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02/21/2006 - Minutes (2) PROCEEDINGS OF THE CITY COUNCIL OF SALT LAKE CITY, UTAH WORK SESSION TUESDAY, FEBRUARY 21 , 2006 The City Council of Salt Lake City, Utah, met in a Work Session on Tuesday, February 21, 2006, at 5 : 30 p.m. in Room 326, City Council Office, City County Building, 451 South State Street. In Attendance : Council Members Carlton Christensen, Van Turner, Eric Jergensen, Nancy Saxton, Jill Remington Love, Dave Buhler and Soren Simonsen. Also in Attendance : Cindy Gust-Jenson, Executive Council Director; Jennifer Bruno, Council Policy Analyst; Linda Simmons, Cashiering Resources Coordinator; Mary Johnston, City Courts Director; John Naser, Engineering Senior Project Manager; LeRoy Hooton, Public Utilities Director; Lehua Weaver, Council Constituent Liaison; Kay Christensen, Budget Analyst; Edwin Rutan, City Attorney; Sylvia Jones, Council Research and Policy Analyst/Constituent Liaison; Leland Myers, Metropolitan Water District Board Member; Gary Mumford, Council Deputy Director/Senior Legislative Auditor; Tim Harpst, Transportation Director; Mary Guy-Sell, Intermodal Hub Consultant; Susi Kontgis, Budget Analyst; Sam Guevara, Mayor' s Chief of Staff; Steve Fawcett, Management Services Deputy Director; Sim Gill, City Prosecutor; Rocky Fluhart, Mayor' s Chief Administrative Officer; D. J. Baxter, Mayor' s Senior Advisor; Laurie Donnell, Budget Analyst; Louis Zunguze, Community Development Director; Doug Dansie, Community Planning/Land Use and Transportation Planner; Alex Ikefuna, Planning Director; Patrick Thronson, Mayor' s Assistant; Jackie Gasparik, Community Planning/Land Use and Transportation Planner; Cheri Coffey, Deputy Director/Zoning Administration/Preservation and Urban Design/Housing and Zoning Enforcement; Brent Wilde, Community Development Deputy Director; Mike Wilson, Metropolitan Water District General Manager; Brad Jurkovac, EMA Auditor; Jake Boyer, Boyer Company; Roger Boyer, Boyer Company; Brad Wick, Inland/Chicago; Tracy James, Inland/Salt Lake; Ryan Hales, Consulting Firm; Richard Brady, Matrix; John Douglas, National Center for Courts; and Beverly Jones, Deputy City Recorder. Councilmember Buhler presided at and conducted the meeting. The meeting was called to order at 5 : 34 p.m. AGENDA ITEMS #1 . 5 : 35 : 45 PM RECEIVE A PRESENTATION REGARDING AN AUDIT PERFORMED BY EMA, INC. OF THE METROPOLITAN WATER DISTRICT OF SALT LAKE AND SANDY. View Attachments Leland Myers , Brad Jurkovac and Mike Wilson briefed the Council from the attached handouts . #2 . 6 : 04 : 37 PM INTERVIEW DONALD K. DUNN PRIOR TO CONSIDERATION OF HIS APPOINTMENT TO THE UTAH AIR TRAVEL COMMISSION. View Attachments 06 - 1 PROCEEDINGS OF THE CITY COUNCIL OF SALT LAKE CITY, UTAH WORK SESSION TUESDAY, FEBRUARY 21 , 2006 Councilmember Buhler said Mr. Dunn' s name would be forwarded to the Consent Agenda for approval . #3 . 6 : 08 : 03 PM & 7 : 33 : 47 PM RECEIVE A FOLLOW-UP BRIEFING FOR THE FINAL DETERMINATION OF THE LIGHT RAIL INTERMODAL HUB EXTENSION CONFIGURATION AND TRAX STOP LOCATIONS . (PETITION NO. 400-04-52) View Attachments D .J. Baxter, Jennifer Bruno, Roger Boyer, Jake Boyer, Doug Dansie, Mary Guy-Sell, Ryan Hales, Louis Zunguze and Tim Harpst briefed the Council from the attached handouts . Councilmember Jergensen said it would be helpful for staff to identify any consequences for building one station versus two . Cindy Gust-Jenson said it would be helpful if staff had clarity on where the station was going to be located. Councilmember Buhler called for straw polls on the options . He said the first option was two stations, one at 525 West 200 South and 125 South 400 West . No Council members wanted to strike that as an option. Councilmember Buhler said the second option was one station at 525 West 200 South. Council Members Saxton and Love were in favor of removing option two. The rest of the Council Members wanted option two left in. Councilmember Buhler said the third option could be removed. All Council Members were in favor of removing option three. Councilmember Buhler said the fourth option was two stations that could be tied to Option A, B, C and D. Councilmember Buhler said a fifth option was one station on 400 West and that option would also include the left turn lane. All Council Members were in favor. #4 . 7 : 53 : 01 PM RECEIVE A BRIEFING REGARDING A MANAGEMENT AND OPERATIONAL AUDIT OF SALT LAKE CITY' S JUSTICE COURT. View Attachments Richard Brady, John Douglas, Mary Johnston, Judge Virginia Ward, Steve Fawcett, Rocky Fluhart and Sylvia Jones briefed the Council from the attached handouts . Councilmember Jergensen asked if the Council would receive a recommendation the Administration for a caseload study. He asked if the Administration had an objection to moving forward with a caseload study. Mr. Fluhart said there would be some value to the study but help was needed now. He said he was confident the Administration knew where they needed the help and wanted to bring a proposal to the Council . Councilmember Buhler said he wanted to ask the subcommittee to come back to the Council with a recommendation. #5 . (TENTATIVE) RECEIVE COMMENTS FROM THE ADMINISTRATION ON LEGISLATIVE ISSUES . This item was not held. 06 - 2 PROCEEDINGS OF THE CITY COUNCIL OF SALT LAKE CITY, UTAH WORK SESSION TUESDAY, FEBRUARY 21 , 2006 #6 . 8 : 52 : 57 PM (TENTATIVE) CONSIDER A MOTION TO ENTER INTO EXECUTIVE SESSION FOR THE PURPOSE OF STRATEGY SESSIONS TO DISCUSS PENDING OR REASONABLY IMMINENT LITIGATION PURSUANT TO UTAH CODE ANNOTATED § §52-4-4 , 52-4-5 (1) (a) (iii) AND 52-4-5 (1) (a) (iv) AND ATTORNEY-CLIENT MATTERS THAT ARE PRIVILEGED PURSUANT TO UTAH CODE ANNOTATED §78-24-8 . Councilmember Saxton moved and Councilmember Simonsen seconded to enter into Executive Session, which motion carried, all members voted aye . #7 . REPORT OF THE EXECUTIVE DIRECTOR INCLUDING A REVIEW OF COUNCIL INFORMATION ITEMS AND ANNOUNCEMENTS . No announcement or report was given. The meeting adjourned at 8 : 53 p.m. Council Chair Chief Deputy City Recorder This document along with the digital recording constitute the official minutes for the City Council Work Session held February 21, 2006 . bj 06 - 3 TABLE OF CONTENTS 1. REVIEW SUMMARY Background 1-1 Metro has an Excellent Track Record 1-1 Review Results Show that Opportunities to Improve Productivity in the Core (O&M) Functions Do Exist 1-1 Non-O&M Strategies 1-4 High Leverage Recommendations Focus on Organization, Practice, and Technology Opportunities 1-8 Conclusions 1-10 2. BACKGROUND 3. REVIEW STRATEGIES O&M Strategies 3-3 Non-O&M Strategies 3-6 4. RESULTS SYNOPSIS Observations Show Potential for Increased Productivity 4-2 A New Vision is Suggested to Increase the Utility's Productivity 4-3 Lost Productivity Calculations Show that Productivity Could be Increased 4-4 Non-O&M Support Lost Productivity Calculations Show that Productivity could also be Increased in these Areas 4-11 High Leverage Recommendations Focus on Organization, Practice, and Technology Opportunities 4-11 Conclusions 4-13 5. COST SAVINGS/COST AVOIDANCE SUMMARY 6. IMPLEMENTATION RECOMMENDATIONS Organization Recommendations 6-1 Practice Recommendations 6-1 Technology Recommendations 6-2 Conclusions 6-2 APPENDIX A. REVIEW PRESENTATION APPENDIX B. SALARY SURVEY RESULTS SALT LAKE CITY COUNCIL STAFF REPORT DATE: February 17, 2006 SUBJECT: An Organizational, Staffing, and Operational Review of the Metropolitan Water District of Salt Lake and Sandy, performed by EMA, Inc. STAFF REPORT BY: Lehua Weaver CC: Rocky Fluhart, Sam Guevara, Mike Wilson, Reed Jensen, LeRoy Hooton, Susi Kontgis, DJ Baxter In the fall of 2005, the Metropolitan Water Board commissioned an organizational, staffing, and operational review of the Metropolitan Water District of Salt Lake and Sandy. The audit was performed by EMA, Inc. and presented to the Board in January of 2006. EMA representatives will be at the Council briefing to present their report. The District General Manager, Mike Wilson, will be in attendance and has a short presentation as well. Following is a brief staff report regarding the audit report and a background of items discussed during last year's budget briefing for the District. According to the audit report, EMA states, "the study methodology was to view the various core and support functions `through the lens' of a privatizer," and therefore the review evaluated how a privatizer might improve efficiency and practices to operate the utility. Overall,the review findings were very positive, including several mentions of the ability of Metro staff to provide high levels of customer service. Based on calculating the potential savings that would be realized by implementing the suggested efficiencies, EMA estimates that a privatizer would save approximately 4.9% or$540,996 annually. According to the final audit document, this "represents the 4th best score out of the 420+reviews that EMA has conducted of utilities around the world in the past 12+years." EMA also noted that Metro is quite technologically progressive compared to the other utilities they have evaluated over the years. KEY ELEMENTS On June 9, 2005, then Board Chairman, Lon Richardson,presented to the City Council the proposed 2005-06 budget for the Metropolitan Water District. Below is a list of items raised in the June 3, 2005 Council staff report, and the corresponding information provided by the EMA review: 1. Proposed staffing levels Issue: Salaries and benefits ($855,805 increase) —Operating staffing is proposed to increase by 10 FTEs. At the prompting of the Board, a management audit will be conducted prior to the authorization to hire these proposed FTEs. The audit will address the District's staffing levels to evaluate the need for additional staff. The budget also proposes a 6.3%raise for employees, to cover cost of living and merit increases. The Metropolitan Water District Board has been reviewing the benefits package for Metro employees. Review Findings: Regarding staffing levels, EMA made several suggestions of practices to improve efficiencies. Through implementation of the suggestions made by EMA, there is the potential to reduce O&M staffing by 7 FTEs and non-O&M staffing by 8 FTEs. It is further suggested that the 7 O&M staff people be reassigned to the new facility instead of hiring additional people as originally proposed. These efficiencies might be realized through a) cross-training operators to perform preventative maintenance tasks,b) increasing "Planned Maintenance"rather than waiting for repairs to be performed on an as-needed basis, c) cross-training staff beyond their primary responsibility, and d) other best practices dealing with technology and organizational structure. EMA also reported in their final report that, "the supervisor/manager to worker ration is 1:7.6." This is higher than the industry standard, which is 1:10 to 1:15. Regarding Metro staff salaries,EMA compared Metro fully-loaded salaries with the full-loaded salaries of"regional and industry-wide"utilities and Salt Lake and Sandy comparable positions. EMA found that entry level salaries are currently below the local market,while some higher-level positions are higher than the local market. The suggestion for resolving the high manager to worker ratio and the inflated pay of some higher-level positions is through attrition. 2. Outsourcing services Issue: Professional and contract services ($28,314 increase) —The District's proposed budget includes $200,000 for legal fees, which is a decrease of$30,000 from fiscal year 2004-05. Review Findings: EMA found that a sound outsourcing strategy is in place. 3. Fleet Policy Issue: Vehicle purchases - This is the second year of the district's policy of replacing general purpose vehicles each year. The theory is that a government agency can purchase vehicles at a favorable price under the state contract and sell them in one year to the general public and recover a large portion of the purchase price. Maintenance costs are eliminated under this approach. The District keeps large trucks and other specialized equipment for their useful life. The District tested this policy during the current year with a few vehicles. The capital budget proposes $367,500 to replace 13 vehicles that will be one-year old and to add two new vehicles to the District's fleet. Revenue from the sale of the one-year old vehicles is projected to be $250,000. Review Findings: "Fleet maintenance and repair is $26.200/yr(or $1,191/vehicle)which is below average." This might indicate that Metro's goal of minimizing fleet maintenance costs is successful. 44 4. Revenue sources and increases—Likely the most significant issue discussed during last year's budget briefing, was Metro's plans to increase property taxes to increase revenue. Currently, Metro receives assessments from both Salt Lake and Sandy, revenue from �r water sales, and tax revenue. Metro also utilizes bond proceeds and interest revenue. For the 2005-06 Budget,they proposed a property tax increase to Salt Lake and Sandy residents. As you may remember,the Salt Lake City Council sent a letter to tie Metro Water Board requesting that the property tax increase be deferred until a more equitable solution could be identified. (A copy of this letter is attached for your reference.) The Council's concerns were: a) that the amount of property tax revenue received would be disproportionate between Salt Lake and Sandy compared to the ownership ration, and b) that the County residents who utilize the water through Salt Lake City Public Utilities would not be included in the tax. Council Members may wish to ask Metro representatives what progress has been made on this issue. ADDITIONAL INFORMATION Salt Lake City appoints five of the seven board members of the Metropolitan Water District. Sandy City appoints the remaining two board members. Utah Code Annotated, §17A-1-502, provides that constituent entities of a special district can request a meeting with representatives of a district to discuss the budget. The law does not prevent the board of a special district from approving and implementing a budget over protests or objections of constituent entities. The Council has on occasion provided written comments to the Salt Lake City appointed board members. Background In 1935, the voters of Salt Lake City created the Metropolitan Water District in order to enter into long-term agreements to build the Provo River Project including Deer Creek Reservoir. The Bureau of Reclamation built the project, and it was necessary to enter into repayment contracts to reimburse the federal government for the construction costs plus interest. The Metropolitan Water District is a 61.7% owner of the Provo River Project. The water rights for the Provo River Project consist of water diverted from the Duchesne and Weber Rivers conveyed through a tunnel and canal system from the two basins to the Provo River for use by the Metropolitan Water District and others. In order to reimburse the Federal Government for the cost of the Provo River Project and Deer Creek Reservoir,the residents of Salt Lake City have paid property taxes since 1935. The Metropolitan Water District continues to build dams and facilities such as Little Dell Reservoir. In 1990, Sandy City became the second member of the District. Sandy City sought membership in the District to treat its approximately 34 percent water right in Little Cottonwood Creek. Sandy City's annexation in the District increased efficiencies by consolidating water supplies and delivery systems to most of eastern Salt Lake County. As part of the agreement, the District receives water purchase revenue and ad valorem tax revenue from Sandy City. Furthermore, as a part of the annexation Salt Lake City acquired additional water rights in Little Dell Reservoir and $4 million in water transmission mains installed on the City's west side. Also, the 1990 agreement admitting Sandy City established conjunctive water management practices among Salt 3 Lake City, Sandy City, Jordan Valley Water Conservancy District and the Metropolitan Water District. In 1998, the Metropolitan Water District updated its capital improvement master plan and identified $236 million in improvements and expansion of water capacity. In 2001, the District entered into an Interlocal Agreement with Sandy and Salt Lake City for implementation of the master plan. The major project is a new water treatment plant near the Point of the Mountain in the Draper area. The Metropolitan Water District owns additional water from the Provo River Project (in non-drought years) but hasn't been able to treat and convey the water to users. Additional water will also be available from the Central Utah Bonneville Unit (Jordanelle Reservoir) beginning in 2005. The master plan improves redundancy in the event of a water treatment plant or aqueduct failure. Improvements include pipeline connections between the Little Cottonwood Water Treatment Plant, the Jordan Valley Water Treatment Plant, and the Point of the Mountain Water Treatment Plant. This will allow flexibilities in shifting water between major north-south pipelines. air 4 SALT.11KE GI TY:C:ORPO ATI;ON. OFFICE OF THE CITY COUNCIL June 13,2005 Mr. Lon Richardson, Chair Board of Trustees Metropolitan Water District of Salt Lake&Sandy 3430 East Danish Road Sandy City, Utah 84093 Dear Lon, On behalf of the Salt Lake City Council, I would like to thank you for taking the time to attend the City Council's June 9th Work Session and present to us your fiscal year 2005-06 tentative budget. The discussion was very informative and helped us understand some of the major budget issues facing the district. Furthermore, we appreciate and commend the District's efforts to provide treatment and conveyance systems necessary to meet its customer cities water supply needs into the future. As you know, Salt Lake City's commitment to MWDSLS's successful completion of the Point of the Mountain Water Treatment Plant (POMWTP) and Point of the Mountain Aqueduct(POMA) is contained in the Interlocal Agreement"Relating To Metropolitan Water District of Salt Lake & Sandy Capacity Capital Improvements and New Water Supplies" approved on April 19, 2001. This Interlocal Agreement commits Salt Lake City to pay a capital assessment to MWDSLS to finance its share of POMWTP and POMA amounting to over $200 million (excluding debt service) to be financed by water rates. This is the largest capital improvement project ever constructed and financed solely by two municipalities in the state of Utah through water rates and without state or federal subsidies. The cost of the water treatment plant was capped at $125 million, but indexed to adjust for escalating construction costs. Additionally, a schedule of water sales rates was presented to pay for operation and maintenance expenditures and other capital improvement projects. Besides the water rates committed to the project, MWDSLS also assesses property taxes on the residents and businesses within both cities. In reviewing the MWDSLS budget, the Salt Lake City Council makes the following suggestions to the MWDSLS Board of Trustees: 1. In other City functions, we have resisted raising taxes. We ask that you postpone your decision regarding a property tax increase until further study can be conducted on the equity of its implementation, because: a. the amount of property taxes that would be received from Salt Lake City and Sandy City may be disproportionate compared to the ownership ratio, and Council Members Carlton Christensen-District One;Van Turner-District Two;K.Eric Jergensen-District Three Nancy Saxton-District Four,Council Vice-Chair 2005;Jill Remington Love-District Five David L.Buhler-District Six;Dale Lambert-District Seven,Council Chair 2005 451 SOUTH STATE STREET, ROOM 304, SALT LAKE CITY, uTAH 541 1 1 TELEPHONE: 001-535-7500, FAX: S01.535-7651 ® ',PEA b. given that there are consumers who do not reside in either of the member cities who will benefit from the MWDSLS improvements, but will not be assessed the property tax, other methods for increasing revenues should be explored to ensure that all water users who benefit from the improvements will participate financially. 2. Consider the timing, scope and scheduling of future capital improvement projects. It may be feasible to spread out the construction expenditures over a longer period of time to improve MWDSLS's cash flow and bond coverage ratio. 3. Investigate the possibility of deferring, on an annual basis, portions of Central Utah Project water supply. By 2010 block notices for the full 20,000 acre-feet of Bonneville Unit water will be delivered to MWDSLS. Given water conservation efforts of MWDSLS and its two customer cities, annual deferral may be possible under Section 207 of the 1992 Central Utah Completion Act. 4. Carefully monitor the operation & maintenance and capital improvements assessments from the Provo River Water Users Association, which are passed onto the two customer cities. 5. Utilize local benchmarks in conducting the performance audit of MWDSLS. Also, overlapping services currently provided by either one or both cities should not be duplicated. The study should include the charge to identify areas where changing the proposed staffing plan will result in effective cost savings. Both cities should participate in development of the scope of work and in the consultant selection process. Because the consequence of maintaining the current plan is a property tax increase,this study should be independent,and provide a basis for justification of any tax or rate change. 6. We understand that you have been reviewing MWDSLS's employee compensation and benefits program. Inasmuch as the two member cities have comparable positions, there should be parity between MWDSLS and its two cities. 7. We question the $632,500 injection well, infiltration pond, and injection trench project. Even though MWDSLS has acquired a $300,000 grant from the Bureau of Reclamation Water 2025, the capital cost per acre-foot of water is over $2,100. This F cost does not include O&M. Given that MWDSLS is acquiring 20,000 acre-feet of CUP water, it appears that investing in a ground water recovery project at this time is not necessary. 8. We question the need to enclose the Provo River Canal channel at this time due to funding limitations. Of course, we would be less reluctant about this expense if it is necessary for safety and/or there are other compelling operational justifications. 9. We ask you to review MWDSLS's fleet and take home vehicle policy. Recently questions have been raised regarding another government agency's fleet policies that are similar to yours. We appreciate your willingness to consider these items. We realize the extensive efforts you make to provide our residents and consumers with water. Over the last four years, we have raised water rates by 15% to cover the annual capital assessment amount of $7 million and we will be considering the need to raise water rates by another 8% to cover MWDSLS's current anticipated water rate increases. There are also projects within the City's own infrastructure that must be balanced with expenses associated with MWDSLS. Currently the cost of the MWDSLS represents nearly 40 percent of the Department of Public Utilities budget. It is imperative that MWDSLS and the cities work together in providing its citizens quality water service that is efficient and affordable. In light of these pending issues, we strongly urge you to delay the property tax increase. We understand your needs for the additional revenue that would be generated by the property tax, and would be willing to work with you and Sandy City representatives to come up with the best solution to the equity issue. Thank you for your hard work. Sincerely, Dale J. Lambert. Chair Salt Lake City Council cc: MWDSLS Board of Trustees MWDSLS Administration Mayor Tom Dolan, Sandy City Sandy City Council Mayor Rocky Anderson, Salt Lake City Salt Lake City Department of Public Utilities ;Nmi 0? 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The treatment and transmission of water are core services provided by Metro to its customers. These customers have come to expect the high reliability and low cost of service provided them by Metro for many years. As part of its continual planning effort aimed at maintaining and improving their high level of reliability and low cost, Metro staff developed and submitted a Staffing Plan in April 2005 projecting staffing needs through 2009 in support of new and expanded facilities. This review was requested subsequent to the completion of that Staffing Plan report. METRO HAS AN EXCELLENT TRACK RECORD Metro has a strong tradition of customer satisfaction, public health and safety commitment, and regulatory compliance. Metro staff quickly execute well- prepared action plans in anticipation of changing customer needs, evolving public health and safety concerns, and new regulatory actions. Metro is meeting the challenges of our industry in several ways, including commissioning the review summarized by this report. The review was conducted from the perspective of a private sector utility operator to determine where and to what extent performance improvement opportunities exist in the current operation and for the future facilities now under construction. The review addresses the entire Metro operation, including the core business functions of Operation and Maintenance (O&M) of the water facilities and infrastructure and all of the supporting functions: Administration, Information Systems, Environmental Services, Office Services, and Engineering. REVIEW RESULTS SHOW THAT OPPORTUNITIES TO IMPROVE PRODUCTIVITY IN THE CORE (O&M) FUNCTIONS DO EXIST The findings of this review show that small opportunities do exist to improve productivity at Metro. The study methodology was to view the various core and support functions "through the lens" of a privatizer. A privatizer would improve productivity beyond the present level, primarily by applying strategies that are different than those used today by Metro. These new O&M strategies are the following: 1. From Operations and Maintenance to Total Productive Operations (TPO) A privatizer would eliminate any separation between operators and maintenance staff. Everyone would be capable of performing all phases of work. No one would be "waiting and watching" for things to happen or for their turn to perform a specific task. As a result, productivity would increase. Metro already significantly employs this strategy so a privatizer would realize little gain from this. 2. From Reactive to Planned Maintenance Planning maintenance in advance of infrastructure failure is problem prevention. Reactive maintenance ("wait 'till it breaks") is expensive. Planning ensures that the right tools, the right skills and the right parts are in hand prior to maintenance work being accomplished. A privatizer would ensure that approximately 75% of maintenance work was planned. Metro is presently at approximately 50% planned maintenance. This represents a small opportunity for productivity improvement. 3. From Attended to Unattended Operation A privatizer would fully utilize automation to reduce staffing in the field during the swing and graveyard shifts. Off-shift staff would be busy doing preventive maintenance tasks and would only "operate" if the automation systems failed. Metro already nearly fully employs this strategy leaving little or no opportunity for the privatizer to improve here. 4. From Work Separated By Skill and Craft To Work Force Flexibility (WFF) Work force flexibility means cross training of existing staff. A privatizer would cross-train all staff. Cross training significantly reduces time spent waiting for specific skills and trades and allows staff to work as teams. As a result, productivity gains of 20% or more are possible. In return for achievement of specific skills, licenses, etc., a privatizer rewards employees through a skill-based compensation program. The more skills an employee attains, the more pay and/or bonuses he or she receives. As a result, everyone wins - productivity increases and employees benefit financially. Metro has committed to workforce flexibility and is improving in this area, leaving little opportunity in this area. Review Summary EMA, INC. 1 -2 5. From Technology as Risky to Technology as Strategy Metro has utilized technology primarily to automate the work of core and support functions. Computerized maintenance management has been implemented and is currently being replaced with a new system. The LCWTP is nearly fully automated and the new POMWTP will be fully automated. A privatizer would use this technology to support all of the previously mentioned strategies to optimize productivity and to minimize energy, chemical, and other costs. With the completion of automation and other technologies (such as a fully-integrated Laboratory Information Management System (LIMS)) and the integration of technologies to make information readily available to all decision-makers, Metro will see small productivity improvements. However, there is a technology implementation cost to accomplishing this strategy. 6. From Organization as Structure to Organization as Strategy A privatizer would eliminate bureaucracy and hierarchy and utilize a team approach, empowering employees and maximizing productivity. Support organizations would also be reinvented to streamline support services. A privatizer's goal is to trust staff to do their jobs and to provide them with the tools they need to maximize their productivity. Metro has already moved in this direction leaving little room for improvement. 7. From Customer as a Nuisance to Customer as an Advocate The privatizers recognize their customers not only as their source of revenue but also as a powerful ally within and outside of the community. To that end, privatizers develop strong customer advocacy programs. Metro is proactive in their relationships with their City customers leaving little opportunity for improvement in this area. 8. From Assets as a Cost to Assets as an Investment A privatizer understands that they are the keepers of the assets they operate and maintain. They are often required by contract to return those assets to the owner at the end of their contract in equal or better condition than at the outset of the contract. As a result, they take great care to maintain the assets in their best operating condition. This approach also reduces their chemical and energy costs over the long haul. Review Summary EMA, INC. 1 -3 Metro does a good job of managing their assets. As a result, a privatizer would realize little opportunity in this area. Summary In total, the application of these strategies to Metro's O&M functions indicated the potential for improving productivity by seven FTEs. However, seven additional FTEs are recommended to support the new plant and additions to the existing plant and pumping facilities as well as aging equipment at the LCWTP. This recommendation negates the improvement opportunity potential noted above in O&M. As a result, EMA concurs with the Metro Staffing Plan for 38 FTEs in O&M by 2009. EMA's high level review of Metro's O&M was based on four days of interviews, plus review of relevant documentation supplied by Metro. The resulting calculations of potential improvement contained in this report certainly could be refined with further analysis; however, it is clear that only small improvements are possible and that those gains could be used to support the future new facilities and the existing aging facilities. The results of this review show that a privatizer could operate Metro's O&M functions only 4.9% more efficiently and, therefore, potentially save approximately $540,996 annually, by applying the eight strategies described above. This meager 4.9% "gap" represents the 4th best score out of the 420+ reviews that EMA has conducted of utilities around the world in the past 12+ years. That is an accomplishment for which Metro and its customers should be proud. And again, this gap will be completely offset by increased staffing needs as the new facilities come online. NON-O&M STRATEGIES To evaluate the support functions, the review team applied the 14 points listed below. These strategies reflect the organization's ability to exploit technology and teamwork within the functional support groups. These 14 points are evaluated on a scale from "routinely/uniformly applied" (low value - one) to "seldom/rarely implemented" (high value - five) and assigned a ranking for a quantitative score tabulation. The higher the score, the greater the lost productivity. The total score gets plotted on a chart, providing comparative results. 1. Serial Work Processes (vs. Concurrent): The way tasks are routed through an enterprise - concurrent or serial. This includes analyses, reviews, and approvals. More effective organizations optimize staff productivity with Review Summary EMA,INC. 1 -4 concurrent routing, with reduced total time to achieve results (calendar time and actual time). Metro's score is 3, which was between the two extremes of "routinely" and "rarely". Typically, a score of 3 or lower is not considered high enough to warrant significant concern or substantial effort to gain minor improvement. 2. Use of Cross Functional Teams and Process Focused Organization: How employees do their work and communicate with other disciplines and across the organizations. Staff productivity is optimized with dependence on cross functionality. You rarely hear "It's not my job," and people with different functional backgrounds often work together to solve problems and make decisions. Less effective organizations have functional silos, and don't work in cross-functional teams, from either a business process or an organizational structure point of view. They don't have business process focus, but rather have an "I only do this approach." Metro's score was 3. 3. Duplication of Effort: Are tasks or processes redundant and striving for perfectionism? Is a factor for quality related to absolute avoidance of risk, rather than customer requirements? More effective organizations optimize staff productivity by avoiding redundant handling. They don't have people checking people checking people. Their quality is driven by the customer's needs and regulatory requirements. They don't use a two belts and two suspenders approach. Metro's score was 3. 4. Access to Information and Use of Technology: Is technology used productively to improve work quality and capabilities? More effective organizations optimize staff productivity with high dependence on productive implementation of technology. Information is easily available as needed, with people properly trained. When technology is put into place, manual tasks are eliminated or changed to take advantage of the technology. Data is entered one time, at the source. There are not islands of information. Technology decisions are based upon the ability to meet business needs. By contrast, when information is not easily accessible, people must interrupt their work to go get needed information, and they begin to develop their own, duplicate source of data. Metro's score was 4 indicating room for improvement exists here. This was due largely to opportunities to integrate existing technologies. Review Summary EMA, INC. 1 -5 5. Autocratic Top-Down Culture (vs. Aligned Organization): Does the leadership have a command and control, hierarchical, "do what you're told" culture? Is there a perception of retribution for independent actions? More effective organizations share a common vision, and optimize staff productivity with a shared perception of vision and its day-to-day manifestation. Managers allow their people to think and make decisions. Metro's score was 4 indicating room for improvement that is likely to occur as Metro continues its current team-oriented leadership philosophy. 6. Specialty Skills or Silos Underused: Are there under-used specialties and capabilities within the organization, i.e., low-use specialty skills which are expensive to acquire and maintain? More productive organizations optimize staff productivity by not staffing for skills that are rarely required or used. Communications and team functioning are emphasized, and outsourcing is used where appropriate. By contrast, less productive organizations maintain staffs where expensive skills are only rarely required. Metro scored a 4 indicating improvement potential. 7. Formal Cross Training Program (WFF): Is there a cross training program mandated? More productive organizations provide avenues and opportunities for cross training, with the training focused towards frequently required skills. Formalized programs exist, with established norms for performance, and recognition (certification) of achievement. Metro's score was 4 indicating an opportunity to improve. Note: The scores on Strategies 6 and 7 are due primarily to the siloing of several small groups. 8. Inflexible or Nonexistent Technical or Work Standards Imposed: Do the standards (or lack thereof) inflate project price or cycle time? Do standards exist where needed? Is there a timely process for revising them, to meet business requirements? More effective organizations maintain standards of technical, equipment and procedural excellence, but acknowledge the changing environment for performance. They are not wedded to out-of-date criteria. Flexibility and change to stay on the established leading (not bleeding) edge are essential. Metro's score was 3. 9. Old Outdated Policy and Procedure Impediments (vs. Flexible Operating Environment): Are policies and procedures a constraint? Are existing policies and procedures a barrier to getting work accomplished? In more Review Summary EMA, INC. 1 -6 productive organizations, the enterprise is flexible and changes its procedures for success. The policies are indicative of a competitive industry, and are focused upon getting the required work efficiently and effectively accomplished. They embrace flexibility for standards and procedures. Metro's score was 3. 10. Cultural Impediments (vs. Supportive Cultural Environment): Is there an environment of fear and mistrust, and competition between employees? Or are the employees and management open to new ideas - do they embrace change? More productive organizations recognize the process of change and growth, assessing and embracing change as it is appropriate. Employees can make decisions to do their job right the first time, and they communicate with each other as they make the decisions. More effective organizations offer staff the freedom to identify and perform key tasks to enhance organizational effectiveness and customer satisfaction. Metro scored a 2 on this strategy indicating a nearly excellent execution. 11. Quality of Work Products: Do customers perceive high value in the product that you provide? More effective organizations tailor the delivery of goods and services to match customer expectations. They solicit regular feedback from customers, both internal and external. Metro's score was 4 on this strategy. This is due largely to Metro's focus on water quality and other aspects of their service that may increase production costs as quality standards are exceeded.. 12. Management of Load ("Staff for the base"): Are there clear priorities regarding which customer requests get quick responses and what the required response time is? Are there procedures or mechanisms for obtaining additional resources when required? Metro's score was 3. 13. Outsource Strategy: Is outsourcing of non-core processes considered? More effective organizations do what they do uniquely well, and identify and off-load non-core processes. Metro's score was 2 on this strategy because there is a significant level of support services contracted out at present. EMA suggests that Metro continue to review all support functions regularly to ensure that services are being provided at the best possible price and quality. Review Summary EMA, INC. 1 -7 14. Routine Customer Feedback: Do you ask for customer feedback and does the enterprise act positively on that feedback? More effective organizations actively solicit customer feedback and use it to tune delivery of goods and services. Metro's score was 4 because there appears to be an opportunity to formalize the customer feedback process so that staff at lower levels of Metro are getting the same feedback as management. Productivity Delta The evaluation method for these support strategies is to assess points and arrive at a composite average for an overall rank expressed as an average. Current reviews indicate the minimum achieved lost productivity ranking is about 25%, typically achieved by the best run private utilities. Worst case reviews identify a lost productivity of 80% to 90%, for the least efficient publicly run water and wastewater utilities. Metro had a raw score of 46 (which is equal to lost productivity of 50% on our attached calculating curve) on this review indicating a productivity gap of 25% (50% lost productivity score — 25% lost productivity goal). These findings, confirmed through an independent analysis approach, indicate that Metro could reduce the planned staffing increases for the non-O&M supporting functions in 2009 by eight FTEs. HIGH LEVERAGE RECOMMENDATIONS FOCUS ON ORGANIZATION, PRACTICE, AND TECHNOLOGY OPPORTUNITIES The following high-leverage actions are recommended to enable Metro to perform at "World Class" service provider levels: Organization Recommendations • Make organization structure changes to combine O&M (including moving l&C technicians into O&M). • Make organization structure changes to combine HR and Office Services into a single Administrative Services group. • Redefine the Controller position before refilling it after the upcoming retirement and adjust the salary to match regional salaries (utilize member city information as a guide). Review Summary EMA, INC. 1 -8 • Reassign staff freed up when "best practices" strategies are employed to cover new maintenance needs as future facilities are brought online and existing facilities age. • Conduct formal outsourcing reviews of support services on a regular (annual) basis — no specific outsourcing is recommended at this time. • Redefine the AGM position to an Assistant to the GM position. Practice Recommendations • Implement "best practices" from this review to free up resources for maintenance of new and aging facilities. • Move the GIS position to IS so that integration of GIS and CMMS is ensured. • Design and implement a Workforce Flexibility/Skill-Based Compensation Program for all O&M staff. • Physically move managers closer to staff where possible. • If possible, relocate staff so that O&M and Environmental Services staff work together more closely. • Reduce lab analyses to the required testing levels and consider creating a "regional lab" service offering. • Redefine the Planner/Estimator role to Planner/Scheduler with more emphasis on planning and scheduling Preventive Maintenance (PM), Predictive Maintenance (PdM), and advanced asset management activities. Technology Recommendations • Implement MAXIMO as quickly as possible to support better maintenance planning and asset management. • Integrate MAXIMO and plant SCADA control systems for better information access. • Connect all lab instruments to the Laboratory Information Management System (LIMS) to reduce data entry time. • Implement a software system to collect data and make it available to management and staff for reporting and decision-making. Review Summary EMA, INC. 1 -9 • Implement a software system to optimize electric consumption without reducing water quality. • Implement a software system to optimize operations of the complex water system Metro will be managing once the new facilities come online. • Completely implement and then integrate the many systems currently in place. • Hire an additional Systems Administrator and 2 additional IT Analysts to support the many information systems integration opportunities that exist. CONCLUSIONS Through the implementation of "best practices" per this review, there is an opportunity to improve performance by the equivalent of seven FTEs in Operations and Maintenance. However, the staff made available from implementation of best practices should be reassigned to maintenance of new and aging facilities. Thus, EMA concurs with the planned O&M staffing level of 38 FTEs in 2009. The temporary nature of much of the current Engineering work should enable a four FTE reduction in staff from the 2009 goal within the next two to three years. Environmental Services and Office Services organizational changes and technology solutions should enable a one FTE reduction in staff from the 2009 goals in both of those groups. And improved technology implementations and organizational changes should enable a two FTE reduction in Information Systems staff from the 2009 goal (although we are recommending that certain staff in this group be transferred to O&M opening 3 new positions in IS). This totals an eight FTE reduction from the 2009 goals of the Staffing Plan for support services. Review Summary EMA,INC. 1 - 10 BACKGROUND Water and wastewater utilities are facing rapidly increasing fiscal pressures driven by aging infrastructure, increased regulatory constraints, and consumer demands. To respond to these driving forces, proactive utilities and agencies are adopting revised management philosophies and practices to improve productivity, hold the line on controllable costs, and respond to competitive forces and opportunities. In November and December 2005, EMA, Inc. conducted a review of Metro's O&M and support functions. The purposes of the review were to 1) determine the efficiency of the Utility's current operations as compared to how an O&M privatizer or private support function provider might operate the Utility; 2) consider future staffing plans as the Utility expands in coming years when new facilities are brought online; and 3) to present and discuss the review results with the Board of Trustees and Utility staff and identify areas where operational efficiencies could be obtained. The review methodology included: • Interviews with Metro O&M and support staff to determine current work practices and to quantify costs associated with those practices. • Independent analysis and comparison of the Utility's current situation with the approach used by U.S. privatizers, as well as by private European utilities and private support services providers. • Presentation to Utility staff of the eight most significant paradigms governing private and European water utility operations and maintenance and the 14 most significant strategies driving support function performance improvement. • Presentation to, and discussion with the Board of Trustees and Utility staff regarding application of the O&M paradigms and support strategies specifically to Metro, including quantified results. • Preparation of this summary report outlining the results of the review, including implementation recommendations. The review addressed the following areas of Metro: • O&M Department • Administration • Information Systems • Environmental Services • Office Services • Engineering The following representatives of the member Cities, Board of Trustees, and staff were interviewed to obtain information regarding Metro operations, costs and future plans: Interviewees Title Cities of Salt Lake and Sandy Phil Glenn City Council Executive Director, Sandy City Cindy Gust-Jensen City Council Executive Director, Salt Lake City Shane Pace Director, Sandy City Public Utilities LeRoy W. Hooton, Jr. Director, Salt Lake City Public Utilities Metro Board of Trustees F. David Stanley Board of Trustees J. Steven Newton Vice Chair, Board of Trustees John S. Kirkham Board of Trustees Leland J. Myers Board of Trustees Patricia Comarell Board of Trustees Genevieve Atwood Secretary, Board of Trustees Lon R. Richardson, Jr. Chair, Board of Trustees Metro Management Mike Wilson General Manager Robyn Clayton Office Services Manager Steve Stocking O&M Department Manager Ashley Rasmussen HR/AP/PR Administrator Scott Forsling Engineering Manager Claudia Wheeler Environmental Services Manager Mike DeVries Information Systems Manager Metro O&M Department M. Hone Liaison G. Cook Liaison M. Tietje Liaison Dallin Ewell Operations Supervisor Day shift Operator#1 Operator Day Shift operator#2 Operator Hal Miller Maintenance Lynn Coon Maintenance Duane Mitchell Maintenance Supervisor Fred Larsen Planner/Estimator Bryan Montague Control System Tech Background EMA, INC. 2-2 Interviewees Title Metro Support Staff Susi Paiz Procurement Analyst Jeff Matheson Biologist Marie Owens Process Engineer Wayne Winsor Senior Project Manager Gardner Olson Project Engineer Reed Jensen Controller Ryan Nicholes Systems Administrator Mike Collins Bowen, Collins, & Assoc. EMA, Inc. Tim Payne Larry Lederer Brad Jurkovac Background EMA, INC. 2-3 3 REVIEW STRATEGIES Through experience working with many utilities, including large, private European-based utilities, EMA has identified eight major Operation and Maintenance (O&M) areas in which private/European and public/U.S. utilities differ. These eight areas, or strategies, are what provide private/European companies significant cost advantages. This review of Metro operations utilized these eight strategies as the comparison yardstick for O&M. The eight strategies are as follows: total productive operations, planned maintenance (vs. reactive maintenance), unattended operations, work force flexibility, technology as strategy, organization as strategy, customer as an advocate, and assets as investments. These strategies are defined in more detail below: For the Non-O&M, or support functions, we used a model that includes 14 "Best Practices" for general business functions. These best practices come from a compilation of information and concepts that are implemented in the most successful private and public enterprises. The best practices are integral measuring tools for the following programs, awards and certifications: • American Productivity and Quality Center • Malcolm Baldridge National Quality Award • Deming Application Prize for Quality • Presidential Award for Quality • ISO 9000 • ISO 14001 First, it is important to define "business practice." A business practice is a habitual way of carrying out work. It gets at how work is carried out, not what work is carried out. Best practices are those practices that have been determined to be the best approach for all or large parts of an organization. This is based on a variety of factors and evaluative criteria. There is no single, agreed upon, comprehensive list of best practices. The 14 points used in the review are a synthesis of key recurring themes in the best practices body of knowledge. These recurring themes revolve around the key areas of: • Increased productivity • Work-flow and processes • Work environment (culture) and communications (cross-functional teams) • Use of resources (technology, skills, staffing, tools) • Customer focus • Reduced cycle time • Quality of work • Duplication of work • Training Benchmarking is a term that is often used in discussions about best practices. There are a number of definitions of benchmarking. In the water and wastewater utilities, benchmarking is most typically used to refer to metrics, or ratios of some measure. Examples include $/MGD, $/mile of pipe, and so on. Comparing benchmarks of this nature across utilities is generally non-productive due to the differences between utilities, including water sources, water quality, treatment processes, and geography. At this point, a more productive approach is for a utility to determine what benchmarks it will track over time and to compare its performance to itself over the course of years. For those wishing additional information, the following references will provide a starting point. • American Productivity and Quality Center (Process Classification Framework on Best Practices, What Is Benchmarking?, What is Best Practice?). http://www.apgc.orq • Department of Energy Best Practices Clearinghouse. http://www.pr.doe/qov/ocmacler.html and http://www.pr.doe/qov/dg61-3.html • Malcolm Baldridge National Quality Award. http://nist.gov • Presidential Award for Quality. http://www.pica.army.mil/ardec/tqm/award.html. A good site with references to other quality, best practices and benchmarking sites is: http://www.pica.army.mil/ardec/tqm/top2.html • ISO 9000 • ISO 14000 The private/European and the 14-point Non-O&M models were selected because they are the models of the most effective and efficient utility companies and manufacturers, as well as U.S. privatization firms. Two French/U.S. privatization firms, USFilter, and United Water are used as examples. Both of these firms apply these new strategies when operating utilities in the U.S. Review Strategies EMA, INC. 3-2 O&M STRATEGIES Total Productive Operations (TPO) U.S. utilities have traditionally organized around two distinct work groups: Operations and Maintenance (O&M). The Total Productive Operations (TPO) strategy eliminates this distinction by changing the dual "O&M" work force emphasis to one of continuously improved, focused maintenance. Operators no longer "watch and wait" for problems to occur. Instead, everyone in a single work force has maintenance assignments to complete while process monitoring and control technology alert certain maintenance personnel to process deviations and alarms. Planned Maintenance (vs. Reactive Maintenance) Many U.S. utilities operate in a "reactive" maintenance mode with the "if it ain't broke, don't fix it" philosophy predominating. The Planned Maintenance strategy focuses labor resources on planned, preventive, and predictive activities while confining reactive maintenance to a small fraction of all maintenance performed. Materials and inventory management is synchronized with planned equipment overhauls, reducing or eliminating travel time, and other similar dead time components typical of the reactive maintenance philosophy. When properly implemented and supported with integrated information systems, the Planned Maintenance management philosophy can save up to 40% of labor costs normally associated with the reactive approach for the typical U.S. utility. Unattended Operations Today, major European facilities often run "unattended," i.e., in the absence of operations personnel specifically assigned to wait and watch for process deviation and alarms, especially during "off' shifts. By contrast, in North America, most major water treatment facilities run fully attended by staffs of operators waiting and watching for process deviation and alarms. The driving elements creating the difference between these two philosophies are the perceived risks associated with process deviations and the perceived level of reliability of the process automation technologies deployed. Profit motive has provided powerful incentive for the private/European companies to move beyond conjecture and experimentation to full implementation of unattended operations despite initial perceptions of risk and unreliability. Of course, this depends on the type of process and level of automation employed at the facility. However, in all cases, these companies have been successful in reducing the number of operators attending a facility during "off" shifts. The Review Strategies EMA,INC. 3-3 unattended operations philosophy has driven the Europeans to develop plant designs that integrate reliable automation technologies with processes. What the Europeans (and a few U.S. utilities) have proven is that unattended operations, when properly designed and implemented, is in fact often more consistent and predictable than attended operations. Unattended operations is often significantly less risky than the attended approach because heavy dependence on staffs of operators with mixed and variable skill sets, knowledge, intuitions, and motivations is substantially reduced. The Europeans have proven that the unattended operations strategy saves money and is a reliable approach to facility operations. Work Force Flexibility (WFF) Historically in the U.S., the largest single dead time factor affecting the execution of utility maintenance work is people waiting for other skills. Single-skill work systems artificially separate skills and crafts, institutionalizing "skill-waiting" dead time. Europeans and progressive U.S. utilities have shown that increasing the range of skills possessed by maintenance personnel through cross-training can reduce skill-waiting time by up to 40%. Cross-training is standardized, expedited, and individually configured through structured programs supported by multimedia- based instruction systems. On-the-job practice, procedure, and standards review and guidance are provided by knowledge-based decision support systems. Technology As Strategy Many U.S. utilities are very cautious, viewing process control and information technology as "risks" to be minimized. The European strategy recognizes the exponentially increasing value of applying technology as a strategy to every business process within the utility organization. When information technology is viewed as strategic, it can be factored into every challenge, initiative, or project required for utility operations, maintenance, management, and administration. On an enterprise-wide basis, integrated systems allow information to be appropriately shared, facilitating continuous improvements in business processes. The European strategy leverages the cost-effectiveness of applied, integrated technology in many ways, for example: • Automated process operations. • Knowledge-based systems for infrastructure maintenance and water quality management. • Advanced customer service information systems. • Technology-based training, problem analysis, and decision support. Review Strategies EMA,INC. 3-4 Organization As Strategy U.S. utilities traditionally have a hierarchical organizational structure that tends to be mechanistic, fixed, and resistant to change. Change, however, is inevitable to meet the growing demand to do more with less. Using an orchestra as a metaphor, the sixth strategy is like the conductor providing the vision and direction for the whole orchestra and the individuals are empowered to make music on their own. The powerful music produced is the product of all the individuals working in unison. This strategy extends participation with the change process to all stakeholders. The organizations become flexible, team oriented, streamlined, energized, empowered, and living. One utility saved 15% by the end of a three-year design phase by employing this strategy. Redeployment of personnel through this philosophy increases productivity, saves money, and empowers employees to be actively involved in the change process. From Customer as a Nuisance to Customer as an Advocate The privatizers recognize their customers not only as their source of revenue but also as a powerful ally within and outside of the community. To that end, privatizers develop strong customer advocacy programs. In a number of recent instances, private operators have used the lack of customer advocacy as an entry to public service providers. They have offered to take customer complaints `off the screen" of elected officials by implementing their new advocacy strategies. From Assets as a Cost to Assets as an Investment Privatizer understands that they are the keepers of the assets they operate and maintain. They are often required by contract to return those assets to the owner at the end of their contract in equal or better condition that at the outset of the contract. As a result, they take great care to maintain the assets in their best operating condition. This approach also reduces their chemical and energy costs over the long haul. The assets as investments strategy drives the private operator to conduct more preventive, predictive, and reliability-centered maintenance. This typically leads to significantly lower repair and collateral damage costs over the life of their contracts. Review Strategies EMA,INC. 3-5 NON-O&M STRATEGIES 1. Serial Work Processes (vs. Concurrent): The way tasks are routed through an enterprise - concurrent or serial. This includes analyses, reviews, and approvals. More effective organizations optimize staff productivity with concurrent routing, with reduced total time to achieve results (calendar time and actual time). 2. Use of Cross Functional Teams and Process Focused Organization: How employees do their work and communicate with other disciplines and across the organizations? Staff productivity is optimized with dependence on cross functionality. You rarely hear "It's not my job," and people with different functional backgrounds often work together to solve problems and make decisions. Less effective organizations have functional silos, and don't work in cross-functional teams, from either a business process or an organizational structure point of view. They don't have business process focus, but rather have an "I only do this approach." 3. Duplication of Effort: Are tasks or processes redundant and striving for perfectionism? Is a factor for quality related to absolute avoidance of risk, rather than customer requirements? More effective organizations optimize staff productivity by avoiding redundant handling. They don't have people checking people checking people. Their quality is driven by the customer's needs and regulatory requirements. They don't use a two belts and two suspenders approach. 4. Access to Information and Use of Technology: Is technology used productively, to improve work quality and capabilities? More effective organizations optimize staff productivity with high dependence on productive implementation of technology. Information is easily available as needed, with people properly trained. When technology is put into place, manual tasks are eliminated or changed to take advantage of the technology. Data is entered one time, at the source. There are no islands of information. Technology decisions are based upon the ability to meet business needs. By contrast, when information is not easily accessible, people must interrupt their work to go get needed information, and they begin to develop their own, duplicate source of data. 5. Autocratic Top-Down Culture (vs. Aligned Organization): Does the leadership have a command and control, hierarchical, "do what you're told" culture? Is there a perception of retribution for independent actions? More effective organizations share a common vision, and optimize staff productivity with a shared perception of vision and its day-to-day manifestation. Managers allow their people to think and make decisions. Review Strategies EMA, INC. 3-6 6. Specialty Skills or Silos Underused: Are there under-used specialties and capabilities within the organization, e.g., low-use specialty skills which are expensive to acquire and maintain? More productive organizations optimize staff productivity by not staffing for skills that are rarely required or used. Communications and team functioning are emphasized, and outsourcing is used where appropriate. By contrast, less productive organizations maintain staffs where expensive skills are only rarely required. 7. Formal Cross Training Program (WFF): Is there a cross training program mandated? More productive organizations provide avenues and opportunities for cross training, with the training focused towards frequently required skills. Formalized programs exist, with established norms for performance, and recognition (certification) of achievement. 8. Inflexible or Nonexistent Technical or Work Standards Imposed: Do the standards (or lack thereof) inflate project price or cycle time? Do standards exist where needed? Is there a timely process for revising them, to meet business requirements? More effective organizations maintain standards of technical, equipment and procedural excellence, but acknowledge the changing environment for performance. They are not wedded to out-of-date criteria. Flexibility and change to stay on the established leading (not bleeding) edge are essential. 9. Old Outdated Policy and Procedure Impediments (vs. Flexible Operating Environment): Are policies and procedures a constraint? Are existing policies and procedures a barrier to getting work accomplished? In more productive organizations, the enterprise is flexible and changes for procedures for success. The policies are indicative of a competitive industry, and are focused upon getting the required work efficiently and effectively accomplished. They embrace flexibility for standards and procedures. 10. Cultural Impediments (vs. Supportive Cultural Environment): Is there an environment of fear and mistrust, and competition between employees? Or are the employees and management open to new ideas - do they embrace change? More productive organizations recognize the process of change and growth, assessing and embracing change as it is appropriate. Employees can make decisions to do their job right the first time, and they communicate with each other as they make the decisions. More effective organizations offer staff the freedom to identify and perform key tasks to enhance organizational effectiveness and customer satisfaction. 11. Quality of Work Products: Do customers perceive high value in the product that you provide. More effective organizations tailor the delivery of goods and Review Strategies EMA, INC. 3-7 services to match customer expectations. They solicit regular feedback from customers, both internal and external. 12. Management of Load - ("Staff for the base"): Are there clear priorities regarding which customer requests get quick responses, and what the required response time is? Are there procedures or mechanisms for obtaining additional resources when required? 13. Outsource Strategy: Is outsourcing of non-core processes considered? More effective organizations do what they do uniquely well, and identify and off-load non-core processes. 14. Routine Customer Feedback: Do you ask for customer feedback and does the enterprise act positively on that feedback? More effective organizations actively solicit customer feedback and use it to tune delivery of goods and services. Review Strategies EMA,INC. 3-8 4 RESULTS SYNOPSIS Information about Metro costs, staffing levels, work rules, and current use of automation and information systems was gathered from interviews and review of documentation provided by Metro staff. The documentation included O&M and support budgets and expenditures for labor and materials, as well as organization charts, job descriptions, and staffing history. Cost saving and productivity improvement opportunities were reviewed in comparison with each of the eight O&M strategies and 14 Non-O&M support strategies. This Section contains a summary of the results. It is important to note that the purpose of this review was to look for opportunities for improvement and to review the future staffing plan, not to criticize. A comparison of Metros' operations versus the privatizer's approach provides a target. The water system operation and maintenance practices result in a high level of uninterrupted service to Metro customers. Metro staff are hardworking and dedicated. There are some changes that could be made, however, to improve productivity and enable O&M staff levels to stabilize during the addition of new facilities and allow staffing projection reductions in Non-O&M support functions through 2009 projections. It should be stressed that the findings in this report are based on a four day cursory overview by EMA, based on interviews and review of documentation provided by Metro, as well as comparison to similar utilities. Further analysis is required to refine these findings and to develop a plan of action to increase Metro's performance, as compared to how a privatization firm might operate the utility. These results were presented to Metro's Board of Trustees and management in a workshop held on January 23, 2006, using the slides included in Appendix A. Calculations in this section and in Appendix A have been modified slightly from those contained in earlier versions of the slide presentation, based on further analysis of the data and input from Metro staff. The following averaged burdened salary was used for the review: Metro Staff = $68,428/year OBSERVATIONS SHOW POTENTIAL FOR INCREASED PRODUCTIVITY The following observations were made by EMA, based on interviews and analysis of data provided by Metro. General Observations • The utility provides a very high level of service to their customers. A privatizer would meet all legal and regulatory requirements, but might not provide as high a quality of product and service as is currently provided by Metro. • From both regional and industry-wide perspectives the utility provides competitive wages and benefits for Metro employees. A proactive approach will help to ensure these competitive wages and benefits continue. There is a tendency to pay entry-level positions lower than local competitors — this could lead to recruitment challenges as the aging workforce retires and new employees are sought. The pay for a few of the higher-level positions tends to be higher than local competitors—this could be corrected over time as positions are vacated and re-evaluated. • The utility is a unique organization in the water industry due to the current addition of significant new facilities. The addition of these new facilities presents increasing demands for the utility to do more and provides the utility with a better-than-average business environment. • The intergovernmental relation between the utility and other regional water and wastewater agencies provides unique opportunities to leverage utility business functions through interagency agreements. • The Utility is highly advanced in the area of technology development. However, some islands of information exist and certain technologies have not yet been fully applied to produce the greatest benefit to Operations & Maintenance and Non-O&M support staff. • A new CMMS system is being implemented. The remaining CMMS effort is substantial and could provide an implementation challenge for Metro but could also provide a common base for integration of several Metro technologies. • There is little cross training between the various skills and crafts within both the O&M and support areas. These "silos" of specialization hinder efficiency and effective use of time and other resources. Results Synopsis EMA, INC. 4-2 • The utility is one of the most technologically progressive utilities EMA has encountered in the course of performing over 420 competitiveness assessments throughout the U.S. and Canada. • Utility staff are presently implementing technology as a strategic partner. The Plant Control and SCADA systems will provide enhanced technology support to O&M and management and support staff. Other systems provide significant technology support potential to all utility staff and will continue to improve productivity as systems are enhanced and integrated. • Metro is currently budgeted for 60.5 Full Time Equivalents (FTEs). 45% of those are in O&M and 55% are providing support to the O&M group. This is a reasonable distribution of staff for a small stand-alone utility. • The supervisor/manager to worker ratio is 1:7.6 while the industry standard is 1:10 to 1:15. This represents an opportunity to reduce overhead and flatten the organization by pushing decision-making down. This should be accomplished over time as vacancies occur. • The total annual operating budget (not including debt reduction and capital costs) is $10,959,154. Of that, $3,024,510 (or 36%) is spent on labor. That number is below average. $59,500 is spent on overtime which is well below average. As noted above, this calculates to an average burdened salary (salary plus benefits) of$68,428/yr. • Fleet maintenance and repair is $26,200/yr (or$1,191/vehicle) which is below average. • The organization is structured five levels deep and five divisions wide indicating that the organization is not overly top-heavy. • The current budget includes $750,000 in contracted services, indicating that there is a sound outsourcing strategy in place. • The current budget includes $816,000 for chemicals; $571,000 for utilities; $576,000 for maintenance and repair; $10,117,300 for debt reduction; and $420,000 for related expenses. Some of these observations will be used in subsequent calculations. A NEW VISION IS SUGGESTED TO INCREASE THE UTILITY'S PRODUCTIVITY Based on the observations described above, EMA suggests the utility develop a new vision for the future of O&M and support functions, based on application of Results Synopsis EMA, INC. 4-3 the new strategies described in Section 3 of this report. The new vision would include: • Implementation of Total Productive Operations (TPO) and Work Force Flexibility (WFF) Programs (Metro has already outlined a WFF skills matrix). • Maintenance and operations would be redesigned to eliminate some of the separateness that still exists after recent redesigns, as part of TPO and WFF. Everyone would work in cross trained teams. • A skill based compensation program could be put in place to improve entry- level and lower position compensation packages. • Planned, preventive, and predictive maintenance would rule the day with nearly 75% of all maintenance being performed in advance of equipment failures or other non-planned events triggering maintenance. • All information and control systems would be fully integrated. • Staff would use technology as a strategy, or partner. • Non-O&M support staff would function as a cross-trained team of professionals using technology and best practices to provide optimum customer service (to both internal and external customers). LOST PRODUCTIVITY CALCULATIONS SHOW THAT PRODUCTIVITY COULD BE INCREASED EMA developed the calculations in this section by viewing Metro's O&M Department as a privatizer would. The calculations are derived by applying each strategy to the utility's present business practices. 1. Total Productive Operations Productivity Opportunities The total productive operations strategy is applied to the Production day shift at the plant, since that is the period of time when most maintenance activities are performed. At present, there are a total of two operators (sometimes three, if a relief operator is present) on the day shift at the plant doing monitoring, making rounds, and helping maintenance staff with some minor maintenance functions if necessary around the plant. Operators spend time making log entries and conducting lab analyses. Operators are not normally involved in maintenance or in CLAIR (Cleaning, Lubrication, Adjustments, Inspections, and minor Repairs) activities. However, EMA learned that most maintenance staff are certified plant operators but avoid operating so that they do not have to work shifts. Results Synopsis EMA, INC. 4-4 There is an opportunity to improve efficiency by implementing a TPO philosophy. Operators would receive the training necessary to allow them to do preventive maintenance (PM) tasks. The plant would be fully automated to eliminate most of the "waiting and watching time." Much of the day shift operation staff time would be spent doing PM tasks. The net result of TPO would be an estimated 50% increase in productivity. This translates into increased efficiency equal to 1 FTE. 1 FTE x $68,428*/year = $68,428/year '$68,428 =burdened salary for operations staff in this strategy. 2. Planned Maintenance Productivity Opportunities The curve in Figure 4-1 shows the relationship of the total cost of maintenance to the percentage of work that is planned in advance of equipment failure (vs. reactive maintenance, which waits for things to break). This curve has been developed from maintenance experience in both the private and public sectors and is the model used by the private European water and wastewater utilities, as well as by U.S. privatizers. High 0� �°s,g 40% Productivity �o Gain q Low 20% 40% 60% 80% 100% Figure 4-1: Level of Work Planned in Advance of Equipment Failure The curve shows that maintenance costs can be cut by 40% at the optimum level of 75% of maintenance work planned in advance. The reason for these savings is that planning maintenance in advance reduces waiting time for parts, crafts, and other resources which in turn increases "wrench on bolt" time. Utilities and industries using this approach have seen an increase in wrench on bolt time from a typical 2.5 hrs/day to 4.5 hrs/day or an 80% increase in productivity. Results Synopsis EMA, INC. 4-5 Metro maintenance is estimated to be at the 50% planned level. This estimation is based on feedback from interviews and observation of maintenance reports. Maintenance staff do conduct regular planning meetings but equipment at the existing facilities is aging and fails often causing some planned maintenance to be postponed. Further productivity increases are possible in this area. The net result of achieving 75% planned maintenance would be an estimated 10% increase in productivity. This translates into increased efficiency equal to 1 FTE in maintenance. 1 FTEs x $68,428*/year = $68,428/year $68,428 =burdened salary for maintenance staff in this strategy. 3. Unattended Operations Productivity Opportunities The unattended operations strategy is the concept of minimizing the staffing of a facility on the off shifts, as compared to moving from O&M to total productive operations, which seeks to make more efficient use of operating staff on all shifts. Total plant automation is required to reduce the amount of attendance required. Currently, five operators (including relief operators) cover the off shifts at the LCWTP. With additional full automation, EMA feels that this group will be sufficient to operate this plant. However, EMA concurs with the Metro Staffing Plan report request for additional operators to support the new POMWTP during operation of that facility. As a result, there will not be an efficiency increase associated with this strategy. 0 FTEs x $68,428*/year = $0/year *$68,428 =burdened salary for operations staff in this strategy. 4. Work Force Flexibility (WFF) Productivity Opportunities The work force flexibility strategy is illustrated in Figure 4-2. Staff are no longer confined to one skill set or one functional area e.g., operations, mechanical maintenance, electrical maintenance and instrumentation maintenance. As staff are cross-trained in multiple areas, the circles overlap and a larger number of staff are available to work in all functional areas as needed. A "sweet spot," the crossover of all functional areas illustrated below in red, is the goal of work force flexibility. This sweet spot represents staff who are trained in multiple skills, provide added value to the organization, and are often compensated according to their skill sets. Results Synopsis EMA,INC. 4-6 Operations :Operations o Mechanical Electrical i ° Maintenance aintenance ` a �`"Control Control s System System N Moint. Maint. Figure 4-2: Work Force Flexibility Provides Skill Crossover EMA's review indicates that operations and maintenance staff are not cross- utilized. Operations and Maintenance are not totally separate but little cross- training exists today. Segregation also exists among trades, e.g., mechanics, electricians and instrumentation technicians, with little or no crossover. Work force flexibility stresses the importance of moving away from this type of task segregation to sharing responsibility and skills. Figure 4-3 illustrates the goal of work force flexibility-increased productivity. As part of this strategy, the idea of skills-based compensation allows employees to be paid based on their level and diversity of skills. The highest paid employees directly impact productivity measures by providing the most benefit by being skilled in multiple areas. 20% Loss in Productivity 0 Low Medium High Figure 4-3: Degree of Work Force Flexibility Implemented Figure 4-4 further illustrates the benefits of work force flexibility. Since people have multiple skills, waiting time is reduced, productivity increases, labor and Results Synopsis EMA, INC. 4-7 dollars are saved, and morale is improved since employees are learning and doing new things. Waiting for People Percent Time Waiting/Searching Ailtillivi Waiting for Documentation Waiting for Parts Waiting for Process Waiting for Tools Figure 4-4: Work Force Flexibility Reduces Wait Times EMA recommends the implementation of integrated work teams and workers to replace the current segregated O&M groups. Each work team or worker would be assigned to perform work and would be cross-trained in operations, mechanical maintenance, light electrical (120 VAC and low voltage DC), instrumentation and controls and preventive maintenance. Each worker would remain a specialist in electrical, mechanical, instrumentation, operations and other unique areas. Team members would receive pay based on the levels they have attained in each skill area. This idea is likely to meet resistance from staff wanting to avoid shift work. This idea would also require the movement of instrumentation staff from the IS group to O&M. EMA estimates that a 16% productivity increase could result from implementation of a WFF program. The total number of operations and maintenance staff positions remaining after the performance improvements noted above under the TPO and Unattended Strategy strategies is 19. The potential efficiency increase is therefore 19 staff positions x 16% = 3 FTEs. 3 FTEs x $68,428*/year = $205,284/year *$68,428 =burdened salary for staff in this strategy. Results Synopsis EMA,INC. 4-8 5. Technology As Strategy Productivity Opportunities The utility's plant currently has substantial automation. However, opportunities exist for some reductions in power consumption and significant reductions in chemical consumption through the employment of emerging technologies. Further, full automation of the lab would net an improvement equal to one FTE. However, this FTE is in a support group, not the core O&M group we are discussing now, so this FTE will not be included in the gap calculations. A 5% power savings and 10% chemical savings could be realized and is considered a conservative assumption, although a more detailed ana►ysis is required to make a more accurate estimate. Current expenditures for power are $100K per year and for chemicals are $571K, therefore a 5% power savings and a 10% chemical savings would be: 5% x $100,000 = $5,000/year 10% x $571,000 = $57,000/yr 1 Lab FTE = $68,428/yr TOTAL = $130,428/yr 6. Organization As Strategy Productivity Opportunities Moving from Organization as Structure to Organization as Strategy includes reducing hierarchy, team building, empowering employees, and moving toward self-directed work teams. EMA recommends that the utility develop a Plan of Action to, among other things, ensure that technology is being applied to best business practices. Also, EMA recommends that the utility consider implementing a Work Force Flexibility and Skill-based Compensation program. Finally, EMA recommends that the utility consider several options for combining groups within the utility to improve the supervisor/manager to worker ratio. The Plan should also include the integrated O&M work teams described earlier in this Section. This program should involve employees in a meaningful way. The Plan should be structured to provide full implementation of a redesigned organization within a five year window. The Plan should include the following goals: • Form cross functional work teams and workers. • Implement a skill-based compensation program. Results Synopsis EMA, INC. 4-9 • Complete the move to a proactive, energized management approach with reduced hierarchy, in which employees are empowered and motivated. In doing so, the utility would realize a two FTE improvement. 2 FTEs x $68,428*/year = $136,856/year '$68,428 =burdened salary for staff in this strategy. 7. Customers as Advocates Productivity Opportunities An opportunity to improve customer advocacy exists in nearly every utility organization. While this strategy does not typically result in performance improvements, it is an important strategy to ensure organization stability during changing times. Managing your customer relations and resources, empowering staff and educating them for optimum customer service, and learning to anticipate customer needs is essential in today's world of higher customer expectations. EMA did not calculate any productivity improvement associated with customer advocacy but does recommend that the utility develop a Customer Advocacy Program and Plan going into the future. 0 FTEs x $68,428/year = $0/year. 8. Assets as Investments Productivity Opportunities EMA observed that the utility will be taking on the O&M responsibility of new facilities soon. To cover these new responsibilities, EMA recommends that the seven FTEs freed up from previous strategies be reassigned to the O&M Department in support of these upcoming changes. Maintenance needs will increase with the acceptance and startup of the new facilities and existing aging facilities will continue to need more attention. The new highly automated facilities will require additional instrumentation and electrical maintenance support and all facilities will need additional mechanical maintenance support. Asset management often includes extensive discussions around life-cycle costing, reliability, asset performance, maintenance decision-making and the like. However, EMA has observed that asset management is not a critical issue at this time for the utility so this discussion will be avoided. Suffice it to say that Metro has an assortment of assets of varying age and condition and that the implementation of the new CMMS will be critical to your ability in the future to provide proper O&M support for your assets. Results Synopsis EMA, INC. 4-10 Reassigning the freed up resources from earlier strategies to O&M of the new facilities has the net effect of negating previous improvement opportunities. Summary Looking back on the calculations for these eight strategies, the total opportunity for O&M performance improvement amounts to $540,996 or 4.9% which is the 4th lowest among over 420 reviews EMA has conducted over the past 10+ years. NON-O&M SUPPORT LOST PRODUCTIVITY CALCULATIONS SHOW THAT PRODUCTIVITY COULD ALSO BE INCREASED IN THESE AREAS • EMA used a complex 14-point model for evaluating the non-O&M groups (previously described in Sections 1 and 3 of this report). The model was used to rate the Non-O&M groups on a scale of 1 to 5 (1 being excellent and 5 being poor) in the 14 Non-O&M strategies. Metro received an overall raw score of 46 in that exercise (out of a possible scoring range of 14 to 70). That raw score of 46 translated into a lost productivity of 50%. The goal in supporting functions is to have a lost productivity level of no more than 25%. Thus, Metro's gap in the Non- O&M areas was 25% (50% - 25% = 25%). Applying that 25% opportunity to the 33 FTEs planned for Metro in 2009 resulted in an 8 FTE improvement opportunity. Specifically, those improvements would come from: • 4 FTEs in Engineering • 1 FTE in Office Services • 1 FTE in Environmental Services • 2 FTEs in Information Service HIGH LEVERAGE RECOMMENDATIONS FOCUS ON ORGANIZATION, PRACTICE, AND TECHNOLOGY OPPORTUNITIES The following high-leverage actions are recommended to enable Metro to perform at "World Class" service provider levels: Organization Recommendations • Make organization structure changes to combine O&M (including moving l&C technicians into O&M). Results Synopsis EMA,INC. 4-11 • Make organization structure changes to combine HR, and Office Services into a single Administrative Services group. • Redefine the Controller position before refilling it after the upcoming retirement and adjust the salary to match cities salaries. • Reassign staff freed up when "best practices" strategies are employed to cover new maintenance needs as future facilities are brought online and existing facilities age. • Conduct formal outsourcing reviews of support services on a regular (annual) basis — no specific outsourcing is recommended at this time. • Redefine the AGM position to an Assistant to the GM position. Practice Recommendations • Implement "best practices" from this review to free up resources for maintenance of new and aging facilities. • Move the GIS position to IS so that integration of GIS and CMMS is ensured. • Design and implement a Workforce Flexibility/Skill-Based Compensation Program for all O&M staff. • Physically move managers closer to staff where possible. • If possible, relocate staff so that O&M and Environmental Services staff work together more closely. • Reduce lab analyses to the required testing levels and consider creating a "regional lab" service offering. • Redefine the Planner/Estimator role to Planner/Scheduler with more emphasis on planning and scheduling Preventive Maintenance (PM), Predictive Maintenance (PdM), and advanced asset management activities. Technology Recommendations • Implement MAXIMO as quickly as possible to support better maintenance planning and asset management. • Integrate MAXIMO and plant SCADA control systems for better information access. Results Synopsis EMA, INC. 4-12 • Connect all lab instruments to the Laboratory Information Management System (LIMS) to reduce data entry time. • Implement a software system to collect data and make it available to management and staff for reporting and decision-making. • Implement a software system to optimize electric consumption without reducing water quality. • Implement a software system to optimize operations of the complex water system Metro will be managing once the new facilities come online. • Completely implement and then integrate the many systems currently in place. • Hire an additional Systems Administrator and 2 additional IT Analysts to support the many information systems integration opportunities that exist. CONCLUSIONS Through the implementation of "best practices" per this review, there is an opportunity to improve performance by the equivalent of seven FTEs in Operations and Maintenance. However, the staff made available from implementation of best practices should be reassigned to maintenance of new and aging facilities. Thus, EMA concurs with the planned O&M staffing level of 38 FTEs in 2009. The temporary nature of much of the current Engineering work should enable a four FTE reduction in staff from the 2009 goal within the next two to three years. Environmental Services and Office Services organizational changes and technology solutions should enable a one FTE reduction in staff from the 2009 goals in both of those groups. And improved technology implementations and organizational changes should enable a two FTE reduction in Information Systems staff from the 2009 goal (although we are recommending that certain positions be transferred to O&M and that 3 new staff be hired in IS). This totals an eight FTE reduction from the 2009 goals of the Staffing Plan for support services. Results Synopsis EMA, INC. 4-13 5 COST SAVINGS/COST AVOIDANCE SUMMARY In summary, a privatizer would operate Metro's O&M Department 4.9% more efficiently and, therefore, potentially save approximately $540,996 annually by applying the new O&M strategies described in the previous sections of this report. Table 5-1 summarizes the increased efficiency and savings a privatizer could realize by applying the new O&M strategies. Paradigm Potential Savings/Year Total Productive Operations $ 68,428 (1 FTE) Planned Maintenance $ 68,428 (1 FTE) Unattended Operations $ 0 Work Force Flexibility $ 205,284 (3 FTE) Technology as Strategy $ 62,000 Organization as Strategy $ 136,856 (2 FTE) Customer as Advocate $ 0 Assets as Investments $ 0 Total Savings $ 540,996 Table 5-1: Annual Savings These potential savings represent about 4.9% of the current Metro O&M budget. The $541K may also be viewed as a "competitive gap", calculated: Gap = $541 K = 4.9% $10,959K The competitive gap is the difference between the approach a privatizer would use to run Metro's O&M as compared to the approach currently used by Metro, (i.e. the privatizer would apply the new strategies to achieve the $541K savings). However, Metro has an opportunity to reassign the resources freed up from applying these strategies to address future maintenance needs of the new facilities and aging existing facilities. EMA recommends that these staff be reassigned for those purposes and EMA concurs with the Staffing Plan which calls for 38 FTEs by 2009. This is an extremely low gap — something of which Metro and its customers should be proud. With such a low gap, private operators would not see an opportunity to make gains that would offset the risks of assuming the O&M functions of the utility. Regarding the Non-O&M support functions (Administration, Engineering, Office Services, Environmental Services, and Information Services), an opportunity does exist to improve performance and reduce lost productivity equivalent to reducing the planned hiring by eight FTEs by 2009 per the charts below: :., .` S - •. : .. .. ,• IINCIM •i lliiMi ••• • 1. Serial WP 3 2. Cross-Functional Teams 3 3. Duplication 3 4. Technology 4 5. Top - Down 4 6. Silos 4 7. Cross-Training 4 8. Inflexible Standards 3 9. Outdated P&P 3 10. Cultured Impediments 2 11. Quality 4 12. Management of Load 3 13. Outsourcing 2 14. Customer Feedback 4 TOTAL 46 The chart above shows the raw scores assigned to the 14 Non-O&M strategies for Metro's support services. I Cost Savings/Cost Avoidance Summary EMA, INC. 5-2 s • 56 - 70 57 -. Pr actice 46 30 Assessment 55 ,- Score 14 - 29 77' $ 66 2 0°r% 33 66 100% Lost Productivity The chart above shows the conversion of that raw score into a lost productivity calculation. Applying a 25% lost productivity to the 33 FTEs planned for 2009 nets an 8 FTE opportunity. An independent analysis by the EMA team confirmed this opportunity. As a result, the overall staffing plan for 2009 could be reduced from 77 to 69 FTEs with all reductions in the plan coming from these Non-O&M support areas of Metro. Cost Savings/Cost Avoidance Summary EMA, INC. 5-3 6 IMPLEMENTATION RECOMMENDATIONS The following high-leverage actions are recommended to enable Metro to perform at "World Class" service provider levels as described in Section 4: ORGANIZATION RECOMMENDATIONS • Make organization structure changes to combine O&M (including moving l&C technicians into O&M). • Make organization structure changes to combine HR, and Office Services into a single Administrative Services group. • Redefine the Controller position before refilling it after the upcoming retirement and adjust the salary to match cities salaries. • Reassign staff freed up when "best practices" strategies are employed to cover new maintenance needs as future facilities are brought online and existing facilities age. • Conduct formal outsourcing reviews of support services on a regular (annual) basis— no specific outsourcing is recommended at this time. • Redefine the AGM position to an Assistant to the GM position. PRACTICE RECOMMENDATIONS • Implement "best practices" from this review to free up resources for maintenance of new and aging facilities. • Move the GIS position to IS so that integration of GIS and CMMS is ensured. • Design and implement a Workforce Flexibility/Skill-Based Compensation Program for all O&M staff. • Physically move managers closer to staff where possible. • If possible, relocate staff so that O&M and Environmental Services staff work together more closely. • Reduce lab analyses to the required testing levels and consider creating a "regional lab" service offering. • Redefine the Planner/Estimator role to Planner/Scheduler with more emphasis on planning and scheduling Preventive Maintenance (PM), Predictive Maintenance (PdM), and advanced asset management activities. TECHNOLOGY RECOMMENDATIONS • Imp►ement MAX►MO as quickly as possible to support better maintenance planning and asset management. • Integrate MAXIMO and plant SCADA control systems for better information access. • Connect all lab instruments to the Laboratory Information Management System (LIMS) to reduce data entry time. • Implement a software system to collect data and make it available to management and staff for reporting and decision-making. • Implement a software system to optimize electric consumption without reducing water quality. • Implement a software system to optimize operations of the complex water system Metro will be managing once the new facilities come online. • Completely implement and then integrate the many systems currently in place. • Hire an additional Systems Administrator and two additional IT Analysts to support the many information systems integration opportunities that exist. CONCLUSIONS Through the implementation of "best practices" per this review, there is an opportunity to improve performance by the equivalent of seven FTEs in Operations and Maintenance. However, the staff made available from implementation of best practices should be reassigned to maintenance of new and aging facilities. Thus, EMA concurs with the planned O&M staffing level of 38 FTEs in 2009. The temporary nature of much of the current Engineering work should enable a four FTE reduction in staff from the 2009 goal within the next two to three years. Environmental Services and Office Services organizational changes and technology solutions should enable a one FTE reduction in staff from the 2009 goals in both of those groups. And improved technology implementations and organizational changes should enable a two FTE reduction in Information Systems staff from the 2009 goal (although we are recommending that certain positions be transferred to O&M and that 3 new people be hired into IS). This totals an eight FTE reduction from the 2009 goals of the Staffing Plan for support services. Implementation Recommendations EMA,INC. 6-2 A REVIEW PRESENTATION is • We Triangulate to Get to the Heart of the Matter... Metro Organizational, . Staffing, and Board /perational Review 111111.1.111 Gties Management 8 Stag E M A O&M PERFORMANCE GAP: The Process We Followed $540,996 $541 K/$1 0,959K =0.049 or 4.9% • Step One: Introduction Workshop • Step Two: Desk Audit 4.9% • Step Three: Conduct Interviews 4th Best • Step Four: Determine Opportunities and Gap out of 420!! • Step Five: Develop Recommendations Agenda • Efficient Strategies • Facts and Observations • Opportunity Calculations Management & Staff • Efficiency"Gap" Perspective... • Look Into the Future • Recommendations • Questions and Discussion i w • Strengths, Weaknesses, Opportunities Strengths and Threats(SWOT)Analysis 1 Long history of excellence 2 Water quantity,capacity 3, Interface with customers 4 Internal staff Weaknesses Opportunities 1. Relationship with customers 1. Better communication with customers, 2. Going through cultural change more empathy 3. Planned maintenance, record keeping 2. Integrating new facilities 4. Complexity of new water system 3. Working through cultural change 4. Building a team-based environment Threats Efficient O&M Strategies • Efficiency is a fundamental issue 1. Being efficient in the eyes of customers • O&M strategies to make you efficient 2. Drawing attention to ourselves -Total Productive Operations(TPO) needlessly -Planned Maintenance(PM) 3. Insufficient revenue -Off Shift Staffing 4. The changing workforce -Work Force Flexibility(WFF)&Interdependence 5. Being an attractive place to work while -Customer Service keeping costs down -Asset Management • How to make these strategies permanent —Technology as a Strategy —Organization as a Strategy i, _ • Efficient Non-O&M Strategies Efficient Non-O&M Strategies (cont'd) • Serial Work Practices • Use of Cross Functional Teams • Old, Outdated Policy& Procedures • Duplication of Effort • Cultural Impediments • Use of Technology • Quality of Work Products • Strong Top Down Culture • Management of Load, Service Level • Specialty Silos Prevalent Agreements • Formal Cross-Training • Outsource Strategy • Inflexible Technical Standards Imposed • Routine Customer Feedback Acquired Facts and Observations • 60.5 Budgeted FTEs —27.5 O&M(45%of staff in core functions) General Facts & 5 staInfff) ion Systems(includes SCADA staff Observations —10 Environmental Services 5 Office Services —9 Engineering —4 Administration (55%of staff in support functions—this is not a high%for a stand-alone authority) Facts and Observations Facts and Observations • Fleet Maintenance& Repair: $26,200 • Supervisor:Worker Ratio ($1,191Nehicle—below avg) 1:7.6(Industry Standard: 1:10, 1:15) • Organization is 5 deep, 5 wide(indicates that the organization is not top-heavy) • Total Operating Budget:$10,959,154 • Significant technology in place but not • Labor Cost:$3,924,510 completed and not integrated(24 systems) • Labor%of Budget: 36% (below avg.) • $750K in contracted services(indicates • Overtime:$59.5K(2.0%,well below avg) there is a sound outsourcing strategy in place) • Average Burdened Salary: $68,428 • • Facts and Observations • Chemical Costs: $816K • Utility Costs: $571 K • Repair& Maintenance: $576K Observations by O&M • Debt Reduction: $10,117,300 • Related Expenses: $420K Strategy Typical Operations Day Shift/Off Shift Operations vs Maintenance—> Total Duties Show 70%Lost Productivity Productive Operations Observations (Metro's is better...) 1 Operators make rounds, • Monitor.observe,inspect. Data entry. Record data from Pe complete log entries, p 70% process measurements and charts(logs). conduct lab analysis,and help maintenance if • Manualprocess and necessary equipment adjustments,chemical 2 Operators are not normal involved in maintenance adjustment and handling,collection and distribution or CLAIR(Cleaning, ry adjustments. Inspections,and or Repai s)'Adjustments, Special projects.R&D or new construction projects. 3 Most maintenance staff are certified operators but do not want to work shifts 30% Operations vs Maintenance—> Total Maintenance Productivity is Enhanced Productive Operations Calculation 40% by Planning • Approximately 50%of operations time on High day shift is spent outside of identified -1 A of productive activities ° 0,, 40%Productivity • As a result, productivity could be Gain improved by 1 FTE •)o • This would require additional automation to eliminate/reduce rounds and training Low • TOTAL Opportunity: 1.0 FTEs 2. 4" so, • If you plan now,your lost productivity is l If you plan now,your lost productivity is I Reactive Maintenance—► Planned • Reactive Maintenance Planned Maintenance Observations Maintenance Calculation There are weekly,monthly,quarterly,and annual backlogs • A 50/50 relationship between Planned and . The PM:RM ratio is approximately 50150 Reactive Maintenance indicates a 10% Operations and Maintenance staff meet weekly to prioritize productivity improvement by moving to 75/25 work PM/RM ratio Older equipment fails often forcing Operations to submit high- • 14 FTEs in Maintenance x 10%improvement pnority work orders frequently to Maintenance opportunity=1.4 FTEs Some PMs are not getting done(for example:instrumentation PMs are falling behind adding to unplanned maintenance and • This would require full deployment of the contributing to water quality issues,also reservoir landscaping MAXIMO Computerized Maintenance is falling behind) Management System(CMMS) • TOTAL Opportunity: 1.0 FTEs (rounded) France Makes Great Use Of Attend—► Unattend Observations Unattended Facilities To Reduce Operating Labor 1 The Little Cottonwood Water Treatment Plant is staffed 24/7 100/ 2 One operator is on duty at night,2 operators 90/ are on duty during the day ao/ Off-shift failures are infrequent since incoming 70 j power has been upgraded Labor as a%or �/ 40 4 With such a small amount of finished water osM / storage,there is little time to react to failures Costs o/ zo now zo B The plant is significantly automated but not ,on fully automated(thus,rounds are required) e US France Attend Unattend Calculations Work Force Flexibility Increases Productivity Up To 20% Off-shift staffing: Operations: 1 operator/shift ct�n Plant requires: full automation Sweepnp sin Even with full automation, operating this plant InapectIonN Gradr^g unattended is NOT recommended - inor TOTAL Opportunity: 0.0 FTEs Concrete ZCIeleing Pepau Inspection easy Cleaning Equipment l e Workforce Flexibility Observations. Workforce Flexibility Calculations 1 Maintenance staff would resist this • Following employment of the previous concept to avoid shift work strategies, 13 Maintenance and 6 Operations There is very little cross-training today— staff would remain for a total of 19 FTEs in O&M a program has been conceived but not A 16%improvement opportunity exists by implemented implementing WFF with this group 3. The organization is not currently set up :..it1 r ,:i:a,i ilr .--1 +r-iin,-, ;n optimally for WFF—some Maintenance e,•=_,1� , y staff are in other groups outside of O&M • TOTAL Opportunity:3.0 FTEs(19 x 16) Technology As Strategy Technology Observations 1. Systems include SCADA,Security,Work Omeratio's Management(PMC),and Internet/Intranet 2. There are many"Islands of Information" 3. The plant is"mostly"automated 4 Current work management system is PMC but 6.o MAXIMO has been purchased to replace PMC c i fias in the near future `cam 5 Not all lab instruments are connected to the `' ,; Ms LIMS Technology Calculations Organization As Strategy .,1 . ..r -m, .. A fully implemented LIMS could improve productivity by 1 FTE Facilitate teams Utility costs: $571K(no Op's Optimized) W I t h Chemical costs: $816.5K($100K not auto) team leaders $100,000 X 0.05= S05.0K , r Ilp;414, $571,000 X 0.10= S57.OK 7 � VIei w8 4K 1 FTE_(_L_ab') " ' $130.OK I Val?S V II? Would require Operations Oc;m,zation of I v o- power consumption and fu aLlomatio :i'he ifgti•> l, plant 1__ ✓ ,: `Lab FTE included in Non-O&M calculations 9 9 1 S _ Organization Observations Organization Calculations 1. Leadership style has improved under Current Manager to Worker ratio is 176(based on 753.5) John and now Mike Future target should be 1 10 to 1.15 By moving Irons 7:53.5 to 5.55.5 the ratio would improve from 1.7.6 now and 2. Little fear of reprisal become 1 11 1 3. Many silos and divisions within O&M 4. Good communication 5. Teams are formed to solve problems then disbanded -E _r?E__f 7E c.vnun m, From Customer as a Nuisance Customer Approach Observations and to an Advocate Calculation 1. O&M staff are not aware of a system that c . Managing How Well We Do It provides them with a customer satisfaction rating E° f . Resource Management 2. Customer advocacyprogram is not :,. I . Empowering Staff formalized p g • Everybody Knows • Customer satisfaction 3. Most customer contact for O&M staff is A . Anticipation complaint-based but that is not the case Every customer contact is an opportunity for management staff who have frequent to collect data on customer confidence. By collecting the data,we tum customers "proactive"contact with Cities into advocates and customer satisfaction ""proves. Opportunity=0.0 FTEs From Assets as a Cost to Assets as Asset Management Observations Investments 1 Staff are not aware of any AM program at this time • Manage the Investment in Assets/ 2 Asset O&M costs are not tracked Infrastructure ' ' .=' • Collect work and cost history 3 Projects often interfere with PM performance life- c ,, against assets •`1"' = • Maximize asset performance, 4 "Run-to-fail'is the standard operating mode reliability and availability for many assets • Minimize cost of asset preservation 5. PMC(the current CMMS)doesn't support AM • Replace asset based on sound well economic evaluations • Involve all parties in creating new €. Pipelines may be getting neglected assets l yikpoimiummummomusisumemmu Asset Management Calculations GAP • Take the 7 FTEs freed up from previous 7 FTEs $541 K/$10,959K strategies and use to cover the increased x$ 68,428/FTE maintenance needs resulting from the =0.049 or 4.9% construction of the new plant and aging assets $478,996 Labor at existing facilities +$ 62,000 Chem/Pwr • Add 2 I&C technicians 1 electricians.and 4 mech;nlcs for the new plant and to support =$540,996 TOTAL o aging assets at existing facilities and new 4.9/o Ozone system at LCWTf' 4th Best • TOTAL Opportunity:use the 7.0 FTEs freed out of 420!! up from other strategies ripmensummemimmimiewr 1.Serial WP 3 2.Cross-Functional Teams 3 3.Duplication 3 4.Technology 4 5.Top-Down 4 Non-O&M Strategies 6.Silos 4 7.Cross-Training 4 8.Inflexible Standards 3 9.Outdated P&P 3 10.Cultured Impediments 2 11.Quality 4 12.Management of Load 3 13.Outsourcing 2 14.Customer Feedback 4 TOTAL 46 wffreglfridffef Non-O&M Results • 50%lost productivity—25 goal=25%gap X 33 staff=8.25 FTEs • Our further analysis of the detailed groups indicates a 8 FTE opportunity • This would involve reducing 2009 goals by:4 in Engineenng,1 in Office Services, 1 in Environmental Services,and 2 in Information Services—more on this later in the presentation... 25 50 Opportunity:8 FTEs s � Staffing Issues I Competent staff doing a great job 2 Controller position role Board Perspective... 3 Need for Workforce Flexibility 4. Staffing Plan raised questions 5. Slow the growth rate of staffing 6. Slow growth rate in support functions Financial Issues Political Issues 1. Want to be seen as an acoountabie 1. Previous management didn't accept input organization from cities 2. Can revenue be generated by selling 2. Board is somewhat divided over the water to other entities? staffing plan issue 3. Metro wants to be sensitive to cities$ issues and concerns Staffing Issues 1. Competent staff doing a great job 2. Controller position salary issues Cities Perspective... 3. Need for Workforce Flexibility . Staff.ng Plan caused concerns 5. Slow the growth rate of staffing 6. Reduce size of Engineering and Lab 7. Investigate outsourcing some functions 8. Slow growth rate in support functions • Financial Issues Political Issues 1 Don't ,,vant tax or rate Increases eves as be t 2 A.r.jre,:iti to one thing rows hearing nether ? tnJe Metro Arr. () rtahility of Metio (S and sty t r `j) 2 I �7irgemeri Mr.! puf 4. 1 ,eases for Metro mean decreases for ._;Itie ,e:j over staff q c'Ia , :r 5. Can revenue be generated by selling V Metro needs to be more sensitive to water to other entities? 6 Metro salaries shouldn't be higher than cities$issues and concerns cities • • Optimization begins with O-P-T '-ecommendations VIL Practices A. 446 EMA Recommendations: Organization EMA Recommendations:Practices • Implement"Best Practices"from this assessment to free up resources for maintenance of new facilities • Make organization structure changes to better combine O&M • Move GIS position to IS so that integration of GIS and CMMS are (including moving I&C technicians into O&M) ensured • Make organization structure changes to combine HR and Office • Design and Implement a Workforce Flexibility/Skill-based Services into a single Administrative Support group Compensation Program for all O&M staff(already started • Redefine Controller position before filling after upcoming internally) retirement and adjust salary to match cities EMA recommends sianmg the anon now • Physically move Managers closer to staff where possible • Assign O&M staff freed up when Best Practices strategies are • If possible,relocate staff so that O&M and Environmental employed to new maintenance needs Services staff work together more closely • Conduct formal outsourcing reviews of support services on a • Reduce lab analyses to required testing only and consider regular(annual)basis—no specific outsourcing is recommended creating a"regional lab"service offering at this time • Redefine Planner/Estimator role to Planner/Scheduler with more • Redefine the AGM position to an Assistant to the GM position emphasis on planning and scheduling PM,PdM,and Asset Management activities EMA Recommendations: Technology • s • Implement MAXIMO as quicklyas P possible to support better maintenance and Asset Management • Integrate MAXIMO and SCADA for better information access Conclusions • Connect all lab instruments to LIMS to reduce data entry time • Implement a software system to collect data and make available to management and staff for reporting and decision-making • Implement a software system to optimize electnc consumption without reducing water quality • Completely implement and then integrate the many systems currently in place • Hire an additional Systems Administrator and 2 additional IT Analysts to support the many information systems integration opportunities that exist riploommiummimemmEnep tifo Conclusions: • • • Through the implementation of best practices per this assessment,there a an opportunity to improve O&M performance by the equivalent of 7 FTEs • The staff made available from the impiementatlon of O&M best practices should be reassigned to maintenance on new facilitiesm n Qu esti o nS? facilities(plus transfer 1 liaison www.ea-inc co � and 3 O&M staff(2 control system technicians and 1 electrician)from IS) `� concurs with the Dian feE 3E OhM FTEs non reca-nme ds'Mr.")be_ those staff no., • The temporary nature of much of the current Engineering work should enable t. a 4 FTE reoucuon in staff from the 2009 goal within the next 2—3 years(me For more information. CA those would be a transfer of the GIS position to IS.requiring a reduction of contact blurkovac@e ema-inc.coal 3) or www.ema-inc.com • Environmental Services and Office Services organizational changes and technology solutions should enable a 1 'E reonceon E_,afi frog;l cGd 5 m both crouJ' • Improved technology implementations and organizational changes should enable a 2 F TE rehuotra,in IS staff from the 2009 goal(allowing for 1 liaison A +1r and the GIS transfer in plus 3 new hires(Systems Administrator istrator and 2 -E M Analysts)after 3 transfer out to O&M) `+ • TOo totjis or E FTE re u I o,frore Inc C Doaif of Pee SA.Ettni Gi or , 1, „.,„. B SALARY SURVEY RESULTS Metro Metro Title Metro Mid-Range All Utilities Salt Lake Grade (Black: in range Surveyed Mid- and/or Sandy or NA) Range Mid-Range (Red: under SL&S) (Green: over SL&S) 10 O&M 1 $26K $28K $29K Receptionist $26K $25K $28K Security Guard $26K NA NA 11 Records Clerk $32K NA NA O&M 2 Journeyman Mechanic (Other Utilities or SL&S) $37K $40K Avg of O&M 2 & O&M 3 $34K (Metro) 4,;_. 12 O&M 3 $37K NA NA Procurement Analyst Aqueduct Inspector 13 O&M 4 $42K NA NA Control Sys Tech 1 $42K $41K NA Lab Technician $42K $29K NA 14 Planner/Estimator $46K $52K $51K GIS Technician $46K $39K $36K Engineering Technician $46K $40K $36K Control Sys Tech 2 NA NA NA 15 IT Analyst 1 $51K NA NA Process Control Analyst $51K NA NA 16 Journeyman Electrician $56K $67K NA Systems Administrator $56K NA NA Chemist $56K $47K $44K Biologist S56K $47K $44K Project Manager 3 $56K NA NA ' Maintenance Supervisor $56K NA NA Operations Supervisor $56K NA NA w l r"" Metro ' Metro Title ' Metro Mid-Range ' All Utilities Salt Lake Grade (Black: in range Surveyed Mid- and/or Sandy or NA) Range Mid-Range (Red: under SL&S) (Green: over SL&S) Office Manager $56K $41K $46K Program Manager 3 $56K NA NA 17 Project Manager 2 $61 K NA NA Human Res's/PR/AP $61K $80K $74K Program Manager 2 $61K NA NA 18 Project Manager 1 $67K NA NA Program Manager 1 $67K NA NA 19 Sr Engineer/Contracts Mgr $72K NA NA Sr Project Manager $72K NA NA Sr Program Manager $72K NA NA Asst O&M Manager $72K NA NA 20 Env Services Manager $78K $64K NA Engineering Manager $78K $76K NA IS Manager S78K $58K $64K O&M Manager $78K $64K $75K 22 Controller $89K $77K NA 23 Asst General Manager $96K $92K NA 25 General Manager $110K $96K $109K The salary survey results above warrant a few specific comments: 1. Position descriptions typically did not match between organizations. EMA attempted to align positions and salaries based on this unmatched information. 2. Entry-level position salaries tend to be below the competition. This will make recruiting and retaining difficult as the workforce shrinks in coming years resulting from "Baby Boomer" retirements. Salary Survey Results EMA, INC. B-2 3. Mid-level position salaries tend to be comparable or slightly above the competition. 4. Higher-level position salaries tend to be comparable or slightly above the competition in most cases. There are a number of positions at these levels that do not have comparable positions in other organizations surveyed (particularly project and program management positions and some supervisory and management positions). 5. EMA recommends that Metro consider increasing entry-level salaries to better compete in the coming shrinking labor market. Other changes (upward or downward) should be accomplished whenever Metro staff currently filling those positions depart or change positions so that job requirements can be redefined to match appropriate salaries. 6. An independent comparison of local entity salaries indicates that the Metro salary range for Controller is higher than the two member cities. Salary Survey Results EMA,INC. B-3 etro Organizational, tafng, and p era tional Review FINAL h We Triangulate to Get to the Heart of the Matter... Board Cities Management Staff 41110 II uestlons . For more information, ,r! contact bjurkovacpema-inc.com or www.ema-inc.com 440 ,* E M A. 414 Mwd •w 10 Board Appointment — Utah Air Travel Commission — Donald Dunn INTRODUCTION: Mayor Anderson is recommending Donald Dunn, resident of District 6; to be appointed to the Utah Air Travel Commission Mr. Dunn will replace Afton Bradshaw, who has resigned. If appointed Mr. Dunn will serve a term through September 1, 2008. APPLICANT INFORMATION: Mr. Dunn is President and CEO of Vigilant Worldwide Communications. Mr. Dunn believes that Tourism and Economic Development are critical to the City's success and he believes the issues relating to Air Travel are interesting. Mr. Dunn has been involved with the Aviation Sector during his employment with the U.S. Trade and Development Agency, also having an interest in International Business. RESPONSE DEADLINE: If you have any objection to this appointment, please let Vicki know by 5:00 p.m. on Friday, February 3, 2006. CURRENT COMPOSITION OF BOARD: There are eighteen commission members, each serving a three-year term, who are selected on the basis of demonstrated knowledge, experience and judgment with respect to air route and air transportation matters. Six members are appointed by the Governor, six members are appointed by the Salt Lake Area Chamber of Commerce and six are appointed by Salt Lake City. There is no City residency requirement for members who are appointed by the City. Representatives for Salt Lake City are Janice Carpenter, District 3; Andrew Gallegos, District 6; Meghan Holbrook, District 3; Mark Miller, District 7; Cecilia Romero, District 5; and Joseph B. Wirthlin, County. BOARD STRUCTURE: The Utah Air Travel Commission has been in existence since 1969. It is a non-statutory board devoted to the advancement of local, regional, transcontinental and intercontinental commercial air route services available to Utah. The Commission has the authority to investigate, collect data and analyze all matters which relate to commercial air service in Utah; file pleadings and make appearances before the U.S. Department of Transportation, Federal Aviation Administration and Interstate Commerce Commission regarding the commercial air service needs of Utah; and initiate and pursue or defend all court proceedings with respect to commercial air service which affect the interests of Utah. APPLICATION Salt Lake City Boards & Commissions OFFICE OF THE MAYOR 451 S.STATE STREET,ROOM 306 SALT LAKE CITY,UT 84111 NOTE, PLEASE ATTACH A RESUME Name: Donald K.Dunn Home 1,950 S. 1600 E. Address: Street SLC 84105 6 City Zip Council District Phone: 801-467-6133 801-495-3765 801-750-3866 ddunn@vigilantcommunications.com Home Work Cellular# E-Mail Address Occupation: President and COO of Vigilant Worldwide Communications nmittee(s), Board(s), Commission(s) or Authority in which you are interested: im Choice- Utah Air Travel Council 2nd Choice- Civil Service Commission 3rd Choice- Community Development Advisory Comm Reason for your interest in this particular committee/board/commission or authority: Tourism,and Economic Development are critical to Salt Lake City's success. I believe the issues relating to Air Travel are interesting. I was involved with the Aviation Sector when I worked with the U.S. Trade and Development 4�ency. I also have an interest in International Business. Are you currently serving on any other City committees? If so,which cozmxmittee(s)/board(s)/commnuission(s)/authority? No Have you had previous contact with the committee!board/commission/author.i.ty for which you are making application? No If so, when,and the circumstances? (OVER) • Community Service/Activities (past and present): Chair of the Utah Democratic Party,Candidate for US Congress in 1`t and 31'd Congressional Districts, board member of Temple Har Shalom (Park City.) Member of Park City Leadership Class 10. Professional Activities: Involvement with policy making and implementation of policy.at the local,state,and national level; Involvement with International Politics and policy. Currently I am President and COO of an International Public Affairs and Lobbying Firm. Civic/Professional Organization Memberships: Temple Ha,_Shalom,Board Member Ethnic Group (to assure fair and equal representation —answer optional): Other Pertinent Information: Please list three references and phone numbers: 1) Senator Gene Davis 573-6627 2) Ted Wilson 913-2637 3) till Remington Love DATE: SIGNAT E olio() DONALD DUNN 1950 S. 1600 E. Salt Lake City,Utah 84105 801-467-6133 donaldkdunn(a,bigplanet.com PROFESSIONAL EXPERIENCE UTAH STATE DEMOCRATIC PARTY—Utah 08/03-present Chairman UNITED STATES CONGRESSIONAL CANDIDATE—Utah 1/02-6/02 Democratic Candidate for Utah's 114 Congressional District HINCKLEY INSTITUTE OF POLITICS,UNIVERSITY OF UTAH—Utah 4/01-5/02 Director of Development Organized year-long development campaign.Designed and instituted annual giving program for Institute.Aggressively sought new sources of funding for the institute's local,Washington D.C.and international internship programs.Developed and initiated Senator Pete Suazo Leadership Foundation for minority students. Cultivated relationships with key community leaders,organizations and major donors. Guest Instructor-Political Science Department 01/02-5/02 Developed curriculum and taught Interest Group Politics and Lobbying class to undergraduate students. UNITED STATES CONGRESSIONAL CANDIDATE—Utah 6/99-11/00 Democratic Nominee for Utah's 3`d Congressional District U.S.TRADE AND DEVELOPMENT AGENCY—Washington,D.C. 3/97-6/99 Director of Public Affairs and Marketing Chief spokesman for agency. Managed agency's communication strategy. Directed contractor staff of 13 companies who managed large global trade events for TDA. Managed budgets ranging from $200,000-$500,000 for major trade conferences. Marketed U.S. exporting opportunities associated with TDA projects and agency's programs to U.S.business community. Traveled to all regions of the world. THE 53RD PRESIDENTIAL INAUGURAL COMMITTEE—Washington,D.C. 12/96-2/97 Special Assistant to the Co-Executive Director Facilitated open channel of communications between the Office of the Executive Director, Marketing Department and various vendors. Supervised special projects as assigned by the Executive Director. CLINTON/GORE'96 RE-ELECTION COMMITTEE—Washington,D.C. 9/96- 11/96 Northeastern Regional Press Director Coordinated daily activities with 12 state press secretaries. Managed daily conference calls and press releases. Organized and developed rapid response plans and daily message events. Monitored press activities. Provided news analysis for the region. Served as liaison with White House Office of Media Affairs on Presidential travel. DEMOCRATIC NATIONAL CONVENTION COMMITTEE—Chicago,IL 6/96-8196 Director of Operations,Office of Public Liaison Directed staff of thirty. Developed operational plan for Department of Presidential VIPs. Managed budget of$200,000. Served as liaison to other convention departments. Organized and implemented community outreach plan and coordinated activities with City of Chicago. Created and supervised VIP data base. THE WHITE HOUSE—Washington,D.C. 1/94-6/96 Deputy to the Special Assistant to the President southern region —Office of Political Affairs Wrote political briefings,daily southern political reports,talking points for events and post-primary election analysis for the President Organized follow-up of presidential trips and drafted correspondence. Served as liaison between senior White House staff and Democratic Party leadership in the southern states. Strategically developed and coordinated national Presidential visits and events. Served as contact for Democrats Abroad committee and maintained close relationships with chair people in 16 countries. Special Assistant to the Political Director—Office of Political Affairs Oversaw daily operations of the Political Affairs Office. Served as contact for all White House Offices in initiating, mediating, and monitoring projects with the staff. Served as liaison between the DNC Chairman's Office, C/G Campaign and the White House. Managed intern/volunteer staff. OFFICE OF MAYOR PALMER DEPAULIS--Salt Lake City,UT 3/90-6/91 Mayor's Youth Volunteer Council Coordinator Created and implemented Mayor's Youth Volunteer Council comprised of all the city high schools. Directed daily activities of{ council and developed positive interaction between the Mayor's office and the schools. EDUCATION LONDON SCHOOL OF ECONOMICS;London,England 10/03 Masters of Science,European Politics and Policy UNIVERSITY OF UTAH; Salt Lake City,Utah 12/93 Bachelor of Science,Political Science Degree and teaching certificate REFERENCES President William J. Clinton Attn:Douglas Band Phone:212-348-8882 The Honorable Alexis Herman Former U.S. Secretary of Labor Phone:202-83 3-8800 The Honorable Joe Grandmaison Director,U.S.Export-Import Bank Former Director of U.S. TDA Phone: 202-565-3530 The Honorable Ted Wilson Former Director of the Hinckley Institute of Politics Former Mayor of Salt Lake City Phone:801-913-2637 BOARDS & COMMISSIONS CONFLICT OF INTEREST DISCLOSURE STATEMENT This statement is to be filed by all applicants for positions on regular or special committees, boards, authorities, and commissions of Salt Lake City. I, L 01.3 k.• , being first sworn, certify that I am applying to (Name) serve on the and that the following statements of my financial (List Board or Commission) interests are true and correct to the best of my knowledge. A. EMPLOYMENT Section 2.44.oso, Salt Lake City Code,requires that every person holding any position with Salt Lake City Corporation who is also an officer, director,or employee of any other(non-city) business entity disclose such position and the nature of such position or employment. A "business entity" means a sole proprietorship,partnership,association,joint venture,corporation, firm, trust, foundation, or other organization or entity used in carrying on a business. The following questions refer to your primary non-city job: i. Are you presently employed? Yes No If you answered"yes" to the above question,please list each of your employment interests: a. The name of the business entity: V 5; ( , ltyea u .2 Cows v44.4n1 r_ v«�, b. The address of the business entity: I O 9'S 5, S .•L S4,.c Pico Sc t w4-, 1Oo c. The principal activity engaged in by the business entity: R-I 4k- ,Q % d. Your job title in the business entity: `her-„,La. • C.bC> e. The length of time employed by the business entity: If you answered"no" to the above question, please state if you are retired, unemployed, etc: (Attach additional sheets if necessary) (Over) B. BUSINESS INTERESTS Section 2.44.o50,Salt Lake City Code,requires that all substantial interests you may have in any(non-city)business entity be disclosed. Please fill out only if separate from the above employment information,unless self-employed. i. Do you engage in a business in which you are the sole proprietor(owner)?_Yes ✓No z. Do you,your spouse or your children own stock in any corporation which,when considered in any combination, com rises ten percent (io(►)ownership of the outstanding shares of said corporation? ZYes o 3. Do you,your spouse,or your children have any interests in any limited partnerships or other business entity which,when considered in any combination,exceeds a ten percent(io %)interest in such business? Yes .7No 4. Do you own any interest in any business for which Salt Lake City issues a business license,i.e.,a restaurant, an apartment building with three or more units,tavern,etc.? Yes ✓ No 5. If you answered"yes„ to question 4, does the business entity have a Salt Lake City Business License? Yes No hlA. If you have answered"yes" to any of the above questions,please state for each business interest: a. Name of the business: OF,CIA.-�'M L .CG b. Address of the business: 11 a S. .C1- 4..t� cr.-A.-Le 1 `'I oD cSwh.. t4 'ft 94 c. The principal activity engaged in by the business: 1 " Et, 1844A►Aot. d. The nature of your interest in the business: Pe4e C,n„1 ALA✓t4' e. The length of time associated with the business: 6 f. If you answered"yes" to question 4 above,state whether the value of your interest is: Under$25,000 Over$25,000 (attach additional sheets if necessary) I certify that no conflicts of interest exist or that all conflicts have been disclosed in writing on this statement. L Dated this I day ofJ ti 1 ,Vil (Signature (ic•—•-'1.71-""---- pplicant or Board Member) of STATE OF UTAH ) :ss COUNTY OF SALT LAKE ) Subscribed and sworn to(or affirmed)before me by .bDh16,-.-vt on this (Applicant or Board Member) 0 t day of ,�cAoa+ , zo r vsw+ NOTARY PUBLIC IIn RODS.SIMPSON ( P c reside al ty, Utah 381 is io BROADWAY t SALT LAKE CITY,UT 84111 ' M01" y Commission Expires April 8,2009 1 In State of Utah (This is a rnnfrlirt of inroroet flied-incurs.etatomont only. Arlrlitinnal riicrinenroa nr roetrirtinne mall annlo if MEMORANDUM DATE: February 21,2006 TO: City Council Members FROM: Jennifer Bruno,Policy Analyst RE: Motions regarding TRAX extension to the Intermodal Hub On February 14,2006,the Administration and officials representing the Utah Transit Authority, presented policy background and current recommendations regarding the extension of the TRAX light rail system from the Delta Center station to the Intermodal Hub. Both the Administration and the UTA now agree that two stations should be constructed,one at 125 South 400 West,one at 525 West 200 South,and that if one station is built before the other,the 400 West station would be the first. UTA has indicated that they would build the"platform" of the 525 West station to decrease future construction expenditures on that station. They are proposing that operations at the 525 West station commence only when ridership and neighborhood density would warrant a station. UTA is proposing to negotiate the criteria for opening this second station with the Administration and including these criteria in the Interlocal Agreement between UTA and the City. The following are matters still to be negotiated,and would be included in the to-be- determined Interlocal Agreement: • second station"trigger" criteria • public way use agreements • exact funding • construction management After the interlocal agreement with UTA has been successfully negotiated,it would again be before the Council for final approval. UTA is seeking to have this done by the end of April,in order to assure that construction of the extension is completed in time for the arrival of commuter rail at the end of 2007. The Council indicated that the proposed interlocal agreement(s) and specific funding proposal would need to be received in the Council Office no later than March 30 for consideration in April. The Boyer Company,owner of The Gateway,has submitted a letter to the Council(received Thursday, February 16,2006),stating their official position that they would like to see a single station,on 200 South,and see a left turn lane from 400 West into the Summer Parking Garage. This letter is attached. The Administration has prepared a resolution for Council consideration that states the following: • The Council approves the construction of two additional light rail stations at 525 West 200 South and 125 South 400 West; • The Council authorizes the Administration to negotiate and draft an agreement with the UTA that is consistent with that concept. The Council may wish to further clarify this resolution in the following ways: 1 A. Specify which of the two stations the Council supports initial construction of,or if the Council supports the construction of two stations simultaneously; B. Specify a "not to exceed" amount for future construction needed at the second station(to ensure a minimal amount of construction is completed initially) C. Specify that the support of basic construction at the second station site is subject to review of the funding negotiations at a future date. The following are potential motions relating to the resolution before the Council authorizing the extension of the TRAX system to the Intermodal Hub: 1. ["I move that the Council"] Adopt a resolution authorizing the extension of the light rail system and the addition of two new stations at 525 West 200 South and 125 South 400 West,and authorizing the administration to negotiate and draft an agreement with the Utah Transit Authority that is consistent with this resolution. OR 2. ["I move that the Council"] Adopt a resolution authorizing the extension of the light rail system and the addition of one new station at 525 West 200 South,and authorizing the administration to negotiate and draft an agreement with the Utah Transit Authority that is consistent with this resolution. OR 3. ["I move that the Council"] Not adopt a resolution authorizing the extension of the light rail system and the addition of two new stations at 525 West 200 South and 125 South 400 West,. OR 4. ["I move that the Council"] Adopt a resolution authorizing the extension of the light rail system and the addition of two new stations at 525 West 200 South and 125 South 400 West,and authorizing the administration to negotiate and draft an agreement with the Utah Transit Authority that is consistent with this resolution,with the following points of clarification: a. The Council supports building the 125 South 400 West station during initial construction, and/or b. The Council supports building the 525 West 200 South station to the platform level,to ensure minimal unexpected construction increases when the station opens in the future. This support is contingent upon review of City/UTA funding negotiations. The Council urges the Administration to negotiate a"not to exceed"level of construction cost for this station, and/or c. The Council supports building the 525 West 200 South station to the very basic level(preparing the tracks and utilities but not constructing the platform). and/or d. The Council supports building both the 525 West 200 South station and the 125 South 400 West station during initial construction, 2 ail 14 February,2006 BoyerTHE BOYEH COMPANY To: Salt Lake City Council Members Re: TRAX between Delta Center and Intermodal Hub Dear Council Members: As you will be discussing the above topic Tuesday,February 21 in you Council Meeting, I wanted to reiterate The Gateway position as expressed on several previous occasions. It is still our feeling that The Gateway and the The Gateway District is better served by having one station only, located on 200 South which would allow a left hand turn into our Summer Parking Garage from northbound traffic on 400 West. City administration maintains that two stations are critical to maximizing the development potential for the area. We remain amazed at the greater interest they show in unknown, speculative future development vs. a$300 million already existing project. The administration argument for two stations as being necessary for the convenience of future development is shallow when the UTA study comparing the 1/3, 1/4, and the 1/2 mile walking distance for one vs. two stations shows almost no advantage of two stations. I will show this study to you Tuesday night. I am sure that no one from the administration has. When we met with city administration people,TRAX, and other consultants several months ago and reiterated our desires,the conclusion was that we should hire a consultant(approved by the city)to answer several questions relating to engineering feasibility etc. of our request. The implication,we thought,was that if these questions could be answered satisfactorily,positive consideration would be given to our request. We hired the consultant, a study was done that accomplished what was requested, and now it appears to us that our exercise was in vain because no one seems to want to listen to the study results,(copy of the study attached). It is also puzzling that UTA, who was at one time favoring the one station only approach, has now apparently caved into favoring the"two station scenario". In conclusion, I remind you of the fragility of retail shopping habits. The Gateway seems to "working"right now. It is in all of our best interests to be thoughtful about decisions that could adversely affect The Gateway's attractiveness to shoppers. Sincerely, H Roger Boyer ^ 4- u6. c :� oae fob Q ono o e.°Gno d nnnnn ono to"03 I I BUILDING COMMUNITIES P.B. 90 SOUTH 400 WEST,SUITE 200 • SALT LAKE CITY,UTAH 84101-1365 • T:801.521.4781 F:801.521.4793•www.boyercompany.com .�sx. is FEHR & PEERS TRANSPORTATION CONSULTANT MEMORANDUM To: Jake Boyer,Boyer Company From: Dave Goeres,Ryan Hales,David Thompson Date: November 18,2005 SUBJECT: TRAX EXTENSION TRAFFIC SUMMARY F&P#: 1882-4 Background Fehr and Peers served as the traffic consultant for the TRAX Extension Project. This project involved the evaluation and design of the TRAX extension from the existing Utah Transit Authority(UTA)TRAX terminus at the Delta Center(325 West South Temple)to the Intermodal Hub located at 300 South on 600 West. The TRAX extension route and a proposed station on 400 West were previously approved in two separate environmental documents. The 400 West portion was approved in the West/East Light Rail Project Final Environmental Impact Statement(FEIS),completed in`';1999.The FEIS also approved a single station at 50 South 400 West,northwest of the existing station at the Delta Center.The 200 South and 600 West portion so f the TRAX line were approved in the;Intermodal Hub Environmental Assessment(EA)completed in May 1998 The analysis completed by Fehr and Peers focused on four key areas of design of the proposed TRAX Extension: the track location; • station location(s); the configuration of light rail alignment at the Intermodal Hub(600 West); and the streetscape design to be used along the project corridor. The process and results of these analyses were provided to the design team and Salt Lake City in the Traffic Operations Report dated June 28, 2004 Stations Locations and Traffic As part of this study,Fehr and Peers completed the traffic analysis for different station location scenarios. Nearly every feasible location for a station along the corridor was reviewed during the station location analysis. Following a screening process,a more detailed analysis was conducted for four alternatives: No Stations along the alignment One station at 460 West/200 South; One station at 475 West/200 South; and A dual station alternative with stations at 125 South/400 West and 525 West/200 South. An additional scenario was proposed for evaluation during the study. This alternative would accommodate northbound vehicles on 400 West,to turn left across the TRAX alignment into the Summer Parking entrance. This movement would provided by means of a signal located on 400 West, at approximately 150 South. This alternative is only feasible if a one station alternative is selected,because constructing a TRAX station on 400 West will block this potential access. The Summer Parking access signal will stop only southbound traffic on 400 West,while northbound through traffic will free-flow to the 100 South intersection. The traffic evaluation in this study used Synchro/SimTraffic and VISSIM software to simulate more realistic traffic and transit conditions and to obtain more accurate results for each of the intersections. In addition to the analysis, F&P developed visual simulations (movies) of the alternatives. The conditions for the existing, future no-build,and future build scenarios, were presented in the report, and summarized. in Table 14. (Provided as a copy to this memo.) The table provides the Level of Service (LOS) and average delay per vehicle for each scenario. Results The results of the analysis revealed that each of the station alternatives can be designed to mitigate traffic operations to the generally accepted LOS D criteria standards. The critical intersection along the alignment is 200 South at 400 West. This intersection has the heaviest volume of traffic,and the TRAX alignment turns at this location. Of all the alternatives, the single station on 200 South alternative provides the best traffic conditions at this critical intersection,LOS D with 37.7 seconds of delay per vehicle.` The two station alternative provides acceptable LOS D conditions(45 seconds)at the critical intersection. "The 200 South intersection remains at LOS D, with:some additional delay. Again, the southbound left- turn at 200 South incurs delay in a shortened storage lane, which increases delay at this intersection." (June 28,2004 report). The concern for traffic operations at this critical intersection is that if traffic grows beyond projected volumes,the short(75');southbound left turn storage lane on 400 West at 200 South will more rapidly be overwhelmed with traffic,which may more rapidly deteriorate the traffic conditions at the intersection. The alternative with a single station on 200 South and the left-turn access on 400 West into the Summer Parking provides acceptable LOS D_;(46 seconds)traffic operations at the critical intersection,and fully acceptable LOS B(11 seconds of delay)at this new intersection. This alternative is planned with a longer (175')southbound left turn storage.land on 400 West at 200 South,which will better serve this critical intersection. (Parson preliminary design sheets for Open House) 4,1 T C O . ✓ im. v V. 0 v — f = Z�. z V A z z z z 11 z z z m z 7 C o .. -. 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L y 'NU L Y 4 y e = ,, A v 3 3 3 3 3 v " _ 3 0 0 0 0 0 0 0 0 B 0 ,2o CM 2 CC ' 3 j, 4/1 • p3 3 3 pAp A A A A pA 3 p3 tAR 0 Q Q tV N P. S O O S O O . 5 Q Salt Lake City Hub TRAX Connection Boyer Summer Parking Left Turn Criteria 15 November 2005 F&P Review and comments 21 November 2005. The following responses to these questions are based on the evaluation completed for the TRAX extension by Fehr and Peers during the Preliminary Design and approval phase. The traffic evaluation for the TRAX extension showed the following results. The best alternative for traffic operations along the 400 West Corridor (100 South to 200 South) was the No Station on 400 West scenario. The next best alternative was the NB LT into Summer Parking. The second worst alternative was the 2 Station, no 150 South Pedestrian Crossing. The worst alternative was the 2 Station, 150 South Pedestrian Crossing. The following criteria are to be addressed as part of the evaluation of the northbound to westbound left turn from 400 West in the Summer.Parking facility at Boyer's Gateway development. 1. TRAX operations should be assumed at busiest possible schedule which would be 5 min headways in one direction.This should be modeled to appear as a train passing the left turn in question every 2 /2 minutes (one from each direction). Existing TRAX VISSIM model was completed with 15 minute headways, trains passing in opposite directions at 7.5 minutes for all scenarios. This is the minimum headway currently operated on either the N-S or University Line. We are unaware of any increased operation / decreased headway that UTA is planning for the extension. Any further decrease to 10 min or 5 min headways, as suggested here, will create operational issues on the lines elsewhere in the system. If this increased TRAX frequency is requested for this scenario, all other previously evaluated scenarios should be recalibrated, since none were conducted with these operational conditions. 2. The signal at 150 South should operate allowing left turns in a protected phase only, requiring stop of southbound traffic. The signal would be pre- empted to give priority to TRAX movements. The evaluations to date have used this configuration. The results were provided in Table 14 of the report. 3. No left turns out of the parking garage will be allowed. 1 The evaluations to date have used this configuration. The results were provided in Table 14 of the report. 4. Number of traffic lanes should not change. Two through lanes are provided on 400 West in all scenarios. Appropriate turn storage lanes are provided in each scenario. The results are provided in Table 14 of the report. Our previously stated concern with the selected, 2 station scenario is the short SB.LT at 200 South on 400 West. This short (75') storage lane may more rapidly be overwhelmed with traffic, which may more rapidly deteriorate the traffic conditions at the intersection than any of the other scenarios. 5. Traffic level of service and delay time of adjacent intersections (400 West/200 South and 400 West/100 South) should be analyzed along with the left turn into the Summer Parking to determine whether they operate relatively the same as without the left turn; and.no or little delay to TRAX service. The evaluations to date have shown that the left turn into the summer parking operates at LOS B (11 seconds delay per vehicle) while maintain LOS D (46 sec/veh) at the critical 400 West / 200 South intersection. Since all of the scenarios were run with TRAX Priority, no delays were allowed for the TRAX in any scenario: 6. Traffic analysis should consider that the left turn into the Summer Parking garage is not a free flow movement and that it is impacted by the location and traffic implications of the parking ticket machines inside the parking garage. :. The signal into Summer Parking was operated at 1/2 cycle (45 seconds) of the other main intersections. This cycle length allowed 6 vehicles to cross the TRAX line during the 12 seconds of green time. These 6 vehicles need to be accommodated in the receiving lanes of the parking garage. 7. Traffic analysis should utilize the same basic assumptions used in the traffic analysis done for the TRAX extension project and match the same future year 2020 conditions: The evaluations to date have used this configuration. The results were provided in Table 14 of the report. 8. Traffic analysis should consider the operation of this left turn signal with and without an associated east/west pedestrian crosswalk. The east/west pedestrian crosswalk must be located as close to mid-block(150 South) as possible. The evaluations for the Summer Parking signal did not provide a pedestrian crossing at 150 South. A pedestrian crossing at this location is not recommended because it detrimentally affects the operations of 400 West. Both NB and SB traffic has to be stopped to 2 allow pedestrians to cross. Pedestrian activity currently is and will be sufficiently accommodated at 100 South and 200 South. The only scenario that induded the pedestrian crossing was the two TRAX station scenario. This was requested to provide access to the end of the station platform. This two station scenario provided the worst traffic conditions along the study corridor. 400 West/ 200 South intersection remained LOS D, but increased average delay to 50.4 seconds. Additionally, the 400 West/ 100 South intersection increased delay to LOS D (38.1 seconds). 9. Impacts of right turning vehicles into the Summer Parking and stopping pedestrians on the sidewalk during the left turn phase must be included in the analysis. A pedestrian crossing signal will be installed to prevent pedestrian crossing of the garage entrance throat during the Left Turn green phase time. Right turning vehicles will be stopped by the SB signal on 400 West, and yield to LT vehicles, as at all signalized intersections. 10. Traffic analysis must include recommendations on how to address potential problems, such as left turning vehicles backing onto the sidewalk, into the. street and over the TRAX lines, if the modifications to the Summer Parking ticketing system do not produce the desired results of allowing adequate stacking and movement into the parking garage: The modifications to the summer parking will be designed and tested to accommodate the left turn vehicles. As with all existing signals and intersections, a malfunction in the signal is typically accommodated by other drivers yielding to the conditions. 11. Traffic analysis should estimate how many vehicles will actually be able to access the Summer Garage by using the protected left turn. This should be expressed as a share of the total vehicles accessing the Gateway parking facilities, and as a share of the total accessing the Summer parking garage through the 400 West driveway. These figures should be provided both in absolute numbers and percentages of the total. The Boyer Company conducted parking counts at their garages. The counts revealed 555,000 cars enter the 400 West entrance annually. Using the highest quarterly count of 126,500 approximately 1,400 cars per day use this entrance., From the counts, approximately 650/0 of the entering vehicles approach from the south, and would therefore use the new protected left turn signal. Based on these counts and distribution, about 915 vehicles per day would use the new signal. The signal timing at the Summer Parking was modeled at a 45-second cycle. This provides 80 cycles in a one-hour period, with 6 cars using the green time each cycle. At full capacity this signal could provide the protected left turn movement into the summer parking for 480 3 vehicles per hour. This capacity will not be fully utilized, and the 900+ vehicles will easily be accommodated in the signal timing. 12. The study should include an estimate of all costs necessitated by the installation of a traffic signal at this location. The base case for this analysis should be the assumption of a center-running TRAX line,double-tracked, on 400 West, without a station or any provisions for a future station. The estimate should include all traffic signal equipment, semaphores, controllers, conduit, electrical power supply, startup, testing and programming, along with the ongoing costs of power supply and signal phase evaluation and adjustment for the initial 5 years of operation. The estimate must also include mitigation work to adjacent properties. This mitigation work includes narrowing the sidewalk in front of Dakota Lofts along 400 West (including reconfiguring their existing access stairs and potentially reconfiguring their business entries), reconfiguring the sidewalk at the southeast corner of the 400 W 200 S intersection, and potentially reconfiguring the truck-loading access to the Utah Paper Box property on 400 West. Installed full signal systems at intersections cost approximately $125,000. The.Summer Parking, Left turn signal is at most a 1/2 signal, controlling only SB and NB LT vehicles. However,the control must include coordination with the Transit Priority signal system, so the $125,000 estimate is appropriate. Other widening / narrowing costs must be added. Though this alternative (based on preliminary plans submitted in 2004) does propose narrowing sidewalks by 3.5 feet on the southern half of the east side of 400 West, it provides a longer SB LT pocket at 200 South, which improves the operation of this intersection over the 2 station alternative. Also, the alternative provides parking on the northern half of the east side,which the two station alternative does not. Sidewalks on both sides of 400 West, the intersection sidewalks, 400 West parking and truck access to the Paperbox will be reconfigured during the TRAX construction, regardless of the selected alternative. 13. The study should calculate the cost per vehicle admitted to summer parking by way of the left turn phase, and evaluate the cost effectiveness of this solution. Signal Cost N $125,000 Vehicles using the signal N 360,000 annually. 4 FEB .i zvuo Rio Grande/Downtown Community Council To: Salt Lake City Council&Planning Commission Topic: TRAX Extension to Intermodal Hub-Support for two additional TRAX stations Date: January 10,2005 I write on behalf of the Rio Grand/Downtown Community Council to urge the Planning Commission and City Council to support the proposal for two TRAX stations between the Delta Center and the Intermodal Hub.The Rio Grande/Downtown Community Council supports the two-station option as opposed to the one additional stop.I would like to emphasize that we support this option In the strongest possible terms.The reasons are as follows: 1)SLC is trying to encourage transit-oriented development in the west downtown area.We feel that the maximum number of TRAX stations(two)is a crucial component to this concept. 2)We feel that making this decision based on budgetary constraints is extremely short sighted and false economy. 3)We believe more people will use TRAX to visit the Gateway and to come to this part of town, if there are two stations. Placing a station on 400 West between 100 South and 200 South will provide riders easy access to the movie theaters,and will also help to encourage redevelopment of the block to the west.A second stop on 200 South between 500 West and 600 West will ensure easy transit access to the Bridge Projects as well as to the block to the north,which is also ripe for redevelopment. 4)A single stop solution,with a station on 200 South between 400 West and 500 West will forever foreclose the possibility of adding another station along this extension.We want this area to develop into a high-density urban neighborhood,where having TRAX stops every two blocks, like the rest of downtown,makes perfect sense. 5)We do not believe that a station on 400 West will discourage shoppers from patronizing the Gateway project.There are numerous ways to access the Gateway parking garage without making a left turn on 400 West,and we believe shoppers who drive to Gateway will quickly begin using those other options. 6)Making a community*walkable"does not mean forcing people to walk greater distances. Faced with a longer walking distance,most will just choose to drive. Making a community walkable means making it easy and enjoyable to walk.This means providing easy,frequent access to the transit system,which also increases the number of people riding transit. In conclusion,we firmly believe it would be extremely shortsighted and fiscally irresponsible for the City to opt for a single TRAX station for this proposed extension.When this area is bustling with new development,and when it becomes home to thousands of residents,as we hope and the city's master plans intend,residents and businesses alike will wonder why the city and UTA did not have the vision and wisdom to include two stations in this area.The Rio Grande/Downtown Community Council strongly supports two additional TRAX stations for the pending TRAX extension in the downtown area. Bill Davis-President Rio Grande/Downtown Community Council UJ UJ: dbp I Itit LULU KtJ I nuKnii I tIU 1't000D / 1 P. ' November 30, 2005 To whom it may concern, The Dodo Restaurant at t ateway Mall supports 2 stops in our area. One being on 400 West and the othe in 200 South. Please use this letter as o r ote as we can not attend the meeting_ T ank ou, L' K. ie Fehr T e Dodo Restaurant Manager November 21,2005 Hi Doug, How are you? NHS is submitting this email to request our support for trax stops at 400 West and 500 West along 200 South. NHS has learned that many of our tenants at Citifront utilize trax and the more stops you have along 200 South, the better it serves the residents in Poplar Grove, Fairpark and Rosepark. In addition, the more stops you have along 200 south, the greater the potential for small business development.outside of the Gateway area. Please call if you have any questions. Thanks. llrrricr.(;rarririz t:ti:eulitive Director Salt:Lake'Neighborhood(lousing Service!; 622 West 500.North 1.1hilt 841166 S01.539.1590 ext 102 www.sinhs.orq !WARM Y GATEWAY CENTER 175 So. Rio Grande Street Salt Lake City,Utah 84101 (801)456-0050 (801)274-1595 Fax FAX TRANSMITTAL Phone: (801)456-0050 Store Location (801)456-0051 Store Fax (801)277-2748 Main office (801)274-1595 Main office fax TO: t'\C&V ( &vy- ei FAX NO. 8()I - �J 7j;)" ( ) DATE: 11P!v► �✓' 25� ATTN: �1� `� 691v 1_ FROM: 1� ! 1A CAS Message: rr,le-is .c12voyele A-lfvl rt/tyyi ai..J r IA-611 L. r kL5 tU ! 1 k-- ya) Total number of pages including this cover sheet Td Wd60:Z0 SOW 02 '^0N TS009Sbt08 : 'ON XHd 1?.1HOOA*A9ZIHdWf1H : WOZid November 21,2005 Good Afternoon Doug, Jason Recek at Orbit Cafe has asked that I drop you this note, confirming that my business partner and I are indeed in support of the two Trax stops that have been proposed at 400 west and 500 west. We own Aerolab Salon, located in the Bridgespace building at 511 west 200 south. When the project is completed, we feel that the additional foot traffic will be very benificial for our business and the businesses surrounding us. If you have any need to reach me, please call 364.4092 or email me this address. Thank you, Canace Pulfer / Annika Lohrke - Owners Aerolab Salon 511 west 200 south, #130 SLC UT. 84101 November 21,2005 Dear Mr. Dansie, Mary Guy-Sell mentioned to me today that you're accepting emails regarding whether to build one or two TRAX stations in the vicinity of Gateway as the line is expanded between the Delta Center station and the new Intermodal Hub. From our perspective, we'd appreciate a stop as close to the Clark Planetarium as is practical. Our experience with patrons who visit us via TRAX is that the Delta Center is"too far a walk for my children." Times have changed since I was a kid and my parents would let me walk several blocks between my bus stop and the movie theater I was going to with my friends. Now, parents seem willing to only allow unaccompanied children to venture a stone's-throw at best from a bus stop. We will have more than 1/3 of a million people visit the planetarium this year. If we are to see that number grow in the future, I believe that maximizing convenience of access to public transportation will be critical if we are to get families to visit the Gateway. The single station option at 2" South and Rio Grand is at the extreme far southern end of Gateway, and is of no more benefit to the majority of Gateway businesses than the Delta Center station. However, two . stations between the Delta Center and the new hub, with one of them located at 125 South 400 West, would be optimal for people wishing to shop the center of Gateway, including visiting the Clark Planetarium and the new Children's Museum. We are of course anxious about the potential impact that construction of the new TRAX lines will have on our visitors during the actual construction phase.We nonetheless believe in the value of quick and efficient public transportation, and we are especially eager to see a TRAX station located such that we are a convenient, short walk from us. Thanks for your time, • Seth Jarvis, Director Clark Planetarium 456-4921 November 21, 2005 To Whom it may concern: I am writing today to express my opinion regarding the two tracks stops on or about 500 west and the other at 400 west. I am the General Manager of the Orbit Cafe located at 540 west 200 south, I would very much like to see these two stops come to be. I want them, I want them!!!!! Have a great day, Jason Recek Orbit Cafe 801.322.3808 November 14,2005 Dear Doug, I had a comment about the number of TRAX stations being planned for the HUT extension. At one time there was talk of creating a street car loop that would continue south on 400 west and turn on 700 south to reconnect with the TRAX line. Is this still the plan? If so, I think there should be two stations on the HUB TRAX line, and a street car station at 350 South on the streetcar loop. If the street car loop is not going to be constructed, then there should only be one TRAX station added, at the corner of 200 south and 400 west. The reason is because Pioneer Park needs to have public transit in close proximity. This area is seeing a large amount of growth. There is a high number of residential units in that area; Artspace, the Dakota lofts, Westgate, Warehouse condos, Pierpont, Uffens, the planned Broadway Park Lofts as well as extended stay hotels, the Palladio and other apartments that would all benefit from having a TRAX station or street car station nearby. The city is saying they want two TRAX stations to accommodate future residential growth that they hope will someday be along 200 south and 500 west. Well, there is already a large population of residents that could benefit from TRAX now. It is near Pioneer Park, a park that the city would like to see more vibrant and alive. If no street car loop is to be built, that puts the two TRAX stations considerably farther from the park and an area that is experiencing a renaissance. So I guess to conclude, Two TRAX stations would be ideal, *if* the street car loop is created. This would be the best way to service the area. If there is no street car loop, There should only be one station, as it would be the most equidistant and effective in servicing the general area. I just thought I'd share my thoughts. Thanks, Michael Hatch Hi Doug, Thank you so much for responding to my comments. I didn't even think about how a 90 degree turn could cause complications with a station. That helps a lot. It is good to know that a station will at least be as . close as possible. I would love for the street car loop to become a reality. I am glad the idea is not completely dead. Thanks again for the information and good luck in making your final decision. -Michael Hatch Dansie, Doug wrote: >Michael >Thank You for your thoughts. >I have placed your email into the staff report that will go to the >Planning Commission to assure that your comments will be heard by the >decision makers. >In response to your specific questions: The idea of a street car loop >is alive, but not in the forefront at the moment. Salt Lake City and >UTA are in the process of creating a report to study the links between >transit and Downtown land use. One of the items to be considered is >the potential for transit extensions. I cannot guarantee that a >streetcar will be the outcome of any study; however, it is a distinct >possibility and remains on the table. >Also, the discussion of a LRT stop at the corner of 200 South and 400 >West was not pursued because of the difficulty of placing a station >immediately adjacent to a 90 degree turn on the LRT line (it is >difficult to exit the station immediately into a turn and the location >has an effect on other traffic movements) . You may note that no >station on the existing LRT system is located at a 90 degree turn. >Because of this, any station on 200 South, between 400 and 500 West, >would be pushed to the west end of the block. A potential station at >475 West 200 South (which may be part of a one station alternative) >would be roughly equidistant from Pioneer Park as a station at 125 >South 400 West (which is suggested as part of a two station scenario) . >Both are roughly >1.5 blocks from Pioneer Park (at their closest point) . > >Thank you very much for your comments. >Doug Dansie, Principal Planner, AICP MEMORANDUM 451 South State Street, Room 406 s/aa&� �'�� - ��� Salt Lake City, Utah 84111 >rti ` (801) 535-7757 Planning a n d Zoning Division Department of Comm u n i t y Development TO: Salt Lake City Council A �� FROM: Alex, Ikefuna 111 Plannin Direc'' 1 -, g /� DATE: February 21, 2006 SUBJECT: Population estimates in Gateway area At the City Council briefing on tee + � � �� ;,s, February 14 2006 x �' '' > > , n ,- ,i ,� n 1 , �_} ,;n1 ., , Councilmembers Buhler and i1' € ' _', e 41 �, ' r . l a Jergensen asked for follow up -A!in,7; - . 1 ' e1 y �1 l information regarding the ���1i��! z �� ir f� densities allowed in the area R� , ',Mu . ; (ial surrounding the Intermodal ..:, ,, i, 1 " '5 R r .�� ri -- -i4 � Hub and the Gateway mixed- N :.„I.. use com lex enerall defined �' �`-� �` ; ��� .R , ;.iriin 4 ' p ' g �' �� �� 11r : 4€ # Iy fi �' as the area between 300 West �!� � � �� +� to 1-15 and North Temple to s; i : ®, �' a �,�;' ins ,',. ',1311,— ,.,--- -.----,' Ffr LSD 3�f y ,. i. 400 South. �' c� i 4 ' � i , ." a ate' j x '` �'� Population Estimate rt »�� '' 3 os Summary t ii I cs� Population estimates of 10- ! Iclitt} 3' , ' '"_"rr,' � 5 1�. sir� € 15,000 people in the Intermodal Hub area were arrived at through a discussion between Planning, the Mayor's Office and UTA staff regarding what is moderate density on available land (vacant or underutilized) generally located between 400 West 1 and I-15 and North Temple to 400 South. It assumed that there was significant vacant or underutilized land on 15 of the 23 blocks; 150 acres built at 50 units per acre accommodate 7,500 units. If it is assumed that there will be an average of two people per unit, the general population number is 15,000. Obviously not all vacant sites will be constructed as residential, however it is fair to assume that the Gateway development has consumed much of the retail market in the area and that new development will be biased towards residential or office use. Rational for Estimate Zoning The majority of the area is within two zoning districts: Gateway Mixed-Use, GMU and Downtown Warehouse/Residential, D-3. The Intermodal Hub is within the General Commercial, CG zone. The Delta Center is within the Downtown Secondary Central Business District, D-4 zone. GMU Gateway Mixed-use The area between 400 West and I-15 from North Temple to 200 South is zoned GMU. • This is a high-density mid-rise zoning distinct. Unlike most multi- family zoning districts, there are no density limitations in the GMU district. The number of units that may be built is limited only by the size of the building and the need for parking. Most other multi-family zoning districts limit density based upon the square footage of the building lot. • This zone only requires one parking stall per unit, which is well below market demand (the one stall per unit may be decreased through the alternative parking process). Only V2 stall per unit is required if affordable housing is provided. The first 5,000 square feet of the building is exempt from any parking requirement. • There are no required landscaped setbacks (there are maximum allowed setbacks). Therefore a building may be built to the property line. • The height limit is 75 feet, or, if a non-flat roofline is provided, 90 feet. The height may be increased to 120 feet through the Conditional Use process. There is a minimum height requirement of 45 feet on 500 West and 25 feet on 200 South. • It is important to note that the Gateway development did not maximize the potential development of the zone. Only three buildings 2 approach the maximum height: the Parc Condominium, the Tribune Building and the Fidelity Building, which is under construction. Numerous buildings were setback from the property line to provide open space. Thousands of more housing units could have been allowed (Gateway built approximately 500 units on 30 acres, which translates into less than 20 units per acre. At a moderate-high density of 50 units per acre, that same 30 acres would accommodate 1,500 units). D-3 Downtown Warehouse/Residential The area between 200 South and 400 South, east of the intermodal hub is zoned D-3. • This is also a high-density mid-rise mixed-use zoning district. Fifty percent of new buildings over two stories must include a housing/hotel component. • There are no density limitations for housing. • The parking requirement is only one stall per unit, or 1/2 stall per unit if affordable housing is provided. The first 5,000 square feet of the building is exempt from any parking requirement. • There are no required landscaped setbacks, other than for surface parking lots. • The height limit is 75 feet expandable to 90 feet. The CG and D-4 Zoning districts also allow buildings up to 60 feet (90 conditional) or 75 feet (120 conditional) respectively and have no density limitations. The height limits in the general area are lower than those Downtown; however the densities allowed are not reduced. Therefore the only limiting factor is the size of the building allowed. Heights are reduced in the Gateway area because it is meant to be subordinate to the CBD and also to preserve the view of the LDS Temple (a similar policy exists for the State Capitol, the Cathedral of the Madeline and the City County Building). Estimate Comparisons The original Gateway Master Plan noted that the Union Pacific and Rio Grande neighborhoods could easily accommodate nearly 12,000 residents. This estimate was done prior to the current zoning being applied to the area and was calculated at 44-56 units per acre. By comparison; the lower 3 Avenues are developed at approximately 11 units per acre. The Palladio Apartments are 62 units per acre. The Dakota Lofts on 200 South are 82 units per acre. The Uffins Market Place expansion north of Pioneer Park is proposed at 101 units per acre plus retail. The Brigham Apartments on South Temple are 144 units per acre. The Covey Apartments have 275 units per acre. Gateway, with its emphasis on retail and entertainment, has less than 20 residential units per acre (spread across the entire 30 acre site). i* ® d��R ""-i i ITT a7 , 8 �'X,.i f ' 'R1 e . i� 1 � - �` " der 1 t�'0 }Y9 1 y p� _ .' 23 r5 VT 3- 1 ,_h4 � d +T'� f4 '_ f 9�.�17 ,�'W. 1 ,+ r ' '' S 1f BRIGHAM l v SPA a a n1'(eRf, i E' .-.�,i 3 �' d � Inc® e so g§i i�I .COVET i ct"°^dl� GGtt f���_.,:=THE GATEWA i .ftiRprooiii �I �r1 , ,-,.» ` ie!_ -� ", � , ecyy t t or a C _cA { % I'` 0 4 I� 11 Y 0''.--,11--® -i DAKOTA , ITAil ;I .; I $ '�!� :., see � � R r F '- UFFINS l -- i I'p � r$_ , 1p 111Y '� ' 1 ' i ,L, EXPANSION , _ 2 if- ----.4 -,i-,--,-,-, — i i — it' l'i '"L-,V ',r-4.1..irr. T-Alt LL,.."r, 421174 ,,,.25-,7,1S me_' !l� e 6 { � i Fit' 7d h4111; 11 - r� L. �_ j ". RRa" .. �s ti747L- z- '.----,.;-;,---gir,i,,, 104-tirt F'-•retntli.1 Sig •b...',' 1-1,,..2-, rm.* , ,_ , 1., - $A,1 i ^-"�a ^dzi(i c, �o�-I i.:��„ �; I�Rx . i,..1 1�'R.:. �eia ,:.l' i> 4;'."'i - �;YID r cc: Rocky Fluhart, Chief Administrative Officer Louis Zunguze, Community Development Director Brent Wilde, Deputy Community Development Director Cheri Coffey, Deputy Planning Director Doug Wheelwright, Deputy Planning Director Cindy Gust-Jensen, Executive Director City Council Doug Dansie, Principal Planner Mary Guy-Sell, Intermodal Hub Consultant D.J Baxter, Senior Advisor 4 MEMORANDUM DATE: February 17, 2006 TO: City Council Members FROM: Sylvia Jones, Research & Policy Analyst SUBJECT: Justice Court Audit Response CC: Rocky Fluhart, D.J. Baxter, Ed Rutan, Steve Fawcett, Judge Virginia Ward, Mary Johnston, Marian Graves, Claudia Sundbeck, Laurie Donnell, Richard Brady The Matrix Consulting Group forwarded the final report of the Management Audit of the Salt Lake City Justice Court on November 1, 2005. The Justice Court began implementing some of the audit recommendations as the audit progressed, and once the audit concluded, and has now provided the attached transmittal which lists the audit recommendations, the Administration's response to the recommendations, and potential budgetary implications. Also attached is the final audit report. In summary, the disposition of the audit recommendations is as follows: 1. There were 22 audit recommendation areas and a total of 44 recommendations. (Some of the recommendation areas addressed two or three issues.) 2. Of the 44 recommendations, the Administration agreed with 32, which is 73%. 4. 4 have been completed (9%) 5. 13 are in the process of being completed(30%) 6. 5 are under review(11.4%) 7. 13 are on-going (30%) 8. 5 were categorized as low-priority (11.4%) 9. 4 were categorized as already in-place (9%) AUDIT RECOMMENDATIONS RELATING TO THE BUDGET One disadvantage to the audit is that the auditors were unable to make detailed assessments on staffing levels due to the fact that Utah is a state that does not require courts to conduct a periodic tracking of weighted caseload measurements. A weighted caseload analysis provides courts with criteria for determining overall staff performance, including case-related and non- case-related functions. The assessment "weights" cases to determine their level of complexity. This provides a more accurate picture of the amount of staff time required to process cases. This assessment was not part of the purview of this audit. Instead, the auditors compared and analyzed other courts with similar court jurisdiction, caseload, and population, using gross caseload statistics and a review of internal operations. A list of surveyed courts is found on page 53 of the audit report. 1 The audit specifically suggests in recommendation #5 that though the Criminal section of the Court may handle a large number of cases when compared to other courts, staffing levels should not be altered until after an independent weighted caseload study can be conducted. Regarding the Civil section, the audit suggests in recommendation #13 that the Court review the impact of changes to workflow before adding additional staff. The Administration agrees that many of the audit recommendations can be implemented without additional funding; however, according to the transmittal, some of the recommendations will require additional funding and may be included in the Mayor's Recommended Budget for FY 2006-07. A. Recommendation#1 suggests the need to develop a customer service program for the Criminal Section, including a policy statement, staff training and monitoring. The Administration's response explains that Court staff analyzes customer surveys and based on customer input, changes are made. The transmittal states that two of the most common complaints about the Court relate to excessive wait time in the court as well as waiting for a response on the telephone. The Administration's response indicates that due to a lack of staff,the Court is unable to provide additional hours of service and a quicker response to telephone inquiries. B. In recommendation#5. the audit report suggests the need for a weighted case workload assessment prior to making staffing adjustments. In its response, the Administration states that the audit data demonstrates that the workload for Justice Court clerks and the Court as a whole is more than three times that of other comparable courts. The Administration maintains that waiting to consider hiring additional staffing until after the weighted caseload analysis will further impact the Court's ability to function. According to the audit, a weighted case workload assessment is estimated at a cost of$75,000 to $125,000. The Council may wish to ask whether the results of the weighted caseload study would indicate the number of additional employees needed and the specific areas where additional staffing would be most beneficial in terms of reducing case processing times and improving customer service. C. Recommendation#6 suggests establishing court processing and review standards for completion of case proceedings to identify ways to reduce case processing times. As part of this process, the auditor suggests modifications to the case information system so time disposition statistics can be produced. In response, the Administration states that the City's IMS division is currently designing software to create improved statistical analysis; however, additional funding may be required if modifications to the software are required. (In response to questions from Council staff, Justice Court staff indicated that if modifications to the software are necessary, the cost for the modifications will be absorbed by the IMS division; therefore, no additional funding would be necessary.) D. In recommendation#10, the audit suggests the implementation of additional technology in the courtroom, including the tools and training to allow judges to view specific case 2 information from the bench. The Administration states that the City lacks the software to create case-related electronic documents, and also lacks the staff to present the electronic data to judges given that court calendars can reach 40-75 cases per day. The Council may wish to ask the Auditor or the National Center for State Courts representative whether they are aware of other courts that have implemented technology allowing judges to use view-only screens to access case specific data while court is in session, and whether this has helped to create efficiencies for the courts. E. The audit recommends in item#12 that the Court needs to continue to conform with current records retention policies, evaluate alternative policies and ensure that alternative methods of file storage are evaluated and maximized, such as scanning and off site storage. In response, the Administration states that the Court has always conformed to current State and Judicial Council record retention policies. The transmittal indicates also that records requiring destruction remain on site until Court staff can pull and shred files, and that current staff levels do not allow the Court to keep up with the current workload. F. The last portion of recommendation#12 addresses a file storage issue. The audit report suggests pursuing off site storage for older records at an estimated annual cost of$5,000- $10,000, and to consider shorter records retention schedules where allowed by law. The audit also recommends using temporary staff for one year at an estimated cost of$10,000 to scan closed cases. The response from the Administration indicates there is off site storage at no cost to all City departments; however, with criminal cases, off site storage could not be used for open files in case access is requested. The Administration indicates also that while temporary staff could help with the current backlog of cases, the Court would need a full time employee at the cost of$38,000 per year(fully loaded) and a new scanner at an estimated cost of$10,000 to keep up with case closures. G. Recommendation#13 (g.) suggests there are opportunities to improve and modify workflow for the hearing officers prior to adding more staff. In its response, the Administration indicates that the Court has made changes to staffing duties, and will continue to adjust as necessary. The Administration states that though wait times may have improved because of the changes, Court staff is unable to handle the demand for hearings without increasing customer wait times. H. Item#15 notes that though the Cashiering Unit is adequately staffed to meet current workload, the number of transactions per cashier will continue to increase. The audit recommends that as workload increases, the Court should consider adding a secure computer terminal on site through which customers can make credit card payments (without waiting in line for a cashier). The estimated cost for equipment is approximately $1,000 plus the staff time to install the equipment. In response, the transmittal indicates that the Court will explore this option. 3 MEP i A FRa G:TTY` GORPO it + N1 ROSS C. "ROCKY" ANDERSON SALT LAKE CITY JUSTICE COURT MAYOR COUNCIL TRANSMITTAL 041-7 DATE: February Rocky J. Fluhart 7, 2006 Chief Administrative Officer FROM: Mary Johnston Director, Salt Lake City Justice Court SUBJECT: Justice Court Audit Recommendations STAFF CONTACT: Mary Johnston Director, Salt Lake City Justice Court 535-7173 DOCUMENT TYPE: Response to Justice Court Audit Recommendations RECOMMENDATION: Review Recommendations BUDGET IMPACT: There is no immediate budget impact resulting from the audit, although implementing some of the audit recommendations will require additional funding. These increases will be included in the Mayor's Recommended Budget, presented to the City Council in May 2006. Many of the recommendations can be implemented without additional funds, and these projects are currently being pursued. The Justice Court is willing to consider immediate implementation of the recommendations requiring additional funds if the City Council appropriates the funds within the current budget year. BACKGROUND/DISCUSSION: Matrix Consulting Group and The National Center for State Courts conducted an audit of the Salt Lake City Justice Court last year. This transmittal describes the Justice Court's plans for implementation of the recommendations made in the audit. PUBLIC PROCESS: Not applicable 333 SOUTH 200 EAST, SALT LAKE CITY, UTAH B41 11-2B01 TELEPHONE: B01-535-6321 FAX: B01-535.6302 3 °) C) o� 3 (D N CD O w a (a v (n °_ O CCDD "', ai 3 (D C<D CO S 00 m aD '°O CD CD 3 D.) Can co N O n 33. a3 0 (D • (/) 7 a. N N CD 7 o a C7 o. 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INTRODUCTION AND EXECUTIVE SUMMARY This initial chapter of the report introduces the approaches utilized in this study and summarizes key findings, conclusions and recommendations to be found in this report. 1. INTRODUCTION TO THE REPORT The Matrix Consulting Group and the National Center for State Courts were retained by the City of Salt Lake City to conduct a Management Audit of its Justice Court. In reaching the concluding point of the study, the project team has assembled this final report which summarizes our findings, conclusions and recommendations, where appropriate. This report represents the conclusion of three months of analysis of the organizational structure, staffing, management and operations of the Justice Court. The scope of this study was comprehensive and included the following general elements: • The effectiveness and efficiency of service levels, workload and staffing levels to the public as well as relating to other justice system functions. • The allocation of personnel and other resources. • The effectiveness of administrative processes, systems, policies and procedures. • The Court's costs versus revenues, identifying the factors and causes of any significant changes. • An examination of how the Court compares to other jurisdictions and to 'best management practices'. In this Management Audit of the Justice Court, the Matrix Consulting Group and National Center for State Courts project team utilized a wide variety of data collection Matrix Consulting Group Page 1 SALT LAKE CITY, UTAH Management Audit of the Justice Court and analytical techniques. The project team conducted the following data collection and analytical activities: • The project team initiated the project by interviewing selected Council members and staff in Salt Lake City's Council Office to obtain background issues on the study and confirm the scope of work, schedule, etc. • Interviews were also conducted with the City's Chief Administrative Officer, Deputy Director of the Management Services Department and Finance Director for comparable issues relating to the background of the Justice Court and operating issues. • Interviews were also conducted with other justice system representatives, including the City Prosecutor, the public defenders' office and representatives from the Salt Lake City Police Department. • The project team then utilized an intensive process of interviewing each judicial position and virtually every staff position in the Justice Court. • The project team supplemented this input through the use of a confidential employee survey. Approximately 66% of the Justice Court employees took advantage of this opportunity to provide input to us. Its results were useful to the project team to identify issues and potential solutions. A summary of this employee survey is contained in this report. • In addition to interviews, the project team collected detailed data from the Justice Court documenting workloads, caseflows, service levels, operations and costs. • The project team developed a descriptive summary, or profile, of the Justice Court, reflecting organizational structure, staffing, workloads, service levels and programmatic objectives. These profiles were reviewed with the Justice Court management team. The final version of this profile is contained in this report. • We compared workloads and approaches to case management of the Salt Lake City Justice Court with the National Center for State Courts 'best practices' for trial courts. This step served to identify issues in our analytical process. • On a limited basis, the project team also compared organizational structure, staffing levels, as well as certain operational and service delivery indices against other limited jurisdiction courts in Utah and the western United States. The purpose of these comparisons were to assist in the issues identification process. • The project team also reviewed initial findings and issues with the Justice Court management team as well as with staff in the Council Offices. Matrix Consulting Group Page 2 SALT LAKE CITY, UTAH Management Audit of the Justice Court In summary, the processes we utilized in this study included intensive input from Justice Court staff as well as other representatives of the City and justice system; detailed data collection and analysis; and an interactive process at each key step in the study process. 2. EXECUTIVE SUMMARY The Matrix Consulting Group and the National Center for State Courts developed recommendations based on the analysis of data from the Justice Court, as well as observations of work processes and interviews of staff. The points, which follow, present a summary of the Justice Court and key issues identified during the Management Audit of the Justice Court. • The project team developed a descriptive profile of the Salt Lake City Justice Court. A review of key workload indicators show that: Parking revenue in Salt Lake City has remained relatively consistent from fiscal year 1997 — 1998 to fiscal year 2004 — 2005, increasing by 1% during this time period. - The number of parking tickets has decreased by 20% from fiscal year 1997 — 1998 to fiscal year 2004 — 2005. — The number of traffic tickets and the number of violations has decreased over the last three years (e.g., traffic tickets have decreased by 9% and the number of violations have decreased by 12%). The number of cashiering transactions have steadily increased over the last three fiscal years by 45%. The Criminal Section caseloads have decreased over the last three fiscal years, as well. •• The number of cases filed have dropped by 0.2% from fiscal year 2002 — 2003 to fiscal year 2004 to 2005. •• The number of charges filed have decreased by 2% during the same time period. •• The number of small claims filed have decreased by 40% during the same time period. Matrix Consulting Group Page 3 SALT LAKE CITY, UTAH Management Audit of the Justice Court Collection of fines have increased from fiscal year 2002 —2003 to fiscal year 2004 — 2005 by 445% and for the same time period, the amount of small claims filing fees collected increased by 147% • The project team conducted an employee survey to determine perceptions and attitudes of staff to specific areas of Justice Court. Key issues included: Staff felt that they provide a high level of service to the community and the Court's customers. Staff opinions were mixed regarding overall management of the Court (e.g., accountability of staff, employee disciplinary process, use of policies and procedures, etc.) - Staff perceived the Court's ability to effectively address internal problems poorly. Overall, staff had positive attitudes regarding the resources (e.g., tools, equipment, training, etc.) they had to do their jobs well. - While staff felt that there was an adequate number of staff to handle court and judicial workload, there were negative perceptions of staffing relating to out-of-court roles. Most staff felt that their workload was acceptable (e.g., sometimes heavy but could keep up with it). — Staff perceived the facility as inadequate to meet the overall needs of the Court. • The project team conducted a comparative survey, which showed that: Salt Lake City Justice Court clerks reported the highest ratio of case filings per full time employee, at one full time employee per 5,529 case filings (compared to the median of 1,467 filings per employee). Judges in the Salt Lake City Justice Court showed the highest filings to judge ratio, reporting 7,305 case filings per full time judge compared to the median of 3,931. — The judge-staff ratio for the Salt Lake City Justice Court was very close to the median for the courts in the survey at just under 10 staff per judicial position (at 2005 staffing levels). Matrix Consulting Group Page 4 SALT LAKE CITY, UTAH Management Audit of the Justice Court Based on a review of workload, comparative data, and an analysis of key functions, the project team developed recommendations to improve the operation of the Salt Lake City Justice Court. The table, which follows, presents a summary of the key recommendations. Findings Recommendations 4. Analysis of the Criminal Section The Salt Lake City Justice Court Customer surveys should be analyzed by staff and a report needs to develop a comprehensive generated on a quarterly basis which identifies issues to be customer service program, including addressed. a policy statement, staff training and monitoring. Develop a training needs assessment, involving staff and Human resources, to structure a program for personal and Court service improvement. Each of the major areas of public contact should be evaluated for the level of service required and alternative methods of public service that do not require direct contact with a clerk, such as the court's planned interactive voice recognition (IVR) system for payments and web-based applications. This is designed to triage out the points of contact not requiring that level of interaction so that staff can concentrate on those points of contact requiring human interaction. The Court's policy of not divulging Continue the practice of not divulging line employee last names last names of clerks to the public to the public. Consideration should be given to posting this has become accepted practice in policy in a conspicuous place in the Court's public area. the country. The Justice Court has an effective Continue existing practices regarding expungements. approach to expunging records. Criminal section clerk roles should The organization and assignment of such a high priority function be prioritized. as warrants should be realigned to promote efficiency and consistency. Though at the upper end of The comparative survey indicates that by a variety of measures comparisons with other limited the Salt Lake City Justice Court operates with workloads jurisdiction courts, criminal section significantly higher than other courts. However, before any staffing levels should remain the staffing adjustments are made a more rigorous weighted case same until an independent weighted workload assessment should be conducted, which was beyond caseload study can be conducted. the scope of this project. The project team recommends that an independent weighted caseload analysis be conducted at an estimated cost of$75,000—$125,000. There are steps which the court The Justice Court should establish court processing standards should take to expedite workflow in where they do not exist and review standards for completion of the criminal section. case proceedings where they do exist to identify procedures having the potential to reduce case processing times. This should be accompanied by modifications to the case information system, so time to disposition statistics can be produced. Use of sentencing alternatives to Continue to utilize existing approaches to jail alternatives, reduce jail overcrowding and costs. examine ways to expand existing program use and additional alternative sentencing options. This should be a multi-agency approach to maximizing these programs. Matrix Consulting Group Page 5 SALT LAKE CITY, UTAH Management Audit of the Justice Court Findings Recommendations The Justice Court should consider Add-ons should be scheduled for appearance three(3)working alternative approaches to case days after their request is made. This would allow sufficient time scheduling. to prepare the file and advise the prosecuting attorney. The filing of informations has been The issue of the filing of informations has been addressed by addressed by justice system justice system participants. participants. The Justice Court needs to continue Justice Court judges need to be provided the tools and training with the implementation of necessary to become familiar and comfortable with utilizing technology in the courtroom. technology from the bench. In order to assist them in accessing information, a view-only screen should be set up to allow judges to view case files electronically. A courtroom clerk can manipulate the screens for the judge, familiarizing them with the look and content of the electronic file, and with the various available applications and case information. There is a need for expanding in- The Salt Lake City Justice Court should provide training for new service and new employee training. staff and continuing training and education opportunities for existing staff. The continuing education should include job function training and other career development education. The availability of training will make efficient use of personnel, prepare employees for advancement to higher positions, build organizational morale, help implement new duties, responsibilities and technology, help develop employee skills, and substitute as a fringe benefit in lieu of salary increases. There are several significant records The Justice Court should upgrade the responsibility for records management issues in the Salt Lake management in the organization assigning overall responsibility City Justice Court. to the Court Administrator or one of the Section Managers. The Court needs to ensure that it continues to conform to current records retention policies, evaluate alternative policies and that alternative methods of file storage are evaluated and maximized, such as scanning and off site storage. The possible benefits of this step include: • Financial savings as a result of the elimination of the creation of redundant records. • Space savings gained by ensuring that only necessary records are stored for only the necessary time. • Time savings of support staff in storing and working through unnecessarily large or complicated records collections. • Improvement in the quality of service to the public. The Justice Court and the City need to move to address a serious file storage problem in the Justice Court. Securing off site storage for older records should be pursued, at an estimated annual cost of$5,000—$10,000; acceleration of file scanning should be accomplished through contract or temporary staff, at an estimated one year cost of$10,000; and consideration be given to shorter records retention schedules, where the law allows. Matrix Consulting Group Page 6 SALT LAKE CITY, UTAH Management Audit of the Justice Court Findings Recommendations 5. Analysis of the Civil Section There are opportunities for Given the potential impact of the IVR system on the workload of improvement in workflow and the the hearing officers, hearing officers should be able to handle responsibilities for hearing officers. their collateral duties without requiring significant assistance from the Civil Clerks. The Civil Section should implement changes in work assignment and flow to ensure the appropriate resources are dedicated to necessary tasks. This includes: • Reassigning clerical functions to the civil clerk classification, as needed (e.g. statistics tracking, pulling closed cases, tracking broken meters, etc.). • Ensuring staff assigned to the front counter are dedicated to conducting hearings to reduce wait times and improve customer service. • Cross-train and cross-utilize staff to handle peaks in workloads for collateral duties(e.g. Gotcha program, etc.). • Review workload generated by phone calls to ensure that hearing officers are utilized to maximize the number of hearings conducted in this way. • Analyze the results of the tracking of hearings conducted over the phone and cases resolved. • Include an option in the IVR for telephonic hearings. Review the impact of changes on workflow prior to adding any additional staff 6. Analysis of Financial Functions There are significant opportunities to The Justice Court should develop internal controls and assign improve the internal controls and accountability to the Accountant to audit the Cashiering Unit and cash handling procedures in the to ensure the Unit is following policies and procedures. Justice Court. Improvements should include: • The Lead Cashier should be assigned responsibility for coordinating with hearing officers and other Justice Court staff to ensure any issues are resolved (e.g., account number found, defendant contacted, etc.) • Each cashier should be responsible for locking his/her cash box drawer when on break or away from his/her workstation. At the close of business, each cashier should be responsible for securing his/her cash box in the individual lockable shelves in the safe. There should be an extra cash drawer, which is secured. This should be used by the Civil Section Manager when he/she provides coverage to the Cashiering Section. Matrix Consulting Group Page 7 SALT LAKE CITY, UTAH Management Audit of the Justice Court Findings Recommendations • The persons who collect cash or prepare deposits should be independent of employees who record or authorize the transaction to reduce potential loss and errors. The Lead Cashier should be responsible for preparing the daily deposit. The Civil Section Manager should sign off on the deposit daily. The daily deposit should be secured in the safe until picked up. • Evidence of amounts of deposits should always be obtained and submitted to the person responsible for the Court's bank reconciliation. While the City is responsible for the monthly reconciliation of deposits to the bank statement, the Civil Section Manager should be responsible for ensuring the daily deposit matches receipts from the bank. • Transactions should be audited daily by the Civil Section Manager to ensure reductions are consistent with Court Policies. • The Accountant should be responsible for conducting audits of the handwritten receipt booklets to provide independent control of the handwritten receipts. • The Accountant should be responsible for conducting audits of the change funds. Deposit bags should be secured in the safe until picked up. The combination and/or locks to the safe should be changed periodically, especially when personnel leave employment. Based on a Review of Workload, the As workload increases for the Cashiering Unit, the Justice Court Cashiering Unit Is Adequately should add a secure computer terminal which provides a direct Staffed to Meet Current Workload, link to the Court's website and through which customers can However, the Number of make credit card payments. The cost impact of this Transactions Per Cashier Will recommendation is minimal (e.g., less than $1,000 for capital Continue to Increase. purchases, plus staff time to install the equipment). There are opportunities to enhance The Justice Court should evaluate the cost effectiveness of collections activities and revenues. providing in-house collection services compared to the contract collections agency. This should include a review of data that links work activities to revenue collection for in-house staff, as well as a review of the performance of the contractor. 7. Organizational Structure and Management The jurisdiction of the Salt Lake City The Salt Lake City Justice Court should consider the Justice Court should be examined. appointment of a committee, to include representatives of the Justice Court, the Utah State court system, as well as appropriate representatives of the bar and the criminal justice community, to evaluate the court's jurisdiction and to make recommendations, if any and if possible, regarding adjustments to its jurisdiction, including the appropriateness of the Court's maintaining jurisdiction over complex criminal matters. Matrix Consulting Group Page 8 SALT LAKE CITY, UTAH Management Audit of the Justice Court Findings Recommendations The roles of the court administrator The authority and responsibility of the Presiding Judge of the and the presiding judge should be Salt Lake City Justice Court should be defined to include clarified and enhanced as that oversight responsibility and policy making authority for all issues relates to the management of the involving the management of cases, with the court Administrator Court. reporting to the Presiding Judge on all issues involving the processing of cases. The organizational structure of the Salt Lake City Justice Court should be amended to create a structure by which the Court Administrator reports to the Chief Administrative Officer of the Management Services Department on operational and management issues, including budgeting, personnel, and day-to- day operations of the court, and to the Presiding Judge on all issues of case management and the administration of justice. The Salt Lake City Justice Court The Salt Lake City Justice Court should develop a performance should develop a performance management/measurement system designed to monitor management and measurement customer service, case processing and collections. system to provide accountability for key processes. Specific performance measures The Justice Court should implement the process for assessment relating to collections needs to be and analysis of its performance in the area of monetary developed by the Justice Court. collections defined by CourTools 7, 'Collection of Monetary Penalties', identifying reasonable and defensible goals for levels of monetary collections, analyzing the level at which they are successfully collecting fees and fines relative to the set goals, and implementing a process for improvement of collection levels. Customer service issues can only The Salt Lake City Justice Court should implement the process be addressed through a to assess its performance relative to customer service as defined comprehensive program which by CourTools Core Measure 1, 'Access and Fairness'. In includes policies, training and measuring its performance, the Court should specifically survey performance assessments. court customers and analyze the survey's findings for use in informing and improving management practices to ensure that issues of concern are identified and addressed on a continuing basis. Customer service surveys and analysis should be completed using the survey form and methods recommended with CourTools Core Measure 1. The Court should implement this process in the context of a comprehensive customer service program which includes a specific policy, training. and Court and individual performances in meeting these goals. There are issues with respect to The Salt Lake City Justice Court should identify time standards, case processing in the Justice defining the maximum time allowable from case initiation to Court. disposition for each type of case handled by the court. Once these time standards have been established, the court should implement a process for measuring its performance in meeting the time standards through the implementation of the measurement processes and analysis set forth in CourTools Core Measures 2, 'Case Clearance Rates', 3, 'Time to Disposition', and 5, 'Certainty of Trial Dates'. Matrix Consulting Group Page 9 SALT LAKE CITY, UTAH Management Audit of the Justice Court 2. PROFILE OF THE SALT LAKE CITY JUSTICE COURT This Chapter provides a Descriptive Profile of the Salt Lake City Justice Court. The purpose of the Descriptive Profile is to document the project team's understanding of the Justice Court's organization, allocation of staff by function, and principal assigned responsibilities of staff. Data contained in the Profile were developed based on the work conducted by the project team, including: • Interviews with key internal staff, including all Court managers, supervisors and line staff, as well as key external staff.. • Collection of various data describing organization and staffing, workload and service levels as well as costs. These efforts are continuing over the next few weeks of the project. • Documentation of key practices as that relates to work planning and scheduling, policies and procedures, as well as work processes. The Descriptive Profile does not attempt to recapitulate all organizational and operational facets of the Court. In this chapter, the structure of this Descriptive Profile is as follows: • Organizational charts of the Justice Court and key functions showing all staff positions by function and shift as appropriate, and reporting relationships. • Summary descriptions of key roles and responsibilities of staff. The responsibility descriptions provided in the Descriptive Profile also summarize the team's understanding of the major programs and service activities to which staff throughout the Court are currently assigned. It should be clearly noted that responsibility descriptions are not intended to be at the "job description" level of detail. Rather, the descriptions are intended to provide the basic nature of each unit and assigned positions including deployment and work schedules, program targets and service descriptions. • Where necessary to better describe allocations and scheduling, additional charts are provided (e.g., scheduling, workload data, etc.) Matrix Consulting Group Page 10 SALT LAKE CITY, UTAH Management Audit of the Justice Court The sections, which follow describe our current understanding of the Justice Court by key function and position. 1. CURRENT ORGANIZATION OF THE JUSTICE COURT The table, which follows, presents the current organization of the Salt Lake City Justice Court. Current Organization of the Justice Court Salt Lake City,Utah Court Director (1) Administrative _ Assistant (1) INIMIMMIMMI I IIIW I Criminal Section Civil Section Court Accountant (1) Manager (1) Manager (1) Collections (2) 1 I Lead Clerk (1) Small Claims Clerk (2.8) Hearing Officer (1C MEMO Lead Clerk (1) I I Cashier IClerk (15.6) !Clerk (1.6) Vacanl Lead Cashier (1) I Cashier (3) As the table of organization shows, there are thirty-eight fulltime and five part- time positions in the Justice Court. The section, which follows, provides the roles and responsibilities for each of the key functions and positions assigned to the Justice Court. Matrix Consulting Group Page 11 SALT LAKE CITY, UTAH Management Audit of the Justice Court 2. STAFF ROLES AND RESPONSIBILITIES No. of Unit/ Position Positions Responsibilities Auth Current ADMIN. Director 1.0 1.0 The Justice Court is organized as a part of Management Services, which reports to the Deputy Director. The Director of Justice Court reports to the Deputy Director, and not the presiding judge. The Director is responsible for managing and directing all operations of the Justice Court, including the Criminal and Civil Sections, as well as financial functions (e.g., accounting, collections, etc.). The Director is also responsible for reconciling all revenue accounts for the Court. Accountant 1.0 1.0 This position is responsible for several key accounting and support activities. Primary duties include monthly reconciliations for all criminal liabilities, including restitution, refunds, over payments and cash bail. This position shares some accounting responsibilities with a staff person at the City, who provides assistance with respect to reconciliations and in particular, cash bails, unclaimed properties, and State share of fines. This position also handles and processes the criminal `Gottchas' (State tax refund garnishments), criminal non-sufficient fund, payment for court interpreters, respond to requests for information (mostly research credit card charges), etc. It should be noted that accounting functions are fragmented with the following functions or personnel have some responsibilities: Director, Accountant, City staff, Criminal and Civil sections' clerks, the Director's Administrative Assistant, and cashiers. Matrix Consulting Group Page 12 SALT LAKE CITY, UTAH Management Audit of the Justice Court No. of Unit/Position Positions Responsibilities Auth Current Collections Clerks 2.0 2.0 In July of 2004, the Collections function was moved from the Finance Department to the Justice Court. There are two fulltime personnel responsible for collections for the Justice Court. Responsible for performing collections activities on delinquent accounts. This includes the following: • Coordinate with Hearing Officers and Clerks to ensure courtesy, penalty and collection letters are mailed to appropriate accounts. • Answer phones and respond to inquiries regarding delinquent accounts. • Receive and process payments over the phone (via Verisign/internet) and permit payment extensions, if needed. • Conduct research of delinquent accounts (e.g., attempt to find new addresses, employer and contact information, etc.) • Responsible for processing collections of Non-Sufficient Funds for the Justice Court, as well as other municipal functions (e.g., business license, building permits, etc.) It should also be noted that while the Justice Court has in- house staff performing collections duties, the Court also contracts with a private company for collections. Administrative 1.0 1.0 The Administrative Assistant provides clerical and Assistant administrative support to the Director of the Justice Court. In addition to filing, answering phones, etc., this position works with the Accountant and is responsible for writing checks for a ments for the Criminal Section. CIVIL SECTION Manager 1.0 1.0 The Manager of the Civil Section is responsible for managing and directing the workflow and staff assigned to the Civil Section. This includes the following: • Supervise seventeen fulltime equivalent positions. • Run warrants issued on traffic citations and quash warrants which have been settled/paid. • Run weekly report and accounting of filing fees for District Court and City. • Serves as the custodian for checks and inputs information into IFAS. • Handles interoffice complaints, as well as public complaints. • Coordinates with the collections company and City collections. • Coordinates tickets and payments from car rental and delivery companies. • Review reduction reports (e.g., ticket and fine reductions processed at cashiering desks). Matrix Consulting Group Page 13 SALT LAKE CITY, UTAH Management Audit of the Justice Court No. of Unit/Position Positions Responsibilities Auth Current CIVIL SECTION Hearing Officer 10 10 There are 10 Hearing Officers assigned to the Civil Section. There are typically four Hearing Officers, who staff the public counter and serve as Hearing Officers. The Hearing Officer function is responsible for reviewing parking and traffic citations, which the public is contesting, as well as adjusting fines based as needed and establishing payment plans. Hearing officers also hear cases relating to animal control, alarm, snow removal and 'artist in the park' ordinances. In addition to the four Hearing Officers assigned to the front counter, the remaining Hearing Officers (6.0) assigned to the back office, responsible for answering phones and providing public information. Hearing Officers are cross trained to provide front counter service, as well as assist with special duties. All Hearing Officers have special duties, including: • One Hearing Office is responsible for the Moving Violations PERTEC Report(citations issued by the Utah Highway Patrol and Salt Lake City Police Department, which are downloaded in the ALE information system). The PERTEC report is reviewed daily for errors in codes, fees, and fines, as well as citations for which court is mandatory. This position is also responsible for scanning traffic school attendance sheets and also updates fee schedules. • One Hearing Officer is responsible for the PERTEC Report for parking citations, following up on parking citations issued to cars with temporary plates, verifying correct information on parking tickets entered into the system by staff in the City/County building, download and store digital pictures of parking citations/signs and violations for use by the Hearing Officers. This Hearing Officer also processes Constable billings. • One Hearing Officer is responsible for the Gotcha Program, which judgments against delinquent accounts for which the Justice Court can petition the State for money the defendant would have received as part of his/her State tax refund. This process includes sending the information to the State, researching amount owned and ensuring the Court has the correct information, as well as receiving payment, balancing amount requested to amount received for each defendant and submitting the information to the Cashiering Unit for posting to individual accounts. Matrix Consulting Group Page 14 SALT LAKE CITY, UTAH Management Audit of the Justice Court No. of Unit/Position Positions Responsibilities Auth Current CIVIL SECTION Hearing Officer • One Hearing Officer serves as the Resolution Hearing (continued) Officer and is responsible for conducting the Resolution Hearings. This Hearing Officer is also responsible for coordinating with the rental companies, coordinate with the Meter Shop (e.g., tickets given on cars parked in a spot with a broken meter, verifies meter was broken), serves as the liaison with the Police Department to address any problems or issues. • One Hearing Officer responsible for the Small Claims. This function is staffed with one FTE. With respect to small claims, this Hearing Officer is responsible for setting the court calendar, notifying defendants, coordinating pre-Court payment agreements with the City Attorney, attending Small Claims as a representative of the Court, as well as sending notification of judgment to defendants. • One Hearing Officer responsible for processing all notices of bankruptcies(e.g., look up information, research defendant and monies owed, complete paperwork for court, receive notice of ruling and up date defendant's case in the information system, etc.), as well as serves as back up for closing all traffic cases when needed. • There is also one Hearing Officer responsible for coordinating all correspondence, as well as closes cases in JEMS. This position also answers phone and provides information to the public. Clerk 2.8 2.8 There are 2.8 FTE Clerks assigned to the Civil Section. Function and staffing of Clerk positions are described below: • Approximately 2 FTE Clerks are responsible for processing paperwork and share the following duties: review pay plans for compliance, dismiss parking tickets, process and distribute mail, issuing courtesy and collection letters, update service information and provide information to Constable's Office, entry of handwritten tickets, pull and box closed cases. • Approximately 1 FTE Clerk is responsible for scheduling Resolution Hearings, Pre-Trial Conferences and Bench Trials for traffic citations, as well as preparing case files and paperwork. Additionally, this Clerk is responsible for processing the invoices for the Community Program Services(which provides the traffic and insurance schools). This Clerk also staffs the courtroom as needed. Matrix Consulting Group Page 15 SALT LAKE CITY, UTAH Management Audit of the Justice Court No. of Unit/Position Positions Responsibilities Auth Current Cashiering Unit: Lead Cashier 1.0 1.0 Responsible for staffing the cashier windows and receiving Cashier 3.0 3.0 cash, credit card, or check payments on accounts. Staff utilize the IFAS (financial cashiering system) to process payments, as well as ALE and JEMs to look up account information, case numbers, and payment plans. In addition to receiving payments, cashiers are responsible for balancing their own drawers, as well as completing their own daily deposit slip. Staff assigned to this Unit are also responsible for ordering money from the bank, as well as balancing the vault. CRIMINAL SECTION Manager 1.0 1.0 Responsible for managing and directing the Criminal Section of the court as well as supervising the Small Claims section. Additional responsibilities include liaison with PCSS the organization from whom the computer software was purchased. Lead Criminal 1.0 1.0 Coordinates the day to day activities of the Criminal Section Clerk Clerks. This includes: • Overseeing the work, as well as training and development of all Criminal Clerks • Provide assistance as back-up for calendar clerks • Import citations into the case management system from the SLC Police Dept., open cases • Processes OR releases for the jail • Verifies compliance (case management) for all Criminal Clerks • Process bail bonds Note: due to the present workload a high percentage of the work the Lead Criminal Clerk performs are criminal clerk duties. Matrix Consulting Group Page 16 SALT LAKE CITY, UTAH Management Audit of the Justice Court No. of Unit/Position Positions Responsibilities Auth Current Criminal Clerk 14.0 14.0 The Criminal Clerk job title performs a variety of duties dependent upon the assignment(i.e., in-court clerk, out of court clerk, front counter, etc.) • Primary functions of staff assigned as the'In-Court Clerk,' include: — Works as a team of two assigned to a judge — Process dispositional data during court sessions — Pull/prepares court calendars — Verify compliance with orders (case management) — Processes Warrants, Bonds, Transport Orders, Orders for Release, etc. • Key job responsibilities for staff assigned as the'Out of Court Clerk,' include: — Pull/prepares court calendars — Verify compliance with orders (case management) — Answers phones/updates files (motions, orders etc) — Processes Warrants, Bonds, Transport Orders, Orders for Release, etc. • Primary functions for staff assigned at the front counter include: — Handle walk-in customers — Open cases — Upgrade JEMS — Fill-in in Court Criminal Clerk 1.6 1.6 The part time criminal clerks are responsible for the following: (PT) • Fill in for in-court clerks • Front Counter • Processes Warrants, Bonds, Transport Orders, Orders for Release, etc. • Answers phones/updates files(motions, orders etc) Small Claims: Lead Clerk 1.0 1.0 The Lead Clerk assigned to Small Claims supervises two part Clerks (PT) 1.6 0.0 time clerks and manages the Small Claims Division under the Criminal Section. The Lead Clerk is also responsible for training the Small Claims Clerks in the process. Key duties of Small Claims staff include: • Accept new small claim affidavits • Clerk in-court small claims sessions • Responsible for processing bonds • Serve as the backup for Criminal Clerks The section, which follows, provides a summary of the key workload indicators for the Salt Lake City Justice Court. Matrix Consulting Group Page 17 SALT LAKE CITY, UTAH Management Audit of the Justice Court 3. WORKLOAD INDICATORS This section presents the key workload indicators for the Salt Lake City Justice Court. It should be noted that data were only available for Fiscal Year 2004 - 2005 from July 2004 through March 2005. (1) Civil Section Data were collected for functions, which are organized under the Civil Section of the Justice Court. Data included the number of parking citations issued, revenue generated by parking tickets, the number and revenue of traffic citations, the number of financial transactions processed by the Cashiering Unit, etc. The information provided in this section summaries key workload data collected from the functions assigned to the Civil Section of the Court. (1.1) Parking Citations The table, which follows, presents the number of parking tickets from Fiscal Year 1997 - 1998 to Fiscal Year 2004 - 2005. It should be noted that data were not complete for the last fiscal year. Parking Revenue History Month FY 1997-98 FY 1998-99 FY 1999-00 FY 2000-01 FY 2001-02 FY 2002-03 FY 2003-04 FY 2004-05 Jan. $275,182 $261,959 $293,884 $297,874 $251,891 $254,927 $293,918 $278,637 Feb. $295,870 $251,868 $297,829 $314,117 $292,936 $293,844 $327,906 $332,352 March $308,593 $353,754 $350,988 $316,177 $288,538 $300,795 $394,433 $344,000 April $329,966 $327,257 $264,953 $289,044 $284,639 $316,295 $357,752 $271,103 May $285,088 $293,304 $312,776 $293,130 $267,732 $315,816 $290,246 $300,089 June $280,537 $286,863 $305,727 $223,011 $198,742 $303,331 $315,798 _ $255,886 July $313,038 $251,738 $255,733 $250,469 $188,765 $238,806 $306,651 $281,225 Aug. $298,552 $265,797 $244,889 $298,348 $239,202 $248,781 $295,908 $302,549 Sept. $311,711 $265,600 $296,135 $282,129 $188,160 $220,498 $134,144 $305,179 Oct. $313,279 $274,417 $279,510 $289,135 $219,946 $251,378 $338,440 $327,095 Nov. $251,956 $248,560 $321,549 $269,687 $197,995 $222,554 $289,315 $300,729 Dec. $265,005 $277,721 $302,360 $250,461 $195,582 $260,905 $320,002 $258,091 Total $3,528,777 $3,358,838 $3,526,335 $3,373,581 $2,814,128 $3,227,930 $3,664,513 $3,556,93 A - -5% 5% -4% -17% 15% 14% -3%1 Matrix Consulting Group Page 18 SALT LAKE CITY, UTAH Management Audit of the Justice Court As shown in the above table, the revenue history for the parking tickets has fluctuated over the last 8 years, increasing from FY 2001-02 to FY 2002-03 by 15% and increasing the following fiscal year by another 14%, while declining by 3% in Fiscal Year 2004 - 2005. It should also be noted that in June of 2000 late fees were increased from $25 to $30. This increased revenue collected per ticket. The table, which follows, presents the number of parking citations processed over the same time period. Parking Tickets History FY 1997 FY 1998 - FY 1999- FY 2000- FY 2001 - FY 2002 - FY 2003- FY 2004 Month -1998 1999 2000 2001 2002 2003 2004 -2005 Jan. 15,565 12,490 14,726 14,815 12,818 13,138 13,618 12,107 Feb. 14,792 11,731 13,648 13,756 12,157 11,762 14,178 10,420 March 15,572 15,710 16,873 13,515 12,412 13,121 15,439 13,109 April 16,697 15,949 12,686 12,300 11,978 14,554 15,311 12,031 May 14,053 14,566 15,034 10,720 11,081 14,285 12,542 11,262 June 13,777 13,513 16,331 10,293 10,377 13,774 14,314 12,089 July 19,100 13,459 12,195 12,955 10,507 11,531 13,828 13,032 Aug. 18,009 14,511 11,964 16,815 11,974 12,480 13,172 14,562 Sept. 16,806 14,027 16,116 13,214 9,472 10,512 14,463 14,179 Oct. 14,861 14,495 15,914 13,979 10,628 10,651 14,289 13,684 Nov. 12,416 12,969 14,456 12,150 9,939 11,029 12,920 11,667 Dec. 14,570 14,241 14,622 12,150 10,348 11,600 11,790 10,448 Total 186,218 167,661 174,565 156,662 133,691 148,437 165,864 148,590 %A - -10% 4% -10% -15% 11% 12% -10% As the table above shows, from Fiscal Year 1997-98 to Fiscal Year 2004-05, the number of parking tickets issued has decreased by 20%. The chart, presented on the following page, shows the revenue per parking ticket over the last eight fiscal years. Matrix Consulting Group Page 19 SALT LAKE CITY, UTAH Management Audit of the Justice Court Revenue Per Ticket $24.00 $23.00 $22.00 $21.00 - $20.00 $19.00 $18.00 $17.00 $16.00 '97-'98 '98-'99 '99'00 '00-'01 '01-'02 '02-'03 '03-'04 '04-'05 As shown in the chart, the revenue per parking ticket has slightly increased over the last eight years from an average of $18.95 per ticket in Fiscal Year 1997 - 1998 to an average of$23.94 per ticket in Fiscal Year 2004 - 2005. This represents a growth of 11% over the course of eight years. (1.2) Traffic Tickets The table, which follows, shows the number of traffic tickets issued for the last four fiscal years. Number of Tickets Month 2001 -2002 2002 -2003 2003-2004 2004-2005 July 2,503 4,032 3,513 3,242 August 4,227 5,070 4,244 3,519 September 2,260 4,160 3,384 3,928 October 3,744 4,094 4,077 3,296 November 4,441 4,473 3,522 3,969 December 2,675 3,258 3,474 3,283 January 3,075 4,613 4,515 4,215 February 713 4,310 4,192 4,147 March 3,651 4,205 5,071 4,205 April 3,476 3,347 3,661 3,197 May 3,349 4,094 3,830 3,315 June 2,553 4,079 3,872 4,775 Total 36,667 49,735 47,355 45,091 Matrix Consulting Group Page 20 SALT LAKE CITY, UTAH Management Audit of the Justice Court From Fiscal Year 2001 - 2002 to the following fiscal year, the number of traffic tickets issued increased by 36%. The following year, the number of tickets issued deceased by 5%. The number of tickets issued in Fiscal Year 2004 - 2005 decreased by 5%. It should be noted that during Fiscal Year 2001 - 2002, the City of Salt Lake City hosted the Winter Olympics. As such law enforcement activities were focused on security services, rather than traffic citations. The table, which follows, presents the number of violations issued. This number will be higher than the number of tickets, as one ticket can have multiple violations. Number of Violations Month 2001 -2002 2002-2003 2003-2004 2004-2005 July 3,018 4,931 4,298 3,930 August 4,857 6,064 5,120 4,209 September 2,730 5,007 4,208 4,540 October 4,457 4,975 4,941 3,887 November 5,263 5,511 4,335 4,772 December 3,249 4,093 4,188 3,972 January 3,650 5,600 5,515 5,213 February 934 5,217 5,058 4,864 March 4,345 5,135 6,264 4,920 April 4,172 4,077 4,522 3,923 May 3,976 5,062 4,803 4,008 June 3,051 4,862 4,638 5,319 Total 43,702 60,534 57,890 53,557 The number of violations increased by 39% from FY 2001-02 to FY 2002-03 and decreased the following fiscal year by 4%. The number of violations issued in Fiscal Year 2004 - 2005 decreased by 7%. The number of violations per ticket (1.19) has remained stable over the 4 years. (1.3) Collections In addition to collecting information with respect to parking citations and traffic tickets, the project team collected data for the collections and cashiering functions. The table, below, provides a summary of the activities for the collections function. Matrix Consulting Group Page 21 SALT LAKE CITY, UTAH Management Audit of the Justice Court L a) c Id V = 47 c a tl �+ C L co = to a r c + a) ) a 'a N d C y o 'p C >, Y r- O e- C._ O F. c c d - >, d >," =p d y W O C am L a) (a 0 " y0 ++ �. a J o a> •, am a aW v r -p . co Month Jca -lit aa; Ly� gt rn d L = aa; = � � s = 6U a6 � a O O e= Z O d ta~ O y a Y m O y 2 O 2 N E .N.+ ca O 4. ° 5 0 6 li z4t UJa UJa avU J U V ~ OmU UV V July 0 0 1,278 0 $0 $36,829 $0 $0 $0 August 0 0 1,724 809 $0 $64,487 $26,495 $0 $0 September 11,156 0 1,581 1,059 $0 $37,012 $26,102 $1,288,905 $3,323 October 0 3,355 1,709 1,159 $98,818 $45,765 $24,641 $10,724 $12,242 November 0 0 1,290 961 $24,730 $36,023 $18,097 $129,518 $13,310 December 10,498 0 1,284 943 $10,999 $30,304 $16,287 $5,444 $4,773 January 6,833 0 1028 901 $27,467 $11,357 $8,800 $0 $5,096 February 630 0 1,113 815 $32,123 $59,046 $65,660 $0 $0 March 0 0 1138 863 $22,851 $62,237 $35,920 $0 $2,845 April 0 0 1152 658 $9,387 $68,452 $30,469 $0 $9,543 May 2,089 4,667 1087 867 $127,277 $40,536 $28,462 $0 $0 June 0 0 1137 843 $19,593 $46,108 $34,192 $0 $4,283 Total 31,206 8,022 15521 9,878 $373,243 $538,155 $315,123 $1,434,591 $55,415 Since July 2004, staffed assigned to the Collections Unit have collected a total of $1,226,521 in funds from defendants that received penalty and collections notices from the Court. Additionally, during that time period approximately $1,490,006 in outstanding balances was sent to a private company to collect on behalf of the Court. Of the $1.4 million, approximately 4% was collected or $55,414 from those delinquent accounts. (1.4) Cashiering The project team collected information relating to the number of cashiering transactions processed by the Cashiering Unit in the Justice Court for the current fiscal year, as well as the past two fiscal years. Matrix Consulting Group Page 22 SALT LAKE CITY, UTAH Management Audit of the Justice Court Cashiering Transactions Month FY 2002 -2003 FY 2003 -2004 FY 2004-2005 July 6,255 11,015 11,953 August 7,663 10,857 13,204 September 8,521 11,818 13,171 October 8,776 11,880 13,479 November 8,581 10,016 12,892 December 9,139 11,923 12,795 January 9,684 11,229 13,799 February 10,580 12,676 14,090 March 11,169 15,300 16,283 April 10,652 13,469 13,497 May 10,894 11,896 13,409 June 11,272 12,901 15,004 Total 113,186 144,980 163,576 There are four fulltime equivalents assigned to the cashiering function for the Justice Court. The number of financial transaction, excluding the payments processed through the internet, for Fiscal Year 2004 - 2005 is projected to be approximately 163,576 or an increase of 45% from Fiscal Year 2002 - 2003. The graph, which follows, shows the number of transactions per cashier for the last three fiscal years. Annual Number of Transactions per Cashier 45,000 - 40,000 - 35,000 30,000 25,000 20,000 15,000 '02-'03 '03-'04 '04-'05 Fiscal Year Matrix Consulting Group Page 23 SALT LAKE CITY, UTAH Management Audit of the Justice Court As shown in the chart, the number of transactions per cashier has increased by 22% from Fiscal Year 2002 — 2003 to Fiscal Year 2003 — 2004. From Fiscal Year 2003 — 2004 to Fiscal Year 2004 — 2005, the number of transactions increased by 13%. (2) Criminal Section The criminal section of the justice court deals with violations of public law that are classified into three classes of misdemeanors: class B, C and infractions. These violations are generally punishable by a fine or a short term in the county jail. The SLC justice court Criminal Section also handles small claims cases defined under Utah Code Annotated Rule 78, Chapter 6 and the rules of Small Claims Procedures as disputes to recover monetary claims not to exceed $7,500. Fourteen full time and two part-time court clerks process the workload in the Criminal Section supervised by a lead clerk and the Criminal Section Manager. The small claims caseload is currently processed by the Small Claims lead clerk. Two part-time small claims clerk positions are currently vacant. (2.1) Caseload Criminal cases in the Salt Lake City Justice Court (SLCJC) are initiated by either an arrest or a citation. These cases range from Infractions, Class B, and C Misdemeanors. Although any agency may generate workload for the Salt Lake City Justice Court, there are currently several frequent ticket-writing authorities within the jurisdiction of the SLCJC. They are: • Salt Lake City Police • University of Utah Police • Utah Highway Patrol Matrix Consulting Group Page 24 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Salt Lake County Sheriffs Office • Utah Transit Authority • Utah Motor Vehicle Department • Union Pacific The table, below, reports the workload of the SLCJC from FY 2002 until February 2005. While the number of judges has remained constant the case filings within the SLCJC Criminal Section increased from 15,870 to 17,498 criminal cases a 10% increase. The small claims section received 4,183 fewer filings in 2003-2004 because traffic was re-criminalized during this time period. The table, which follows, presents three years worth of data. Criminal Section Caseload Year Cases Filed Charges Filed Small Claims Filed 2002-2003 15,870 25,627 15,907 2003-2004 17,498 23,353 11,724 2004-2005 15,844 25,088 9,532 % Change -0.2% -2% -40% As shown in the chart, while Criminal Section's caseload increased from fiscal year 2002 — 2003 to fiscal year 2003 — 2004, the caseload from fiscal year 2002 — 2003 and fiscal year 2004 — 2005 was lower (i.e., fewer cases and charges). (2.2) Dispositions The table, below, indicates the number of misdemeanors filed and disposed during FY 2004. It is important to know how well a court is keeping current with its incoming caseload. A good measure of a court's performance in this area is to assess the court's case clearance rate. To calculate a court's clearance rate, the number of cases that are disposed within the year should be divided by the number of filings. In See Bureau of Justice Assistance and National Center for State Courts, Trial Court Performance Standards with Commentary(Washington, DC: US Department of Justice, 1997). Matrix Consulting Group Page 25 SALT LAKE CITY, UTAH Management Audit of the Justice Court theory, the SLCJC should dispose of at least as many cases as are filed each year; meaning that the Court should have a clearance rate of 100 percent or higher. If the Court is disposing of fewer cases than are filed each year, a growing backlog is inevitable. If the Court is keeping pace with its incoming cases, the ratio of disposed cases to filings will be close to 1.0 (or 100%). If the Court is not keeping up with its incoming caseload, the ratio of disposed cases to filings will be less than 1.0 (or less than 100%). Generally, a ratio less than 1.0 (or less than 100%) will indicate that a backlog is developing or that an existing backlog is increasing.2 The SLCJC had a clearance rate of 71% for misdemeanor cases filed in 2004. Dispositions Fiscal Year 2003-2004 Misdemeanors Filed Misdemeanors Disposed Small Claims Filed 17,498 12,384 11,724 The chart, which follows, presents the disposition rate for criminal cases for the Justice Court. Disposition Rate 90% 75% -_ 60% 45% 30% 2003 2004 2005 Year As shown in the chart above, the Justice Court's disposition rate has increased significantly since 2003. 2 Ibid. Matrix Consulting Group Page 26 SALT LAKE CITY, UTAH Management Audit of the Justice Court (2.3) Fines and Fees Collected The table, below, represents the Small Claims filing fees and the fines collected associated with the criminal caseload. The small claims division received 140% more in filing fees from 2002-2003 to 2003-2004. This vast difference can be attributable to several factors, if a government agency files a small claims case and the case is dismissed there are no filing fees. The City of Salt Lake City only pays the filing fees associated with a small claims case if the case is satisfied and the fees are not waived. Also if a citizen is determined to be indigent no filing fees are collected. The fines collected from 2002 -2003 to 2003-2004 represent a 248% increase and while the 2004-2005 data indicates a 445% increase from 2002-2003. Fines and Fees Collected Fiscal Year Small Claim Filing Fees Fines 2002-2003 $34,849 $217,024.10 2003-2004 $83,858 $756,286.07 2004-2005 $86,108 $1,182,628 % Change 147% 445% 4. REVENUES AND EXPENDITURES FOR THE JUSTICE COURT In addition to reviewing workload data for the Justice Court, the project team collected and reviewed budgetary data for the Justice Court for the three fiscal years. The table, which follows, presents a summary of the revenues generated by the Justice Court. Revenue Actual FY 2002-2003 Actual FY 2003-2004 Budget FY 2004-2005 Intergovernmental Revenue $0 ($15) $0 Charges, Fees and Rentals $20,414 $14,939 $0 Fines $8,562,299 $9,408,624 $9,385,504 Miscellaneous Revenue ($10,504) ($54,487) $0 Total $8,572,209 $9,369,060 $9,385,504 % Change — 9% 0.2% Matrix Consulting Group Page 27 SALT LAKE CITY, UTAH Management Audit of the Justice Court As shown in the above table, from Fiscal Year 2002 — 2003 to Fiscal year 2003 — 2004, revenues increased by 9%. However, from Fiscal Year 2003 — 2004 to Fiscal Year 2004 — 2005, revenues only increased by 0.2%. The table, which follows, presents a summary of the expenditures for the Justice Court for three fiscal years. Expenditures Actual FY 2002-2003 Actual FY 2003 -2004 Budget FY 2004-2005 Personal Services $2,019,686 $2,201,361 $2,590,367 Operating and Maintenance $254,333 $255,970 $371,124 Charges and Services $700,965 $796,059 $857,290 Total $2,974,984 $3,253,390 $3,818,781 % Change — 9% 17% As show in the table, Fiscal Year 2004 — 2005 expenditures are budgeted at $3,818,781, which is 17% higher than the previous fiscal year. Also, personal Services costs account for 68% of annual expenditures for the current fiscal year. Matrix Consulting Group Page 28 SALT LAKE CITY, UTAH Management Audit of the Justice Court 3. RESULTS OF THE EMPLOYEE SURVEY The Matrix Consulting Group conducted a survey of employees of the Salk Lake City Justice Court for organizational, operational, and other issues within the Court. This survey was conducted as part of the Management Audit of the Salt Lake City Justice Court. Surveys were distributed to all Justice Court employees. Of the 41 surveys that were distributed, 27 were received for a response rate of 66%. The points, which follow, provide a description of the survey instrument. • While the survey was confidential, respondents were asked to indicate their assignment in the Justice Court. The table below presents the number and percentage of respondents by Division. Current Assignment No. of % of Total Respondents Responses Administration 2 7% Civil Section 6 22% Criminal Section 10 37% Unknown 9 33% Total 27 100% • The survey contained twenty-five statements to which respondents were asked to select one of the following responses: "no opinion," "strongly agree," "agree," "neutral," "disagree," and "strongly disagree." For purposes of analysis, each response was assigned a number; the lower the number the more positive the response. • The statements were designed to provide a better understanding of the perceptions, attitudes, and opinions of Justice Court employees with respect to several key areas. The following points present a discussion of those sections. Customer service:The employee questionnaire included several statements regarding customer service provided by the Justice Court. General administrative operations: Respondents were asked to evaluate statements relating to policies and procedures, employee disciplinary process, as well as accountability for performance. Matrix Consulting Group Page 29 SALT LAKE CITY, UTAH Management Audit of the Justice Court — Appropriate tools and approaches: The survey included statements relating to the appropriateness of current resources provided to staff, as well as the Justice Court's approaches to operations. — Staffing: Employees were asked to evaluate statements relating to staffing in the Justice Court. — Facility: The employee survey included statements regarding the current Justice Court facility, such as adequacy of functional space, etc. • Additionally, the employee survey included two open-ended statements, which asked respondents to identify the strengths of the Justice Court, as well as opportunities for improvement within the Court. The section, which follows, presents a brief overview of the results of the employee survey. Provided at the end of this chapter are the detailed results for the survey, which includes actual responses for each statement included in the employee survey. 1. GENERAL FINDINGS In reviewing the results to the quantitative responses in the first section of the employee survey, it is important to look at the pattern of responses for the entire group versus individual responses. The chart, found below, plots the number of responses that were positive and negative for each statement. Matrix Consulting Group Page 30 SALT LAKE CITY, UTAH Management Audit of the Justice Court Positve Negative Response Distribution Strongly Disagree 111. _ ■Disagree 100% ■Agree 80% 1II Strongly Agree 60% , 40% 1 1 - iir'ui'H I 20% IIIIIIIInn1111111w 00,0_20% 11111111111 � � 1111 � U a0,o 111111 1111111 11 . ° � Iri . . • I �1 -60/0 11 -80% -100% 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 As noted, the chart above presents the positive — negative distribution of responses by statement. As the previous chart shows, the overall responses were mixed. The positive - negative response distribution chart shows that there were statements to which respondents had positive attitudes, as well as some statements to ' which respondents had negative perceptions. ' The sections, which follow, provide a detailed discussion of the results of the employee survey for each of the topic areas as identified. ' 2. RESPONDENTS VIEWED THE CUSTOMER SERVICE PROVIDED AT THE JUSTICE COURT POSITIVELY. ' Respondents were asked to evaluate statements relating to the customer service ' provided by the Justice Court. The chart, which follows, presents a comparison of the results for each statement relating to customer service. Matrix Consulting Group Page 31 A SALT LAKE CITY, UTAH Management Audit of the Justice Court Response Distribution: Customer Service • 25 -- 20 y c 15 let o o - w 10 111111L Strongly Disagree •Disagree c 5 •Strongly Agree ■Agree 3 0 z -5 -10 The Justice Court provides a high Customer service is a priority in the level of service to the community. Court. As shown in the chart, the majority of respondents maintained positive perceptions with respect to customer service. The points, which follow, present the results in more detail. • In response to the statement, 'the Justice Court provides a high level of service to the community, 78% of respondents selected either 'strongly agree' or `agree,' 11% selected `neutral' and 11% selected either `strongly disagree' or `disagree.' • When provided the statement, `customer service is a priority in the Court,' 63% of respondents agreed, selecting either 'strongly agree' or `agree' while 22% of respondents selected `neutral.' Overall, respondents viewed customer service provided by the Justice Court positively. Matrix Consulting Group Page 32 ISALT LAKE CITY, UTAH Management Audit of the Justice Court ki, 3. RESPONDENTS HAD MIXED ATTITUDES WITH RESPECT TO 1 ADMINSITRATIVE AND PERSONNEL SYSTEMS. Respondents were provided several statements regarding administrative and Ipersonnel systems, including application of policies and procedures, accountability, and 0 the disciplinary process. IResponse Distribution: Administrative Systems , 15 I Strongly Disagree 10 ■Disagree I ■Strongly Agree ■Agree u, 5 c 0 1 0. ff) CD w 0 O ID 'cr) —!I! c 5 z I -10 Policies and procedures are The personnel in our Court Employee disciplinary consistently followed in the are held accountable for processes are administered IJustice Court. their performance. consistently and fairly. As shown in the above chart, respondents had mixed perceptions with respect to Ithe statement about administrative and personnel systems. The points, which follow, Iprovide a discussion of the results in greater detail. • When provided the statement, 'policies and procedures are consistently followed in the Justice Court,' 26% of respondents selected `strongly agree' or 'agree,' Iwhile 30% selected `neutral,' and 44% selected either `disagree' or 'strongly disagree.' I • In response to the statement, 'the personnel in our Court are held accountable Afor their performance,' 26% selected `strongly agree,' `agree' or `neutral,' while 111 59% of respondents selected either 'disagree' or `strongly disagree.' Matrix Consulting Group Page 33 A SALT LAKE CITY, UTAH Management Audit of the Justice Court • With respect to the statement, 'employee disciplinary processes are administered consistently an fairly,' 33% selected 'neutral' and 48% selected 'disagree' or 'strongly disagree.' As discussed in the points above, respondents maintained mixed perceptions ' with respect to administrative and personnel systems in the Justice Court. 4. RESPONDENTS HAD MIXED OPTIONS REGARDING TOOLS AND RESOURCES, AS WELL AS APPROACHES TO INTERNAL PROBLEMS AND CRIMINAL PROGRAMS. Respondents were provided several statements relating to the appropriateness of tools and resources provided to staff, as well as approaches of the Justice Court to internal problems and criminal programs. The chart, which follows, presents the results of the survey with respect to the approaches of the Justice Court. Response Distribution 20 15 10 5 - J r Strongly Disagree ec 0 ®Disagree ■Strongly Agree -5 ■Agree -10 -15 z ' -20 _ We have developed innovative We have developed innovative ' solutions to internal problems. approaches to criminal programs, such as the Drug, Domestic Violence, and Homeless Courts. Matrix Consulting Group Page 34 • SALT LAKE CITY, UTAH Management Audit of the Justice Court As shown in the above chart, respondents had mixed opinions with respect to the approaches of the Justice Court to internal problems, as well as criminal programs. The points, below, provide the responses in greater detail. • In response to the statement, 'we have developed innovative solutions to internal problems,' 30% of respondents selected 'strongly agree' or 'agree;' while 52% selected 'strongly disagree' or 'disagree.' r • When provided the statement, 'we have developed innovative approaches to criminal programs, such as the Drug, Domestic Violence, and Homeless Courts,' 67% of respondents selected 'strongly agree' or 'agree' and 19% of respondents selected `neutral.' ' The chart, which follows, presents the results of the survey with respect to staff opinion regarding the resources and tools provided to employees. ' Response Distribution 10 c 5 ❑Strongly Disagree a�ai 0 ■Disagree II Disagree Agree 5 ■Agree ' -10 z -15 ' -20 Overall, we have the I have the right I receive the training I ' right resources to meet technology to do my job need to improve my our needs. efficiently. skills. The points, below, present a discussion of the information presented in the table. • With respect to the statement, 'overall, we have the right resources to meet our ' needs,' 26% of respondents selected 'strongly agree' or 'agree,' while 59% of • respondents selected 'strongly disagree' or 'disagree.' 1 Matrix Consulting Group Page 35 1 SALT LAKE CITY, UTAH Management Audit of the Justice Court • In response to the statement, 'I have the right technology to do my job efficiently,' 44% of respondents selected `strongly agree' or `agree' and 26% selected `neutral.' • When provided the statement, `I receive the training I need to improve my skills,' 33% of respondents selected `strongly agree' or `agree' and 44% of respondents selected `disagree' or `strongly disagree.' Overall, respondents maintained mixed perceptions with respect to the tools provided to staff for performing their jobs. 5. OVERALL, LESS THAN 50% OF RESPONDENTS VIEWED STAFFING LEVELS POSITIVELY. Respondents were asked to evaluate statements relating to staffing in the Justice Court. This included criminal and civil section staffing functions, as well as judicial support provided by the Justice Court. The chart, which follows, provides the percentage of respondents selecting `strongly agree' or `agree' for each statement. % Selecting Strongly Agree or Agree 40% — 35 30% 25% - 20% illELL 15% r. 10% 5% - d 0% We have the We have the We have the We have the We have the The judges The judges appropriate appropriate appropriate appropriate appropriate are are number of number of number of number of in- number of out- adequately adequately Hearing personnel to clerks to court clerks in of-court clerk supported. staffed. Officers to handle public support Court the courtroom. staff in the provide requests for operations. Clerk's Office. customer information service at the over the front counters. phone. • Matrix Consulting Group Page 36 SALT LAKE CITY, UTAH Management Audit of the Justice Court The points, which follow, present the results in more detail. • When provided the statement, 'we have the appropriate number of Hearing Officers to provide customer service at the front counters,' 22% of respondents selected `strongly agree' or 'agree' while 63% of respondents selected `strongly disagree' or `disagree.' • Additionally, 15% of respondents selected `strongly agree' or 'agree' to the statement 'we have the appropriate number of personnel to handle public requests for information over the phone,' while 63% selected `strongly disagree' or `disagree.' • In response to the statement, 'we have the appropriate number of clerks to support Court operations,' 11% of respondents selected `strongly agree' or agree' and 70% of respondents selected `strongly disagree' or `disagree.' Respondents were also provided statements regarding the number of in- and out-of —court clerks. ' — Respondents had mixed perceptions regarding the statement: 'we have the appropriate number of in-court clerks in the courtroom,' with 37% ' selecting `strongly agree' or `agree' and 41% selecting `strongly disagree' or `disagree.' — The majority of respondents (78%) selected `strongly disagree' or `disagree' in response to the statement, 'we have the appropriate number of out-of-court clerk staff in the Clerk's Office. • When provided the statement 'the judges are adequately supported,' 26% of respondents selected `strongly agree' or `agree' and the same percent, 26%, ' selected `strongly disagree' or `disagree.' • On the other hand, respondents had mixed attitudes with respect to the ' statement, 'the judges are adequately staffed,' 30% of respondents selected `strongly agree' or `agree' and 33% selected `strongly disagree.' In addition to staffing, respondents were asked to evaluate statements about the ' cross utilization of staff, as well as the organization and accessibility of records. EID Matrix Consulting Group Page 37 i SALT LAKE CITY, UTAH Management Audit of the Justice Court Response Distribution 15 10 Or `n 5 iilL__ __11111L___ IN m c 0 0 ■Strongly Disagree I x _5 ■Disagree ■Strongly Agree E -10 ■Agree z -15 - - -20 I -25 — _ Our staff are crossed Court records are We do a good job of I trained and utilized to organized and resolving cases prior to better handle peaks in accessible. court. workloads. The points, which follow, provide a summary of the results. II• In response to the statement, 'our staff are crossed trained and utilized to better handle peaks in workloads,' 70% selected `strongly disagree' or `disagree.' • When provided the statement, `court records are organized and accessible,' 37% 9 , of respondents selected `strongly agree' or `agree,' while 33% selected `neutral' and 26% selected `strongly disagree' or `disagree.' I • With respect to the statement, 'we do a good job of resolving cases prior to court,' 37% of respondents selected `strongly agree' or `agree' while 33% I selected `neutral' and 11% selected `strongly disagree' or `disagree.' The section, which follows, provides a review of the results with respect to workload. 6. RESPONDENTS VIEWED WORKLOAD AS HEAVY. Respondents were asked to select one of four statements which described their I current workload. The chart, below, provides the results. isji Matrix Consulting Group Page 38 0 SALT LAKE CITY, UTAH Management Audit of the Justice Court lIF ' Workload About the right ' balance between I could handle more time available and work given the the amount of work. available time. 0% 11% Sometimes my I am always busy workload is heavy and can never catch but most of the time I can keep up. 33% 56% As shown in the chart, 56% of respondent felt that `sometimes [their] workload is ' heavy but most of the time [they] can keep up.' Additionally, 33% of respondents selected the statement 'I am always busy and can never catch up.' 7. WHILE RESPONDENTS VIEWED THE ADEQUACY OF THE FACILITY NEGATIVELY, RESPONDENTS HAD MIXED PERCEPTIONS WITH RESPECT TO COURT ROOM SPACE. ' Respondents were provided a series of statements regarding the aspects of the facility. The chart, which follows, presents the overall results. • Matrix Consulting Group Page 39 I SALT LAKE CITY, UTAH Management Audit of the Justice Court % Selecting Strongly Agree or Agree • 45% 40% 35% - 30% 25% 20% - 15% 10% 5% --- • 0% Our facility adequately We have an adequate We have adequate We have sufficient meets our needs. number of courtrooms workspace to perform storage and support to meet our needs. our jobs. space in our current facility. The points, which follow, provide a discussion of the results with respect to the statements presented in the chart. • In response to the statement, 'our facility adequately meets our needs,' 85% of respondents selected `strongly disagree' or `disagree.' • Respondents had mixed perceptions with respect to the statement, 'we have an adequate number of courtrooms to meet our needs' with 41% selecting `strongly agree' or `agree' and 41% selecting `strongly disagree' or `disagree.' • When provided the statement, 'we have adequate workspace to perform our jobs' 89% of respondents selected `strongly disagree' or `disagree.' • In response to the statement, 'we have sufficient storage and support space in our facility,' 93% of respondents selected `strongly disagree' or `disagree.' The section, which follows, presents a review of the key issue areas respondents were asked to rank. Matrix Consulting Group Page 40 SALT LAKE CITY, UTAH Management Audit of the Justice Court 8. RESPONDENTS WERE ASKED TO RANK VARIOUS AREAS OF THE SALT LAKE CITY JUSTICE COURT. Respondents were asked to review statements relating to issue areas from the most significant issue facing the Salt Lake City Justice Court that should be addressed to the least significant issue. "One" indicates that the issues is the most significant and "five" is identified as the least important. The table, below, presents the results by number of respondents selecting the rank for each of the issue areas. Justice Court 1 2 3 4 5 Information systems and technology 2 0 5 6 10 Staffing 12 9 0 3 1 Workload/processes 1 0 10 7 6 Facility/space 5 7 5 6 2 Alternative dispute resolution 4 8 6 2 4 Respondents were also provided an opportunity to identify `other' issues, which were not included in the issue areas. The points, which follow, present a brief list of issue areas identified by respondents who utilized the 'other' category. • Management/ leadership of the Justice Court • Morale of the Justice Court • Policies and procedures • Training The project team, in order to determine the overall ranking of each issue area, assigned points for each response for each category (e.g., each ranking of '1' received 1 point, each ranking of '2" received 2 points each, etc.). Based on the total points, the table below shows the overall ranking for each issue area from most important ('1') to least important (2'). Matrix Consulting Group Page 41 SALT LAKE CITY, UTAH Management Audit of the Justice Court Justice Court Rank Staffing 1 Facility/space 2 Alternative dispute resolution 3 Workload/processes 4 Information systems and technology 5 As shown, in the table, respondents viewed the staffing as the number one issue facing the Justice Court and ranked facility /space needs as the second priority. This is consistent with the responses provided in previous sections of the employee survey. 9. RESPONDENTS WERE ASKED TO IDENTIFY STRENGTHS AND OPPORTUNITIES FOR IMPROVEMENT. Respondents were asked to identify the key strengths in the Justice Court, as well as opportunities for improvement. The table, which follows, presents the most common areas identified by respondents. What are the most important strengths of the Justice Court? • Good team work helps staff handle large workloads. • Experienced staff. • Good qualifications of court staff. • Specialty courts. What are the most important improvement opportunities facing the Justice Court? • Staffing levels need to be balanced with increasing workload levels. • Development of training programs for staff, particularly new hires. • Current facility size and design limits are a problem. • Stronger management of the Justice Court. • Morale of employees is low. • Support from management. Matrix Consulting Group Page 42 SALT LAKE CITY, UTAH Management Audit of the Justice Court 4. ANALYSIS OF THE CRIMINAL SECTION The Salt Lake City Justice Court's Criminal Section is responsible for processing cases involving violations of public law that are classified into three classes of offenses — Class B, C and infractions. These violations are generally punishable by a fine or a short term in county jail. The Criminal Section is also responsible for the processing of small claims disputes for recovery of monies not to exceed $7,500, as defined by Utah Code Annotated Rule 78, Chapter 6 and the Rules of Small Claims Procedures. Small claims is handled in off hours by part time judges and requires relatively little in-court and out-of-court staff support. The 2004 misdemeanor and infraction caseloads of 17,498 represented less than 10% of the court's total caseload but is both judge-intensive and staff intensive. As this aspect of Justice Court responsibility involves more procedural complexity than other aspects, it raises a number of management and legal issues pertaining to the movement of cases to speedy disposition and related issues of public service and efficiency. The principal issues examined in the criminal section included the following: • Quality of public service • Divulging employee last names to public • Expunging records • Organization of work in the criminal section • Criminal section staffing levels • Expediting workflow within the criminal section • Use of sentencing alternatives to reduce jail overcrowding Matrix Consulting Group Page 43 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Improving court scheduling and court-prosecutor coordination • The filing of informations. • Technology in the courtroom • Need for in-service and new employee training • Introducing records management The following sections provide the project team's assessment of these issues based on interviews with staff and other justice system participants as well as data collected. 1. THE SALT LAKE CITY JUSTICE COURT NEEDS TO DEVELOP A COMPREHENSIVE CUSTOMER SERVICE PROGRAM, INCLUDING A POLICY STATEMENT, STAFF TRAINING AND MONITORING. The Justice Court is a high volume court of limited jurisdiction and as such maintains a significant level of contact with the public. The court was created in large part to provide Salt Lake City residents more improved service than could be provided in the State courts. Given the nature of disputes processed by the court, including traffic matters, small claims disputes, and misdemeanor criminal cases, more Salt Lake City citizens have contact with the City's Justice Court than any other of the State's courts or other municipalities. As a result, the Justice Court provides the basis for much of the public's impression of the administration of justice. This perception can be summarized as follows: The role of the court clerk in representing the judiciary to the public cannot be overemphasized. Few people ever meet a judge or appear before him/her in court. The majority of people who come to the justice court see only the clerks.3 3 The Justice Court Clerk's Manual Representing the Judiciary Matrix Consulting Group Page 44 SALT LAKE CITY, UTAH Management Audit of the Justice Court The nature of the public contact with clerks may take the form of front counter service, regular mail or e-mail, or telephone conversation. Mail contacts are often pro forma notifications and responses, often generated automatically, so the provision of personal service falls largely on those clerks who handle counter or telephone inquiries. Clerks resolve many issues without need for further court action. The Justice Court has been subject to public scrutiny in the past relating to customer services issues. The project team's interviews and observations in the Court have found that: • The multi-tasking of clerks and frequent interruptions can adversely affect productivity. • Clerks often have to deal with anxious members of the public who are seeking information and resolution of matters in an organization with which they have no regular contact and who are dealing with issues of high personal concern such as domestic violence. • The court is generally sensitive to public services issues, with cases accepted and processed by the Criminal Section from Monday through Friday beginning at 7:30 a.m. as a customer service initiative to provide the public with service hours outside of regular business hours. • Staff receive regular customer services training. In the past year this has included courses on cultural competency, stress management, harassment prevention, ethics and confidentiality and customer 'hot buttons'. • Customer service is a category in employee performance assessments which are conducted annually. • `Customer' surveys are conducted among court participants, including members of the public, other justice system participants, etc. This program is in its third year. Based on this, the project team makes the following recommendations: Recommendation: Customer surveys should be analyzed by staff and a report generated on a quarterly basis which identifies issues to be addressed. Matrix Consulting Group Page 45 SALT LAKE CITY, UTAH Management Audit of the Justice Court Recommendation: Develop a training needs assessment, involving staff and Human resources, to structure a program for personal and Court service improvement. Recommendation: Each of the major areas of public contact should be evaluated for the level of service required and alternative methods of public service that do not require direct contact with a clerk, such as the court's planned interactive voice recognition (IVR) system for payments and web-based applications. This is designed to triage out the points of contact not requiring that level of interaction so that staff can concentrate on those points of contact requiring human interaction. 2. THE COURT'S POLICY OF NOT DIVULGING LAST NAMES OF CLERKS TO THE PUBLIC HAS BECOME ACCEPTED PRACTICE IN THE COUNTRY. The Criminal Section of the Justice Court has established a policy of not providing the full names of line staff members to the public. Members of the Salt Lake City criminal justice community, as well as city managers and lawmakers, have expressed concern over this practice. It was also noted that staff in the Salt Lake City Justice Court are required to sign their full name on legal documents which would, in fact, allow an individual access to a clerks' full name. However, when dealing with irate or upset customers a clerk is not required to divulge their last name. The practice of holding the last names of court employees confidential is becoming a common protective device in courts, as increased attention is given to court security. Courts vary, however, in the extent of protection provided to employees as they balance the need to be as helpful as possible to court customers, while ensuring the safety of employees. Maintaining confidentiality is not intended as a device to diminish accountability in delivering high quality service to the public, but merely as a means to protect public employees from angry and disgruntled court users. To ensure the court's accountability to the public, the full names of Justice Court judges, senior court officials, and unit leaders are made available to the public. This strikes a balance Matrix Consulting Group Page 46 SALT LAKE CITY, UTAH Management Audit of the Justice Court between transparency and harassment of frontline workers, permitting customers to address concerns to those persons held ultimately responsible for the management and administration of the court. A survey conducted relative to this issue supports the preceding. Nine limited jurisdiction courts were contacted and asked the following two questions: • Do clerks provide their last names to the public? If not, why? • Does the court have a formal policy on providing last names to the public? All the courts surveyed indicated that clerks are not required to give their last names to the public. Two of the courts have written policies on the issue while a third court is in the process of revising its personnel policies and will include a provision in the revised personnel handbook indicating that employees are not required to divulge their last names. The remaining courts had no written policy but regarded not divulging last names as accepted practice. The courts were also unanimous in their rationale that not divulging last names afforded front line staff some added security from angry and disgruntled court users. As a result of this survey and our experience with other courts around the • country, the project team finds that the court policy is within the range of accepted practices emerging in the court security area. Recommendation: Continue the practice of not divulging line employee last names to the public. Consideration should be given to posting this policy in a conspicuous place in the Court's public area. 3. THE SALT LAKE CITY JUSTICE COURT HAS AN EFFECTIVE APPROACH TO EXPUNGING RECORDS. The expungement of a record is the process of sealing a criminal case after the case has been resolved. Utah Code Annotated Title 77 §§ 77-18-10 through 77- 18-17 Matrix Consulting Group Page 47 SALT LAKE CITY, UTAH Management Audit of the Justice Court defines the process in its entirety. The Justice Court is duty-bound to comply with Utah code in processing motions to expunge records. The Court's involvement in this process is the culmination of a potentially long administrative process which requires the individual to apply at the Bureau of Criminal Investigation (BCI) for fingerprinting and approval. If approved, the individual will receive a certificate of eligibility within 4 to 6 weeks. A petition and order of expungement is then completed and filed with the Justice Court. The Prosecuting Attorney must be served and has 30 days, by statute, for review of the record. An expungement cannot be granted within 30 days of service, to allow the prosecuting attorney sufficient time to file a written objection. The Department of Corrections may be asked to prepare a written evaluation, by which the individual will be given an opportunity to refute the evaluation in writing. A hearing may then be held or, if there are no objections, the Court may make a decision based upon the written documentation. Upon successful completion, the court will grant expungement and issue a certificate. The individual is responsible for serving all affected agencies. In discussions with Justice Court officials it was noted that hearings rarely occur in these cases, perhaps only once per year. When proper documentation is completed without written objection, an expungement order is typically signed within a few business days. The project team reviewed the court's involvement in the expungement process and, given the court's limited involvement and discretion in the process, can make no recommendations to increase efficiency. Recommendation: Continue existing practices regarding expungements. Matrix Consulting Group Page 48 SALT LAKE CITY, UTAH Management Audit of the Justice Court 4. CRIMINAL SECTION CLERK ROLES SHOULD BE PRIORITIZED. The Criminal Section employs 14 full time employees, two (2) part-time employees, and a domestic violence court clerk funded through a grant. Overall direction is provided by a lead clerk and the Criminal Section Manager. Each full-time judge is assigned 2 clerks for in court roles, while the part-time judge is assigned 1 clerk for in court roles. Remaining Criminal Section clerks work outside of the courtroom. Typical duties include the following: • Out-of-Court Roles — Criminal Section Out-of-Court roles include: - Customer service at the front counter and answering telephones; — Scanning and entering data/documents into the case management system; - Accessing and preparing court files for courtroom proceedings; - Preparing a wide array of documents for judges' signature; Monitoring tickler files for compliance with court orders; Preparing outgoing mail, including notices of hearings, warrants, and correspondence; Preparing and processing bail bonds. • In-Court Roles — In Court roles focus on proceedings within the courtroom. They are in attendance during each court session to assist the judge and manage courtroom proceedings, including: Pulling and preparing court files for court; — Preparing and entering into the case management system minute entries and orders of the court; — Transmitting jail commitments when defendants are sentenced; - Transmitting orders for pre-sentence investigation to probation; Monitoring tickler files for compliance with court orders; Matrix Consulting Group Page 49 SALT LAKE CITY, UTAH Management Audit of the Justice Court - Issuing bench warrants; - Monitoring judicial correspondence; — Answering of specific telephone calls from various court users. In addition to these tasks, each In-Court and Out-of-Court Clerk of the Justice Court is assigned a court-wide duty, including the processing of warrants, bonds and bond forfeitures, jury management duties, and interpreter service responsibilities. Warrants for individuals who fail to appear in the Justice Court are distributed to several Criminal Section clerks for processing after each Court session. These clerks process the warrants as quickly as possible, though this may result in non-uniformity in the time frames for processing of warrants. The distribution of case files throughout the Criminal Section clerks' offices creates tracking issues and also complicates the necessary follow-up for the clerk assigned to monitor bond forfeitures. Once a warrant is issued, a clerk must review court orders to determine which files are bond forfeiture files, which files are not, and to which of the in-court clerks they are assigned. Simultaneously, two of these clerks are assigned non-case specific tasks of jury management and interpreter services, reducing the amount of time these clerks can devote to processing cases, delaying the ultimate processing of the warrants, often beyond required time frames. Because of these issues, the project team recommends the following: Recommendation: The organization and assignment of such a high priority function as warrants should be realigned to promote efficiency and consistency. Matrix Consulting Group Page 50 SALT LAKE CITY, UTAH Management Audit of the Justice Court 5. THOUGH AT THE UPPER END OF COMPARISONS WITH OTHER LIMITED JURISDICTION COURTS, CRIMINAL SECTION STAFFING LEVELS SHOULD REMAIN THE SAME UNTIL AN INDEPENDENT WEIGHTED CASELOAD STUDY CAN BE CONDUCTED. The most reliable way to measure staff need or judge need is on the basis of weighted caseload analysis within the court or court system being studied. Because many staff activities are not case-related, there is additional calculation to develop a complete picture of staff need. This approach was not possible within the resources of this project. The remaining option was comparative analysis with other courts through the use of gross caseload statistics and review of internal operations. Cases in the courts vary in complexity. Different types of cases require different amounts of time and attention from clerks and court support staff. Focusing on raw case counts without allowing for differences in the amount of work associated with each case type creates an opportunity for the misperception that equal numbers of cases filed for two different case types result in an equivalent amount of work for the court. For example, a typical DUI case has a much greater impact on the resources of a court than a traffic case. Furthermore, certain other case types, such as domestic relations cases involving minor children and juvenile abuse and neglect cases, may require continued attention over a long period of time. Therefore, a method that can reliably account for the differences in the workload generated across various case types is necessary to accurately determine the staff needed to handle the entire court caseload. The National Center for State Courts has been conducting judicial and staff needs assessments involving "weighted caseload analysis" for the last decade. These assessments provide courts with meaningful and easily understandable criteria for determining overall staff requirements, taking into consideration both case-related and Matrix Consulting Group Page 51 SALT LAKE CITY, UTAH Management Audit of the Justice Court non-case-related functions performed by staff. A needs assessment is a resource evaluation methodology that is being adopted by an increasing number of states to determine the need for court staff and judicial officers. The needs assessment "weights" cases to account for the varying complexity among court cases. By weighting court cases, an accurate assessment can be made of the amount of staff work time required to process the court's caseload, (i.e., court staff workload) from filing to disposition. The core of the needs assessment model is a time study in which staff track the amount of time they spend on various case types under investigation. When the time- study data are joined with filing data for the same time period, it is possible to construct a "case weight" for each case type. Each case weight represents the average amount of time required for court staff to process a case from filing to disposition. Applying the case weights to current or projected annual case filing numbers results in a measure of staff workload. When the workloads are divided by the amount of annual time available per court staff, an estimate of staff resource requirements results. This approach is sufficiently rigorous to measure staff resource needs and evaluate resource allocations. The primary goal of a court Staff Needs Assessment Study is to provide an accurate picture of the amount of time staff need to resolve different types of cases in an efficient and effective manner. There are three phases to the study and each phase builds upon the product of the previous phase. • First, the data collected during the time study are analyzed to produce a workload value. The workload value is a combination of the case weights (average time for each case type under investigation) and the annual case filings. Phase 1: Case weights x Case filings = Workload Matrix Consulting Group Page 52 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Phase two, applies the staff annual availability value to the workload value to determine the FTE demand for the court. Phase 2: Workload / Annual Availability= FTE Demand. • Finally, in phase three, the FTE demand value is compared to the current FTE availability to generate the FTE need for the court. Phase 3: FTE Availability— FTE Demand= FTE Need To put indicators or workload and staffing in some perspective, however, the project team conducted a limited comparative analysis of other courts in the western United States. Data was collected from other similar limited jurisdiction courts in order to obtain a comparison regarding general staffing levels relative to caseload (see Appendix A for the complete results). To select comparable courts, similarities in court jurisdiction, caseload, and local population of cities, were identified. The final list of comparable courts was reviewed and approved by the Justice Court, resulting in the following list of comparable courts surveyed. • Salt Lake County Justice Court, Utah • West Valley Justice Court, Utah • Sandy Justice Court, Utah • Eugene Municipal Court, Oregon • Tacoma Municipal Court, Washington • Spokane Municipal Court, Washington • Seattle City Court, Washington • Henderson Justice Court, Nevada • North Las Vegas Municipal Court, Nevada • Las Vegas Municipal Court, Nevada Matrix Consulting Group Page 53 SALT LAKE CITY, UTAH Management Audit of the Justice Court Information was collected by phone and written questionnaires and, once received, the data was analyzed by the project team. The results of the analysis are summarized below with the caveat that the differences among the courts and the inherent problems of using gross caseload statistics provide an extremely rough measurement of need. The purpose of the comparative survey was not to specify necessary staffing levels but to place the Justice Court in a comparative spectrum that can serve as a general indicator of staff and judge needs. Clearly, internal Court management issues, access to technology, customer service issues (including different approaches to court scheduling) and differences in jurisdictional responsibility also have a real bearing on staff resource needs. These internal service and management issues vary significantly from court to court. The comparative analysis revealed the following. (1) Gross Filings Per Full-Time Employee in the Justice Court Were Higher Than Other Courts in the Sample. The table, below, provides a graph of how surveyed courts compared on the basis of filings per full time equivalent position (FTE). Matrix Consulting Group Page 54 SALT LAKE CITY, UTAH Management Audit of the Justice Court Filings Per FTE Salt Lake City(44) six � :� a t ; West Valley City,UT(19) �¢ Seattle City Court WA(250) `� ' $ Sandy Justice Court,UT(1325) .i Spokane WA Municipal Court(49.7) p r i Tacoma WA Municipal Court(31.5) Eugene OR Municipal Court(23.75) ' s Las Vegas Municipal Court(180) i . Henderson NV Justice Court(19) Salt Lake County,UT(20.5) N.Las Vegas NV Municipal Court (57) tt 0 1000 2000 3000 4000 5000 6000 In comparing staffing levels between each of the selected courts and the Salt Lake City Justice Court, the average number of case filings per clerk was calculated. It is notable that all full-time positions were included in the analysis, regardless of whether the duties of clerks were strictly administrative, strictly case processing, or a combination of both. Results include: • Salt Lake City Justice Court clerks reported the highest ratio of case filings per full time employee, at one full time employee per 5,529 case filings. • The second highest court in this category, West Valley City Justice Court, reported one full time employee per 2,280 case filings. • The next court, Seattle City Court, showed only 2,166 case filings per employee. Considering the ratios for all of the comparison courts, the project team arrived at an average ratio of 1,467 case filings per full time employee, a number significantly lower than that of the Salt Lake City Justice Court. Matrix Consulting Group Page 55 SALT LAKE CITY, UTAH Management Audit of the Justice Court (2) The Annual Filings Per Judicial Position in the Salt Lake City Justice Court Were the Second Highest in the Sample. The project team then compared the number of case filings per judicial position. The results of this are shown in the following graph: case Filings Per Judicial Position Salt Lake City(4) 4 , Las Vegas Municipal Court(6) T- , Eugene OR Municipal Court(5) ° � r ems'' a . e5 - -� West Valley City,UT(2) :gt mow. Henderson NV Justice Court(2) R r-� ' � ,may ,> Spokane WA Municipal Court(5.5) . -. . S N.Las Vegas NV Municipal Court r 'z " M y 1 (2) "� �'X c k f s i' vY 1p'". Seattle City Court WA(16) v �� x � <'� � � ? , Tacoma WA Municipal Court(4) A. , Sandy Justice Court UT(2) P � } _ � ��, � Salt Lake County,UT(3) � .•- . -, •.S S 0 1000 2000 3000 4000 5000 6000 7000 8000 The comparative survey also considered annual filings per judicial position in order to display the number of cases filed per judge in each of the selected courts. Key • findings include: • Judges in the Salt Lake City Justice Court showed the highest filings to judge ratio, reporting 7,305 case filings per full time)udge. • The next highest court was the Las Vegas Municipal Court which showed a ratio of 6,723 case filings per full time judge. • The mean average of all selected courts was 3,931 cases filed per judge. Matrix Consulting Group Page 56 SALT LAKE CITY, UTAH Management Audit of the Justice Court In addition, the Salt Lake City Justice Court's criminal caseload has fluctuated over the past three years as shown in the table, below. Caseload of Criminal Section (2002-2005) Year Cases Filed Charges Filed Small Claims Filed 2002-2003 15,870 25,627 15,907 2003-2004 17,498 23,353 11,724 2004-2005 15,525 25,408 9,785 While the number of judges has remained constant during this time, the following case trends have resulted: • Case filings within the Criminal Section have gone from 15,870 (2002-03) up to 17,498 (2003-04) and back down to 15,525 (2004-05). • Charges filed have gone from 25,627 (2002-03) down to 11,724 (2003-04) and then up to 25,408 (2004-05). • Small claims have declined in each year and are down 38% since FY 2002-03. The last comparative measure examined by the project team is the judicial position to line staff position ratio, a common comparison point among courts. (3) The Judge-Staff Ratio for the Salt Lake City Justice Court Was Very Close to the Median for the Courts in the Survey In limited jurisdiction courts, the case volume creates judge staff-ratios that may range from 7 to 10 staff members per judge. Judge to staff ratios are a rough indicator of staff need. In this regard, the Justice Court was ranked slightly over the median for the courts in the sample and just under ten staff per judicial position (at 2005 staffing levels). Recommendation: The comparative survey indicates that by a variety of measures the Salt Lake City Justice Court operates with workloads significantly higher than other courts. However, before any staffing adjustments are made a more rigorous weighted case workload assessment should be conducted. This Matrix Consulting Group Page 57 SALT LAKE CITY, UTAH Management Audit of the Justice Court effort was beyond the scope of this project. The project team recommends that a weighted caseload analysis be conducted by an independent party at an estimated cost of$75,000 — $125,000. 6. THERE ARE STEPS WHICH THE COURT SHOULD TAKE TO EXPEDITE WORKFLOW IN THE CRIMINAL SECTION. As part of this study, the project team observed and reviewed the current processes used for case processing in the Criminal Section of the Justice Court through interviews with court clerks. Workflow diagrams were developed, with input from Criminal Section clerks and are attached to this report (see Appendix B). The points below summarize our understanding of the key public process for a criminal matter: • Step 1: Citation or Arrest Criminal cases in the Justice Court are initiated by either an arrest or a citation. These cases range from Infractions, to Class B, and C Misdemeanors. Any law enforcement agency, not just a local one, can write a citation or make an arrest in Salt Lake City which would be processed through the Salt Lake City Justice Court. • Step 2: Arraignment - Not in custody mandatory appearance Some violations require the citizen to appear before a judge. The signature on the citation is a promise that the person will appear in court within 14 days. The citizen comes to court for an arraignment hearing and appears before a judge. Arraignment calendars often over 100 cases on a given day. If an individual is arraigned on a heavy day they can wait up to 3 — 4 hours before their case is heard, and if they leave before their case is heard, a warrant will be issued. Prosecuting attorneys do not always attend arraignments. Rather plea agreements are faxed to the court by the Prosecutor's Office on the day of arraignment, a process which raises concern by many stakeholders within the criminal justice community. The defendant can plead guilty, not guilty or no contest. If a not guilty plea is entered, a pre trial conference is scheduled, which could be over 90 days later. • Step 2(a): In custody mandatory appearance Where a defendant is in custody, an arraignment is held through a video link between the jail and the court. Defendants are advised of the charges against Matrix Consulting Group Page 58 SALT LAKE CITY, UTAH Management Audit of the Justice Court them, given the opportunity to plead, have bail set, and have the opportunity to speak to public defenders. For other hearings and appearances a custodial defendant will be transported to the court. • Step 2(b): Non-mandatory appearance before a judge The defendant can pay a fine within 14 days or plead not guilty by calling the court and scheduling an arraignment. • Step 3: Pre-Trial Conference During the pre-trial conference, the defendant meets with the prosecuting attorney regarding their case. Depending upon the size of the court calendar, the defendant and the prosecuting attorney may be required to wait several hours before their case is heard. Generally, defendants with lawyers and those who are incarcerated are heard first, helping to defer the hourly costs to those defendants who have hired an attorney. Priority in calling the court list is also given to incarcerated individuals in order to limit their exposure to the general public. This procedure is well acknowledged as common practice in courts and identified under best practices. The defendant may change their initial plea to guilty and be sentenced, accept a plea, if offered, or request a trial date. Depending upon the circumstances, the defendant may be sentenced then, or the judge can request a pre-trial investigation in which the defendant must return for sentencing. It is not uncommon for a case to be scheduled for another pre-trial conference before a trial date is set. Currently trial dates are being scheduled 3 to 6 months from the date of arraignment. If a motion hearing is requested the defendant may need to appear in court prior to the trial date. • Step 4: Day of Trial The Justice Court conducts two types of trials; bench trials and jury trials. Defendants have the right to a jury trial in all Class B & C misdemeanors, all infractions will be tried in a bench trial setting. If the defendant is pronounced guilty, sentence must be imposed not less than 2 days, nor more than 45 days, after the verdict or guilty plea is entered. With respect to this key judicial process, the project team's interviews and data collection have found that: • The process can take up to 8 months from date of arrest or citation and has multiple court events, such as scheduled pretrial conferences. Matrix Consulting Group Page 59 SALT LAKE CITY, UTAH Management Audit of the Justice Court • The court is not driven by ABA or COSCA (Conference of State Court Administrators) time standards, both of which set 90 days as an outer limit on misdemeanor processing. • However, in order to lessen time frames to better approach the 90 day goal set forth in ABA and COSCA model time standards, the court should evaluate both the delayed scheduling time frames for court events and the necessity of each court event. The pre-trial conference for defendants pleading not guilty is scheduled up to 60 days following arraignment. This time frame should be reviewed to determine whether the court has the resources available to offer more frequent pre-trial conference dates and therefore scheduling of pre-trial conferences within 30 days from arraignment. In some cases, a second pre-trial conference is scheduled, moving ultimate case disposition even further into the future. The court should consider whether this second pre-trial conference is necessary to the appropriate disposition of the case, or whether more pre-trial matters can be addressed within one pre-trial date. • In addition, trial dates are currently scheduled at least 4 months following arraignment. The court should attempt to schedule misdemeanor trial dates within 90 days of arraignment. • In order to reduce case processing time the court needs to resolve cases as early in the process as they can so that the judges can dedicate more time adjudicating the more "serious" charges. The prosecuting attorney's consistent presence at arraignments would resolve some cases going to pre-trial (or not). • The court also should consider the institution of an infractions calendar which would help reduce the number of cases on the docket and, although not a problem, the institution of firm court dates via fewer continuances will reduce case processing times. Recommendation: The Justice Court should establish its own court processing standards where they do not exist and review standards for completion of case proceedings where they do exist to identify procedures having the potential to reduce case processing times. This should be accompanied by modifications to the case information system, so time to disposition statistics can be produced. 7. USE OF SENTENCING ALTERNATIVES TO REDUCE JAIL OVERCROWDING AND COSTS. The Salt Lake City Justice Court, as is the case in many courts throughout the country, has several programs that direct many defendants into community service or treatment programs that have positive implications for the community and for the Matrix Consulting Group Page 60 SALT LAKE CITY, UTAH Management Audit of the Justice Court individuals, with the added benefit that they can reduce levels of incarceration. Defendants who qualify for each program, are generally first time and minor offenders or those who would be expected to benefit from a "second chance." Examples of the programs in use in Salt Lake City include: • Homeless Outreach Program — Homeless individuals, many of whom have several active misdemeanor cases pending at any given time, can attend court to have their cases adjudicated and agree to community service sentencing. Community service obligations can be satisfied by attendance at alcohol and drug treatment centers or other similar restorative programs. • Focus Program is a similar program used by the Justice Court to provide restorative sentencing and limit incarceration. This program is intended for defendants charged with Reckless Driving DUI Reduced. They are required to attend review hearings and receive regular UA tests. • Passages Program — Defendants convicted of shoplifting, disorderly conduct, or sex solicitation may also be sentenced to the alternative Passages Program. The project team observed several court sessions, attended the homeless court session, interviewed each judge, and discussed various alternative sentencing practices in use in the Justice Court. The project team finds that: • Community service programs available in the Salt Lake City community reduce jail overcrowding, are not merely substitutes for fines, and ensure the availability of valuable incarceration space to more serious offenders. • Their effect on recidivism and individual rehabilitation cannot be demonstrated empirically but other studies conducted by the project team have shown that programs of this type are more likely to have positive effects in these areas than will incarceration. As a result of these findings, the project team recommends the following: Recommendation: Continue to utilize existing approaches to jail alternatives, examine ways to expand existing program use and additional alternative sentencing options. This should be a multi-agency approach to maximizing these programs. Matrix Consulting Group Page 61 SALT LAKE CITY, UTAH Management Audit of the Justice Court 8. THE JUSTICE COURT SHOULD CONSIDER ALTERNATIVE APPROACHES TO CASE SCHEDULING. The Salt Lake City Justice Court utilizes a hybrid calendar system. The Court employs an individual judge calendar for domestic violence cases to allow the judge to become better acquainted with individuals and provide greater continuity and attention to this sensitive societal issue. This is an important investment of resources for a high volume court with 4 to 5 judges. In Salt Lake City, the Justice Court currently schedules cases as follows: + Monday Tuesday Wednesday Thursday Friday DV t it A.M. Review PTC Gen Arr. DV Jury P.M. Bench Trial PTC DV Jury Homeless Arr. n t A.M. ... zv . Gen Arr. Gen Arr. PTC/RH Gen Arr. P.M. Bench Trial MondayTuesda WednesdayThursday Friday y Trial 1 xM ' �u A.M. Jury PTC P.M. Jury Law & Motion PTC/Sent Trial 2 � e r= .0 A.M. PTC Jury Review PTC . P.M. PTC Jury Traffic BT A.M. Traffic BT Gen Arr. Jury P.M. Jury Based on interviews and observations, the project team found: • The current calendar highly utilizes current judicial and staff resources available. • Judicial proceedings are often constrained to minimize the public's waiting time. • Calendar add-ons contribute a special problem for clerk staff that are required to locate files, process appropriate documents, and notify the prosecution for each add-on placed on the calendar. Matrix Consulting Group Page 62 SALT LAKE CITY, UTAH Management Audit of the Justice Court In an alternative master calendar system judges are assigned to preside over particular court events rather than maintaining responsibility for all court events in the life of a case. The advantages of a master calendar include: • The maximization of judge bench time. • An increase in the likelihood of a firm trial date. • Greater uniformity in policies regarding continuances and trial preparation. Master calendar judges coordinate their schedules so that they handle a mix of court events (jury trial, arraignment, pretrial conferences) without all handling similar events on the same day. This spreads out events over the course of a week and provides a high degree of equity in judicial workload. While the project team is not recommending adoption of a master calendaring system, we are asking that it be considered. The project team does recommend the following: Recommendation: Add-ons should be scheduled for appearance three (3) working days after their request is made. This would allow sufficient time to prepare the file and advise the prosecuting attorney. 9. THE FILING OF INFORMATIONS HAS BEEN ADDRESSED BY JUSTICE SYSTEM PARTICIPANTS. The timing for the filing of an Information has been discussed throughout the Salt Lake City Justice Community as a means to reduce the workload of the prosecuting attorney and clerk staff. Several legal opinions of conflicting views have been written regarding the appropriate time frame within which the prosecuting attorney should file an Information with the court. Matrix Consulting Group Page 63 SALT LAKE CITY, UTAH Management Audit of the Justice Court Larry V. Spendlove, Senior City Attorney, defines an Information in his legal opinion dated June 24, 2004 as: A criminal "information, " as defined at Utah Code §77-1-3, means "an accusation, in writing, charging a person with a public offense which is presented, signed, and filed in the office of the clerk where the prosecution is commenced pursuant to UCA § 77-2-1.1." Rule 5 of the Utah Rules of Criminal Procedure (URCrP) states that "[ulnless otherwise provided, all criminal prosecutions whether for felony, misdemeanor or infraction shall be commenced by the filing of an information or the return of an indictment." (emphasis added) Rule 4, URCrP, requires that "[ulnless otherwise provided, all offenses shall be prosecuted by indictment or information sworn to by a person having reason to believe the offense has been committed. (emphasis added) All informations are to be signed by the prosecuting attorney. See UCA §77-2-1.1. The rules and statues which govern the filing of an Information do not create a timeframe for the filing of an Information. Currently, on cases that require an Information, the policy is that Informations are to be filed prior to the arraignment date. It appears that Justice Court judges accept the filing of an Information after arraignment but prior to the pre trial conference. This issue has been addressed. Recommendation: The issue of the filing of informations has been addressed by justice system participants. 10. THE JUSTICE COURT NEEDS TO CONTINUE WITH THE IMPLEMENTATION OF TECHNOLOGY IN THE COURTROOM. The Justice Court is moving forward in its use of technology for case processing. Informations are currently scanned and joined in the court's electronic case file. An interactive voice recognition (IVR) system is being implemented to allow court customers to pay traffic and parking citations over the phone, and soon second or third computers will be installed in the courtrooms. The IVR system will also allow for the management of juries. Matrix Consulting Group Page 64 SALT LAKE CITY, UTAH Management Audit of the Justice Court Project staff have observed that computers are available to the judges on the bench, however, few use them and no judge actually accesses the court's case management system from the bench. Judges routinely review orders and verify the presence of various documents in the paper file to determine if the proper charging documents are filed and also whether a defendant is in compliance with previous orders. The need to review relevant documents is essential in the case of a part time judge substituting in a judges' absence. Access to and use of an electronic case file from the bench will expedite this review process. The current system is configured to allow the courtroom clerk to perform data entry during court proceedings, such as entering orders including fines, fees, classes, or restitution. The courtroom clerks' entries to the case management system are immediately available for the clerk's office counter staff to serve individuals as they leave the courtroom. Additionally, the courtroom clerk can perform queries to retrieve information from the automated case management system. They cannot, however, display the results on a monitor for the judge to view. Introducing new technology to the court is directly proportional to the comfort level the judge has with the process and technological change. As all courts, including Salt Lake City's Justice Court, move closer to utilizing an electronic medium for case files, judges should be introduced to the electronic case file within the case management system to allow them to become familiar with the system and informed about its capability and usage. Recommendation: Justice Court judges need to be provided the tools and training necessary to become familiar and comfortable with utilizing technology from the bench. In order to assist them in accessing information, a view-only screen should be set up to allow judges to view case files electronically. A Matrix Consulting Group Page 65 SALT LAKE CITY, UTAH Management Audit of the Justice Court courtroom clerk can manipulate the screens for the judge, familiarizing them with the look and content of the electronic file, and with the various available applications and case information. 11. THERE IS A NEED FOR EXPANDING IN-SERVICE AND NEW EMPLOYEE TRAINING. The project team has reviewed the new employee training and the continuing education of staff in the Salt Lake City Justice Court. While the project team has found that training exists for both new and existing employees, we have found that: • A missing but important component of the Salt Lake City Justice Court operation is the availability of staff education and training programs on the fundamental concepts of caseflow management, case management (compliance), office automation, and judicial branch functions. • There is also little to no staff training available on the specific details of the day- to-day operations of the clerks' office. The majority of employees hired in the Justice Court have no previous court experience, making the need for training even more critical. Recommendation: The Salt Lake City Justice Court should provide training for new staff and continuing training and education opportunities for existing staff. The continuing education should include job function training and other career development education. The availability of training will act to make efficient use of personnel, prepare employees for advancement to higher positions, build organizational morale, help implement new duties, responsibilities and technology, help develop employee skills, and substitute as a fringe benefit in lieu of salary increases.4 12. THERE ARE SEVERAL SIGNIFICANT RECORDS MANAGEMENT ISSUES IN THE SALT LAKE CITY JUSTICE COURT. Currently, Justice Court records are stored in three separate locations: • Pending and active civil and traffic files from 2002, 2003, 2004 and 2005 are stored in vertical rotating file shelves on the first floor of the court behind the clerks' work space. • The sally port at the rear of the courthouse contains criminal case files from 2002, with warrants attached, on shelves along the back wall. a National Association for Court Management, Trial Court Personnel Management Guide,(Williamsburg,VA: National Center for State Courts,May 1993)page 1028. Matrix Consulting Group Page 66 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Criminal cases from 2003, with warrants attached, are stored in a hallway behind the courtrooms against the wall on the floor. Closed cases are stored to capacity in an upstairs file room. Although the Court is conforming to records retention schedules, this makeshift storage of court records puts at risk the integrity of the files and enhances the risk of lost court records. Clerks have reported and the project team have observed that records are frequently difficult to locate when needed by court users. In addition, confidential court records are accessible by any court staff member and can be removed from any of the three filing areas without the need to record the removal of the file, the name of the person requiring the file, or the purpose for which it is removed. Key issues conclusions associated with these approaches to records management include: • The records management system is very poor. • Secure yet accessible (to staff) space is insufficient. • There is no governing policy or accountability relative to the maintenance of court records. Recommendation: The Justice Court should upgrade the responsibility for records management in the organization assigning overall responsibility to the Court Administrator or one of the Section Managers. The Court needs to ensure that it continues to conform to current records retention policies, evaluate alternative policies and that alternative methods of file storage are evaluated and maximized, such as scanning and off site storage. The possible benefits of this step include: • Financial savings as a result of the elimination of the creation of redundant records. • Space savings gained by ensuring that only necessary records are stored for only the necessary time. • Time savings of support staff in storing and working through unnecessarily large or complicated records collections. Matrix Consulting Group Page 67 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Improvement in the quality of service to the public. Recommendation: The Justice Court and the City need to move to address a serious file storage problem in the Justice Court. Secure off site storage for older records should be pursued, at an estimated annual cost of $5,000 — $10,000; acceleration of file scanning should be accomplished through contract or temporary staff, at an estimated one year cost of $10,000; and consideration be given to shorter records retention schedules, where the law allows. Matrix Consulting Group Page 68 SALT LAKE CITY, UTAH Management Audit of the Justice Court 5. ANALYSIS OF THE CIVIL SECTION The Civil Section of the Salt Lake City Justice Court is primarily responsible for processing parking citations, as well as traffic tickets. Additionally, the Cashiering Unit is organized as part of the Civil Section. The sections, which follow, present a discussion of the Civil Section, including an overview of current operations, processes, workflow and opportunities for improvement. The cashiering and collections functions are discussed in the following chapter. 1. THE CIVIL SECTION IS RESPONSIBLE FOR PROCESSING ALL CRIMINAL TRAFFIC TICKETS AS WELL AS PARKING CITATIONS AND OTHER CIVIL VIOLATIONS. The Civil Section is responsible for processing all criminal traffic tickets, parking citations and other civil violations. This section is responsible for providing customer service via the front counter, as well as responding to requests for information via the phone. Additionally, staff are assigned a variety of additional duties, which assist the Court in processing work. (1) The Civil Section Has a Total of 14.0 Fulltime Equivalents. The Civil Section is staffed with approximately 14.0 fulltime equivalents, including 1.0 manager, 2.8 clerks and 10.0 hearing officers. The points, which follow, briefly highlight the key functions of staff in the Civil Section. • Manager: The Civil Section Manager is primarily responsible for managing and directing the operations of the Civil Section, including assigning work, running and quashing warrants, coordinating payments from rental companies, coordinates with the collections agency, etc. • Clerks: There are 2.8 clerks in the Civil Section. Two clerks share the following responsibilities: processing paperwork, reviewing payment plans for compliance, dismissing parking tickets, distributing mail, issuing courtesy and collections Matrix Consulting Group Page 69 SALT LAKE CITY, UTAH Management Audit of the Justice Court letters, updating service information, etc. There is one clerk, who is responsible for scheduling Resolution Hearings and Bench Trials for traffic tickets, and prepares case files and paperwork, as well as processes payments for the traffic school contractor. • Hearing Officers: There are 10 hearing officers assigned to the Civil Section. The hearing officer function is responsible for reviewing parking and traffic citations, which the public is contesting, as well as adjusting fines based as needed and establishing payment plans. In addition to the four hearing officers assigned to the front counter, the remaining hearing officers (6.0) assigned to the back office, responsible for answering phones and providing public information. Besides reviewing citations contested by the public, hearing officers are assigned additional duties. Assignments by hearing officers are presented below: — Review Moving Violations PERTEC report for errors in code, fees, and fines, as well as citations for which court is mandatory. — Review Parking Citations PERTEC report, which includes verifying correct information on parking tickets entered into the system, as well as downloading and storing digital pictures. - Coordinate the Gotcha Program, including petitioning of the State for a portion of the delinquent defendant's tax return. — Serve as the Resolution Hearing Officer, as well as coordinating with the Meter Shop to verify broken meters and serve as the liaison with the Police Department. — Process all notices of bankruptcies and provide assistance with the closing of traffic cases, as needed. Also maintains statistics for the Civil Section. Coordinate all correspondence for the Section, as well as closes traffic cases in JEMs, reviews partial payment list (e.g., underpaid parking violations), and assists with warrants. — Set the court calendar for the Small Claims Court, notify defendants, coordinate pre-Court payment agreements, serve as representative for the Court in Small Claims Court. This position is staffed with one fulltime equivalent. Reprocessing of mail and provides backup to parking and traffic citation processing. Responsible for processing correspondence via the Internet and payment of citations for delivery vehicles. Matrix Consulting Group Page 70 SALT LAKE CITY, UTAH Management Audit of the Justice Court One hearing officer has not been assigned collateral duties but provides assistance to other hearing officers as needed. • The Civil Section provides service to the public via front counter staff, as well as `backroom' staff who primarily service the public via the phone. There are four public windows staffed by the hearing officers during normal business hours. There are 6.0 hearing officers assigned to provide phone support and perform other duties as necessary. The section, below, presents a review of the workload data collected by the project team. (2) Workload Data Were Collected from the Justice Court for Activities Performed by the Civil Section. The project team collected data relating to the work performed by the Civil Section. This included data relating to the number of parking and traffic tickets issued, as well as number of hearings conducted. More detailed information is provided in chapter 2 of this report. The table, which follows, presents the number of parking and traffic tickets processed by the Civil Section for four fiscal years. Fiscal Year Number of Parking Tickets Number of Traffic Tickets 2001 -2002 133,691 36,667 2002-2003 148,437 49,735 2003-2004 165,864 47,355 2004-2005 148,590 45,091 In addition to collecting information about the number of tickets processed, staff in the Civil Section were able to provide data with respect to the number of hearings held by staff. The table, below, presents the number of parking and ticket hearings held by the Hearing Officers assigned to the front counter in the Civil Section. This information is presented by calendar year. Matrix Consulting Group Page 71 SALT LAKE CITY, UTAH Management Audit of the Justice Court Number of Number of Year Parking Hearings Traffic Hearings Total 2002 20,285 19,142 39,427 2003 27,247 22,366 49,613 2004 27,029 23,197 50,226 2005 25,007 24,114 49,121 As shown in the table, the number of hearings is continually increasing. Additionally, the Justice Court provided the project team with the number of phone calls received by staff. The table, below, shows the number of calls handled each year. Fiscal Year Phone Calls 2001 —2002 76,878 2002—2003 136,608 2003—2004 123,991 2004—2005 120,550 The section, which follows, provides a review of improvement opportunities with respect to the Civil Section work process. 2. THERE ARE OPPOROTUNITIES FOR IMPROVEMENT IN WORKFLOW AND THE RESPONSIBILITIES FOR HEARING OFFICERS. As previously discussed, Hearing Officers are primarily responsible for providing customer service to those who contest their citations, as well as 'other duties' which assist the Court with processing work. The sections, which follow, provide a discussion of the opportunities for improvement. (1) Hearing Officers Are Assigned Significant Duties in Addition to Service as Hearing Officers. As discussed in previous sections of this report, hearing officers in the Civil Section of the Justice Court perform a variety of functions in addition to serving as hearing officers. The table, which follows, presents a summary of the responsibilities and typical duties of hearing officers. Matrix Consulting Group Page 72 SALT LAKE CITY, UTAH Management Audit of the Justice Court Summary of Key Responsibilities of Hearing Officers Typical Duties • Represents the City's interest on violations handled by the Justice Court, in a variety of court proceedings, including hearings, filings and appeals. • Independently conducts hearings to assess penalties or determine if violations or court-issued penalties should be reduced, modified, or dismissed, in consideration of aggravating and mitigating factors. Amends charges when needed. Interprets City code, State statutes, and explains court procedures and decisions to grievant. • Receives and processes telephone, internet, and walk-in inquiries regarding civil and criminal violations. Interprets city codes, state statutes and explains the City's grievance process whether verbally or through correspondence often under adverse circumstances. Independently conducts hearings over the phone, through the mail or internet. • Authorizes impoundment or immobilization of vehicles for Parking Enforcement Office, as well as conducts relevant hearings and determines payment amount and authorizes release. • Reviews cases to determine if witnesses are required for court. Authorizes payments to be issued by the Court. Represents the City in the courtroom on all civil court proceedings. • Certifies points to the State Driver License Division and recommends suspension of driver licenses. Determines eligibility of traffic school, etc. • Represents the City in Small Claims Court, prepares and files official documents for court. • Conducts Resolution Hearings as a second attempt to resolve the case before taking it to trail, limiting the involvement of witnesses and the Prosecutor. • Researches inquiries, corrects errors, resolves discrepancies and notifies violators of actions taken. The Collateral Duties Assigned by Hearing Officer Hearing Officer 1: Review Moving Violations PERTEC report for errors in code, fees, and fines, as well as citations for which court is mandatory. Hearing Officer 2 Coordinate the Gotcha Program, including petitioning of the State for a portion of the delinquent defendant's tax return. Hearing Officer 3 Serve as the Resolution Hearing Officer, as well as coordinating with the Meter Shop to verify broken meters and serve as the liaison with the Police Department. Matrix Consulting Group Page 73 SALT LAKE CITY, UTAH Management Audit of the Justice Court Hearing Officer 4 Process all notices of bankruptcies and provides assistance with the closing of traffic cases, as needed. Also maintains statistics for the Civil Section. Hearing Officer 5 Coordinate all correspondence for the Section, as well as closes traffic cases in JEMS, reviews partial payment list (e.g., underpaid parking violations), and assists with warrants. Hearing Officer 6 Set the court calendar for the Small Claims Court, notify defendants, coordinate pre-Court payment agreements, serve as representative for the Court in Small Claims Court. This position is staffed with 0.8 fulltime equivalent. Hearing Officer 7 Reprocessing of mail and provides backup to parking and traffic citation processing. Hearing Officer 8 Responsible for processing correspondence via the Internet and payment of citations for delivery vehicles. Hearing Officer 9 Review Parking Citations PERTEC report, which includes verifying correct information on parking tickets entered into the system, as well as downloading and storing digital pictures. Hearing Officer 10 Has not been assigned collateral duties; provides assistance to other hearing officers as needed. The Civil Section has assigned hearing officers to staff both the front counter, as well as to the 'phones.' The points, below, present a brief discussion. • There are 4.0 hearing officers assigned to the front counter. Staff assigned to the phones will provide coverage when needed. However, the four hearing officers generally stagger breaks and non-front counter work. • The public can dispute a citation with a hearing officer Monday through Friday from 7:30 am to 4:45 pm and until 5:45 pm on Tuesdays. • There are 6.0 hearing officers assigned to non-front counter work, which includes one FTE assigned to processing work for Small Claims Courts. Staff dedicated to the phones also process and review work relating to citations issued by law enforcement agencies, process the Gotcha Program, bankruptcy notices, etc. • Time requirements for collateral duties vary during the course of the year, as well as from assignment to assignment. For example: Although the Gotcha Program generates work throughout the year, during tax seasons, the Gotcha Program becomes more time consuming, as there are more people submitting their income tax returns to the State. Matrix Consulting Group Page 74 SALT LAKE CITY, UTAH Management Audit of the Justice Court The hearing officer assigned to Small Claims Court is responsible for processing Civil Sections Small Claims. Small Claims Court is held two days per week, with between 60 and 100 cases on the calendar. In addition to representing the Court on these cases, this position is responsible for conducting all post-court work (e.g., update all case files, mail out all judgments, etc.) This position is a fulltime equivalent. Other duties assigned staff with varying workloads, include processing bankruptcies, internet and mail correspondence, etc. While data were not available to track workload processing times, as well as customer service issues (e.g., wait times, etc.) based on observations and input from staff, the assignment of work has impacted workflow and customer service. The points, which follow, provide a discussion of issues resulting for the distribution and assignment of work. • While there are four hearing officers assigned to the front counter, leave time usage, breaks, and non-front counter work impact the availability of the four hearings officers to assist the public. This directly impacts wait times for the public. • While hearing officers assigned to the phones are able to conduct hearings over the phone, input from staff and observations indicate the phone interaction with clients is primarily focused on the provision of information (e.g., process for disputing a citation, methods of payments, processing credit card payments, etc.) • Workload associated with collateral duties varied by task, as well as season. Collateral duties are assigned to specific hearing officers, which limits the ability to effectively manage peaks in workloads for specific duties. As noted, the primary role of the hearing officer is to utilize problem solving skills and independent judgment to provide accurate, timely and courteous customer service during the citation dispute process. Several tasks performed by hearing officers do not require the same skill levels as performing hearings. Matrix Consulting Group Page 75 SALT LAKE CITY, UTAH Management Audit of the Justice Court (2) Given the Requirements of Hearing Officers and the Customer Service Needs, Clerk Positions Should Be Utilized to Accomplish Non-Hearing Functions. In addition to hearing officers, the Civil Section has three civil clerk positions, which are responsible for processing paper work for the unit. One civil clerk is responsible for scheduling the calendars for resolution hearings, as well as court roles. Two of the civil clerks share several key responsibilities, which include the following: • Review pay plans for compliance; • Input parking ticket dismissals; • Process and distribute mail; • Distribute and mail; • Issue courtesy and collection letters; and • Update service information and provide information to Constable's. In addition to reviewing current roles and responsibilities, the project team reviewed the typical duties required of the clerks in the Civil Section. The typical duties of a clerk include the following: • Sorts, files and updates correspondence, forms, records, reports and other materials; • Processes incoming mail payments; • Sorts and updates address corrections and undeliverable mail; • Prints and corrects outgoing late or billing notices; audits billings to ensure information is correct and complete; • Verifies and updates Small Claims Court orders; • Verifies and updates parking and traffic citations dismissals; • Sorts moving and / or parking citation numbers, enters information into the computer system by file date or date received and citation number; Matrix Consulting Group Page 76 SALT LAKE CITY, UTAH Management Audit of the Justice Court As the above points discuss, the civil clerk's key functions included specialized clerical work, which requires some independent judgment and skill in data entry, retrieval, word processing, etc. Clearly, civil clerks and hearing officers' positions require different skills and abilities with respect to handling and processing varying levels of complexity. With that said, there are opportunities to better utilize existing staff to improve customer service and maximize use of hearing officers on activities that require the skills and abilities of hearing officers. The points, below, present a discussion of the potential opportunities. • As discussed in the following section, phone calls should be triaged, meaning that due to the number of calls handled by the Civil Section, many of which are requests for information, hearing officers are handling calls and requests for information which can be processed by clerical staff. • The Salt Lake City Justice Court is in the process of implementing an integrated voice recognition (IVR) system. This system will be able to reduce the workload of hearing officers and civil clerks in the following ways: — Provide information to customers with respect to ticket cost. — Respond to simple requests for information, such as process for contesting, hours of operations, etc. Can pay citations. • Utilizing the IVR system should significantly impact the workload of the hearing officers and allow them to better utilize there time to conduct hearings, as well as perform their collateral duties. Recommendation: Given the potential impact of the IVR system on the workload of the hearing officers, hearing officers should be able to handle their collateral duties without requiring significant assistance from the Civil Clerks. Matrix Consulting Group Page 77 SALT LAKE CITY, UTAH Management Audit of the Justice Court (3) There Are Several Opportunities to Improve Workflow and Distribution in the Civil Section. The project team reviewed the current workload activities of the hearing officers and civil clerks assigned to the Civil Section, as well as general job responsibilities as outlined in the job descriptions for each position. The points, which follow, discuss key opportunities for improvement. • Hearing officers work activities should be focused on hearing citation disputes. The roles and responsibilities of the hearing officers required high levels of concentration, problem-solving skills, independent judgment, and knowledge of city codes, state statutes, court and legal processes. Hearing officers have direct and frequent interaction with the public during the dispute process. Hearing officers are assigned duties in addition to hold hearings, which impacts the ability of hearing officers to provide high levels of customer service. Observations and input from staff indicate that wait times, particularly during peak times are significant. • Clerical work should be assigned to the clerks. There are a number of work tasks that can be performed by clerks, including monitoring and processing of the bankruptcies, closing / pulling closed cases, coordinating with the Meter Shop / maintaining list of broken meters and times, downloading and storing photographs for citations, etc. This will increase time available for the hearing officers to perform hearings (both front counter and phones). Additionally, the implementation of the IVR system could alleviate the current demand on hearing officers, which will allow them greater time to perform their collateral duties. • Hearing officers are crossed trained to better assist one another in the collateral duties and to improve the effective management of peaks in workload, including Small Claims Court, Gotcha Program, etc. • While the Justice Court keeps track of the number of hearings and phone numbers handled by the Civil Section, this data does not provide sufficient information to be able to assess the effectiveness of hearing officers assigned to the phones. The Civil Section should develop a process to assess the effectiveness of the current phone and internet hearing process to ensure that: (a) the public understands the process and the extent to which disputes can be resolved via phone / internet (e.g., information is available and disseminated to the public regarding phone / internet hearings); (b) high levels of customer service are provided by resolving disputes over the phone which do not require a face-to-face hearing (e.g., minimize inconvenience, reduce wait time for public at the Court, etc.); and (c) right resources are dedicated to the right functions (e.g. identify the type of workload created by the phone, such as portion of calls Matrix Consulting Group Page 78 SALT LAKE CITY, UTAH Management Audit of the Justice Court requesting information versus the number of hearings performed over the phone. In other words, review workload to determine if there are opportunities to have a tiered phone system, such as clerical personnel assigned to answer phones, provide general information, as well as forward disputes or potential hearings to the hearing officers to more effectively utilize the time of hearing officers). As noted in the above points, the Civil Section review work tasks to ensure they are assigned appropriately (i.e., hearing officers are performing high priority, complex tasks, specifically performing hearings). Additionally, the Civil Section should review phone processes to ensure the effective utilization of staff, including the type of tiered system for handling calls, as well as dispute resolution process. 3. BASED ON THE REVIEW OF WORKLOAD AND PROCESSES, THE PROJECT TEAM DEVELOPED ASSUMPTIONS RELATING TO WORKLOAD AND STAFFING NEEDS. While the project team did not conduct a time study to determine the processing times, the project team reviewed workload data for the Civil Section. This data included the number of parking and traffic citations processed by the department, number of hearings conducted, and the number of phone calls handled. As noted, the Civil Section does not track the type of calls or number of hearings handled over the phone by hearing officers. The table, below, presents a summary of the number of hearings and phone calls handled for a twelve-month period. Hearings Phone Calls Total Annual Number 50,226 123,991 Number per Work Day 201 497 Number per Hour 25 62 The points, which follow, provide a brief discussion of the information provided in the table. • Data for the number of hearings are from hearings occurring during calendar year 2004. Data for the number of phone calls handled are for fiscal year 2003 — 2004. Matrix Consulting Group Page 79 SALT LAKE CITY, UTAH Management Audit of the Justice Court • It is assumed that the Court was open to the public for 250 days, which assumes the court was open for ;5 days per week with the exception of the 11 city holidays. • In calendar year 2004, hearing officers staffing the front counter held 50,226 hearings. This equates to one hearing every 2.4 minutes during operating hours or 25 hearings per hour. • In fiscal year 2003 — 2004, hearing officers handled 123,991 phone calls in the Civil Section, this equals approximately one call every 0.97 minutes or 62 calls per hour. As previously mentioned, the project team has not conducted a time study as part of this management audit, however, the project team developed several assumptions to illustrate issue areas with respect to workload and staffing levels for the Civil Sections. The points, below, present assumptions developed by the project team, which were used to identify potential staffing and workload issues. • There are 4.0 hearing officers assigned to the front counter and 6.0 FTEs hearing officers assigned to the phones. • It is assumed that gross annual work hours total 2,080. The project team assumes a net availability of 80%, which reflect gross hours less leave time, training, etc. • While the time to conduct hearings ranges significantly from as little as five minutes or less to more than thirty, it is assumed that the average overall time to conduct one hearing is ten minutes. Observations of staff conducting hearings support this assumption. • It is assumed that the distribution of phone calls would be heavier on the shorter length of time (e.g., calls for information, payments over the phone, etc.), which reduces the average number of minutes per call. As such the project team assumed an overall average of 3.5 minutes per call. • It is assumed that some tasks performed by hearing officers would be reassigned to the clerk classification. However, there are some tasks in addition to hearings that would continue to be performed by hearing officers, such as the verification of citations and codes (e.g., PERTEC report data), etc. As such, it is assumed that staff not assigned to the front counters would still require an average of 2.3 hours per day for these roles. The points, below present this assumption in greater detail: Matrix Consulting Group Page 80 SALT LAKE CITY, UTAH Management Audit of the Justice Court — Because workload generated varies throughout the year, it is assumed that an average of 2.3 hours is required on a daily basis. This accounts for significant peaks in work, such as Gotcha Program, Small Claims Court, bankruptcies, etc. — It is assumed that hearing officers would be cross-trained and cross- utilized to address peaks in certain workload. ' — The project team assumes that staff assigned to the front counters (i.e., the equivalent of 4.0 fulltime employees) would be responsible for conducting hearings (i.e., total staff time would be dedicated to the front counter and not performing other duties, unless workload permitted it). As such, it is assumed that staff assigned to the phone would be allotted time to perform additional duties (e.g., the 2.3 hours per staff person per day). • It is assumed that staff assigned to the front counter would only conduct hearings. During non-peak times, when there are not customers waiting, staff would assist with conducting phone hearings and performing other miscellaneous duties, as necessary. The table, which follows presents the assumptions applied to the workload for the hearings and phone calls. Hearings/Front Phone Calls Total Counter Number of Units 49,121.0 120,550.0 169,671.0 Average No. of Minutes per Unit 12.0 3.0 15.0 Subtotal Hours 9,824.2 6,027.5 15,851.7 Non-Hearing Workload (@ 2.3 hours/day/staff) 3,450.0 3,450.0 Total Hours 9,824.2 9,477.5 19,301.7 Gross Availability 2,080.0 2,080.0 2,080.0 Net Availability at 80% 1,664.0 1,664.0 1,664.0 Total FTEs 5.9 5.7 11.6 Total Current Staff 4.0 6.0 10.0 Plus/(Minus) Staff 1.9 (0.3) 1.6 The points, which follow, present a discussion of the table as well as additional information relating to workload assumptions. • As shown in the table, staff assigned to the front counter would perform hearings, while staff assigned to the phone would have additional time to perform other duties, as required (e.g., Small Claims Court, PERTEC reviews, etc.). This assumes 2.3 hours per day per staff or 2.0 FTEs of work per year. Matrix Consulting Group Page 81 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Work tasks could be reassigned to clerks, such as monitoring broken meters / meter repairs, tracking Civil Section statistics, pulling closed cases, etc. • The Civil Section should evaluate the workload generated by phone calls, including examining: (1) to what extent hearings conducted face-to-face can be done over the phone; (2) the proportion of phone calls which are actually hearings; (3) to ensure the right resources are dedicated to the right functions (e.g., review of type of phone calls and workload generated by them). • The IVR system should reduce the workload associated with the high volume of phone calls received by the Civil Section. While this is still being implemented, this should significantly impact the amount of time available for hearing officers to conduct hearings as well as perform their collateral duties. • The Civil Section should track the number of hearings conducted over the phone. As noted this Section tracks the number of phone calls. The Civil Section should make customers aware that their cases can be resolved through a telephonic hearing and track the number of hearings conducted over the phone. This should positively impact wait times in the front lobby to see a hearing officer. Recommendation: The Civil Section should implement changes in work assignment and flow to ensure the appropriate resources are dedicated to necessary tasks. This includes: • Reassigning clerical functions to the civil clerk classification, as needed (e.g. statistics tracking, pulling closed cases, tracking broken meters, etc.). • Ensuring staff assigned to the front counter are dedicated to conducting hearings to reduce wait times and improve customer service. • Cross-train and cross-utilize staff to handle peaks in workloads for collateral duties (e.g. Gotcha program, etc.). • Review workload generated by phone calls to ensure that hearing officers are utilized to maximize the number of hearings conducted in this way. • Analyze the results of the tracking of hearings conducted over the phone and cases resolved. • Include an option in the IVR for telephonic hearings. Review the impact of changes on workflow prior to adding any additional staff. Matrix Consulting Group Page 82 SALT LAKE CITY, UTAH Management Audit of the Justice Court 6. ANALYSIS OF FINANCIAL FUNCTIONS The Salt Lake City Justice Court is responsible for collecting and processing fines and fees assessed as part of the civil or criminal process in the Court. The sections, which follow, provide a discussion of the cashiering and collections functions of the Court. 1. THE JUSTICE COURT IS RESPONSIBLE FOR RECEIPT OF PAYMENTS AS WELL AS COLLECTIONS ON DELINQUENT ACCOUNTS. The Salt Lake City Justice Court is responsible for the receipt of payments for fines and judgments, as well as performing collections on delinquent accounts. Additionally, the Court has one accountant responsible for general accounting activities in the Court, such as tracking and reconciling liabilities, etc. • There are 4.0 fulltime equivalents assigned to the cashiering function. This includes one lead cashier and three cashier clerks. This unit is responsible for staffing the cashier windows and receiving cash, credit card, and / or check payments on accounts. Staff utilize the IFAS (financial cashiering system) to process payments, as well as ALE and JEMs to look up account information, case numbers, and payment plans. In addition to receiving payments, cashiers are responsible for balancing their own drawers, as well as completing their own daily deposit slip. Staff assigned to this Unit are also responsible for ordering money from the bank, as well as balancing the vault. • In July of 2004, the Collections function was moved from the Finance Department to the Justice Court. There are two fulltime personnel responsible for collections for the Justice Court. The Court is also in the process of selecting a firm to provide additional collections services. Responsible for performing collections activities on delinquent accounts. This includes the following: — Coordinate with Hearing Officers and Clerks to ensure courtesy, penalty and collection letters are mailed to appropriate accounts. - Answer phones and respond to inquiries regarding delinquent accounts. Receive and process payment over the phone (via verisign / internet) and permit payment extensions, if needed. Matrix Consulting Group Page 83 SALT LAKE CITY, UTAH Management Audit of the Justice Court Conduct research of delinquent accounts (e.g., attempt to find new addresses, employer and contact information, etc.) Responsible for processing collections of Non-Sufficient Funds for the Justice Court, as well as other municipal functions (e.g., business license, building permits, etc.) The project team collected information relating to the number of cashiering transactions processed by the Cashiering Unit in the Justice Court for the current fiscal year, as well as the past two fiscal years. Cashiering Transactions Month FY 2002 -2003 FY 2003 -2004 FY 2004-2005 July 6,255 11,015 11,953 August 7,663 10,857 13,204 September 8,521 11,818 13,171 October 8,776 11,880 13,479 November 8,581 10,016 12,892 December 9,139 11,923 12,795 January 9,684 11,229 13,799 February 10,580 12,676 14,090 March 11,169 15,300 16,283 April 10,652 13,469 13,497 May 10,894 11,896 13,409 June 11,272 12,901 15,004 Total 113,186 144,980 163,576 There are four fulltime equivalents assigned to the cashiering function for the Justice Court. The number of financial transaction, excluding the payments processed through the internet, for Fiscal Year 2004 - 2005 was 163,576, 13% increase from the previous fiscal year. In addition to collecting information with respect to cashiering transactions, the project team collected data for the collections and cashiering functions. The table, below, provides a summary of the activities for the collections function. Matrix Consulting Group Page 84 SALT LAKE CITY, UTAH Management Audit of the Justice Court co 1-47 C^ II C v cA 'r 13 m 'C .0 CO C111 =p 'O c r O - c O O O ++ - p 'a+ v c C - c V 7 w V w V - d C C V ^. 'O V V cC C ° •_ df E V L 6 ` Y ,- C i- C C F' = W c0 y O C d o Q O O y .- de r_3 p G> 0 g p G> y E ,_ . p d d p G1 O N v O 117020 ed _ V O _ o c 2 Z va Z = i- Z O t Z O , d d2 O MiM O 2 ONJ m V LL V O U J J oJd V J a ...10 ...1 0 0 - p 0).....), c.) July 0 0 1,278 0 $0 $36,829 $0 $0 $0 Aug. 0 0 1,724 809 $0 $64,487 $26,495 $0 $0 Sept. 11,156 0 1,581 1,059 $0 $37,012 $26,102 $1,288,905 $3,323 Oct. 0 3,355 1,709 1,159 $98,818 $45,765 $24,641 $10,724 $12,242 Nov. 0 0 1,290 961 $24,730 $36,023 $18,097 $129,518 $13,310 Dec. 10,498 0 1,284 943 $10,999 $30,304 $16,287 $5,444 $4,773 Jan. 6,833 0 1028 901 $27,467 $11,357 $8,800 $0 $5,096 Feb. 630 0 1,113 815 $32,123 $59,046 $65,660 $0 $0 Mar. 0 0 1138 863 $22,851 $62,237 $35,920 $0 $2,845 Apr. 0 0 1152 658 $9,387 $68,452 $30,469 $0 $9,543 May 2,089 4,667 1087 867 $127,277 $40,536 $28,462 $0 $0 June 0 0 1137 843 $19,593 $46,108 $34,192 $0 $4,283 Total 31,206 8,022 15521 9878 $373,243 $538,155 $315,123 $1,434,591 $55,415 Since July 2004, staffed assigned to the Collections Unit have collected a total of $1,226,521 in funds from defendants that received penalty and collections notices from the Court. Additionally, during that time period approximately $1,434,591 in outstanding balances was sent to a private company to collect on behalf of the Court. Of the $1.4 million, approximately 4% was collected or $55,415 from those delinquent accounts. 2. THE JUSTICE COURT SHOULD ENHANCE INTERNAL CONTROLS IN ITS CASHIERING FUNCTIONS. The project team reviewed the policies and procedures in place in the cashiering unit. Information was collected through interviews, observation of work practices, as well as review of written policies and procedures. The sections, which follow, present a summary of the recommendations. (1) The Matrix Consulting Group Reviewed Findings of the State of Utah Audit of the Cashiering Unit. The Matrix Consulting Group reviewed the findings of an audit of the Cashiering Unit conducted by the Office of the State Auditor for the State of Utah. The points, which follow, provide a discussion of the State audit. Matrix Consulting Group Page 85 SALT LAKE CITY, UTAH Management Audit of the Justice Court • The audit of the Justice Court was performed based on a review of transactions from January 1, 2004 through December 31, 2004. • The audit examined certain aspects of internal controls and compliance with applicable State laws. • The audit included: — Review of internal controls over cash receipting procedures, including testing samples of cash receipt transactions. - Review of the Court's procedures for collecting and recording certain fines, fees, and bails imposed by the Court. - Review of the Court's procedures for remitting the required portion of fines and fees to the State. A sample of remittances was tested. - Confirmation of a sample of accounts receivable balances. - Confirmation of a sample of case adjustments. The audit revealed several weaknesses in current procedures in the Justice Court with respect to cash handling. The points, which follow, provide a summary of the audit findings and recommendations. • Finding: Inadequate separation of duties or compensating controls were in place. Recommendation: Adequate compensating controls should be added if separation of duties is not possible, such as: — A reconciliation of citations issued to citations received and recorded on the Court's accounting system to ensure that all citations received are recorded on the system. - A review of accounts receivable adjustments made by the court clerks. - A reconciliation of a mail log, which is filled out and signed by two individuals to the Court's daily reports. • Finding: There were errors in surcharge remittances. Recommendation: Enhance the monitoring and oversight of the remittance process to ensure that data and remittance are accurate, including: Matrix Consulting Group Page 86 SALT LAKE CITY, UTAH Management Audit of the Justice Court Resolve the differences that occur on the Monthly Collection Summary Reports to ensure that the correct amount of surcharges due to the State are remitted. The Court should remit the exact amount of surcharge due and not use rounded numbers. — Remit the proper surcharge amounts to the State Treasurer's Office by the 10th of each month, including surcharges on partial payments, in compliance with State law. — Apply and remit the proper security surcharge amount for violations occurring on or after May 1, 2004. The Matrix Consulting Group reviewed the internal controls in place at the Justice Court with respect to cash handling procedures at the time of this study (Spring, 2005). The section, which follows, presents a review of the opportunities for improvement relating to internal controls and cash handling procedures. (2) The Project Team Identified Opportunities for Improvement With Respect to Cashiering Functions. The project team compared the current operations and practices of the cashiering function to best practices. The table, which follows, presents a list of the opportunities for improvements with respect to internal controls. Best Practice SLC Practice/Opportunity for Improvement 1. Collecting and Depositing Receipts All cash receipts are deposited intact on a timely Receipts are not immediately deposited. For basis (in accordance with City policy). example, the project team observed checks, which because the information was not yet available in the information system or because the check amount did not match the fee in the system, were not deposited immediately and often sat for a few days, in spite of a 3 day City policy. It is the project team's understanding that this issue has been addressed. Matrix Consulting Group Page 87 SALT LAKE CITY, UTAH Management Audit of the Justice Court Best Practice SLC Practice/Opportunity for Improvement All cash and check receipts are kept locked up prior Cash drawers are not locked; multiple people have to making the deposits. If receipts are kept access to the drawers. Additionally, they are overnight, they are placed in a locked safe or other unsecured and in an open area (cashier's area) in secured area. the morning while staff balance drawers and in the evening when they are closing up. Also, while cash drawers can be locked into a drawer at each station, these drawers are not locked during breaks or when they are away from their workstation. Because checks should be deposited daily (e.g., and not stored in a cash box), there should be no reason for another staff person to require access to someone else's cash drawer. Cash drawers should always be locked. Current fee schedules are posted and available to Fees are now posted on the internet and through the public upon request. the IVR. Customers are encouraged to obtain receipts for all Signs are posted notifying customers to check their transactions. receipts. Persons who collect cash or prepare deposits are Each cashier prepares his/her own deposits. independent of staff who record the transaction. Evidence of amounts of deposits are always Deposit slips, when received from the bank, are obtained (e.g., validated deposit slips, bank attached to the folder containing the daily balance advices, deposit transmittals, etc.) Evidence is sheets. The City is responsible for reconciling the submitted to the person responsible for the Court's daily deposits to the monthly bank statements. bank reconciliation. Post-dated checks are not accepted. Post dated checks are not accepted by the Court. All deposits are made within 24 hours of receipt of Cases or citations with problems, such as late fees payment from customer. or incorrect amounts or those whose information has not been updated in the information systems, are either sent back to the Hearing Officers or held in the cash drawer for up to 3 days (often longer). An authorized person approves all abatements, Cashiers, as well as Hearing Officers, are able to cancellations, refunds, and other adjustments to make reductions up to any amount in the system. fees and licenses. The authority and responsibilities required of each Cashiers are responsible for receipts, reconciliation financially related job positions (i.e., collections, and depositing of their own cash drawers. reconciling of reports, etc.) are clearly identified. 2. Collecting Receipts Through the Mail The person opening incoming mail should Checks are not restrictively endorsed until they are restrictively endorse all checks received deposited by the Cashiering Unit. immediately upon receipt. _ 3. Recording Revenues When receipts are filled in by hand or typed, all There is no one assigned to account independently receipt forms should be pre-numbered and issued for the numerical control of the handwritten in numerical sequence. There is someone receipts. These have not been regularly audited by assigned to account independently for the the City. numerical control of theses forms. All receipts are kept in a secured area not readily Receipt booklets are not secured when cashiers accessible to the public and unauthorized leave their workstations or at the close of business. employees. Matrix Consulting Group Page 88 SALT LAKE CITY, UTAH Management Audit of the Justice Court Best Practice SLC Practice/Opportunity for Improvement Individual passwords are assigned to log onto the The Lead Cashier keeps the password to Register computer system to record transactions. 9, the'internet register' on a post-it note in an unsecured drawer. The Court reconciles daily deposits to the monthly Monthly reconciliations are performed by the City. bank statement, which reflects monthly and year- to-date revenue amounts reported by the Court to receipts deposited to the same period. 4. Controlling Change Funds Cashiers request change from a Court lead of Cashiers will also make change for one another supervisor, which is obtained from the safe. during the daily deposits. Change is not made by taking monies form other During the daily reconciliation and deposit, change cash drawers. is made. A designated person should perform random At one point, the Accountant periodically audited unannounced counts of the change fund to ensure the change fund. This no longer occurs. that the balance of the change fund is correct and properly accounted for. Access to the keys and/or combinations for the Deposit bags are left in a box on the counter until office safes, lock boxes, and deposit bags are pickup. If the deposits are completed after the daily restricted to specific, designated personnel. Keys pick up has occurred, the deposit bag will remain are maintained in a safe, locked place. on the cart in the Cashiering Unit until close of business when the entire cart is placed in the vault. Although cash drawers are lockable, drawers are not locked. Court staff change office safe combinations and PINs are required for access to the room in which locks periodically, especially when personnel leave the safe is housed. employment. Access to cash drawers is limited. Cash drawers While each cashiering station has a lockable are locked when personnel responsible for the drawer in which their cash drawer is placed during drawer leave the areas, and the key should be left operating hours, cashiers do not lock this drawer. with a designated person. Additionally, once the cash drawers are removed at the close of business they are placed on a cart and locked in the vault. Additionally, in the mornings the cash drawers are placed on the cart and remain in the cashiers'workspace until they are balanced by the cashiers. This is an issue because an audit trail of the cash drawer has not been established (meaning that at the close of business monies are not reconciled, individual cash drawers are not secured—access is limited but not fully restricted, therefore it would be impossible to identify when loss occurred, as there are many opportunities due to a lack of control over cash drawers,) 5. Limiting Access to Cash—Cash Drawers A designated person, other than the cashiers, Cashiers are responsible for reconciling their own reconciles the cash drawer to the tape at the end of cash drawers to receipts daily. each day. Cash registers, if possible, are located where Facility design limits the ability of the public to fully customers can observe the register display. view the screen with ease. Matrix Consulting Group Page 89 SALT LAKE CITY, UTAH Management Audit of the Justice Court Best Practice SLC Practice/Opportunity for Improvement 6. Analyzing and Reconciling Revenues Evidence of amounts deposited are submitted to The City is responsible for reconciling deposits to the person responsible for reconciling the Court's the Court's bank account. revenues to reports showing the items posted as deposits in the Bank account. 7. Reconciling Bank Accounts Monthly bank account reconciliations of all Court Monthly bank reconciliations are performed by the accounts are prepared by an employee that does City. not have check-writing or deposit responsibilities. Reconciliations include comparison of dates and Reconciliations are performed by the City. amounts of deposits as shown on the bank statement to prevent detection. Based on a review of the practices of the Cashiering Unit, the project team has identified several opportunities for improvement to minimize the Court's exposure to risk of theft and or loss. The Justice Court should develop internal controls for each of its cash handling procedures. Internal controls help to provide assurance that City assets are protected from theft or loss, and that reliable financial information is produced in a timely manner. Specific internal control objectives that help to achieve these broader goals include the following: • Proper authorization of all transactions and activities to reduce the possibility that incorrect or fraudulent transactions or activities occur; • Assigning different people the responsibilities of authorizing transactions, recording transactions, and maintained custody of assets to reduce the opportunity for any individual employee to both commit and conceal errors of theft of assets; • Design and use of adequate documents and records to help ensure proper recording of transactions and events; and • Adequate safeguards over access to and use of assets and records to reduce the possibility of theft of those assets and concealment of illegal activity. Matrix Consulting Group Page 90 SALT LAKE CITY, UTAH Management Audit of the Justice Court Establishing good internal control procedures will help minimize potential problems such as theft, fraud and unintentional errors in recording accounting data. An important aspect to ensuring internal controls are effectively utilized requires department management to monitor internal control procedures. Implementing internal control procedures is of little value in itself if there is not an effort to ensure that staff comply with the control procedures. In order to ensure employees adhere to control procedures, department managers or supervisors should regularly review transactions, cash drawers, change funds and deposits to ensure accountability. Recommendation: The Justice Court should develop internal controls and assign accountability to the Accountant to audit the Cashiering Unit and to ensure the Unit is following policies and procedures. The table, below, presents the recommendations for enhancing internal controls in the Cashiering Unit. Issue Recommendation Receipts are not immediately deposited. All receipts should be deposited in the daily deposit. Maintain a record of checks deposited that do not have account numbers or the incorrect amount. The Lead Cashier should be assigned responsibility for coordinating with hearing officers and other Justice Court staff to ensure any issues are resolved (e.g., account number found,defendant contacted, etc.) Cash drawers are not secured. While each cashier is assigned his/her own cash drawer, cash drawers are not secured throughout the day, nor are they secured at the end of the day (before the daily balance occurs). Each cashier should be responsible for locking his/ her cash box drawer when on break or away from his/her workstation. At the close of business, each cashier should be responsible for securing his/her cash box in the individual lockable shelves in the safe. There should be an extra cash drawer,which is secured. This should be used by the Civil Section Manager when he/she provides coverage to the Cashiering Section. Matrix Consulting Group Page 91 SALT LAKE CITY, UTAH Management Audit of the Justice Court Issue Recommendation Each cashier prepares his/her own deposits. Each morning, cashiers are responsible for balancing their cash drawers and preparing their deposits. Also, the daily deposit is left in an unsecured box on the counter in the cashiering work area. The persons who collect cash or prepare deposits should be independent of employees who record or authorize the transaction to reduce potential loss and errors. The Lead Cashier should be responsible for preparing the daily deposit. The Civil Section Manager should sign off on the deposit daily. The daily deposit should be secured in the safe until picked up. Deposits are not audited. Responsibility for auditing deposits has not been assigned. Deposit slips, when received from the bank, are attached to the folder containing the daily balance. The City is responsible for auditing the monthly bank statements, however, no one in the Justice Court is responsible for ensuring the daily deposits match the daily reconciliation. Evidence of amounts of deposits should always be obtained and submitted to the person responsible for the Court's bank reconciliation. While the City is responsible for the monthly reconciliation of deposits to the bank statement, the Civil Section Manager should be responsible for ensuring the daily deposit matches receipts from the bank. Hearing officers and cashiers are able to Because the Justice Court has allowed hearing officers reduce fees. and cashiers the authority to reduce fees, transactions should be audited periodically to ensure they are consistent with Court policies. Currently, the Civil Section Manager will review a reduction report, which shows all the reductions, amounts and person issuing the reduction. However, this is primarily reviewed to catch large or unusual reductions. Transactions should be audited daily by the Civil Section Manager to ensure reductions are consistent with Court Policies. Matrix Consulting Group Page 92 SALT LAKE CITY, UTAH Management Audit of the Justice Court Issue Recommendation Responsibility for auditing receipt booklets has Cashiers are each assigned handwritten receipt not been assigned and all receipts are not booklets. While records are maintained of the booklet secured. assignments, the receipt booklets are not in a secured location throughout the day and responsibility for • auditing the booklets has not been assigned. The Accountant should be responsible for conducting audits of the handwritten receipt booklets to provide independent control of the handwritten receipts. Change funds are not adequately controlled. While there is a change fund, which is stored in the safe, cashiers, when doing their daily deposit will make change for other cashiers. The project team observed staff making change for other cashiers when they were not present(e.g., accessing individual cash drawers and making change). Additionally, the change drawer is not audited, deposit bags are not secured, and the combination to the safe is not regularly changed. The Accountant should be responsible for conducting audits of the change funds. Deposit bags should be secured in the safe until picked up. The combination and/or locks to the safe should be changed periodically, especially when personnel leave employment. (3) Based on a Review of Workload, the Cashiering Unit Is Adequately Staffed to Meet Current Workload, However, the Number of Transactions Per Cashier Will Continue to Increase. As discussed, there are 4.0 fulltime equivalents assigned to the cashiering unit. This includes three cashiers and one lead cashier. The table, which follows, presents the number of financial transactions per cashier per year. Matrix Consulting Group Page 93 SALT LAKE CITY, UTAH Management Audit of the Justice Court Annual Number of Transactions per Cashier 45,000 40,000 35,000 30,000 25,000 20,000 15,000 '02-'03 '03-'04 '04-'05 Fiscal Year The points, which follow, provide a brief discussion of staffing in the Cashiering Unit. • As shown in the table, the Cashiering Unit is projected to handle approximately 40,555 transactions per cashier in fiscal year 2004 — 2005. The number of transactions has continued to increase from fiscal year 2002 — 2003 to fiscal year 2004 — 2005 by 45%. • While there are some limitations to the information technology systems, the financial system is linked with the case management systems, enabling the cashiers to quickly process transactions. • Cashiers staff the cashier windows during the hours of operation of the Justice Court. • The Justice Court has recently implemented a on-line credit card payment systems, which enables all Justice Court staff to take payments over the phone (e.g., process the payment via the internet), as well as allow customers to submit payments via the internet. Data were only available for five months. As shown in the table, for the first five months of 2005, on-line payments represented 37% of the total transactions processed. Matrix Consulting Group Page 94 SALT LAKE CITY, UTAH Management Audit of the Justice Court On-Line All Other Month Payments Payments Total January 3,688 13,799 17,487 February 3,884 14,090 17,974 April 4,196 13,497 17,693 May 13,409 13,409 26,818 June 15,004 15,004 30,008 Total 40,181 69,799 109,980 %of Payments 37% 63% 100% The project team uses a benchmark of 50,000 transactions per one cashier per year, which is 22% higher than the current projected number of annual transactions per cashier. While the number of transactions per cashier has increased over the previous fiscal years, the implementation of on-line payments and the ability of other court staff to take payments over the phone will alleviate some of the workload of the cashiering unit. Staffing in the cashiering unit is adequate to meet the workload demands. However, as workload for the Justice Court increase (e.g., number of citations, fees and fines) and the use of pay plans (e.g., multiple transactions per case), the workload for the Cashiering Unit will continue to increase. The project team recommends that the Justice Court add a computer terminal to the public lobby through which the public can make credit card payments. This is an efficient way to minimize costs, while enhancing the level of service provided to the customers. Recommendation: As workload increases for the Cashiering Unit, the Justice Court should add a secure, computer terminal which provides a direct link to the Court's website and through which customers can make credit card payments. The cost impact of this recommendation is minimal (e.g., less than $1,000 for capital purchases, plus staff time to install the equipment). 3. THERE ARE OPPORTUNITIES TO ENHANCE COLLECTIONS ACTIVITIES AND REVENUES. In July 2004, the Salt Lake City Justice Court enhanced collections activities on delinquent accounts. There are several key processes leading up to and including the Matrix Consulting Group Page 95 SALT LAKE CITY, UTAH Management Audit of the Justice Court collections staff. The points, which follow, outline the key activities associated with the identification and monitoring of delinquent accounts. • Civil clerks assigned to the Civil Section are responsible for printing letters, which inform defendants that they owe money, have been assessed late fees, and / or their accounts are delinquent and are going to collections. • For defendants that meet with hearings officers, but are unable to pay their fines and fees, the hearing officers will establish payment plans. • Once a payment plan has been established, a copy of the plan is filed, which is organized on a three-month tickler system, meaning that every three months a payment plan is reviewed to ensure that the payee is current. Again, for those accounts not current, the civil clerks are responsible for generating notification letters. There are two fulltime equivalents assigned to collections activities (herein collections clerks) in the Justice Court. The points, which follow, present a discussion of the key job responsibilities of staff assigned to this function. • Review reports of outstanding accounts, initiate collections proceedings; • Utilize various research sources including site visits to the Department of Motor Vehicles for computer records, Polk Director, Credit agencies, skip/trace information, etc. to locate violators and their employer's or banking institutions accordingly; • Generate monthly statistical reports for management, which summarize and analyze collections data; • Follow up on delinquent payment plans, taking necessary action to ensure payment, phone calls, letters, wage garnishments, writs of execution and garnishment of income tax returns; • Ensure compliance with applicable laws governing collections; and • Coordinate with Accounting Division to verify revenue and associated reports are in place and accurate. In addition to the two fulltime equivalents that perform collections activities (i.e., the collections clerks), the Justice Court issued a Request for Proposals for Collection Matrix Consulting Group Page 96 SALT LAKE CITY, UTAH Management Audit of the Justice Court Services for Justice Courts in February 2005. While the Court is still in the process of reviewing the proposals submitted, the RFP included some discussion of service and service level targets. The points, which follow, highlight key information included in the RFP. • The contractor shall provide skip-tracing service and collect delinquent accounts submitted by the City. • The contractor shall use its best efforts to achieve maximum recovery of the accounts referred to it for collection, which include telephone calls and mail efforts, and, if required, calls to the references and use of a national credit bureau report in its skip tracing procedures. • All activities of the contractor have been fully documented and coordinated. This includes monthly reporting to the City, which provides the City with monthly account placement status, as well as remittances and payments. Based on a review of the current operations of collections functions at the Justice Court, as well as a review of the proposed scope of services presented in the RFP and input from staff and observations of the project team, the points, which follow, highlight key opportunities for improvement. • The Justice Court should accurately capture the work activities and monies collected by the staff assigned to the collections unit. — As noted, civil clerks assigned to the Civil Section are responsible for generating notification letters, which include penalty letters, as well as collections letters. — Collections clerks are responsible for researching delinquent accounts and coordinating payments and collections with customers who contact them after notification of account status. - The collections clerks track the following information: •• Number of collections letters sent out; •• Number of payments received; •• Amount of money collected after issuance of letters; Matrix Consulting Group Page 97 SALT LAKE CITY, UTAH Management Audit of the Justice Court •• Amount of outstanding balances; and •• Funds collected from collection agency Current information captured by the collections clerks shows monies collected as a result of the issuance of letters (e.g., letters generated by the civil clerks). Staff assigned to the collections unit should refine the information collected to better reflect their work activities and the monies collected as a direct result of their (the collections clerks) activities, such as number of accounts brought current (e.g., settled), number of payment plans created, phone contacts, skip-tracings, etc. • The Justice Court should evaluate the effectiveness of the in-house collections function compared to the results of the contract collections agency. According to the RFP, the contractor will be required to provide the City with monthly reports outlining specific activities and results of their efforts. This tool will provide the City with information with which to assess the effectiveness of the contractor and better compare the effectiveness of in-house collections operations. Overall, it is important to ensure that data accurately reflects workload, activities and their results. The Justice Court should revise internal management reports to capture data that reflect the impact of collections activities on revenue collections. Recommendation: The Justice Court should evaluate the cost effectiveness of providing in-house collection services compared to the contract collections agency. This should include a review of data that links work activities to revenue collection for in-house staff, as well as a review of the performance of the contractor. Matrix Consulting Group Page 98 SALT LAKE CITY, UTAH Management Audit of the Justice Court 7. ORGANIZATIONAL STRUCTURE AND MANAGEMENT In this chapter of the report is presented the project team's analysis of organizational and management issues in the Court. Appendix C provides additional management issue discussions in the form of a "Best Management Practices" comparison. 1. THE PURPOSE AND STRUCTURE OF THE SALT LAKE CITY JUSTICE COURT. The Salt Lake City Justice Court was established by the Salt Lake City Council in July of 1999, opening its doors for business on July 1, 2002, with the stated purpose to "preserve the city's ability to adjudicate traffic and low level criminal violations locally...[and] to be sensitive to community issues and willing to implement creative sentencing alternatives in keeping with an overall goal of providing restorative justice."5 The court was established in response to concerns of City Council members that the city's previous court structure, with the majority of criminal matters handled at the state court level, did not adequately meet the needs of the local Salt Lake City community. The Justice Court was therefore created to enhance the court services provided to the citizens of Salt Lake City, "...further[ing] the goal [of the City Council of] providing improved local justice services to the City and its citizens."6 In discussions held with members of the City Council in March, it was apparent that customer service has been a key concern since the court's establishment, and continues to be of primary concern. The Council's concern over the quality of customer 5 www.slcgov.com/courts./default.htm, Salt Lake City Justice Courts,7/22/05. 6 Memorandum from Laurie Dillon,L.Zane Gill to Rocky Fluhart,Chief Administrative Officer for the City of Salt Lake,June 26,2000. Matrix Consulting Group Page 99 SALT LAKE CITY, UTAH Management Audit of the Justice Court service at the Justice Court was a key reason for the decision to begin this study. Council members noted several complaints received from constituents concerning a perceived lack of adequate customer service, including complaints of extended waits for service when visiting the court, failure of court staff to provide clear and accurate information and assistance, and instances in which court customers were required to make multiple visits to the court in order to resolve a seemingly simple matter. Given these concerns, this chapter of the report will consider the impact of the management and administrative structure of the court on its ability to operate effectively and provide an appropriate level of service to its court customers. 2. THE JURISDICTION OF THE SALT LAKE CITY JUSTICE COURT SHOULD BE EXAMINED. The Salt Lake City Justice Court has jurisdiction over the city's Class B and C misdemeanors, ordinance violations, small claims matters involving claims for damages of less than $7,500, and infractions occurring within the city's territorial jurisdiction. The court was intended to work in coordination with the already existing Salt Lake City Administrative Enforcement Court, taking jurisdiction of the criminal caseload of that court. The Administrative Enforcement Court has since been replaced by the Justice Court, handling all of its caseload. In addition, the Justice Court took jurisdiction of some of the caseload previously handled by the Utah State District Court. Located within the major urban center for the State of Utah, the Salt Lake City Justice Court carries a significant caseload. The majority of the Justice Court's caseload is on the criminal and traffic side of its business. An examination of the court's baseline number of cases provides a picture of the fast pace of business of the Salt Lake City Justice Court. Matrix Consulting Group Page 100 SALT LAKE CITY, UTAH Management Audit of the Justice Court • The Salt Lake City Justice Court processes approximately 37% of the state's total caseload. • The Salt Lake City Justice Court handles 35-40% of the statewide caseload in criminal matters resulting from charges of impaired driving or domestic violence. • Of the approximately 500,000 cases filed each year in the more than 130 Justice Courts across the state, approximately 260,000 cases are filed in the Salt Lake City Justice Court. • The Salt Lake City Justice Court handles an average of 100 arraignments each business day. To handle this caseload, the court has 4 full-time judges and 1 part-time judge, appointed by the Mayor with the approval of the City Council, for renewable terms of four years. One of the four full-time judges serves as the Justice Court's Presiding Judge, appointed through an informal process for an undetermined term of appointment. Justice Court judges preside over civil and criminal bench trials as well as over four person jury trials in certain matters, typically in criminal matters involving charges of domestic violence and impaired driving. Criminal cases in the Justice Court are prosecuted by the Office of the Salt Lake City Prosecutor. The Salt Lake City Justice Court is not a court of record and thereby does not maintain records of court proceedings in any matters. Generally 4.5 judges are available to preside over cases in the court each day, with volunteer lawyers sitting as pro tern judges in the evenings to hear civil small claims matters. The court has approximately 43 full-time equivalent employees working in two general divisions within the court, criminal and civil. Administrative oversight for the day-to-day operations of the court is the responsibility of a Court Administrator, who reports to the Chief Administrative Officer of the city's Management Services Department. Two division Matrix Consulting Group Page 101 SALT LAKE CITY, UTAH Management Audit of the Justice Court managers with oversight responsibility for the daily operations of the criminal and civil divisions report to the Court Administrator. As previously stated above, the Salt Lake City Justice Court, like other justice courts in the State of Utah, is not a court of record. The court handles a variety of criminal matters, including relatively complex cases involving charges of domestic violence and impaired driving. These complex cases are often heard before a jury and may raise a variety of legal and procedural issues critical to potential appeals. These types of cases often raise complex issues of fact, law, and procedure, raising questions about the appropriateness and practicality of holding such court proceedings without the benefit of a court record. The Salt Lake City Justice Court should consider the viability of maintaining this portion of the court's caseload without maintaining a record of proceedings. Recommendation: The Salt Lake City Justice Court should consider the appointment of a committee, to include representatives of the Justice Court, the Utah State court system, as well as appropriate representatives of the bar and the criminal justice community, to evaluate the court's jurisdiction and to make recommendations, if any and if possible, regarding adjustments to its jurisdiction, including the appropriateness of the Court's maintaining jurisdiction over complex criminal matters. 3. THE ROLES OF THE COURT ADMINISTRATOR AND THE PRESIDING JUDGE SHOULD BE CLARIFIED AND ENHANCED AS THAT RELATES TO THE MANAGEMENT OF THE COURT. The Salt Lake City Justice Court suffers from a lack of a clear administrative structure and identified lines of authority, making the effective administration and operational oversight of the court difficult. • The Justice Court is administered operationally by a full-time Court Administrator, whose role is defined by a job description giving her responsibility for the management and administration of all court operations, including the civil and criminal divisions, and all accounting and collections Matrix Consulting Group Page 102 SALT LAKE CITY, UTAH Management Audit of the Justice Court functions. The Court Administrator's sole reporting responsibility is to the Chief Administrative Officer for the city's Management Services Department. • A Presiding Judge is appointed to the Court with a presumed level of oversight authority over the work of the Court. While the Presiding Judge holds a presumed level of policy making authority, particularly on issues of caseflow and case management, he does not hold any defined authority over the administration and operation of the court. While there may be a collegial relationship and cooperation between the Court Administrator and the Presiding Judge, under the court's current administrative structure these two court leaders act individually rather than jointly toward the accomplishment of determined goals and objectives for the court as an organization. The current administrative structure of the Justice Court is as follows: CtiefAdmiistaive Ulcer ManapenentServices Departneca City o&SaeLake Oversightrespons3iy for he ath,ns/afon of the Jusice Court Sipervisory resporuibiy over he Court Administrator off*Jusice Court Presicing CowtAdniistabr Judge Salt Lake City Jusice Court SakLalceCay Jusiceusice Court Respansrble brhe adrrwtisiafono/ auhotityorresponsdiy &e ddy operafons of he Jusice Court Hods nos oryauhorityoverha CowtAd'nnstabr L Manager,Crinhal Division Manager,CiviDivision Sak Lake Ci4JusiceCourt SatL.akeCiyJusiceCourt As is apparent from the current organizational structure, sole oversight responsibility for the Court's administration and operation is actually held by the Chief Administrative Officer, without any direct connection to the operation of the court and without any connection to the judicial leadership of the Court. Given the nature of the work of a court, the Presiding Judge should have a role concurrent with the Court Administrator in the administration of the court. The underlying purpose of any court is to process cases through the system effectively and efficiently. The Court's judges, as Matrix Consulting Group Page 103 SALT LAKE CITY, UTAH Management Audit of the Justice Court the adjudicators of these cases, are ultimately responsible for the flow of cases. The Presiding Judge should therefore hold some level of defined authority over the processing of cases and thereby the operations of the court. Traditionally, a Court Administrator is responsible for the operational management of the court, reporting to a Presiding Judge on all issues involved in the administration of cases. This creates a joint reporting responsibility for the Court Administrator, reporting to the Presiding Judge on all issues relating specifically to the administration of justice and reporting in this case to the Chief Administrative Officer of the Management Services Department on distinct operational, financial, and management issues. This structure would provide for the setting of systemic and organizational goals and objectives for the court as a whole. The following is a model job description for a trial court administrator in an urban court such as the Salt Lake City Justice Court. This job description confirms the operational model recommended for the Salt Lake City Justice Court by which the court administrator's responsibilities are focused on the court's operational and administrative issues. COURT ADMINISTRATOR: URBAN. (This is the highest level court administrator and serves in a large urban court) Summary: Under administrative direction, manages all activities and facilities and directly supervises subordinate management staff. Develops and presents budget requests before legislative bodies and local governments. Participates in short and long-term planning for the court. Duties: Plans, organizes and coordinates functions related to fiscal programs, budget, human resources, information systems and various court programs. Hires, trains, evaluates, and disciplines subordinate staff. Prepares and submits courts operating budget. Analyzes court dockets and operations and develops and implements processes to improve case management and court services. Develops local rules, policies and procedures. Serves as a liaison to the state legislature, county and city governments, law enforcement agencies and the media. Provides testimony to the state Matrix Consulting Group Page 104 SALT LAKE CITY, UTAH Management Audit of the Justice Court legislature. Oversees facilities management and planning including allocating space, overseeing maintenance and modifications, awarding service contracts and negotiating leases. ' Placing clear authority in the Presiding Judge for all procedures and policies regarding the management of cases, and maintaining the authority of the Court Administrator on issues of human resources, budgeting, and operations, while defining clear lines of responsibility between these positions, will improve the administration of the Justice Court. This structure will provide a clear means for the Presiding Judge and Court Administrator to work together to identify issues within the court, including issues that may be impairing the processing of cases or limiting the ability of staff to provide the highest quality of service to court customers, and to define ways to address those issues across the court, ensuring its effective operation from all perspectives, including case management and office operations. An administrative structure that would encourage this improved cooperative and systemic management of the court is set forth below. Presidi gJudge ChiefAdniirtfve Olaf Saarake CiyJesse.Caul ^°. MaugementServices Deperinere OyaSaltlake Appceldbwe aifoadeinda/vryd jr OvasiyrieepalaMybheedniistai n Fickls,,oatipavfsory when*over he Coot -4$ o/haJlafce Coot Adniesiabr overlie Coat A:mob/rab aem✓uarr a Coat nbena b be aenerN oPerebneentl po!Neof Y1e muff eporing b be Chief RePorYnp b M Pre�tlna IGrmiW eM Ofnr on .bdae on eY W esreleba operebnsentl rraneaement I�ee.indudYn9 Eutleet. eb edminirebn oiMe/o personnel entl bdWes tlutli�e o�bw entl a. i prooeeina CoatCdnevatebr Sett Lela CIyJUNo Court i Rerponable brere edrmYYebn o/endd.Yy operebneo/ere.4loe Court rM Manager'Criminal Manager,C'vi Division Lake Obi Division Jtaifce SaIlLakeCiy Jusice SasUkeCsy Court Coat National Center for State Courts,Knowledge&Information Services,at www.ncsconline.org/D KISljobdeda'Jobs TrialAdmin(3).htm Matrix Consulting Group Page 105 SALT LAKE CITY, UTAH Management Audit of the Justice Court Recommendation: The authority and responsibility of the Presiding Judge of the Salt Lake City Justice Court should be defined to include oversight responsibility and policy making authority for all issues involving the management of cases, with the Court Administrator reporting to the Presiding Judge on all issues involving the processing of cases. Recommendation: The organizational structure of the Salt Lake City Justice Court should be changed to one in which the Court Administrator reports to the Chief Administrative Officer of the Management Services Department on operational and management issues, including budgeting, personnel, and day-to- day operations of the court, and to the Presiding Judge on all issues of case management and the administration of justice. 3. THE SALT LAKE CITY JUSTICE COURT SHOULD DEVELOP A PERFORMANCE MANAGEMENT AND MEASUREMENT SYSTEM TO PROVIDE ACCOUNTABILITY FOR KEY PROCESSES. A key problem facing the Salt Lake City Justice Court is that it has not measured its successes or shortcomings in a manner that allows it to show accountability to its administrative oversight body, the City's Management Services Department, its funding authority, the City Council, or the public as a whole. Given that the Justice Court has been in operation for a short period of time and that its role within the Salt Lake City administrative structure and in the local community has evolved since its establishment, it may not have been practical until this point to create a means to clearly define and measure the court's operational success. It is clear at this point, however, that in order to gain the confidence of the community, the Court must begin to measure its performance, identify its successes and shortcomings, and communicate plans to move forward and improve operations in key operational areas to City officials and the public. The Justice Court has operated successfully since its inception, creating systems to conduct the general work of the court and process cases within the current administrative structure and with current staffing levels. At this point in the Court's tenure of approximately four years, the nature of its caseload and general role of the Matrix Consulting Group Page 106 SALT LAKE CITY, UTAH Management Audit of the Justice Court court in the community have been defined. During meetings with representatives of the City Council, City administration, members of the bar, and others, questions were posed about the Court's success rate in moving cases through the system quickly to ensure a high quality of service to the community, in collecting fees and fines at a reasonably effective level, and in managing staff to ensure that they were able to meet the city's goal of addressing the needs of the citizens of Salt Lake City. These questions and others must be answered by the Court if it is to gain the trust of its administrative and funding authorities, a trust that appears to be in question at this point. In order to answer these questions and assure that the court is operating in a manner that provides the public with a high level of service, uses public resources fairly and efficiently, and operates within the expectations of the City and the public, the Court must implement a performance measurement system that will allow it to monitor its own performance and provide all key stakeholders with the information and data necessary to hold it accountable for its performance as an organization. The National Center for State Courts has worked with court systems across the country for more than a decade to identify the 10 key areas of court performance and to determine the methods necessary for a court to measure its performance in each of these areas.8 This court performance measurement system, CourTools, was designed to reflect the fundamental mission of a court system, focusing on performance outcomes. The implementation of a clear and unambiguous performance measurement system such as CourTools provides a means for the court to: • Measure its performance in those areas deemed the most critical to the court's operation at any given time; 8 NCSC CourTools,Trial Court Performance Measures,www.ncsconlione/d research,2005. Matrix Consulting Group Page 107 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Identify operational and procedural issues that are impacting the court's ability to operate as effectively as possible; • Implement initiatives to improve services; • Provide key stakeholders, including the City Council and Management Services Department, with a clear understanding of its operations and resource needs. CourTools provides a method for the measurement of the court's performance on issues of access and fairness, reliability and integrity of case files, case clearance rates, collection of monetary penalties, time from case filing to disposition, effective use of jurors, age of active pending caseload, court employee satisfaction, trial date certainty, and cost per case.9 While each of these areas provides critical measurements for a court to analyze its performance, several specific areas are key at this point to the Salt Lake City Justice Court in its ability to address the concerns of the greatest importance to the City Council and its other constituents. These areas of the most significant concern, as identified by virtually all persons interviewed by the project team in the course of this study, include (1) the court's level of collection of monetary fees and fines; (2) the quality of customer service provided by the court; and (3) the expediency of case processing by the court. To be successful, the court must affirmatively assess its performance in each of these areas of operation, identify areas requiring improvement and define methods to improve performance, and communicate this information to all key stakeholders in the court. The following sections discusses the key areas of concern in greater detail. Recommendation: The Salt Lake City Justice Court should develop a performance management / measurement system designed to monitor customer service, case processing and collections. A starting point for this process can be found in Appendix C to this report. 9 NCSC CourTools,Trial Court Performance Measures,Overview: The 10 Core Measures, www.ncsconlineld research,2005. Matrix Consulting Group Page 108 SALT LAKE CITY, UTAH Management Audit of the Justice Court 5. SPECIFIC PERFORMANCE MEASURES RELATING TO COLLECTIONS NEEDS TO BE DEVELOPED BY THE JUSTICE COURT. City officials have expressed significant concern over a perceived lack of adequate collections of monetary penalties by the court, noting that delinquent fines in excess of $10 million have remained uncollected by the court for extended periods of time and that court officials have made no clear commitment to identifying methods to enhance collections. Approximately two years ago the City's Finance Department initiated a revenue enhancement project through which the Court was able to successfully collect $800,000 in delinquent fines in a period of one year. Two additional staff persons were assigned to the court to work solely on collections.. The key issue here is that the Justice Court lacks a clear method to determine its performance in the area of monetary collections and subjecting itself to criticism on its level of collections regardless of its actual performance. Core Measure 7 of CourTools, 'Collection of Monetary Penalties', focuses on the extent to which a court takes responsibility for the enforcement of its orders requiring the payment of monetary penalties, taking into consideration situations in which community service or jail time was imposed in lieu of monetary payment.1° Recommendation: The Justice Court should implement the process for assessment and analysis of its performance in the area of monetary collections defined by CourTools 7, `Collection of Monetary Penalties', identifying reasonable and defensible goals for levels of monetary collections, analyzing the level at which they are successfully collecting fees and fines relative to the set goals, and implementing a process for improvement of collection levels. 10 NCSC CourTools,Trial Court Performance Measures,Measure 7: Collection of Monetary Penalties, www.ncsconline/d research,2005. Matrix Consulting Group Page 109 SALT LAKE CITY, UTAH Management Audit of the Justice Court 6. CUSTOMER SERVICE ISSUES CAN ONLY BE ADDRESSED THROUGH A COMPREHENSIVE PROGRAM WHICH INCLUDES POLICIES, TRAINING AND PERFORMANCE ASSESSMENT. Concerns have been raised over the quality of customer service provided to the public by the Justice Court. These concerns have been based on complaints received by City Council members and other City officials. While complaints must be carefully considered and investigated, it cannot fairly form the basis for a determination that poor customer service is a regular practice or result. The Court must therefore measure and analyze its performance in service to the public to determine where concerns of inadequate customer service exist and take steps to resolve identified issues. CourTools Core Measure 1, 'Access and Fairness', provides a method to measure court customer satisfaction and identify specific issues raised through surveying Court customers and analyzing data received." The court must reach out to its customers to identify customer service successes and failures through the collection and analysis of customer surveys developed solely for the purpose of evaluating the service provided by courts to the public. Once the Court has implemented a clear method to measure its performance in serving the public, to analyze its results, and to develop processes to address problems identified, it will be able to answer concerns raised by the public and define and implement distinct methods to improve the service provided. Recommendation: The Salt Lake City Justice Court should implement the process to assess its performance relative to customer service as defined by CourTools Core Measure 1, "Access and Fairness'. In measuring its performance, the Court should specifically survey court customers and analyze the survey's findings for use in informing and improving management practices to ensure that NCSC CourTools,Trial Court Performance Measures,Measurel: Access and Fairness, www.ncsconline/d research,2005. Matrix Consulting Group Page 110 SALT LAKE CITY, UTAH Management Audit of the Justice Court issues of concern are identified and addressed on a continuing basis. Customer service surveys and analysis should be completed using the survey form and methods recommended with CourTools Core Measure 1. The Court should implement this process in the context of a comprehensive customer service program which includes a specific policy, training, and Court and individual performance in meeting these goals. 7. CASE PROCESSING ISSUES Concerns have also been raised over the expediency of cases moving through the Court and the number of appearances that parties to a case may have to make in a case unnecessarily. This, too, is an area in which the Justice Court must measure and analyze its performance in order to determine whether it is performing at a level that meets with the court's goals. The Court must set goals for time frames in case processing through the development and implementation of time standards, clearly defining the maximum period of allowable time for a case to be processed, from case initiation to disposition. Once time standards have been defined, the Court must begin to assess its performance in meeting these goals through the use of the following CourTools Core Measures: Core Measure 2, 'Case Clearance Rates'; Core Measure 3, 'Time to Disposition'; and Core Measure 5, `Certainty of Trial Dates. Each of these measures considers the expedience of case processing from a distinct perspective, providing a means for the court to identify and resolve specific issues that may act to slow processing . Recommendation: The Salt Lake City Justice Court should identify time standards, defining the maximum time allowable from case initiation to disposition for each type of case handled by the court. Once these time standards have been established, the court should implement a process for measuring its performance in meeting the time standards through the implementation of the measurement processes and analysis set forth in CourTools Core Measures 2, 'Case Clearance Rates', 3, 'Time to Disposition', and 5, `Certainty of Trial Dates'. Matrix Consulting Group Page 111 SALT LAKE CITY, UTAH Management Audit of the Justice Court 8. CONCLUSIONS As the Salt Lake City Justice Court considers the reformation of its administrative organization to form a clearer and more effective structure, its effective management rests on its ability to assess the work that is being done to hold itself accountable. The Salt Lake City Justice Court lacks these clear measures and, as a result, is not holding itself accountable as a public organization within the structure of the City of Salt Lake. The Court must implement a performance measurement process, prioritized based on these most critical areas of its operation, both from a perspective internal to the Court and external to the justice community and the City. The implementation of a clear and unambiguous measurement system on these issues will create a means for the Court to identify management and performance issues, improve performance and more accurately determine its resource needs. There are two key sets of recommendations which result from this analysis: • The Salt Lake City Justice Court must work to clarify its administrative structure by clarifying roles and lines of authority. • The Salt Lake City Justice Court needs to measure and analyze its performance to determine its success and identify areas where improvement is needed, and to hold itself accountable to its stakeholders on its performance in order to begin to build the trust and support of City officials and the public. The implementation of a practical and transparent system of performance measurement is necessary if the Justice Court is to clearly identify its performance issues and hold itself accountable to the authorities within which it is funded and operates. Matrix Consulting Group Page 112 SALT LAKE CITY, UTAH Management Audit of the Justice Court APPENDIX A RESULTS OF THE COMPARATIVE SURVEY The report Appendix, which follows, discusses the present staffing level of the Salt Lake City Justice Court and compares it to similar Utah Justice Courts and other western municipal and or magistrate courts with similar jurisdiction. The Matrix Consulting Group / National Center for State Court's project team compiled data from court web sites, in addition to directly contacting these selected courts to obtain information for this comparison. To select comparable courts, the project team sought similarities in court jurisdiction, caseload and local population of cities in the western section of the United States. Having identified a list of courts comparable to the Justice Court, the project team contacted the court for final input and finalized the Court list as follows: • Salt Lake County Justice Court, Utah • West Valley Justice Court, Utah • Sandy Justice Court, Utah • Eugene Municipal Court, Oregon • Tacoma Municipal Court, Washington • Spokane Municipal Court, Washington • Seattle City Court, Washington • Henderson Justice Court, Nevada • North Las Vegas Municipal Court, Nevada • Las Vegas Municipal Court, Nevada Matrix Consulting Group Page 113 SALT LAKE CITY, UTAH Management Audit of the Justice Court The exhibit on the following page and the analysis contained in this Appendix compares the reported filings in each selected court for the year 2004. To establish a more analogous foundation as possible on which to compare the selected courts, case filings were comported into the following case type categories. • Traffic/ Parking • Misdemeanor/ Infractions • Small Claims • Domestic Violence • Felony Complaints In some instances this analysis required the combining of reported case types into the other categories or in the case of Domestic Violence and Felony Complaints establishing separate case type categories. Additionally the court's jurisdiction, the current number of employees and the number of judicial officers are included in the exhibit and used in compiling the ratio of filings per FTE and case per judicial position. The following figures and graphs represent a rough comparison of staffing levels between the SLCJC and the comparison courts. These figures should be considered only a guide since the ratio is dependent on consideration of a multitude of many qualitative and quantitative factors. These factors include the relationship of the court to the police department, the level of technology in use, funding levels, operational efficiencies, and caseflow management procedures in use. Matrix Consulting Group Page 114 1 1 i 0 A C d+ (NI CO e}: M m.$ N 1 raw. -'t1., otm 011 N N ,n.' O1 M T O ,%;) N '`: (O 'sue 4°03 to C H C a 4-4 t0'M. to (OLT: 9D N N v ' = IL A N r�r N ,m '. r- a) C) '-- ii V'V) 8''ill c,,,0-D 4t---,-::ici? 6:**-:.--**,..1 :. 'V >A N . ; & C {,� a l;.:, dery U a Viti �� () t� % C - E C. O _: O :o O' O 0 .10 0 C 0 > sX a � � �� CD co 10 0. M (Ni stair> , It)) r" ...i ' GD h P t. W€< N V l O� 6 ter_ cd ---.` M Y C; -,,. CI r'- N 4 ;,y„ O y u. c} , N _, wry o S 1 Z C (NI $. M .4 N _ M E , O d U " � A �O td W j dgE. a , e xs ay rz V t• "' ?- a _ .0 O '�; - . '�-r • Vr• O yy y iw O U AA ,a� r inW 3 0 } • os Chi '4 �l ��. •yO -f+ r C) o U U o ff c A '.0 o E 4 L. Q. v o lits o q O y 0 w 0 ►� yr • - - , H A to z O .`1' 0) LLI 0 3:..10 - .- 0Z Mao c� ca cC : o _ u c a0i o [� q '� .... Y ,?'.. YS; asp,. A':.''x SALT LAKE CITY, UTAH Management Audit of the Justice Court The graph, below, portrays the number of filings per year to the number of court clerks for each court. The annual filings to FTE (clerks) was calculated as a comparison with the selected courts and appears below. Based on this general comparison it would appear that Justice Court clerks are handling more than twice the number of cases per employee that are handled by any of the selected courts. '!3Y Filings Per FTE pnk �" .rt ,,yrS . $ � %y;--bC.yc S{�idR. ` 6wa.m�. ''slA W Salt Lake City(44) West Valley City,l1T(19) ' „%ePrIA '�1` 44, Seattle City Court WA(250) Ev. i• ' c:r f' i"4 k i� .5 S Z33 t d,Ls;u 4X : y 1-4 f4 jy sum a r.3 � ,6 :. ,. ,1 � ° :„..,, , t'4 Sandy Justice Court UT(13.25) - • r. r � 12't:< se .:d�8 r-� a x- y • c � ,,,,, � Spokane WA Muniapal Court(49 7) (t'�` , y F es, Tacoma WA Muniapal Court(31 5) � � ° w .n ; 4 ' ,- Eugene OR MuniapalCourt(23.75) - �k� r '4!-7 ( ". , ,G �� • a"• ,' �- Las Vegas MuniapalCourt(180) �,. '1,t' 1.F : • ' ,; > Henderson NV Justice Court(19) a , g' , , Salt Lake County,UT(20 5) fe 7+ ..s' s.9 apt A .a.+IL. t '; x ' ' 44 N.Las Vegas NV Municipal Court �,, - s �' s fi '" �-aaw x ` a ; asF� � � rr�s.�i,� a�Ac° ; ry "� '� .s� �K>a,.e. . 0 1000 2000 3000 4000 5000 6000 Comparative case Filings per Judicial Position was also developed to better display the number of cases filed per judge in each of the selected courts. This information is provided in the second graph, below. This graph shows that the Justice Court has the highest filings to judge ratio. Matrix Consulting Group and the National Center for State Courts Page 116 SALT LAKE CITY, UTAH Management Audit of the Justice Court Case Filings Per Judicial Position Salt Lake City(4) Las Vegas Municipal Court(6) Eugene OR Munidpal Court(5) West Valley City,UT(2) Henderson NV Justice Court(2) Spokane WA Munidpal Court(5.5) N.Las Vegas NV Munidpal Court (2) Seattle City Court WA(16) Tacoma WA Munidpal Court(4) Sandy Justice Court,UT(2) ..= .i" Salt Lake County,UT(3) ° 0 1000 2000 3000 4000 5000 6000 7000 8000 Under the scope and timeframe of this project, the project team could not conduct a weighted caseload study for the Salt Lake City Justice Court. Although these numbers give the Justice Court a general idea of how staffing compares to other jurisdictions, it is strongly recommended that the court develop its own mechanism to determine the need for staff. If the Justice Court were to have a weighted caseload system in place, needed adjustments to staffing could be accomplished with greater command of the factual impacts of a system impact or change. Matrix Consulting Group and the National Center for State Courts Page 117 SALT LAKE CITY, UTAH Management Audit of the Justice Court Case Initiation Citation data Citation scanned CMS creates an Citation issued by _ downloaded into info case eledroniccase file Police " case management — r management ► 9 and assigns system from P .D. system arraignment dates f Prosecutors sends information iI iolation warrants Clerk matches information with eledroniccourtcaw file&information is scanned into CMS •oesdefendant have preuousdtationsin SLCJC? Yes No assigned the predous Computer assigns personal ID new personal ID number Labels are placed Clerkusescase oesthe uolation on tile folder and require a mandatory v— appropriate paper Airmanagement urtappearance workisplace software print No within file labels Yes C Rations are filed in drawers &case managementsystem Ir creates electron icon u rt dodetbyfile date and rase Filed by rase number number until court date rr Courtesyletter Benton non mandabry bailable offenses Matrix Consulting Group and the National Center for State Courts Page 118 SALT LAKE CITY, UTAH Management Audit of the Justice Court First Appearance * Daiymail payments Istce fine paid Cashier sysiem Case Me remains bebretiecourt Yes 1► gnenb cashier or .._., aubmaicai defendantpaysm y `-_._._1 indatrifebydab dale? updates CMS case weeded . person or online No Did be wolaion Did defsndant Gob Trial/ require —No— a Doesdefandant _ Hearn page q i appear —Yes —Yes squire acour judge? requests 1 ial? Yes No L DoesDefendant Casacalendared Notice bDMV appear? 1 Clerkmailsa and FTAwarrant r senteledroni®Iy issued NofaeofWarrant (Traiiconly) No V FTA Warrantis Paymentupdated Yes issued Tid®tiledwfi inb Does Case remains dosed cases t ----� CMSwhenrung t-Yes— De en?ant Nob' outstanding in register y DefendantadUsed Judge nobs ofdtargesand Doesaaept accepted pbaon Cferkupdales Yes.......a y oase management adhisedofPlea plea? minute enty order syst offer farmm No Defendantgeen ccurtdate >>r Gob Trial/ Hearing page *This does not include Traffic cases . Traffic cases go first go the Hearing Officer for resolution Matrix Consulting Group and the National Center for State Courts Page 119 SALT LAKE CITY, UTAH Management Audit of the Justice Court Failure to Appear /Comply Defendantwasdiarged with an offense that requires court appearance yetdoes notappear Clerkprinfstwo Judge issues Clerkenfarsorder copies ofriewarrant •oesDefendan bench warrantbr ---► u7bcase 1. DoesDefendanttake _ onebrriefileand take care ofrie management rare of the matter ? one issentb PTA system defendantwithletter maser? attached Yes Clerkupdatescase !Gob Doesrie Defendantatbnds management 4Yes.... defendantplead 4 ._.__... walkin courton ,f...... _._.. _._---Yes whichelectonkaNy .uikyornob 9 Tuesday updates BC • • No Gob Trial Hearin/ • • Clerkisnotifiedof Did the tie defendant incarcerated +--No---- defendantbond rYes arrested on the r-- Warrant remains _ individuals outofjail? warrant? ache • Yes • __. _._.._..Nc....._... .oesdefendan Clerkholdsfile until Defendant is bond is received then No have warrantor lacestile with files arraigned via video ilure b comply • p will same courtdate Yes Y Clerkvacates Does warrantand defendant .......No--}. Bond iodated --- ---► FTAwarrant preparestansport appear in wed order&electronic court? notice b BC Yes t Clerkmakesin - Gob Trial/ asbdylistbr HearingsOR Constablesb Sentencing tansportdefendants Matrix Consulting Group and the National Center for State Courts Page 120 SALT LAKE CITY, UTAH Management Audit of the Justice Court Trials and Hearings Defendanthas The minute entry plead notgnilly gioen b defendant and hasrequested in murtis sent b orwasgiven a proseaubrtiereby aourtdate proeiding notice Doestie Pre tial 260 Summons defendantface tie 'oesdefendan posebililyofajail Yes requestajury Yes—► Conference and sentper weekb motion hearing potentaljurors sentence? tial? held tomisttomPOC No T Pre tial Conference and motion hearing No held The derkre Jews quesionnates completed by jurorsand qualifesjurors Bench Trial Date Does Does Defendant Defendant Jury leadguiltyor t yTrial r —No— . lead gu or nob? nob? No Yes L V Defendant Gob Trial Proceeds Isdefendent Yes—a-receives sentence Sentencing found guilty? wit*2 b 45 days No Case dismisted Matrix Consulting Group and the National Center for State Courts Page 121 SALT LAKE CITY, UTAH Management Audit of the Justice Court SENTENCING Defendant hasplead guilty orjuryhashanded down guilty plea or judge has found defendantguitty oesthe defendant Payment updated Judge consdersall Can the defendant recene an alternalNe -No- Yes--- on computer case available information .aythe fine in full ? sentence? dosed Yes r Defendanttalks Defendant with hearing officer Clerktrads completes b setup a ► defendants appropriate paper work payment plan progress (traficonly ) Does defendant Tidetfiled with _Yes--- complete the dosed cases sentence? No 4, Failure b comply warrant isissued Matrix Consulting Group and the National Center for State Courts Page 122 SALT LAKE CITY, UTAH Management Audit of the Justice Court APPENDIX C BEST PRACTICES COMPARATIVE ASSESSMENT In its evaluation of the Salt Lake City Justice Court, the project team referenced national standards and practices for operations of limited jurisdiction courts. Specifically, caseload and case processing data was collected from the Justice Court and then compared to model standards for practice in limited jurisdiction courts, including the Trial Court Performance Standards12 and the Standards Relating to Trial Courts.13 National research and trial court experience have proven that achievement of these standards is a vital component of effective court operations. 1. TRIAL COURT PERFORMANCE MANAGEMENT STANDARDS The Trial Court Performance Standards (TCPS) were developed in 1987 by the National Center for State Courts and the Bureau of Justice Assistance (BJA), for the U.S. Department of Justice. The standards were developed as a system to measure the performance of the nation's general jurisdiction state trial courts. The Trial Court Performance Standards represent a method for operational self-assessment and self improvement by state and local courts. The standards are not rigid rules, but rather guiding principles that provide a valuable resource for self regulation and improved judicial administration. The standards are grouped into five performance areas: (1) Access to Justice; (2) Expedition and Timeliness: (3) Equality, Fairness, and Integrity: (4) Independence and Accountability; and (5) Public Trust and Confidence. 12 National Center for State Courts, Trial Court Performance Standards,Williamsburg,VA, 1990. 13 American Bar Association,Standards Relating to Trial Courts,Chicago,IL, 1992. Matrix Consulting Group and the National Center for State Courts Page 123 SALT LAKE CITY, UTAH Management Audit of the Justice Court (1) Access to Justice Standard 1.2 of the TCPS states that, "[c]ourt facilities are safe, accessible, and convenient to use,"14 and addresses issues relating to the conduct of trial court personnel. (2) Expedition and Timeliness "[A] court should meet its responsibilities to everyone affected by its actions and activities in a timely and expeditious manner - one that does not cause delay. Unnecessary delay causes injustice and hardship. It is a primary cause of diminished public trust and confidence in the court."15 This standard contains the measures most closely related to the proposition of caseflow management. Caseflow management is discussed in more detail below under Strategies to Manage Caseflow. (3) Equality, Fairness, and Integrity Six measures are associated with this standard. Standards 3.1-3.6 are best reviewed by the analysis and review of the court's case related information with case files used as the basic source of data. The court, as custodian of the record, must record all relevant court decisions and actions. Most relevant here is Standard 3.6, Production and Preservation of the Records, addressing the court's maintaining accurate and properly preserved records of all relevant court. 14 See Bureau of Justice Assistance and National Center for State Courts, Trial Court Performance Standards with Commentary(Washington,DC: US Department of Justice, 1997). 15 See Bureau of Justice Assistance and National Center for State Courts, Trial Court Performance Standards with Commentary(Washington,DC:US Department of Justice, 1997). Matrix Consulting Group and the National Center for State Courts Page 124 SALT LAKE CITY, UTAH Management Audit of the Justice Court (4) Independence and Accountability Standard 4.2 of the Trial Court Performance Standards states that, "[t]he trial court responsibly seeks, uses, and accounts for its public resources."16 This means that the court must be able to show the appropriate and prudent use of its resources, particularly where the court, as in this case, expresses concern that the resources provided to them are inadequate for the appropriate operation of the court. (5) Public Trust and Confidence This standard is largely dependent upon the court's performance in the previous four standards. The measures to determine the Public Trust and Confidence rely upon informed opinions from individuals who have contact with the court for various reasons. There are three measures in which to gauge this standard: Accessibility; Expeditious, Fair and Reliable Court Functions; and Judicial Independence and Accountability. 2. STRATEGIES TO MANAGE CASEFLOW This section incorporates several recommendations for the improvement of caseflow management within the Justice Court based upon the analysis of interview responses, case statistics, and document review relative to the court's management of civil and criminal cases, particularly in those categories where interview notes substantially deviated from model practices. A useful structure for assessing caseflow management in the courts was first suggested in the book, Changing Times in Trial Courts, published by the National 16 See Bureau of Justice Assistance and National Center for State Courts, Trial Court Performance Standards with Commentary(Washington,DC:US Department of Justice, 1997). Matrix Consulting Group and the National Center for State Courts Page 125 SALT LAKE CITY, UTAH Management Audit of the Justice Court Center for State Courts." This book examined caseflow management systems of eighteen urban courts. The work extrapolates from the successes and failures of these courts the key factors contributing to timely and just resolution of civil and criminal cases. Although the courts in the study were not limited jurisdiction courts, the successful application of caseflow management principles to limited jurisdiction courts nationally, have proven their effectiveness and appropriateness to the work of the Court of Common Pleas. The ten dimensions identified as important to successful caseflow management include: • Leadership • Goals • Information • Communications • Caseflow Management Procedures • Judicial Responsibility and Commitment • Administrative Staff Involvement • Education and Training • Mechanisms for Accountability • Backlog Reduction/Inventory Control These evaluative dimensions are described in the next subsections. (1) Leadership Judicial leadership is a fundamental component to successful caseflow management in a trial court. According to the author, "...it is clear that most of the 17 Mahoney,Barry,Alexander Aikman,Pamela Casey,Victor Flango,Geoffrey Gallas,Thomas Henderson,Jeanne Ito, David Steelman and Steven Weller,Changing Times in Trial Courts, Caseflow Management and Delay Reduction in Urban Trial Courts, (Williamsburg,VA:National Center for State Courts, 1988). Matrix Consulting Group and the National Center for State Courts Page 126 SALT LAKE CITY, UTAH Management Audit of the Justice Court successful courts have had the benefit of leadership by a chief judge with the vision, persistence, personality, and political skills necessary to develop broad support for court policies and programs..."18 Moreover, research in the area also suggests that continuity of leadership is a significant element of effective caseflow management. "[W]here the chief judgeship is a rotating office that is essentially honorific, with little management authority and responsibility, there is no strong central core for the development of an aggressive, long-term attack upon problems of delay."19 The authority and responsibilities of the Presiding Judge of the Justice Court are undefined and often unclear. Under the court's current structure, lines of administrative authority fall under the role of the Court Administrator, who has no formal reporting responsibility to the Presiding Judge. This creates a situation in which the Presiding Judge may be viewed more as a figurehead. Best Practice Target: A presiding judge has authority and responsibility to oversee court operations and ensure that services are provided in an efficient and effective manner. Positive Feature for the Justice Court Potential Improvement for the Justice Court The presiding judge and court director work well The presiding judge in the Salt Lake City Justice together in spite of the current organizational Court does not have administrative and/or structure. management responsibility for the Court. As a division of a City Department, the Court Administrator reports to the City on budgetary and operational issues. The presiding judge provides input on these issues, though usually through consensus with other judges. The City and the Court should develop a greater leadership/management role for the presiding judge. (2) Goals The type of goal generally associated with caseflow management involves the implementation of time standards for case dispositions. Standard 2.1 of the Trial Court 'g Mahoney,et al., Changing Times in Trial Courts,p.198. 19 Ibid. Matrix Consulting Group and the National Center for State Courts Page 127 SALT LAKE CITY, UTAH Management Audit of the Justice Court Performance Standards state that an optimally-functioning trial court "establishes and complies with recognized guidelines for timely case processing while, at the same time, keeping current with its incoming caseload."20 If a disposition is unduly delayed, the fact that the decision of the court is based upon sound legal principles may not overcome the injustice to the parties resulting from the delay. The American Bar Association, the Conference of Chief Justices, and the Conference of State Court Administrators have all urged the adoption of time standards for expeditious case processing. All judges of the Justice Court agree that criminal matters must be resolved within identified timeframes and use directed timeframes as a guideline in criminal case processing. Whether formal or informal, however, the court has yet to adopt standards for the timely disposition of civil cases. As of 1994, court systems in 34 states had time standards, and 33 of them had standards for civil cases in general jurisdiction trial coi rts.21 The adoption of case-processing time standards reflects a commitment to timely completion of these cases as an important goal. In operation, time standards serve several other important ends: • Motivation. Time standards act as motivators by providing goals for judges and other participants in the court in efficiently managing caseloads. • Measurement. Time standards provide yardsticks for measuring management effectiveness, serving as benchmarks for determining whether the pace of court proceedings is acceptable. • Management. Time standards provide a starting point for developing specific procedures to meet the goals they set forth. • Information System Development. Time standards are most effective where judges and other participants in the court process receive information on the 20 See Bureau of Justice Assistance and National Center for State Courts, Trial Court Performance Standards with Commentary(Washington,DC: US Department of Justice, 1997). 21 See Janice K. Fernette,"State Court Case Disposition Time Standards"(Williamsburg,VA:National Center for State Courts, Information Service,November 1994). Matrix Consulting Group and the National Center for State Courts Page 128 SALT LAKE CITY, UTAH Management Audit of the Justice Court extent to which they are being achieved. Time standards should lead to the development of systems for monitoring caseload status and progress toward caseflow management goals.22 Adoption and implementation of time standards is also likely to have an impact on the assessment of court resource needs for judges and non judge personnel. There is ample evidence that case-processing times do not relate to the size of a court or its caseload per judge,23 and that adding new permanent judgeships is not the only possible cure for court delay.24 Yet, even courts that process cases quickly can reach a "saturation point," at which they cannot absorb and process more cases without additional judicial or non-judicial staff resources.25 In a setting where the court is managing its caseflow, time standards help to highlight the level of its judicial and non- judicial personnel needs. It should also be noted that time standards are not the only type of goal appropriate to caseflow management. The TCPS suggests three measures other than time to disposition to determine a court's commitment to expedition and timeliness.26 Some courts have adopted goals or guidelines such as the ratio of dispositions to filings, the ratios of continuances to cases set, the length of continuances, and/or the number of dispositions per full time judicial position. In general, the consultants 22 See Barry Mahoney,et al.,Planning and Conducting a Workshop on Reducing Delay in Felony Cases. Volume One: Guidebook for Trainers(Williamsburg,VA:National Center for State Courts, 1991),page P5-3. This discussion of standards is as applicable to civil cases as it is to felony matters. 23 National research on court delay reduction has consistently shown that disposition times are unrelated to the size of a court or the number of filings per judge. See Church,et al.,Justice Delayed, pp.21-24;Mahoney,et al., Changing Times in Trial Courts, p.46;and John Goerdt,et al.,Examining Court Delay(Williamsburg,VA: National Center for State Courts, 1989),pp.26-30 and 71-75. 24 Barry Mahoney,Larry Sipes and Jeanne Ito,Implementing Delay Reduction and Delay Prevention Programs in Urban Trial Courts:Preliminary Findings from Current Research(Williamsburg,VA:National Center for State Courts, 1985),p. 30. 25 See Goerdt,et al.,Examining Court Delay, p.30. 26 In addition to the time to disposition standard to assess case processing,the Trial Court Performance Standards suggest that courts evaluate ratio of case dispositions to case filings,age of pending caseload and certainty of trial dates. See Bureau of Justice Assistance and National Center for State Courts, Trial Court Performance Standards with Commentary(Washington,DC:US Department of Justice, 1997). Matrix Consulting Group and the National Center for State Courts Page 129 SALT LAKE CITY, UTAH Management Audit of the Justice Court recommend that the Court consider a continuum of performance goals and adopt those that fit within its current reporting scheme to start. Best Practice Target: The Salt Lake City Justice Court adopts ABA case processing goals along with goals or guidelines such as the ratio of dispositions to filings, the ratio of continuances to cases set, the length of continuances, and the number of dispositions per FTE judicial position. Positive Feature for the Justice Court Potential Improvement for the Justice Court The presiding judge is knowledgeable and The Justice Court does not have case processing supportive of the staff as new ideas and time standards. Standards should be processes are discussed in order to increase case implemented and cases monitored to determine processing efficiency. compliance and determine where case processing improvements can be made. The Justice Court is in a transition phase. Therefore, the court can more readily take advantage of this review to implement change and establish new case processing goals. (3) Information A court that has adopted standards for the timely disposition of cases must be able to establish regularly how its actual performance compares to its expectations. Having information is critically linked to judicial leadership and commitment as well. Court leaders who make delay reduction a real priority will want to know whether case processing time standards or goals are being met. Whether or not the court is computerized, they will find ways to get the information necessary to monitor progress.27 The Justice Court generates monthly reports on the number of cases filed, tickets issued, number of violations as well as parking revenue history. These statistics, however, point primarily to caseload information rather than caseflow information; answering the question of how many cases are processed rather than how long it takes to process cases. According to the Court Administrator, there are limitations within the current automated reporting mechanisms concerning case age at disposition, and pending inventory case age. TCPS recommend that, as part of its ongoing caseflow 27 Mahoney,et al.,Changing Times in Trial Courts, p.200. Matrix Consulting Group and the National Center for State Courts Page 130 SALT LAKE CITY, UTAH Management Audit of the Justice Court management efforts, a court should regularly review information about the age of cases at disposition and case age of the pending caseload, in addition to information about total filings, pending cases and dispositions. This caseflow management information should be provided as part of case management reports regularly generated by the court's automated case information system. In the event that such information is not readily available, periodic manual tabulations by case sampling should be conducted to assess the age of cases at disposition and age of the pending caseload. While information is vitally important for effective caseflow management, it is possible to suffer from "information overload." To avoid such overload, judges ought to give attention to the key types of caseflow management information:28 • Pending caseload information. Operationally, this type of information is of great importance, since it gives a picture of a court's current workload and indicates how many cases are near or exceeding time standards. A useful pending caseload report will show the number of cases pending, both in total and within major case types, as well as the age of pending cases, both from initiation and during significant legal milestones. • Age of cases at disposition. This should be provided both by case type and by method of disposition. While information on disposed cases is historical by definition, it is extremely valuable because it provides baseline data at the commencement of a delay reduction program; it enables a court to measure its performance in light of time standards; and it facilitates planning for other delay reduction efforts. • Monthly and annual aggregate data. This includes periodic reports on filings, dispositions, and number of hearings per case. Analysis of such aggregate data is particularly helpful if it is available for a period of several years and can yield information on trends and effectiveness of resource utilization. It can also provide information on filing trends, whether dispositions are keeping pace with filings, and whether hearings per case are increasing or decreasing. • Reports on open cases. Such reports are basic management aids for the bench and court administrators as a court, as a whole, seeks to manage its cases 28 See Mahoney,et al.,Planning and Conducting a Workshop on Reducing Delay in Felony Cases, Volume One, supra, pp.P6-3 through P6-6. While Mahoney and his colleagues focus on felonies,this discussion is equally applicable to the matters heard by the Court of Common Pleas for the State of Delaware. Matrix Consulting Group and the National Center for State Courts Page 131 SALT LAKE CITY, UTAH Management Audit of the Justice Court effectively, providing more detail on specific cases than the summary reports described above. A good "open cases" report will typically list all of the open cases in chronological age order (listing oldest cases first) and with other information about each case, such as docket number; party names; case initiation date; case status, including the date and nature of the last action and of the next scheduled action; names of attorneys; and any special case considerations. With the reports listed above, a court can evaluate and monitor the status of the oldest cases on the docket; identify and evaluate problem cases; determine whether there are particular attorneys causing special caseflow management problems; and identify case types that consistently take longer or need special attention. Information by itself does not solve problems. The Court must use this information to manage cases and caseflow, by asking key questions.29 The bench, as a whole, should be asking such questions as the following on an ongoing basis: • Case-related questions. What is happening in this case? How old is it? What is its status? What should be happening next? By when? • Calendar-related questions. What is the overall status of the Court's calendar? How many pending cases are there, and what is their age and status? What are the oldest cases, and are they beyond the time standards? Why are they old? What needs to be done about them? For a presiding judge and court administrator, there are different questions to ask to use information effectively for caseflow management and delay reduction: • Overall status of calendar. How many old cases are there? That is, how many cases are pending beyond the time suggested by time standards? What is the "backlog" (the number of cases that cannot be completed within a tolerable time, as defined by the time standards)? • Troubleshooting questions. Are there problems with particular types of cases? Are there particular procedural bottlenecks? Are particular judges having trouble? 29 Ibid. pp.P6-7 through P6-9. Matrix Consulting Group and the National Center for State Courts Page 132 SALT LAKE CITY, UTAH Management Audit of the Justice Court With this information, the Justice Court will have the tools to identify problems and determine where caseflow management efforts are needed. The steps taken to address problems should be consistent with basic principles of effective caseflow management. Best Practice Target: The court administrator has access to caseload as well as caseflow information and statistics through the case management system. Positive Feature for the Justice Court Potential Improvement for the Justice Court The case management system can produce ad The Justice Court produces monthly statistical hoc caseflow data statistics. Currently ad hoc data reports showing the current month's activity, reports are produced on a for fee basis. the cumulative year's total. Although it is good that the court administrator receives some The court administrator should have the case information, these statistics provide caseload management system programmed to produce rather than caseflow data. The numbers only caseflow statistical reports. answer the question of how many (not how long) cases the court has processed. (4) Communications It has been well-documented in studies of caseflow management that open, reciprocal communication among the court and the bar is a critical factor of an effective caseflow management system. Ongoing communication between the court and the legal community, including the prosecutor, the public defender, and the private bar, are essential for the court's case management strategies to succeed. Court leaders must find ways for bar members to express valid concerns with respect to the need for improved court management of cases. In the development of its caseflow management design, the court should be mindful of the practical impact of change on lawyer practices and costs to the clients of the private bar. The court will benefit by the involvement of bar members in the development of the caseflow management plan because the bar will (a) have greater understanding of the objectives of the plan, and (b) will have greater commitment and fidelity, essentially "buy-in", to a plan they helped to develop. Matrix Consulting Group and the National Center for State Courts Page 133 SALT LAKE CITY, UTAH Management Audit of the Justice Court Best Practice Target: The court community (presiding judge, court administrator, prosecuting attorney, legal defense association, law enforcement and the bar) meet openly and regularly. Internal staff meetings are also regularly held with judges and clerk staff and to discuss pertinent issues. Positive Feature for the Justice Court Potential Improvement for the Justice Court Interviews revealed that the Salt Lake City Justice The justice community does meet regularly, Court community has no aversion to regularly though these meetings could be improved by meeting and exchanging ideas. using these meetings more to track court performance and issues. (5) Caseflow Management Procedures Court control of the pace of litigation is a key factor in caseflow management. The American Bar Association's National Conference of State Trial Court Judges articulated the general principal of caseflow management and delay reduction. From the commencement of litigation to its resolution, whether by trial or settlement, any elapsed time other than reasonably required for pleadings, discovery and court events, is unacceptable and should be eliminated. To enable just and efficient resolution of cases, the court, and not the lawyers or litigants, should control the pace of litigation. A strong judicial commitment is essential to reducing delay and, once achieved, maintaining a current docket.3° In practice, processes that promote court control of case processing have three benefits. First, a court monitors the age of cases from the time of filing. Second, a court institutes reasonable expectations for case progress to just and fair outcomes. Third, the court continually seeks to dispose of cases by appropriate means at the earliest reasonable opportunity. This has the effect of bringing citizen disputes to a more prompt resolution. This means that an increasing number of case dispositions are meeting time standards, while the pending inventory is kept at a manageable level. More importantly it means that cases are disposed with only a necessary number of hearings and optimizes the time of litigants, judges, court staff, and attorneys. 3o Standards Relating to Court Delay Reduction, Conference of State Trial Judges Committee on Court Delay Reduction,(Chicago: American Bar Association, 1985), Sec.2.50. Matrix Consulting Group and the National Center for State Courts Page 134 SALT LAKE CITY, UTAH Management Audit of the Justice Court • Scheduling Orders: If the court is reasonable but firm in the enforcement of its scheduling orders, it should render a reasonable and predictable timetable for counsel to complete their case preparation activities. If counsel are prepared, they are in a position either to go to trial immediately or to settle cases in advance of trial. • Non-trial Dispositions before Cases Are Set on Trial Calendar: If each judge creates an atmosphere of expectation that every court event should be meaningful (in terms of achieving its intended purpose and serving case progress toward disposition), then counsel are more likely to be prepared when they appear for each court event. When counsel have prepared in advance of a case event, they are in a better position to consider the possibility of early disposition by settlement or other non-trial means. If the Court focuses on achieving appropriate non-trial dispositions as early as is reasonable and possible in cases, then it will have fewer cases that must be scheduled for trial. There will be fewer cases that have been set on the trial calendar that must be continued or that are disposed by non-trial means. This has the effect of making trial scheduling easier and having more trials actually start on or near the first trial date. • Court Calendars: The calendar structure of a court is critical to the ability of the court to manage and process the cases before it effectively. A well-run and efficient court calendar ensures that an event will take place when scheduled and reinforces that the court not the litigants controls the pace of litigation. The project team's review of the calendars revealed some concern for block scheduling. Although there is some variation as to the type of matter heard on a particular day, all cases are set in a singular time block. Crowded conditions tend to exacerbate delay, increase tensions for court staff and litigants in addition to decreasing public satisfaction with the court process. The first step to refining the calendar is for the court to stagger its block scheduling times rather than scheduling all matters before the court at one time. This calendar system will allow the Court to conduct its business in an orderly fashion, and dispose of similar types of cases at once. Best Practice Target: The court has access to statistical caseflow information and has established case processing goals which allow cases to flow through the system without delay. Positive Feature for the Justice Court Potential Improvement for the Justice Court The court is and must continue to explore ways in A fundamental principle of effective caseflow which it could better manage the caseload., management is that continuances should not occur unless granted by a judge based upon a showing of exceptional cause by a party. Continuances have not been discovered to be a significant issue in the Justice Court. Matrix Consulting Group and the National Center for State Courts Page 135 SALT LAKE CITY, UTAH Management Audit of the Justice Court (6) Judicial Responsibility and Commitment: Judicial commitment to the proposition that the court must assume active responsibility for controlling the pace of litigation is the hallmark of an orderly, effective caseflow management system. According to Mahoney: "...[C]ommitment manifests itself in several ways. First, there is a commonly...shared belief on the part of judges that the court has to take responsibility for ensuring an expeditious pace of litigation. Second, [the court has]procedures and techniques that focus the judges' attention on the age and status of cases, through dissemination of information, attention to docket status and details of case management at judges' meetings, and in a variety of other ways. Third, the commitment is translated into action when the judges hold lawyers to schedules previously set and decline to grant continuances routinely, even when none of the parties object."" The court must promote judge consensus and commitment to improved caseflow management. Implementation of uniform caseflow management policies and procedures necessarily involves some sacrifices of style and inclinations to assure consistency of operations and equal treatment of cases. Judges may tend to view standardization as a threat to judicial independence. However, it is important to continue to distinguish independence in decision making and administrative independence. A uniform caseflow management system that incorporates exemplary processes does not challenge independent judicial decision-making. Instead, it enhances the likelihood of justice being done by imparting rationality and predictability to the process and by minimizing delays in disposition.32 31!bid. 32 Solomon and Somerlot,Caseflow Management:Now and For the Future,p.10. Matrix Consulting Group and the National Center for State Courts Page 136 SALT LAKE CITY, UTAH Management Audit of the Justice Court Best Practice Target: The Salt Lake City judges are dedicated professional who are committed to the fair adjudication of cases and serving the public. Positive Feature for the Justice Court Potential Improvement for the Justice Court The Salt Lake City judges are dedicated N/A professional who are committed to the fair adjudication of case and serving the public. (7) Administrative Staff Involvement As noted in Changing Times: "While the commitment of judges is critical...[t]he involvement of court staff members at all levels —from the court administrator through the [Clerk's Office] and courtroom clerks who handle day-to-day administrative duties for the judge—is essential. One of the striking aspects of the operations of several...successful courts...is the extent to which the non judicial staff members are aware of the court's case processing goals and are actively involved in helping achieve them.'x43 In developing improvement strategies, the judges and the court administrator should solicit input from the staff and keep them informed of proposed policy and procedural changes. Staff members often are experts in the details of case processing; it would be a mistake not to take advantage of the contributions they can offer. Best Practice Target: In developing improvement strategies, the judges and court administrator seek input from the staff and keep them informed of proposed policy and procedural changes _ Positive Feature for the Justice Court Potential Improvement for the Justice Court _ The clerical and administrative staff members of There is currently limited formal internal the Salt Lake City Justice Court are extremely communication within the court. The Court needs involved in the court and show a high level of regular staff meeting to keep them informed of identification with the court system. new policies and procedure. (8) Education and Training Providing education and training about the Court's caseflow management improvement program is an important factor in enhancing the likelihood of its success. It helps those in the court process understand why the program is being introduced, and 33 Mahoney,et.al.,Changing Times in Trial Courts,p.202. Matrix Consulting Group and the National Center for State Courts Page 137 SALT LAKE CITY, UTAH Management Audit of the Justice Court the purposes of the justice system it is intended to address. It also should provide detailed information on how the program is to operate. As a means for communicating about the nature and details of the program with judges, court staff, attorneys, and other institutional participants in the court process, it also serves as a vehicle for engendering greater commitment to the purposes and success of caseflow management in the court. In the area of caseflow management, education and training is critical. Its value for the success of a caseflow management improvement program has been set forth in one of the recent reports on the national study of caseflow management and delay reduction efforts. If courts are to manage their caseloads successfully, both the judges and the court staff need to know why and how to do it. Since the whole notion of caseflow management is of relatively recent vintage, this is not an area in which there is a great deal of knowledge and experience in most courts. Training is essential to familiarize judges, staff members, and members of the bar with the purposes and fundamental concepts of caseflow management and with the specific details and techniques essential to effective case management in the court on a day-to-day basis. Best Practice Target: All clerical staff members receive in house training and attend an annual educational class on case management and court administration Positive Feature for the Justice Court Potential Improvement for the Justice Court During interviews, the clerical staff of the Salt Training, it is essential that the judge, court Lake City Justice Court all expressed the desire to administrator, and staff know the missions, goals, receive additional training. and objectives of the court. The SLCJC has training goals, a plan, and objectives. (9) Mechanisms for Accountability Researchers studying the pace of litigation in urban trial courts have found that having a mechanism for accountability is one of the essential features of courts that 34 Mahoney,et al.,Changing Times in Trial Courts(1987),p.203. Matrix Consulting Group and the National Center for State Courts Page 138 SALT LAKE CITY, UTAH Management Audit of the Justice Court manage cases successfully.35 Moreover, the TCPS recognize that the judges of an optimally functioning trial court not only assert and maintain its distinctiveness as a separate branch of government, but they also monitor and control its operations and hold themselves accountable to the public for its performance.36 This concept is closely related to several already discussed herein: commitment, goals, and monitoring case progress. If the court adopts court wide standards (i.e. all criminal matters disposed within 90 days), then there must be someone responsible for monitoring whether the Court is meeting these standards, and if not assessing the reasons why, and taking remedial steps to cure the deficiency. To monitor the Court's performance and that of individual judges adequately, the Court must generate case management related information. Currently, information is not readily available to determine whether the Court is consistently meeting case disposition time standards. • Best Practice Target: Each month, the judges should all receive and review reports on (a)the size of the pending inventory and the age the pending cases; (b)the number of pending cases older than the time standards; and (c) the number of hearings,jury trials, and non jury trials over which each judge presided. The number and duration of trial-date continuances should be considered in each monthly meeting. In addition, the judges should also discuss any problems they have encountered in complying with the caseflow management plan of the court. At the end of each year, individual judges should be commended for their performance and commitment to caseflow management principles. The judges of the Justice Court can measure their collective performance against both time standards and the Court's caseflow management improvement plan. To the extent that they have been published and available for public review, the standards and the plan can serve as dimensions for both internal and external accountability. Periodic reports to the general public on the Court's progress under its time standards and its caseflow management plan address three important external accountability goals: (1) they show the Court's use of public resources; (2) they show the effects on litigants of the Court's caseflow management activities; and (3)they promote public trust and confidence that the court functions are expeditious, fair and reliable.37 35 Ibid. 36 See Trial Court Performance Standards, Standards 4.1 to 4.5,Bureau of Justice Assistance and National Center for State Courts, Trial Court Performance Standards with Commentary(Washington,DC: US Department of Justice, 1997). 37 See Trial Court Performance Standards,Standards 4.2 and 5.2. See also,Reginald K. Carter, The Accountable Agency(Beverly Hills,CA: Sage Publications, 1983),p.31. Matrix Consulting Group and the National Center for State Courts Pape 139 SALT LAKE CITY, UTAH Management Audit of the Justice Court (10) Inventory Control Knowledge of the pending caseload is a hallmark of a court that manages its caseload in a businesslike manner. The overall size of the pending inventory should be small enough to permit the Court not only to keep pace with new filings but also to meet time standards. Currently the Justice Court knows how many cases are pending but does not know the age of pending cases. Based on limited case management information and anecdotal reports, it appears that cases, especially criminal cases, move fairly quickly to disposition. Without information about the type of cases and age of cases awaiting disposition, this remains only an assumption. Until a fully functional automated case information system is available, the Court's leaders should look for a manual means such as case sampling to measure the pending caseload. Matrix Consulting Group and the National Center for State Courts Page 140