[Adopted FCB 6-30-2009 (Title 2, Ch. 2.05, of the 1986 Code)]
A.
In accordance with the provisions of Chapter 656 of the Acts of 1989,
as amended, and Chapter 468 of the Acts of 2008, there shall be established
a Department of Administration and Finance.
B.
The Department of Administration and Finance shall be responsible
for the overall budgetary, financial and personnel administration
of the City.
C.
The Department shall be under the charge and control of the City's
Chief Administrative and Financial Officer, herein referred to as
the "CAFO."
D.
The Department of Administration and Finance, under the direction
of the CAFO, shall oversee the Treasurer/Collector Department, Assessors
Department, Human Resources Department, Labor Relations Department,
Budget Department, Finance Department, Division of Capital Asset Management,
Information Technology Department, Comptroller Department, Grants
Management Department, Payroll Department and Purchasing Department,
and such other departments as may be placed under the direction of
the CAFO by the Mayor.
E.
The City shall annually appropriate amounts sufficient for the proper
administration of the department, as determined in writing by the
Secretary of Administration and Finance. If the City fails to appropriate
such amounts, the Secretary shall direct the State Treasurer to deduct
the necessary funds from the City's distribution from the State Lottery
Fund and shall expend those funds directly for the benefit of the
Department.
F.
Whenever the term "Department of Finance" appears in any general
or special law or any ordinance, regulation, contract or other document
with reference to the City of Springfield, it shall be taken to mean
the Department of Administration and Finance of the City of Springfield.
G.
Whenever the term "Chief Financial Officer" appears in any general
or special law or any ordinance, regulation, contract, or other document
with reference to the City of Springfield, it shall be taken to mean
the Chief Administrative and Financial Officer of the City of Springfield,
unless specifically noted as pertaining to the Director of Finance.
A.
The Department of Administration and Finance, under the direction
and management of the CAFO, shall be responsible for the overall budgetary
and financial administration of the City, including:
(1)
Coordination, administration, and supervision of all financial departments,
services and activities;
(2)
Assistance in all matters related to municipal financial affairs;
(3)
Implementation and maintenance of uniform systems, controls, and
procedures for all financial activities in all departments, including
the School Department, boards, commissions, agencies and other units
of City government, the operations of which have a financial impact
upon the general fund and enterprise funds of the City, and including,
but not limited to, maintenance of all financial and accounting data
and records;
(4)
Implementation and maintenance of uniform financial data processing
capabilities for all departments;
(5)
Supervision of all financial data processing and technological activities;
(6)
Implementation and maintenance of uniform budget guidelines and procedures;
(7)
Assistance in development and preparation of all department budgets
and spending plans;
(8)
Review of all proposed contracts and obligations with a term in excess
of one year;
(9)
Monitoring of the expenditure of all funds, including periodic reporting
by and to appropriate agencies of the status of accounts;
(10)
Review of the spending plan for each department as provided
herein; and
(11)
Providing for the allotment of funds on a periodic basis as
provided for in Chapter 468 of the Acts of 2008.
B.
In all cases where the duty is not expressly charged to any other
department or office, it shall be the duty of the CAFO, under the
auspices of the Department of Administration and Finance, to promote,
secure, and preserve the financial interests of the City.
C.
All incumbents in the positions of Chief Financial Officer now known
as the "Finance Director," "Collector/Treasurer," "Board of Assessors"
and "Director of Information Technology" shall continue to serve in
such capacity after the effective date of this article; provided,
however, that the CAFO may, with approval of the Mayor, remove such
incumbents at any time, without cause, upon written notice.
D.
All department budgets and requests for budget transfers shall be
submitted to the CAFO for review and recommendation by the Department
of Administration and Finance prior to submission to the Mayor, City
Council or School Committee, as appropriate.
E.
For each and every proposed appropriation order, and with respect
to any proposed City Council vote necessary to effectuate a financial
transfer, ordinance revision, or special legislation which may require
the expenditure of funds or otherwise financially obligate the City
for a period in excess of one year, or with respect to a vote to authorize
a borrowing pursuant to a provision of law other than MGL c. 44,
§ 4, 6 or 6A, the CAFO shall, if it be the case, submit
in writing to the Mayor and City Council a certification that is the
CAFO's professional opinion, after an evaluation of all pertinent
financial information reasonably available, that the City's financial
resources and revenues are and will continue to be adequate to support
such proposed expenditures or obligations without a detrimental impact
on the continuous provision of the existing level of municipal services.
If the CAFO fails to provide a certification as aforementioned within
seven days of a request for such certification from the City Council
or Mayor, such appropriation order, financial transfer, ordinance
revision, special legislation or borrowing authorization may nonetheless
be approved, but the absence of the certification of the CAFO shall
be expressly noted in such order or vote.
A.
The City Council by majority vote may request in writing an assessment,
analysis or other financial information, without otherwise limiting
its general authority to request such, at any time it receives formal
or informal notice of:
(1)
An
expenditure which is or may be in excess of an appropriation;
(2)
A
condition where an allotment is or may be exceeded;
(3)
A
certification of the CAFO that the City's financial resources and
revenues are and will continue to be adequate to support a proposed
expenditure or obligation pursuant to the terms set forth in this
article; or
(4)
Any
actions with respect to temporary or permanent indebtedness.
B.
With respect to any year in which a loan under Section 2 of Chapter
169 of the Acts of 2004 remains outstanding, on or before July 1,
the CAFO shall submit to the Director of Accounts a pro-forma tax
rate recapitulation for the following fiscal year. The Director shall
ascertain whether the City budget for that fiscal year contains reasonable
revenues from taxation and other sources to meet the appropriations
and other amounts required by law to be raised under MGL c. 59,
§ 23, and the Director shall report his conclusion to the
Commissioner of Revenue.
C.
With respect to any such year, upon submission of the annual tax
rate recapitulation, the Director shall also ascertain whether the
City budget for that fiscal year contains reasonable revenues from
taxation and other sources to meet the appropriations and other amounts
required by law to be raised under MGL c. 59, § 23,
and the Director shall report his conclusion to the Commissioner.
If the Commissioner determines that the City budget as presented on
the pro-forma or annual tax rate recapitulation would not permit certification
of the tax rate for the applicable fiscal year, he shall certify this
determination in writing and provide notice of this determination
with a copy of the certificate to the Secretary of Administration
and Finance. Upon such notification, the Secretary may recommend to
the Governor that he propose legislation reviving the Finance Control
Board or establishing a receiver for the City.
A.
The Chief Administrative and Financial Officer shall report to and
be under the direction of the Mayor. The Mayor shall appoint the CAFO
for a term of not more than three years. Before entering upon the
duties of the office, the person shall be sworn to faithfully discharge
the duties thereof.
B.
The CAFO shall be appointed solely on the basis of administrative
and executive qualifications, and shall be especially fitted by education,
training and previous experience to perform the duties of the office
and shall hold no less than a bachelor's degree from an accredited
college or university.
C.
So long as the loan under Section 2 of Chapter 169 of the Acts of
2004 remains outstanding, the appointment, including an acting appointment,
or removal of the CAFO shall not take effect until it has been approved
in writing by the Secretary of Administration and Finance.
D.
Under the policy direction of the Mayor, the CAFO shall function
with considerable independence and be directly accountable for his
or her actions.
E.
The Chief Administrative and Financial Officer need not be a resident
of the City or commonwealth when appointed, but shall become a resident
of the City within one year of appointment to the extent required
by law.
A.
When the office of the CAFO is vacant or will become vacant, the
Mayor shall initiate the selection process by giving notice of his
intent to establish a "screening committee" to review applicants for
the position. The Mayor shall send a copy of the notice to each agency
or officer responsible for appointing persons to serve on the screening
committee.
B.
The Mayor shall appoint a screening committee no later than 21 days
after sending the notice. No screening committee is required if the
Mayor reappoints an incumbent CAFO.
C.
The screening committee shall consist of seven members. The School
Committee, City Council and Secretary of Administration and Finance
of the commonwealth shall each appoint one person to serve on the
screening committee. The Mayor shall appoint four other members to
the screening committee, two of whom shall be experts in municipal
management specifically in the areas of finance and/or personnel management.
D.
The screening committee shall recommend to the Mayor the names of
not less than two nor more than five candidates whom it believes to
be best suited to perform the duties of the CAFO. If the screening
committee determines that there are not at least two candidates qualified
to perform the duties of CAFO, the screening committee shall report
to the Mayor that it is unable to complete its assigned task. In that
event, the Mayor shall direct the screening committee to reopen the
search.
E.
In the absence of a Chief Administrative and Financial Officer, or
while the process of appointing a CAFO is proceeding, the Mayor may
appoint an Acting CAFO in accordance with Chapter 656 of the Acts
of 1989, as amended, and Chapter 468 of the Acts of 2008.
A.
The Chief Administrative and Financial Officer shall cause the laws
of the commonwealth and the ordinances, orders and regulations of
the City to be executed and enforced by the officers under the direction
of the CAFO. The CAFO shall exercise and have direct responsibility
for the organization, administration and management of the following:
(1)
Coordination, administration, and supervision of all financial services
and activities;
(2)
Assistance in all matters related to municipal financial affairs;
(3)
Implementation and maintenance of uniform systems, controls, and
procedures for all financial activities in all departments, including
the School Department, boards, commissions, agencies or other units
of City government, the operations of which have a financial impact
upon the general fund and enterprise funds of the City, and including,
but not limited to, maintenance of all financial and accounting data
and records;
(4)
Implementation and maintenance of uniform financial data processing
capabilities for all departments;
(5)
Supervision of all financial and information technology and data
processing activities; overseeing all management information systems;
making recommendations for improvements and implementation of appropriate
policies;
(6)
Implementation and maintenance of uniform budget guidelines and procedures;
(7)
Direction, guidance and assistance in development and preparation
of all department budgets and spending plans; establishing and overseeing
budget processes from developing instructions and setting deadlines
to providing recommendations;
(8)
Coordination of the development of strategic financial goals;
(9)
Review and approval of all proposed contracts and obligations with
a term in excess of one year;
(10)
Monitoring of the expenditure of all funds, including periodic
reporting by and to appropriate agencies on the status of accounts;
(11)
Review of the spending plan for each department; reviewing all
revenues collected and making recommendations concerning fees, charges,
enterprise fund rates as well as new sources of revenue;
(12)
Providing for the allotment of funds on a periodic basis as
provided for in this article and in accordance with Chapter 458 of
the Acts of 2008.
B.
In all cases where the duty is not expressly charged to any other
department or office, it shall be the duty of the CAFO to promote,
secure, and preserve the financial interests of the City.
C.
In the case of the School Department, MGL c. 71, § 37M,
shall be deemed to have been accepted by the City for the purpose
of consolidating the operations of the business and financial services
department of the School Department with those of the City under the
authority of the CAFO which shall, at a minimum, include the following:
D.
No revocation of acceptance of MGL c. 71, § 37M, shall
be valid or effective in any year during which a loan under Section
2 of Chapter 169 of the Acts of 2004 remains outstanding, without
the written approval of the Secretary of Administration and Finance.
E.
All department budgets and requests for budget transfers shall be
submitted to the CAFO for review and recommendation before submission
to the Mayor, City Council or School Committee, as appropriate. For
each proposed appropriation order, and with respect to any proposed
City Council vote necessary to effectuate a financial transfer, ordinance
revision, or special legislation which may require the expenditure
of funds or otherwise financially obligate the City for a period in
excess of one year, or with respect to a vote to authorize a borrowing
pursuant to a provision of law other than MGL c. 44, § 4,
6, or 6A, the CAFO shall, if it be the case, submit in writing to
the Mayor and City Council a certification that it is the CAFO's professional
opinion, after an evaluation of all pertinent financial information
reasonably available, that the City's financial resources and revenues
are and will continue to be adequate to support such proposed expenditures
or obligations without a detrimental impact on the continuous provision
of the existing level of municipal services.
F.
If the CAFO fails to provide the certification in Subsection E above within seven days after a request for such certification from the City Council or Mayor, the appropriation order, financial transfer, ordinance revision, special legislation or borrowing authorization may nonetheless be approved, but only if the absence of the certification of the CAFO is expressly noted in that order or vote.
G.
All departments, officers, boards, commissions, agencies and other
units of the City, including the school department, shall submit budget
requests to the Mayor upon the schedule and in the form established
by the CAFO.
H.
On or before March 30 of each year, the CAFO shall submit to the
Mayor and City Council a four-year financial plan and a five-year
capital plan that includes all capital needs of the City.
I.
In any year in which a loan under Section 2 of Chapter 169 of the
Acts of 2004 remains outstanding, on or before July 1, the CAFO shall
submit to the Director of Accounts a pro-forma tax rate recapitulation
for the following fiscal year. (See MGL c. 468, § 5.)
J.
The Board of Assessors, Treasurer/Collector, Budget Director, Finance
Director, Comptroller, Director of Information Technology, Director
of Purchasing, Director of Human Resources, Director of Labor Relations,
Director of Capital Asset Construction, School Building Commission
and employees performing similar duties but with different titles
shall report to and be under the direction of the CAFO. The CAFO shall
appoint all such officers and employees with the approval of the Mayor.
K.
The CAFO shall be responsible for overseeing all aspects of the City's
human resource and employee relations functions, including establishing
and maintaining impartial and uniform personnel policies, job classifications,
compensation, and benefits. The CAFO will oversee and coordinate budgets
for insurance or self-insurance plans, including health, accident,
life and other forms of insurance, including workers' compensation
and unemployment compensation.
L.
The CAFO shall be responsible for overseeing all aspects of the City's
labor-management activities. Working with the Mayor and Director of
Labor Relations, the CAFO will provide professional guidance and oversee
and coordinate all strategies, negotiations and settlements regarding
collective bargaining, grievance/arbitration, and all matters related
to the promotion and maintenance of a harmonious labor-management
relationship. The CAFO shall protect the rights and interests of the
City in all actions, suits, proceedings or claims brought against
it.
M.
By executive order, the Mayor may place other positions and departments
under the direction of the CAFO.
N.
The CAFO shall not assume the duties or responsibilities of the Director
of Internal Audit or Treasurer/Collector and shall not hold any elective
office or engage in any other business or occupation.
O.
If the CAFO finds, after receiving such information and report from
the Director of Internal Audit, and after notice and opportunity for
hearing, that an officer or employee of any unit of City government,
including the School Department, has refused information or access
to the office of the Director of Internal Audit, or knowingly or through
neglect provided false information to the Director, the officer or
employee shall be individually and personally subject to a civil fine
of $100 per violation, per day, until the violation is cured. This
fine shall by payable to the general fund of the City. Notwithstanding
any general or special law, contract or collective bargaining agreement
to the contrary, a violation of this subsection shall be just cause
for termination.
A.
The CAFO and the Director of Internal Audit shall comply with all
requests of the School Department to provide information relating
to the operation of the School Department held within the authority
or control of the CAFO or the Director of Internal Audit as the result
of consolidation.
B.
If the CAFO, the Director of Internal Audit, or any employee thereof
refuses to provide such information or engages in unreasonable delay,
the School Department shall notify the Secretary of Administration
and Finance that the CAFO, Director of Internal Audit or other employee
has not made a good faith effort to provide said information in a
timely manner. The Secretary shall, within a reasonable time, make
a determination that any such information shall be provided to the
School Department, which shall be binding upon the CAFO, the Director
of Internal Audit and the School Department. The Secretary's determination
shall not be an adjudicatory proceeding reviewable under Chapter 30A
of the General Laws. Nothing in this subsection shall abrogate any
of the other powers or duties of the School Committee under Chapter
71 of the General Laws.
A.
The Department of Administration and Finance shall consist of the
CAFO and such other personnel as from time to time may be deemed necessary
for the proper execution and fulfillment of his/her duties and responsibilities.
B.
The CAFO may remove such personnel upon written notification and
shall have direct supervisory responsibility for all staff reporting
to him/her. The CAFO shall be responsible for overseeing and coordinating
the work and administrative activities of those employees in the departments
under the CAFO's authority as specified in Chapter 468 of the Acts
of 2008, as well as those positions and departments placed under the
direction of the CAFO by the Mayor.
C.
The CAFO may appoint a Deputy Chief Administrative and Financial
Officer who shall be qualified by particular education and expertise.
The powers and duties of the Deputy Chief Administrative and Financial
Officer shall be such as are designated and assigned from time to
time by the CAFO. In the temporary absence or disability of the Chief
Administrative and Financial Officer, the Deputy Chief Administrative
and Financial Officer shall temporarily assume the duties of the CAFO,
subject to the approval of the Mayor.
D.
The City shall annually appropriate amounts sufficient for the proper
administration of the Department, as determined in writing by the
Secretary of Administration and Finance. If the City fails to appropriate
such amount, the Secretary shall direct the State Treasurer to deduct
the necessary funds from the City's distribution from the State Lottery
Fund and shall expend those funds directly for the benefit of the
Department.
E.
All City departments, employees, officials, boards, commissions,
agencies and other units of City government, including the School
Department, shall cooperate with the CAFO in the performance of his/her
duties under this article and in accordance with Chapter 468 of the
Acts of 2008. They shall furnish any information or other records
requested by the CAFO within a reasonable period of time, except as
otherwise prohibited by law. Any official who intentionally violates
the provisions of this article by failing to cooperate with the CAFO
may be subject to appropriate discipline. For the purposes of this
article, the word "official" shall mean a chair, head or employee
of a City department, board, commission or committee, temporary or
acting, but shall not be construed to include the Mayor or the members
of the City Council or School Committee.
A.
Notwithstanding the provisions of any general or special law or ordinance
to the contrary, all City financial activities shall be consolidated
and transferred to the appropriate department as determined by the
CAFO with the approval of the Mayor. For purposes of this article,
the phrase "financial activity" shall mean all duties, responsibilities,
tasks, jobs or employment positions within or assigned to any City
department, board, commission, agency or other unit of City government,
including the School Department, which substantially involve one or
more of the following: accounting, auditing, billing, borrowing or
leasing, budgeting, collecting, data processing, payroll and payments.
The CAFO shall, from time to time, further review and reevaluate the
financial activities of the City, and from time to time make, with
the approval of the Mayor, such additional consolidations or transfers
of financial activities as appropriate to promote the fiscal stability
of the City; provided, however, that no consolidations or transfers
of financial activities or professional positions of the office of
the Director of Internal Audit shall become effective unless and until
approved by the Mayor and the City Council.
B.
To the extent that personnel performing financial activities as defined
herein devote all or a substantial portion of their employment activities
to matters related primarily to a particular department, board, commission,
agency or other unit of City government, and such personnel are not
paid from, or their employment expenses not charged to, the appropriation
of such department, board, commission, agency or other unit of City
government, the CAFO is authorized to and shall devise a reasonable
"charge-back" system so as to provide for the recovery from the appropriation
of such department, board, commission, agency or other unit of City
government of the full employment expenses of the aforementioned personnel.
The City shall maintain all stabilization and reserve funds
required by policy, ordinance and law, including without limitation
those required by Chapter 656 of the Acts of 1989, Chapter 169 of
the Acts of 2004 and Chapter 468 of the Acts of 2008.
No official of the City, except in the case of an emergency
involving the health or safety of the people or their property, shall
intentionally expend in any fiscal year any sum in excess of such
official's departmental appropriation duly made in accordance with
law, nor commit the City to any obligation for the future payment
of money in excess of such appropriations. Any official who intentionally
violates this section, which incorporates Section 8 of Chapter 656
of the Acts of 1989, may be personally liable to the City for any
amounts expended in excess of an appropriation to the extent that
the City does not recover such amounts from the person or persons
to whom such sums were paid. The Trial Court of the commonwealth or
a single justice of the Supreme Judicial Court shall have jurisdiction
to adjudicate claims brought by the City hereunder and to order such
relief as the Court may find appropriate to prevent further violations
of this section. Any official who violates the provisions of this
section shall be subject to removal. For purposes of this section,
the word "official" shall mean a City department head, temporary or
acting, including the Superintendent of Schools and all municipal
boards, committees and commissions which recommend, authorize or approve
the expenditure of funds. However, the word "official" shall not be
construed to mean the Mayor or the members of the City Council or
School Committee.
