Council Finance Committee & URA Finance Committee
Agenda Planning Calendar 2015
RVSD 12/09 mnb
Dec 21
CFC
TOPIC
TIME
WHO
Executive Session
45 min
C. Webb,
C. Daggett
Strategic Risk Assessment
30 min
A. Gavaldon
Policy Formalizing Use Tax Current Practices
15 min
T. Storin
Response Plan to 2014 Audit Findings
20 min
T. Storin
URA
Jan 25
CFC
TOPIC
TIME
WHO
Utilities Low Income Assistance Program Evaluation Recommendations
30 min
L. Rosintoski
City Low-Income Rebate Program Review
20 min
N. James
URA
Feb 22
TOPIC
Utility CIP & LTFP Review
TIME
60 min
WHO
L. Smith
CFC
URA
Mar 21
TOPIC
Compensation for BFO
CFC
URA
Future Council Finance Committee Topics:
CAP Financing Strategies
Future URA Committee Topics:
TIME
WHO
Finance Administration
215 N. Mason
2nd Floor
PO Box 580
Fort Collins, CO 80522
970.221.6788
970.221.6782 - fax
fcgov.com
AGENDA
Council Finance & Audit Committee
December 21, 2015
9:30 – 11:30 a.m.
CIC Room – City Hall
Approval of the Minutes from the November 18, 2015 meeting
1. Executive Session
45 minutes
C. Webb
C. Daggett
2. Strategic Risk Assessment
30 minutes
A. Gavaldon
3. Policy Formalizing Use Tax Current Practices
15 minutes
T. Storin
4. Response Plan to 2014 Audit Findings
20 minutes
T. Storin
Other Business
•
•
•
Update 2016 Use Tax Forecast
GERP Pension Plan IRS Determination Letter
Revenue Diversification Work Plan
Finance Administration
215 N. Mason
nd
2 Floor
PO Box 580
Fort Collins, CO 80522
970.221.6788
970.221.6782 - fax
fcgov.com
Council Attendees: Council Audit & Finance Committee Minutes 11/18/15 2:00 – 3:00 p.m. CIC Room Mayor Wade Troxell, Gerry Horak, Ross Cunniff Staff: Darin Atteberry, Jeff Mihelich, Mike Beckstead, John Duvall, John Voss, Carrie Daggett, Dean Klinger, Matt Baker, Tiana Smith, Kevin Gertig, Carol Webb, Lance Smith, Chris Donogan , Nancy James Others: Kevin Jones – Chamber of Commerce, Dwayne Pierce Guthrie – TischlerBise, Dale Adamy ‐ Citizen Absent: APPROVAL OF MINUTES Gerry Horak made a motion to approve the October 28, 2015 Council Finance Committee minutes. Ross Cunniff made a second to the motion. The minutes were approved unanimously. STREET OVERSIZING IMPACT FEE UPDATE Dean Klinger gave an update on the status of the assessment and update of the Street Oversizing Program to the Committee. The Street Oversizing program is capital expansion to serve more than local traffic, and also covers grown share of system improvements. The program collects an impact fee for each new building permit based on traffic generated, and also reimburses developers for constructing arterial and collector streets within and adjacent to their developments. The Street Oversizing Program has been a successful funding source for roadway capital improvements with development. Emerging trends of redevelopment and the approaching build out of the City’s GMA make an update desirable. Other changes over the last few years which indicate an update are: 


Updates to Transportation Modelling, such as the NFRMPO 2045 have just been completed and
adjustments to the methodology are needed.
New Street Standards, including Bike and Pedestrian Plan elements
New MAX bus rapid transit and transit oriented development may allow alternative compliance,
reducing the need for traditional street infrastructure.
•
Redevelopment and infill projects place different impacts on public facilities than greenfield
development.
The City of Fort Collins has retained TischlerBise, Inc. as a consultant to assist the City with the
assessment of its existing Transportation Capital Expansion Fee Program (Street Oversizing Capital
Expansion Fee Program).
Purpose of Update:
•
•
•
•
Updates to Transportation modelling, such as the NFRMPO 2045 have just been completed and
adjustments to the methodology are needed.
New Street Standards, including Bike and Pedestrian Plan elements.
New MAX bus rapid transit oriented development may allow alternative compliance, reducing the need
for traditional street infrastructure.
Redevelopment and infill projects place different impacts in public facilities than greenfield
development.
Timeframe and Next Steps:
•
•
•
•
•
•
•
Land Use Assumptions and Development Projections
Determine Transportation Capital Needs
Evaluate Allocation Methods
Determine Need for Credits
Conduct Cash Flow Analysis
Prepare Updated Street oversizing Capital Expansion Fee Report
Prepare Expansion Fee Ordinance and Implementation Assistance
General Direction Sought and Specific Questions to be Answered:
•
•
•
Is there support for the continued use of a Transportation Impact Fee program to access development?
Does the proportional cost impact the transportation system?
Are there any questions or concerns about the adjustments being considered to the Transportation
Capital Expansion fees?
Any comments regarding the idea of establishing two different benefit zones in the Transportation
Capital Expansion Fee to mitigate redevelopment impacts?
Regarding the last bullet, Darin asked why staff would consider different benefit zones? Dean responded, as an
example, we have a Midtown plan which creates unique, new transportation facilities; 10 ft. sidewalks.
Currently the impact fee is based on building our collector and arterial streets out to our standard cross sections;
6 ft. sidewalks, more of a suburban street. As we start to see more of these plans inside of the urban area that
have these impacts, there would be a different set of benefits or different set of challenges/improvements. It
would allow for a little more customization; no detrimental impact on the other zones and also a benefit to the
fee payer, and proportionality.
Ross asked what the advantages and disadvantages are of using vehicle miles traveled vs. number of trips
generated. It was explained that not all trips are the same in length and in general commercial trips are shorter
than residential trips. It is an attempt to make the fee fairer.
2
Ross also asked if actual constructions costs are factored into the data feeding into the improvements. Staff
indicated that they are looking at the full cost of the eligible projects and what the construction costs are, as
well as the 5 capital expansion fees in the first half of 2016 as well. Mike also stated that we should be looking
at the index that we use to adjust for inflation over time. Dean indicated that the challenge is smoothing out the
volatility. There can be spikes in construction costs in a very short period of time. Fort Collins currently uses a
‘plan based’ methodology for assessing Street Oversizing fees.
Ross also stated that there has been some previous discussion on intersections and whether there are eligible
improvements available. Ross asked if this was going to be studied again. Staff indicated that the general
answer is some are and some are not eligible. The problem is as you get away from developing areas, the
development impact becomes less and the City’s portion becomes greater. After discussion, Ross indicated that
he would like an updated study. Darin further stated that if we can, and if the modeling shows even a small
incremental impact, we should be doing these improvements; and further, what is the reason we haven’t? Staff
indicated that it is hard to plan an intersection improvement when it gets really congested. Also we cannot
collect impact fees and hold them longer than 10 years. After 10 years the money would have to be returned.
Staff is currently trying to balance all of these issues. Darin requested if we meet the parameters, we should be
capturing what we fairly can.
After continued discussion, it was determined and agreed upon by staff and council that the transportation
model is outdated, as it was originally adopted in 1970 with revisions in 1986, 1993, 1997, 2000, 2003, and 2006.
It was also discussed that the name of the project should be renamed for clarity and could be related to code
provision. Staff will bring back a name change recommendation along with the recommendation on the fees.
REVENUE DIVERSIFICATION
Mike and Tiana presented a recap to CFC of the ongoing Revenue Diversification project. Since 2012, staff has
continued to analyze and consider various facets of diversification which have been presented to City Council in
phases. This item summarizes the efforts to date and asks for Council Finance to recommend 2-4 options for
staff to pursue.
The City receives 45%-51% of its revenue from sales and use tax. Sales and use tax can be a volatile source of
revenue during times of economic downturn. The issue of how to strike a balance of adequate revenue to fund
current levels of service without an overreliance on sales and use tax is an ongoing issue.
Revenue Policy Adopted in 2013:
1. Maintain a diverse revenue base
2. Maintain a stable revenue base
3. Cultivate revenue sources equitable at all economic levels
4. Adequate revenue to maintain service levels
5. Maintain healthy reserves
6. Fees for services are born by those who use those services
3
Options to Diversify Revenue - Alternatives Considered:
1. Tax on Services
2. Differential sales tax rate (similar to a lodging tax)
3. Transportation utility fee
4. Increase property tax
5. Make ¼ cent taxes permanent
6. Occupational privilege tax
7. Park/Trail maintenance fee
8. Xcel Franchise fee
Jeff asked what other of our peer cities tax services. Staff indicated that there are no other cities in Colorado
that tax services; and was not sure about peer cities outside of Colorado.
Further discussion took place on each of the proposed items. It was determined after discussion between the
Committee and Staff, that number 5 should be removed. Council gave direction to continue efforts on Tax on
Services, a Transportation Utility Fee, and an Occupational Privilege Tax. Mike indicated that staff will gather
data from other communities, along with benchmark data, community engagement strategies, and quantifying
the revenue stream. Mike asked to come back to the Committee in a couple of quarters, in an effort to frame
these items with more data and information. Jeff placed an emphasis on community engagement strategies, as
he feels this is critical; also requesting several options for Council to consider.
MICHIGAN DITCH FINANCE REQUIREMENTS
The purpose of this item is to begin discussing financing options for the repair of the Michigan Ditch near
Cameron Pass in eastern Jackson County. The Michigan Ditch experienced an unexpected catastrophic failure in
June, 2015, when the mountainside on which the ditch is constructed slide downhill several feet. This landslide
rendered the ditch unusable until such time that it can be repaired. Engineering assessments have been done
with the recommended mitigation being a tunnel. The estimated cost of the repair and all associated activities
is approximately $7,840,520.
The general direction sought from CFC is support for the project which will be brought to the full City Council
through an appropriation ordinance.
Carol Webb provided a background of the Michigan Ditch water supply system. This supply is very valuable, as it
is reusable water.
Project Timeline:
•
•
•
•
September 2015
o Request/Receive temporary access permit from State Land Board
October 2015
o Geotechnical Analysis
o Confirm selected repair alternative
January 2016
o Tunnel Boring Machine and materials ordered
June 2016
4
Commerce construction of selected alternative (very short construction window – 3 months; can
begin work in June and snow will begin again in September)
Spring 2017
o Resume ditch operations
o
•
Project Costs:
Geotechnical Assessment & Project Design
Tunnel Construction
TOTAL PROJECT COST
$ 790,520
$7,050,000
$7,840,520
Mike indicated that due to the immediacy of the project, ideally financing should be in place by April 1, 2016 so
there is adequate time to get the items staged that are needed for construction to begin in June, 2016. He
would like to start the financing dialog immediately in an effort to have adequate time to do a revenue bond,
while taking advantage of the favorable rates going on in the current market.
Mayor Troxell stated that he fully supportive of moving forward with the project, due to the critical nature of
this water resource.
The Committee and Staff discussed the current Water Fund Reserves, Annual Debt Service Expense and Impact
of Additional Debt. Much discussion took place in regard to the current water fund reserves, specifically in
regard to Halligan, as this money presumably won’t be used for a number of years, vs. acquiring additional debt.
Staff’s logic in reference to a revenue bond was to take advantage of lower interest rates assuming overall
capital requirements in water will require borrowing in the near term future.
Council asked what that the impact on rate payers would be. Staff indicated an update to the water Capital
Improvement Plan was in process, after completion the Long Term Strategic Financial Plan would be updated
and a detailed discussion of future capital needs and rate payer implications will occur. This work will not be
completed until Feb 2016. If a decision on issuing revenue bonds was not made until Feb 2016, funding would
not be available by April 1 2016 to support the project. Kevin stated that he is most concerned about the
timeline.
Council directed staff to use existing available fund balance or reassigned Halligan appropriations as a more
conservative approach to fund the repairs until the CIP and Rate Payer implications can be updated and
discussed.
OTHER BUSINESS
Fund Balance Update
Staff provided the Committee with a General Fund Available Balance Projection Update.
Meeting Adjourned at 3:12 p.m.
5
COUNCIL FINANCE COMMITTEE
AGENDA ITEM SUMMARY
Staff: Andres Gavaldon, Financial Policy & Project Manager
Mike Beckstead, Chief Financial Officer
Noelle Currell, Financial Analyst
Date: December 21, 2015
SUBJECT FOR DISCUSSION Strategic Risk Management
EXECUTIVE SUMMARY
The purpose of this item is to provide an overview of the City’s second iteration of our Strategic
Risk Management (SRM) process (the first SRM was completed in 2013). This process is done
as part of the overall Strategic Plan. This item will summarize what SRM comprises within the
City, the process that is used, discussion of results and next steps.
GENERAL DIRECTION SOUGHT AND SPECIFIC QUESTIONS TO BE ANSWERED
Purpose is to present process, results and input that will become part of the Strategic Plan.
BACKGROUND/DISCUSSION
The Strategic Risk Management (SRM) was first completed in 2013 per Council direction. The
focus is on strategic, long term issues that would prevent the City from completing its overall
objectives; it is not asset or safety risk.
The result of the 2013 SRM was a list of risks compiled by 5 service areas (excluding internal
SAs). Each risk was ranked on probability and magnitude and a resulting list of priority risks
were identified. An overview of the results were presented to ELT after completion, and input
was used in the development of the newly formed Strategic Plan process.
In 2015 SRM was done more in alignment with Strategic Plan. The 5 participating Service
Areas (excluding internal SAs) were complete with their work in October enabling the Strategic
Planning group to utilize the results of the SRM process. 2015 also had efficiency and analysis
improvements over 2013. Some of the highlights include: less time commitment from City staff
(6-8 hours per SA in 2013 v. 3 hours in 2015), linking of strategic risks to the strategic objective
they impact, and analysis of both executive risks and most cited strategic objectives.
The overall process resulted in 194 identified risks, 33 Service Area Priority Risks (and
mitigation plans) and 12 executive level risk themes. The Priority Risks, Executive Level Risk
themes and Strategic Objective impact analysis will be presented to the Strategic Planning group.
Mitigation Plans impacts are expected to manifest themselves as 2017/2018 BFO offers. In
addition, several items have been highlighted for improvements in the 2017 iteration of SRM
including cross referencing community priorities with strategic objective impact.
ATTACHMENTS
1. 2015 Strategic Risk Management Council Finance Presentation (PPT)
2. 2015 Strategic Risk Management Report (PDF)
2015 Strategic Risk Management Program
Noelle Currell & Andres Gavaldon
1
December 2015
Strategic Risk Management Refresher
Strategic Risk
“risk associated with initial strategy selection, execution, or modification
over time that results in a lack of achievement in overall objectives”
Risk Management
“a process put in place…across entire organization guiding its strategies
and designed to identify events that may impact the organization, to
deal with uncertainty…and manage risk…and provide reasonable
assurance that the organization will achieve its objectives”
2
Jan
Feb
Strategic Planning & Budgeting Cycles
Mar
Apr
May
Jun
Odd Years
Council
Elections
Jul
Aug
Sep
Oct
Nov
Dec
Strategic Risk Assessment Refresh
Capital Improvement Plan
LT Financial Plan
Refresh
SP - Dept.
Inputs
SP - CPIO Public Engagement
/ Citizen Survey
Even Years
Strategic
Plan Refresh
– Core Team
Strategic Plan Refresh –
Core Team / ELT & Chairs
X
X
Revenue
Legend:
Inputs for the Strategic Plan
Offer
Creation
Public
Engagement
BFO Teams
Strategic Planning Process
Revised
Revenue
BLT
Budget
Book Prep
Budgeting for Outcomes
X = Council review of Strategic Plan at 2nd Work Session of the month
Council & Public Hearings
Process
5 Service Areas Participated (no internal services); ELT member
and their direct staff
•Strategic Risk
Refresher
•Strategic Objectives
Mapping
•Brainstorming Exercise
•2013 Risk Review
Meeting 1
Homework
Assignment 1
•Rank All Risks
•Risk Map Output
Review
•High Priority Risk
Discussion
Homework
Assignment 2
•Mitigation Plans
Meeting 2
Consolidation and Analysis – Bucketing of risks into Executive
Level Themes, Strategic Objective impact analysis
4
Service Area Results
194 Risks Identified by Participating Service Areas
33 Priority Risks (highest probability/largest impact; requires mitigation plan)
Service Area
Utilities
Sustainability
Community & Ops Services
Police
PDT
Grand Total
Total Risks
52
43
41
30
28
194
Priority Risks
7
7
4
8
7
33
5
33 Service Area Priority Risks
Service Area Priority Risks
Service Area Priority Risks
Sustainability Services
Community Services
o Changes to URA Legislations (i.e. TIF disappears, mandatory 50% shareback)
o Emerald Ash Borer in F.C reduces urban forest
o Housing vacancy rate falls below 5%
o Lack of funding to maintain or replace aging facilities, infrastructure and equipment
o Natural disaster occurs within or adjacent to City (wildfire, water shortage, other event), Food sc
o Changing demographic face of the community creates a paradigm shift in programs desired (abili
o Sustainability department is given unexpected projects that cannot be realistically done well
o Climate change (i.e. water supplies, fire, energy demands, global insecurities)
o Housing costs increase and people have less to spend
Planning, Development and Transportation
o Changes in CSU policies and programs (i.e. Development growth or growing student population,
o Community opposition to density and infill
o fire drills, reactive prioritization; the risk of not accomplishing current priorities due to unexpect
o Economic downturn
o Train impacts on community/quality of life
Utility Services
o Lack of IT Cross training
o Lack of long-term dedicated funding sources and potential loss of KFCG funding impact ongoing o
o Lack of formal asset management
o Risks to certainty of Federal Funding (makes up 30% of funding) (e.g. ADA Compliance and Title V
o Regulatory uncertainty (carbon tax, nutrient removal; physical security)
o Lack of parking infrastructure funding strategy
o Climate change (multi-year drought); a drought or other environmental disaster would affect con
o Construction Cost increase
o PRPA rate changes
Police Services
o Lack of IT resources/support to address issues
o Aging Workforce/Knowledge management
o Competing Organizational Objectives (safety vs environment vs financial)
o Technology Limitations (lack of timliness in data, dispatch updates, IT obsolescence, conforming
o Violations: performance/ethical violation by officers
o Staffing (sworn/civilian) issues due to population growth or otherwise (FTE count and recruieme
o Increasing Impact of Technology
o Population Growth
o Training
o Training Facility
6
Mitigation Plan Need Summary
33 documented mitigation plans, bucketed into 14 themes
Strategic Plan Implications Themes
Capital improvements/investments
Climate Action Plan Impacts
Climate Change preparation
Code/Regulation updates
Decentralization of functions (IT)
Diverse community funding needs
Funding for Training Needs
Funds for staffing redundancy
Growth management
Implications of growing population
Increased Resources (materials and equipment)
Increased Resources (Staff)
Preperation for Potential Decreased Revenue
Rate changes
Utilities
X
X
X
X
Police
X
Comm & Ops
Sustainability
PDT
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
7
Executive Risks
194 Risks
64 Executive Level “Risk Themes”
12 Priority Executive Level Risks
#
1 Staffing issues
ELT Issue
Total
14
2 IT limitations / failure issues
3 Community diversity
4 Regulatory impact
5 Loss of voter approved funding source (i.e. KFCG)
6 Climate Action Plan
7 Adequate funding for infrastructure needs
8 Natural Disaster
9 City Infrastructure
10 Vendor Issue / failure / unavailability
11 Change in City internal funding priorities
12 Competing Organizational Objectives
13
10
9
8
8
8
6
5
5
5
5
8
Strategic Objective Impacts
These represent items that are either priority work, or challenges
# of times SO was cited as
being impacted by risk
ECON 3.6. Maintain utility systems and services; infrastructure integrity; and stable, competitive rates.
18
14
CR 2.1. Improve low and moderate income citizen access to, and participation in, City programs and facilities.
CR 2.2. Develop effective marketing strategies that drive optimal attendance and revenue.
11
SAFE 5.1. Provide facilities and training capabilities to support a high caliber police force.
9
SAFE 5.10. Provide a high-quality, sustainable water supply that meets or exceeds all public health standards and supports a
9
CR 2.3. Develop effective Operation and Maintenance (O&M) funding alternatives for City subsidized facilities and program
9
SAFE 5.5. Develop and implement emergency preparation, response and recovery plans across the organization in collabora
9
HPG 7.1. Improve organizational capability and effectiveness – professional development, leadership, change management
8
HPG 7.6. Enhance the use of performance metrics to assess results.
1
HPG 7.7. Develop and implement enterprise-wide processes in appropriate areas – “Plan, Do, Check, Act” process improvem
1
CNL 1.4. Preserve and provide responsible access to nature.
0
CR 2.6. Develop a clear strategic definition and description of the City’s role in the culture and arts while leveraging partner
0
ECON 3.11. Encourage the development of reliable, ultra high speed internet services throughout the community.
0
ECON 3.9. Provide transparent, predictable and efficient processes for citizens and businesses interacting with the City.
0
ENV 4.11. Demonstrate progress toward achieving zero waste within the community and the City organization.
0
HPG 7.11. Proactively influence policy at other levels of government regulation.
0
HPG 7.13. Continuously improve the City’s governance process.
0
HPG 7.8. Assess effectiveness of safety initiatives, develop and implement safety initiatives to achieve safety goals, and co
0
Strategic Objective
9
Next Steps
2016 Strategic Plan
• Strategic Objective Updates for Priority Risks (both SA & Executive)
• Strategic Objective Impact Discussion
• Mitigation plans will link into 2016/2017 BFO offers
2017 SRM Program Improvements
• Mapping all risks to strategic objectives
• Incorporate participant survey feedback
• Cross reference community priorities with Strategic Objectives that
have the highest risks
10
Questions
11
Strategic Risk
Management
City of Fort Collins
Financial Services
FY 2015-2016
1
Strategic Risk Management
TABLE OF CONTENTS
REPORT
INTRODUCTION
RESULTS
EXECUTIVE LEVEL RISKS
SERVICE AREA RISKS
STRATEGIC OBJECTIVES AT RISK
STRATEGIC PLAN IMPLICATIONS
LESSONS LEARNED & IMPROVEMENT AREAS
1
1
2
4
6
8
8
APPENDIX
DATA ANALYTICS & STATISTICS
SURVEY RESPONSES
DEFINITION DETAIL
METHODOLOGY DETAIL
CITYWIDE RISK REGISTER
11
11
14
15
16
SERVICE AREA ASSESSMENTS
UTILITY SERVICES
POLICE
COMMUNITY & OPERATIONS SERVICES
SUSTAINABILITY SERVICES
PLANNING, DEVELOPMENT & TRANSPORTATION SERVICES
24
25
37
46
52
61
Introduction
The concept of managing uncertainty has become increasingly important across the modern world
economy. In the fall of 2013, the City of Fort Collins developed the Strategic Risk Management (SRM)
program. The program was designed to implement a global best practice, increase operational
effectiveness, wisely allocate limited resources, and grow stakeholder and council confidence.
Capitalizing on its Culture of Innovation competency, the City of Fort Collins is one of the front runners
of the municipal world in instituting a risk management program of this kind. Strategic Risk
Management (SRM) can be defined as:
“a process put in place to provide reasonable assurance that the organization will achieve its
objectives”
Improving upon the 2013 iteration of SRM, the 2015 program was timed to precede the City’s bi-annual
Strategic Plan. Each of the City’s major service areas—Police, Planning Development and
Transportation, Community Services, Sustainability and Utilities—participated in the SRM program.
Service Area directors and their respective management teams collaborated in a series of two 1 hour
meetings and contributed with homework assignments following each meeting. The basic program
covered the following:
1. Refresher / Introduction to the strategic risk concept and service area strategy
alignment with City strategic objectives
2. Risk brainstorming exercise to identify risks and populate the Service Area Risk Register
3. Review of risks from the 2013 SRM program
4. Ranking of risks based on magnitude of impact and probability of occurrence
5. Discussion of risks and ranks due to dispersion (conflicting ranking scores) or
discrepancy (differences between management and staff scores) to facilitate consensus
6. Evaluation of resulting Risk Map and setting of Risk Appetite (threshold of acceptable
risk without the need for mitigation plans) to determine priority risks
7. Mitigation plans created for priority risks
Results
194 Risks were identified across the 5 Service Areas that participated in the 2015 SRM program. The
risks were analyzed and grouped into like themes to create executive level risks.
64 executive-level risk themes were derived and 12 of those were considered executive priority risk
items due to number of times the issue was cited. These priority risk themes will be integrated into the
2016 Strategic Planning cycle.
1
#
1 Staffing issues
ELT Issue
2 IT limitations / failure issues
3 Community diversity
4 Regulatory impact
5 Loss of voter approved funding source (i.e. KFCG)
6 Climate Action Plan
7 Adequate funding for infrastructure needs
8 Natural Disaster
9 City Infrastructure
10 Vendor Issue / failure / unavailability
11 Change in City internal funding priorities
12 Competing Organizational Objectives
13 Climate Change
14 Loss of State/Federal Funding
15 Major economic event
16 Modernization
17 Electric System Risk
18 Lack of Inter-agency Cooperation
19 Materials Cost
20 Privitization
21 Demand increase stretches City resources
22 City Growth Plan
23 Rate change impacts
24 Community health
25 Traffic
26 Strategic plans misalignment
27 Safety issues
28 "Fire Drills"
29 Terrorism
30 Funding for training
31 Lack of adequate training, documentation
32 Council (Boards) decisions/change strategy
33 Parking Infrastructure
34 City Golf Sustainability
35 Population Growth
36 Water Supply Risk
37 Division of City Duties
38 Community Safety
Total
14
13
10
9
8
8
8
6
5
5
5
5
4
4
4
4
4
4
3
3
3
3
3
3
3
3
2
2
2
2
2
2
2
2
2
2
2
2
#
ELT Issue
39 Loss of Community Trust/Support
40 Federal Shutdowns - delays in permitting
41 Sudden population change
42 Emergency management
43 Reputation Management, negative media
44 Historical preservation
45 Loss of large primary employer
46 Innacurate forecasts
47 Loss of sustainability partners
48 Employee Safety
49 Water Storage
50 Performance metric misalignment
51 14 day pandemic
52 Labor Contract Impacts
53 Strategic objective expectation miscommunication
54 Environmental impacts
55 Lack of formal asset management
56 Climate Misinformation
57 Recreation Program Sustainability
58 Train dereailment
59 Reduction in CSU funding
60 Wastewater risk
61 Conservation impact
62 Changes in CSU policies and programs
63 Renewable Energy
64 Change in City Manager
Grand Total
Total
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
194
Executive Level Risks
The 12 priority risk themes cover 49% of all risks. These priority risk themes will be discussed with
Council Finance, and integrated into the 2015-2016 strategic planning process resulting in strategic
objectives for the next Budgeting for Outcomes (BFO) cycle. Each service area mitigation plan will have
the opportunity for securing resources for execution within the BFO process. The 12 priority risk themes
(with examples), follow in order of frequency:
1. Staffing issues (total of 14 risks)
 Aging Workforce/Knowledge Management (Police & Utilities*), Availability/Competition
for contractual labor (Utilities), Skilled Operators (PDT)
2. IT limitations / failure issues (total of 13 risks)
2

3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
Communication Systems Failure (Utilities), Lack of IT resources/support to address
issues (Police*), Business Continuity Failure Event (Information & Employee Services)
Community diversity (total of 10 risks)
 Housing vacancy rate falls below 5% (Sustainability), Building codes and fees increase
and make affordable housing difficult (Sustainability), Changing demographic face of the
community creates a paradigm shift in programs desired, ability to provide a product
that continues to appeal to your donor base while capturing new donors (Community &
Ops Services*)
Regulatory impact (total of 9 risks)
 Regulatory uncertainty; e.g. carbon tax, nutrient removal; physical security (Utilities*),
Changes to URA Legislations; i.e. TIF disappears, mandatory 50% shareback
(Sustainability), Federal regulation changes EPA Internal climate negotiation
(Sustainability)
Climate Action Plan (total of 8 risks)
 Lack of political will on financial commitment to achieve CAP goals and milestones
(PDT), Not meet 2020 GHG Goal (Sustainability), Lack of funding for carbon reduction
plan (Community & Ops Services)
Loss of voter approved funding source i.e. KFCG (total of 8 risks)
 Lack of Community Trust and/or Support resulting in funding issues (Police), Lack of
long-term dedicated funding sources and potential loss of KFCG funding impact ongoing
operations and capital projects (PDT*), KFCG not extended (Sustainability)
Adequate funding for infrastructure needs (total of 8 risks)
 Capacity - resource limitations i.e. time, infrastructure, etc. excluding staffing (Police),
Adequate funds to address infrastructure needs (Utilities), Lack of funding to maintain
or replace aging facilities, infrastructure and equipment (Comm & Ops*)
Natural Disaster (total of 6 risks)
 Natural disasters that damage delivery of utilities (Utilities), Natural disaster occurs
within or adjacent to City (wildfire, water shortage, other event), Food scarcity or major
disease (Sustainability*)
Competing Organizational Objectives (total of 5 risks)
 Conflicting External Priorities - various input from citizens forcing misalignment of
efforts (Police), Competing Organizational Objectives: safety vs environment vs financial
(Utilities*)
Change in City internal funding priorities (total of 5 risks)
 Defunding of SSA/EHO/etc.; Significant reduction of budget (Sustainability), Lack of
funding for expanded transit services (PDT), Snow Budget (PDT)
Vendor Issue / failure / unavailability (total of 5 risks)
 3rd Party Vendors failing to meet expectation (Police), Availability of Rental Equipment,
especially in emergencies (Utilities)
City Infrastructure (total of 5 risks)
 PDT main building is sold and must relocate multiple times (PDT), Training Facility
(Police*)
*Service Area level mitigation strategies in place
3
Service Area Risks
The participating service areas each generated a list of risks unique to their respective domains of
responsibility. As participants documented risks, they were asked to identify which of the city’s strategic
objectives would be impacted. Those risks were then ranked on the probability of occurrence and
magnitude. The risks that were ranked with the highest combination of probability and magnitude were
marked as Priority Risks within the Service Area and warranted a corresponding mitigation strategy.
Following is the list of the Priority Risks and their rankings by Service Area. A full list of Service Area risks,
associated Risk Appetites, and all Priority Risk mitigation plans are included in the appendix.
Service Area / Priority Risks (mitigation plan page)
Probability
Magnitude
Likely (50%-75%)
Likely (50%-75%)
4 - High
4 - High
o Changing demographic face of the community creates a paradigm shift in programs desired (ability to
provide a product that continues to appeal to your donor base while capturing new donors) (p. 53)
Likely (50%-75%)
3 - Medium
o Climate change (i.e. water supplies, fire, energy demands, global insecurities) (p. 54)
Likely (50%-75%)
3 - Medium
o Changes in CSU policies and programs (i.e. Development growth or growing student population, pricing of
student housing etc, management practices, anything that affects parking, transportation, etc.) (p. 68)
Almost certain (>75%)
3 - Medium
o fire drills, reactive prioritization; the risk of not accomplishing current priorities due to unexpected, lowpriority tasks or short-term, unaligned new priorities sent down from higher management (not work plans,
but the ones that come on a day to day basis); 1) new things that interfer with current strategy 2) work load
volume that cannot be taken care of by current work force; lack of flexibility in staffing. (p. 69)
Almost certain (>75%)
4 - High
Almost certain (>75%)
4 - High
Likely (50%-75%)
4 - High
Community Services
o Emerald Ash Borer in F.C reduces urban forest (p. 51)
o Lack of funding to maintain or replace aging facilities, infrastructure and equipment (p. 53)
Planning, Development and Transportation
o Train impacts on community/quality of life (p. 68)
o Lack of long-term dedicated funding sources and potential loss of KFCG funding impact ongoing operations
and capital projects (p. 71)
o Risks to certainty of Federal Funding (makes up 30% of funding) (e.g. ADA Compliance and Title VI) (p. 71)
Likely (50%-75%)
4 - High
o Lack of parking infrastructure funding strategy (p. 70)
o Construction Cost increase (p. 72)
Police Services
o Lack of IT resources/support to address issues (p. 44)
o Technology Limitations (lack of timliness in data, dispatch updates, IT obsolescence, conforming to interagency standards) (p.43)
o Violations: performance/ethical violation by officers (p. 47)
o Staffing (sworn/civilian) issues due to population growth or otherwise (FTE count and
recruiement/replacement) (p. 42)
o Increasing Impact of Technology (p. 48)
o Population Growth (p. 45)
o Training (p. 45)
o Training Facility (p. 46)
Sustainability Services
o Changes to URA Legislations (i.e. TIF disappears, mandatory 50% shareback) (p. 59)
o Housing vacancy rate falls below 5% (p. 59)
o Natural disaster occurs within or adjacent to City (wildfire, water shortage, other event), Food scarcity or
major disease (p. 62)
Almost certain (>75%)
Likely (50%-75%)
3 - Medium
4 - High
Almost certain (>75%)
4 - High
Almost certain (>75%)
3 - Medium
Almost certain (>75%)
3 - Medium
Almost certain (>75%)
4 - High
Almost certain (>75%)
Almost certain (>75%)
Almost certain (>75%)
Almost certain (>75%)
3 - Medium
4 - High
4 - High
4 - High
Almost certain (>75%)
Almost certain (>75%)
3 - Medium
3 - Medium
Likely (50%-75%)
4 - High
o Sustainability department is given unexpected projects that cannot be realistically done well (p. 60)
Almost certain (>75%)
3 - Medium
o Housing costs increase and people have less to spend (p. 61)
o Community opposition to density and infill (p. 61)
o Economic downturn (p. 62)
Utility Services
o Lack of IT Cross training (p. 31)
o Lack of formal asset management (p. 33)
o Regulatory uncertainty (carbon tax, nutrient removal; physical security) (p. 34)
o Climate change (multi-year drought); a drought or other environmental disaster would affect consumer
use, industrial use (high tech brew etc.) esp hence impact the local economy (p. 35)
o PRPA rate changes (p. 36)
o Aging Workforce/Knowledge management (p. 37)
o Competing Organizational Objectives (safety vs environment vs financial) (p. 39)
Almost certain (>75%)
Likely (50%-75%)
Likely (50%-75%)
3 - Medium
4 - High
4 - High
Likely (50%-75%)
Likely (50%-75%)
Likely (50%-75%)
3 - Medium
3 - Medium
3 - Medium
Likely (50%-75%)
4 - High
Likely (50%-75%)
Almost certain (>75%)
Almost certain (>75%)
3 - Medium
3 - Medium
3 - Medium
4
Of the 33 total priority risks identified by the Service Areas, 18 of them fall within the executive level
risks.
ELT Issue
IT limitations / failure issues
Staffing issues
Community diversity
Natural Disasaster
Regulatory impact
Competing Organizational Objectives
Loss of voter approved funding source (i.e. KFCG)
City Infrastructure
Adequate funding for infrastructure needs
Climate Change
Fire Drills
Major economic event
Loss of State/Federal Funding
Parking Infrastructure
Population Growth
Materials Cost
City Growth Plan
Rate change impacts
Funding for training
Traffic
Changes in CSU policies and programs
Lack of formal asset management
Grand Total
Service Area
Priority Risk for Service Area
3
Utilities
Police
Utilities
Community & Ops Services
Sustainability
Community & Ops Services
Sustainability
Sustainability
Utilities
Utilities
PDT
Police
Community & Ops Services
Community & Ops Services
Utilities
PDT
Sustainability
Sustainability
PDT
PDT
Police
PDT
Sustainability
Utilities
Police
PDT
PDT
Utilities
1
2
1
1
2
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
33
Police
The 3 Executive Level Risks that were not independently identified as a Priority Risk by any of the
services areas were:
 Climate Action Plan
 Change in City Internal Funding Priorities
 Vendor Issues / failure / unavailability
5
Strategic Objective Risks
Due to the format of the 2015 Strategic Risk Management Process, it was possible to create an analysis
of the risks as they pertain to the City of Fort Collins Strategic Plan and its associated strategic
objectives. It was requested in the 2015 process that all new risks have the impacted strategic
objectives identified. Therefore, the number of times a strategic objective was listed could be calculated.
Note that only 62% of the 194 risks have strategic objectives listed as the 2013 list of risks did not have
the strategic objective impacted identified.
# of times SO was cited as
being impacted by risk
ECON 3.6. Maintain utility systems and services; infrastructure integrity; and stable, competitive rates.
18
CR 2.1. Improve low and moderate income citizen access to, and participation in, City programs and facilities.
14
CR 2.2. Develop effective marketing strategies that drive optimal attendance and revenue.
11
SAFE 5.1. Provide facilities and training capabilities to support a high caliber police force.
9
SAFE 5.10. Provide a high-quality, sustainable water supply that meets or exceeds all public health standards and supports a healthy and safe
9 community.
CR 2.3. Develop effective Operation and Maintenance (O&M) funding alternatives for City subsidized facilities and programs.
9
SAFE 5.5. Develop and implement emergency preparation, response and recovery plans across the organization in collaboration with other
9 community efforts.
HPG 7.1. Improve organizational capability and effectiveness – professional development, leadership, change management, strategic thinking,
8
fiscal literacy and staff engagem
CR 2.4. Maintain and enhance the current culture, recreation and parks systems.
8
CR 2.5. Plan, design and implement citywide park, recreation and trail improvements.
8
ECON 3.8. Preserve the City’s sense of place.
8
ENV 4.4. Reduce Greenhouse Gas (GHG) emissions by creating a built environment focused on green building and mobile emission reductions.
8
SAFE 5.3. Align staffing levels to deliver services that meet community expectations and needs, and increase public safety operational efficiency.
8
SAFE 5.6. Improve safety for all modes of travel including vehicular, pedestrian and bicycles.
8
CNL 1.5. Preserve and enhance the City’s sense of place.
7
ECON 3.7. Support sustainable infill and redevelopment to meet climate action strategies.
7
ENV 4.7. Increase the community’s resiliency and preparedness for changes in climate, weather and resource availability.
7
SAFE 5.8. Improve community involvement, education and regional partnerships to make our community safer and stronger.
7
TRAN 6.3. Fill the gaps for all modes of travel and improve the current transportation infrastructure while enhancing the aesthetic environment.
7
TRAN 6.4. Improve traffic flow for all modes of transporting people, goods and information to benefit both individuals and the business community.
7
CNL 1.2. Preserve the significant historical character of the community.
6
ENV 4.5. Demonstrate progress toward achieving net zero energy within the community and the City organization using a systems approach.
6
ENV 4.9. Meet or exceed all environmental regulations.
6
SAFE 5.7. Use data to focus police efforts on reducing crime and disorder within the community.
6
ECON 3.5. Sustain high water quality to support the community and water-dependent businesses.
5
TRAN 6.2. Improve transit availability and grow ridership through extended hours, improved headways, and Sunday service in appropriate5 activity centers.
TRAN 6.6. Support efforts to achieve climate action goals by reducing mobile emissions and supporting multiple modes of transportation.5
HPG 7.5. Optimize the use of technology to drive efficiency and productivity, and to improve services.
5
HPG 7.10. Implement leading-edge and innovative practices that drive performance excellence and quality improvements across all Service
4 Areas.
ENV 4.1. Improve and protect wildlife habitat and the ecosystems of the Poudre River and other urban streams.
4
CNL 1.12. Foster positive and respectful neighbor relationships and open communication, as well as provide and support conflict resolution.
4
ECON 3.2. Improve policies and programs to retain, expand, incubate and attract primary employers where consistent with City goals. 4
ENV 4.6. Engage citizens in ways to educate and change behavior toward more sustainable living practices.
4
HPG 7.3. Align similar jobs and skill sets across the organization to address succession planning and career progression.
4
HPG 7.9. Improve productivity, efficiency, effectiveness, customer service and citizen satisfaction in all areas of the municipal organization.
4
ENV 4.10. Conserve and restore biodiversity and habitat.
3
CNL 1.1. Improve access to a broad range of quality housing that is safe, accessible and affordable.
3
CNL 1.3. Direct and guide growth in the community through appropriate planning, annexation, land use and development review processes.
3
CNL 1.7. Leverage and improve collaboration with other service agencies to address the prevention of homelessness, poverty issues and other
3
high priority human service need
ENV 4.8. Protect and monitor water quality, and implement appropriate conservation efforts and long-term water storage capability.
3
SAFE 5.2. Optimize the use of technology to drive efficiency, productivity and customer service.
3
SAFE 5.4. Protect life and property with natural, aesthetically pleasing flood mitigation facilities through building codes and development3regulations.
SAFE 5.9. Partner with Poudre Fire Authority to provide fire and emergency services.
3
TRAN 6.7. Create and implement planning, engineering and financial strategies to address adequate infrastructure within the northeast area
3 of Fort Collins.
HPG 7.12. Promote a values-driven organizational culture that reinforces ethical behavior, exercises transparency and maintains the public
3 trust.
Strategic Objective
6
# of times SO was cited as
being impacted by risk
ECON 3.1. Align economic health goals and strategy across all levels of the organization and refine and agree upon the economic tools the2City uses.
ECON 3.10. Address Downtown parking issues identified in the adopted Parking Plan, including funding, convenient access, and integrated
2 transit and alternate mode solutions
CNL 1.11. Maintain and enhance attractive neighborhoods through City services, innovative enforcement techniques, and voluntary compliance
2
with City codes and regulations
CNL 1.6. Promote health and wellness within the community.
2
CNL 1.8. Expand organizational and community knowledge about diversity, and embrace cultural differences.
2
CNL 1.9. Develop clear goals, strategic definition and description of the City’s social sustainability role within the community.
2
ENV 4.3. Implement indoor and outdoor air quality improvement initiatives.
2
TRAN 6.1. Improve safety of all modes of travel.
2
TRAN 6.5. Create and implement long-term transportation planning and help local and regional transportation networks operate at a high2level of efficiency, including the airpo
CNL 1.10. Address neighborhood parking issues.
1
CR 2.7. Promote a healthy community and responsible access to nature.
1
ECON 3.3. Support workforce development and community amenities initiatives that meet the needs of employers within the City.
1
ECON 3.4. Improve effectiveness through collaboration with economic-health oriented regional partners.
1
ENV 4.2. Achieve environmental goals using the Sustainability Assessment framework.
1
HPG 7.2. Improve core Human Resources systems and develop a total reward system.
1
HPG 7.4. Strengthen methods of public engagement and reach all segments of the community.
1
HPG 7.6. Enhance the use of performance metrics to assess results.
1
HPG 7.7. Develop and implement enterprise-wide processes in appropriate areas – “Plan, Do, Check, Act” process improvement tool, safety,
1 strategic planning, council and stra
CNL 1.4. Preserve and provide responsible access to nature.
0
CR 2.6. Develop a clear strategic definition and description of the City’s role in the culture and arts while leveraging partnerships with other
0 community organizations.
ECON 3.11. Encourage the development of reliable, ultra high speed internet services throughout the community.
0
ECON 3.9. Provide transparent, predictable and efficient processes for citizens and businesses interacting with the City.
0
ENV 4.11. Demonstrate progress toward achieving zero waste within the community and the City organization.
0
HPG 7.11. Proactively influence policy at other levels of government regulation.
0
HPG 7.13. Continuously improve the City’s governance process.
0
HPG 7.8. Assess effectiveness of safety initiatives, develop and implement safety initiatives to achieve safety goals, and continue to focus
0 on employee health and wellness.
Strategic Objective
There were 2 Strategic Objectives that all 5 Service Areas noted as having risk:
 ECON 3.8. Preserve the City’s sense of place.
 HPG 7.1. Improve organizational capability and effectiveness – professional development,
leadership, change management, strategic thinking, fiscal literacy and staff engagement.
Strategic objectives that had no risks associated with them were:
 CNL 1.4. Preserve and provide responsible access to nature.
 CR 2.6. Develop a clear strategic definition and description of the City’s role in the culture and
arts while leveraging partnerships with other community organizations.
 ECON 3.11. Encourage the development of reliable, ultra-high speed internet services
throughout the community.
 ECON 3.9. Provide transparent, predictable and efficient processes for citizens and businesses
interacting with the City.
 ENV 4.11. Demonstrate progress toward achieving zero waste within the community and the
City organization.
 HPG 7.11. Proactively influence policy at other levels of government regulation.
 HPG 7.13. Continuously improve the City’s governance process.
 HPG 7.8. Assess effectiveness of safety initiatives, develop and implement safety initiatives to
achieve safety goals, and continue to focus on employee health and wellness.
7
Strategic Plan Implications
All Priority Risks were required to document Existing Actions, Mitigation Plans and Strategic Plan
Implications. Based on the consolidated results these needs were bucketed into 14 themes that will
need to be addressed during the Strategic Plan/BFO process.
Strategic Plan Implications Themes
Count
US
PS
Increased FTE
6
X
X
Capital improvements/investments
5
X
X
Rate changes
4
X
Decentralization of functions (IT)
3
X
Increased materials and equipment
3
Preperation for Potential Decreased Revenue
3
Climate Change preparation
2
X
Growth management
2
Diverse community funding needs
2
Climate Action Plan impacts
1
X
FTE overlap funds
1
X
Code/Regulation updates
1
X
Implications of growing population
1
X
Funding for Training Needs
1
X
*US = Utilities, PS = Police, CS = Comm & Ops, SS = Sustainability
CS
X
SS
X
X
PDT
X
X
X
X
X
X
X
X
X
X
Major Areas that will need to be addressed include:
 FTEs will be needed in almost all service areas to maintain current service level standards
 Capital Investments range from new Police Training Facility to new parking garages and Utilities
support
 Rate Changes are mostly Utilities, but discussions are ongoing about Parking support needs
within the City
 Centralization of certain functions is a concern due to specificity of needs within Police Services
 Materials and equipment costs continue to rise and will impact funding needs to both maintain
streets and combat anticipated Emerald Ash Borer invasion
 Funding priorities will need to be discussed as revenue may decrease due to loss of grants from
federal/state government
 Growth Management will need to be monitored to ensure Fort Collins grows as planned
 Housing needs could drive increased funds allocation for affordable housing
Lessons Learned & Improvement Areas
The 2015 Strategic Risk Management Process had definitive improvements over the first time the
exercise was completed. Highlights include:

Sequence of events in overall Strategic Planning Process
o The 2015 SRM was completed before the Strategic Plan kicked off. Service Areas will be
able to leverage the SRM work to aide in their Strategic Plan.
8



Consolidated Process and Shorter time
o Reduced from 6 hours of meetings to 2 hours of meetings per Service Area
o Certain aspects of work were completed up front or offline to streamline
flow/discussion
Greater Understanding/Familiarity with SRM
Better Service Area strategy understanding due to metrics improvements in last BFO cycle
That said…we can still improve the process. Based on Survey Feedback (full survey results included in
Appendix) more work should be done up front on expected results from the process and overall goals.
This initial alignment could help drive more value for the staff participants in addition to the executive
level team.
To improve upon the process, the next iteration will begin with the final results from 2015 and
specifically how they linked into the Strategic Plan. Groups will also be asked to ensure all risks have
strategic objectives impacted documented. By beginning with results and showing all impacts,
participants should gain a greater understanding of how their input is used and should render even
more actionable results.
9
Appendix
DATA ANALYTICS & STATISTICS
FULL SURVEY RESPONSES
DEFINITION DETAIL
METHODOLOGY DETAIL
FULL RISK LIST
SERVICE AREA ASSESSMENTS
11
11
14
15
16
24
10
Strategic Risk Management Process Data Analytics & Statistics

Risk Count
Service Area
Utilities
Sustainability
Community & Ops Services
Police
PDT
Grand Total
Total Risks
52
43
41
30
28
194
Priority Risks
7
7
4
8
7
33

117 (60% ) of 194 risks have Strategic Objectives Listed

118 of the risks were carried forward from the 2013 exercise (total 2015 risks = 194). In 2013
there were 135 total risks listed.

Estimated man hours on process execution = 125
o 35 participants x 2 hours of meetings = 70 hours
o 35 participants x 30 minutes of “homework” = 17.5 hours
o Process coordinator work (prep, consolidation, report writing, etc) ~ 40 hours
Survey Responses
A google form was used to conduct the process survey. Note that the survey was completed before
results were reported as the information collected from the survey was used to create the lessons
learned/areas for improvement section. Responses were anonymous.
The survey was sent to a total of 35 participants and 22 responded (63%).
1a. Comments:
 this exercise seems redundant to what work is done for strategic planning in our service areas
already
 The exercise felt stilted and without proper context or direction. People want to do a good job
and provide the information sought, but it feels rushed and without a clear purpose or end use.
11

Not sure if all risks that were selected really are important to our strategic planning...process is
definitely better this year than in the past. Keeps getting more useful...
2a. Comments
 See above. I'm not certain it was clear to people what the ultimate purpose and use of the
exercise was. In many ways it felt manufactured and I'm not sure Finance was able to clearly
explain its importance.
 These risks are known and understood. The tool provides a means to document and
communicate that we are working to address them.
3a. Comments
 Perhaps a one hour grounding meeting, then allow the service area to digest and talk about it,
then go into a single meeting where the information is input.
 A little more work up-front regarding the intended outcome of the process.
 Maybe too short - not enough time to discuss the issues.
 At this point I have no suggested changes.
12
4a. Comments
 Too vague and too high level. Might not be as useful to our department as it might be to
others....but from my perspective the assessment is at such a high level it doesn't really drive
much in the way of action. And, staff generally is pretty aware of whatever stresses are coming
and dealing with those either at the tactical level or by building budget offers to deal with what
is coming.....Perhaps there's some usefulness for executives or Council...more so than for staff.
 To perform the analysis correctly, we have a number of masterplans and VA plans that need to
be crossed checked. So, we will do that post, then need to revise the process next time around.
 Provided assurance that other areas of the city see and understand our perspective on what is
critical to address.
 I have a good understanding of the risks that exist in my area. This process didn't help me in
refining those risks or mitigating them.
 Most of the risks we actually planned for were already well know risks and items we have
already been working to handle
5a. Comments
 I even include in my management plan!
13
6a. Comments
 Noelle was very focused and helped the team go thru the questions. Nice work!
 This kind of work is always hard to work into schedules given competing priorities
 Maybe I'm not well grounded in this process but I couldn't connect the dots with this process.
7. Do you have any ideas for improvements?
 What is the ongoing tracking of risks in the industry landscape. Organizationally are we going to
prioritize risks.
 As mentioned before, I think it might be helpful to give a little overview on the intended
outcomes from doing this, how it will help in the BFO and Strategic Planning process, and
opportunity to involve others from our staff if appropriate.
 Maybe spend more individual time with the department managers to dig into the risks they see
coming.
 Schedule the activity w/ more time for linking to VAs and plans.
 It may actually be useful to include a 6-month review of the risks to allow for adjustment of
mitigation strategies if external conditions affecting the risk change.
8. Any other comments?
 Present findings each year to groups with a PDCA component for updates.
Definition Detail
The City of Fort Collins (City) Strategic Risk Management program is a subset of the broader concept of
Enterprise Risk Management (ERM). ERM programs generally follow one of two major standards:
Committee of Sponsoring Organizations of the Treadwell Committee (COSO) or International
Organization on Standardization (ISO). Both standards have comprehensive implementation practices
that can take 2-5 years to fully integrate with an existing organization’s processes.
In an attempt to successfully reap the majority of benefits of risk management, yet implement within a
timeframe outlined in months (not years), the City chose to focus on successful execution of its strategy
in creating the Strategic Risk Management (SRM) program. The SRM program utilizes the risk
management process approach to ensure accomplishment of its deliverables.
Strategic Risk Management (SRM) can be defined as:
14
“a process put in place to provide reasonable assurance that the organization will achieve its
objectives”
SRM is therefore a subset of ERM which focuses on strategy and all barriers to its successful execution.
Methodology Detail
1) Refresher on strategic risk concept and service area strategy alignment with City strategic
objectives
Each service area was given a 5 slide “refresher” on SRM. A map of Service Area alignment to overall
City Strategic Objectives was created using the BFO offers. During the BFO process Service Areas submit
offers for funding. Every offer is required to have at least one (but allowed to have more) strategic
objectives linked to the offer. By mapping service areas and offers a matrix of strategic objective
alignment by service area resulted. Participants were then asked to review their respective SA map and
note the strategic objectives that were most relevant to their work. The resulting Service Area Matrix is
shown below:
Strategic Objective
1) Community
and
Neighborhood
Livability
2) Culture and
Recreation
3) Economic
Health
4)
Environmental
Health
5) Safe
Community
6)
Transportation
7) High
Performing
Government
1.1. Improve access to a broad range of quality housing that is safe,
1.2. Preserve the significant historical character of the community.
1.3. Direct and guide growth in the community through appropriate planning,
1.4. Preserve and provide responsible access to nature.
1.5. Preserve and enhance the City’s sense of place.
1.6. Promote health and wellness within the community.
1.7. Leverage and improve collaboration with other service agencies to
1.8. Expand organizational and community knowledge about diversity, and
1.9. Develop clear goals, strategic definition and description of the City’s
1.10. Address neighborhood parking issues.
1.11. Maintain and enhance attractive neighborhoods through City services,
1.12. Foster positive and respectful neighbor relationships and open
2.1. Improve low and moderate income citizen access to, and participation
2.2. Develop effective marketing strategies that drive optimal attendance and
2.3. Develop effective Operation and Maintenance (O&M) funding alternatives
2.4. Maintain and enhance the current culture, recreation and parks
2.5. Plan, design and implement citywide park, recreation and trail
2.6. Develop a clear strategic definition and description of the City’s role in
2.7. Promote a healthy community and responsible access to nature.
3.1. Align economic health goals and strategy across all levels of the
3.2. Improve policies and programs to retain, expand, incubate and attract
3.3. Support workforce development and community amenities initiatives that
3.4. Improve effectiveness through collaboration with economic-health
3.5. Sustain high water quality to support the community and water3.6. Maintain utility systems and services; infrastructure integrity; and
3.7. Support sustainable infill and redevelopment to meet climate action
3.8. Preserve the City’s sense of place.
3.9. Provide transparent, predictable and efficient processes for citizens and
3.10. Address Downtown parking issues identified in the adopted Parking
3.11. Encourage the development of reliable, ultra high speed internet
4.1. Improve and protect wildlife habitat and the ecosystems of the Poudre
4.2. Achieve environmental goals using the Sustainability Assessment
4.3. Implement indoor and outdoor air quality improvement initiatives.
4.4. Reduce Greenhouse Gas (GHG) emissions by creating a built
4.5. Demonstrate progress toward achieving net zero energy within the
4.6. Engage citizens in ways to educate and change behavior toward more
4.7. Increase the community’s resiliency and preparedness for changes in
4.8. Protect and monitor water quality, and implement appropriate
4.9. Meet or exceed all environmental regulations.
4.10. Conserve and restore biodiversity and habitat.
4.11. Demonstrate progress toward achieving zero waste within the
5.1. Provide facilities and training capabilities to support a high caliber police
5.2. Optimize the use of technology to drive efficiency, productivity and
5.3. Align staffing levels to deliver services that meet community
5.4. Protect life and property with natural, aesthetically pleasing flood
5.5. Develop and implement emergency preparation, response and recovery
5.6. Improve safety for all modes of travel including vehicular, pedestrian and
5.7. Use data to focus police efforts on reducing crime and disorder within
5.8. Improve community involvement, education and regional partnerships to
5.9. Partner with Poudre Fire Authority to provide fire and emergency
5.10. Provide a high-quality, sustainable water supply that meets or exceeds
6.1. Improve safety of all modes of travel.
6.2. Improve transit availability and grow ridership through extended hours,
6.3. Fill the gaps for all modes of travel and improve the current
6.4. Improve traffic flow for all modes of transporting people, goods and
6.5. Create and implement long-term transportation planning and help local
6.6. Support efforts to achieve climate action goals by reducing mobile
6.7. Create and implement planning, engineering and financial strategies to
7.1. Improve organizational capability and effectiveness – professional
7.2. Improve core Human Resources systems and develop a total reward
7.3. Align similar jobs and skill sets across the organization to address
7.4. Strengthen methods of public engagement and reach all segments of
7.5. Optimize the use of technology to drive efficiency and productivity, and
7.6. Enhance the use of performance metrics to assess results.
7.7. Develop and implement enterprise-wide processes in appropriate areas –
7.8. Assess effectiveness of safety initiatives, develop and implement safety
7.9. Improve productivity, efficiency, effectiveness, customer service and
7.10. Implement leading-edge and innovative practices that drive performance
7.11. Proactively influence policy at other levels of government regulation.
7.12. Promote a values-driven organizational culture that reinforces ethical
7.13. Continuously improve the City’s governance process.
Community &
Employee & Financial Planning, Dev & Police Poudre Fire Sustainability Utility
Ops Services ELJS Comm Services Services Transportation Services Authority
Services
Services
X
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15
2) Risk brainstorming exercise to populate the Service Area Risk Register
Each group participated in a brainstorming exercise designed to elicit the greatest challenges facing
implementation of their respective initiatives. The exercise was based on “greenfield,” top-of-mind
input. Each individual was given a stack of post it notes and asked to write down the biggest risks they
were aware of within their organization. They were prompted to think of the highest level risks with
cues such as: “what keeps you up at night?” and “would the Executive Leadership team or City Manager
care if this occurred?” On each sheet a single risk and the impacted strategic objectives were listed.
The risks were consolidated after the meeting in a Risk Register, and discretion was used to
eliminate/augment duplicates as well as clarify ambiguous language. The resulting consolidated Risk
Register of all the service areas identified 194 risks.
(Service Area Key: CS = Community & Ops Services, US = Utility Services, PDT = Planning, Development &
Transportation, SS = Sustainability Services, PS = Police Services. Priority = risks that were considered
the most significant based on ranking and rating and received written mitigation plans)
ID
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
Risk
Lack of IT Cross training (5.4)
Lack of formal asset management (6.3, 3.6. 3.5, 4.9, 4.7, 4.5, 5.10)
Inconsistent safety culture (5.5)
Regulatory uncertainty (carbon tax, nutrient removal; physical security) (4.6, 5.6, 6.3)
No alignment/misalignment between master plans, strategic financial plan, city plan, city strategic plan; timing of
Major PRPA outage due to transmission line failure (4.1, 6.4)
Enforcement of fines from regulatory agencies (5.7)
Cannot bill customers due to billing system failure (5.7)
Chemical release at water or waste-water (chlorine) contamination; a chemical release could injure the public or
Threat to employee safety and security from outside influence
Staff reductions (retirement/turnover) or competition for staffing (7.1, 7.9, 7.10)
Natural disasters (flood, fires, etc) that damage delivery of utilities (3.6, 4.9, 6.4)
Elimination or reduction of fees supporting our programs (cut in programs depending on priorities if level of
Lack of training in emergency preparation (FEMA accounting, tracking, etc) (i.e. financial hurdles to get refunds);
Greater than 14 day pandemic (i.e. loss of staff for treatment and other areas) (business continuity planning);
Climate change (multi-year drought); a drought or other environmental disaster would affect consumer use,
PRPA rate changes (5.2, 3.6)
Lack of water storage (potable and non-potable); halligan environmental impact study results affecting cost
Inaccurate financial forecasts limit funding for strategic projects (understated revenues or over budgeted) (6.2)
Aging Workforce/Knowledge management (5.4)
Contamination or loss of systems (electric and/or water), an external threat; an act of terrorism (3.6)
Privatization, de-emphasizing dedication to community/City's Mission, Vision, and Values
Lack of training for restarting the grid
Communication Systems Failure
Lack of Documented Procedures and Policies
Reputation Management, negative media
Federal Shutdowns - delays in permitting
Availability/Competition for contractual labor
Availability of Rental Equipment (especially in emergencies)
Availability/shortages of Materials (pipes, wire, pumps, chemicals, etc.)
Over-extension of internal resources (multiple emergencies at the same time)
Extreme weather patterns (ex: 30+ days of below zero temperatures)
Competing Organizational Objectives (safety vs environment vs financial) (5.3, 7.7)
Wastewater backups (5.5, 7.6, 4.9)
Electric Service delivery rolling blackouts (3.6, 5.5)
Metering system (3.6)
Increasing Utility rates beyond affordability (7.4)
Transportation issue to gridlock trans (6.3)
Substation malfunction or Loss (3.6, 5.5)
Natural disaster in other areas of country (limited supply of critical items e.g. concrete, transformers etc.) (3.6)
Improper attention paid to integrating renewable resources into electric distribution system (3.6)
Adequate funds to address infrastructure needs (3.6)
Inability to cooperate regionally on water issues (5.10, 3.5, 1.1, 1.5, 4.7, 4.8)
Failure of critical infrastructure (4.9, 5.10, 3.5, 3.6)
Long duration power outage (system wide) (5.5, 3.6)
SOS Pipeline failure (5.10)
CIS failure
Effective water conservation (3.6)
Dam failure (5.10, 5.5, 4.7, 3.6)
Development slowdown (economic depression) (3.7, 3.8)
Service Area
US - PRIORITY
US - PRIORITY
US
US - PRIORITY
US
US
US
US
US
US
US
US
US
US
US
US - PRIORITY
US - PRIORITY
US
US
US - PRIORITY
US
US
US
US
US
US
US
US
US
US
US
US
US - PRIORITY
US
US
US
US
US
US
US
US
US
US
US
US
US
US
US
US
US
16
ID
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
105
106
107
108
109
110
111
112
113
114
115
Risk
EPA New clean water regulations (5.10, 5.4, 3.6)
Extreme success of water conservation efforts (3.6, 4.6, 4.8)
Changes in CSU policies and programs (i.e. Development growth or growing student population, pricing of student
Train impacts on community/quality of life (1.5, 3.8, 4.4, 5.6, 6.1, 6.4, 6.6)
Lack of long-term dedicated funding sources and potential loss of KFCG funding impact ongoing operations and
Recession/Downturn in economic activity that impacts funding for longer term or progressive projects programs
Policy regarding Equipment Replacement (i.e. costs of service, response time affected, quality of work, replacing
Re-aligning plans and policies / code for development that reflect FC now (outdated policies and plans/codes/fees
fire drills, reactive prioritization; the risk of not accomplishing current priorities due to unexpected, low-priority
Changing priorities impact long-term plan or vision when it comes time to cut or prioritize projects or allocate
Staffing issues,( i.e. maintaining a high-end work force with high level expertise; Brain drain and succession
Risks to certainty of Federal Funding (makes up 30% of funding) (e.g. ADA Compliance and Title VI)
infrastructure doesn't support existing need and impacts new development (APF)
CDOT/Federal Funding change,
PDT main building is sold and must relocate multiple times
Lack of political will on financial commitment to achieve CAP goals and milestones (6.2, 6.3, 6.4, 6.5, 6.6, 4.4, 4.7,
Lack of federal funding for new BRT projects (3.7)
Lack of parking infrastructure funding strategy (3.10)
Cheap gas allows more people to drive (4.6)
Failure to implement CSU, IGA completely and on time (6.7)
Construction Cost increase (6.3, 6.4, 6.7, 5.6)
Increase in motorists impact concrete and asphalt (4.4)
GHG reduction targets missed (4.4)
Challenges with funding & training (especially related to electronic plan rv) (7.9)
Lack of funding for expanded transit services (6.2, 6.6)
Lack of strategic plan to address parking demand infrastructure (3.10, 3.7, 3.8, 6.1, 6.2, 6.6, 4.4)
Extreme weather events (tornado, hail, flood, etc)
Skilled Operators (7.1)
Snow Budget (7.9)
Materials Cost (4.4)
Federal funding of CDGB and HOME programs are significantly reduced
Significant change in the global/national economic and financial markets; sudden dramatic rise in cost of
Significant change in political will regarding managing growth; make up of city council; backlash against metro
Changes to URA Legislations (i.e. TIF disappears, mandatory 50% shareback)
Loss of large primary employer (i.e. HP, Woodward, Avago)
Housing vacancy rate falls below 5%
Natural disaster occurs within or adjacent to City (wildfire, water shortage, other event), Food scarcity or major
Reduction in CSU funding
Sustainability department is given unexpected projects that cannot be realistically done well (7.1, 7.9)
Shift to short-sighted, short-term decision making by City Council or staff; Not considering long-term and life cycle
Misinformation (i.e on Climate and Sustainability issues) that prohibits decision makers from taking productive
Terrorist event
Change to a City Manager who isn't progressive; shift in strategic priorities and objectives
Lack of internal orgnaizational alignment; shift in strategic priorities and objectives
Building codes and fees increase and make affordable housing difficult
Defunding of SSA/EHO/etc.; Significant reduction of budget
Loss of skilled workforce (internal and external); Mass retirement or other attrition; Demographic shifts that affect
Federal grant increase city requirements/regulations (e.g. HUD grants)
Not able to accommodate needs (housing, transportation) of special needs population (homeless, elderly)
Increase in federal regulation that has significant impact on City activities (i.e. wastewater)
Sudden/dramatic population change (unable to keep up with City's needs in housing/crime reduction); influx of
Homeless missions closing; facilities for low-income loss; an affordable housing project burns; mobile home parks
Worsening air pollution and sickness (e.g. from oil/gas)
Significant rising healthcare costs
Climate change impacts vulnerable population
Housing costs increase and people have less to spend
Prolonged loss of electrical supply
Fracking lawsuit loss at state
KFCG not extended
Train dereailment in FC (4.7)
Not meet (2020) GHG Goal (4.4)
Development not follow City Plan (more sprawling, less efficient) (1.5, 3.7, 4.5)
Recycling system collapse (market falls further public sentiment shift) (4.10)
Lack of support for diversity and inclusilivity (1.8, 1.9)
Inability to foster AH development (1.1, 1.12, 1.3, 1.7, 1.9)
Service Area
US
US
PDT - PRIORITY
PDT - PRIORITY
PDT - PRIORITY
PDT
PDT
PDT
PDT - PRIORITY
PDT
PDT
PDT - PRIORITY
PDT
PDT
PDT
PDT
PDT
PDT - PRIORITY
PDT
PDT
PDT - PRIORITY
PDT
PDT
PDT
PDT
PDT
PDT
PDT
PDT
PDT
SS
SS
SS
SS - PRIORITY
SS
SS - PRIORITY
SS - PRIORITY
SS
SS - PRIORITY
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS
SS - PRIORITY
SS
SS
SS
SS
SS
SS
SS
SS
SS
17
ID
116
117
118
119
120
121
122
123
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158
159
160
161
162
163
164
165
166
167
168
169
170
171
172
173
174
175
176
177
178
179
180
Risk
PRPA/cities don't support post 2020 CAP goals (4.5)
Federal regulation changes EPA Internal climate negotiation (4.4, 4.5)
Community opposition to density and infill (1.1, 1.3, 3.7)
Loss of strat regional partner (3.1, 3.2, 3.4)
Loss of primary partner (HW2020, CC, FCRM, etc) (1.5, 1.6, 1.7)
Technological constraint or advances in energy (4.5)
Economic downturn (3.2, 3.8, 1.5)
State regulatory change (3.2, 3.7)
Staffing (sworn/civilian) issues due to population growth or otherwise (FTE count and recruiement/replacement)
Capacity - resource limitations (i.e. time, infrastructure, etc.) excluding staffing
Conflicting External Priorities - various input from citizens forcing misalignment of efforts
Regional/Inter-agency Partnerships lack cooperation (i.e. for dispatch, range, financial task force)
Budget - Committed funds are not renewed (i.e. KFCG) (3.8, 5.1, 5.3, 5.5, 5.6)
Changing policies and priorities within the City over time
Culture Shift - managing change within force to become more data driven and take advantage of technology
Labor Contract and implications force possible changes, restrictions, lack of capability
Lack of Community Trust and/or Support resulting in funding issues (may be caused by negative media)
Lack of Community Trust and/or Support interfering with ability to accomplish tasks (i.e. investigations)
Technology Limitations (lack of timliness in data, dispatch updates, IT obsolescence, conforming to inter-agency
Lack of IT resources/support to address issues
Focusing on the wrong metrics; misalignment of goal and metric in pursuit of accomplishing the strategic
Misalignment of roles and responsibilities (i.e. marijuana regulation, homeless issues, etc.)
3rd Party Vendors failing to meet expectation (i.e. implementation of program failing due to 3rd party vendor
Violations: performance/ethical violation by officers
Aging workforce
Organizational culture differences
Regulatory impact
Safety issues (i.e. injuries)
Budgetary miscommunication (capability to meet expectations with only partially funded offers)
Space Requirements for FTE Growth (5.1)
Growth - Capital Projects (5.1, 5.2, 5.3, 5.8)
"Process" Impacts (7.1, 7.12, 5.3)
Increasing Impact of Technology (5.2, 5.3, 5.6, 5.7, 5.8, 5.8, 7.3, 7.5, 7.10)
Population Growth (5.1, 5.3, 5.5, 5.6, 5.7, 5.8)
Facilities (3.8, 5.1, 5.8, 5.9)
Training (1.12, 1.8, 7.10, 7.12, 5.1, 5.6, 5.9)
Training Facility (5.1, 5.8, 7.10)
Decentralization of Police (1.11, 5.1, 5.3, 5.7, 1.12)
Increased economic instability that would pull financial resources from community services (conflicting priorities,
Lack of funding for renovations and maintenance of medians to meet the new standard (2.4, 7.1)
Staff resistance to customer service improvement (staff chosing not to implement programs) (2.2)
Loss of conservation trust money for trails in 2025 if not renewed (2.4)
Expiration of dedicated sales taxes (i.e expiration of Help Preserve Open Space in 2018 and BOB)
Damage to rec facilities from natural disaster, structural failures or other causes (2.1)
Emerald Ash Borer in F.C reduces urban forest (1.2, 2.1, 4.2, 4.3)
Increase competition from private cultural recreation organizations negatively impacts our ability to offer diverse
Lack of future funding for maintenance in future parks; loss of general fund support to maintain new parks and
Decline of public interest in rec programs, and consequent loss of fee revenue (2.1, 2.2, 2.3)
Increasing demand for services stretches City resources (i.e reliance on the City cultural services as a driver for
Lack of future funding (i.e BOB) for relocation causes the City to lose the downtown maintenance shop (3.3, 1.2,
Inability to maintain our level of service to meet high expectations due to growing population, inability to
Changing face of cultural product expectations (i.e. Lincoln center shows and museum displays) offered and the
Weather, competition and/or decreasing demand causes a decrease in the rounds of golf at all courses (1.2, 2.1)
Lack of funding to maintain or replace aging facilities, infrastructure and equipment (1.2, 2.1)
Changing demographic face of the community creates a paradigm shift in programs desired (ability to provide a
Continuous improvement of consumer technology creates less demand for live performances/services (i.e.
Low flows in the Poudre/water demands in the Poudre basin; decline river health (4.3, 4.1, 4.9, 4.10)
Reduction in General Fund support for rec programs facilities during difficult economic times (2.1, 2.2, 2.3)
Lack of alignment between strategic plan/BFO process and Service Area's overall core services/initiatives;
As regional entrepreneurs grow in both scope of programs offered gained in number, fort collins may not be
Climate change (i.e. water supplies, fire, energy demands, global insecurities) (4.1, 4.10, 5.10)
Failure of IT systems impacting registration and or payment process for programs/services (2.1, 2.2)
Changes in media/marketing making it harder to reach patrons & visitors (2.2)
Capacity to run our facilities with current staff (2.3)
Future uses of trolley barn will displace museum artifacts and storage (2.4)
Service Area
SS
SS
SS - PRIORITY
SS
SS
SS
SS - PRIORITY
SS
PS - PRIORITY
PS
PS
PS
PS
PS
PS
PS
PS
PS
PS - PRIORITY
PS - PRIORITY
PS
PS
PS
PS - PRIORITY
PS
PS
PS
PS
PS
PS
PS
PS
PS - PRIORITY
PS - PRIORITY
PS
PS - PRIORITY
PS - PRIORITY
PS
CS
CS
CS
CS
CS
CS
CS - PRIORITY
CS
CS
CS
CS
CS
CS
CS
CS
CS - PRIORITY
CS - PRIORITY
CS
CS
CS
CS
CS
CS - PRIORITY
CS
CS
CS
CS
18
ID
181
182
183
184
185
186
187
188
189
190
191
192
193
194
Risk
Emerging Technolgies that we aren't up to date on - impact effectiveness of providing Service (7.5)
Finding alternative funding sources (2.3)
Cyber security breach (7.5)
Business continuity failure event (7.5)
Pace of tech change (7.5)
KFCG not renewed (2.1, 2.4, 2.5)
Homeless issues (1.5, 1.7, 2.4, 3.8)
Lack of funding for carbon reduction plan
Crowding in natural areas & on trails (2.4, 2.5)
Availability of land for future parks (2.5, 2.7)
Golf fund solvency
Total Rewards - attract, retain, reward knowledgable, quality staff
Power outage impacts servers at City Hall and Police
GHG emission reduction goals not met
Service Area
CS
CS
CS
CS
CS
CS
CS
CS
CS
CS
CS
CS
CS
CS
3) Review of Risks from 2013
After the new risk mapping exercise was complete, the list of 2013 risks was distributed to each
participant. As a group all the risks were reviewed one by one to determine if they were still relevant.
2013 risks were either kept on the list, updated (e.g. language) or removed.
The final list of both new and old risks was consolidated and distributed for ranking.
4) Ranking of risks based on probability of occurrence and magnitude of impact
Ranking exercises took place via email where each participant had the opportunity to evaluate all the
risks that the service area generated. Probability was based on the likelihood that the risk event would
occur within the next five years (the same timeframe used for Strategic Planning).
Almost certain
(>75%)
B-
Likely (50%-75%)
C-
Possible (25%-50%)
D-
Seldom (<25%)
Probability
A-
19
Magnitude of the risk event was also based on a four point scale. Depending on the nature of the risk
event, the scale was adjusted and applied as appropriate. The tool below was used to help participants
rank magnitude from various perspectives.
Assessing Risk
Overview
High
Medium
Low
Insignificant
Service Disruption /
Affect Upon Funds or
Process
Disaster with the
potential to
significantly harm the Total Failure of service,
City and is
extremely expensive
fundamental to the
$$$$
non-achievement of
objectives.
Critical event which
can be endured but
which may have
Serious disruption to
prolonged negative
service, high $$$
impact and extensive
consequences.
Major events which
can be managed but
Disruption to service,
requires additional
cost $$
resources and
management effort.
A manageable event
Some minor impact /
with little impact or
annoyance, cost $ one that is not worth
none at all
worrying about.
Communication
Council
Reputation
Legal and Financial
Ramifications
Multiple Civil &
Prolonged national Criminal suits (requires
publicity (resignations) a City restructuring of
budget)
Service Director /
Possibly Council
National public or
press interest (major
consequences)
Major litigation (cost
exceeds the annual
budget)
Direct Supervisor /
Service Director
Local public or press
interest (minor
consequences)
Minor litigation
(absorb cost within
budget)
None or Direct
Supervisor
Known inside the City,
but no major actions No litigation, no cost
or consequences
5) Discussion of risks and ranks due to dispersion or discrepancy to facilitate consensus
Results from ranking were consolidated, reviewed and discussed. Special attention was given to risks
that had a wide range of ranking, and those risks that had disagreement between management and
staff. The final ranking was then mapped into a Risk Map.
20
Risk Map
A-
Almost certain
(>75%)
Probability
B - Likely (50%-75%)
C - Possible (25%-50%)
D - Seldom (<25%)
1- Insignificant
2 - Low
3 - Medium
4 - High
Magnitude of Impact
6) Evaluation of resulting Risk Map and setting of Risk Appetite to determine priority risks
The resulting Risk Map is color coded to highlight risks that were ranked as a priority (red) and required
mitigation plans. The default Risk Appetite was set so that any risk ranked 3 – Medium / B – Likely and
above was deemed a priority risk. However, each service area had the flexibility to set their own unique
color coding and thus find the appropriate Risk Appetite for their team. Teams also were able to update
a risk to ensure it landed either in or out of the priority area.
7) Mitigation plans created for priority risks
Once the priority risks were identified, each service area completed mitigation plans for their priority
risks. The teams then followed an escalation path of mitigation techniques to develop actions for
dealing with the risk.
8) Assignment of Executive Level Risks
After all service areas had created their list of risks and turned in mitigation plans, the results were
consolidated into a master list. Beginning with the themes identified in 2013, each risk was given an
executive level risk theme. This was used to consolidate the list into higher level themes that are
common across service areas. In certain cases a risk could not be assigned a theme and had to remain
service area specific (e.g. Emerald Ash Borer).
9) Strategic Objective consolidation
21
For all the risks that had Strategic Objectives listed, an analysis was completed to note how many times
each strategic objective was cited as being at risk and which service area cited it. The results were used
to identify executive level strategic objective risk and where strategic priority may need to shift
(strategic objectives that were not listed at all).
10) Survey and Report
Lastly, a survey was sent to all participants. It included 6 questions on a 5 point scale with the
opportunity for feedback on each question. There were also 2 open ended questions on improvement
areas and other comments. The results of the survey are being used to improve the process in 2017.
Mitigation Plans
Mitigation plans were assigned to specific staff members and consolidated by finance. Employees were
asked to initially identify existing mitigation efforts, then work through the mitigation hierarchy, and
finally list out what implications the risk and mitigation might have on the strategic plan. The mitigation
hierarchy provides focus on the most desirable forms of mitigation first, such as avoidance and
reduction, before settling for sharing (insurance) and acceptance.
22
Lists were sent to Service Area participants pre-populated with the risk data. Participants had to fill in
the remainder of the template. Note that if a 2013 mitigation plan existed for a risk, the plans were also
included for reference.
Example:
23
Service Area Assessments
UTILITY SERVICES
POLICE
COMMUNITY & OPERATIONS SERVICES
SUSTAINABILITY SERVICES
PLANNING, DEVELOPMENT & TRANSPORTATION SERVICES
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37
46
52
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A Report by Andres Gavaldon,
Financial Policy and Project
Manager, Financial Services
FY 2013-2014
24
Utilities
Strategic Objectives Alignment (Utility Services)
Strategic Objective
Utility
Services
CNL 1.1. Improve access to a broad range of quality housing that is safe, accessible and affordable.
CNL 1.11. Maintain and enhance attractive neighborhoods through City services, innovative enforcement techniques,
Community and
and voluntary compliance with City codes and regulations.
Neighborhood
CNL 1.4. Preserve and provide responsible access to nature.
Livability
CNL 1.5. Preserve and enhance the City’s sense of place.
CNL 1.6. Promote health and wellness within the community.
CR 2.1. Improve low and moderate income citizen access to, and participation in, City programs and facilities.
Culture and
CR 2.6. Develop a clear strategic definition and description of the City’s role in the culture and arts while leveraging
Recreation
partnerships with other community organizations.
ECON 3.1. Align economic health goals and strategy across all levels of the organization and refine and agree upon
the economic tools the City uses.
ECON 3.11. Encourage the development of reliable, ultra high speed internet services throughout the community.
Economic
ECON 3.4. Improve effectiveness through collaboration with economic-health oriented regional partners.
Health
ECON 3.5. Sustain high water quality to support the community and water-dependent businesses.
ECON 3.6. Maintain utility systems and services; infrastructure integrity; and stable, competitive rates.
ECON 3.7. Support sustainable infill and redevelopment to meet climate action strategies.
ECON 3.8. Preserve the City’s sense of place.
ENV 4.1. Improve and protect wildlife habitat and the ecosystems of the Poudre River and other urban streams.
ENV 4.10. Conserve and restore biodiversity and habitat.
ENV 4.11. Demonstrate progress toward achieving zero waste within the community and the City organization.
ENV 4.3. Implement indoor and outdoor air quality improvement initiatives.
ENV 4.4. Reduce Greenhouse Gas (GHG) emissions by creating a built environment focused on green building and
mobile emission reductions.
Environmental ENV 4.5. Demonstrate progress toward achieving net zero energy within the community and the City organization
Health
using a systems approach.
ENV 4.6. Engage citizens in ways to educate and change behavior toward more sustainable living practices.
ENV 4.7. Increase the community’s resiliency and preparedness for changes in climate, weather and resource
availability.
ENV 4.8. Protect and monitor water quality, and implement appropriate conservation efforts and long-term water
storage capability.
ENV 4.9. Meet or exceed all environmental regulations.
HPG 7.1. Improve organizational capability and effectiveness – professional development, leadership, change
management, strategic thinking, fiscal literacy and staff engagement.
HPG 7.10. Implement leading-edge and innovative practices that drive performance excellence and quality
improvements across all Service Areas.
HPG 7.12. Promote a values-driven organizational culture that reinforces ethical behavior, exercises transparency and
maintains the public trust.
HPG 7.13. Continuously improve the City’s governance process.
High Performing
HPG 7.4. Strengthen methods of public engagement and reach all segments of the community.
Government
HPG 7.5. Optimize the use of technology to drive efficiency and productivity, and to improve services.
HPG 7.6. Enhance the use of performance metrics to assess results.
X
HPG 7.7. Develop and implement enterprise-wide processes in appropriate areas – “Plan, Do, Check, Act” process
improvement tool, safety, strategic planning, council and strategic plan tracking tool, budgeting, project management.
HPG 7.9. Improve productivity, efficiency, effectiveness, customer service and citizen satisfaction in all areas of the
municipal organization.
SAFE 5.10. Provide a high-quality, sustainable water supply that meets or exceeds all public health standards and
supports a healthy and safe community.
SAFE 5.2. Optimize the use of technology to drive efficiency, productivity and customer service.
SAFE 5.4. Protect life and property with natural, aesthetically pleasing flood mitigation facilities through building codes
and development regulations.
Safe Community
SAFE 5.5. Develop and implement emergency preparation, response and recovery plans across the organization in
collaboration with other community efforts.
SAFE 5.8. Improve community involvement, education and regional partnerships to make our community safer and
stronger.
SAFE 5.9. Partner with Poudre Fire Authority to provide fire and emergency services.
TRAN 6.3. Fill the gaps for all modes of travel and improve the current transportation infrastructure while enhancing the
Transportation
aesthetic environment.
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
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Risk Register (Utility Services)
ID
Risk
Probability
1 Lack of IT Cross training (5.4)
Likely (50%-75%)
2 Lack of formal asset management (6.3, 3.6. 3.5, 4.9, 4.7, 4.5, 5.10)
Likely (50%-75%)
3 Inconsistent safety culture (5.5)
Possible (25%-50%)
Regulatory uncertainty (carbon tax, nutrient removal; physical security) (4.6,
4
Likely (50%-75%)
5.6, 6.3)
No alignment/misalignment between master plans, strategic financial plan,
5 city plan, city strategic plan; timing of city planning does not align to Utilities
Possible (25%-50%)
planning (6.3)
6 Major PRPA outage due to transmission line failure (4.1, 6.4)
Seldom (<25%)
7 Enforcement of fines from regulatory agencies (5.7)
Seldom (<25%)
8 Cannot bill customers due to billing system failure (5.7)
Seldom (<25%)
Chemical release at water or waste-water (chlorine) contamination; a chemical
9 release could injure the public or our environment; any significant leak - could
Seldom (<25%)
be a transport action issue (4.1, 2.2, 6.4)
10 Threat to employee safety and security from outside influence
Seldom (<25%)
Staff reductions (retirement/turnover) or competition for staffing (7.1, 7.9,
11
Possible (25%-50%)
7.10)
Natural disasters (flood, fires, etc) that damage delivery of utilities (3.6, 4.9,
12
Seldom (<25%)
6.4)
Elimination or reduction of fees supporting our programs (cut in programs
depending on priorities if level of funding goes down due to a reduction of
13
Possible (25%-50%)
rates, etc.); lack of resources (council doesn't approve rate increases, loss of
customers) (3.6)
Lack of training in emergency preparation (FEMA accounting, tracking, etc) (i.e.
14 financial hurdles to get refunds); without staff trained to get refunds/help we
Seldom (<25%)
cannot sustain our services at current level
Greater than 14 day pandemic (i.e. loss of staff for treatment and other areas)
15 (business continuity planning); serious illness could affect the city of FC ability
Seldom (<25%)
to provide utility series to our customers
Climate change (multi-year drought); a drought or other environmental
16 disaster would affect consumer use, industrial use (high tech brew etc.) esp
Likely (50%-75%)
hence impact the local economy (3.5, 3.6, 4.9, 4.8, 5.10, 5.5)
17 PRPA rate changes (5.2, 3.6)
Likely (50%-75%)
Lack of water storage (potable and non-potable); halligan environmental
18
Possible (25%-50%)
impact study results affecting cost structure, etc. (4.6, 5.10, 3.5, 4.7)
Inaccurate financial forecasts limit funding for strategic projects (understated
19
Possible (25%-50%)
revenues or over budgeted) (6.2)
20 Aging Workforce/Knowledge management (5.4)
Almost certain (>75%)
Contamination or loss of systems (electric and/or water), an external threat; an
21
Seldom (<25%)
act of terrorism (3.6)
Privatization, de-emphasizing dedication to community/City's Mission, Vision,
22
Seldom (<25%)
and Values
23 Lack of training for restarting the grid
Possible (25%-50%)
24 Communication Systems Failure
Possible (25%-50%)
25 Lack of Documented Procedures and Policies
Possible (25%-50%)
26 Reputation Management, negative media
Possible (25%-50%)
Magnitude
3 - Medium
3 - Medium
4 - High
3 - Medium
3 - Medium
4 - High
3 - Medium
4 - High
4 - High
4 - High
3 - Medium
4 - High
2 - Low
3 - Medium
4 - High
4 - High
3 - Medium
4 - High
3 - Medium
3 - Medium
4 - High
3 - Medium
4 - High
3 - Medium
3 - Medium
2 - Low
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ID
27
28
29
30
Risk
Federal Shutdowns - delays in permitting
Availability/Competition for contractual labor
Availability of Rental Equipment (especially in emergencies)
Availability/shortages of Materials (pipes, wire, pumps, chemicals, etc.)
31 Over-extension of internal resources (multiple emergencies at the same time)
Probability
Magnitude
Seldom (<25%)
Possible (25%-50%)
Seldom (<25%)
Seldom (<25%)
1- Insignificant
2 - Low
3 - Medium
3 - Medium
Possible (25%-50%)
3 - Medium
32 Extreme weather patterns (ex: 30+ days of below zero temperatures)
Seldom (<25%)
3 - Medium
Competing Organizational Objectives (safety vs environment vs financial) (5.3,
33
Almost certain (>75%)
3 - Medium
7.7)
34 Wastewater backups (5.5, 7.6, 4.9)
Seldom (<25%)
2 - Low
35 Electric Service delivery rolling blackouts (3.6, 5.5)
Seldom (<25%)
4 - High
36 Metering system (3.6)
Seldom (<25%)
4 - High
37 Increasing Utility rates beyond affordability (7.4)
Seldom (<25%)
4 - High
38 Transportation issue to gridlock trans (6.3)
Seldom (<25%)
1- Insignificant
39 Substation malfunction or Loss (3.6, 5.5)
Seldom (<25%)
4 - High
Natural disaster in other areas of country (limited supply of critical items e.g.
40
Seldom (<25%)
2 - Low
concrete, transformers etc.) (3.6)
Improper attention paid to integrating renewable resources into electric
41
Seldom (<25%)
1- Insignificant
distribution system (3.6)
42 Adequate funds to address infrastructure needs (3.6)
Possible (25%-50%)
4 - High
43 Inability to cooperate regionally on water issues (5.10, 3.5, 1.1, 1.5, 4.7, 4.8)
Possible (25%-50%)
3 - Medium
44 Failure of critical infrastructure (4.9, 5.10, 3.5, 3.6)
Seldom (<25%)
4 - High
45 Long duration power outage (system wide) (5.5, 3.6)
Seldom (<25%)
4 - High
46 SOS Pipeline failure (5.10)
Seldom (<25%)
4 - High
47 CIS failure
Seldom (<25%)
3 - Medium
48 Effective water conservation (3.6)
Possible (25%-50%)
3 - Medium
49 Dam failure (5.10, 5.5, 4.7, 3.6)
Seldom (<25%)
4 - High
50 Development slowdown (economic depression) (3.7, 3.8)
Possible (25%-50%)
3 - Medium
51 EPA New clean water regulations (5.10, 5.4, 3.6)
Possible (25%-50%)
2 - Low
52 Extreme success of water conservation efforts (3.6, 4.6, 4.8)
Seldom (<25%)
3 - Medium
Risk Map and Risk Appetite (Utility Services)
Utility Services determined any risk rated with a combination of ‘3-Medium’ magnitude and ‘B Likely’ or above would warrant a mitigation plan. The resulting priority risks identified were the
following:
o
o
o
o
Lack of IT Cross Training
Lack of Formal Asset Management
Regulatory Uncertainty (carbon tax, nutrient removal; physical security)
Climate change (multi-year drought); a drought or other environmental disaster
would affect consumer use, industrial use (high tech brew etc.) esp. hence impact
the local economy
o PRPA Rate Changes
o Aging Workforce/Knowledge management
o Competing Organization Objectives (safety vs environment vs financial)
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Risk Map
A-
Almost
certain
(>75%)
B-
Likely (50%75%)
1 Lack of IT Cross training (5.4)
2 Lack of formal asset management (6.3, 3.6.
3.5, 4.…
4 Regulatory uncertainty (carbon tax, nutrient
remov…
17 PRPA rate changes (5.2, 3.6)
16 Climate change (multi-year drought); a drought or …
13 Elimination or reduction of fees supporting
our pr…
26 Reputation Management, negative media
28 Availability/Competition for contractual
labor
51 EPA New clean water regulations (5.10, 5.4,
3.6)
5 No alignment/misalignment between master
plans, st…
11 Staff reductions (retirement/turnover) or
competit…
19 Inaccurate financial forecasts limit funding
for s…
24 Communication Systems Failure
25 Lack of Documented Procedures and Policies
31 Over-extension of internal resources
(multiple eme…
43 Inability to cooperate regionally on water
issues …
48 Effective water conservation (3.6)
50 Development slowdown (economic
depression) (3.7, 3…
3 Inconsistent safety culture (5.5)
18 Lack of water storage (potable and non-potable); h…
23 Lack of training for restarting the grid
42 Adequate funds to address infrastructure needs (3.…
34 Wastewater backups (5.5, 7.6, 4.9)
40 Natural disaster in other areas of country
(limite…
7 Enforcement of fines from regulatory agencies
(5.7…
14 Lack of training in emergency preparation
(FEMA ac…
22 Privatization, de-emphasizing dedication to
commun…
29 Availability of Rental Equipment (especially
in em…
30 Availability/shortages of Materials (pipes,
wire, …
32 Extreme weather patterns (ex: 30+ days of
below ze…
47 CIS failure
52 Extreme success of water conservation
efforts (3.6…
6 Major PRPA outage due to transmission line failure…
8 Cannot bill customers due to billing system failur…
9 Chemical release at water or waste-water (chlorine…
10 Threat to employee safety and security from outsid…
12 Natural disasters (flood, fires, etc) that damage …
15 Greater than 14 day pandemic (i.e. loss of staff f…
21 Contamination or loss of systems (electric and/or …
35 Electric Service delivery rolling blackouts (3.6, …
36 Metering system (3.6)
37 Increasing Utility rates beyond affordability (7.4…
39 Substation malfunction or Loss (3.6, 5.5)
44 Failure of critical infrastructure (4.9, 5.10, 3.5…
45 Long duration power outage (system wide) (5.5, 3.6…
46 SOS Pipeline failure (5.10)
49 Dam failure (5.10, 5.5, 4.7, 3.6)
Possible (25%50%)
Probability
C-
20 Aging Workforce/Knowledge management
(5.4)
33 Competing Organizational Objectives (safety
vs env…
27 Federal Shutdowns - delays in permitting
38 Transportation issue to gridlock trans (6.3)
41 Improper attention paid to integrating
renewable r…
D-
Seldom
(<25%)
1- Insignificant
2 - Low
3 - Medium
4 - High
Magnitude of Impact
Priority Risk Mitigation Plans (Utility Services)
1. Lack of IT Cross Training
 Strategic Objectives Impacted: 5.4
 Risk Register ID: 1
 Author/Owner: Lisa Rosintoski/Mary Evans
 Probability: Likely (50%-75%)
 Magnitude: 3 – Medium
 Action:
 Existing
o The Advanced Meter Infrastructure (AMI) is a “system of systems”, that includes the
Elster Headend, the Meter Data Management system, the Customer Web Portal, the
mobile solution for the Web Portal, and the Demand Response data feeds. As of
2015, there are two full-time equivalents (FTE) supporting these critical systems.
Cross training is currently actively underway for the technical aspects of the AMI
systems. Additionally, an Enterprise IT DBA has been cross-trained in supporting the
database aspects of these critical systems.
o For the Customer Information System (CIS) billing system, Platte River Power
Authority (PRPA) has added another Database Administrator (DBA) to back up the
existing DBA. Additionally, there is part-time Senior Software Engineer and FTE
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
Systems Analyst currently supporting the application software. Because the CIS
system is an Enterprise product, owned by Hansen Technologies, Inc., Utilities can
request help and support. Utilities’ also has a time and material five year
(renewable year to year) contract with Milestone Utilities Services, Inc. for any
urgent situations with CIS.
o The Next Axiom tool, utilized to create integrations and some custom solutions is
primarily used by a single FTE, however, two others on the team have received
training and the Database Analyst will also be learning the Next Axiom tool.
o The Maximo Asset Management system is at risk with just one FTE covering the
system administration functions, the application support, mapping conversions to
ESRI, implementations of Maximo to the Utilities, and all of the on-going day to day
support to customers in Utilities.
 Mitigation
o Avoidance
 The needed FTE for Maximo requires particular technical skill sets. Another
person on the IT-Applications Services team could be trained through “on
the job training.” If a resource does not already possess the specific
technical skills needed, it becomes quite expensive for the primary resource
to teach these specific skills (which often are acquired through formal
training and/or years of experience). Training in the skills is separate from
the added effort of training on the intricacies of the specific application
(Maximo). While technical skills can be acquired, it is definitely not an
efficient practice in the technical world, especially if the resource pool is
small and the business demands are high.
o Prevention
 Best prevention is a BFO enhancement offer/approval for a qualified FTE
with necessary technical skills who could become immediately helpful to the
primary resource beginning in 2017/2018 fiscal year and on-going. Maximo
is an Enterprise level, complex system that will become “mission critical” to
the Utilities and requires more than one person to support. Enterprise
systems require specific technical skills to adequately implement and
support systems long term. (NOTE: While an additional FTE was proposed a
year ago, through the BFO process for fiscal 2015/2016, the enhancement
offer was not approved).
o Reduction
 Bringing an existing resource up to speed on Oracle databases, ESRI
mapping, and the virtual server environment of an Enterprise system is an
alternative, but one that would decrease the productivity of the single
primary resource and is a slow, difficult process with unpredictable results.
o Acceptance
 Keeping the status quo puts immense pressure and stress on the primary
Maximo resource.
Strategic Plan Implications:
If only one person knows how to support a given technology and they need to go on vacation,
decide to retire, meet with an unfortunate and untimely accident or any other similar scenario,
then the organization is at risk. Business operations rely on 24 x 7 resources to manage the
execution of critical information systems and software, such as billing, SCADA, GIS, and asset
management. If Utilities is not able to adequately manage IT cross training that supports timely
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24 x 7 response to the functionality of these systems the impacted City Strategic Plan outcome
areas are; Safe Community, Environmental Health, Economic Health and High Performing
Government.
2. Lack of formal asset management
 Strategic Objectives Impacted: 6.3, 3.6. 3.5, 4.9, 4.7, 4.5, 5.10
 Risk Register ID: 2
 Author/Owner: Lance Smith
 Probability: Likely (50% - 75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o Asset Management (AM) efforts have been focused on the Water, Wastewater and
Stormwater utilities until 2015 with 2015 efforts being focused on Light & Power
o Risk Assessments, Service Level Targets, Lifecycle Management Plans for key assets
and Prioritized Capital Improvement Plans have been developed for each of the 3
wet utilities – all of which need to be updated on a regular basis going forward
o Increased funding has been budgeted for system renewal for wet assets
o A Strategic Financial Plan was written in 2012 but needs to be updated in 2015
o Leidos has been engaged to develop a preliminary capital improvement plan for L&P
based on projected load growth in 2015 which will serve as the basis for the
Prioritized Capital Improvement Plan for L&P that will be completed in 2016
o An off-the-shelf work order management program called Maximo has been
implemented in the water treatment plants and is being implemented in the water
field operations group next. This software will include an Asset Register and will
replace several bespoke legacy work order management systems.
 Mitigation
o Avoidance
 Complete/update Prioritized Capital Improvement plans for all 4 utilities
 Complete Asset Lifecycle Management Plans for all key assets
 Complete the 2015 Strategic Financial Plan
 Adopt and socialize Service Level Scorecards for all 4 utilities
 Accelerate the cultural paradigm shift required for effective Asset
Management
o Prevention
 Continuing to deploy AM in a phased approach will mitigate some of the
effects of not having fully deployed AM
o Reduction
 Having very specifically focused asset management efforts can target known
risks before formally addressing potential risks
o Acceptance
 Absent a formal asset management program an informal asset management
program always exists; the objective of formal asset management is to
make asset decisions in a transparent, objective process.
 Historical approach to budgeting conservatively to be able to meet
unexpected needs could continue but this is not the most efficient use of
revenues.
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
Strategic Plan Implications:
A formal Asset Management program has been in development for several years in the Utilities
Service Area. Much of the recent focus has been on the deployment of a work order
management system which is more of an operational need than formal asset management.
Formal asset management programs involve risk registers, asset registers, prioritized capital
improvement plans, levels of service targets and a financial plan to achieve the operational
objectives. Initial versions of most of these requirements have been developed for the 3 wet
utilities already and the next iteration of these efforts is the next step forward along with the
initial development of these requirements for the L&P utility.
Short term strategic plan implications of not having a formal asset management program more
fully deployed are minimal. It is the long term sustainability and resiliency of the utilities that is
most impacted by this issue. Service levels affecting reliability, safety, affordability and
customer expectations will be impacted. Rate adjustments will be more reactionary than
proactive and less gradual as unscheduled capital improvements are required.
3. Regulatory uncertainty (carbon tax, nutrient removal; physical security)
 Strategic Objectives Impacted: 4.6, 5.6, 6.3
 Risk Register ID: 4
 Author/Owner: Carol Webb
 Probability: Likely (50% - 75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o Participating in regulatory stakeholder processes to influence regulatory language
and timelines
o Financial forecasting for future capital improvements related to changes in
regulations
o Utilizing permit compliance schedules to allow time to comply with new limitations
o Conducting outreach with elected officials to educate them on our needs and to
influence regulatory and legislative processes.
 Mitigation
o Avoidance
 Eliminate processes that are regulated (e.g. replacing chlorine gas with UV)
o Prevention
 Encourage voluntary approaches through stakeholder processes rather than
regulatory approaches to achieve the same outcome
o Reduction
 Negotiate with regulators to implement a practicable, cost effective
regulation
o Acceptance
 Plan for the impacts of regulatory changes on operations
 Strategic Plan Implications:
 Significant financial investment for some regulatory requirements.
 Long-term planning necessary to be prepared for regulatory changes.
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
Due to a long stakeholder process, it is often an estimation of potential impacts until the
regulation is actually adopted. We may over plan or under plan for resources based on this
uncertainty.
4. Climate change (multi-year drought); a drought or other environmental disaster would affect
consumer use, industrial use (high tech brew etc.) esp. hence impact the local economy
 Strategic Objectives Impacted: 3.5, 3.6, 4.9, 4.8, 5.10, 5.5
 Risk Register ID: 16
 Author/Owner: Lisa Rosintoski/Carol Webb
 Probability: Likely (50% - 75%)
 Magnitude: 4 - High
 Action:
 Existing
o Stormwater Master Plan
o Water Efficiency Plan
o Energy Policy
o Climate Action Plan
o Water Supply and Demand Management Plan
o Larimer County Hazard Mitigation Plan participant
o Partnership with the Office of Emergency Management in implementing emergency
response plans for each utility service area
o Stormwater Community Rating System public engagement
o Increase fixed charges on water to ensure adequate revenue to cover operating
expenses
o Implement the Water Shortage Supply Management Policy during drought
conditions or water supply delivery issues
o Implement load reductions through demand response measures
o Implement emergency response procedures, such as flood mitigation plans, flood
response team monitoring, power outages communications, water quality response
team.
 Mitigation
o Avoidance
 Pre-sedimentation basis for water quality associated with post-fire Poudre
River conditions
 Managing water supply from two sources
 Halligan Water Supply Storage Project
o Prevention
 Watershed Management
 Poudre River Health Assessment to determine current and desired
conditions with City Natural Resources
 Capital Infrastructure Projects management for water, wastewater, and
stormwater projects based on priority
o Reduction
 Stormwater Infrastructure – Stormwater Master Plan
 Energy and Water efficiency programs portfolios
 Demand Response program for electricity and continuous consumption for
water supply
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
o

Nature in the City partnership to create tree canopy that reduces the need
for air conditioning load
 Graywater regulations that support water supply
Acceptance
Strategic Plan Implications:
The City of Fort Collins must assure alignment of City resources to respond collectively to
manage climate change, especially based on drought conditions. Climate change is intensifying
the circulation of water on, above and below the surface of the Earth, causing drought and
floods to be more frequent, severe and widespread.
Higher temperatures increase the amount of moisture that evaporates from land and water,
leading to drought in many areas. Lands affected by drought are more vulnerable to flooding
once rain falls.
As temperatures rise globally, droughts will become more frequent and more severe, with
potentially devastating consequences for agriculture, water supply and human health.
Hot temperatures and dry conditions also increase the likelihood of forest fires. In the conifer
forests of the western United States, earlier snowmelts, longer summers and an increase in
spring and summer temperatures have increased fire frequency by 400 percent and have
increased the amount of land burned by 650 percent since 1970.
5. PRPA rate changes
 Strategic Objectives Impacted: 5.2, 3.6
 Risk Register ID: 17
 Author/Owner: Kevin Gertig
 Probability: Likely (50% - 75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o 10 year rate forecasts are developed for PRPA and FCU with FCU’s rate forecast
being presented to Key Accounts, the Chamber of Commerce, Energy Board and City
Council
o PRPA Board considers smoothing of rate adjustments
o PRPA maintains a $20M rate stabilization fund
o FCU considers wholesale rate adjustments when recommending retail rate
adjustments to provide for gradual, modest and predictable rate adjustments
o Climate Action Plan (CAP) model is being developed to ensure that the most costeffective strategies are utilized to reach CAP goals
 Mitigation
o Avoidance
 It is not possible to completely avoid rate adjustments
o Prevention
 While it is not possible to prevent rate adjustments to occur in the long
term, short term rate adjustments could be avoided if the PRPA Board of
Directors chose to defer a rate adjustment for a year or two by using
33

reserves to meet short term operational needs. This has not happened in
the recent past.
 Some rate adjustments are due to regulatory requirements which may be
delayed by effective lobbying, if desired by the PRPA Board of Directors
o Reduction
 PRPA Board of Directors utilizes rate smoothing to minimize the need for
single large rate adjustments in any given year
 FCU considers the timing of PRPA rate adjustments when evaluating any
retail rate adjustments that may be necessary for the distribution system’s
operating needs
 PRPA may need to consider a different wholesale rate for FCU based on the
Climate Action Plan; delaying or modifying the CAP implementation or
objectives could reduce the amount of future wholesale rate adjustments, if
desired by Fort Collins City Council
 Development of cost effective CAP implementation strategies that do not
relate directly to PRPA’s resource mix will reduce the amount of wholesale
rate adjustments from PRPA needed to meet CAP goals
o Acceptance
 To the extent that PRPA rate adjustments are necessary and approved by
the PRPA Board of Directors (Fort Collins has 2 of the 8 Board seats) it is not
possible to avoid these wholesale rate adjustments
Strategic Plan Implications:
Affordable electric rates are critical the economic vitality of the community. Businesses
consider the low utility costs when considering establishing or expanding their presence in Fort
Collins. The affordability of housing in the community also depends on the cost of residential
utility services. Federal and State regulations will require changes to PRPA’s business model and
those changes will require rate adjustments. The challenge is to accommodate those
adjustments without derailing the economic growth and the quality of life that our community
expects and enjoys.
The CAP goals will create unique challenges for our community that the other PRPA Cities will
not face as quickly as Fort Collins. Meeting the CAP goals will benefit our community but will
require larger rate adjustments than the other PRPA Cities will see in the coming years. CAP is
part of the City’s Strategic Plan which creates another challenge in accommodating rate
adjustments.
6. Aging Workforce/Knowledge management
 Strategic Objectives Impacted: 5.4
 Risk Register ID: 20
 Author/Owner: Ginger Purvis
 Probability: Almost Certain (>75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o Completion of the 2015 Knowledge Management Report is currently underway.
Reports and mitigation strategies have been implemented for 2012 through 2014.
 Mitigation
34
o
Avoidance:
 The Utilities has a pro-active approach to instituting measures to mitigate
our aging workforce via a Knowledge Management Program.
Conduct annual reviews with middle level management on the following
criteria:
1.
2.
3.
4.
5.
Single employee job function
Greater than 55 years of age
Lack of documented procedures
Time to become proficient
Qualified applicant pool
o

Prevention:
 The Utilities Knowledge Management Project began in 2011 due to the
recognition of a dramatically changing Utility workforce. The Utilities
Executive Director sought to understand the effects these changes would
have on the City of Fort Collins Utilities. Consequently, an eighteen member
employee Knowledge Management Team (KMT) task force was formulated.
 The KMT 2011 (Phase One) mission was to identify workforce related risks
to core Utility services and formulated a plan to mitigate those risks. The
Phase One results can be found in the “Knowledge Transfer (Phase One)
Team Report”, April 25, 2012.
 In 2013, (Phase Two), the KMT was paired down to a four member project
team. The team’s mission was to ensure continuity of operations and
provide continuous improvement by aligning Utility objectives with
workforce development. The KMT worked with the Utilities Executive
Management to adopt knowledge management strategies, oversee budget
and requests for funding as well as updating and reporting risk assessments.
The risk assessments, mitigation strategies and work force plans for yearend 2013 and 2014 have been updated.
o Reduction
 BFO allocated in 2014 assisted with cross-training and backfilling critical
positions.
 Additional funding was provided to the Development Services group, within
the Shared Utility Services Department, and Telecommunication, within the
Light and Power Operations Department. The Development Services group
hired an intern to allow for cross-training of employees and the Telecom
group hired a replacement prior to a planned retirement thereby providing
a seamless transition.
 Additional progress in risk mitigation was made in several areas that did not
require additional funding. They implemented additional documentation of
specific procedures as well as cross training efforts.
o Acceptance
 While progress has been made; there are many critical positions whereby
skillsets may be difficult to cross-train in a timely fashion.
Strategic Plan Implications:
It is important to continue a utility-wide staff supports process to address their respective risk
mitigation plans. Recommendations by the KMT to the Utilities Executive Management Team
will be implemented at year end 2015. It will now be the responsibility of the Department Head
35
to review their direct reports knowledge management progress as a critical deliverable at the
time of their annual performance review. Department Heads will be better armed to anticipate
replacement and training needs for the coming year. In turn, the KMT will be able to better
assist in the allocation of funding.
As an aid to retention, the KMT added a workforce plan component to the risk analysis and
mitigation reporting. Division Managers were requested to complete a “Development Review
Workforce Plan Table” describing how each area supervisor communicates with their
employees, encourage employee development and acknowledge superior employee
performance.
We look forward to the year ahead and to continuous improvement in knowledge management
efforts.
7. Competing Organizational Objectives (safety vs environment vs financial)
 Strategic Objectives Impacted: 5.3, 7.7
 Risk Register ID: 33
 Author/Owner: Jon Haukaas
 Probability: Almost Certain (>75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o Certain codes and regulations have conflicting requirements.
o Achieving desired levels of safety and environmental goals have financial
implications
o Many projects have undetermined implications and effects on other department
budgets creating unfunded obligations.
 Mitigation
o Avoidance
 Early TBL analysis of project to determine alternative viewpoints.
 Coordinated Master Planning, Capital Improvement Plan prioritization.
o Prevention
 Cross functional Code Review.
 Fund a higher level of preliminary design of projects to determine impacts
prior to requesting full funding appropriations to ensure all departments
budget impacts are addressed.
o Reduction
 Comprehensive City Code and Land Use Code Review to find and correct
conflicting regulations.
 This will require an outside perspective or a cross functional group willing to
accept alternate points of view and priorities.
o Acceptance
 Additional variance requests on projects.
 Out of Cycle Budget appropriations.
 Redundant work and extended impact to citizens.
 Strategic Plan Implications:
36
Coordinated activities through cross departmental communication increases efficient use of
staff resources and available funding while reducing staff frustration, unnecessary rework,
duplication of effort, and additional impact to the public.
Police
Strategic Objectives Alignment (Police Services)
Strategic Objective
CNL 1.10. Address neighborhood parking issues.
CNL 1.11. Maintain and enhance attractive neighborhoods through City services, innovative enforcement techniques,
Community and
and voluntary compliance with City codes and regulations.
Neighborhood
CNL 1.12. Foster positive and respectful neighbor relationships and open communication, as well as provide and
Livability
support conflict resolution.
CNL 1.8. Expand organizational and community knowledge about diversity, and embrace cultural differences.
Economic
ECON 3.8. Preserve the City’s sense of place.
Health
Environmental
ENV 4.9. Meet or exceed all environmental regulations.
Health
HPG 7.10. Implement leading-edge and innovative practices that drive performance excellence and quality
improvements across all Service Areas.
HPG 7.12. Promote a values-driven organizational culture that reinforces ethical behavior, exercises transparency and
High Performing
maintains the public trust.
Government
HPG 7.3. Align similar jobs and skill sets across the organization to address succession planning and career
progression.
HPG 7.5. Optimize the use of technology to drive efficiency and productivity, and to improve services.
SAFE 5.1. Provide facilities and training capabilities to support a high caliber police force.
SAFE 5.2. Optimize the use of technology to drive efficiency, productivity and customer service.
SAFE 5.3. Align staffing levels to deliver services that meet community expectations and needs, and increase public
safety operational efficiency.
SAFE 5.5. Develop and implement emergency preparation, response and recovery plans across the organization in
Safe Community collaboration with other community efforts.
SAFE 5.6. Improve safety for all modes of travel including vehicular, pedestrian and bicycles.
SAFE 5.7. Use data to focus police efforts on reducing crime and disorder within the community.
SAFE 5.8. Improve community involvement, education and regional partnerships to make our community safer and
stronger.
SAFE 5.9. Partner with Poudre Fire Authority to provide fire and emergency services.
Police
Services
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
37
Risk Register (Police Services)
ID
Risk
Staffing (sworn/civilian) issues due to population growth or otherwise (FTE count
1 and recruiement/replacement) (1.10, 1.11, 1.12, 3.8, 5.1, 5.3, 5.6, 5.7, 5.8, 5.9, 7.1,
7.3, 7.12)
2 Capacity - resource limitations (i.e. time, infrastructure, etc.) excluding staffing
Conflicting External Priorities - various input from citizens forcing misalignment of
3
efforts
Regional/Inter-agency Partnerships lack cooperation (i.e. for dispatch, range,
4
financial task force)
5 Budget - Committed funds are not renewed (i.e. KFCG) (3.8, 5.1, 5.3, 5.5, 5.6)
6 Changing policies and priorities within the City over time
Culture Shift - managing change within force to become more data driven and take
7
advantage of technology
Labor Contract and implications force possible changes, restrictions, lack of
8
capability
Lack of Community Trust and/or Support resulting in funding issues (may be caused
9
by negative media)
Lack of Community Trust and/or Support interfering with ability to accomplish tasks
10
(i.e. investigations)
Technology Limitations (lack of timliness in data, dispatch updates, IT obsolescence,
11
conforming to inter-agency standards)
12 Lack of IT resources/support to address issues
Focusing on the wrong metrics; misalignment of goal and metric in pursuit of
13
accomplishing the strategic objectives
Misalignment of roles and responsibilities (i.e. marijuana regulation, homeless
14
issues, etc.)
3rd Party Vendors failing to meet expectation (i.e. implementation of program
15
failing due to 3rd party vendor failure)
16 Violations: performance/ethical violation by officers
17 Aging workforce
18 Organizational culture differences
19 Regulatory impact
20 Safety issues (i.e. injuries)
Budgetary miscommunication (capability to meet expectations with only partially
21
funded offers)
22 Space Requirements for FTE Growth (5.1)
23 Growth - Capital Projects (5.1, 5.2, 5.3, 5.8)
24 "Process" Impacts (7.1, 7.12, 5.3)
25 Increasing Impact of Technology (5.2, 5.3, 5.6, 5.7, 5.8, 5.8, 7.3, 7.5, 7.10)
26 Population Growth (5.1, 5.3, 5.5, 5.6, 5.7, 5.8)
27 Facilities (3.8, 5.1, 5.8, 5.9)
28 Training (1.12, 1.8, 7.10, 7.12, 5.1, 5.6, 5.9)
29 Training Facility (5.1, 5.8, 7.10)
30 Decentralization of Police (1.11, 5.1, 5.3, 5.7, 1.12)
Probability
Magnitude
Almost certain (>75%)
4 - High
Likely (50%-75%)
3 - Medium
Possible (25%-50%)
2 - Low
Possible (25%-50%)
3 - Medium
Possible (25%-50%)
Possible (25%-50%)
4 - High
3 - Medium
Likely (50%-75%)
2 - Low
Possible (25%-50%)
3 - Medium
Seldom (<25%)
3 - Medium
Seldom (<25%)
3 - Medium
Almost certain (>75%)
3 - Medium
Almost certain (>75%)
4 - High
Possible (25%-50%)
2 - Low
Possible (25%-50%)
2 - Low
Possible (25%-50%)
3 - Medium
Almost certain (>75%)
Likely (50%-75%)
Possible (25%-50%)
Possible (25%-50%)
Likely (50%-75%)
3 - Medium
3 - Medium
3 - Medium
2 - Low
3 - Medium
Seldom (<25%)
3 - Medium
Possible (25%-50%)
Likely (50%-75%)
Possible (25%-50%)
Almost certain (>75%)
Almost certain (>75%)
Likely (50%-75%)
Almost certain (>75%)
Almost certain (>75%)
Likely (50%-75%)
3 - Medium
3 - Medium
2 - Low
3 - Medium
4 - High
3 - Medium
4 - High
4 - High
3 - Medium
Risk Map and Risk Appetite (Police Services)
Police Services determined any risk rated with a combination of ‘3-Medium’ magnitude and ‘AAlmost Certain’ or above would warrant a mitigation plan. The resulting priority risks identified
were the following:
38
o Staffing (sworn/civilian) issues due to population growth or otherwise (FTE count
and recruitment/replacement
o Technology Limitations (lack of timeliness in data, dispatch updates, IT
obsolescence, conforming to inter-agency standards)
o Lack of IT resources/support to address issues
o Population Growth
o Training
o Training Facility
o Violations: performance/ethical violation by officers
o Increasing Impact of Technology
Risk Map
A-
Almost
certain
(>75%)
C-
D-
Possible
(25%50%)
1 Staffing (sworn/civilian) issues due
to population…
12 Lack of IT resources/support to
address issues
26 Population Growth (5.1, 5.3, 5.5,
5.6, 5.7, 5.8)
28 Training (1.12, 1.8, 7.10, 7.12, 5.1,
5.6, 5.9)
29 Training Facility (5.1, 5.8, 7.10)
7 Culture Shift - managing change
within force to be…
2 Capacity - resource limitations (i.e.
time, infras…
17 Aging workforce
20 Safety issues (i.e. injuries)
23 Growth - Capital Projects (5.1, 5.2,
5.3, 5.8)
27 Facilities (3.8, 5.1, 5.8, 5.9)
30 Decentralization of Police (1.11,
5.1, 5.3, 5.7, 1…
3 Conflicting External Priorities various input fr…
13 Focusing on the wrong metrics;
misalignment of goa…
14 Misalignment of roles and
responsibilities (i.e. m…
19 Regulatory impact
24 "Process" Impacts (7.1, 7.12, 5.3)
4 Regional/Inter-agency Partnerships 5 Budget - Committed funds are not
lack cooperatio…
renewed (i.e. KFC…
6 Changing policies and priorities
within the City o…
8 Labor Contract and implications
force possible cha…
15 3rd Party Vendors failing to meet
expectation (i.e…
18 Organizational culture differences
22 Space Requirements for FTE Growth
(5.1)
Likely
(50%75%)
Probability
B-
11 Technology Limitations (lack of
timliness in data,…
16 Violations: performance/ethical
violation by offic…
25 Increasing Impact of Technology
(5.2, 5.3, 5.6, 5.…
9 Lack of Community Trust and/or
Support resulting i…
10 Lack of Community Trust and/or
Support interfering…
21 Budgetary miscommunication
(capability to meet exp…
Seldom
(<25%)
1- Insignificant
2 - Low
3 - Medium
4 - High
Magnitude of Impact
Priority Risk Mitigation Plans (Police Services)
1. Staffing (sworn/civilian) issues due to population growth or otherwise (FTE count and
recruitment/replacement)
 Strategic Objectives Impacted: 1.10, 1.11, 1.12, 3.8, 5.1, 5.3, 5.6, 5.7, 5.8, 5.9, 7.1, 7.3, 7.12
 Risk Register ID: 1
 Author/Owner: Cory Christensen
 Probability: Almost Certain (>75%)
 Magnitude: 4 - High
39

Action:
 Existing


o
o
o
o
Mitigation
o
Ongoing hiring process to maintain staffing due to attrition
Existing staffing study work to determine the impacts growth has on need
Prioritizing the needs of the citizens and develop strategies to meet those needs
Cross training of personnel to meet increasing needs
Avoidance
 Reduce extra services provided by the organization
 Concentrate on core services required of police services
 Work to slow down annexation growth to help control the speed of
growth
o Prevention
 Work on reducing attrition for controllable reasons
o Reduction
 Seek additional FTEs to meet the increased demand from Police Services
 Outsource certain functions of Police Services that are not core to the
mission
o Acceptance
 Reduce services that are not core to the mission of Police Services
Strategic Plan Implications:
This will require a significant increase in FTE count for Police services. This is in both the sworn
police officers as well as the support services needed to maintain a professional law
enforcement organization.
2. Technology Limitations (lack of timeliness in data, dispatch updates, IT obsolescence, conforming
to inter-agency standards)
 Strategic Objectives Impacted: 7.10, 7.5, 5.2, 5.3, 5.7
 Risk Register ID: 11
 Author/Owner: Greg Yeager
 Probability: Almost Certain (>75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o Searching for latest technologies (continue)
o Searching for process improvements (continue)
o Partnering (continue)
o Changing personnel assignments to meet demands
 Mitigation
o Avoidance
 Consolidate technologies to reduce IT workload
 Research trends and SWOT
 Plan for future needs/Benchmark
 Budget for expansion of FCPS personnel
 Budget for expansion/change of hardware/software
o Prevention
 Decentralize IT and authorize knowledgeable PD Systems Unit staff
40

 Deploy sufficient number of PD Systems personnel
 Deploy technology solutions
o Reduction
 Prioritize needs and deploy resources to highest priorities
 Reduce/remove lower-priorities previously included as needed
 Partner for redundancy/assistance
o Acceptance
 Acceptance of vendor offerings without significant customization
Strategic Plan Implications:
This requires a reversal of the centralized IT model that has impeded FCPS technology progress
and responsiveness to identified issues. Funding and a new organizational structure must be
planned and executed.
3. Lack of IT resources/support to address issues
 Strategic Objectives Impacted: 7.5, 7.10, 5.2, 5.7
 Risk Register ID: 12
 Author/Owner: Greg Yeager
 Probability: Almost Certain (>75%)
 Magnitude: 4 - High
 Action:
 Existing
o Outsourcing (continue)
o Increased planning to control work flow more effectively (continue)
o Prioritizing List of needs and then delaying lower-level projects
 Mitigation
o Avoidance
 Consolidate technologies to reduce workload
 Research trends and SWOT
 Budget for expansion of FCPS personnel
 Outsource before deficits/delays
o Prevention
 Retain experienced IT employees
 Decentralize IT and authorize knowledgeable PD Systems Unit staff
 Deploy sufficient number of PD Systems personnel
 Deploy technology solutions
o Reduction
 Cross-train IT personnel for added support
 To include FCPS backgrounds in advance for quick deployment
 Prioritize needs and deploy resources to highest priorities
 Reduce/remove lower-priorities previously included as needs
 Partner for redundancy/assistance
 Outsource
o Acceptance
 Stop utilizing some technology
 Reduce some services
 Strategic Plan Implications:
41
This requires a reversal of the centralized IT model that has impeded FCPS technology progress
and responsiveness to identified issues. Funding and a new organizational structure must be
planned and executed.
4. Population Growth
 Strategic Objectives Impacted: 5.1, 5.3, 5.5, 5.6, 5.7, 5.8
 Risk Register ID: 26
 Author/Owner: Cory Christensen
 Probability: Almost Certain (>75%)
 Magnitude: 4 - High
 Action:
 Existing
o Develop tools to gauge the need to provide services as population grows in the City
o Continue to educate the community and city leaders on the impact growth has on
effective police services
o Work closely with planning to anticipate and plan for future growth
 Mitigation
o Avoidance
 Outsource functions usually handled by full time FTEs
o Prevention
 Increase FTEs to meet the growing population
 Capital projects to meet the needed space for decentralization of Police
Services
o Reduction
 Prioritize services delivered by Police Services.
 Decentralize Police Services to better meet the needs of our citizens by
offering geographically convenient locations
o Acceptance
 Prioritize core mission of Police Services and determine the “stop doing”
areas.
 Reduce services delivery including special units and hours of operation
 Strategic Plan Implications:
Population growth is unavoidable and this area has a high rate of growth. The strategic plan
must address strategies for Police Services to meet this increasing need. Much of that has to do
with increased staffing.
5. Training
 Strategic Objectives Impacted: 1.12, 1.8, 7.10, 7.12, 5.1, 5.6, 5.9
 Risk Register ID: 28
 Author/Owner: Cory Christensen
 Probability: Likely (50% - 75%)
 Magnitude: 4 - High
 Action:
 Existing
o Training Unit designed to assist the needs of employees
o Scheduling of personnel to allow for training hours
42
o

Review of training topics to maintain consistency and relevance of current training
methods
o Sponsor training to reduce overall cost and allow more employees to participate in
the event.
 Mitigation
o Avoidance
 Reduce training hours for all employees
 Train only officers on the minimum required topics to maintain POST
certification
 Eliminate any off site training
o Prevention
 Continue prioritizing training and topics to best meet the needs of our
community
o Reduction
 Add financial support to further training for all employees at Police Services
 Increase training time for not only sworn officers, but also support
personnel.
o Acceptance
 Prioritize training only necessary for the basic skills and knowledge
Strategic Plan Implications:
Training should be an important part of the strategic plan. It meets the career development of
employees as well as ensuring that Police Services continues to use best practices to meet the
needs of our citizens.
6. Training Facility
 Strategic Objectives Impacted: 5.1, 5.8, 7.10
 Risk Register ID: 29
 Author/Owner: Cory Christensen
 Probability: Almost Certain (>75%)
 Magnitude: 4 - High
 Action:
 Existing
o Excellent facilities for classroom and defensive tactics located at the Police
Headquarters building
o Indoor range for handgun firearms training that is in need of repair
o Long gun training is now facilitated at a remote facility that requires officers to drive
out of the city to train
o Inadequate facilities used for emergency vehicle operation training. Long distance
drive to find facilities that would meet our needs
o No facility to use for planned expansion to a hosted basic academy that will meet
the needs for future growth
 Mitigation
o Avoidance
 Range facilities will continue to move toward disrepair and become unsafe
for use
 Accept inadequate driver’s training which is one of the highest liability areas
for Police Services
43


Continue to use less than adequate or long distance facilities to meet the
minimum requirements for skills training for officers
o Prevention
 Build a centralized facility to meet the needs of Police Service skills based
training
 Build a centralized facility that will offer a facility so that Police Services can
have a hosted basic training police academy
 Build a track facility that can meet the needs for emergency vehicle
operation
o Reduction
 Repair the current firing range to maintain a safe environment for training
 Enter in to long term agreements with private venues to create and operate
training facilities
o Acceptance
 Training time will continue to be at a premium and valuable time will be
spent transporting employees to and from the training venue
 High liability skills training will suffer offering increased issue with police
officer use of force and vehicle operation
Strategic Plan Implications:
Capital expense to create a facility should appear on the strategic plan. Today’s focus on police
officer use of force and accountability points directly to the training of those officers. The
strategic plan talks about how we value the employee and seek ways to offer increased
knowledge, skills and abilities ot those employees. This mitigation directly supports that effort.
7. Violations: performance/ethical violation by officers
 Strategic Objectives Impacted:
 Risk Register ID: 16
 Author/Owner: Cory Christensen
 Probability: Almost Certain (>75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o Robust complaint system already in place to accept, investigate and act upon
allegations of misconduct by Police Services Employees
o Internal Affairs Sergeant specifically assigned to handle this area
o Ongoing ethics and conduct training for all employees
o High standards for hiring of new employees in Police Services
 Mitigation
o Prevention
 Increase resources to investigate allegations of misconduct by Police
Services Employees
 Increase the Body Worn Camera program to assist in detection and
investigation of misconduct
o Reduction
 Increase training and efforts to ensure compliance from employees to
ethical and policy direction
44


Increase capability for background investigations and adhere to strict
standards
Strategic Plan Implications:
Ethical standards and compliance is key to a quality and transparent organization.
8. Increasing Impact of Technology
 Strategic Objectives Impacted: 5.2, 5.3, 5.6, 5.7, 5.8, 5.8, 7.3, 7.5, 7.10
 Risk Register ID: 25
 Author/Owner: Greg Yeager
 Probability: Almost Certain (>75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o Training for FCPS personnel (continue)
o Prioritizing List of Needs and Then Delaying Lower-Level Projects
o Testing and Super-user groups for consulting/mentoring (continue)
o Evaluating increased personnel vs. technology solutions or outsourcing (continue)
 Mitigation
o Avoidance
 Consolidate technology to decrease strain/redundancy
 Research industry trends and conduct SWOT
 Utilize strategic planning for projects
o Prevention
 Involve stakeholders in needs assessments
 Project planning and management
o Reduction
 Managed quantity of projects per year
 Staged deployment
o Acceptance
 Personnel’s understanding of rapid changes and upgrades for this field
 Strategic Plan Implications:
This requires a reversal of the centralized IT model that has impeded FCPS technology progress
and responsiveness to identified issues. Funding and a new organizational structure must be
planned and executed; requires understanding of rapid developments that occur in less time
than budget cycles.
45
Community & Operations Services
Strategic Objectives Alignment (Comm & Ops)
Strategic Objective
Community and
Neighborhood
Livability
Culture and
Recreation
Economic
Health
Environmental
Health
High Performing
Government
Safe Community
Transportation
CNL 1.11. Maintain and enhance attractive neighborhoods through City services, innovative enforcement techniques,
and voluntary compliance with City codes and regulations.
CNL 1.2. Preserve the significant historical character of the community.
CNL 1.4. Preserve and provide responsible access to nature.
CNL 1.5. Preserve and enhance the City’s sense of place.
CNL 1.6. Promote health and wellness within the community.
CNL 1.7. Leverage and improve collaboration with other service agencies to address the prevention of homelessness,
poverty issues and other high priority human service needs.
CR 2.1. Improve low and moderate income citizen access to, and participation in, City programs and facilities.
CR 2.2. Develop effective marketing strategies that drive optimal attendance and revenue.
CR 2.3. Develop effective Operation and Maintenance (O&M) funding alternatives for City subsidized facilities and
programs.
CR 2.4. Maintain and enhance the current culture, recreation and parks systems.
CR 2.5. Plan, design and implement citywide park, recreation and trail improvements.
CR 2.6. Develop a clear strategic definition and description of the City’s role in the culture and arts while leveraging
partnerships with other community organizations.
CR 2.7. Promote a healthy community and responsible access to nature.
ECON 3.5. Sustain high water quality to support the community and water-dependent businesses.
ECON 3.6. Maintain utility systems and services; infrastructure integrity; and stable, competitive rates.
ECON 3.8. Preserve the City’s sense of place.
ECON 3.9. Provide transparent, predictable and efficient processes for citizens and businesses interacting with the
City.
ENV 4.1. Improve and protect wildlife habitat and the ecosystems of the Poudre River and other urban streams.
ENV 4.10. Conserve and restore biodiversity and habitat.
ENV 4.11. Demonstrate progress toward achieving zero waste within the community and the City organization.
ENV 4.3. Implement indoor and outdoor air quality improvement initiatives.
ENV 4.4. Reduce Greenhouse Gas (GHG) emissions by creating a built environment focused on green building and
mobile emission reductions.
ENV 4.5. Demonstrate progress toward achieving net zero energy within the community and the City organization
using a systems approach.
ENV 4.6. Engage citizens in ways to educate and change behavior toward more sustainable living practices.
ENV 4.7. Increase the community’s resiliency and preparedness for changes in climate, weather and resource
availability.
ENV 4.9. Meet or exceed all environmental regulations.
HPG 7.1. Improve organizational capability and effectiveness – professional development, leadership, change
management, strategic thinking, fiscal literacy and staff engagement.
HPG 7.10. Implement leading-edge and innovative practices that drive performance excellence and quality
improvements across all Service Areas.
HPG 7.11. Proactively influence policy at other levels of government regulation.
HPG 7.12. Promote a values-driven organizational culture that reinforces ethical behavior, exercises transparency and
maintains the public trust.
HPG 7.13. Continuously improve the City’s governance process.
HPG 7.4. Strengthen methods of public engagement and reach all segments of the community.
HPG 7.5. Optimize the use of technology to drive efficiency and productivity, and to improve services.
HPG 7.6. Enhance the use of performance metrics to assess results.
HPG 7.8. Assess effectiveness of safety initiatives, develop and implement safety initiatives to achieve safety goals,
and continue to focus on employee health and wellness.
HPG 7.9. Improve productivity, efficiency, effectiveness, customer service and citizen satisfaction in all areas of the
municipal organization.
SAFE 5.1. Provide facilities and training capabilities to support a high caliber police force.
SAFE 5.10. Provide a high-quality, sustainable water supply that meets or exceeds all public health standards and
supports a healthy and safe community.
SAFE 5.2. Optimize the use of technology to drive efficiency, productivity and customer service.
SAFE 5.3. Align staffing levels to deliver services that meet community expectations and needs, and increase public
safety operational efficiency.
SAFE 5.5. Develop and implement emergency preparation, response and recovery plans across the organization in
collaboration with other community efforts.
SAFE 5.6. Improve safety for all modes of travel including vehicular, pedestrian and bicycles.
SAFE 5.8. Improve community involvement, education and regional partnerships to make our community safer and
stronger.
SAFE 5.9. Partner with Poudre Fire Authority to provide fire and emergency services.
TRAN 6.3. Fill the gaps for all modes of travel and improve the current transportation infrastructure while enhancing the
aesthetic environment.
TRAN 6.6. Support efforts to achieve climate action goals by reducing mobile emissions and supporting multiple
modes of transportation.
Community &
Operation Services
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
46
Risk Register (Comm & Ops)
ID
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
Risk
Probability
Increased economic instability that would pull financial resources from community
Possible (25%-50%)
services (conflicting priorities, etc) (2.1, 2.2, 2.3, 2.5)
Lack of funding for renovations and maintenance of medians to meet the new
Possible (25%-50%)
standard (2.4, 7.1)
Staff resistance to customer service improvement (staff chosing not to implement
Possible (25%-50%)
programs) (2.2)
Loss of conservation trust money for trails in 2025 if not renewed (2.4)
Possible (25%-50%)
Expiration of dedicated sales taxes (i.e expiration of Help Preserve Open Space in
Possible (25%-50%)
2018 and BOB)
Damage to rec facilities from natural disaster, structural failures or other causes
Seldom (<25%)
(2.1)
Emerald Ash Borer in F.C reduces urban forest (1.2, 2.1, 4.2, 4.3)
Likely (50%-75%)
Increase competition from private cultural recreation organizations negatively
Possible (25%-50%)
impacts our ability to offer diverse programing (2.3)
Lack of future funding for maintenance in future parks; loss of general fund
support to maintain new parks and trails which prevents the build out of the
Possible (25%-50%)
park/trail system (1.2,4.5, 1.6, 2.1, 2.4, 2.2, 2.5, 7.1)
Decline of public interest in rec programs, and consequent loss of fee revenue
Possible (25%-50%)
(2.1, 2.2, 2.3)
Increasing demand for services stretches City resources (i.e reliance on the City
Possible (25%-50%)
cultural services as a driver for economic revitalization) (2.1, 2.2)
Lack of future funding (i.e BOB) for relocation causes the City to lose the
Possible (25%-50%)
downtown maintenance shop (3.3, 1.2, 2.4, 2.2)
Inability to maintain our level of service to meet high expectations due to growing
population, inability to maintain core service; demand outpaces ability to supply
Possible (25%-50%)
(impacts all)
Changing face of cultural product expectations (i.e. Lincoln center shows and
Possible (25%-50%)
museum displays) offered and the cost of such products (2.1, 2.3, 2.5)
Weather, competition and/or decreasing demand causes a decrease in the rounds
Possible (25%-50%)
of golf at all courses (1.2, 2.1)
Lack of funding to maintain or replace aging facilities, infrastructure and
Likely (50%-75%)
equipment (1.2, 2.1)
Changing demographic face of the community creates a paradigm shift in programs
desired (ability to provide a product that continues to appeal to your donor base
Likely (50%-75%)
while capturing new donors) (2.1, 2.3, 2.5)
Continuous improvement of consumer technology creates less demand for live
performances/services (i.e. consumer ability to access culture from home using
Possible (25%-50%)
technology) (2.1, 2.3, 2.2)
Low flows in the Poudre/water demands in the Poudre basin; decline river health
Possible (25%-50%)
(4.3, 4.1, 4.9, 4.10)
Reduction in General Fund support for rec programs facilities during difficult
Possible (25%-50%)
economic times (2.1, 2.2, 2.3)
Lack of alignment between strategic plan/BFO process and Service Area's overall
Seldom (<25%)
core services/initiatives; confusion, waste, lack of encouragement;
As regional entrepreneurs grow in both scope of programs offered gained in
number, fort collins may not be associated with cultural excellence (2.5) Increased Possible (25%-50%)
competition regionally
Climate change (i.e. water supplies, fire, energy demands, global insecurities) (4.1,
Likely (50%-75%)
4.10, 5.10)
Failure of IT systems impacting registration and or payment process for
Possible (25%-50%)
programs/services (2.1, 2.2)
Changes in media/marketing making it harder to reach patrons & visitors (2.2)
Seldom (<25%)
Capacity to run our facilities with current staff (2.3)
Possible (25%-50%)
Future uses of trolley barn will displace museum artifacts and storage (2.4)
Likely (50%-75%)
Emerging Technolgies that we aren't up to date on - impact effectiveness of
Possible (25%-50%)
providing Service (7.5)
Finding alternative funding sources (2.3)
Possible (25%-50%)
Cyber security breach (7.5)
Seldom (<25%)
Business continuity failure event (7.5)
Seldom (<25%)
Pace of tech change (7.5)
Almost certain (>75%)
KFCG not renewed (2.1, 2.4, 2.5)
Possible (25%-50%)
Homeless issues (1.5, 1.7, 2.4, 3.8)
Almost certain (>75%)
Lack of funding for carbon reduction plan
Possible (25%-50%)
Crowding in natural areas & on trails (2.4, 2.5)
Possible (25%-50%)
Availability of land for future parks (2.5, 2.7)
Likely (50%-75%)
Golf fund solvency
Possible (25%-50%)
Total Rewards - attract, retain, reward knowledgable, quality staff
Possible (25%-50%)
Power outage impacts servers at City Hall and Police
Seldom (<25%)
GHG emission reduction goals not met
Possible (25%-50%)
Magnitude
4 - High
2 - Low
2 - Low
4 - High
4 - High
4 - High
4 - High
2 - Low
4 - High
3 - Medium
3 - Medium
3 - Medium
3 - Medium
3 - Medium
2 - Low
4 - High
3 - Medium
3 - Medium
3 - Medium
3 - Medium
2 - Low
2 - Low
3 - Medium
3 - Medium
3 - Medium
3 - Medium
2 - Low
2 - Low
3 - Medium
4 - High
4 - High
2 - Low
4 - High
2 - Low
3 - Medium
2 - Low
2 - Low
3 - Medium
3 - Medium
3 - Medium
3 - Medium
47
Risk Map and Risk Appetite (Comm & Ops)
Community & Operations Services determined any risk rated with a combination of ‘3-Medium’
magnitude and ‘A-Almost Certain’ or above would warrant a mitigation plan. The resulting priority risks
identified were the following:
o
o
o
o
Emerald Ash Borer in F.C reduces urban forest
Lack of funding to maintain or replace aging facilities, infrastructure and equipment
Changing demographic face of the community creates a paradigm shift in programs
desired (ability to provide a product that continues to appeal to your donor base while
capturing new donors)
Climate change (i.e. water supplies, fire, energy demands, global insecurities)
Risk Map
A-
Almost certain
(>75%)
27 Future uses of trolley barn will
displace museum a…
37 Availability of land for future
parks (2.5, 2.7)
17 Changing demographic face of the
community creates…
23 Climate change (i.e. water
supplies, fire, energy …
7 Emerald Ash Borer in F.C reduces
urban forest (1.2…
16 Lack of funding to maintain or
replace aging facil…
2 Lack of funding for renovations and
maintenance o…
3 Staff resistance to customer service
improvement (…
8 Increase competition from private
cultural recreat…
15 Weather, competition and/or
decreasing demand caus…
22 As regional entrepreneurs grow in
both scope of pr…
28 Emerging Technolgies that we
aren't up to date on …
36 Crowding in natural areas & on
trails (2.4, 2.5)
10 Decline of public interest in rec
programs, and co…
11 Increasing demand for services
stretches City reso…
12 Lack of future funding (i.e BOB) for
relocation ca…
13 Inability to maintain our level of
service to meet…
14 Changing face of cultural product
expectations (i.…
18 Continuous improvement of
consumer technology crea…
19 Low flows in the Poudre/water
demands in the Poudr…
20 Reduction in General Fund support
for rec programs…
24 Failure of IT systems impacting
registration and o…
26 Capacity to run our facilities with
current staff …
29 Finding alternative funding
sources (2.3)
35 Lack of funding for carbon
reduction plan
38 Golf fund solvency
39 Total Rewards - attract, retain,
reward knowledgab…
41 GHG emission reduction goals not
25 Changes in media/marketing
making it harder to rea…
40 Power outage impacts servers at
City Hall and Poli…
1 Increased economic instability that
would pull fin…
4 Loss of conservation trust money for
trails in 202…
5 Expiration of dedicated sales taxes
(i.e expiratio…
9 Lack of future funding for
maintenance in future p…
33 KFCG not renewed (2.1, 2.4, 2.5)
Likely (50%-75%)
Probability
B-
32 Pace of tech change (7.5)
34 Homeless issues (1.5, 1.7, 2.4, 3.8)
C-
Possible (25%-50%)
D-
Seldom (<25%)
21 Lack of alignment between
strategic plan/BFO proce…
1- Insignificant
2 - Low
3 - Medium
6 Damage to rec facilities from
natural disaster, st…
30 Cyber security breach (7.5)
31 Business continuity failure event
(7.5)
4 - High
Magnitude of Impact
Priority Risk Mitigation Plans (Comm & Ops)
1. Emerald Ash Borer in F.C reduces urban forest
 Strategic Objectives Impacted: 1.2, 2.1, 4.2, 4.3
 Risk Register ID: 7
 Author/Owner: Tim Buchanan
48




Probability: Likely (50%-75%)
Magnitude: 4 – High
Action:
 Existing
o Finish a readiness and response management plan for EAB
o Stay current on EAB status within the State
o The City has approximately 8,100 ash on City property. A study is currently
underway to estimate the total number of ash trees in all of Fort Collins.
o Approximately 16% - 18% of the tree population in Fort Collins is composed of ash.
o City staff actively looks for signs and symptoms of EAB.
o USDA/APHIS and City Forestry place traps for EAB every year.
o A current analysis of the cost and benefits of the urban forest in Fort Collins is
nearing completion. This analysis will help us determine total impacts to our City
through the loss of ash. This will also be a tool used to determine future BFO offers
to fund EAB management.
o Public outreach must be ongoing. This will need to increase as the threat level
increases.
 Mitigation
o Avoidance
 It is not likely that Fort Collins will avoid having this pest impact the City of
Fort Collins.
 It is not a matter of “if” the pest will get here, but it is more a question of
“when” it will get here.
 Maintain involvement with outreach to limit wood transportation in an
effort to delay the arrival of EAB in Fort Collins.
o Prevention
 Once EAB is detected in or near Fort Collins then prevention can occur on
individual trees only through the use of pesticides.
 Individual trees can be protected from the beetle by the use of pesticides.
 Untreated trees have an extremely high probability of being killed by EAB.
o Reduction
 Impacts may be reduced some through selective removal of ash trees that
are in poor condition prior to EAB reaching Fort Collins.
 Pesticide treatments can help spread out the mortality over a longer period
of time. This may be a good strategy to help with the overall workload and
impact that EAB will have on Forestry.
o Acceptance
 A management plan is currently in draft form. The plan has focused
primarily on the pre-EAB detection options so far. The focus has now shifted
to determining a good working outline of what we will do when the pest is
first detected in Fort Collins.
Strategic Plan Implications:
 EAB is the worst pest to ever threaten urban forests in North America. With ash making up
between 16% - 18% of Fort Collins urban forest species, the impact of EAB is huge. As trees
are lost, canopy cover decreases. As a result we lose a lot of positive environmental
contributions these trees make in our community. Decreased shading, decreased carbon
storage, decreased storm water interceptions etc… are just a few examples.
49





Once EAB is found within Fort Collins, the Forestry Division will have to alter work priorities
as management needs shift. The need to focus on treating, removing and replacing dead or
dying ash will be top priorities. As a result other work may need to be put on hold.
There will be a need for future BFO offers to fund the management of EAB within the City.
City waste wood will have to be handled following pest management protocols. There will
be a lot of wood generated form City owned ash trees and alternative uses and markets are
currently being explored. However, at present, it is likely that most of the ash wood
collected will be turned into wood chip mulch.
Private waste wood will be a large issue. The landfill cannot accept the volume of wood
expected as a result of EAB killing private trees. Therefore an alternative site needs to be
selected to handle private ash that are killed from EAB.
Once EAB is detected in Fort Collins, the ability for Forestry to use licensed arborists as
contractors will probably decrease. The demand for services will be high from their private
customers. This will impact the workload on Forestry and may necessitate expanding our
crew and equipment to meet the workload demands.
2. Lack of funding to maintain or replace aging facilities, infrastructure and equipment
 Strategic Objectives Impacted: 1.2, 2.1
 Risk Register ID: 16
 Author/Owner: Ken Mannon/Mike Calhoon
 Probability: Likely (50%-75%)
 Magnitude: 4 – High
 Action:
 Mitigation
o Avoidance
 Develop information sheet regarding funding shortfalls.
 Seek alternative financing options.
o Prevention
 Determine what is critical and in need of replacement.
 Continue to encourage full funding through the BFO process.
 Continue to seek funding for staffing of new parks and medians.
o Reduction
 Determine when and how median upgrades are needed or required to new
standard.
 Look at alternative funding options for Golf Course irrigation replacement.
o Acceptance
 Consider raising perpetual Care fees to help offset operational costs.
3. Changing demographic face of the community creates a paradigm shift in programs desired
(ability to provide a product that continues to appeal to your donor base while capturing new
donors)
 Strategic Objectives Impacted: 2.1, 2.3, 2.5
 Risk Register ID: 17
 Author/Owner: Jill Stillwell/Bob Adams
 Probability: Likely (50%-75%)
 Magnitude: 3 – Medium
 Action:
50


Existing
o Recalibrate program offerings based on attendance history (what’s popular)
o Review usage and sales data from national sources
 Mitigation
o Avoidance
 Cannot avoid, prevent, or reduce changing demographics
o Acceptance
 Understand demographic trends data through on-going research
 Re-tool programming plans to better reflect demographics as they change
 Engage audiences/users/donors in program development
 Add and diversify program offerings across the spectrum to reduce risk in any
one category
 Pilot new programs and opportunities
 Continue to evaluate and calibrate programming based on trends and usage
 Potential decrease in revenue from donor/sponsors/user fees
Strategic Plan Implications:
 Resources (staffing, planning, and funding) are required to re-tooling programming plans,
engage audiences, and diversifying program offerings.
 Audience engagement requires increased social media and surveying technology.
 Experimentation is risky with the potential for failure of some programs.
 Plan for potential decrease in revenue as natural part of process – subsidize with General
Fund.
4. Climate change (i.e. water supplies, fire, energy demands, global insecurities)
 Strategic Objectives Impacted: 4.1, 4.10, 5.10
 Risk Register ID: 23
 Author/Owner: Ken Mannon
 Probability: Possible (25%-50%)
 Magnitude: 3 – Medium
 Action:
 Mitigation
o Avoidance
 Convince Council and City Manager that our services are as important as
others
 Get the community to convince Council that Community services are
important in both the good and the bad times.
o Prevention
 Use boards and commissions to communicate the need
 Communicate need in both the good and bad times. Provide strong
customer service so customers will communicate the importance of the
services.
 Come up with a better/more reliable cost recovery model that is data driven
and can be shared with Council (Council will ask for this data when hard
times come. We do already have the citizen survey, the Senior Center fund
raising board, etc. Some of these citizen groups have been successful in
past.)
o Reduction
51

o
There has been some leveraging between other service areas that have
happened in the past. Small possibility to shift monetary burden to another
department if the opportunity exists. (Not always possible)
Acceptance
 Sharing from other community programs (i.e. Bohemian, private industries,
community foundation) – collaborations with other private entities to
continue to offer some reduced programs (i.e. Columbine Health, PSD)
Sustainability
Strategic Objectives Alignment (Sustainability Services)
Strategic Objective
Community and
Neighborhood
Livability
Economic
Health
Environmental
Health
High Performing
Government
Safe Community
Transportation
CNL 1.1. Improve access to a broad range of quality housing that is safe, accessible and affordable.
CNL 1.11. Maintain and enhance attractive neighborhoods through City services, innovative enforcement techniques,
and voluntary compliance with City codes and regulations.
CNL 1.12. Foster positive and respectful neighbor relationships and open communication, as well as provide and
support conflict resolution.
CNL 1.3. Direct and guide growth in the community through appropriate planning, annexation, land use and
development review processes.
CNL 1.5. Preserve and enhance the City’s sense of place.
CNL 1.6. Promote health and wellness within the community.
CNL 1.7. Leverage and improve collaboration with other service agencies to address the prevention of homelessness,
poverty issues and other high priority human service needs.
CNL 1.8. Expand organizational and community knowledge about diversity, and embrace cultural differences.
CNL 1.9. Develop clear goals, strategic definition and description of the City’s social sustainability role within the
community.
ECON 3.1. Align economic health goals and strategy across all levels of the organization and refine and agree upon
the economic tools the City uses.
ECON 3.2. Improve policies and programs to retain, expand, incubate and attract primary employers where consistent
with City goals.
ECON 3.3. Support workforce development and community amenities initiatives that meet the needs of employers
within the City.
ECON 3.4. Improve effectiveness through collaboration with economic-health oriented regional partners.
ECON 3.5. Sustain high water quality to support the community and water-dependent businesses.
ECON 3.7. Support sustainable infill and redevelopment to meet climate action strategies.
ECON 3.8. Preserve the City’s sense of place.
ECON 3.9. Provide transparent, predictable and efficient processes for citizens and businesses interacting with the
City.
ENV 4.1. Improve and protect wildlife habitat and the ecosystems of the Poudre River and other urban streams.
ENV 4.10. Conserve and restore biodiversity and habitat.
ENV 4.11. Demonstrate progress toward achieving zero waste within the community and the City organization.
ENV 4.2. Achieve environmental goals using the Sustainability Assessment framework.
ENV 4.3. Implement indoor and outdoor air quality improvement initiatives.
ENV 4.4. Reduce Greenhouse Gas (GHG) emissions by creating a built environment focused on green building and
mobile emission reductions.
ENV 4.5. Demonstrate progress toward achieving net zero energy within the community and the City organization
using a systems approach.
ENV 4.6. Engage citizens in ways to educate and change behavior toward more sustainable living practices.
ENV 4.7. Increase the community’s resiliency and preparedness for changes in climate, weather and resource
availability.
HPG 7.1. Improve organizational capability and effectiveness – professional development, leadership, change
management, strategic thinking, fiscal literacy and staff engagement.
HPG 7.10. Implement leading-edge and innovative practices that drive performance excellence and quality
improvements across all Service Areas.
HPG 7.12. Promote a values-driven organizational culture that reinforces ethical behavior, exercises transparency and
maintains the public trust.
HPG 7.5. Optimize the use of technology to drive efficiency and productivity, and to improve services.
HPG 7.9. Improve productivity, efficiency, effectiveness, customer service and citizen satisfaction in all areas of the
municipal organization.
SAFE 5.8. Improve community involvement, education and regional partnerships to make our community safer and
stronger.
TRAN 6.3. Fill the gaps for all modes of travel and improve the current transportation infrastructure while enhancing the
aesthetic environment.
TRAN 6.5. Create and implement long-term transportation planning and help local and regional transportation networks
operate at a high level of efficiency, including the airport.
TRAN 6.6. Support efforts to achieve climate action goals by reducing mobile emissions and supporting multiple
modes of transportation.
Sustainability
Services
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
52
Risk Register (Sustainability Services)
ID
Risk
1 Federal funding of CDGB and HOME programs are significantly reduced
Significant change in the global/national economic and financial markets; sudden
2 dramatic rise in cost of fuel/utilities (through carbon regulation or fuel scarcity);
sudden/dramatic probhibitive changes to real estate interest rates
Significant change in political will regarding managing growth; make up of city
3
council; backlash against metro districts
4 Changes to URA Legislations (i.e. TIF disappears, mandatory 50% shareback)
5 Loss of large primary employer (i.e. HP, Woodward, Avago)
6 Housing vacancy rate falls below 5%
Natural disaster occurs within or adjacent to City (wildfire, water shortage, other
7
event), Food scarcity or major disease (4.7)
8 Reduction in CSU funding
Sustainability department is given unexpected projects that cannot be realistically
9
done well (7.1, 7.9)
Shift to short-sighted, short-term decision making by City Council or staff; Not
10
considering long-term and life cycle impacts
Misinformation (i.e on Climate and Sustainability issues) that prohibits decision
11
makers from taking productive action
12 Terrorist event
Change to a City Manager who isn't progressive; shift in strategic priorities and
13
objectives
14 Lack of internal orgnaizational alignment; shift in strategic priorities and objectives
15 Building codes and fees increase and make affordable housing difficult
16 Defunding of SSA/EHO/etc.; Significant reduction of budget
Loss of skilled workforce (internal and external); Mass retirement or other
17
attrition; Demographic shifts that affect workplace makeup
18 Federal grant increase city requirements/regulations (e.g. HUD grants)
Not able to accommodate needs (housing, transportation) of special needs
19
population (homeless, elderly)
Increase in federal regulation that has significant impact on City activities (i.e.
20
wastewater)
Sudden/dramatic population change (unable to keep up with City's needs in
21
housing/crime reduction); influx of population as climate refugees
Homeless missions closing; facilities for low-income loss; an affordable housing
project burns; mobile home parks close and forces displacement of low income;
22
one or more of our nonprofits housing developers folds down and displaces many
residents; people stop donating time/money to nonprofits (fewer social
23 Worsening air pollution and sickness (e.g. from oil/gas)
24 Significant rising healthcare costs
25 Climate change impacts vulnerable population
26 Housing costs increase and people have less to spend
27 Prolonged loss of electrical supply
28 Fracking lawsuit loss at state
29 KFCG not extended
30 Train dereailment in FC (4.7)
31 Not meet (2020) GHG Goal (4.4)
32 Development not follow City Plan (more sprawling, less efficient) (1.5, 3.7, 4.5)
33 Recycling system collapse (market falls further public sentiment shift) (4.10)
34 Lack of support for diversity and inclusilivity (1.8, 1.9)
35 Inability to foster AH development (1.1, 1.12, 1.3, 1.7, 1.9)
36 PRPA/cities don't support post 2020 CAP goals (4.5)
37 Federal regulation changes EPA Internal climate negotiation (4.4, 4.5)
38 Community opposition to density and infill (1.1, 1.3, 3.7)
39 Loss of strat regional partner (3.1, 3.2, 3.4)
40 Loss of primary partner (HW2020, CC, FCRM, etc) (1.5, 1.6, 1.7)
41 Technological constraint or advances in energy (4.5)
42 Economic downturn (3.2, 3.8, 1.5)
43 State regulatory change (3.2, 3.7)
Probability
Possible (25%-50%)
Magnitude
3 - Medium
Possible (25%-50%)
4 - High
Seldom (<25%)
4 - High
Almost certain (>75%)
Seldom (<25%)
Almost certain (>75%)
3 - Medium
3 - Medium
3 - Medium
Likely (50%-75%)
4 - High
Seldom (<25%)
2 - Low
Almost certain (>75%)
3 - Medium
Seldom (<25%)
3 - Medium
Possible (25%-50%)
3 - Medium
Seldom (<25%)
4 - High
Seldom (<25%)
4 - High
Possible (25%-50%)
Likely (50%-75%)
Seldom (<25%)
3 - Medium
3 - Medium
4 - High
Possible (25%-50%)
3 - Medium
Possible (25%-50%)
2 - Low
Likely (50%-75%)
3 - Medium
Likely (50%-75%)
3 - Medium
Seldom (<25%)
4 - High
Possible (25%-50%)
3 - Medium
Seldom (<25%)
Possible (25%-50%)
Possible (25%-50%)
Almost certain (>75%)
Seldom (<25%)
Likely (50%-75%)
Possible (25%-50%)
Seldom (<25%)
Possible (25%-50%)
Seldom (<25%)
Seldom (<25%)
Possible (25%-50%)
Possible (25%-50%)
Possible (25%-50%)
Seldom (<25%)
Likely (50%-75%)
Possible (25%-50%)
Seldom (<25%)
Seldom (<25%)
Likely (50%-75%)
Possible (25%-50%)
3 - Medium
3 - Medium
3 - Medium
3 - Medium
3 - Medium
2 - Low
4 - High
4 - High
3 - Medium
3 - Medium
3 - Medium
2 - Low
3 - Medium
3 - Medium
3 - Medium
4 - High
2 - Low
3 - Medium
3 - Medium
4 - High
2 - Low
53
Risk Map and Risk Appetite (Sustainability Services)
Sustainability Services determined any risk rated with a ‘3-Medium’ or above and a likelihood of ‘AAlmost Certain’, or risks rated ‘4-High’ and ‘B-Likely’ would warrant a mitigation plan. The resulting
priority risks identified were the following:
o
o
o
o
o
o
o
A-
Probability
B-
C-
D-
Changes to URA Legislations (i.e. TIF disappears, mandatory 50% shareback)
Housing vacancy rate falls below 5%
Sustainability department is given unexpected projects that cannot be realistically done
well
Housing costs increase and people have less to spend
Community opposition to density and infill
Economic Downturn
Natural disaster occurs within or adjacent to City (wildfire, water shortage, other event),
Food scarcity or major disease
Risk Map
4 Changes to URA Legislations (i.e. TIF
disappears, …
6 Housing vacancy rate falls below 5%
9 Sustainability department is given
unexpected proj…
26 Housing costs increase and people have
less to spe…
Almost certain
(>75%)
28 Fracking lawsuit loss at state
15 Building codes and fees increase and
make affordab…
19 Not able to accommodate needs
(housing, transporta…
20 Increase in federal regulation that has
significan…
18 Federal grant increase city
requirements/regulatio…
34 Lack of support for diversity and
inclusilivity (1…
39 Loss of strat regional partner (3.1, 3.2,
3.4)
43 State regulatory change (3.2, 3.7)
1 Federal funding of CDGB and HOME
2 Significant change in the global/national
programs are sign…
economic…
11 Misinformation (i.e on Climate and
29 KFCG not extended
Sustainability …
14 Lack of internal orgnaizational
alignment; shift i…
17 Loss of skilled workforce (internal and
external);…
22 Homeless missions closing; facilities
for low-inco…
24 Significant rising healthcare costs
25 Climate change impacts vulnerable
population
31 Not meet (2020) GHG Goal (4.4)
35 Inability to foster AH development (1.1,
1.12, 1.3…
36 PRPA/cities don't support post 2020 CAP
goals (4.5…
8 Reduction in CSU funding
5 Loss of large primary employer (i.e. HP,
Woodward,…
10 Shift to short-sighted, short-term
decision making…
23 Worsening air pollution and sickness
(e.g. from oi…
27 Prolonged loss of electrical supply
32 Development not follow City Plan (more
sprawling, …
33 Recycling system collapse (market falls
further pu…
37 Federal regulation changes EPA Internal
climate ne…
40 Loss of primary partner (HW2020, CC,
FCRM, etc) (1…
41 Technological constraint or advances in
energy (4.…
Likely (50%-75%)
Possible (25%-50%)
Seldom (<25%)
1- Insignificant
2 - Low
3 - Medium
7 Natural disaster occurs within or
adjacent to City…
38 Community opposition to density and
infill (1.1, 1…
42 Economic downturn (3.2, 3.8, 1.5)
3 Significant change in political will
regarding man…
12 Terrorist event
13 Change to a City Manager who isn't
progressive; sh…
16 Defunding of SSA/EHO/etc.; Significant
reduction o…
21 Sudden/dramatic population change
(unable to keep …
30 Train dereailment in FC (4.7)
4 - High
Magnitude of Impact
Priority Risk Mitigation Plans (Sustainability Services)
1. Changes to URA Legislations (i.e. TIF disappears, mandatory 50% shareback)
54







Strategic Objectives Impacted: 1.3, 3.7, 3.8
Risk Register ID: 4
Author/Owner: Josh Birks
Probability: Almost Certain (>75%)
Magnitude: 3 - Medium
Action:
 Existing
o Adapting to recent passage of House Bill 2015-1348
o Proposed substantial modification to the Midtown Urban Renewal Plan to exclude
all property not within an existing tax increment district
o Work with the Colorado Municipal League to propose additional changes to the
Urban Renewal Statute to address uncertainty created by House Bill 2015-1348
 Mitigation
o Avoidance
o Prevention
 Engage with underlying taxing entities to understand concerns about tax
increment financing
o Reduction
 Reach out to underlying taxing entities to understand concerns and include
them in future urban renewal planning
Strategic Plan Implications:
 Could limit the ability of the community to achieve infill and redevelopment goals outlined
in City Plan
 May have a broader impact on the efficient use of land within the community thereby
reducing the community’s ability to direct and guide growth, preserve the community’s
sense of place, and achieve climate action goals
2. Housing vacancy rate falls below 5%
 Strategic Objectives Impacted: 1.1
 Risk Register ID: 6
 Author/Owner: Beth Sowder
 Probability: Almost Certain (>75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o HUD Community Development Block Grant funding and Affordable Housing Fund to
assist with new affordable housing units and rehabilitation or preservation of
existing affordable units
o Human Service Fund to assist with housing counseling and homelessness prevention
programs
o Homebuyers Assistance Program assists first-time homebuyers with down payment
assistance
o Affordable Housing 5-year Strategic Plan identifies strategies for improving
availability of affordable housing
 Mitigation
o Avoidance
55


Social Sustainability Department (SSD) strategic plan has several goals
related to increasing housing opportunity and availability for all residents
o Prevention
 SSD strategic plan has a goal specific to advocating for affordable housing
options for special populations
 SSD strategic plan has goals related to supporting housing stability
o Reduction
 SSD strategic plan has goals related to supporting specialized niches on the
housing continuum
Strategic Plan Implications:
Not addressing this risk compromises our ability to support the City’s goal to “Improve access to
a broad range of quality housing that is safe, accessible, and affordable.”
3. Sustainability department is given unexpected projects that cannot be realistically done well
 Strategic Objectives Impacted: 7.1, 7.9
 Risk Register ID: 9
 Author/Owner: Lucinda Smith
 Probability: Almost Certain (>75%)
 Magnitude: 3 – Medium
 Action:
 Existing
o ELT periodic enterprise-wide prioritization process
o Range of initiatives to continue progress with performance excellence journey
o SSA development of departmental strategic plans, and subsequent efforts to
prioritize
o Staff time-tracking to document time expenditure and better make the case about
work load impacts of new projects
 Mitigation
o Avoidance
 If it occurs, it cannot be avoided
 Limited cases may exist where new projects may be appropriately
reassigned to other departments
o Prevention
 Continued work with City Council to assist them in prioritizing
 Continued development and then implementation of a process to assess
impact of new project and identify what will not be done in order to
complete new assignment
o Reduction
 Consideration of whether the new project can be deferred to a later time
 Seeking additional resources (intern, grant funding, etc.) to complete
project
 Strategic Plan Implications:
 Not addressing this risk compromises the our ability to support the City’s goal to “To
systematically, creatively, and thoughtfully utilize environmental, human, and economic
resources to meet our present needs and those of future generations without compromising
the ecosystems on which we depend”.
56

Also impacts ability to deliver on HPG7.1 (improve organization capacity and effectiveness)
and HPG 7.9 – improve productivity, efficiency, effectiveness, customer service and citizen
satisfaction in all areas of the municipal organization.
4. Housing costs increase and people have less to spend
 Strategic Objectives Impacted: 1.1, 1.6
 Risk Register ID: 26
 Author/Owner: Beth Sowder
 Probability: Almost Certain (>75%)
 Magnitude: 3 – Medium
 Action:
 Existing
o HUD CDBG grant funding, Affordable Housing Fund, Human Services Fund – assist
non-profit partners provide services to qualified people so they can receive services
(e.g. childcare scholarships, eldercare, respite care, etc.)
o Collaboration/partnership with non-profit providers in the community that we refer
people to
 Mitigation
o Avoidance
 SSD strategic plan has goals related to increasing access to full spectrum of
healthcare
 SSD strategic plan has goals related to closing skills gaps and increasing
career pathways
o Prevention
 SSD strategic plan has goals related to increasing availability and access to
mental and behavioral healthcare
 SSD strategic plan has goals related to connections and networks for
emotional, spiritual, and intellectual wellbeing
 SSD strategic plan has goals related to supporting financial literacy initiatives
o Reduction
 SSD strategic plan has goals related to increasing access to healthy food
 Strategic Plan Implications:
Not addressing this risk compromises our ability to support the City’s goal to “Improve access to
a broad range of quality housing that is safe, accessible, and affordable. Promote health and
wellness within the community. Address the impact of increasing poverty and homelessness.”
5. Community opposition to density and infill
 Strategic Objectives Impacted: 1.1, 1.3, 3.7
 Risk Register ID: 38
 Author/Owner: Josh Birks
 Probability: Likely (50% - 75%)
 Magnitude: 4 - High
 Action:
 Existing
o Updating the Downtown Strategic Plan to reflect current planning and community
desires
 Mitigation
57
o
o

Avoidance
Prevention
 Develop communication tools to underscore the benefits and community
objectives supported by density and infill development (e.g., climate action,
growth management, alternative transportation modes, etc.)
o Reduction
 Continue to review and improve land use code and design guidelines to
minimize the impacts of density on surrounding uses
Strategic Plan Implications:
 Could limit the ability of the community to achieve infill and redevelopment goals outlined
in City Plan
 May have a broader impact on the efficient use of land within the community thereby
reducing the community’s ability to direct and guide growth, preserve the community’s
sense of place, and achieve climate action goals
6. Economic Downturn
 Strategic Objectives Impacted: 3.2, 3.8, 1.5
 Risk Register ID: 42
 Author/Owner: Josh Birks
 Probability: Likely (50% - 75%)
 Magnitude: 4 - High
 Action:
 Existing
o Outreach to top primary employers regarding their retention and expansion
o Form and develop industry clusters = diversification which provides insulation from
economic downturns
o Support CSU and Federal lab funding at the state and nationally – supports
diversification and counter-cyclical employers
 Mitigation
o Avoidance
o Prevention
o Reduction
 Continue above existing efforts
 Develop training programs to address local employers current and future
needs – aids in avoiding negative impacts of downturn on the community by
providing more reliable sources of employment over the long-run
 Strategic Plan Implications:
The economy impacts all the forms of revenue the City relies upon – sales tax, property tax,
fees, etc. – therefore, an economic downturn reduces available funds throughout the City
making it more difficult to deliver on most strategic objectives
7. Natural disaster occurs within or adjacent to City (wildfire, water shortage, other event), Food
scarcity or major disease
 Strategic Objectives Impacted: 4.7
 Risk Register ID: 7
 Author/Owner: Lucinda Smith
 Probability: Likely (50% - 75%)
58



Magnitude: 4 - High
Action:
 Existing
o BFO-funded project to develop plans for the City to prepare for two high risk/high
vulnerability natural events; extreme heat and wildfire. A consultant has been
selected, multi-department workshops will be held Fall 2015, and plans will be
developed.
o Halligan Reservoir - An effort to enlarge the existing Halligan Reservoir storage by
8,125 acre-feet for City of Fort Collins Utilities to meet future water supply needs.
o City flood plain regulations - Provides a proactive set of regulations to protect
people and property from the impacts of flooding.
o Water Conservation policy and programs
 Mitigation
o Avoidance
 These risks cannot be simply avoided
o Prevention
 Many steps can be taken to prevent or reduce the risk of and impacts from
natural disaster, but much is not in our control.
 Economic Health Strategic Plan contains an element to help businesses
better prepare for climate change impacts/extreme weather events (i.e.
obtain improved insurance)
 Healthy Homes program can assist residents in making their homes as safe
and secure as possible so they can ‘shelter in place”
o Reduction
 Existing – Flood Warning system
 Existing – pre-sedimentation pond to filter particulates out of water prior to
treatment, in case of wildfire
 Implementation of response plans for extreme heat and wildfire should
lessen the magnitude of impacts to citizens
 Consider appropriating an emergency response fund with City government
to lessen financial burden on departmental budgets (e.g. unbudgeted cost
for extensive snow plowing)
Strategic Plan Implications:
Underscores the importance of ENV 4.7 – Increase the community’s resiliency ad preparedness
for changes in climate, weather, and resource availability.
59
Additional detail on existing actions (CAP S.I. Team on Preparation and Resilience, Existing Project List):
Name
Brief Description
Impact (How does this project relate to City's GHG goals and/or CAP
Plan?)
Pay-As-You-Throw Ordinance
Variable-rate pricing program where residents are charged for the collection of
municipal solid waste based on the amount they throw away.
Reduces City's waste stream, encourages behavior change, and reduces
potential methane emissions in landfills.
An effort to enlarge the existing Halligan Reservoir storage by 8,125
acre-feet for City of Fort Collins Utilities to meet future water supply
needs.
This project is aimed at preparing to meet water supply needs with
impacts from climate change. It is also a gravity-fed option, which
eliminates the power demands (and associated GHG) from alternatives
which would require pumping.
Life-safety and property protection measure requirements for
development in the 100-year floodplain. Many standards are higher
than FEMA or State minimum standards.
Provides a proactive set of regulations to proctect people and property
from the impacts of flooding.
The Drainage Basin Master Plans identify existing stromwater
problems and recommend mitigation strategies. Capital projects are
constructed to help rsolve these problems.
Identifies the risks and reduces the impact flooding has on the
community.
Internal and external stakeholders review outreach efforts related to
flooding and corrdinate on target audiences, messages, and projects
to create consitent messaging for the public.
Consitent public outreach messages to the public to help informa
citizens of the flood risk and things they can do to protect themselves
and their property.
Halligan Reservoir Enlargement
Floodplain Regulations - Chapter 10 of City Code
Drainage Basin Master Planning and Stormwater
Capital Projects
Fort Collins Floodplain Management Public
Information Committee
Drainage Criteria and LID regualtions
Flood Warning System
Floodplain Public Outreach Efforts
Floodplain Regualtions - Chapter 10 of City Code
Drainage Basin Master Planning and Stormwater
Capital Projects
Fort Collins Floodplain Management Public
Information Committee
Drainage Criteria and LID regualtions
Flood Warning System
Floodplain Public Outreach Efforts
Nature in the City
Urban Forest Management
FortZED
Lose-A-Watt Energy Prize Competition
Coalition for Poudre River Watershed
Poudre River Health Assessment current
desired range of conditions
Policies and provides drainage criteria for all new stormwater design
and construction activities.
Sets stormwater policies and provides drainage criteria for all new
stormwater design and construction activities.
Real-time rainfall, streamflow and weather informaiton from 54 gage
sites. Staff is on-call 24-7 from mid-April until the end of September to
monitor conditions and respond to flood events
Provides early detection fof rainfall and streamflow conditions and
provides alerts to Stormwater and Emergency Resonse personnel of
the potential of hazardous conditions.
Puclic outreach to floodplain residents, realtors, lenders, insuracne
agents, property managers, drivers, and the general public about the
Life-safety and property protection measure requirements for
development in the 100-year floodplain. Many standards are higher
Provides public awareness about the risks of flooding in Fort Collins
and ways to reduce the risk.
Provides a proactive set of regulations to proctect people and property
from the impacts of flooding.
The Drainage Basin Master Plans identify existing stromwater
problems and recommend mitigation strategies. Capital projects are
constructed to help rsolve these problems.
Identifies the risks and reduces the impact flooding has on the
community.
Internal and external stakeholders review outreach efforts related to
Consitent public outreach messages to the public to help informa
flooding and corrdinate on target audiences, messages, and projects citizens of the flood risk and things they can do to protect themselves
to create consitent messaging for the public.
and their property.
Policies and provides drainage criteria for all new stormwater design
Sets stormwater policies and provides drainage criteria for all new
and construction activities.
stormwater design and construction activities.
Real-time rainfall, streamflow and weather informaiton from 54 gage
Provides early detection fof rainfall and streamflow conditions and
sites. Staff is on-call 24-7 from mid-April until the end of September to provides alerts to Stormwater and Emergency Resonse personnel of
monitor conditions and respond to flood events
the potential of hazardous conditions.
Public outreach to floodplain residents, realtors, lenders, insuracne
agents, property managers, drivers, and the general public about the
Provides public awareness about the risks of flooding in Fort Collins
flood risk in Fort Collins and important steps that can be taken to
and ways to reduce the risk.
reduce the impact of flooding.
As community grows to build out, all residents will have access to high
quality, natural spaces close to where they live and work.
Provides carbon sequestration, urban forest, habitat/ecosystem
services, reduction of urban heat island, stormwater mgmt
Provides carbon sequestration, urban forest, habitat/ecosystem
services, reduction of urban heat island, stormwater mgmt, community
livability
Innovative demonstration projects with partners to accelerate climate
and energy policy goals
Community engagement, alt. financing for energy upgrades,
2 year competition for $5M prize for energy efficiency and innovation
education, partnership, energy reduction (hopefully) for NG/electricity
Public/Private partnership to address 2012 fire impacts and mitigate
Mitigate wildfire impacts from 2012 fire and future, water quality
future wildfire events (?)
management
Poor river water quality requires more intense drinking water and
A collaboration between FCU and NAD that provides an assessment
wastewater treatment (energy intensive, chemical usage). An intact,
Framework to evaluate current conditions of the Poudre River and to
healthy riparian corridor offers heat relief through shaded walk/bike
develop goals for river system health.
ways and access to the water for recreation.
Ongoing management of City's Urban Forest on streets, parks, etc.
Triple helix partnership between CSU, City, and CCEC (business)
focusing on energy innovation
The Source Water Quality Monitoring programs for Horsetooth
Reservoir and the Upper Poudre are collaborative efforts with
Northern (for HT) as well as the City of Greeley and Tri-Districts (Upper
Poudre) designed to monitor trends in raw drinking water quality and
indicators of watershed health.
These programs offer early warning and tracking of water quality issues
that could potentially result in upgrades to water treatment faciltiy
and/or more intensive treatment technologies. They offer
opportunities to address the root cause (watershed) of most water
quality issues, which are substantially less energy intensive and
contribute fewer GHG's than intensive treatment upgrades.
Partnership between Fort Collins and Greeley, with the Town of
Windsor, the Boxelder and South Fort Collins Sanitation Districts,
Carestream Health and CSU to track regulatory changes and
water quality trends in the Poudre River.
This monitoring program offers early warning and tracking of water
quality issues that could potentially result in the need for upgrades to
water reclamation facilties and/or more intensive treatment
technologies to meet water quality regulations. It offers opportunities
to address the root causes (watershed, adequate streamflows) of
water quality issues, which is substantially less energy intensive and
contributes fewer GHG's than implementing intensive treatment
technologies.
Environmental Management Systems for
Streets, WTF and DWRF
In accordance with the City Environmental Policy, the referenced
facilities are currently implementing Environmental Management
Systems to ensure we continue to meet and exceed our regulatory
requirements, prevent pollution in all aspects of our operations and
foster a culture of continuous improvement related to environmental
performance.
Reduce City's GHG usage through setting measureable and achievable
emission reduction goals. Examples are specific to the facility, but
include reducing vehicle usage, electric efficiency upgrades, process
improvements and other behavioral cahnges in electric or fuel usage.
Cyanotoxin Monitoring and Response Plan
This is a preemptive, early warning program that mitigates the risk of
In response to the EPA's recent Health Advisory for Cyanotoxins, the
cyanotoxin exposure of FCU customers that becomes more likely under
FCWTF has developed a cyanotoxin monitoring and response plan.
future climate changes, particularly prolonged periods of warmer
While currently at low risk, future changes in reservoir operations and
summer temperatures. It is a GHG avoidance tactic, that would reduce
warmer air temperatures under future climate scenarios elevate the
the likelihood of expensive treatment, and or dependence on
risk of cyanotoxin production in Horsetooth Reservoir.
alternative water sources (bottled water) in the event of restricted use.
Source Water Quality Monitoring Programs
(Horseoth & Upper Poudre)
Lower Poudre Monitoring Alliance
WTF Photovoltaic "Farm"
Gregg Stonecipher can provide details 970-416-2524
Provides alternative energy source and reduces GHGs at WTF
WTF Micro-hydro electric turbine project
Gregg Stonecipher can provide details 970-416-2524
Exploration of renewable energy production and WTF
Residential assessments provide best practice recommendations to
help mitigate the causes of poor indoor air quality.
Rebates for electric mower purchases and gas powered motor
recycling
Loan program to upgrade or replace old fireplace or wood stove, also
includes mold remedition
Reduces GHG and ground level ozone
Healthy Homes Program
Electric mower rebate program and
accompanying ozone education
Zero Interest AQ loan program
Reduces emissions from wood smoke
Air quality monitoring
Demand management programs
AMI/Smart Grid Implementation
Undergrounded electric system
DR programs through Energy Services provide information or direct
install thermostat and other tech. to help mitigate peak energy load
from A/C and electric water heaters
Upgrading of electric and water meters to digital system with 2 way
communication
Undergrounded electric distribution cables
Reduces some GHG and manages peak energy loads for electric
distribution system- helps offset costs and future energy production
demands
assists in integration of renewables onto system, self healing, can
facilitate microgrid technology
Increases reliability and avoids many impacts from weather related
events that might cause outages
60
Planning Development & Transportation Services (PDT)
Strategic Objectives Alignment (PDT)
Strategic Objective
CNL 1.10. Address neighborhood parking issues.
CNL 1.11. Maintain and enhance attractive neighborhoods through City services, innovative enforcement techniques,
and voluntary compliance with City codes and regulations.
CNL 1.12. Foster positive and respectful neighbor relationships and open communication, as well as provide and
Community and support conflict resolution.
Neighborhood CNL 1.2. Preserve the significant historical character of the community.
Livability
CNL 1.3. Direct and guide growth in the community through appropriate planning, annexation, land use and
development review processes.
CNL 1.4. Preserve and provide responsible access to nature.
CNL 1.5. Preserve and enhance the City’s sense of place.
CNL 1.6. Promote health and wellness within the community.
CR 2.1. Improve low and moderate income citizen access to, and participation in, City programs and facilities.
CR 2.5. Plan, design and implement citywide park, recreation and trail improvements.
Culture and
CR 2.6. Develop a clear strategic definition and description of the City’s role in the culture and arts while leveraging
Recreation
partnerships with other community organizations.
CR 2.7. Promote a healthy community and responsible access to nature.
ECON 3.10. Address Downtown parking issues identified in the adopted Parking Plan, including funding, convenient
access, and integrated transit and alternate mode solutions.
ECON 3.2. Improve policies and programs to retain, expand, incubate and attract primary employers where consistent
with City goals.
ECON 3.3. Support workforce development and community amenities initiatives that meet the needs of employers
Economic
within the City.
Health
ECON 3.4. Improve effectiveness through collaboration with economic-health oriented regional partners.
ECON 3.6. Maintain utility systems and services; infrastructure integrity; and stable, competitive rates.
ECON 3.7. Support sustainable infill and redevelopment to meet climate action strategies.
ECON 3.8. Preserve the City’s sense of place.
ECON 3.9. Provide transparent, predictable and efficient processes for citizens and businesses interacting with the
City.
ENV 4.1. Improve and protect wildlife habitat and the ecosystems of the Poudre River and other urban streams.
ENV 4.11. Demonstrate progress toward achieving zero waste within the community and the City organization.
ENV 4.2. Achieve environmental goals using the Sustainability Assessment framework.
ENV 4.3. Implement indoor and outdoor air quality improvement initiatives.
ENV 4.4. Reduce Greenhouse Gas (GHG) emissions by creating a built environment focused on green building and
Environmental mobile emission reductions.
Health
ENV 4.6. Engage citizens in ways to educate and change behavior toward more sustainable living practices.
ENV 4.7. Increase the community’s resiliency and preparedness for changes in climate, weather and resource
availability.
ENV 4.8. Protect and monitor water quality, and implement appropriate conservation efforts and long-term water
storage capability.
ENV 4.9. Meet or exceed all environmental regulations.
HPG 7.1. Improve organizational capability and effectiveness – professional development, leadership, change
management, strategic thinking, fiscal literacy and staff engagement.
HPG 7.10. Implement leading-edge and innovative practices that drive performance excellence and quality
improvements across all Service Areas.
HPG 7.11. Proactively influence policy at other levels of government regulation.
HPG 7.12. Promote a values-driven organizational culture that reinforces ethical behavior, exercises transparency and
High Performing maintains the public trust.
Government
HPG 7.3. Align similar jobs and skill sets across the organization to address succession planning and career
progression.
HPG 7.4. Strengthen methods of public engagement and reach all segments of the community.
HPG 7.5. Optimize the use of technology to drive efficiency and productivity, and to improve services.
HPG 7.6. Enhance the use of performance metrics to assess results.
HPG 7.9. Improve productivity, efficiency, effectiveness, customer service and citizen satisfaction in all areas of the
municipal organization.
SAFE 5.1. Provide facilities and training capabilities to support a high caliber police force.
SAFE 5.3. Align staffing levels to deliver services that meet community expectations and needs, and increase public
safety operational efficiency.
SAFE 5.5. Develop and implement emergency preparation, response and recovery plans across the organization in
Safe Community
collaboration with other community efforts.
SAFE 5.6. Improve safety for all modes of travel including vehicular, pedestrian and bicycles.
SAFE 5.8. Improve community involvement, education and regional partnerships to make our community safer and
stronger.
TRAN 6.1. Improve safety of all modes of travel.
TRAN 6.2. Improve transit availability and grow ridership through extended hours, improved headways, and Sunday
service in appropriate activity centers.
TRAN 6.3. Fill the gaps for all modes of travel and improve the current transportation infrastructure while enhancing the
aesthetic environment.
TRAN 6.4. Improve traffic flow for all modes of transporting people, goods and information to benefit both individuals and
Transportation the business community.
TRAN 6.5. Create and implement long-term transportation planning and help local and regional transportation networks
operate at a high level of efficiency, including the airport.
TRAN 6.6. Support efforts to achieve climate action goals by reducing mobile emissions and supporting multiple
modes of transportation.
TRAN 6.7. Create and implement planning, engineering and financial strategies to address adequate infrastructure
within the northeast area of Fort Collins.
Planning, Dev &
Transportation
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
61
Risk Register (PDT)
ID
1
2
3
4
5
6
Risk
Probability
Changes in CSU policies and programs (i.e. Development growth or growing
student population, pricing of student housing etc, management practices,
Almost certain (>75%)
anything that affects parking, transportation, etc.) 1.5
Train impacts on community/quality of life (1.5, 3.8, 4.4, 5.6, 6.1, 6.4, 6.6)
Almost certain (>75%)
Lack of long-term dedicated funding sources and potential loss of KFCG funding
Likely (50%-75%)
impact ongoing operations and capital projects (6.2, 6.3, 6.4, 6.5, 6.6, 6.7)
Recession/Downturn in economic activity that impacts funding for longer term or
Seldom (<25%)
progressive projects programs (7.2, 7.3)
Policy regarding Equipment Replacement (i.e. costs of service, response time
affected, quality of work, replacing equipment with CNG) impacts the level of
Possible (25%-50%)
service streets can provide
Re-aligning plans and policies / code for development that reflect FC now
(outdated policies and plans/codes/fees not able to meet current needs/culture in
Likely (50%-75%)
development; do we have the tools we need to create the product we want?) (1.2,
1.3, 3.1, 3.2)
fire drills, reactive prioritization; the risk of not accomplishing current priorities
due to unexpected, low-priority tasks or short-term, unaligned new priorities sent
7 down from higher management (not work plans, but the ones that come on a day Almost certain (>75%)
to day basis); 1) new things that interfer with current strategy 2) work load volume
that cannot be taken care of by current work force; lack of flexibility in staffing.
Changing priorities impact long-term plan or vision when it comes time to cut or
prioritize projects or allocate funding; Adequate support from council and
8
executive management to help achieve long term goals and meet critical
community needs
Staffing issues,( i.e. maintaining a high-end work force with high level expertise;
Brain drain and succession planning - ability to retain top talent; transfer of
9 knowledge to new workforce (all); how do we retain; not be able to complete with
the private sector and other public sectors in compensation; Policy and politics in
setting wages (7.1, 7.3)
Risks to certainty of Federal Funding (makes up 30% of funding) (e.g. ADA
10
Compliance and Title VI)
11 infrastructure doesn't support existing need and impacts new development (APF)
Magnitude
3 - Medium
4 - High
4 - High
3 - Medium
3 - Medium
3 - Medium
4 - High
Likely (50%-75%)
3 - Medium
Likely (50%-75%)
3 - Medium
Likely (50%-75%)
4 - High
Likely (50%-75%)
3 - Medium
12 CDOT/Federal Funding change,
Likely (50%-75%)
13 PDT main building is sold and must relocate multiple times
Possible (25%-50%)
Lack of political will on financial commitment to achieve CAP goals and milestones
14
Likely (50%-75%)
(6.2, 6.3, 6.4, 6.5, 6.6, 4.4, 4.7, 3.7)
15 Lack of federal funding for new BRT projects (3.7)
Likely (50%-75%)
16 Lack of parking infrastructure funding strategy (3.10)
Almost certain (>75%)
17 Cheap gas allows more people to drive (4.6)
Likely (50%-75%)
18 Failure to implement CSU, IGA completely and on time (6.7)
Possible (25%-50%)
19 Construction Cost increase (6.3, 6.4, 6.7, 5.6)
Likely (50%-75%)
20 Increase in motorists impact concrete and asphalt (4.4)
Likely (50%-75%)
21 GHG reduction targets missed (4.4)
Likely (50%-75%)
22 Challenges with funding & training (especially related to electronic plan rv) (7.9)
Possible (25%-50%)
24 Lack of funding for expanded transit services (6.2, 6.6)
Likely (50%-75%)
Lack of strategic plan to address parking demand infrastructure (3.10, 3.7, 3.8, 6.1,
25
Likely (50%-75%)
6.2, 6.6, 4.4)
26 Extreme weather events (tornado, hail, flood, etc)
Possible (25%-50%)
27 Skilled Operators (7.1)
Likely (50%-75%)
28 Snow Budget (7.9)
Possible (25%-50%)
29 Materials Cost (4.4)
Likely (50%-75%)
3 - Medium
3 - Medium
2 - Low
3 - Medium
3 - Medium
2 - Low
3 - Medium
4 - High
3 - Medium
2 - Low
3 - Medium
3 - Medium
3 - Medium
4 - High
3 - Medium
2 - Low
3 - Medium
62
Risk Map and Risk Appetite (PDT)
PDT determined any risk rated with a ‘3-Medium’ or above and a likelihood of ‘A-Almost Certain’, or
risks rated ‘4-High’ and ‘B-Likely’ would warrant a mitigation plan. The resulting priority risks
identified were the following:
o Changes in CSU policies and programs (i.e. Development growth or growing student
population, pricing of student housing etc, management practices, anything that
affects parking, transportation, etc.)
o Train impacts on community/quality of life
o Fire drills, reactive prioritization; the risk of not accomplishing current priorities due
to unexpected, low-priority tasks or short-term, unaligned new priorities sent down
from higher management (not work plans, but the ones that come on a day to day
basis); 1) new things that interfere with current strategy 2) work load volume that
cannot be taken care of by current work force; lack of flexibility in staffing.
o Lack of parking infrastructure funding strategy
o Lack of long-term dedicated funding sources and potential loss of KFCG funding
impact ongoing operations and capital projects
o Risks to certainty of Federal Funding (makes up 30% of funding) (e.g. ADA
Compliance and Title VI)
o Construction Cost Increase
Risk Map
A-
2 Train impacts on community/quality of
life (1.5, 3…
7 fire drills, reactive prioritization; the risk
of …
14 Lack of political will on financial
commitment to …
17 Cheap gas allows more people to drive
(4.6)
21 GHG reduction targets missed (4.4)
6 Re-aligning plans and policies / code for
developm…
8 Changing priorities impact long-term
plan or visio…
9 Staffing issues,( i.e. maintaining a highend wor…
11 infrastructure doesn't support existing
need and i…
12 CDOT/Federal Funding change,
15 Lack of federal funding for new BRT
projects (3.7)
20 Increase in motorists impact concrete
and asphalt …
24 Lack of funding for expanded transit
services (6.2…
25 Lack of strategic plan to address
parking demand i…
27 Skilled Operators (7.1)
29 Materials Cost (4.4)
3 Lack of long-term dedicated funding
sources and po…
10 Risks to certainty of Federal Funding
(makes up 30…
19 Construction Cost increase (6.3, 6.4, 6.7,
5.6)
28 Snow Budget (7.9)
5 Policy regarding Equipment Replacement 26 Extreme weather events (tornado, hail,
(i.e. costs…
flood, etc)
13 PDT main building is sold and must
relocate multip…
18 Failure to implement CSU, IGA
completely and on ti…
22 Challenges with funding & training
(especially rel…
Likely (50%-75%)
Probability
B-
1 Changes in CSU policies and programs
(i.e. Develop…
16 Lack of parking infrastructure funding
strategy (3…
Almost certain
(>75%)
C-
Possible (25%-50%)
D-
Seldom (<25%)
4 Recession/Downturn in economic activity
that impac…
1- Insignificant
2 - Low
3 - Medium
4 - High
Magnitude of Impact
63
Priority Risk Mitigation Plans (PDT)
1. Changes in CSU policies and programs (i.e. Development growth or growing student population,
pricing of student housing etc., management practices, anything that affects parking,
transportation, etc.)
 Strategic Objectives Impacted: 1.5
 Risk Register ID: 1
 Author/Owner: Tom Leeson, Paul Sizemore
 Probability: Almost Certain (>75%)
 Magnitude: 3 – Medium
 Action:
 Existing
o Residential Parking Permit Program
o Updated parking minimums for TOD
o Coordination on multimodal transportation projects and programs (trails,
wayfinding, education)
o U+2 Restrictions
 Mitigation
o Avoidance
o Prevention
 Restrictions on impervious surfaces within front yards to reduce parking
areas
 Social Host Ordinance
o Reduction
 Launch bike share (Spring 2016)
 Work with private vendor to expand car share
 Continue coordination of stadium impact mitigation (grade separated
crossings, intersection improvements, sidewalks, etc.)
 Work towards a unified, strategic approach to park-and-ride facilities
serving the student population
 Explore Rental Licensing Program to address impacts to surrounding
neighborhoods
 Continue SPAR reviews of CSU projects
o Acceptance
2. Train impacts on community/quality of life
 Strategic Objectives Impacted: (1.5, 3.8, 4.4, 5.6, 6.1, 6.4, 6.6)
 Risk Register ID: 2
 Author/Owner: Rick Richter, Joe Olson
 Probability: Almost Certain (>75%)
 Magnitude: 4 - High
 Action:
 Existing
o The frequency and duration of traffic delays at Railroads (RR) crossing has increased
significantly over the past 7 years.
o The frequency of train traffic within the city has also increased
o Train horn noise is a common frustration reported to the City.
64


Mitigation
o Avoidance
 Direct traffic around the RR crossings with frequent switching operations
through signage.
o Prevention
 Work with the RR to encourage train switching operations off peak traffic
hours.
 Develop grade separated crossing master plan and a financial plan for
delivering the improvements.
o Reduction
 Monitor the capital improvements underway by the Union Pacific to
determine what level of relief they provide in reducing the switching
operations in Fort Collins.
 Continue to evaluate options for quiet zone(s) implementation.
 Participate in future actions to re-write/modify the Federal Train Horn Rule.
o Acceptance
 Develop a process to notify motorists to train delay . Build grade separated
crossing over the RR.
Strategic Plan Implications:
o High level of citizen frustration with the current situation.
o Grade separated crossing are very costly and no construction is funded at this time.
o Quiet zone implementation is costly and there are no funds budgeted at this time.
3. Fire drills, reactive prioritization; the risk of not accomplishing current priorities due to
unexpected, low-priority tasks or short-term, unaligned new priorities sent down from higher
management (not work plans, but the ones that come on a day to day basis); 1) new things that
interfere with current strategy 2) work load volume that cannot be taken care of by current work
force; lack of flexibility in staffing.
 Strategic Objectives Impacted: 7.1, 7.5, 7.9, 7.10
 Risk Register ID: 7
 Author/Owner: Laurie Kadrich/Mark Jackson
 Probability: Almost Certain (>75%)
 Magnitude: 4 - High
 Action:
 Existing
o Prioritization of new assignments relative to current work plan
o Delegation of assignments where possible
o Realignment of work plan expectation to meet resources available
 Mitigation
o Avoidance
 Not likely an option as directives come from City Management and Council
o Prevention
 Work closely with Council and City Management to ensure alignment with
their strategic objectives, and their concurrence with adopted work plans
 If response to unscheduled work items is unavoidable, use the BFO process
to adequately resource departments to accommodate these requests.
o Reduction
65
 ELT discussions about work plan prioritization
Acceptance
 Build space into annual work plans and budgets for unanticipated requests
Strategic Plan Implications:
 Inability to handle new, unscheduled requests, work items as well as adopted work plans
may result in dropped or delayed efforts and deliverables
 Workload bandwidth limitations may slow response times to elected officials and citizens
 Unscheduled work items may impact budgets if not accompanied by resources needed.
 New work items that conflict with current strategic initiatives may require policy level
discussion regarding direction and priority.
o

4. Lack of parking infrastructure funding strategy
 Strategic Objectives Impacted: 3.10
 Risk Register ID: 16
 Author/Owner: Kurt Ravenschlag
 Probability: Almost Certain (>75%)
 Magnitude: 3 - Medium
 Action:
 Existing
o There is currently no dedicated capital infrastructure fund for parking.
o As the downtown continues to develop and re-develop the perceived/real lack of
adequate parking will only become exacerbated.
o Current recommendation from Parking Strategic Plan is to implement on-street pay
parking to better manage parking demand and create parking infrastructure fund.
o Downtown Plan is continuing conversation regarding on-street pay parking.
o Parking Advisory Board will provide recommendation to Council following
completion of the Downtown Plan regarding on-street pay parking.
o Parking Services is reviewing parking management strategies that would delay and
reduce parking infrastructure needs
o City is working to develop Public/Private partnership build new parking structure in
the downtown area.
 Mitigation
o Avoidance
 Require new development and re-development to provide adequate offstreet parking for their developments.
 Reduce density allowances in downtown
o Prevention
 Develop strategy to build parking infrastructure fund
o Reduction
 Reduce need for parking infrastructure by:
 Distributing more auto trips to bike, transit or walk
 Better utilization of existing parking infrastructure throughout City
of Fort Collins
 Providing more transit connections between existing parking
infrastructure and key destinations
 Develop city wide parking plan to determine if there is adequate parking
infrastructure if better utilized.
66
o

Acceptance
 Public education to businesses and community regarding parking limitations
in downtown
Strategic Plan Implications:
o Lack of adequate public parking in downtown could:
 Limit private investment in downtown area
 Place existing downtown businesses at disadvantage to other City retail areas create
poor downtown experience for visitors and locals
5. Lack of long-term dedicated funding sources and potential loss of KFCG funding impact ongoing
operations and capital projects
 Strategic Objectives Impacted: 6.2, 6.3, 6.4, 6.5, 6.6, 6.7
 Risk Register ID: 7
 Author/Owner: Mark Jackson
 Probability: Likely (50% - 75%)
 Magnitude: 4 - High
 Action:
 Existing
o City currently enjoying strong funding and community support through BOB, BOB
2.0, and KFCG
o Community pushback about amount or reserve funds held by City; questioning the
need for these tax initiatives.
o Darin and Council starting to message needs for Climate Action Plan, Transit
expansion, Parking and major infrastructure initiatives.
o National trend toward reduction of federal funding and grant opportunities; more
financial pressure being placed on local agencies.
 Mitigation
o Avoidance
 Continue and/or expand community support of local funding for
transportation and transit needs
 Explore regional funding mechanisms
o Prevention
o Reduction
 Revisit and adjust plans, goals, and capital improvement schedules to reflect
new lesser funding opportunities
o Acceptance
 Reprioritize funds to maintain existing infrastructure and transit service
levels; delay or abandon expansion plans.
 Strategic Plan Implications:
 Travel safety may be compromised if infrastructure is not adequately maintained
 CAP and mobility/accessibility goals may not be attainable without resources for additional
transit and alt mode use
 Increased congestion may deter economic development opportunities
6. Risks to certainty of Federal Funding (makes up 30% of funding) (e.g. ADA Compliance and Title VI)
 Strategic Objectives Impacted: 6.1, 6.2, 6.3, 6.4, 6.5, 6.6, 6.7, 5.6, 4.4,
 Risk Register ID: 10
67





Author/Owner: Mark Jackson
Probability: Likely (50% - 75%)
Magnitude: 4 - High
Action:
 Existing
o City currently receives significant federal funding for transit, alternate modes of
travel, accessibility programs
o City receives numerous federal and state grants for infrastructure and service
provision
o City acts as regional grant recipient for transit funding
o National trend toward reduction of federal funding and grant opportunities; more
financial pressure being placed on local agencies.
 Mitigation
o Avoidance
 Continue and/or expand community support of local funding for
transportation and transit needs
 Explore regional funding mechanisms
 City making efforts to ensure compliance with federal regulations in order
to not jeopardize other funding opportunities.
o Prevention
 Exert political pressure to continue federal grant funding programs and
opportunities
o Reduction
 Increase local funding for accessibility and infrastructure; lessen reliance on
grants
 Reprioritize City goals/objectives to either a) lessen the importance of these
functions; or b) re-channel existing local funds to keep these functions a
priority
o Acceptance
Strategic Plan Implications:
 More difficult to meet compliance for ADA, Title XI
 Less funding opportunities for major infrastructure initiatives
 May not be able to maintain or expand transit service provision
 Lack of funding for transit and alt modes may make it difficult to meet CAP goals/objectives
7. Construction Cost increase
 Strategic Objectives Impacted: 6.3, 6.4, 6.7, 5.6
 Risk Register ID: 19
 Author/Owner: Rick Richter, Larry Schneider
 Probability: Likely (50% - 75%)
 Magnitude: 4 - High
 Action:
 Existing
o In general, budgets increase annually by 2%, whereas, contractor construction costs
have increased by approximately 5% each year.
o Capital Projects are developed with a contingency however the localized demanded
has caused construction prices to increase 30% to 50% over the past two years.
68


Mitigation
o Avoidance
 Look for alternative and more efficient ways to maintain roadways.
 Not build some projects.
o Prevention
 Create competitive bidding.
 Get contracts out early in order to receive lowest pricing.
 Increase the contingency when planning projects.
o Reduction
 Continual evaluation of alternative maintenance treatments and
construction resources.
 Look for ways to collaborate on construction projects with other City
departments.
 Reduce the scope of projects.
o Acceptance
 Access to excess revenues collected. Develop a means to extract monies to
offset deficits.
Strategic Plan Implications:
 Unable to maintain Level of Service “B” without adequate funding.
 Reduction in total miles resurfaced each year.
 Unable to meet the full expectations of funded projects.
69
COUNCIL FINANCE COMMITTEE
AGENDA ITEM SUMMARY
Staff: Mike Beckstead, CFO
Travis Storin, Accounting Director
Date: December 21, 2015
SUBJECT FOR DISCUSSION Revenue Forecast & Utilization Policy
EXECUTIVE SUMMARY
Excess Use Tax Utilization was discussed at the July 2015 Council Finance Committee meeting.
City Staff sought either confirmation of current practice or input on policy considerations if a
change was desired. CFC indicated support of the current practice and recommended adoption of
an administrative policy in order to document that practice.
In summary, this policy documents the following:
Inherently volatile revenue streams, such as Use Tax, are difficult to forecast with
precision. City Staff’s current practice is to conservatively forecast such revenues, which
typically leads to a budget surplus. Further, this budget surplus flows in part to the
General Fund’s available fund balance (reserve). As part of BFO, any monies used from
fund balance is designated as a one-time or reserve-funded and is applied to one-time
activities. This ensures that the City does not depend on past budget surpluses to fund a
recurring expenditure.
GENERAL DIRECTION SOUGHT AND SPECIFIC QUESTIONS TO BE ANSWERED
Informational; confirmation to Council Finance Committee of documented practice
ATTACHMENTS
1. Revenue Forecast & Utilization Policy.pdf
2. Use Tax Utilization (from August 2015 CFC Meeting)
Financial Management Policy 48
Revenue Forecast &
Utilization Policy
Issue Date: 12/21/2015
Version: 1
Issued by:
Mike Beckstead, CFO
Objective:
This policy is intended to confirm and formalize current practices with respect to:
•
Projections of tax revenues by City Staff for budget purposes
•
Preferred treatment and/or designation of any revenues in excess of budget
This policy applies to revenues of the General Fund in excess of budget and not otherwise restricted,
committed, or assigned by enacted legislation or third-party agreements. By definition, other Special
Revenue Funds of the City apart from General Fund are already assigned for a specific purpose.
Authorized by:
City’s Financial Officer
48.1 Introduction
Certain revenue streams of the City are inherently volatile from year-to-year. As an
example, Use Tax revenues are highly correlative with the underlying City economy, being
driven by the purchase activity of community businesses. Because of this volatility, such
revenues are difficult for City Staff to precisely forecast in a given year. The General Fund’s
revenues will thus typically have a variance to budget at the end of each year, either in
excess of budget or short of it.
Revenues in excess of the adopted budget (plus any applicable amendments subsequent to
adoption) flow to unassigned fund balance unless otherwise appropriated by the Council.
This unassigned General Fund balance is available for nearly any purpose.
In the case of a revenue shortfall, the City would reconsider its expenditure budget and
pursue different options depending on the severity of the shortfall. Options explored would
include frozen appropriations, reductions to spending, or funding expenditures from
reserves.
48.2 Forecasting Revenues for Budget Purposes
Staff will deliberately adopt a philosophy of reasonable conservatism as it relates to budget
Financial Policy 42 – Cash Handling
1
revenue projections. This philosophy minimizes the risk of a revenue shortfall.
More specifically, the Sales and Use Tax forecast targets a confidence factor of roughly 85%90%. This may typically lead to additional revenue above forecast which flows to fund
balance. See section 48.3 on the use of these funds.
For revenue streams identified as inherently volatile, such as Use Tax, City Staff establishes
two budget components:
A) A “floor” that represents the minimum revenue staff considers reliable and
reasonable in virtually any foreseeable budget year. This floor amount supports
expenditures associated with ongoing, recurring activities in the budget.
B) An additional amount above that floor that staff considers highly probable. This
component supports expenditures associated with one-time activities in the
budget.
Staff will conservatively forecast the above components knowing that revenue above budget
will flow to fund balance and be available in the next budget.
48.3 Utilization of General Fund Revenues above Budget
The below practices provide current and future Councils flexibility as opposed to
prescriptively designating how to utilize these monies by policy.
A) For amounts collected over and above the two budgeted revenue components in Section
48.2, General Fund inflows above budget are intentionally not designated for any
specific purpose by City policy. Instead, Staff includes the associated unassigned fund
balance as available one-time funding in the Budget. Council then determines the best
use during the competitive BFO process, taking Staff recommendations under
consideration. All budget requests compete equally for available funding.
B) During BFO, Staff designates these monies as either Reserve or One-Time Restricted
funding sources. These funding sources only go to support one-time activities. Doing so
helps to ensure a balanced budget, as the City does not depend upon past budget
surpluses to fund recurring expenditures in the future.
Getting Help
Please contact the Budget Manager or Accounting Director with any questions at 970.416.2439 or
970.416.2367, respectively.
Financial Policy 42 – Cash Handling
2
COUNCIL FINANCE COMMITTEE
AGENDA ITEM SUMMARY
Staff: Travis Storin, Accounting Director
Mike Beckstead, City CFO
Date: December 21, 2015
SUBJECT FOR DISCUSSION
City response to findings included in:
• Independent Auditors’ Report on 2014 Financial Statements
• Independent Auditors’ Report on Compliance for Major Federal Programs
EXECUTIVE SUMMARY
In July, McGladrey presented the Report to the City Council. This report covered the audit of
the basic financial statements and compliance of the City of Fort Collins for year-end December
31, 2014.
The City received unqualified or “clean” opinions for both reports. Incidental to these audits,
McGladrey identified certain control deficiencies that they recommend we rectify prior to the
2015 audit. All deficiencies identified were of the lowest severity on a scale of one to three.
City staff has implemented process improvements throughout 2015 to respond to these seven
control deficiencies. Corrective action is already either in motion or complete in all cases.
GENERAL DIRECTION SOUGHT AND SPECIFIC QUESTIONS TO BE ANSWERED
Staff seeks input on areas of priority or concern, other than those established in this Report to the
City Council, for matters of recordkeeping and/or the City’s internal control environment.
BACKGROUND/DISCUSSION
Every year the City is required to be audited in compliance with Government Auditing
Standards. McGladrey finalized its financial statement audit on June 30, 2015 and compliance
report on July 10, 2015 and the firm reported the results of the audit to those charged with
governance.
Subsequent to the auditor’s communication, City Staff responds at CFC with its proposed plan
for addressing any findings.
ATTACHMENTS
1. 2014 Audit Response.pptx
2. Report to the City Council (soft copy only, distributed originally at July CFC)
Corrective Actions: 2014 Auditor Findings
12-21-15
Travis Storin, Accounting Director
Summary of 2014 Fiscal Year Audit
•
Unqualified/clean opinion of Financial
Statements
•
Unqualified/clean opinion on Compliance
with Major Federal Programs (Single
Audit)
•
Received 28th consecutive GFOA
Certificate of Achievement for Excellence
in Financial Reporting
•
Seven control deficiencies of a minor
nature identified; corrective action is in
motion and in most cases implementation
is complete
2
Audit Findings Terminology
Control
Deficiency
(7)
• Least severe finding
• The design or operation of a control does not allow management or employees to prevent, or
detect and correct misstatements during the normal course of their duties
• A deficiency, or combination of deficiencies, that is less severe than a material weakness yet
important enough to merit attention by those responsible for oversight of financial reporting
Significant • Remains on our audit reports for two years and defaults City to “high risk auditee” status
Deficiency
(0)
• Most severe finding
• A deficiency, or combination of deficiencies, such that there is a reasonable possibility that a
material misstatement of the City’s financial statements will not be prevented, or detected
Material
and corrected, on a timely basis
Weakness • Jeopardizes whether a “clean”, or unqualified, audit opinion is issued
(0)
3
Deficiency #1: Cash Reconciliations
Audit Finding:
“… Cash reconciliations provided during the audit had unreconciled differences between the bank
statements and general ledger…We recommend the City establish procedures to prepare and
review cash reconciliations timely and accurately to reconcile the bank balance to the book
balance with no significant unreconciled differences”
Staff Discussion and Response Plan:
• Subsequent to audit’s conclusion, City Staff has successfully reconciled 24 of our 25 cash and
investment accounts
• Staff has installed monthly monitoring/supervisor review procedures
• Remaining account is a large deposit account where virtually all City receipts are processed
• Anticipate work will be complete in time for 2015 audit, but risks exist to this timeline
4
Deficiency #2: Journal Entry Review
Audit Finding:
“…no secondary reviews were performed over entries at the time they were recorded. City
implemented a procedure where monthly reports summarizing all journal entries in excess of
$25,000 were generated and reviewed, however no evidence of this review was maintained…”
Staff Discussion and Response Plan:
• Process change in 2014 transitioned from management review of individual transactions over
$25,000 to bulk review of all such transactions
• In 2015, staff has reverted to the original process albeit with electronic process enhancements
•
•
•
•
E-signature
Reporting/inventorying of transactions that meet review criteria
Improved documentation/back-up standards
Staff does not anticipate a continued deficiency on the 2015 report
5
Deficiencies #3-7: Grant Programs
Deficiencies exist across four different federal programs of the City:
3.
Sub-recipient monitoring (DOE): City did not obtain/review audit reports for its sub-recipients (Department
of Energy grant requirement).
4.
Quarterly Financial and Performance Reporting (DOE): City did not submit its Q4 2014 report for its
Department of Energy Program; management believed the requirement was no longer applicable.
5.
Reconciliation of HOME/CDBG Revenues (HUD): City recorded revenue in excess of expenditures,
however accounting principles dictate that the funds not be recognized as revenue until funds have
actually been spent on allowable expenditures.
6.
Reconciliation of Federal Transit Administration (FTA) Expenditures: The City reported 2013 expenditures
on its 2014 report; Transfort staff and Finance staff had used different bases of accounting.
7.
Reconciliation of accounts receivable (CDOT): City had not written off CDOT revenues that were later
determined to be ineligible for reimbursement on the requested project.
6
Grant Program Deficiencies:
Staff Discussion and Response
• City Grants Compliance Administrator made significant policy improvements in 20132014
• Execution remains a challenge in the City’s decentralized model
• Central Finance is responding to the identified deficiencies in a two-prong approach:
2015 Fiscal Year:
• Training was conducted for all departmental grant recipients
• Specific focus on this year’s deficiencies and other past pain points
• Monitoring by Finance of reconciliation controls
2016 and Beyond:
• City will pilot eCivis, a centralized workflow, reminder, and retention product
• City grant recipients will be required to use this tool
• Go-live in January 2016
7
Closing Remarks and Council Discussion
8
Historical Net Use Tax (Less Rebates) 2008-2016
Revenue Diversification Work Plan
Council Finance Committee: December 21, 2015
Mike Beckstead
Staff was directed by Council Finance in mid-November to create a timeline and associated
work plan in 2016 for evaluating and conducting outreach on five identified alternatives for
revenue diversification to include a tax on services, a transportation fee, an occupation tax,
increasing the Xcel franchise fee and a gifting foundation.
2016 Timeline
Q1
Q2
Q3
Q4
Tax on Services
Transportation
Fee
Occupation Tax
Xcel Franchise
Fee
Gifting
Foundation
Evaluation and Analysis
Outreach
Present findings to Council Finance
Work Plan Narrative
Tax on Services
Phase 1: Evaluation and Analysis – Q1 to mid-way through Q2 2016
•
Assessment of what services could be taxed
 Analysis of peer cities in Colorado and nationally
 Determine all possible services that could be taxed
 Analyze mechanisms for enforcement
 Determine the impact to the sales tax rate
1
Revenue Diversification Work Plan
Council Finance Committee: December 21, 2015
Mike Beckstead
Phase 2: Outreach – Q2 2016
• Extensive outreach plan to include engagement of impacted service providers
including all service trade groups and business associations, i.e. Chamber, SBA
Phase 3: Present findings to Council Finance – Q3 2016
•
Final presentation to Council Finance in Q3 of 2016
Transportation Fee
Phase 1: Evaluation and Analysis- Q1 2016
• Retain the evaluation and analysis that was completed in 2013
• Evaluate impact to Keep Fort Collins Great Funding (KFCG)
 Determine percentage of funding that a transportation fee could replace
for KFCG
 Assess how much is needed to replace the street maintenance fee
portion of KFCG
 Analyze the implications of removing the street maintenance fee to
future community acceptance of KCFG
Phase 2: Outreach – Q2 2016
• Extensive outreach plan to include engagement of impacted business owners
including boards and commissions, service trade groups and business
associations, i.e. Chamber of Commerce, Small Business Association, etc.
Phase 3: Present findings to Council Finance – Q3 2016
•
Final presentation to Council Finance in Q3 of 2016
Occupation Tax
Phase 1: Evaluation and Analysis- Q1 2016
• Determine legal implications to the Colorado Constitution
• Gather and evaluate peer cities who have an occupation tax in terms of fee
assumptions as well as lessons learned from an outreach perspective
• Evaluate revenue potential at various fee assumptions
2
Revenue Diversification Work Plan
Council Finance Committee: December 21, 2015
Mike Beckstead
Phase 2: Outreach – Q2 2016
•
Extensive outreach plan to include engagement of impacted business owners
including boards and commissions, service trade groups and business associations,
i.e. Chamber of Commerce, Small Business Association, etc. Integrate lessons
learned from peer cities into outreach plan methodology
Phase 3: Present findings to Council Finance – Q3 2016
•
Final presentation to Council Finance in Q3 of 2016
Xcel Franchise Fee
Phase 1: Evaluation and Analysis- Q1 2016
•
Obtain Xcel Master Agreement and work with City legal staff to assess whether a
standard or unique agreement is needed
• Obtain copies of all Xcel franchise agreements that exist with other municipalities
and evaluate the best approach for the City of Fort Collins
• Obtain franchise agreements between municipalities and other gas suppliers
• Determine what can be included from a customer service standpoint in a franchise
agreement versus what is in place with the Public Utilities Commission.
Phase 2: Outreach – Q2 2016
•
Outreach plan to be determined by analysis and recommendation. Onus of
outreach falls primarily to Xcel.
Phase 3: Present findings to Council Finance – Q2 2016
•
Final presentation to Council Finance in Q2 of 2016
Gifting Foundation
Phase 1: Evaluation and Analysis- Q1 2016
•
•
Scoping kick-off meeting with City Manager’s Office 12/14/15
Finance to take the lead in Fiscal Agent controls
3
Revenue Diversification Work Plan
Council Finance Committee: December 21, 2015
Mike Beckstead
• Grants will take the lead organizing foundation
Phase 2: Outreach – Q2 2016
• Outreach plan to be determined through the evaluation process.
Phase 3: Present findings to Council Finance – Q3 2016
•
Final presentation to Council Finance in Q3 of 2016
4