 15% 0 0 0 0 0 0 0 Debt Service on Capital Projects 0 0 0 (169,572) (168,277) (171,636) (171,636 Bea# 1sat� 1 .. n : £ ' Beginning Fund Balance 1,003,110 1,516,254 1,337,698 989,538 1,027,683 979,386 1,092,287 Ending Fund Balance 1,516,254 1,337,698 989,538 1,027,683 979,386 1,092,287 1,040,964 Restricted Funds 1% 135,000 135,000 136,350 137,714 139,091 140,482 141,886 T-7 1, f1, ' tf2,69 318 89,9k?t1' " 895 9s ,$tls` 89 ;fl?3 Operating Days 308 195 135 137 125 138 126 CIP Including Adopted CIP o 3 6/18/2( ..,.; �, ;_ ='.. ,,:, �;, asw u,,z �;.a rr,+trr+a..R,-ur >.,�ic�i�,�i.� �,r^tC3E�'��•,G�L ,j�t„�'it�LT .:Y"Ft9l' Ct "..J.'.'�,£Ei�€'„�Y Revenue 64 10,125 0 0 0 0 0 Transfer In-GF 100 5,000 76,407 60,000 60,000 60,000 60,000 60,000 Transfer In-PTR 260 17,729 10,000 32,160 50,000 50,000 50,000 5' Transfer in-VA 220 0 0 15,000 10,000 0 0 J Transfer in-OF 500 0 0 31,170 159,900 253,000 100,000 100,000 1' Wt Verb es "Tt'if et'[i ,79 6 #3 . {3 r9t7tf 3 f1bt1 ft,4t3E Lb, Expenditures per maint list (27,536) (81,788) (116,752) (239,007) (312,400) (40,500) 0 Transfers Out 0 00 0 0 0 0 0 IN Beginning Fund Balance 62,000 57,256 72,000 93,578 134,471 185,071 354,571 Ending Fund Balance 57,256 72,000 93,578 134,471 185,071 354,571 564,571 Restricted Funds-Governmental 0 22,000 22,000 22,000 22,000 22,000 22,000 Restricted Funds-Utility 0 0 1 0 0 0 100,000 100,000 Ucarestricte Erti!'rn 8at�rie� alp►s�ject�i;l , -, ". �,�'.` "> "° "<aitf'�6J13" �#,57�;, :- 1 . '71, _ `" �63,47� `.: .::232,571,."; X2,579. Revenue 28 100 0. 0 0 0 0 Transfers In 0 0 0 100,000 100,000 100,000 100,000 Expenditures (7,500) 0 0 0 0 0 0 Transfers Out 0 0 0 0 0 0 0 T�rtafxpncht�ares •: � -, .- .• s ►m t is spa �e iaa ea air a4 +s€ Beginning Fund Balance 50,000 42,528 42,628 42,628 142,628 242,628 342,628 Ending Fund Balance 42,528 42,628 42,628 142,628 242,628 342,628 442,628 Restricted Funds 0 0 0 0 0 0 0 J�ti^estrf�tedEr�dR�rgBatafr�`e��rsa� t�t#} X2,528 :° r62 �" .a€�„6�� 42�F2$ ��2,62� 3�2� �" 44�;6Z8' Revenues 54 125 129 130 131 132 133 Transfers In-PTR 260 23,000 41,274 33,248 114,594 66,500 111,752 50,000 Transfers In-GF 100 0 0 60,000 60,000 60,000 60,000 60,000 Tact Revcnues 8a`7ransfers in 23,954 41x399 93,377. '24x724 126,tr31 1?2,884. 110,1:33 q Expenditures 0 (91,324) (38,248) (69,594) (21,500) (66,752) 0 Transfers Out (11,400) 0 0 0 0 0 0 Total Exp Trdi res ,Transfe s.E3€a..; 01x400} (91;314} t38,249 Beginning Fund Balance 50,000 61,654 11,729 66,858 171,988 277,118 382,250 Ending Fund Balance 61,654 11,729 66,858 171,988 277,118 382,250 492,383 Restricted Funds 0 0 0 0 0 0 0 Unrestricted,tndi€rg 8alanc (pro)ected) 61,654 11,72) 66,858 171,988 277,118 382,250 492,343 CIP Including Adopted CIP only 4 5/1812011 Contributions-FM1938 Streetscape 0 0 0 367,000 172,000 0 0 r-mtributions-Stagecoach Drainage 15,441 0 0 0 0 0 0 ltribution-Developers Agreement 1,120,000 1,237,394 2,310,100 0 0 0 Interest Income 561 18,180 0 0 0 0 0 Transfer in from GF 49,301 2,085,000 0 0 0 0 0 Transfer in from GMM 11,400 0 0 0 0 0 0 Transfer in from VA 20,447 0 0 0 0 0 0 Transfer in from PTR 41,316 1,205,000 0 0 0 0 0 Other Sources-Bond Proceeds 0 2,060,000 0 1,600,000 0 0 0 tati � s°, rafts lcj8,43z5 , 37;394 ,1# 1° 172)tCP 0 Transfer Out to GF 0 0 0 0 0 0 0 Transfer Out to VA 0 0 0 0 0 0 0 Transfer Out to PTR 0 (8,770) 0 0 0 0 0 Temporary Parking (11,400) 0 0 0 0 0 0 Water Well for Civic Campus (49,960) 0 0 0 0 0 0 Stagecoach Hills Drainage (47,995) 0 0 0 0 0 0 Mahotea Boone Reconst/Drainage 0 (67,056) 0 0 0 0 0 Streets Survey 0 (100,000) 0 0 0 0 0 WA Dining Hall Improvements 0 (139,728) 0 0 0 0 0 FM1938 Streetscape(Governmental) (39,222) (645,160) (914,320) (1,577,800) (730,950) 0 0 FM 1938 Streetscape(Contributions) 0 0 0 (367,000) (172,000) 0 0 Transportation Projects 0 (1,120,000) (1,834,679) (2,982,460) (761,175) 0 0 Parks&Rec Projects 0 0 (155,535) (185,120) 0 0 0 WA Projects 0 0 0 0 0 0 0 Municipal Building 0 0 0 0 0 0 0 Beginning Fund Balance 230,391 220,279 4,627,745 2,960,605 2,125,325 633,200 633,200 iding Fund Balance 220,279 4,627,745 2,960,605 2,125,325 633,200 633,200 633,200 _restricted Funds 149,185 229,945 229,945 229,945 229,945 229,945 229,945 gpg3 '81tf.3p . OEMd a Total Revenues&Transfers in 11,985,254 18,076,685 12,615,391 16,007,326 12,248,472 12,184,584 12,343,936 Total Expenditures&Transfers Out (10,166,961) (16,881,484) (14,831,648) (16,811,125) (13,809,017) (12,109,125) (12,425,227 Beginning Fund Balance 6,950,651 8,768,944 9,964,145 7,747,888 6,944,089 5,383,544 5,459,004 Ending Fund Balance 8,768,944 9,964,145 7,747,888 6,944,089 5,383,544 5,459,004 5,377,713 Restricted Funds 479,185 762,795 771,662 780,693 789,891 799,259 808,800 EJnrestt€c snag ance'Prletej ;2$9p753^ p #f1J std 6T9ap25: bY2£r3; 9S 4} 3,554;, Aji*�9, 45 4)55 ;91 CIP Including Adopted CIP c 5 5/1812( TOWN OF WESTLAKE FIVE YEAR FORECAST All, Municipal Funds (Includ-ing Proposed. Academy and Municipal Buildings) Rev per penny 73,747 77,027 78,567 80,139 80,139 Anticipated Tax Rate 0.16054 0.15370 0.15069 0.14773 0.14773 Property Tax 0% 0 1,183,930 1,183,930 1,183,930 1,183,930 1,183,930 1,183,930 General Sales Tax 1% 1,597,195 1,250,000 1,262,500 1,287,750 1,313,505 1,339,775 1,366,571 Beverage Tax 2% 17,902 17,750 18,105 18,467 18,836 19,213 19,597 Franchise Fees 2% 603,233 612,000 624,240 636,725 649,459 662,448 675,697 Permits and Fees 2% 1,738,536 424,875 433,373 442,040 450,881 459,898 469,096 Fines&Forfeitures 2% 647,171 550,190 561,194 572,418 583,866 595,543 607,454 Interest 2% 24,166 9,235 9,420 9,608 9,800 9,996 10,196 Misc Income 2% 114,915 80,767 82,382 84,030 85,711 87,425 89,173 Contributions 189,097 175,000 0 0 0 0 a Transfer In-VA 220 Payroll 0 174,971 177,024 181,652 190,664 200,304 210,624 Transfer In-OF 500 Payroll 0 227,292 227,602 233,552 245,140 257,534 270,803 Transfer In-OF 500 Impact 0 133,000 18,540 19,096 19,669 20,259 20,867 Transfer,in-WA(Indirect Cost) 0 0 325,000 325,000 334,750 344,793 355,13E Transfer in-CPF(Reimbursement) 0 0 348,000 0 0 0 C Payroll Wages 0%11-12/3%12 on (1,454,868) (1,867,843) (1,867,843) (1,867,843) (1,923,878) (1,981,595) (2,041,042 Payroll Related 10% (391,798) (600,976) (661,074) (727,181) (799,899) (879,889) (967,87E ienditures 3% (1,939,471) (2,037,375) (2,098,496) (2,161,451) (2,071,795) (2,133,949) (2,197,96-, ansfer Out-GIVI 600 0 0 0 (15,000) (15,000) (76,752) (15,00( Transfer Out-ED 210 (35,758) (35,758) (35,758) (35,758) (35,758) (35,758) (35,75E Transfer Out-VE 257 (5,000) (76,407) (40,000) (40,000) (40,000) (40,000) (40,00( Transfer Out -CP410 (49,301) (2,085,000) (750,000) 0 0 0 Transfer Out-DSF 0 0 0 (118,000) (118,000) (118,000) (118,00( 1-5111- 004 2- Beginning Fund Balance 2,675,312 3,731,332 1,866,982 1,685,121 1,714,155 1,796,036 1,711,21: Ending Fund Balance 3,731,332 1,866,982 1,685,121 1,714,155 1,796,036 1,711,213 1,574,71- Restricted Funds 195,000 375,850 383,367 391,034 398,855 406,832 414,96! w o 7 "U Operating Days 380 139 133 134 143 130 11: Revenues 2% 475,977 478,975 488,555 498,326 508,292 518,458 528,82 Transfers In-CPF(Reimbursement) 0 0 90,000 0 0 0 47 7 7,77 �s'zoz Expenditures 3% (245,700) (241,962) (249,221) (256,697) (231,438) (238,382) (245,53 Transfer Out-GF 100 Payroll (174,569) (174,971) (177,024) (181,652) (190,664) (200,304) (210,62 Transfer Out-DS 300 (179,266) (180,944) (182,416) (215,692) (211,722) (212,852) (212,85 Transfer Out-CP 410 (20,447) 0 (200,000) 0 0 0 Transfer Out-VE 257 0 0 (15,000) (10,000) 0 0 Beginning Fund Balance 1,244,945 1,100,941 982,039 736,933 571,217 445,684 312,60 ling Fund Balance 1,100,941 982,039 736,933 571,217 445,684 312,605 172,42 ,stricted(Historical/Public Arts) 0 0 0 0 0 0 'A Operating Days 956 860 631 476 385 260 13 CIP Including Proposed Academy and Municipal Buildit 5/18/2( OWN f maim Revenues 3% 5,615 16,875 17,381 17,903 18,440 18,993 19,563 Transfers In 0 0 0 0 0 0 0 AOT Expenditures 3% (27,822) (24,350) (25,081) (25,833) (26,608) (27,406) (' 3) Transfers Out 0 0 0 0 0 0 0 ntaxpridcerreru . : "$ � .,. ?,•N #_ r" ,A MINE IN$;Beginning Fund Balance 163,356 141,149 133,674 125,975 118,045 109,877 101,463 Ending Fund Balance 141,149 133,674 125,975 118,045 109,877 101,463 92,798 Restricted Funds yYyy g 0 0 0 0 0 00 0 I WINE. W !.. . Revenues 298,072 375,010 0 0 0 0 0 Transfers In 35,758 35,758 35,758 35,758 35,758 35,758 35,758 Expendures (333,830) (410,768) (35,758) (35,758) (35,758) (35,758) (35,758) Transfers Out 0 0 0 0 0 0 0 Beginning Fund Balance 0 0 0 0 0 0 0 Ending Fund Balance 0 0 0 0 0 0 0 Restricted Funds 0 0 0 0 0 0 0 Cltatescictd Jane(#arcrit# `.. Revenues 948,096 813,000 631,250 643,875 656,753 669,888 683,285 Transfers In 0 0 0 0 0 0 0 44 ,137 .. fi ,73 . kS Expendures 0 0 0 0 0 0 0 Transfer Out (948,096) (842,231) (660,481) (673,106) (685,984) (699,119) (7_ �6) Beginning Fund Balance 297,308 297,308 268,077 238,846 209,615 180,384 151,153 Ending Fund Balance 297,308 268,077 238,846 209,615 180,384 151,153 121,922 Restricted Funds 1 0 0 0 0 0 0 0 MOM Revenues 957,024 818,300 631,250 643,875 656,753 669,888 683,285 Transfers in 0 8,770 0 0 0 0 0 Transfer In-CPF(Reimbursement) 0 0 162,000 0 0 0 0 T€rtaff?evertus ` raeisfes'Isi 357;1124: ► ,1}?b"' 9 ; 5b'; 43;8 'x:,';: SS753E3.. 3, 85! Transfer Out-GF 100 0 0 0 0 0 0 0 Transfer Out-FM 252 (1,256) 0 0 0 0 0 0 Transfer Out-DS 300 (372,008) (477,143) (811,711) (643,230) (632,701) (618,435) (605,038) Transfer Out-CP 410 (41,316) (1,205,000) (350,000) 0 0 0 0 Transfer Out-GM 600 (23,000) (41,274) (33,248) (84,594) (31,500) (50,000) (50,000) Transfer Out-VE 257 (17,729) (10,000) (32,160) (15,000) (15,000) (35,000) (35,000) Utat.Expesst#s a es 1 `. r, nsfers huh. „L 3fl±3 ,. (3x73 ; 17) ,e, 3^ 1dJ I;; .; 744 24. j 19 2ti2#: t 5 SV k FPf Beginning Fund Balance 1,068,034 1,569,749 663,402 229,534 130,585 108,137 74,589 Ending Fund Balance 1,569,749 663,402 229,534 130,585 108,137 74,589 67,837 Restricted Funds 0 0 0 0 0 0 0 CIP Including Proposed Academy and Municipal BuildingE 2 5/18/2011 k ,,. „_. i '+;-+.., ,S .,, ..n.�i •x f„,f�„ ^iy " � '��'`�' � Yom. ��"�,, 7 ' ".,, Rate based on 2011&2015„ �°Rev per penny "73,747 77,027 » 78,567 80,139 �80139 CO's only Anticipated Tax Rate 0.00394 0.01996 0.01957 0.03228 0.03226 Property Tax 0 29,065 29,065 153,765 153,791 258,704 258,503 isfer In-4B 200 948,096 842,231 660,481 673,106 685,984 699,119 712,516 i ransfer In-VA 220 179,266 180,944 182,416 215,692 211,722 212,852 212;852 Transfer In-PTR 260 372,008 477,143 811,711 643,230 632,701 618,435 605,038 Transfer In-GF 100 0 0 0 118,000 118,000 118,000 118,000 Transfer in-OF,. 0 0 0 32,000 32,000 32,000 32,000 Transfer in-WA 0 0 338,000 988,000 988,000 988,000 Expenditures (1,499,369) (1,503,661) (1,529,015) (1,500,028) (1,498,406) (1,498,406) (1,498,406 Expenditures-2011 CO-$2.095M 0 (25,722) (154,658) (153,765) (153,791) (154,704) (154,503 Expenditures-2012 Bonds-$2.8M 0 0 0 (182,000) (182,000) (182,000) (182,000 Expenditures-2012 Bonds-$5.21 0 0 0 (338,000) (338,000) (338,000) (338,000 Expenditures-2013 Bonds-$10M 0 0 0 0 (650,000) (650,000) (650,000 Expenditures-2014 CO-$1.6M CP 0 0 0 0 0 (104,000) (104,000 Transfers Out �.[03ggkk 0 '' 0 yyg0 yf "x''01 0iy 0 Beginning Fund Balance 0 0 0 0 0 0 C Ending Fund Balance 0 0 0 0 0 0 C Restricted Funds 0 0 0 0 0 0 C Revenues 3% 2,217,235 2,533,416 2,609,418 2,687,701 2,768,332 2,851,382 2,936,921 Transfers in 0 0 : 0 0 0 0 ` it Expenditures 3% (782,099) (743,308) (765,607) (788,575) x(779,272) (802,650) (826;73( 'ater Purchases 3% (745,891) (1,051,600) (1,083,148) (1,115,642) (1;149,112) (1,183,585) (1,219,09: -bt Service(Hillwood) 3% (67,924) (108,000) (111,240) (114,577) (118,015) (121,555) (125,20: Debt Service(Keller Overhead Storage) (40,750) (116,053) (116,668) (118,212) (119,462) (118,949) (118,94! Transfer Out-GF 100 Payroll _ ___0 (227,292) (227,602) (233,552) (245,140) (257,534) (270,801 Transfer Out-UM 600 0 0 0 (100,000) (100,000) (100,000) (100,001 Transfer Out-GF 100(Impact Fees) 0 (133,000) (18,540) (19,096) (19,669) (20,259) (20,86 Transfer Out VE 257 0 0 (31,170) (159,900) (253,000) (100,000) (100,001 Capital Projects (67,428) (332,719) (603,603) 0 0 0 1 Debt Service on Municipal Bldg 15% 0 ' 0' 0 (32,000) (32,000) (32,000) (32,00 Debt Service on Capital Projects 0 0 0 (169,572) (168,277) (171,636) (171,63 Beginning Fund Balance 1,003,110 1,516,254' 1,337,698 989,538 1;027,683' 1,012,346" 1,159,19 Ending Fund Balance 1,516,254 1,337,698 989,538 1,027,683 1,012,346 1,159,196 1,110,84 Restricted Funds 1% 135,000 135,000 136,350 137,714 139,091 140,482 141,88 1rsrstaietllstsg *ae+etjeri 1;*1,Z &. 1,?Q2,6J8, < ., ,1E8 >:. `::: 8t9, Tt2 8?x;255 1,3314 '368;3 Operating Days 308 195 135 137 132 150 13 CIP Including Proposed Academy and Municipal Buildi 3 511812 R'FSr a r rxxtsw rsr i°'3.. t{.: - g" r ar^J-#T CLLR, E" Ea 82GtFA U, C6V F Revenue 64 10,125 0 0 0 0 0 Transfer In-GF 100 5,000 76,407 40,000 40,000 40,000 40,000 40,000 Transfer In-PTR 260 17,729 10,000 32,160 15,000 15,000 35,000 35,000 Transfer in-VA 220 0 0 15,000 10,000 0 0 0 Transfer in-OF 500 0 0 31,170 159,900 253,000 100,000 1L J Expenditures per maint list (27,536) (81,788) (116,752) (239,007) (312,400) (40,500) 0 Transfers Out 0 0 0 0 0 0 0 LM Em Beginning Fund Balance 62,000 57,256 72,000 73,578 59,471 55,071 189,571 Ending Fund Balance 57,256 72,000 73,578 59,471 55,071 189,571 364,571 Restricted Funds-Governmental 0 22,000 22,000 22,000 22,000 22,000 22,000 Restricted Funds-Utility 0 0 0 0 0 100,000 100,000 Revenue 28 100 0 0 0 0 0 Transfers In 0 0 0 100,000 100,000 100,000 100,000 Expenditures (7,500) 0 0 0 0 0 0 Transfers Out 0 0 0 0 0 0 0 � wa� r 0 Beginning,Fund Balance 50,000 42,528 42,628 42,628 142,628 242,628 342,628 Ending Fund Balance 42,528 42,628 42,628 142,628 242,628 342,628 442,628 Restricted Funds 0 0 0 0 0 0 0 I IN Now" �►rfr�;'«tr'�ctec�I�rtr�ag�alafs ��rta,)eet � ��,52 2iF,� � �. ?.�28. .3 �8 :s �� , k � Revenues 54 125 129 130 131 132 3 Transfers In-PTR 260 23,000 41,274 33,248 84,594 31,500 50,000 50,000 Transfers In-GF 100 0 0 0 15,000 15,000 76,752 15,000 Expenditures 0 (91,324) (38,248) (69,594) (21,500) (66,752) 0 Transfers Out (11,400) 0 0 0 0 0 0 Total xp ridefiLrres i frar€sfers-Put (:1T;4tlU} 31.3, 41 {38x 48). ; (65 594 a a Beginning Fund Balance 50,000 61,654 11,729 6,858 36,988 62,118 122,250 Ending Fund Balance 61,654 11,729 6,858 36,988 62,118 122,250 187,383 Restricted Funds 0 0 0 0 0 0 0 E mestrictertf E ifirsg Ba€mice Epriajeeted 2 . 6,$58. 6, E 6z;iis 122 25t3' 267;383 CIP Including Proposed Academy and Municipal BuildingE 4 5118/2011 Contributions-FM1938 Streetscape 0 0 0 367,000 172,000 0 0 Contributions-Stagecoach Drainage 15,441 0 0 0 0 0 0 Contribution-Developers Agreement 1,120,000 1,237,394 2,310,100 0 0 0 rest Income 561 18,180 0 0 0 0 0 ransfer in from GF 49,301 2,085,000 750,000 0 0 0 0 Transfer in from GMM 11,400 0 0 0 0 0 0 Transfer in from VA 20,447 0 200,000 0 0 0 0 Transfer in from PTR 41,316 1,205,000 350,000 0 0 0 0 Other Sources-Bond Proceeds 0 2,060,000 8,000,000 10,000,000 1,600,000 0 0 Q Transfer Out to GF 0 0 (348,000) 0 0 0 0 Transfer Out to VA 0 0 (90,000) 0 0 0 0 Transfer Out to PTR 0 (8,770) (162,000) 0 0 0 0 Temporary Parking (11,400) 0 0 0 0 0 0 Water Well for Civic Campus (49,960) 0 0 0 0 0 0 Stagecoach Hills Drainage (47,995) 0 0 0 0 0 0 Mahotea Boone Reconst/Drainage 0 (67,056) 0 0 0 0 0 Streets Survey 0 (100,000) 0 0 0 0 0 WA Dining Hall Improvements 0 (139,728) 0 0 0 0 0 FM1938 Streetscape(Governmental) (39,222) (645,160) (914,320) (1,577,800) (730,950) 0 0 FM 1938 Streetscape(Contributions) 0 0 0 (367,000) (172,000) 0 0 Transportation Projects 0 (1,120,000) (1,834,679) (2,982,460) (761,175) 0 0 Parks&Rec Projects 0 0 (155,535) (185,120) 0 0 0 WA Projects 0 (96,224) (1,443,353) (13,589,579) 0 0 C Municipal Building 0 (21,503) (322,550) (3,142,140) 0 0 C lcalfdirrs4fesk ,. ,. {4 AS?£r >;:;;_,..{2r2' , ),.. Beginning Fund Balance 230,391 220,279 4,510,018 9,776,975 609,976 717,851 717,859 Ending Fund Balance 220,279 4,510,018 9,776,975 609,976 717,851 717,851 717,859 1-ostricted Funds 149,185 229,945 229,945 229,945 229,945 229,945 229,94E Total Revenues&Transfers in 11,985,254 18,076,685 22,309,798 24,797,326 14,779,472 13,274,584 13,433,93( Total Expenditures&Transfers Out (10,166,961) (16,939,211) (18,291,958) (34,082,844) (14,669,597) (13,122,092) (13,463,38: Beginning Fund Balance 6,950,651 8,768,944 9,906,418 13,924,258 4,638,740 4,748,615 4,901,10 Ending Fund Balance 8,768,944 9,906,418 13,924,258 4,638,740 4,748,615 4,901,107 4,871,66 Restricted Funds 479,185 762,795 771,662 780,693 789,891 799,259 808,801 istrtcei6:Eti� aae%xsjced $, 8 , pi43s2 " E3{ ,S4f 3,85$i1d? ;3CTI,P1 , 6 ,8i CIP Including Proposed Academy and Municipal Buildi 5 5/18/2 FMCAL �� TARY 1. STATEMENT OF PURPOSE ` The overall intent Df the following FbCo} and Budgetary Policy Statements is to enable the Town io achieve o long-term stable and positive financial condition, The watchwords of the Town's financial monaAemenf inckudeinteghty. prudent, stewardship, planning, accountability, and full disclosure. The mona specific purpose istoprovide guidelines to the Town NAonoger and Finance Director inplanning and directing fhe Town's day-to-day financial affairs and in developing recommendations to the Town Manger and Town Council, The scope of these policies generally span, arnong other issues, accounting, purchasing, auditing, financial ;eporting, internal controls,operating and CGpikJ| budgeting' revenue monogemeni, cash and investment monogement' expenditure Conf0|' asset management, debt management' and planning concepts, in order to: w Present fairly and with full disclosure the financial position and results of the %Hnancio| operations of the Town in conformity with generally accepted accounting principles (GAAP). and w Determine arid demonstrate com[dionCe with finance related legal and contractual issues in accordance with pro^isions of the Texas L000| Goven rneni C�ode and Other pertinent legal documents and mandates. The T own Council will annually review and approve -the Fiscal ond Budgetary Policy Statements ospor', 0f the budget process. it.SUMMARY OF POLICY INTENDED OUTCOMES / This policyframeworkmondofespursuit a[ the [allowing fiscalo�ctives: � Operating Budget: Preloons' conservatively esUmote revenues' present and adopt the Town's annual operating plan, w Revenues Management: Design, maintain, and administer o revenue system that will assure o reliable,equitable, diversified, and sufficient revenue stream to support desired Town services, � Expenditure Control: Identify priority services, establish appropriate service levels, and odminisferthe expenditure Vf available resources to assure fiscal stability and the effective and efficient delivery of semices. � Fund Balance/Retained Earnings: Maintain the fund balance and nstoined earnings of the various operating funds o1 levels sufficient to protect the Town's creditworthiness as well as its On<znCio| position from emergeDcies. � Debt Management.- Establish guidelines for debf financing that will provide needed capital equipment and infrastructure irnprnvennents while mininoi7ing the impact of debt payments on current revenues, � intergovernmental Relationships: Where feasible, coordinate efforts with other governmental agencies tQ achieve common policy objectives, share the cost of providing governmental services on on equitable basis and support favorable legislation of the State and Federo|level. ( � Grants: 8eek, apply f3rond effectively administer within this policy's guidelines, Federal, State, and foundczhongnznb-in-oidwhichoddressfheTmwn'scunentphohhesondpV|icyobjectives. I �� FIS��A�� UARY m Economic initiate where feasible, encourage, and participate in economic � development efforts to create job opportunities and sfrengthen the local tax base and economy * Fiscal Monitoring: Pnapona and present regular reports that analyze, evo(uate, and forecast the Town's financial performance and economic condition. * Financial Consultants: With available resnurCes, seek. out and employ the assistance V[ qualified financial advisors and consultants in the management and administration of the Tnwn'sfinancial functions. * Accounting, Auditing, and Financial Reporting: Comply With prevailing Federal, State and local statues and rego!U8on». Conform t0 generally accepted accounting principles as promulgated by the Government Accounting Standards Board (GA3B)' theAmehcon Institute ofCertified Public Accouninnts (AICPA), and the Govemment Finance Officers Association (GFOA). * CupKa| Improvement Plan/Budget and Program: Multi-year planning, forecasting, preparation, and contro|of the Town's capital improvement p|on/budQet, * Capital Maintenance and Replacement: Annually review and monitor the state Ofthe Town's capital equipment and infrastructure, setting priorities for its naptocemenf and renovation based Onneeds, finding alternatives,and availability ofresources. � |mfe,na| Controls: To establish and maintain on internal control sfmcfu[e designed to provide reasonable assurances that the Town's assets are sofegoarded and that the possibilities for material errors in the Town's financial records are minimized. � Preparation Budgeting is on essential element of the hnoncio| planning, control and evo|uation process of municipal government, The "openzhng budget" is the Town's annual financial operaling plan. The budget indudee all of the operating departments of the Town, the debt service fund, all c-opifo| projects funds, and |he )n|emO| service funds nf the Town, The proposed budget will be prepared with the cooperation nf all Town departments, and is submitted to the Town Manager who makes any necessary changes and honsmits the document ho the Town Council, A budget preparation calendar and timetable will be established and followed in accordance with State law. m Revenue Estimates for Budgeting /n order fo maintain o stable level of services, the Town shall use o conservative, objective. and analytical approach when pnspohng revenue estimates, The process shall include analysis of probable economic changes and their impacts On revenues, hiStohca| collection rates, and trends in revenues. This approach should reduce the likelihood of actual revenues falling short of budget estimates during the year and should avoid mid-year service reductions, m Balanced Budget As per State Low, current operating revenues, including PnopedyTaxReduction Sales Tax 1ransfers (which can be used for operations), will be sufficient to support current operating expenditures. Annually recurring revenue will not be less than annually recurring operating budget expenditures (operating budgJminus capital ou0oy), Debi or bond financing will not be used to finance current expenditures, m Proposed Budget Process a proposed budge1sho|| be prepared bytheTown Manager with the p(zrhcipahonOf all of the TOwn's department directors. �> The proposed budget shall include four basic segments for review arid evo|uafinn: (l) 2 RSCAL �� UART personnel costs, (2) base budget for operations and maintenance costs' (3) service level (' adjustment furincrecxsesotexisting sertice levels cx additional services,and (4) revenues. ` <'o The proposed budget review process shall include Council particil:)ation In tl,,,e review of each of the our segment; of the proposed budget and a public hearing to o|1owhr citizen participation inthe budget preparation. The proposed budget process shall allow sufficient time to provide review, as well as address policy and fiscal issues, by the Town Council. <� A copy of the proposed budget shall be filed with the Town Secretary vvhierl it is submitted to the Town Counci>cis well os placed on the Town'swetsi i e. � Budget Adoption Upon the determination and presentation of the final Uenztion Vf the proposed budget as established by the Council, a public hearing date and time will be set and publicized, 'The Council will subsequently consider a resolution which, if adopted, such budget becomes the Town's Approved Annual Budget. The adopted budget will be effective for the fiscal year beginning October l. The approved budget will be placed on the Town's web site. � Budget Award Each year the Council approved operaling budget will be sulornifled aninuafly to tie Governnienf Finance Officers Association (GFOA) for evaluation and considerntion foi-the Award for Distinguished Budget Pnesentahon. � Budget Amendments Deporfmanf Directors are responsible for monitoring iheir respecTive department budgets. The Finance Department will monitor all financial operations, The budget feorn will decide whether to proceed With o budget amendment and, if so, will then present the request to !he Town Council, If the CnunCi| decides o budget amendment is neCessory, the amendment is adopted in resolution format and the neces-sary budgetary changes or-e then rnode. [ w Central Control Modifications within the operating categohes (xO|ohes' supplies, moinfenonce, services' CopitOi etc,) can be made with 'the approval 0f the Town Manager, Modifications to nasemeca|egoheoOnd |n1eudeportmen1o| budoefiofobwiUbemod8on|ybyTmwnCounci| consent with fnrma|briefing and Council action. w Planning Th-e budget process will be coordinated soos to identify mojorpo(ioy issues for Town CouncU by integrating if info the Council's 0ven3|| strategic planning process for the Town. Each department Sho|| have o multi.-year business plan thOf integrates with the Town's overall strategic plan. � Reporting k4onthiyMnon�io| rcpodsv�Ubeprepared by the �nonoeDepa�mentand di��butedto and reviewed by each Director. Information obtained from financial reports and other operating reports is to be used by Directors to monitor and control departmental budget. Summary financial reports will be presented t0fhS Town Council quarterly. m Performance Measures & Productivity Indicators Where appropriate, pedbrmanCe measures and pnoducfiviiyindicofors will bS used os guidelines to measure efficiency, -effeci|venass' and ou1C-omes of Town set-vices, This information will be included in the annual bLjdgef process as needed. w Contingent Appropriation Dur�ing the budget process, staffvvi|| attempt to establish on adequate contingent appropriation in each of the openl8ngfunds, The expenditure for this appropriation shall be made on|yi0 cases of emergency, and adetailed account shall berecorded and reported. The proceeds shall bedisbuoed only by transfer to departmental oppmphotion. � All honsfersfromthe contingent oppnnpha5On will be evaluated using the following cri-leria: <� |s the request of such onemergencynotunathafit must be made immediote)y? � °�*�0�� @�� BUDGETARY � Why was the item not budgeted in the normal budget process? Why can't the transfer be made within the department? IV. REVENUES MANAGEMENT A. REVENUE DESIGN PARAMETERS. The Town will pursue the following Optimunn Charoctehstics in its revenue system: * Simplicity The Town' vvhen* possible and without sacrificing accurocy, will strive to keep the revenue system simple in order to reduce costs, achieve transparency, and increase citizen understanding of Town revenue sDurce1 * Certa|n+y A knowledge and understanding of revenue sources reliability increases the viability of the revenue system. The 1own will understand, to the best of its ability, all aspects of its revenue sources and their perforrnonCe, as well as enact Consistent collection policies fo provide ossuroncesthottherevenuebosewi|| mofeho|izeocoopdingtobudgets' forecosts' ondp|ons, * Equity The Town shall make every effort to maintain equity in its revenue system: |.e, the Town shall seek to minimize or eliminate all forms of subsidization between entities, funds' services utilities, and custonner classes within o utility, * Administration The benefits of -a revenue source will not exceed the cost 0fcollecting that revenue. Every effort will be mode for the Cnsf of collection to be reviewed annually for cost effectiveness as a part offheTo*n's indirect cost and cost of service analysis, 10 Adequacy, Diversification and Stability The Town shall oifemp1' in as much as is practical, to achieve o balance in its revenue system. The Town sho|| also strive io maintain balanced and diversified revenue system 10 protect the Town from f|uofooti0nz in Orly one source due to changes in local economic conditions which adversely impac I thatrevenue source. B. OTHER CONSIDERATIONS. The following considerations, and issues will guide the Town in its revenue policies concerning specific sources offunds: m Cost/Benefit «fIncentives for Economic Development The Town will use due caution in the analysis of any tax or fee incentives that are being considered to encourage economic development.' A cost/benefit (fiscal impoct) analysis will be performed aso part of the evaluation for each pr0.posed economic development project, * Non-RecuningRevenVes One-time ornon'reCuning revenues will not be used tO finance on-gning operational costs. Non-recuning -revenues will be used only for one-hm-e expenditures such os long- lived capifoineeds0rnne'U|nemojormoinfenance pnomlects that occur-infrequ8nt|y. Non-recurring revenues will not be used to ,-budge' balancing purposes except to cover the one-fin-le expenditures described above, * Investment Income Earnings from investment Ofavailable monies, whether pooled or not, will be distributed to the funds in accordance with the equity balance cf the fund from which monies were provided tobeinvested, * Property Tax Revenues - The Town shall endeavor fo avoid o property tax byrevenue diversification, implementation of user fees, (And economic deve|opmenf, C. USER-BASED (DEMAND DRIVEN) FEES AND SERVICE CHARGES. For services that are demand dhven and can be associated with a user fee or charge, the direct and indirect costs of [hot service will be offset by 4 �� TM Qhee where possible. The Town staff will endeavor to prepare o review Vf all fees and charges annually, but not less than once every three years, in order to ensure that these fees provide for, at minimurn, full cost recovery ofservice. D� ENTERPRISE FUND RATES. Utility rates and rate shocfunesforwater and sewer services will beconstructed fo target full cost of service recovery. Annually theTown will review and adopt water and sewer utility rates and a rate structure thai generates revenue sufficient to fully cover operating expenses, meet thie legal restrictions of all applicable bond covenants' provide for an adequate level of working copito<, and recover applicable genero\/odministmtivecosb, The Solid Waste 'unction will have rates that fully recoverali costs and maintain an adequate balance. The Cernetery Fund will be structured-10 operate un lot sales and endowments, * General and Adnn|nistrctive(G&A)Charges-Where tcosib|e. G&A costs will be charged 10 all funds f0rsem7cesofindixacfgenena| nverheodcosts' vvhichmoyindudegenera| odministrotion' finonoe. customer billing, facility use' personnel, 18chnn|ogy. engineehnQ. legal counsel, and other costs as deemed appropriate. These charges will bedetermined through`an indirect cost allocation study following accepted practices and procedures. E. INTERGOVERNMENTAL REVENUES. ASo general rule, intergovernmental revenues (goonb) will not be utilized for on-going operating costs, Any potential grant opportunity will be examined to identify all costs related to matching and continuation of program requiremen1s, 8to#will focusonone'fimegrants 10 ovoid long-term implications. |fiiisdetermined that accepting a grant with on-going cost conditions is in the interests of !he Town, all the operating and maintenance costs niust be included in the financial forecOS1ondfheiru|finnofeeffectonnpenztionsondrevenuer£quirementsbe known. F. REVENUE MONITORING. Revenuesosfheyore- neceivedwiU be regularly compared 1obudgefed / revenues and variances will beinve5iigoted. This process will be summarized in the opprophote bud ge1 ` report. * Appropriations-The point of budgetary control is at the department level in the G)eneral Fund and of the fund level in all other funds When budget adjustments among Deparl-m8nband/orfunds are necessary, they must be approved by the Town Council. m Current Funding Basim - The Town shall operate On O current funding basis. Expenditures shall be budgetHdond controlled s0Os not foexceed current revenues plus the planned use of fund balance accumulated through prior year savings. (The use of fund balance shall be guided bythe Fund Bala rice/Retained Earnings Policy Statements.) * Avoidance of Operating Deficits The Town shot' tokeimrnediote Corrective actions ifot any time during the fiscal year Sxpendifuna and revenue re'e\fimotesare such that on operating deficit 'i.e.' projected expenditures in excess of projected revenues) is projected at year-end. Corrective actions can include o hiring freeze, expenditure rrducti0ns, fee increases, or use of fund balance within the Fund. w Balance/Retained Earnings Policy- ExpenditUns deferrab into the following fiscal year, short-term loans, or use of one-time revenue sources shall be avoided to balance the budget. * Maintenance of Capita/ Assets YVifhi0 the resources ovoi|ob{e each h000| year, the Town shall maintain capital assets ond infnzstruciurG at o sufficient level 10 p[o1edf the Town's invesiment' to ( minimizefotunarep|aCernenfondmoinienoncecosts. ond1oconfinuesen/|ce|eve|s, 5 FISCAL��L �� BUDGETARY PQ LICIE",S-11 = Periodic Program Reviews The Town Manager shall undertake periodic doff and th|o-party reviews of Town pmgKzmx for both efficiency and effectiveness, Privatization and contracting with other governmenfo| agencies will be evaluated as alternative approaches to service delivery, Prograrns which are determined to be inefficient and/or inefledive shall be reduced in scope or eliminated, * Purchasing The Town shall make every effort to maximize any discounts offered by cnadltoD/vendoi-s Staff shall also use competitive bidding in accordance to State law, as well as in1eq]overnmenfo| padnarshipsondpurchosingcoopeortiveStnoftainihebedposdb|ephCeon goods and services, * Prompt Payment All invoices will he paid wifhin3O days of receipt in accordance with theprompi payment requirennenfsof State law, VI. FUND BALANCEIRETAINED EARNINGS * General Fund Undeoignated Fund Ba/ance - The Town sho|| strive to maintain the General. Fund undesignohsd fund balance at, orin -excess of, 9O days ofoperation, � Retained Earnings of Other Operating Funds in the Utility Fund, the Town shall strive to maintain positive retained earnings positions to provide sufficient reserves for emergencies and revenue shortfalls. * Use of Fund Balance/Retained Earnings Fund Bo|once/Retained Earnings shall be used only for emergencies, not recurring expenditureo, or major capital purchases that cannot be accommodated through current year savings. Should such use reduce the balance below the appropriate level set as the objective for thoffund, recommendations will be mode on how 10 restore it, VIL DEBT MANAGEMENT w Debt Issuance Analysis - Al} consideration of debil issuance for major capital assets will be prepared within the framework ofa Council approved multi-year capital improvementplan and honecasf for all Town facilities and in0osfruotune, * Analysis of Debt Issuance and Debt Issuance Alternatives Staff will explore alternatives to the issuance of debt for capital acquisitions and construction projects, These alternatives will include, but not be limited to, (l) grants- in- aid. (2) use of reserves, /3> use of either current on-going general revenues or one-fime revenues, (4) contributions from developers and others, (5) leases, (6) user fees, and (7) impact fees. m Use of Debt Financing The useful life of the ossef or pnoliecf shall, of o minimum, exceed the payout schedule of any debt the Town assumes, Debt financing instruments tobeconsideredby the T own may include: . These mudbe authorized hyo vote ofthe citizens ofWestlake. �> Revenue bonds, These bonds generate capital require ments necessary for continuation or expansion ofo service which produ��s revenue and for which 1he asset may reasonable be expected to provide for a revenue siream io fund the debt service requirement, Certificates of obligation. These can be authorized by Council approval with debtservice by either general revenues or backed by specific revenue sf/eorn or combination of 6 FISCAL��A�� BUDGET AIRY both. \ � These sho only be used to purchase capital assets that can not be financed from either current revenues or fund bo|aDCe/nahainedeoming6 and to fund infrastructure improvements and additions. + Assumption of Addifiomal Debt The Town shall not assume more fox-supportedgeneral purpose debt than it retires each year without first conducting an objective analysisas to the community's ability toossume and support additional debt service payments, � Affordability Targets The Town shall use an objective mu|ti-year analytical approach fodeterm|ne whether it can afford to assurne new general purpose debt beyond what if retires each year. This process shall compare generally accepted standards of affordability to the current values for the Town, The process shall also examine the direct costs and ben--htsof the proposed expendiiures. The decision on whether ornoi fo assume new debt shOU he based on these costs and benefits and 0n The Town's ability to ''affurd" new debt Osdetermined by 'the oforemenfioned standards. The Town shall strive to achieve and/or maintain these standards ot o low to moderate classification, � Debt Structure The Town shall structure ifsdebt payment schedules for general purpose debt to ensure level phncipo| nepayrnent schedules. Th_ T0wn shall nor assume any debt with "balloon' repayment schedules which consist of low annual payments and one large payment of the balance due at the end of the term. While balloon payment structures minimize the size of debt payments during the period, they force a |orgefund\ng requirernentonfhe budget nf the final yea,,, Given the uncertainties a'; the future, level payment schedulesimprove budget planning and financial management. ( m Sale Process The Town sho|| use o competitive bidding process in the sale of debt un|ess ihe nature of the issue warrants a negotiated bid.The'l own shall award bonds _Oased on a true interest Cost [T|C' basis OS long osfhefinancial advisor agrees that the TIC basis can satisfactorily determine the lowest arid bestbid. w Bond Rating Agencies Presentations Full disclosure of operations and open hn6e of communicotion shall be made to the bond rofinAoArnciesT0wnsto�.with assistance offinanCioi advisors,shall prepare fhe necessary materials and pr8senfotionto the bond rating agencies. * Continuing Disclosure The Town is committed to continu)ng disclosure of financial and pertinent credit information relevant 10 the Town's outstanding securities. � Debt Refunding Town staff and the financial advisor shall rrionitor the municipal bond market for opportunities to obtain interest savings by refunding outstanding debt. As o general rule' the present value savings of a particular refunding should exceed 3,5%of the refunded rnaturities, Vill. INTERGOVERNMENTAL RELATIONSHIPS The TownwjU pursue coordinated efforts with othergoverRrnento| agencies to ochievecomm0n policy objectives., share the cost ofproviding government services on on equ|tab|ebosis. and soppodfavorable legislation otth8Stoieand Federal levels. � Inter-local Cooperation in DeUveNng Services in order to promote the effective and efficient delivery of services, 1heTown shall actively seek toworkwith other local jurisdictions in joint purchodng ( consortia' sharing fociUfies' shohng equitably the costs of service de|iver/, and developing joint programs fo improve service fo its citizens, 7 FIS CAL a BUDGETARY PQUOES * Legislative Program -The Town shall cooperate with other jurisdictions tn actively oppose any State Or Federal regulation or proposal that mandates additional Town prograrns or services and does ncd � provide the funding to implement them-Conversely, cis appropriate,the Town shall support legislative initiatives that provide more fundsfor priority loco!programs. DL GRANTS m Grant Guidelines The Town shall apply, and facilitate the opp|iCo!ion by otheo, for only those grants that are consistent with the objectives and high priority needs previously identified above in these po|icies. The potential for incurring on-going cn3|s' to include the assumption of support for Qn]nf f unded positions from local revenues,will be considered prior to applying for 0,grant. w Grant Review All grant submittals shall be reviewed for their cash match requirements, their potential impact on the operating budget, and the extent to which they meet the Town's policy objectives. if there are cash match requirements' -the source of funding sho|l be identified prior to application. 3foffwiU [oous on one-time gronts to ovoid long-term implications related to additional expenditures in future years, w Grant Program Termination The Town shall terminate grant funded programs and associated positions when grant funds are no longer available unless alternate funding is identified, X ECONOMIC DEVELOPMENT * Positive Business Environment The Town shall endeavor, through its regulatory and administrative functions, to provide a positive business environment in which local businesses can grow, flourish and create jobs. The Town Council and Town staff will be sensitive fo the needs, concerns and issues facing local businesses, m Commitment to Business Expansion, Diversification, and Job Creation The Town shot' -encourage and participate in economic development efforts to expand Westlake's economy to increase local employment, These efforts shall not only focus on newly developing onaos but also on other established sections of Westlake when* development can generate odditionol jobs and other economic benefits, * Coordinate Efforts with Ot er Juirisdictionm The Town's economic development program shall encourage dose cooperation vvi1h other |oCo| jurisdictions, chambers of commerce' and groups Interested in promoting fhe economic well-being nf this oreo. * Cost/Benefit cf Incentives for Economic Development The Town will use due caution in1heanalysis of any tax or fee incentives that are used to encourage economic development, f\ cosf/benefif (fiscal impoci} analysis will be performed as port of such evaluation for each prospect. Economic development agreements will contain performance language as to the business's proposed economic impact to Westlake in exchange for Town incenfives with adequate ''c!ov+bock" provisions fVrtheTown. � Financial Status and Performance Reports Quarterly reports comparing expenditures and revenues to Current budget, projecting expendifu[es and revenues through the end of the year, noting the status of fund balances to include do|lor amounts and percentages, ond outlining any reemedio| 8 FMM �� TW actions necessary to n7airdain the TOvvr`s financial position sho|| be prepared foxnevkevv by the Town Manager and the Council. m Compliance with Council Policy Statements - Tbe Rrcal arid 8udgetaty Policies will be reviewed annually bythe Council arid updated, revised or refined as deemed necessary. Po|icyototementS, adopted by the Council are guidelines, ondoccasionally, exceptions may be appropriate and required. However, exceptions to stated policies will be specifically idenfified, and the need for the exception,Adbe documented and fully explained, X11. FINANCIAL CONSULTANTS To employ the osdstonceofquai|�ed�nonCi0|ad�soo and oonsu|tontSU5 needed\n the manogementOod odmin\s1potionoftheT0vvn'sfinonCia| funchons. Thes-- oreosindudebu1or8nDtKmitedtoinvestmenis. deb1 administration, linancial accounting systems, prograrn evaluation, and financial 4-npacf n-lodeling, Advisors shall be sele--fed on a cornpetifive basis using objective questionnaires and requests for .proposals based or, the scope 0f the work fobeperformed. X111. ACCOUNTING,AUDITING,AND FINANCIAL REPORTING Tocomp|y with prevailing local, state, and federal regulations relative to accounting, auditing, arid financial reporting. Accounting practices and financial reporting shall conform to generally accepted accountinig principles os promulgated by the Governmental Accounting Standards Board (GA38)' the AmehConInstitute of Certified Public Accountants' (A|CPA)' and !he Government Finance Officers Association (GFOA). The Board shall select an independent firm of certified public accountants to perform on annual audit of all operations * Accounting-The Town is solely responsible for th8nacordin� ondre�o�ngo�i� §nonCia|o�oi�' both / internally and exTernci|\y, TheTovvn'5 Finance 0reCtoris responsible forestablishing the s1rucfurelot- the Town's chart ofoccounts and forassuring that procedures are in place to properly record linoncio|transactions and report !he Tmmn's financial! position. m 2mtemma| Auditing - Town will be audited annually by outside independent occounfanfs (oudifoo), The auditors must beo CPA firm and must demonstnzf8 significant experience in the M8|d a' local govemmentoudiUng, They mu%t conduct the town's audit in accordance with generally accepted auditing standards and be knowledgeable in the Govemment Finance Officers Association Cerfihcate of Achievement program. The auditors' report onTmen's financial statements will be completed v,�ifhin o timely period of the Town's 5sco! year-end. The auditor will jointly review the management letter with the Town Council, ifnecessary. |n conjunction viththisnaviv»x' theFinance Director shall respond in writing to the Town Council regarding the auditor's k4onogennent Let1er, addressing fhe issued contained therein. The Town will not require auditorn}tOhon. but will circulate request for proposal lor audit services on a periodic basis as deemed appropriate. * External Financial Reporting Town wi|| .pnapanr and publish oconnprehensiveonnuo|financial report, (C/\FR). The CAFRvAl be prepared in accordance with generally accepted accounting principles onct will be presented onnoo||y to the Government Finance OfOcen Association (GFDA) for evoiuctionondawordingVf1heCerhfiC8teofAchievementforExce&enceinRnoncio| RepOrhng. * Responsibility of Auditorto Town Council -The auditor is retained by and it accountable directly to the Town Council and will have access to direct connmt.miccttion with the Town Council if the Town Staff is unresponsive to auditor rGCornmendotions orifthe auditor considers such communica tion necessary fD fulfill its legal and professional responsibilities. � w Internal financial Reporting The Finance Department will prepare internal financial reports sufhcient for monngemenito plan, monitor,and control Town's financial affairs. 9 FRSCAL W�� TARY POUMS XIV. CAPITAL BUDGET AND PROGRAM = Preparation The Town's capital budget will include all capital pxojecis funds and all capital resources. While the capital budget will beprepared annually nno project basis, d will be based on onon'gning' mUih-yeorcopitJ|impmvementplon (C|P) thofshowso||fundndondunfundedpxojects as identified by staff for oil Town hzcUiti8s and inlrashDcture. The nnulli-year C|P will be reviewed onnuoUy, updated by staff and presented to the Council for its review and approval. The annual capital budget will be prepared by fine Finance [)epadmentwith the involvement of responsible departments based on the mu|tiYeorCiP, * Control All capital project expenditures must be appropriated in the capital budget. The Finance Director must cerifythe availability of resources before any capital project contract is presented to the Town Council for approval, w Program Planning-The capital budget will be taken from the capital improvements pnoieot plan for fu1uneyeoo. The planning time frame for the capital improvements project plan should normally be five years, with o minimum ofnt least three years. The replacement and maintenance for capital /tems should also be projected for the next five years. Fufuremointenonce and openz�uno| costs will be conddenadso that these cos�can brindudedosopprophn|ein the annual budget. m Financing Programs Where applicable ondwiih Council approval, impact fees, pro-rol0 chorges, assessments, or other fees should be used to fund capital projects which have a primary benefit to specific,identihob|epmpettyowners, Recognizing that long-term debt is usually a nnore expensive financing rnethod, alternative financing sources will be explored before debt is issued. When debt ix issued,if will be used to acquire major assets wilh expected lives Which edual or exceed the average life of!he debt, issue. w Reporting Periodic financial reportsvvill be prepared to enable the department directors to manage their capital budgets. Sumrnary capital project status reports will be presented to the Town Council quarterly. XV. CAPITAL MAINTENANCE AND REPLACEMENT The Town recognizes that deter-red maintenance and noi anticipating capital replacement needs increases future capital costs. Annually, available funds will be evaluated during the budget process and o percentage Of each operating fund's budget will be recommended to the Council for fransfer, Upon approval by the Council, therecommended amount will be transferred to the appropriate fundo (General cx Utility Major Maintenance and Vehicle & Eqoiprnent Replacement) for major rnaintenonce/ replacement ofstreet, building rnof,flooring, air conditioning,equipment etc. XV1. INTERNAL CONTROLS � Wriffen Procedures Whenever possible, written procedunasv/i|| be established and mainioined by the Finance Director for all functions involving purchasing. cosh handling and/or accounting throughout the Town. These procedures will embrace fhe general concepts of fiscal responsibility set forinthis policy sta tennnnf. w Department Directors' Responsibilities ' Each department director is responsible for ensuring that good int8mo| controls are followed throughout his department, that all directives or internal Contm|sare imp|emented. and that all independentauditor internal control recommendotionsare 10 addressed. Departments will develop and periodically update wriflen internak control procedures.. 11. ASSET MANAGEMENT investments -The Finance Director-shall prorr ipf y invest ali Town n funds with the depository baink in accordance with the provisions of the current Bank. Depository ?greernent or in any negoti«ble instrument authorized by the Town Council. Further, lnvestr cents shall be made Jn accord{.�nce with the Investmenrl Policy approved by the Town Council for the iowt, of Westlake that meets the requirements of the Public Funds invesirneni Act (PFIA), Section 2256 of the Texas 'Local Government Code, The Finance Directorwiil issue quarterly reports on ii Fvesirrient activity to the Town Council. Cash Management - Town's cash flow will be rrtanaged to r lox rnize the cash available to invest. Such cash management will entail tiie centralization of cash collections: where feasibility, including utility bills, building and related permits and license, iii yes, fees, and other collecfiosi offices as appropriate. Periodic review of cash flow position, will be performed to dei,errninel perforn-lance of cash management and conformance to invesi,neat policies. The iii sdenying theme will be that'idle cash will be invested with the inteni to (1) safeguard assets, (Zj nnoin=ain liquidity, and (3) r-neArnize return. Fixed Assets and Inventory- Such assets will be reasonably safeguarded and properly accounted for and prudently insured. The fixer;asset inventory will be updated regularly. Capitalization Criteria-For purposes of budgeting and accountir-ig classificafion,the follovving criteria itust be capitalized. The asset is owned by the Town at Westlake The expected usefui life of the asset must be longer than one year, or extend the life on an identifiable existing asset by more than one year The original cost of the asset must be at least$5,0100 The asset must be tangible On-going repairs and general n? a nterance are rot capitalized New Purchases - All costs associated with z bringing• the asset into working order will be Cap?iallzed as part of the as sel Cost, t his includes star urn' costs, engineering or consultant type'lees as parr of the asset cost once the decision or come-nifrnent to purchase the asset is made, The cost of land acquired should include all related costs associated with its purchase <a Improvements and Replacement --- Improvement will be capitalized when they extend the original life of an i asset or when;They make the asset more valuable than it was originally. The replacernent of assets components will normally be expenses unless they are a significant natr-rre and rneei all the capitalization:criteria. Computer System./Data Security-;he Town shall provide security of its compuierinetwork systern and dasa files through physical and logical security systemS that will include, but are rof lintHed fa network user authentications, tirev^r'alls, content filtering, span-1/virus protection, and redundant data backup. ll