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HomeMy WebLinkAboutMINUTES - 06101997 - D10 Contra Costa County TO: BOARD OF SUPERVISORS _ FROM: STEVE WEIR, County Cler - ecorder-Registrar of Voters ofinili� DATE: May 29, 1997 '' �Osr`4'COUI1'1� G4~ SUBJECT: STATUS REPORT ON CORRECTIVE PLAN FOR CLERK- RECORDER, ELECTION DIVISION SPECIFIC REQUEST(S)`OR RECOMMENDATION(S)&BACKGROUND AND JUSTIFICATION RECOMMENDATION: 1. ACKNOWLEDGE that the County Clerk-Recorder and his staff are dedicated to providing accurate, timely, and efficient elections. 2. ACKNOWLEDGE that toward this goal, the Clerk-Recorder has worked with other County Agencies, the Contra Costa Elections Task Force, and private consultants to identify and address issues that have resulted in problems and errors in past elections. 3. ACCEPT the report from the Clerk-Recorder on the Elections Division Corrective Action Plan, with responses to the Elections Task Force Recommendations of February 12, 1997. 4. DIRECT the County Administrator to continue to work with the Clerk-Recorder to implement the corrective action plan. 5. REQUEST the County Administrator to work with the County Clerk-Recorder to secure a suitable facility, to address technology issues, to develop an adequate phone system, and to develop and build a team environment in the Elections Division. CONTINUED ON ATTACHMENT: X YES SIGNATURE: _RECOMMENDATION OF COUNTY ADMINISTRATOR RECOMMENDATION OF BOARD COMMITTEE _APPROVE _OTHER SIGNATURE(S): ACTION OF BOARD ON June 10, 1997 APPROVE AS RECOMMENDED X OTHER X Please see Addendum (Attached) for further Board action. VOTE OF SUPERVISORS I HEREBY CERTIFY THAT THIS IS A TRUE AND CORRECT COPY OF AN ACTION TAKEN X UNANIMOUS(ABSENT ) AND ENTERED ON THE MINUTES OF THE BOARD AYES: NOES: OF SUPERVISORS ON THE DATE SHOWN. ABSENT: ABSTAIN: ATTESTED June 10 1997 P c r,Clerk of the Boar cc: Supervisors Supervis sand unty 7st, or County Clerk-Recorder County Administrator Department of Information Technology BY C istine Wampler D.10 ADDENDUM Item D.10 June 10, 1997 Steve Weir, County Clerk-Recorder, presented a status report on the Elections Division Corrective Action Plan. The Board members discussed the issues and took the following action: 1. APPROVED Recommendations 1, 2, 3, 4, and 5, as listed on the attached Board order; 2. REQUESTED that the County Administrator report to the Board regarding capital improvement funds and permanent facilities for the Election Division within 60 days; and 3. REQUESTED that the County Administrator coordinate with the Department of Information Technology to expedite repairs of the Election Division's phone system, and report to the Board on the status of those repairs within 30 days. cc: Supervisors County Clerk-Recorder County Administrator Department of Information Technology Report to the Board of Supervisors: Status Report on the Contra Costa Elections Division Corrective Action Plan June 10, 1997 Submitted to: Contra Costa Board of Supervisors Mark DeSaulnier, Chair, District 4 Jim Rogers, District 1 Gayle B Uilkema, District 2 Donna Gerber, District 3 Joe Canciamilla, District 5 Submitted by: Steve Weir, County Clerk-Recorder Contra Costa Elections Division Status Report Elections Division Corrective Action Plan Background On November 14, 1996, the Clerk-Recorder and County Administrator jointly submitted a report to the Board of Supervisors acknowledging errors and irregularities which occurred during the November 1996 Election. The Board recognized that there were some significant mistakes and endorsed the establishment of an Elections Task Force to review election procedures for the November 5, 1996 election. The Board requested a status report to be presented in early 1997. On March 11, 1997, the Board received the Task Force Report. The Board of Supervisors accepted the Elections Office action plan and approved the recommendations contained in the Contra Costa County Elections Task Force Report on the Review of the County Elections Office. The County Clerk-Recorder was directed to provide a 90-day status report to the Board on the Elections Division action plan. This is that 90-day report. Actions Taken This report will address each recommendation as it appears in the Elections Task Force Report of February 12, 1997. A. Leadership 1. "The Clerk-Recorder and Assistant Registrar should work with Elections Office staff to develop a mission statement which reflects the statutory and regulatory charge of the office, its goals and values and which is understood and accepted by the employees, and supported by the County Administrator and Board of Supervisors. A self-defined mission statement would provide all Elections Office employees with a common goal, and support team development within the office and assist in clarifying expectations for service and performance." The Clerk-Recorder and Elections Office staff are developing a division mission statement through a staff development program implemented as a result of these recommendations. The staff, working in small group teams and in full staff meetings is developing goals and objectives, policies and procedures, and clarifying roles and responsibilities within the division. The Clerk-Recorder is involved at all levels of these meetings and with his staff, is developing written Division Management Style Guidelines. 2 The Assistant County Registrar has resigned. Recruitment to fill that position is expected to be completed in mid-June 1997. 2. "The Clerk-Recorder, Assistant Registrar and office supervisors should ensure that the office's activities are directed toward achieving its goals and objectives and should continually reinforce the goals and objectives with all staff." The Clerk-Recorder, along with his staff, is developing a functional organizational chart that is task-oriented. We are developing a continuous improvement program to identify existing situations, identify areas of concern and address the issues on an ongoing basis. This Continuous Improvement Committee will consist of representatives from each section to identify and address all issues in the office. The Clerk-Recorder is in the process of developing a 5-year plan for facilities and capital needs. This includes planning to implement new election laws, new technology, office staffing needs, and resources necessary for future elections. 3. "The Clerk-Recorder and Assistant Registrar should set clear expectations for effective communications within the Elections Office and must implement an overall office communication structure including regular meetings between: • The Clerk-Recorder and Assistant Registrar. • The Clerk-Recorder and Elections Office staff. • The Assistant Registrar and the management team. • The Assistant Registrar and Elections Office staff." We have reinstated regular meetings. As we are developing a comprehensive functional organizational chart, we are clarifying roles and identifying some issues that have resulted in staff changes. Regular meetings with staff are occurring at different levels; management, supervisor, and section meetings. This has partly been facilitated by a consulting firm working with the Elections Division. Roxana Dunning Davis is acting as Assistant Registrar and is conducting regular staff meetings until the new Assistant Registrar can be selected. In addition, communication is increasing through the development of written policies and procedures that will address past and future miscommunications. 4. "The Clerk-Recorder should obtain the services of a facilitator from the County Training Institute or a qualified outside agency to promote communication and teamwork within the Elections Office." 3 The Elections Division started an intensive staff development and team building program with Confidante, Inc. This agency is assisting with assessment of the current situation by identifying strengths, areas of vulnerability, and developing an action plan to address critical issues. Part of the process will be to develop a continuous improvement program that will remain in place after the completion of the staff development process. As the staff development contract with Confidante, Inc. ends, the Elections Division will continue staff development and support from the County Training Institute. 5. "The Elections Office should establish, with meaningful employee participation, an organizational structure which reflects clearly defined office functions and lines of authority. The Assistant Registrar should ensure that lines of authority are observed." Through the staff development process with Confidante, Inc. and subsequent committee meetings, the Elections Division is establishing a functional organizational structure and division chain of command procedures. Clear roles and responsibilities are the primary goals. The newly appointed Assistant Registrar will be responsible for ensuring these lines of authority are met. 6. " The Assistant Registrar needs to allocate her time to ensure that she is accessible to staff to provide guidance and support, particularly during peak periods of activity which require quick and decisive response." Accessibility will be a high priority for the newly selected Assistant Registrar. The acting Assistant Registrar is aware of the importance of reliable support and guidance. (Attached, please find the announcement for this position.) 7. "The Clerk-Recorder and Assistant Registrar should establish a process which takes full advantage of the knowledge and input of staff to create a vision of what and where the office wants to be in the next two to five years, the changes necessary to achieve that vision, and a plan to gradually implement and accommodate those changes. Prospective changes need to effectively be communicated to all levels of staff." The Clerk-Recorder has provided a recent status report to the Board of Supervisors outlining a 5-year facilities and capital plan. Several issues are under analysis at this time for facets of the future plan (cost equalization, voting system alternatives, facility development). The Clerk-Recorder has moved his office, and those of his administrative staff, into the Elections Office. He has an open door policy and is actively involved in 4 reviewing all aspects of the election process with all levels of his staff. The Continuous Improvement Committee, consisting of staff members from each section of the division and management, is analyzing existing situations on an ongoing basis to identify areas of concern and address these areas. The committee will propose changes, work with the sections to develop procedures for change, and manage change in a way that uses effective communication between staff, supervisors, and management. This committee will continue to participate in discussions and planning for the future. B. Operations. 1. "The Clerk-Recorder and Assistant Registrar should establish standards for employee performance, including employee evaluation and recognition programs." The Clerk-Recorder has developed and implemented employee and management evaluations. The Clerk-Recorder, with his staff, is in the process of developing core values, setting in place written office policies and procedures. The development of the Clerk- Recorder Employee Handbook is nearly complete. This is a comprehensive guide to. general office policies and procedures that will be supplemented by those policies and procedures that directly apply to individual job responsibilities. We are instituting a performance management program with every new employee and a program is currently in place for all management staff. Our goal is to begin annual employee reviews for all employees in the Elections Division as they reach their merit anniversaries. The performance review is to be used with the essential job functions identified for each position. 2. "The Clerk-Recorder and Assistant Registrar should establish standards for customer service and should communicate these standards to all staff. Performance in this area should be monitored and evaluated on a regular basis." Office policies and procedures, which we are currently updating and refining, will reflect management's commitment to customer service. These standards will be expressed as part of the employee's policies and procedures in the Employee Handbook. Our mission statement will reflect that commitment as well. 3. "The Clerk-Recorder and Assistant Registrar, with the assistance of an outside facilitator, should involve the staff in team building exercises to restore cohesiveness, mutual respect and confidence among election staff members. The Clerk-Recorder and 5 Assistant Registrar must, by their own example, promote teamwork and effective communication." Confidante, Inc. is facilitating the staff development and team building process in the Elections Division. Through committees, exercises, and meetings, the staff is gaining team building skills to assist in developing a positive, cohesive relationship among staff. The Clerk-Recorder is taking an active part in this team building and staff development. We plan to have the newly selected Assistant Registrar on board in time to take part in the program, though we will have procedures in place for continuous improvement. 4. " The Elections Code and other governing codes should be a basis for office procedures and problem solving. Staff should, at the minimum, be trained on sections of the Elections Codes which affect and govern its specific functions. Ideally, staff should receive broad training on the Elections Code and its applications to promote a sound working knowledge of the entire elections process." The Clerk-Recorder is in the process of identifying functional training for Elections staff on the Election Code. 5. "The services of experts on the Elections Code should be obtained to provide assistance to Elections Office staff in the documentation of Elections Code requirements and procedures. These written procedures would assist in the training of new or reassigned staff and serve as a reference for non-routine procedures that can be forgotten due to lack of repetition. Interpretations of the Elections Code relating to specific situations that arise in the preparation of or during an election should be documented and communicated to affected staff." "See the answer to 4. above. We will train managers and supervisors, where needed, on the aspects of the Elections code that pertain to their area of responsibilities. They will be held accountable for staying informed of changes. By encouraging participation with other counties and professional associations, which is now occurring, we will stay current on problems and solutions to Elections Office challenges. We are refining and expanding the department election calendar with Election Code references. 6. "The Clerk-Recorder and Assistant Registrar, with assistance from the management team, should establish written desk manuals with clear performance expectations and task completion deadlines for every employee. Written task descriptions are vital for a well-organized office and to ensure that no part of the process gets overlooked." We are updating employee manuals; they are nearly complete. Policies and 6 procedures for specific tasks are under development. Also, process time lines that include deadlines for completion of specific election functions are being developed. As we define roles and responsibilities, we are clarifying the tasks and procedures for each position. These will become part of the employee's essential job functions and will be part of the performance review process. 7. "The Clerk-Recorder and Assistant Registrar should establish an employee training program including": ✓ "Project planning skills and training for specific tasks." Clerk-Recorder is developing a training program for new and current employees. ✓ "Visits to other counties to observe election procedures." Clerk-Recorder and training staff have observed Alameda training procedures and are addressing poll worker training with other counties. We are planning a trip to San Mateo County to view automated polling place vote counting system. We have also scheduled key staff to attend the annual training program at Stanford University. ✓ "Regular "round table" discussions of areas of the Elections Code or issues identified by staff as timely." Regular staff meetings are well underway. Issues to discuss include Election Codes and/or timely issues. ✓ "Regular "briefings" for clerical staff on issues which, due to the timing of the election cycle, may be raised by members of the public." Administrative staff is developing "most asked phone questions and answers or the person to transfer to" for normal operations, out of department questions, and election day issues. This will be a first response "cheat sheet" to reduce phone traffic on election day and during regular operations. ✓ "Proofing guidelines and standards." A professional proofreader has provided training in proper proofreading. A division proofreading policy is under development. This will be used, along with formal proofreading training and procedures to reduce errors. ✓ "Regular "post mortem" on problems and successes following each election, incorporating ideas to improve future elections." After election is complete, we will schedule regular meetings to identify areas of concern and begin remedy process. The Elections Division will develop a system to survey poll workers for issues they feel need to be addressed as well. Our expanded rover program (designed to assist precinct boards on election day), is also part of our feedback system. The department is setting up a system of feedback to poll workers, poll worker training, and poll worker recruitment. The goal is to identify problems and develop solutions. ✓ "Regular discussion of new laws relating to elections." We will address this at regularly scheduled staff meetings. 7 ✓ "Attendance by key staff at meetings of the County Clerk's Association, including participation on subcommittees assigned to specific areas of elections." The department has already increased this involvement and our feedback is positive. ✓ "Attendance by key staff at meetings with the computer vendor." Several meetings have been held with the software vendor, developing better procedures, presenting new equipment and system choices and we have scheduled future meetings. ✓ "Regular routing of communications from the state to all program or team leaders, for discussion with their teams." A procedure is in place right now. We are developing proper information flow via a functional chain of command. ✓ "Computer/PC training from the County's Department of Information Technology or other qualified agency." We are sending staff in phases to PC literacy courses. We are implementing a continuous training program for all staff. A Network Administrator is being hired. This person will also be involved and assist in training. ✓ "New employee job training and orientation." Under development with roles and responsibilities, essential job functions. 8. "The Clerk-Recorder and the Assistant Registrar, working with their management team and the Human Resources Department, should institute procedures to assess office functions to ensure that there are appropriate personnel and other resources." The Clerk-Recorder has instituted a regular schedule of meetings with the Human Resources Department to assure smooth processing of personnel documents. The administrative division of the department is identifying procedures and contacts to simplify the process. An ASA III has been hired and will assist with this process. The long term planning goals of the Elections Division will include assessing future permanent staff needs as well as short term - temporary staff needs during an election cycle. 9. "The Clerk-Recorder and Assistant Registrar, with employee input, should identify quality control check points throughout the critical steps of the elections process and incorporate these checkpoints into the routine operating procedures. The Assistant Registrar should take an active role in monitoring the checkpoints and ensuring that the staff has the necessary resources to compete critical tasks successfully and on time." 8 The Clerk-Recorder, Acting Assistant Registrar, and staff members are developing a set of checks and balances to double check, and often triple check, operating procedures in order to eliminate error. The deadlines will allow sufficient time to provide these checks in a timely manner. C. Automated stems/Technology 1. "The Elections Office should consult with other counties with comparable telephone usage levels to determine: a. Approximate number of telephone calls or "traffic hits" usually received during the elections process. b. The best process for developing flow process/staffing model that will provide for the efficient and quick distribution of incoming telephone traffic to different positions within the office depending upon the nature of the inquiry. c. Whether an automated attendant is an appropriate telephone communications tool during the last 30 days prior to an election and under what circumstances an automated attendant should not be used." See answer to #3. 2. "Work with the County's Telecommunications Division and the telephone vendor'to develop a telephone usage model by testing: busy study, usage study, call volume, holding pattern limits." See answer to #3. 3. "Consult with the County's Telecommunications Division and the County's telephone/voice mail system vendor to: Upgrade Elections Office telephone system to include visual "message waiting cue", estimate voice/voice mail traffic, develop a plan to allow for minimum 25% voice mail queue safety margin, eliminate problems within the telephone system that cause incoming calls to be disconnected." The Clerk-Recorder has requested a study of the Elections Division phone system by the County Telecommunications Division of General Services. We have requested a base line study of usage and call volume, alternative systems available, and recommendations of that/those system(s) best suited to our needs and those issues listed in 1-3 above. We received a response from Joe Cruz in County Telecommunications on May 29, 1997. County Telecommunication is recommending the installation of an Automatic Call Distribution system along with a new electronic or digital telephone system. This is a 9 software/hardware system that will distribute incoming calls to proper departments or individuals, disperse calls to agents that have minimum call volume, generate multiple reports on system usage, and retain historical data to project future needs. The Clerk-Recorder's Office will proceed with this recommendation as soon as possible, by setting up vendor demonstrations and discussing cost alternatives. The Clerk-Recorder does not believe that the County response to this issue, as outlined in the Task Force Report, was complete or accurate. Clerk-Recorder is not a phone expert and has relied upon the County to design our voice mail system and high volume system for elections. There was no warning from the County that this voice mail system placed an excessive burden upon the County's Centrex System and could fail. During the phone system failure, County workers shared their concern with the Clerk for the County's excessive reliance on the central switch in Pittsburg, which directed all calls into downtown Martinez. They volunteered that numerous voice mail systems installed in the service area of the County's Centrex switch placed the whole system into jeopardy. If such a condition was known when the Election Division requested the voice mail system, which was designed and installed by the County, that condition should have been communicated with the Clerk and the County Administrator so alternatives could have been explored. 4. "The Assistant Registrar should initiate periodic meetings with the Clerk- Recorder, all departmental data processing staff, DFM business and technical staff and, when appropriate, the ballot printer, which would focus on: security, developing managers understanding of the application, development and maintenance of job schedules for data processing staff, integration of existing desktop technology with the existing centralized system, problem triage, Mark-a-vote mechanics and requirements." See answer to #6 5. " The Clerk-Recorder Department should focus on upgrading data processing skill sets to include desktop technology, LAN maintenance. " See answer to #6 6. `The Clerk-Recorder Department should make no precipitous decisions to convert from the existing mainframe system to a distributed processing system without a full assessment of both types of systems, including a cost/benefit analysis, by County 10 Dept. Of Information Technology." The Clerk-Recorder is selecting a Network Administrator to work on these technology issues (Numbers 4-6, above). 7. "In order to allow sufficient time for testing and training, any changes made in any of the office's automated systems should be implemented well in advance of an election." The Elections Division is still in the midst of a seismic retrofit. The computer area has yet to be done. We are attempting to solve this problem by working with lease management, who is managing the retrofit. With elections coming up one after another, it will be impossible to avoid an election period for these moves. This will disrupt our computer equipment. We will work with Lease Management and the computer support staff to avoid as much disruption as impossible. We are also working with our software vendor on a contingency plan to count ballots during the retrofit. 8. "Unless and until such time as the computer vendor is able to modify the system to provide full ballot artwork it is imperative that the ballot printer use the camera ready art as provided and not employ a "Template" method used in past elections." The elections division is putting a procedure into place to have the printer provide this service in the future. The Clerk-Recorder and Acting Assistant Registrar have traveled to the printing plant to observe ballot printing and to share ideas. 9. "The Clerk-Recorder, and key management and data processing staff members should consult with the County's Director of Information Technology to develop a two- year tactical plan to accomplish the following: Identify requirements to remodel or relocate computer equipment, develop long term system security, identify education requirements. The Clerk-Recorder is selecting a Network Administrator to work on these technology issues. 11 CONTRA COSTA COUNTY, CA (Martinez, CA) I • 1 • 1 1 l • I ♦n � i ASSISTANT COUNTY REGISTRAR Send resumes or nominations by June 13, 1997 to: Alex D. McIntyre, Vice President or Norman C. Roberts, President NORMAN ROBERTS & ASSOCIATES , INC . 1800 Century Park East, Suite 430 Los Angeles, CA 90067-1507 Telephone: (310) 552-1112 Facsimile: (310) 552-1113 E-MaiL:NR-Assoc@aol.com AN EQUAL OPPORTUNITY/ADA EMPLOYER Women and Minority Candidates are Strongly Encouraged to Apply NORMAN ROBERTS & ASSOCIATES , INC . NO R M A N R O B E R T S & As SOC I A T E S , INC . RECRUITMENT PROFILE 1. CONTRA COSTA COUNTY, CA s Contra Costa County is a growing community located directly east of San Francisco. The current population is about 870,000, placing Contra Costa County among the ten most populous counties in the State of California. The County was incorporated in 1850 as one of California's original 27 counties. Heavy industry began to spread from San Francisco into the County late in the nineteenth century,and remains an important part of the County's economy today. The County covers 733 square miles. • The County includes varied suburban, industrial, agricultural and port areas. There are 18 incorporated cities within Contra Costa County. Martinez is the County seat and the location of the County's administrative and Information Technology offices. The cities of Pleasant Hill, Martinez, Danville, Concord, Walnut Creek, San Ramon, Richmond and Pittsburg are each host to numerous industrial firms which have established their corporate headquarters in these communities. Shell,Chevron, Hexcel, Dow Chemical,Systron-Donner and Zeltex each have offices in the area. ■ Contra Costa County's varied geography and temperate climate provide its resi- dents with an affordable choice of rural,urban and suburban lifestyles. In addition, the County has one of the State's most heterogeneous populations, rich in ethnic, cultural and socio-economic diversity.The County offers a varietv of cultural and recreational opportunities. In addition, all of the attractions of San Francisco are within easy driving distance,30 to 45 minutes away and accessible through the Bay Area Rapid Transit (BART). ■ Contra Costa County is known for being progressive and is governed by a five- member Board of Supervisors elected by District,on a non-partisan basis,for four- year overlapping terms. The FY 1996-97 County budget is approximately $745 million and there are about 8,000 FTE employees. 11. OFFICE OF THE CLERK-RECORDER ■ Stephen L. Weir is currently serving his second four-year term as Clerk-Recorder for Contra Costa County. He is up for re-election in June, 1998. ■ The Office of the Clerk-Recorder is divided into three divisions: Clerk, Recorder and Elections. The Office has an overall budget of approximately 59 million with a staff of 60 FTEs. NORMAN ROBERTS & ASSOCIATES , INC . IV. ISSUES/CHALLENGES FACING THE ASSISTANT COUNTY REGISTRAR (Not Prioritized) ■ Working in conjunction with the Clerk-Recorder and an outside facilitator,continue teambuilding in the Office of the Clerk-Recorder. ■ Prepare for the general elections in November, 1997. ■ Build and enhance administrative and staff support systems, particularly in the areas of budget and personnel. ■ Implement a management evaluation system. ■ Focus on staff development and create career succession strategies. ■ Identify information technology and facilities needs for the Office. V. THE CANDIDATE ■ Exoerience, Education and Professional Development The ideal candidates will have: • The equivalent of a high school diploma. A bachelor's degree, from an accredited college or university, is preferred. • Five years of progressively responsible clerical work, with at least two years which must have included supervisory responsibilities in the conduct of public procedures at the County level. It is strongly preferred that candidates have at least eight years experience working on elections for a California county. • A State of California motor vehicle operator's license. Participation in appropriate professional organizations is encouraged,as long as it does not interfere with the duties of the position. ■ Skills and Knowledge In addition to having excellent communication and budgeting skills, candidates should have knowledgeable of: • The State of California Election Code and laws relating to the conduct of registration and voting procedures in general, primary and special elections; • Acceptable office practices in document processing, filing and mailing; and • Approved supervisory methods and techniques. NORMAN ROBERTS & ASSOCIATES , INC . Page 3 of 5 • Innovative; and • A sense of humor. V1. MANAGEMENT COMPENSATION AND BENEFITS The compensation for the position is open, within an established annual range,based upon qualifications and experience (which is currently under review). There is an attractive benefits plan which includes: group health, dental and life insurance; membership in the County Retirement Plan; vacation, administrative and sick leave; holidays; mileage reimbursement; long-term disability insurance; professional devel- opment allowance for memberships in professional organizations; subscriptions to professional publications and attendance fees at job-related professional development activities; deferred compensation; and tuition reimbursement. 4/2-4/97 NoRMAN RoBERTS & Assoc IATES , INC . Page_5 of 5