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HomeMy WebLinkAbout2013-04-19 - Board of Directors Meeting Agenda PacketYorba Linda Water District AGENDA YORBA LINDA WATER DISTRICT BOARD OF DIRECTORS SPECIAL MEETING Friday, April 19, 2013, 2:00 PM 1717 E Miraloma Ave, Placentia CA 92870 1. CALL TO ORDER 2. PLEDGE OF ALLEGIANCE 3. ROLL CALL Gary T. Melton, President Robert R. Kiley, Vice President Michael J. Beverage Ric Collett Phil Hawkins 4. PUBLIC COMMENTS Any individual wishing to address the Board is requested to identify themselves and state the matter on which they wish to comment. If the matter is on the agenda, the Board will recognize the individual for their comment when the item is considered. No action will be taken on matters not listed on the agenda. Comments are limited to matters of public interest and matters within the jurisdiction of the Water District. Comments are limited to five minutes. 5. ACTION CALENDAR This portion of the agenda is for items where staff presentations and Board discussions are needed prior to formal Board action. 5.1. Operations and Efficiency Study Consultant Interviews Recommendation. That the Board of Directors make a determination of the firm most qualified to prepare the Study, direct staff to meet with that firm to negotiate the final scope and fee for the Study, and return to the Board for consideration of award of a Professional Services Agreement for preparation of the Study. 6. ADJOURNMENT 6.1. The next Board of Directors Regular Meeting will be held Thursday, April 25, 2013 at 8:30 a.m. Items Distributed to the Board Less Than 72 Hours Prior to the Meeting Pursuant to Government Code section 54957.5, non - exempt public records that relate to open session agenda items and are distributed to a majority of the Board less than seventy -two (72) hours prior to the meeting will be available for public inspection in the lobby of the District's business office located at 1717 E. Miraloma Avenue, Placentia, CA 92870, during regular business hours. When practical, these public records will also be made available on the District's internet website accessible at http: / /www.ylwd.com /. Accommodations for the Disabled Any person may make a request for a disability - related modification or accommodation needed for that person to be able to participate in the public meeting by telephoning the Executive Secretary at 714 - 701 -3020, or writing to Yorba Linda Water District, P.O. Box 309, Yorba Linda, CA 92885 -0309. Requests must specify the nature of the disability and the type of accommodation requested. A telephone number or other contact information should be included so the District staff may discuss appropriate arrangements. Persons requesting a disability - related accommodation should make the request with adequate time before the meeting for the District to provide the requested accommodation. AGENDA REPORT Meeting Date: April 19, 2013 To: Board of Directors From: Steve Conklin, Acting General Manager Presented By: Steve Conklin, Acting General Manager Prepared By: Cindy Botts, Management Analyst Budgeted: Total Budget: Cost Estimate: Funding Source: Job No: Dept: Reviewed by Legal CEQA Compliance: Subject: Operations and Efficiency Study Consultant Interviews SUMMARY: ITEM NO. 5.1 Yes $45,000 $45,000 All Water Funds 1- 2010- 0780 -00 Administration N/A N/A Related to the preparation of the District's Operations and Efficiency Study, three Statements of Qualifications (SOQ) were provided to the Board for review and discussion on March 21, 2013. From that discussion staff was instructed to invite Koff & Associates and Sjoberg Evashenk to present their qualifications to the Board for review and discussion. STAFF RECOMMENDATION: That the Board of Directors make a determination of the firm most qualified to prepare the Study, direct staff to meet with that firm to negotiate the final scope and fee for the Study, and return to the Board for consideration of award of a Professional Services Agreement for preparation of the Study. DISCUSSION: In accordance with the Board's direction, Staff identified firms or individuals who may have the experience and qualifications to prepare an Operations and Efficiency Study for the District. Staff evaluated information received, solicited letters of interest, reviewed reference information, and requested a Statement of Qualifications from each of three firms identified as qualified to prepare the study. Ultimately those SOQs were evaluated by the Board and further direction given to Staff to invite two of the firms for an interview by the Board, to determine the Board's decision on the consulting firm best equipped to provide the District's Operations and Efficiency Study. STRATEGIC PLAN: OE 2 -A: Identify Core Inefficiencies ATTACHMENTS: Description: Type: Koff SOQ.pdf Backup Material Backup Material Sloberg Evashenk SOQ.pdf Reference Check Analysis- Top 3 Firms.pdf O E Score Sheet.pdf YLWD Presentation 04 19 13.pdf SE Presentation.pdf Backup Material Backup Material Backup Material Backup Material Backup Material Backup Material Backup Material Backup Material Backup Material Backup Material KOFF & ASSOCIATES, INC. Human Resource Consulting Since 1984 IN PROPOSAL For An ORGANIZATIONAL AND EFFICIENCY STUDY FOR THE YORBA LINDA WATER DISTRICT Submitted by: KOFF & ASSOCIATES, INC. 6400 Hollis Street, Suite 5 Emeryville, CA 94608 510.658.KOFF (5633) - voice 800.514.5195 - toll free 510.652.5633 - fax E -mail: gkrammer @koffassociates.com Contact Person Georg Krammer Chief Executive Officer 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com KOFF & ASSOCIATES, INC. Human Resource Consulting Since 1984 March 18, 2013 Mr. Steve Conklin Acting General Manager Yorba Linda Water District 1717 E. Miraloma Avenue Placentia, CA 92870 Dear Mr. Conklin: IN Thank you for the opportunity to respond to your Request for Proposals. We are most interested in assisting your District with this important study and are committed to giving this project the highest priority. Meeting your needs is our number one goal. Koff & Associates, Inc., a California corporation, is a woman -owned experienced public- sector consulting firm that has been conducting similar studies for special districts (water, wastewater, community services, education, library, fire, air quality management, housing, transportation, solid waste, hospital, and higher education districts), cities, counties, and courts for almost thirty years. Koff & Associates has achieved a reputation for working successfully with management, employees, and union representatives. We believe in a high level of dialogue and input from employees and management and our proposal speaks to that level of effort. That extra effort has resulted in close to 100% implementation of all of our organizational studies. Koff & Associates is a small firm that accepts only as much work as our own staff can handle. This assures a high level of quality control, excellent communication between clients and our office, commitment to meeting timelines and budgets, and a consistent high- caliber work product. As Chief Executive Officer of the firm, I would assume the role of Project Director and be responsible for the successful completion of this project. I can be reached at the Emeryville address and phone number listed below. My e -mail address is: gkrammergkoffassociates.com. Please call if you have any questions or wish additional information. We look forward to the opportunity to provide professional service to your District. Sincerely, rrpp,, �q �` vj) Georg S. Krammer Chief Executive Officer 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com KOFF & ASSOCIATES. INC Human Resource Consulting Since 1984 PROPOSAL For An ORGANIZATIONAL AND EFFICIENCY STUDY FOR THE YORBA LINDA WATER DISTRICT TABLE OF CONTENTS Page No. 1. Understanding of the Project 1 2. Study Objectives 2 3. Firm Profile and Qualifications 3 4. Project Team 4 5. Work Plan and Methodology 9 6. Expectations of District Support 15 7. Project Schedule 15 8. Proposed Project Cost 16 9. Insurance Requirements 18 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com • KOFF & ASSOCIATES, INC. Human Resource Consulting Since 1984 UNDERSTANDING OF THE PROJECT The Yorba Linda Water District desires consulting assistance to conduct an organizational review of the entire District in order to identify areas where the District might be able to operate more efficiently and effectively. The District seeks to take under advisement the consultant's recommendations and implementation plan and initiate changes that will result in improvements to organizational effectiveness, internal and external communications, and workflow between departments. The District is interested in an evaluation of organizational structure and chain of command. The District is comprised of six (6) departments, including 1) Administration, 2) Engineering, 3) Finance, 4) Human Resources, 5) Information Technology, and 6) Operations. The District has a staff of seventy -six (76) full -time and three (3) part -time employees. The study's purpose is to initially conduct an analysis of the District's organizational structure to ensure operational efficiency. This will include studying reporting relationships, span of control, staffing levels, and comparing the District's organizational structure to that of other comparable districts. The final work product will be an integrated organizational structure that will allow for potential future District growth, career growth, and effective customer service delivery. A second level of effort will be to analyze process and operational efficiencies, including studying available resources, deficiencies, and redundancies. The process includes orientation and briefing sessions with employees, management, and employees; the completion of a position assessment questionnaire by employees; interviews /focus group meetings with a representative sample of employees in each assignment/classification within the District; and interviews with supervisors and managers to obtain additional information. Finally, the study will look at options and make recommendations for improved efficiencies and customer service, including the potential integration of functions between the District's departments, identification of synergies, a review of staffing ratios against work load, and various aspects of customer service provision by the District. The study will also include a trend analysis regarding the results of a comprehensive survey to identify industry best practices within the above - mentioned comparator agencies. The study will contain specific recommendations for organizational and operational changes, an analysis of cost impacts associated with the proposed changes, a suggested timeline for implementation, and an implementation plan. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 2 of 18 March 18, 2013 The study includes a significant number of meetings with the District's project team, management, staff, and employees, as well as the Executive Committee of the Board, and the full Board of Directors. We have expertise in labor /management relations and understand the importance of active participation by all stakeholders to ensure a successful outcome. The meetings and "stakeholder touch - points" that we recommend ensure understanding of the project parameters, enhance accurate intake and output of information and improve a collaborative and interactive approach that will result in greater buy -in for the study recommendations. This interactive approach, although time - consuming, has resulted in almost 100% implementation success of Koff & Associates' studies. STUDY OBJECTIVES Operational Obiectives ➢ To carefully analyze the scope and level of duties and responsibilities, processes and assignments, requirements for successful work performance (including required competencies), and other factors of the District's assignments /positions/ classifications; ➢ To conduct a comprehensive position assessment, including review of existing documentation, position assessment questionnaire completion, employee interviews /focus groups, management interviews, analysis of existing positions and working situations, and other professional methods, as appropriate; ➢ To identify organizational and workload issues during interviews with employees/ focus groups including consideration of technology and automation potential and improvements as well as the addition of other operational tools; ➢ To provide for growth and flexibility of assignment, where feasible, as well as adequate career paths that will foster career service within the District and provide a clearly designed organizational structure, reporting relationships, and logical classification series /job families that are reflective of industry best practices; ➢ To review and make recommendations to update the District's employee performance management system that holds employees accountable to the core competencies and values the organization's wishes to instill, as well as, established annual goals and objectives; and ➢ To identify operational issues by analyzing financial results of the District against industry and market trends; specifically related to operating revenue and expenses. Best Management Practices and Performance Measures Objectives ➢ To review and make recommendations regarding a pool of comparator agencies that are not only similar in size, resources, and service provision to the Yorba Linda Water District, but also reflect the high level of forward thinking and ingenuity, diversity, customer service, and community engagement that the District is looking to model itself after; 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 3 of 18 March 18, 2013 ➢ To collect accurate organizational and operational data from the approved group of comparator agencies and to ensure that this information is analyzed in a manner that is clear and comprehensible to the Executive Committee, Board of Directors, management, and employees; ➢ To collect information from each of the comparator agencies regarding organizational structure, position allocations, work assignments, resources used (including human, financial, and technology resources), operational and customer service data; ➢ To prescribe best management practices that are reflective of industry knowledge and the approved group of comparator agencies; ➢ To recommend strategies to incorporate industry and market best practices into day -to -day operations; and ➢ To identify opportunities to leverage departmental efforts to improve overall synergy throughout the District. Overall Objectives ➢ To review and understand all current documentation, policies, procedures, practices, organizational charts, budgetary and financial data, and related information so that the recommended implementation plan(s) can be operationally incorporated with a minimum of disruption; ➢ To review, analyze, and make recommendations that will enhance organizational effectiveness and improve customer service; ➢ To ensure sufficient documentation throughout the study and to develop a sound and realistic implementation strategy so that the plan can be implemented and maintained in a competent and fair manner. ➢ To conduct a start-up meeting with the Project Team to finalize study plans and timetables; conduct briefing and orientation sessions with employees and management in order to educate and explain the scope of the study and describe what are and are not reasonable study expectations and goals; ➢ To work collaboratively and effectively with the District and its stakeholders while at the same time maintaining control and objectivity in the conduct of the study; ➢ To ensure sufficient documentation of the study processes and methodologies so that the District can integrate, maintain, and administer the plans after the initial implementation in a competent and fair manner; and ➢ To provide effective ongoing communications throughout the duration of the project. FIRM PROFILE AND QUALIFICATIONS Koff & Associates, Inc. is a majority woman - owned, State - registered small business, public sector human resources consulting firm that was founded in 1984 and has been assisting special districts, cities, and counties for almost thirty years. We are familiar with the various organizational structures, agency missions, operational and budgetary requirements, and staffing expectations. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 4 of 18 March 18, 2013 We have extensive experience working in both union and non -union environments (including serving as the management representative in negotiation meetings), working with City Councils, Boards of Supervisors, Merit Boards, Joint Power Authorities, and Boards of Directors. The firm's areas of focus are organizational, classification, and compensation studies and industry /market surveys (approximately 70% of our workload); development of strategic management tools; performance management; best practices policy /procedure development and employee handbooks; executive search and staff recruitments; human resources audits; public agency mergers and separations; and serving as off -site HR Director for our smaller public agencies that need the expertise of an HR Director but do not need a full -time, on -site professional. Without exception, all of our organizational, classification, and compensation studies have successfully met all of our intended commitments; communications were successful with employees, supervisors, management, and union representatives; and we were able to assist each agency in successfully implementing our recommendations. All studies were brought to completion within stipulated time limits and proposed budgets. The firm's growing list of clients is indicative of its reputation as being a quality organization that can be relied upon for producing comprehensive, sound, and cost - effective recommendations and solutions. Koff & Associates, Inc. has a reputation for being "hands -on" with the ability and expertise to implement its ideas and recommendations through completion in both union and non -union environments. Koff & Associates, Inc. relies on our stellar reputation and on the recommendations and referrals of current clients to attract new clients. Our work speaks for itself and our primary goal is to provide professional and technical consulting assistance with integrity, honesty, and a commitment to excellence. PROJECT TEAM Project chart and professional qualifications of staff that will be included in this study are: Organizational/Project Chart Kathy Crotty, Administrative Assistant Mike Harary, I I Alyssa Thompson, Project Manager Project Manager Georg Krammer, CEO Catherine Kaneko, President (Principals of K &A) Patty Howard, Senior Associate Gail Koff, Managing Director Anne Hayes, I I Lori Worden, Associate Associate 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 5 of 18 March 18, 2013 K &A's team consists of nine (9) members, as shown above in our organizational structure. All members of our team have worked on multiple comprehensive organizational, classification, and /or compensation studies and are well acquainted with the wide array of organizational structures, as well as the challenges and issues that arise when conducting studies like this. No portion of this engagement will be assigned to subcontractors. Georg S. Krammer, M.B.A., S.P.H.R. Chief Executive Officer Georg brings over fifteen (15) years of management -level human resources experience to Koff & Associates with an emphasis in organizational development; classification and compensation design; market salary studies; executive and staff recruitment; performance management; and employee relations, in the public sector, large corporations and small, minority -owned businesses. After obtaining a Master of Arts in English and Russian and teaching credentials at the University of Vienna, Austria, Georg came to the United States to further his education and experience and attained his Master of Business Administration from the University of San Francisco. After starting his HR career in Wells Fargo's college recruiting department, he moved on to HR management positions in the banking and high -tech consulting industries. With his experience as a well- rounded senior HR generalist, his education in business and teaching, and his vast experience with public sector HR programs and functions, Georg's contribution to K &A's variety of projects greatly complements our consulting team. Georg joined K &A in 2000 and has been the firm's Chief Executive Officer since 2005. Georg will be key personnel for this project and assigned as Project Director for this project and coordinate all of K &A's efforts. He will attend all meetings with the District and be responsible for all work products and deliverables. Catherine "Katie" Kaneko, C.P.A., P.H.R. President Katie brings over twenty (20) years of management level human resources experience to Koff & Associates, Inc., both as a human resources director and as a management consultant in the hi -tech industry as well as the public sector. She has extensive experience in compensation including equity plans and performance incentive programs, survey design and reporting, recruitment in both the public and private sector; staffing; classification and job analysis; compensation and job evaluation techniques, employee relations, retention strategies, infrastructure development; coaching; policy and procedure development; mergers and acquisitions; change management and employee training. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 6 of 18 March 18, 2013 With a Bachelor in Business Administration, Katie started her career as a Certified Public Accountant (CPA) in an international accounting /consulting firm. She transitioned into Human Resources within the firm to become the Human Resources Director of the San Francisco office. She then moved into the hi -tech industry where she served in leadership positions for high- growth, startup, and organizations in transition. Her primary focus in recent years has been in classification, compensation, and recruitment services in the public sector. Katie's experience provides a broad knowledge of human resource management within diverse organizations. Her background provides her a strong ability to understand the big picture, identify problems and solutions, and effectively implement them. Her skill set complements our current consultant base with additional levels of service areas. Katie joined K &A in 2000 and has been the firm's President since 2005. Katie will provide consultant support throughout the study, including internal organizational analyses, the external market survey, development of recommendations, and implementation strategies. Gail Koff Managing Director Gail Koff, Principal of Koff & Associates, Inc. for 21 years and now the Managing Director, has over thirty -five (35) years of human resource management experience, most of which have been serving the needs of public agencies. Gail's prior experience, after receiving her degree from Boston University, includes serving as the Personnel Director for one of California's largest sanitary districts, Central Contra Costa Sanitary District as well as the Personnel Director for the California College of Arts and Crafts. She has spent twenty -one (21) years in her own firm providing consulting assistance to cities, counties and special districts. She specializes in strategic development; labor /management issues; classification and job analysis; compensation design and pay for performance strategies; executive search; employee handbooks and policy direction; performance management; and organizational efficiency issues. Gail is familiar with the unique problems of public agencies and has worked extensively with publicly elected Councils, Boards, Commissions, numerous unions, and management and employee groups. Gail works closely with the staff throughout the entire process to ensure success. She is actively engaged throughout the study's progress to ensure quality control, timeliness, and meeting client expectations. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 7 of 18 March 18, 2013 Alyssa Thompson Project Manager Alyssa earned her bachelor's degree in Psychology with a minor in Sociology - Organization Studies from the University of California, Davis and is currently working on her PhD in Organizational Psychology from Alliant International University. She brings with her over ten (10) years of human resources experience in compensation data gathering and analysis, classification analysis and development, performance management, affirmative action program development, and recruitment. Alyssa also has experience in designing and conducting quantitative and qualitative research studies. Since joining the firm in 2007, Alyssa has worked on over sixty (60) organizational, classification, compensation, recruitment, and other special human resources projects. She has worked on classification and /or compensation projects for numerous clients, such as the Cities of Monterey, Palo Alto, Campbell, Piedmont, El Cerrito, Emeryville, Sausalito, Novato, Napa, Santa Rosa, Tracy, Madera, Ione, Newman, Patterson, Orange, Menifee, Poway, Tigard (OR), and the Towns of Windsor, Danville and Apple Valley, as well as, the Marin Municipal Water District, Dublin San Ramon Services District, Midpeninsula Regional Open Space District, Central Contra Costa Sanitary District, Mid - Peninsula Water District, Purissima Hills Water District, South Tahoe Public Utility District, Orange County Sanitation District, South Coast Water District, Moulton Niguel Water District, Ventura Regional Sanitation District, Truckee Donner Recreation and Park District, Berkeley Unified School District, California School Boards Association, Housing Authority of Texarkana Texas, Housing Authority of the County of San Bernardino, San Diego Housing Commission, San Francisco Housing Authority, and the Counties of San Mateo and Tehama. Alyssa has also participated in several recruitment efforts for various positions ranging from entry -level to executive management. Alyssa has participated in various special projects like conducting exit interviews, retirement benefits studies, and human resources audits. Mike Harary Project Manager Mike Harary brings over twenty -five (25) years of HR experience "to the table," currently serving as the Assistant Human Resources Director for the City of Orange and working of our team on a part-time basis. For the past 15 years, Mike has been involved in all aspects of HR for Orange, including serving as Chief Negotiator for the City. Mike manages the City's recruitment and selection, employee benefits, labor relations, classification and compensation, and general Human Resources functions. Prior to Orange, Mike worked for the City of La Mirada for almost 10 years, working his way up from Personnel Intern to Personnel Analyst. Mike possesses a Bachelor's Degree in Business Administration emphasizing in Human Resources Management from 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 8of18 March 18, 2013 California State University, Long Beach, and a Masters of Business Administration also from Cal State Long Beach. Mike has played a key role in developing and implementing CalPACS, a regional, internet- based, comprehensive salary and benefits survey website for local agencies. For his efforts in this successful venture, Mike received the 2005 "Moving Forward Award" by the California Public Employers Labor Relations Association (Cal- PELRA). Mike also served as the President of the Orange County Employee Relations Committee. Anne Hayes Firm Associate Anne is the newest member to our team and earned a Bachelor's degree in Mathematics and Economics from the University of California, Santa Barbara. Before joining Koff & Associates, she worked in the private sector for more than 10 years, with 5 years in a management role. She transitioned to a non - profit organization, which specialized in providing labor relations representation to public sector employers, where she gained extensive experience in data gathering and analysis, specifically in the areas of classification, compensation and benefit analysis for public sector agencies. Since joining K &A one year ago, Anne has been an integral part of project teams working on classification and /or compensation studies for the Mount San Antonio Community College District, Cutler Orosi Joint Unified School District, Livermore Amador Valley Transit Authority, Orange County Transportation Authority, Alameda County Waste Management Agency, South Tahoe Public Utility District, Purissima Hills Water District, City of El Cerrito, and City of Novato. Patty Howard Senior Associate Patty's 21 years of public sector, management -level Human Resources experience includes 14 years with the County of El Dorado and 7 years with the City of Rocklin. She has worked in all areas of human resources management including recruitment & selection, classification & compensation, employee relations, labor negotiations, and EEO investigations. She is also a seasoned trainer having developed and presented Supervisory and Lead Worker training (multiple training modules), harassment and discrimination prevention, and new employee orientation for employees in all job classifications. She has also obtained specialized training and certification in order to conduct Stephen Covey's "7 Habits of Highly Effective People ". Patty has a Masters Degree in Public Administration with an emphasis in Human Resources Management. In addition, she has been earned her IPMA -CP, a certification awarded specifically to Human Resources professionals in the public sector from the International Public Management Association — Human Resources (IPMA -HR) and holds 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 9of18 March 18, 2013 a Masters in Labor Relations Certificate from the California Public Employers Labor Relations Association (CALPELRA). Lori Worden Firm Associate Lori is the newest member of our team. Prior to joining Koff & Associates, she spent over a decade in internal HR consulting roles for a number of large public agencies, including the Administrative Office of the Courts and the University of California system. Lori obtained her Master's degree in Industrial & Organizational Psychology from CSU Long Beach and went on to earn a Juris Doctorate degree (emphasis in employment and labor law) at Golden Gate University. Lori learned tricks of the trade on a job classification consolidation project within the California courts system, spurred by the unification of the Municipal and Superior Courts. Lori's career path led her from the courts to the University of California system, where she conducted total compensation and organizational studies, developed and analyzed compensation and benefits data for collective bargaining, and contributed to improvements to the position management and HRMIS system. One of her career highlights was the development of a new campus -wide classification and compensation structure for UC Merced. The project was based on pioneering work in the area of classification and compensation using a market based model created by UC Berkeley. Kathy Crotty Administrative Assistant Kathy is our resident data entry, office administrative, and technical "guru" and has been with the firm for over five years. She will be heavily involved with the technical aspects of the project and assist our professional staff at each phase of each project. WORK PLAN AND METHODOLOGY This section of the proposal identifies the actual work scope. We believe that our detailed explanation of methodology and work tasks clearly identifies our approach and comprehensiveness. A. INITIAL DOCUMENTATION REVIEW/MEETING WITH PROJECT TEAM This phase includes identifying the key client project team, contract administrator, and reporting relationships. Our team will meet with the client team to create the specific work plan and work schedule; reaffirm the primary objectives; determine deadline dates; determine who will be responsible for coordinating /scheduling communications with employees and management; and develop a timetable for conducting the same. Also included will be the gathering of written documentation including assembling the current organizational charts, class descriptions, operational budgets, documentation on current 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 10 of 18 March 18, 2013 operational practices, information regarding in -house and outsourced /contracted services, and any other relevant documentation. This initial step will also include a discussion of our methodology and the components of the survey instrument that will be used when comparing the Yorba Linda Water District to other, comparable agencies. We recommend meeting with District management as well as an employee focus group and /or employee representation to discuss the major elements of the study and which areas (organizational, operational, etc.) will be studied. We are flexible in regards to the inclusion of employees and /or employee representation but have found that their buy -in through the process usually avoids conflict at the end of the study. We will respond to any questions. B. DETERMINE COMPARATOR AGENCIES The selection of comparator agencies is considered a critical step in the study process. Using the following factors to identify appropriate comparators, we will receive approval before proceeding with the survey. The factors that we review when selecting and recommending appropriate comparator agencies include: ➢ Organizational type and structure — While various agencies may provide overlapping services and employ some staff having similar duties and responsibilities, the role of each agency is somewhat unique, particularly in regard to its relationship to the citizens it serves and level of service expectation. During this iterative process, previous comparator agencies that have been utilized and the advantages and disadvantages of including them and /or others will be discussed. ➢ Similarity of population served, agency demographics, agency staff, and operational and capital improvement budgets — These elements provide guidelines in relation to resources required (staff and funding) and available for the provision of agency /departmental services. They also speak to the diversity of the community that they serve and the common issues that the District might face to best serve that community. ➢ Scope of services provided —While having an agency that provides all of the services at the same level of citizen expectation is ideal for comparators, as long as the majority of services are provided in a similar manner, sufficient data should be available for analysis. C. DEVELOPMENT OF POSITION ASSESSMENT AND SURVEY QUESTIONNAIRES The study will contain two major surveys: 1) an analysis of current roles, duties, responsibilities, and processes within the District and 2) a study of organizational and operational best practices of agencies that are comparable. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 11 of 18 March 18, 2013 For both surveys, we will develop a survey instrument/questionnaire to ensure that the right questions are asked. The internal District survey will be structured similar to a position assessment questionnaire and include questions regarding roles, duties, responsibilities; processes, efficiencies, and time /frequency; and competencies, knowledge, skills, and abilities required to perform jobs successfully. The industry /market study will include questions regarding organizational structure, ratios of staffing, and other resources to assignments and expected work products, best management practices, and performance measures. It is our recommendation to review the two survey instruments /questionnaires in a collaborative manner including management and employees (and /or employee representation, if the District is open to this approach). Again, the more stakeholder buy - in that can be obtained at the front -end regarding the structure and process of the study, the more successful the final outcome of the study will be. D. ORIENTATION MEETINGS WITH EMPLOYEES AND DISTRIBUTION OF POSITION ASSESSMENT QUESTIONNAIRES We will facilitate several orientation meetings with employees (within the same timeframe, for cost containment purposes) and distribute the Position Assessment Questionnaires for purposes of the internal survey. While this meeting may not be mandatory, it is highly recommended, as it forms the beginning of the educational process that continues throughout the study. Project processes will be explained, expectations will be clarified, and elements that are not a part of the study will also be covered. Questions will be answered and hints for completing the questionnaire will be given. The questionnaires shall be handed out with the incumbents' current class descriptions attached so employees can use them as a tool for completing the questionnaires. We recommend that employees complete separate questionnaires but giving employees in the same classification the option of collaborating on completing a questionnaire together, if the employees feel that their daily assignments are similar enough. However, one critical piece we hope to determine through this process is whether certain employees' duties and tasks have changed compared to their peers in the same classification. If so, we want to be able to analyze those separately. While we realize that individual questionnaires per employee will be a time - consuming process, our goal is to analyze the questionnaires and identify trends regarding processes, efficiencies, staffing, and what works and what doesn't work within each functional area of assignment. Employees complete the questionnaire, send it to their supervisor/ manager for review, comment, and signature, and then send it to our office for analysis. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 12 of 18 March 18, 2013 E. POSITION ASSESSMENT QUESTIONNAIRE REVIEW AND EMPLOYEE/ SUPERVISORY /MANAGEMENT FOCUS GROUPSANTERVIEWS Upon receipt of the questionnaires, they will be reviewed and analyzed along with other documentation, including any information regarding time keeping, efficiency measurements, and process descriptions. As mentioned above, the goal is to identify certain trends regarding processes, efficiencies, staffing, and what works and what doesn't work within each functional area of assignment. Based on those trends, we would then design which types of focus groups will be needed to delve into those trends and obtain more information. The assumption is that some individual employee interviews may be needed to clarify certain information that was contained, or perhaps we found to be missing, in the position assessment questionnaires. Focus group meetings /interviews will also be held with supervisory and management staff, who will clarify their own responsibilities as well as confirm the information we have received in the focus groups /interviews with their staff. Some focus groups may include both employees and management, depending on what the goal for that particular focus group is. Interviews will include the eighteen (18) senior and mid - managers referenced in the RFP. The goal of the focus groups /interviews and the review additional documentation is to identify /determine the following: ➢ Assignments, responsibilities, duties, and tasks; ➢ Process efficiencies, time spent, and frequency of the above; ➢ Competencies, knowledge, skills, and abilities required to perform the above; ➢ Reporting relationships and span of control; ➢ Staffing ratios; ➢ Available resources, including deficiencies and redundancies; and ➢ Equipment, computer and automation technologies used. F. INDUSTRY /MARKET DATA COLLECTION Our firm does not collect market data by merely sending out a written questionnaire. We find that such questionnaires are often delegated to the individual in the department with the least experience in the organization and given a low priority. We conduct all of the data collection and analysis ourselves to ensure validity of the data and quality control. Typically, we collect organizational charts, classification descriptions, employee allocation lists, policies and procedures, performance measurement plans, and other information via websites or in person, by telephone, email, or facsimile. With this prior knowledge and our experience in the public human resources field, our professional staff will then schedule appointments preferably in person, with knowledgeable individuals to answer specific questions. We find that the information collected using these methods 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 13 of 18 March 18, 2013 has a very high validity rate and is generally substantiated before management, employees, as well as governing bodies. The goal of the industry /market survey is to obtain information on the following: ➢ Organizational structure, reporting relationships, span of control, and staffing levels; ➢ Operational requirements, infrastructure, services and ratios of staffing to population served and other productivity measures; ➢ Outsourcing and in- sourcing practices per functional area of assignment; ➢ Resources available, including human, financial, technological resources; ➢ Computer and automation technologies used to improve operating efficiencies and /or customer service, including an evaluation of existing systems (i.e., pros and cons); ➢ Best management practices and standards; and ➢ Performance measures and measurement tools per functional area of assignment; G. DATA AND TREND ANALYSIS Surveying approximately eight (8) comparator agencies should yield sufficient data and information to identify industry /market trends. Especially including agencies in the study that are known to be on the cutting edge of providing the highest quality services will uncover trends for best management practices that will be invaluable to the District. We will analyze the data and trends from the market survey and incorporate those into our recommendations for organizational and operational changes for the District. H. DEVELOPMENT OF RECOMMENDATIONS AND IMPLEMENTATION STRATEGIES Depending on the results of the internal and external assessments, we will develop specific recommendations for organizational and operational changes for the District. Recommendations and implementation strategies will include the following (as appropriate): ➢ Organizational restructuring, including re- assigning reporting relationships, streamlining classification series /progressions, and re- organizing functional areas of assignment; ➢ Staffing levels, including ratios of staff to workloads, as well as, ratios of "rank - and- file" staff to supervisory and management staff, ➢ Outsourcing and in- sourcing opportunities, including areas of assignment at the divisional, functional, and specific task levels; ➢ Process efficiencies, including redundancies and deficiencies, as well as, assignments of functions and tasks; ➢ Equipment and computer and automated technologies: while we are not management information systems or information technology experts, we will 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 14 of 18 March 18, 2013 report the results of the market survey and identify any trends in this area, including feedback regarding the successfulness of current and /or newly implemented systems used by the comparator agencies; ➢ Best management practices, including trends observed in the identified survey market, as well as, a transition roadmap from current practices to industry best practices, as appropriate; and ➢ Performance measures, including how to develop a balanced scorecard between organizational goals, departmental goals, and work productivity goals and how individual performance measures for all District staff should relate to those. It should be noted that the development of recommendations and, especially, implementation strategies will be as collaborative a process with District management, as the District wishes. We are most receptive to District input, especially when it comes to the organizational and operational realities of addressing potential District deficiencies and implementing new policies /procedures /rules /practices, etc. Especially, when it comes to developing timelines, input from the District will be elicited to create realistic roadmaps. Our suggested plans for changes will be prioritized based on importance /urgency, will include suggested timelines for implementation, and will also include an analysis of potential cost impacts associated with the proposed changes. Draft recommendations and implementation plans will be discussed with the management team prior to developing an Interim Report. I. MANAGEMENT REVIEW/REANALYSIS AND FEEDBACK We will share our findings and recommendations with departmental stakeholders before our report, recommendations, and implementation plans are finalized. Our experience has been that this can be one of the most critical phases of the project to ensure that deliverables are vetted through the individuals who are most familiar with departmental operations. J. PREPARATION OF DRAFT FINAL AND FINAL REPORT AND DELIVERABLES A Draft Interim Report of the Organizational Study will be completed and submitted to the District for review and comments. The report will provide detailed internal and external survey findings, documentation, and recommendations. The report will include a set of all survey instruments and documentation, data and trend analysis results, as well as recommendations and the implementation issues surrounding our recommendations. Once all of the District's questions /concerns are addressed and discussed, a Final Organizational Study Report will be created and submitted in bound format. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 15 of 18 March 18, 2013 K. PRESENTATION TO THE PROJECT TEAM AND /OR DISTRICT MANAGER /COUNCIL In addition to ongoing periodic meetings and communication with the Project Team, The Executive Committee, management, employees, and other stakeholders throughout the various phases of the study, as well as continuous status reports per email and conference calls, our proposal includes one final presentation to the Board of Directors. EXPECTATIONS OF DISTRICT SUPPORT In order to conduct this study in the most timely and cost - effective manner, we expect support in the following areas: ➢ Timely provision of written documentation, such as current organizational charts, employee allocation lists, class specifications, budget documents, operational procedures and records, work assignments and schedules, requests for audits, etc.; ➢ Assistance in the notification and scheduling of orientation and other meetings with management and employees, and the provision of adequate space for employee focus groups /interviews; ➢ Assistance in the compilation of current class descriptions with the Position Assessment Questionnaire; collecting and forwarding questionnaires; and in ensuring that materials are completed and returned in a timely manner; ➢ Assistance in scheduling Project Team, management, employee audit, and other meetings; and ➢ Meeting agreed to timelines. PROJECT SCHEDULE Our professional experience is that an organizational study for this size organization /department and the desired scope of work will take approximately four to five (4 -5) months to complete, allowing for adequate Position Assessment Questionnaire completion, time for focus groups and interviews, market survey data collection and analysis, development of recommendations and implementation strategies, review steps by the District, the development of final reports, and presentations. The following is a suggested timeline based on contract award around mid -April: 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Project Task 9 Date of Completion 2013 A. Initial Meeting with Project Team/Document Review by April 19 B. Determination of Comparator Agencies by April 26 C. Development of Survey Questionnaires by May 3 D. I Employee Orientation Meetings by May 10 E. Position Assessment Questionnaire Review and Employee/ Supervisory/Management Focus Groups /Interviews by June 7 F. Industry Market Data Collection by June 7 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 16 of 18 March 18, 2013 G. Data and Trend Analysis by June 21 H. Development of Recommendations /Implementation Strategies by July 12 L Management Review, Reanalysis/Feedback by July 26 J. Draft Final Report and Final Report and Recommendations by August 23 K. Final Presentations to Executive Committee and Board of Directors As Scheduled PROPOSED PROJECT COSTS We have found that, often times, our proposals address a very high level of time commitment, which sometimes results in a higher proposal cost. We believe that our methodology and implementation success rate is attributable to the significantly greater level of contact we have with the Board of Directors, employees, and management. The time we commit to working with the stakeholders (Project Team meetings, orientations, meetings with employees and managers via interviews /focus groups, etc.) results in a significantly greater buy -in throughout the process and with the final study results and recommendations. Our firm has never had a formal appeal to any of our studies in almost thirty years. It has been our experience that the money and time invested in stakeholder touch - points throughout the study are money and time saved during implementation. Numerous times our firm has been hired after an agency has gone through an unsuccessful study with another consultant, whose results were rejected or appealed and whose implementation was very controversial. The result was a divided organization with hostility and animosity between employees /employee representation and management. Every time our firm was hired after such a bad experience, study stakeholders were amazed at our open and all- inclusive process, our efforts to elicit equal stakeholder input, and our development of recommendations that were accepted as fair and reasonable and understood by employees, management, union representation, and the governing body. In these economic times, the tendency may be to select the firm with the lowest cost proposal but it has been our experience that ultimately the price can be much higher considering the additional time and lost goodwill that can result from utilizing a less involved process. Our clients always provide us feedback that our process was professional, comprehensive, understandable, timely, and inclusive. Employees, although not necessarily always happy with our recommendations, have always indicated that we listened to their issues and concerns and were available for discussion, as required. Although time consuming, we also drive the process to ensure that timelines are met and schedules are maintained. We want to emphasize that we provide an all- inclusive lump -sum cost amount for the entire study and do not believe in under - pricing the effort or change orders along the way, unless the District requests an obvious and identifiable additional level of effort. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 17 of 18 March 18, 2013 However, we're also aware that budgets are often limited and that public agencies must be economically conservative. As mentioned in the scope of work, we recommend an informal employee review and appeals process but are providing two cost options below in case the District decides against undergoing this step of the process. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Option 1 Option 2 Organizational Study Hours Hours A. Initial Meeting with Project Team/Document Review 20 20 B. Determination of Comparator Agencies 10 10 C. Development of Survey Questionnaires 20 20 D. Employee Orientation Meetings 16 16 E. Position Assessment Questionnaire Review and Employee/ Supervisory/Management Focus Groups /Interviews Option 1: assuming that most employees will be involved Option 2: only the 18 senior and mid - managers will be interviewed, depending on the District's preferences 40 20 F. Survey Market Data Collection: assuming 8 comparator agencies 50 50 G. Data and Trend Analysis 20 20 H. Development of Recommendations /Implementation Plans 40 40 L Management Review, Reanalysis /Feedback Option 1: Senior and Mid - management Option 2: Senior Management only 18 12 J. Final Reports and Recommendations 24 24 K. Final Presentation 10 10 Additional meetings with the Project Team, Management, Executive Committee and /or the Board of Directors 12 12 Total Professional Hours 280 254 Combined composite rate: $105/Hour $29,400 $26,670 Expenses: $2,500 $2,500 Expenses include but are not limited to duplicating and binding documents and reports, phone, supplies, FAX, postage, mileage, hotels, air fare, per diem, etc. TOTAL LUMP SUM FOR PROJECT: $31,900 $29,170 *Additional consulting will be honored at composite rate of $105 /hr. 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com Organizational Study Proposal Page 18 of 18 March 18, 2013 INSURANCE REQUIREMENTS We will submit support of this level of coverage and endorse the District with our General Liability insurance coverage upon award of contract if desired: Workers' Compensation: Automobile Insurance: Errors and Omissions: General Liability: This proposal is valid for 90 days. Respectfully Submitted, By: KOFF & ASSOCIATES, INC. Statrrepp of California S,�1 Statutory Limits $1 Million per accident $1Million per occurrence $1Million per occurrence March 18, 2013 Georg S. Krammer Date Chief Executive Officer 6400 Hollis Street, Suite 5, Emeryville, CA 94608 TEL 510- 658 -KOFF (5633) FAX 510- 652 -KOFF (5633) www.KoffAssociates.com SJOBERG LV LSi �LNK CONSULTING, INC March 21, 2013 Steve Conklin, Acting General Manager Yorba Linda Water District 1717 E. Miraloma Avenue Placentia, CA 92870 Re: Organizational and Efficiency Study of the Yorba Linda Water District Dear Mr. Conklin Sjoberg Evashenk Consulting is pleased to have the opportunity to submit our proposal to conduct an organizational and efficiency study of the Yorba Linda Water District. We are a Sacramento -based full - service consulting firm specializing in organizational reviews, performance audits, and program efficiency and effectiveness studies of state and local governments and special districts. In our firm's 13 years of operation, we have conducted more than 200 projects for 100 clients – including projects involving water districts, city government water and waste water operations, and organizational and program reviews at the state, municipal and local levels. Sjoberg Evashenk offers exceptional service and expertise; our firm is led by former State Auditor General and Chief Deputy State Auditor of California, Kurt Sjoberg and Marianne Evashenk who have managed over 1,700 audits and reviews dealing with nearly every area of government operations. Moreover, our staff are all highly experienced and qualified and have focused their careers on serving public sector clients. We appreciate the importance and value of organizational assessments and efficiency studies and their role in "doing more with less," strengthening internal controls, providing cost - effective solutions, and enhancing oversight, accountability and transparency. Our experience is well suited for the Yorba Linda Water District; in fact, we have conducted performance reviews and organizational studies related to water services involving the City of Modesto, City of Los Angeles, County of Sutter, and Kern County, to name a few. Over the years, state and local decision makers have confidently relied on our work in deliberating significant policy and operational issues. Sjoberg Evashenk has an outstanding performance track record with our clients and pride ourselves on delivering our projects on time and on budget. Further, in June 2011, a client evaluation conducted by Dun & Bradstreet gave us top marks in areas such as cost, reliability, quality, delivery timeliness, personnel and business relations, and overall performance —with no negative feedback. Thank you for the opportunity to propose on this exciting project and for your consideration during the evaluation process. Sincerely, /s/ Marianne P. Evashenk, President T H E E Q U A T I ON F OR E X C E L L E N C E 455 CAPITOL MALL, SUITE 700 • SACRAMENTO, CALIFORNIA 95814 • (916) 443 -1300 • FAX (916) 443 -1350 • WWW.SECTEAM.COM YL Yorba Linda Water Distric; Statement of Qualifications " "SOQ" To Conduct an Organizational and Efficiency Study March 21, 2013 Submitted to: Steve Conklin, Acting General Manager Yorba Linda Water District 1717 E. Miraloma Avenue Placentia, California 92870 Submitted by: Marianne P. Evashenk, President SJOBLRG LV xS� i -l- CoNSUL-riNc.INC 455 Capitol Mall-Suite 700•Sacramento, California-95814 -Tel 916.443.1300•Fax 916.443.1350 Introduction Sjoberg Evashenk Consulting —The Equation for Excellence. This is not only our motto; it is the way we do business —every day, every project, every effort. We at Sjoberg Evashenk Consulting have dedicated our careers to identifying practical and actionable ways to improve services, operations and programs delivered by government and quasi - governmental organizations. As we commence our 14th year of service, our portfolio includes successful completion of over 200 high quality engagements for nearly 100 public and private clients. Over 90 percent of our engagements are with state, local, municipal and quasi - governmental entities across the western United States. Our role in these engagements vary in each casein some assignments we partner with our client to review operations and activities and collaborate in identifying opportunities for value -added actions. In other assignments, we are the "external" or independent evaluator, respectfully studying operations and activities with an eye toward internal controls, and efficiencies and effectiveness. Still, other projects find us as facilitators and trainers— helping organizations find solutions and tools to identify, implement, and drive new initiatives. Regardless of the type of service we are tasked to provide, our firm's overall consulting philosophy is simple—we strive to deliver more to our clients than they expect, and do so with unsurpassed quality and satisfaction. Firm Profile Established in 2000, Sjoberg Evashenk Consulting, Inc. is headquartered in Sacramento, California, and is fully licensed and insured to conduct organizational and program assessments, operational audits, business process evaluations, and other evidence -based consulting assignments. Office composition includes two partners, one director, two managers, and 10 senior and staff consultants and associates —for a total of 15 seasoned professionals. Sjoberg Evashenk Consulting is a federally approved Disadvantaged Business Enterprise, Women - Owned Firm under California Unified Certification Program, and a certified Small Business (Micro) by the California Department of General Services. Legal Name: Sjoberg Evashenk Consulting., Inc. Address: 455 Capitol Mall, Suite 700 Sacramento, CA 9581 Telephone: (916) 443 -1300 Fax: (916) 443 -1350 Type of Firm: National Management Consulting Firm Binding Parties: Marianne Evashenk, President, marianne2secteam.com Kurt Sjoberg, Chairman, kurt(2secteam.com Licenses: California Secretary of State #199922510048 Federal Tax ID: 71- 0956506 SJOBMG EVASI I©NK Yorba Linda Water District Proposal Range of Experience and Activities Sjoberg Evashenk Consulting is uniquely qualified to conduct this organizational and efficiency study for the Yorba Linda Water District. We offer experience and familiarity with organizations of all sizes from some of the smallest independent government entities —some with fewer than 10 employees —and with some of the largest —with tens of thousands of employees as well as those with missions to deliver specific services such as water and waste water treatment to public works operations covering a multitude of responsibilities such as water, sewer, power, streets and roads, marinas, and parks. For instance, we have conducted performance reviews and organizational studies involving small agencies (e.g., Sutter County and City of Elk Grove) and large agencies (e.g., City of Los Angeles Department of Water and Power, the City and County of San Francisco, and the City of San Diego). Some of our projects are program specific (implementation of major bond initiatives designed to fund and deliver multiple public infrastructure improvements, evaluations of service delivery or customer satisfaction),while others are agency -wide studies (assessments of the entire organization including governance structures, communication and reporting, and operations), still others focus on the financial operations (internal controls, cost of services, and rate setting), while others involve project specific studies (audits of individual capital projects to identify cost overruns, "lessons learned," or other project management improvements). In addition, we also have experience evaluating staff - related matters including workload, reporting chain of command and communications, recruiting, training, employee compensation and benefits programs, assessing options to outsource or in- source, developing position and classification descriptions, performing compensation surveys, and evaluating labor agreements. Organizational and Efficiency Studies ➢ California Earthquake Authority (CEA) We were engaged by CEA to study its staffing and organizational structure, assess business and administrative processes, and recommend ways to meeting the demands of its increasing workload while remaining within its statutory resource limitations. We conducted numerous strategic planning sessions, mapped business processes, assessed workload distribution, matched organizational mission and goals with challenges and activities, and recommended options for redesigning the Authority's structure. We also assisted in implementation and conducted small group workshops, open forums, and all - staff meetings. ➢ California Special District Association (CSDA) In two engagements, we conducted in -depth reviews of the CSDA and its three affiliates two risk management authorities and a public benefit financing corporation. We assessed the business operations, products and services, reporting of each entity, their interrelationships, and individual /corporate governance; facilitated strategic planning for each entity; conducted a full membership needs and evaluative survey, and made recommendations for streamlining, coordinating, leveraging resources, and cost savings. Provided change management and implementation workshops and forums. SJOBERG EVASI IENK Yorba Linda Water District Proposal 2 ➢ Sacramento Tree Foundation We worked with management and staff to evaluate its administrative structure and engaged in focus groups and planning sessions to recast these areas to better serve the program needs. We reengineered the organizational structure, assessed workload and reporting, service evaluation and staffing, and salaries and benefits. We wrote policies and procedures and evaluated the foundation's budgeting process. ➢ California Department of Veteran Affairs We created a strategic plan for the Veteran Affairs Farm and Home Loan Program by interviewing a cross - section of management and staff, reviewing the MITAS loan processing system, conducting SWOT analysis sessions, and developing a comprehensive mission, goals and objectives document for its program. This project assured that the billion dollar home loan program was serving its veteran clients with efficiency and effectiveness. ➢ California Board of Pharmacy This multifaceted project focused first on the Board's fee structure and long term fiscal health, but also involved consideration of its overall operations in terms of workload and staffing, turnover, training, reporting, and regulatory responsibilities over 14 different licensure categories. ➢ California Poison Control System A system -wide fiscal review and performance review of the California Poison Control System (CPCS) under contract with the California Emergency Medical Services Authority. The four centers, led by the University of California, San Francisco, provide 24/7 services to callers. The project involved administrative matters such as organizational structure, reporting and communication, qualifications and staffing, workload as well as service provisions—performance metrics and outcomes. We interviewed all levels of staff, mapped processes, observed operations and reviewed manuals and resources used. We also evaluated the fiscal operations and internal controls in place at headquarters as well as at each of the four locations. ➢ Los Angeles Crime Lab This project tasked us to evaluate the proposed Los Angeles Regional Crime Laboratory (regional lab.) The goal of the project was to assist the three regional lab partners, the Los Angeles Police Department, Los Angeles Sheriff, and the California State University, Los Angeles (CSULA) to "think outside of the box" to identify areas where they might be able to work collaboratively, leverage the multitude of talent and resources, create a more efficient and effective enterprise, and to maximize the state taxpayers' investment in local forensic services. In addition, the project was intended to assist decision makers having ultimate responsibility for the regional lab project by providing independently developed concepts, options and issues early in the project development process, thus allowing ample opportunity to maximize the limited funding and assist in decisions resulting in the best interest of the citizens of the City and County of Los Angeles and the State of California. ➢ California Integrated Waste Management Board— Rubberized Asphalt Concrete Program We reviewed of the reporting, structure, operations, and activities at each of the two RAC Technology Centers to assess how well they fulfilled the provisions of their contracts with SJOBERG EVAR IENK Yorba Linda Water District Proposal Board. The evaluation of each center included staffing, workload, work flow, performance indicators and evaluating the outcomes of the services and outreach rendered. The project included a large statewide survey of public transportation stakeholders as well as the "return" to the Board on its investments in both the Technology Centers. ➢ California Board of Dental Auxiliaries In a broad scope engagement, we conducted an independent assessment of the Board's operations, evaluated regulatory provisions, researched the scope of practice, and explored the related regulation and oversight of the occupations defined as dental auxiliaries. We facilitated meetings and focus groups, conducted surveys, and performed benchmarking across 50 states. We also held public comment forums and regulatory discussions. ➢ California Bureau of State Audits After the Legislature closed the Office of the Auditor General (CA Bureau of State Audits predecessor) in 1992 due to Proposition 140, as Auditor General and Chief Deputy, our firm's partners worked to create a new entity – the Bureau of State Audits and in spring of 1993, they were appointed agency heads and opened the Bureau of State Audits. They facilitated focus groups and strategic planning sessions to recast the old office into the new, significantly downsized organization. They led the efforts to reengineer and streamline operations, define the mission, values, and goals for the new organization and adopt a Civil Service personnel structure. Water Agency Related Projects Our recent water and waste water related experience include numerous projects conducted by our firm or our firm's principals. A number of these projects were internal management engagements. ➢ County of Sutter —Water Resources Division This project was part of the full operational review of the County's Public Works Department and evaluated the Water Resources Division's administration, workload, operations, fiscal health, and short and long -term strategies for providing utility services to the communities of Robbins and Rio Ramaza —Water Works District No. 1 provides water treatment and distribution, wastewater collection, treatment, and disposal for Robbins, while the community of Rio Ramaza is covered by the Rio Ramaza Community Services District and receives wastewater services only. ➢ City of Modesto A project conducted on behalf of ratepayers, this non - public engagement involved evaluating wastewater costs, system upgrades, cost allocation, and rate setting under Prop 218. ➢ Los Angeles Public Works Department, Bureau of Sanitation As part of a project to audit the services and contracting of the entire Public Works Department, we evaluated the management and operations over contracts and services of the Sanitation Bureau that provides services including refuse collection, sewer repair and waste water treatment. ➢ Kern County Water Agency SJOBERG EVASI IENK Yorba Linda Water District Proposal 4 Conducted under agreement with rate - paying agency partners, this non - public project evaluated the fiscal operations, allocation of costs, and impact of administrative and other indirect costs on fees. Other water agency related projects in our experience include: ➢ Elsinore Valley Municipal Water District — Management, operations and fee setting ➢ Water Replenishment District of Southern California — Rates and regulations ➢ Los Angeles Hyperion Sewage Treatment Plant — Construction upgrades,water quality ➢ Lahontan Regional Water Quality Control Board — Regulations and violator fines ➢ Tahoe Regional Planning Agency — Regulatory process and fees /charges ➢ Los Angeles Metropolitan Water District — Procurement processes References Over the past 13 years, we have conducted a multitude of organization and program efficiency studies and evaluations. As requested, we offer the following five references who will attest to our competency, professionalism, exceptional consulting and performance audit skills. SJOBERG EVAR -ENK Yorba Linda Water District Proposal Client Name: City of Los Angeles, Office of the City Controller IF Address: 200 N. Main Street, Room 460, Los Angeles CA 90012 Contact Person: Phone Number: Farid Saffar, CPA — Director of Auditing 213 - 978 -7392 ••- • Evashenk Reference Client Name: Special District Risk Management Association Address: 1112 I Street, Suite 300, Sacramento CA 95814 Contact Person: Phone Number: Paul Frydendal —Chief Financial Officer 800 - 537 -7790 ••- • Evashenk Reference #3 Client Name: City of Elk Grove Address: 8401 Laguna Palms Way, Elk Grove CA 95758 Contact Person: Phone Number: Rebecca Craig, CPA — Assistant City Manager 916- 627 -3423 ••- • Evashenk Reference #4 Client Name: City of Oakland, City Auditor Address: 1 Frank H. O awa Plaza, 4th Floor, Oakland CA 94612 Contact Person: Phone Number: Courtney Ruby,CPA -- City Auditor 510 - 238 -3378 ••- • Evashenk Reference #5 Client Name: City of Long Beach, City Auditor Address: 333 West Ocean Blvd, 81" Floor, Long Beach CA 90802 Contact Person: F562-570-6751 Number: Laura Doud, CPA –City Auditor SJOBERG EVAR -ENK Yorba Linda Water District Proposal Key Personnel Sjoberg Evashenk proposes an experienced team of professionals, each of whom have performed projects similar to the engagement envisioned by the Yorba Linda Water District. Each of the proposed project team members are multi - disciplined and bring direct field experience in facilitating strategic planning, studying workload and activities, and assessing reporting and communications structure. All team members bring experience developing and implementing mission, vision, values, goals and objectives and assisting organizations in translating these into practical policies, procedures, and protocols. Our partners are personally involved in every project awarded to our firm; this direct involvement assures that the project team delivers the highest quality of service and offers unparalleled experience. Marianne Evashenk will be the primary partner on the engagement with Kurt Sjoberg serving as the collaborating partner. Lynda McCallum will be the project manager with Senior Consultant Nicole Dyer and Mashariki Lawson assisting. ♦ Marianne Evashenk, CPA, BS, CGFM— Project Partner ♦ Kurt Sjoberg, MBA, CFE, CGFM, CFSA — Collaborating Partner ♦ Lynda McCallum, MBA, CGFM— Project Lead ♦ Nicole Dyer, BS, CGAP -- Senior Consultant ♦ Mashariki Lawson, BS— Consultant Resumes detailing each team member's specific qualifications and experiences are provided in the Appendix of this proposal. We pledge that the team members presented will conduct the work on this engagement; tasks will not be delegated to lower level staff or others unnamed in this proposal. Project Approach and Methodology We understand that the Yorba Linda Water District seeks proposals from qualified firms to undertake an organizational assessment that will include all six of its departments, its services, and programs to assess overall and department - specific effectiveness and efficiency and recommend strategic, actionable, and practical improvements. We present our anticipated approach that will encompass all the tasks outlined by the District and include a number of others based upon our experience and expertise. The nature of the environment and "industry" that we work in, government, requires that nearly every engagement we undertake begin with the request for proposal set forth by the contracting entity that outlines the needs and expectations of the project. Thus, no two projects are alike and because nearly every engagement is unique we craft a distinct approach with methodologies, tasks, and tests that is tailored to that engagement. Nonetheless, we do apply to every engagement, our guiding principles that reflect our commitment to excellence: SJOBERG EVASI-IENK Yorba Linda Water District Proposal 6 Essential to delivering the greatest value for consulting investment is ensuring that the project not only consider the specific elements stipulated for inclusion in our review, but also that each team member be mindful of the "big picture" issues. This vision requires that we pose "questions" for our study that are designed to Vision address the objectives of the project in a context of the District's overall operations and its environment; we strive to ensure that our results are not simply isolated bullets specific to individual, disjointed components— rather, we will weave data together into fully developed themes that illuminate discrete but also cross - cutting and systemic areas. We know decision - makers and stakeholders need to obtain a view of the big picture that is supported by relevant subordinate issues and credible evidence. We appreciate and understand the dynamic work environment that challenges public executives and staff—particularly in a small organization. From the first Cooperation interaction with the District, we will strive to create an efficient and productive relationship with District management and staff and other relevant stakeholders. We will be respectful of staff time and scheduling and make all efforts to minimize business disruption by efficiently scheduling our on -site activities and efficiently gathering and analyzing data, while still ensuring we obtain competent evidential matter to fully develop and vet issues. On- going, candid communication is the cornerstone of value -added evidence - based management consulting. We look forward to working collaboratively and Communication effectively with the Executive Committee of the Board of Directors and the General Manager and promise to develop and maintain an open, honest, and professional dialogue to share information, challenges, initiatives, ideas or exceptions as they arise. Our goal is "no surprises" and results that are accurate, useful, and relevant and in the proper context. Conclusions, findings, and recommendations must be fully developed, appropriately vetted, and constructed within the appropriate context. Recommendations resulting from an organizational study must consider the Balance impacts on all aspects of the District fiscal, structural, and human resources as well as external factors or constraints. Our work will consider best practices, benchmarks and other tools to ensure that our results and ideas are competent, balanced and actionable. Over the past decade, we have developed a graphical depiction of how we envision organizations approach and undertake organizational reviews and studies of efficiency and effectiveness. The process begins with determining the organization as is. We then identify gaps, inefficiencies, communications breakdowns, and control weaknesses, and identify options and opportunities for change and improvement. Finally, we seek to help the organization plan to realize improvement through recommending options for early adoption or areas affording quick tactical implementation, along with recommendations that will require longer term or more formalized planning. As follows, is our graphic, Continuous Process Improvement and Innovation. SJOBMG EVASI IENK Yorba Linda Water District Proposal 7 SJOBEKG EVASHENK CONSULTING, INC. Continuous Process Improvement & Innovation 10� Goals Ob�e •w Outcomes Results Environmental Scan ✓ Indentify Key Programs/ Functions ✓ Laws, Rules, Regulations ✓ Define Key Business Cycles Map Key Processes Z Identify Controls Z Isolate Control Weakness Gaps & Variances Duplications Z Compare operations Against Relevant Criteria Evaluate weaknesses, gaps, inefficiencies, duplication, and variances ✓ Define future state ✓ Assess options for rapid tactical improvements and risk based changes ✓ Define longer term options ✓ Identify barriers to gains ✓ Establish steps and milestones for process transformation ✓ Adopt performance metrics ✓ Early implementation of rapid tactical improvements Project Methodology L Project Initiation. Upon notice that we have been awarded the project, we will begin to gather background information —some of this, we will request from the District. We will review this readily available background information to develop an understanding of the District and its operating environment, including: (a) previous audits and studies; (b) District's statements related to mission and goals; (c) business or strategic plans, etc.; (d) existing performance measures; (e) relevant laws, ordinances, and regulations; (f) budget, financial statements and management letters, and other financial- related documents; (f) organization charts and job descriptions; (g) materials related to pertinent past or planned initiatives; (h) board and district policies, procedures, and employee manuals, and (i) other available information. 11. Introduction "Kick -Off' Meeting. We will conduct an in- person "kick -off' meeting as soon as possible upon contract award. This meeting provides an opportunity to meet the District's key project officers—members of the Executive Committee of the Board of Directors, Executive Director and any other individuals that the District deems SJOBERG EVASI -IENK Yorba Linda Water District Proposal appropriate to attend—to discuss and more fully define the needs and scope of the project, obtain a broad understanding of the objectives and deliverables, seek out relevant insights, and begin to understand District and stakeholder expectations. We will also discuss logistics, identify key liaisons, and establish communication and reporting protocols. III. Reconnaissance. We will interview current staff, identify core and ancillary business activities and controls, walk - through and map operational and business cycles, determine the availability and condition of records and sources of data, and identify pertinent criteria. Reconnaissance if fast paced and is intended to obtain a rapid understanding of the organization overall that will assist us in conducting the remainder of the project. IV. Dynamic Fieldwork. Fieldwork includes detailed data gathering, gap analysis, workload measures and reporting structure, and other activities needed to achieve the objectives of this study. Tasks would include but not be limited to: ➢ Assessing the overall governance and reporting structure of the District. ➢ Analyzing each department's organizational and management structure, including reporting relationships, roles and responsibilities, span of control for managers and staff, workload assignment and resource allocation (e.g., budgetary resources and staffing levels). ➢ Identifying core responsibilities of each department, including core and non -core business activities. ➢ Reviewing job descriptions, minimum qualifications, and reporting structure. ➢ Reviewing desk manuals, standard operating procedures and other guidance used by staff to conduct their daily tasks. ➢ Assessing formal policies and procedures and comparing those to practices in place to clarify roles and responsibilities, evaluate control strengths and weaknesses, areas of overlap or duplication of key personnel and functional units, determine functional or structural gaps, and complete work cycle mapping. ➢ Reviewing communication protocols, monitoring and oversight (management and supervision) of work, and effectiveness of data movement and collection. ➢ Obtaining workload statistics, performance measures, and other data for the past five -year period; analyze statistics and provide statistics indicating trends in workload and resource allocation over this period. In doing so, we will: • Analyze workload documents and inventory of work to be performed (estimates of hours) and compare against staff availability. • Identify any backlogs or long- deferred activities within the various operations. • Consider use of overtime and how effort is managed. • Review vacancies and turnover, and succession planning. ➢ Understanding assignment of work, staffing expertise needed, and how staff is trained or cross - trained. In doing so, we will: ■ Identify absent, vacant, or redundant positions. SJOBERG EVASI IENK Yorba Linda Water District Proposal 9 ■ Identify possible workload or operational duplication or overlap, and opportunities for consolidation or redistribution of tasks. ➢ Determine, for each business cycle, whether efficiencies can be achieved, duplication eliminated, or activities combined. ➢ Identify the potential for roles, functions, or activities that can be outsourced, and determine whether outsourcing these areas has the potential to increase efficiencies, responsiveness, and /or flexibility for the Divisions. ➢ Evaluate whether any roles and functions can be eliminated or improved. ➢ For each relevant business cycle, assess whether information technology is used efficiently and effectively to conduct the processes. ➢ Identify opportunities for improvement based on an assessment of best or sound management practices (BMP's), benchmarking and performance measures. ➢ Obtain an understanding of the methods employed by the District to garner community input in both current and long -range planning activities, and customer satisfaction. ➢ Review opportunities for cost reductions without reduction in service. In doing so, we will evaluate opportunities for increased service levels despite marginal cost increases. V. Results. In collaboration with District Executive Committee members and the Executive Director, we will develop results and recommendations of the opportunities for efficiencies, effectiveness and operational improvement. We would develop our recommendations to reflect not only options for "easy wins" and rapid tactical improvements, but also in terms of priority and significance, as well as developing a broad strategy and schedule for long -term implementation. Conduct working session(s) with the Executive Committee and Executive Director to vet and deliberate our results, proposed opportunities and recommendations. Collaboratively, prioritize short and long term initiatives and develop milestones and a timeline for implementation. VI. Report. After the Results discussions, we will draft a complete, concise, well written and easy to read report to include an Executive Summary, introduction and background, scope and methodology, fully developed results and findings, and practical and actionable recommendations. We will submit our draft report for review and feedback and make any warranted changes prior to finalizing the document. VII. Meet with Board of Directors. Once the report is finalized, Sjoberg Evashenk will meet with the Board of Directors to present the results and discuss the findings and recommendations. SJOBMG EVASI IENK Yorba Linda Water District Proposal 10 Schedule The District intends to complete its selection of a successful contractor by March 28, 2013. Allowing 2 to 3 weeks for contract execution and Board approval, we premise our schedule on commencing work around April 15, 2013. Nonetheless, we are very flexible in this timeframe and are willing to adjust to meet the District's timing needs. The schedule below represents an estimate of the time to complete the project. These timeframes can be shortened or lengthened, as needed. We are happy to work with the District to make adjustments to these timeframes as needed. Estimated Schedule Contract Execution Set up Entrance Conference —Kick Off Gather and request background information Conduct "Kick off' meeting and commence reconnaissance Continue Reconnaissance; Meet and discuss progress Conduct Fieldwork Conduct working discussions with Executive Committee members and Executive Director to vet results, recommendations, and opportunities. In collaboration, develop recommended priorities, milestones, and timeline for implementation. Draft the report Submit Draft report to District for feedback and comment Finalize Report and Submit to District Present report findings, conclusions and recommendations to the Board of Directors. SJOBERG EVAR IENK Yorba Linda Water District Proposal I I Appendix A — Resumes Professional biographies of each member of our proposed consulting team can be found on the following pages. SJOBERG EVASI -IENK Yorba Linda Water District Proposal 12 Marianne P. Evashenk, CPA President, Sjoberg Evashenk Consulting Experience 30 years experience in public sector management consulting ♦ 13 years leading Sjoberg Evashenk Consulting ♦ 18 years at the California State Auditor —more than 7 years as Chief Deputy State Auditor, 10 years in executive management Functional Expertise ♦ Fiscal analyses, cost studies, rate setting, finance ♦ Program evaluation, business process reengineering and organizational development ♦ Contracting — procurement, bidding, awards, change orders, protest, delivery, post - review ♦ Enterprise risk assessment and internal control reviews ♦ Forensic auditing and accounting and investigation ♦ Nationally recognized in performance measurement, benchmarking, best practices Education and Certifications ♦ California State University, Sacramento – BS Business Administration and Accounting ♦ Certified Public Accountant ♦ Certified Government Financial Manager (CGFM) cl Marianne P. Evashenk, cofounder and President of Sjoberg Evashenk Consulting. Ms. Evashenk has dedicated her career to improvement in accountability and excellence in government services. Reviews she has conducted involved complex assessments of state and local program s isolating and evaluating the fiscal and operational aspects specific programs, reviewing business processes and controls, determining information flow and integrity, monitoring and reviewing system's implementation and contracts, and examining service efforts and accomplishments. Many involved large, complex, multi - dimensional state and local entities as well as unique programs for serving special populations—no matter the size or complexity Ms. Evashenk always strives to provide practical, relevant, and timely recommendations and information for leaders and other decision - makers. Recent projects include Sacramento CDD, San Diego CCDC, Elk Grove and Sutter County community development agencies. For more than 7 years, as Chief Deputy, Ms. Evashenk managed the operations of one of the most respected, independent audit operations in the nation, the California State Auditor. During her more than 18 -year career with that office, she participated and managed literally hundreds of performance, financial, and compliance audits, operational reviews, and program evaluations as well as managed the Bureau's investigative hotline. In addition to participating in all the projects conducted on behalf of the Los Angeles City Controller, Ms. Evashenk has recently led engagements involving multipurpose facilities districts; city -run power; procurement and contracting; review, evaluation and development of regulation and policies and procedures, human resource management, evaluation, and benefits; community development, planning, and permits; redevelopment; bonding and financing; transportation and transit; and women, infant, and children's programs. SJOBMG EVAS! IENK Yorba Linda Water District Proposal 13 Kurt R. Sjoberg, MBA, CFE, CFSA, CGFM Chairman, Sjoberg Evashenk Consulting Experience Nearly 40 years experience in public sector management consulting ♦ 12 years leading Sjoberg Evashenk Consulting ♦ 11 years as the California State Auditor General; more than 10 years as Chief Deputy State Auditor General 6 years General Accounting Office (GAO) Sacramento Office Director Functional Expertise ♦ Performance audits, program evaluations, operational reviews, financial related audits and studies / Strategic planning, organizational development, performance measurement ♦ Contract and capital project evaluations and audits ♦ Licensed Building Contractor for 20 years in California / Forensic auditing and accounting and investigation / 4 -year term on GAO's Advisory Council on Government Auditing Standards Education and Certifications ♦ Armstrong UniversityBS, Accounting ♦ MBA— Golden Gate University ♦ Certified Fraud Examiner ♦ Certified Financial Services Auditor ♦ Certified Government Financial Manager (CGFM) Kurt Sjoberg is cofounder and Chairman of Sjoberg Evashenk Consulting. His career has focused on assisting government identify opportunities to more efficiently and effectively deliver services in terms of outcomes and results reviewing the intent of laws and regulations, determining whether the underlying provisions and service delivery achieve those results. Mr. Sjoberg has led literally hundreds of government consulting and program evaluations, performance audits, financial- related audits and studies, training, strategic planning, and performance measurement during his 40 year career. Projects are broad ranging, such as public works construction, bond programs, convention centers, insurance, information technology, budget and fiscal management, accounting and finance, and governmental regulation and oversight. Mr. Sjoberg has participated in all the performance, compliance, investigative, and financial- related engagements conducted by the firm including: ♦ State and Local Bond and Financing ♦ ADOT and Maricopa Transportation Agency ♦ San Diego RedevelopmentCCDC ♦ Oregon State University Energy Ctr. ♦ Los Angeles World Airports Contracting San Francisco Water System Improvement Program Mr. Sjoberg has received national awards from the Association of Government Accountants, National State Auditor's Association, and federal Joint Financial Management Improvement Program. An accomplished speaker and instructor, he is also a former adjunct professor of business at California State University, Sacramento and Sierra Community College. SJOBMG EVASI IENK Yorba Linda Water District Proposal 14 Lynda McCallum, manager with Sjoberg Evashenk Consulting, offers over 11 years experience in evaluating programs in the public and private sector. Ms. McCallum has led Sjoberg Evashenk teams in assessing multi- faceted programs and departments including operational and service delivery, accounting, budget and fiscal integrity, and compliance and reporting. Additionally, she has expertise in evaluating rate structures, costing efforts, business process assessment, gap analyses, internal controls and the risk environment. She had offered dozens of recommendations for improving efficiency and effectiveness improvements at of state and local agencies. Recent engagements have include: reviewing several large environmental programs for a State Board to improve overall program management, including application processing, adequacy of provided data, and oversight; assessing the financial viability of a proposed marina renovation from state, federal and local loans, bonds, and fee revenues; reviewing a State Board's license fees and rates against its costs and recommending legislation to establish new rates; auditing a complex regional 40 year $14 billion multimodal transportation program; and is currently managing and conducting an audit of a multi - million dollar environmental mitigation program and performing program development and accounting reengineering for a large state agency. Additionally, Ms. McCallum managed and performed multiple high profile engagements involving large government entities, contractors and subcontracted entities, not - for - profit organizations, and community based organization. Moreover, she has led dozens of performance audits at superior courts throughout California that include all fiscal related business operations, service delivery, and case management and conducted projects involving large complex leasing, procurements, finance, outcome monitoring, human resources, and indirect costing and allocation. Ms. McCallum has broad experience in State government, expertise in internal controls, as well as in evaluating cost accounting and information system development and controls. SJOBERG EVASI IENK Yorba Linda Water District Proposal 15 Nicole M. Dyer, CGAP Senior /Lead Consultant Experience ♦ Nearly 7 years of management consulting experience with Sjoberg Evashenk Consulting ♦ Other relevant experience working as a Financial Analyst at The Retirement Group Functional Expertise ♦ Program evaluation, business process reengineering and organizational development ♦ Complex fiscal analysis ♦ Cost and rate studies ♦ Grant and contract compliance ♦ Benchmarking, best practices, performance metrics and assessment ♦ Cost benefit and economic analyses ♦ Cost accounting and reporting ♦ Enterprise risk assessment and internal controls reviews ♦ Developing and delivering professional training Education and Certifications 1 California State University, San Diego — BS Business Administration emphasis in Financial Services ♦ MBA (cand.) Western Governor's University ♦ Certified Government Auditing Professional (CGAP) C�a Nicole Dyer, senior consultant with Sjoberg Evashenk Consulting offers nearly 7 years of in- depth experience conducting program evaluations, business process assessments, and performance audits and evaluations. Ms. Dyer has conducted several performance audits and reviews of trial court operations, including organizational structure, human resources, procurement, cashiering, fiscal functions, information technology, and security at several counties. Currently, she is assisting a state agency assess fiscal business processes including workload, reporting, and developing policies and procedures for existing processes and new federal programs. She brings a broad range of experience working in the government environment. Specifically, she conducted: ♦ Business processes and fee structure for a state level regulatory board ♦ Statewide online fee evaluation within the justice system ♦ Components of costs and distribution of indirect charges for a major water district ♦ Use of City of Los Angeles Prop F funds ♦ Redevelopment program efforts of a San Diego redevelopment agency contractor ♦ Budgeting activities for a major California higher education institution and a review of the Colorado College Opportunity Fund Program for state funding of higher education. ♦ Developing a comprehensive set of policies and procedures for a statewide Enterprise Resource Planning software program ♦ Program evaluation of the City of Los Angeles Public Access channels ♦ Transit including evaluations of Arizona - Maricopa Transportation Plan, San Diego Association of GovernmentsTransNet, and City of Elk Grove. Ms. Dyer most recently, led a review of state funding of higher education, evaluating key processes to enhance operations, complex data analysis, and improving the control environment. SJOBERG EVASI IENK Yorba Linda Water District Proposal 16 Mashariki Lawson Staff Consultant Experience ♦ 4 years of management consulting experience with Sjoberg Evashenk Consulting CA Energy Commission analyst 10 years customer service representative with a national delivery company. Functional Expertise ♦ Trial court business operations involving a variety of functions including court physical security, fiscal operations, and case management systems. • Human Resources personnel, benefits, and hiring. ♦ Fiscal analyses, financial trending ♦ Internal controls ♦ Business operations mapping • Best Practices and jurisdictional comparisons ♦ Surveying Education and Affiliations ♦ California State University, Sacramento, BA in Economics ♦ CSUS Student Economic Association C� Mashariki Lawson joined Sjoberg Evashenk in 2008. Since joining the firm, Ms. Lawson has participated in a number of performance and operational audits. Currently, she is completing an evaluation of the rental car contractors operating at Los Angeles World Airports (LAX and Ontario) after performing a similar assignment for the City of Long Beach. She is also a key team member in a project where we are evaluating the effectiveness and compliance of vendors serving as subcontractors to the State in its Commercially Useful Function program. Her experience also includes a performance audit of the City of Los Angeles public, educational and government access channels as well as a highly contentious audit regarding Oakland City personnel practices; she also assisted in the similar review of the City of Los Angeles' hiring practices. Ms. Lawson is experienced in conducting best practice reviews and surveys of other jurisdictions and has done so for our review of Colorado state employee benefits program, Los Angeles gang prevention review and audit of the redevelopment in San Diego. She recently was involved in a large scale performance audit of the Sacramento Community Development Department where she conducted in depth reviews of several hundred permitting files and calculation of fees. Ms. Lawson has also participated on a number of our performance audits of superior court operations including internal controls, business process mapping, contracts, expenditures, and cash. Prior to joining Sjoberg Evashenk Consulting, Ms. Lawson worked for a energy agency and also worked for over 10 years in customer service, conflict resolution, and supervision over a team of 10 -15 agents to ensure reliable, effective client satisfaction and sound management practices. SJOBMG EVASI I©NK Yorba Linda Water District Proposal 17 Reference Checks O& E Study Firm References Comments DeLoach & Heartily endorsed. Tons of Associates experience, and lots of experience working with BOD- will conduct a brutal self- examination. Will tell it like it is- particularly as a cultural East Valley WD overview. Recommendations focus on new directions and HOW to get there. Served as Interim GM at BOD's request to begin process of implementation. Absolutely worth the value. Conducted reclass of Public Affairs Division. Lots of interviews. Recommendations were do -able, and made a case as to WHY. Phase 1 & 2 Sonoma Co. Water of implementation are reasonable. Agency Knack for determining the expectations and leadership wants of the employees. Will be hiring back to help with unexpected problem with union. Currently working with Dr. Mathis. Mathis did a "culture study" for them. BOD then hired Robert as interim GM to assess District in general and begin implementation. Currently in month 1 Scotts Valley WD of a 3 -5 month process. Great Leadership. Very honest and straightforward, but not threatening or antagonistic. Got Robert's name via Dr. Mathis. Have worked together before. Indio Water Authority Was not able to contact Backup Material Distributed Less Than 72 Hours Prior to the Meeting Firm References Comments Koff & Associates OC Sanitation District Was not able to contact San Diego Housing Was not able to contact Commission Highly Recommended. Conducted City- wide Classification Study- 400 employees. High Level of Service. Interviews, Questionnaires, etc. Lots City of Orange of hand - holding of staff. Top notch. Friendly, etc. Can't recommend highly enough. Work harder with those that are the most impacted. "Didn't always agree, but at least they heard me " -- comment from employee groups Have done multiple studies for them. Included focus groups. Process was good. Kept staff in the loop especially Housing Authority of on any delays and why. Output was the County of San excellent- report still used as of 3 Bernardino years. Worked with Georg (Gay -org), mostly thru email. No problem that they were based out of Northern California. Backup Material Distributed Less Than 72 Hours Prior to the Meeting Firm References Comments Sjoberg Evashenk Completed a number of Audits (investigations, performance audits, efficiency etc.) since 2001- approx. 15. City of Los Angeles, Efficiency audits were for specific Office of the areas- response time, how to make it Controller better vs.what it is now. All recommendations are Do- able -- not textbook. Circumstances taken into account. Conducted organazational study.Was well done and 10 years later is still Special District Risk utilized. Highly professional. Highly Management ethical. Consolidation of departments Association lead to further growth of staff. Met with each department head prior to board presentation for individual buy - in. Performance Audits & Reviews. No internal auditor for last 4 years - Sjoberg Evashenk does it for them. Every job done by task order- 2 to 3 audits a year. Very happy with their services- no fluffed up claims that they will "fix everything ". City of Elk Grove Professional. Show drafts to dept to ensure accuracy and recommendations are feasible. Processes, internal controls carefully reviewed. Best practices made over time. Go above and beyond in following through without "nickel and dime -ing ". Southern California Regional Rail Was not able to contact Authority Backup Material Distributed Less Than 72 Hours Prior to the Meeting Yorba Linda Water District Operations & Efficiency Study 2013 Consultant Selection Score Sheet Firm: Koff & Associates Reviewer: Item Points Possible Points Assigned Experience of the Study Manager 0 -30 points (Specific to Operational /Efficiency Studies. Specific to Working with Boards & Staff. Overall related experience & years of experience) Experience of the Firm 0 -20 points (Specific to Operational /Efficiency Studies. Experience with similar type studies. Related experience of other members of the firm that will be working on the project.) Project - related Experience and References 0 -20 points (Experience with tasks related to our project, including Improved Workflows, Staffing, Communication Between Departments, Recommended Milestone/Timelines, etc. Has the firm done similar work for other agencies provided in its list of references ?) Proposed Approach /Methodology 0 -20 points (Has the firm provided information on their proposed approach and methodology? Has the firm provided expanded information or suggested revisions based on their experience with similar studies? As an optional item, has the firm included a copy of a similar recent study as an example of their work ?) Project Schedule 0 -10 points (Is the Schedule Realistic? Is it Timely? Does it Take into Consideration Potential Added Tasks? Does the firm make note of the time required for similar prior studies? Does the proposed schedule take into consideration review periods and a presentation of the final report to the Board ?) TOTAL POINTS 0 -100 points Comments /Notes Operations & Efficiency Study Consultant Selection Score Sheet Page 2 of 3 Yorb►a Linda Water District Operations & Efficiency Study 2013 Consultant Selection Score Sheet Firm: Sioberg Evanshenk Reviewer: Item Points Possible Points Assigned Experience of the Study Manager 0 -30 points (Specific to Operationai /Efficiency Studies. Specific to Working with Boards & Staff. Overall related experience & years of experience) Experience of the Firm 0 -20 points (Specific to Operational /Efficiency Studies. Experience with similar type studies. Related experience of other members of the firm that will be working on the project.) Project - related Experience and References 0 -20 points (Experience with tasks related to our project, including Improved Workflows, Staffing, Communication Between Departments, Recommended Milestone /Timelines, etc. Has the firm done similar work for other agencies provided in its list of references ?) Proposed Approach /Methodology 0 -20 points (Has the firm provided information on their proposed approach and methodology? Has the firm provided expanded information or suggested revisions based on their experience with similar studies? As an optional item, has the firm included a copy of a similar recent study as an example of their work ?) Project Schedule 0 -10 points (Is the Schedule Realistic? Is it Timely? Does it Take into Consideration Potential Added Tasks? Does the firm make note of the time required for similar prior studies? Does the proposed schedule take into consideration review periods and a presentation of the final report to the Board ?) TOTAL POINTS 0 -100 points Comments /Notes Operations & Efficiency Study Consultant Selection Score Sheet Page 3 of 3 Requested in Presentation to the Board • Methodology for completing the study, including specifics on how each of the areas of the Study will be addressed • Expected Project Timeline • Experience of the personnel working on the District's study in completing previous O &E studies O &E Study Consultant Questions • Do you tend to focus on one project, or do you handle a number of projects simultaneously? • What steps do you take to ensure that you do not spread yourself too thin among your clients? • How do you keep track of your progress during a project? • You are based out of Northern California. How do you propose to deal with the challenges of completing the study from a distance? • Please detail the life cycle of a recent operations study you worked on from start to finish. What inefficiencies did you find? What went well and what did not go well? • What is the implementation rate of your recommendations on previous Operations & Efficiency Studies? YORBA LINDA WATER DISTRICT ORGANIZATIONAL STUDY APRIL 2013 ABOUT KOFF & ASSOCIATES, INC • 1984 • Full Spectrum HR 95% • Special Districts, Cities, Public Sector Counties, Others Clients • Straightforward, Interactive, All- Inclusive • Objectivity & Stakeholder Input • Deliverables & Recommendations Successfully Implemented y 5/14/2013 I PROJECT TEAM • Seasoned Business Professionals • Extensive Public & Private Sector Experience • Human Resources Generalists • Understanding of Concerns • Outstanding Implementation Record What you see is what you get! RELATED EXPERIENCE Industry Specific and Geographic • Orange County Sanitation District, South Coast Water District, Moulton Niguel Water District, Montecito Water District, Ventura Regional Sanitation District, Lake Arrowhead Community Services District, Marin Municipal Water District, Santa Clara Valley Water District, Dublin San Ramon Services District • City of San Gabriel • City of Menifee • City of Bellflower • City of Huntington Beach • City of La Canada Flintridge • City of Malibu • City of Mission Viejo • City of Orange • City of Perris 5/14/2013 2 ' U-4 qW .V,r "W.- �I�► �7_�� GOALS OF K &A APPROACH • Solid Organizational Infrastructure — Improved Efficiency — Workflow — Communication • Implementation Milestones and Timelines Project Kick -off • Initial Project Team Meeting(s) • Develop Communication Strategy • Collect Organizational Data • Employee Orientation Meetings & Distribute Internal Survey Instrument 5/14/2013 3 Develop Organizational Profile • Review of Organizational Data • Current Service & Staffing Levels • Service Delivery Goals • Allocation of Functions and Essential Duties to Individual Employees Lim J^,11i External Market Profile • Determination of Comparator Agencies • Development of Survey Instrument • Industry /Market Data Collection • Data/Trend Analysis 5/14/2013 4 Recommendations • Organizational Structure • Staffing Levels and Ratios • Outsourcing Opportunities • Automation & Technology • Best Management Practices • Performance Measures • Identification of Operational Issues Is Stakeholder Touch - points • Kick -Off & Orientations • Employee /Management /Board Interviews • Organizational Review • Survey Results • Recommendation Feedback 5/14/2013 E TIMELINE Estimate — 4 -5 months Flexible Depending on District Needs P -wr WHY HIRE K &A? • Interactive, All - Inclusive, Transparent • Geographic & Industry - Specific Experience • Client- Centered Approach • User - Friendly 5/14/2013 0 5/14/2013 THANKYOU! Questions Comments KOFF & ASSOCIATES, INC. 6400 Hollis Street Suite 5 Emeryville, CA 94608 510 /658 -KOFF (5633) Is 510 /652 -KOFF (5633) ww XoffAssociates.com Human Resources Consulting Since 1984 Yorba Linda Water Distric Interview Presentation for the Organizational and Efficiency Study of the Yorba Linda Water District By Kurt R. Sjoberg, Partner April 19, 2013 JJ OB L R L V1 �J 1. 1 LN it CONSULTING, INC Why choose Sjoberg Evashenk for this important engagement? ✓ We live our motto —the Equation for Excellence -- every day, every project. ✓ We offer an outstanding record delivering services and products on target, on time, on budget. ✓ We specialize in Public Sector clients and bring outstanding expertise and national reputation in organizational reviews, program evaluations, and performance audits. ✓ Our client base reflects all size, level and complexity of government and quasi - governmental organizations, programs and services —for example, small rural counties, special districts, joint powers authorities, large universities and colleges, complex public benefit corporations, federal programs, major cities, and state agencies. Why choose Sjoberg Fvashenk for this important engagement? (cont.) V Our teams work in collaboration and partnership with our clients to ensure we contribute highest value and results for the contracting investment. V Our firm has completed nearly 200 projects since the firm's inception in 2000 serving over 100 clients. V We understand the public sector — parameters of laws, rules, and regulations; the risk and control environment; governance and oversight; transparency and reporting; fiduciary responsibility; and funding constraints. Our outstanding project team... Kurt Sjoberg, Project Partner • 44 years experience in auditing, evaluating, and studying public sector operations, programs, service delivery, and administrative structure. • California State Auditor for 1 I years, Chief Deputy Auditor General for 10 years — responsible for re- inventing and rebuilding the Office after its complete closure. • Expert in public works, construction, contracting, capital projects. • Led over 1,700 projects within federal, state, municipal government. • Certified Fraud Examiner, Certified Government Financial Manager, MBA Marianne Evashenk, Partner • 30 years experience in state and local government auditing and consulting. - Expertise in organizational structure and governance, planning, operations, performance measurement, fiscal /financial operations, policy development, administrative services. - 7 years Chief Deputy State Auditor; Deputy Auditor General and manager for five years • Vast experience and expertise in local and state government operational reviews, audits - Certified Public Accountant and Certified Government Financial Manager Our outstanding project team ... (cont.) Lynda McCallum, Project Manager Nearly 12 years experience with Sjoberg Evashenk and prior experience as human resource coordinator for large -scale IT projects at the state and local level. • Broad and deep experience in organizational development and program evaluation. • Has led project involving large and small entities with multi- faceted responsibilities. • Experience includes rate studies, and fee structures, billing and collections, all aspects of finance and accounting, gap analyses, cost/benefit studies, internal controls, and risk reviews. Nicole Dyer, Senior Consultant • Seasoned professional with broad experience in organizational reviews and operational assessments. • Key participant in several engagements involving assessing operational cycles and providing desk -level assistance in improving and re- engineering processes, developing working tools, writing and delivering policy and procedure manuals. • Understands all aspects of business operations and program delivery, finance, human resources, and return on investment. Our Approach to Yorba Linda's Organizational and Efficiency Study • We would begin our review with top -level interviews and key person meetings to understand where the District sees itself and where it wants to be. ■ We will try to determine where perceptions view issues, challenges, opportunities • We would then conduct a high -level environmental scan — V' How does the organization fit together? v" How are its operations structured? ✓ What are legal and regulatory requirements? • We would then determine the "As Is" conditions for the organization overall and in terms of key operational and business cycles v' Governance and Reporting Departmental and Management Structure — reporting relationships, span of control Assess policies, procedures, executive memoranda, and other guidance and protocols f Map processes and gather workload data V Inventory skills and knowledge Our Approach to Yorba Linda's Organizational and Efficiency Study (cont.) . Gap analysis —what "is" and what "should it be" Working with the District discuss the needed changes and improvements ✓ What are the easy fixes and low hanging fruit? ✓ Which elements are critical for the internal control environment or cost containment? +/ Which initiatives are immediately needed or form the basis of long -term improvement or goal achievement? • Create a short, mid- and long -term plan of actionable, practical improvements and efficiencies. After more than a decade in business, over 100 different government clients and more than 200 successful engagements, we are still committed to remaining professional, flexible, accessible and exceeding our clients expectations. Our goal of 100 percent client satisfaction is evidenced by many repeat government clients. Sjoberg Evashenk Consulting. We are the Yorba Linda Water District's Equation for Excellence. 6 7