Pismo Beach City Council
November 15, 2022

Attachment 1
Packet Page 256

Technology Master Plan
Budget
Low High FundFYE 2028
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IT Initiative Comments
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Budget Range
FYE 2023 FYE 2024 FYE 2025 FYE 2026 FYE 2027
19 Human Resources System Close functional gaps, implement new modules, integrations, and end- user training.L All $25,000 $100,000 $75,000 Tech Svc Fund 20 Expense Reimbursement Management Online tracking and work flow approvals with integration with the financial system.M All $25,000 $50,000 $25,000 Tech Svc Fund 21 Business License System Improvements
Conduct a needs assessment to close functional gaps and improve work flows, reporting, data availability, and integrations with other applications.

L Fin $15,000 $25,000 $25,000 Tech Svc Fund
22 Land Management System Gap Analysis and
Improvements
Improvements for existing Land management software solution to support planning, permitting, inspections, code enforcement, licensing, and parcel/address management.

H CD, PW $25,000 $100,000 $175,000 General Fund
23 Electronic Plan Submittals and Reviews Software to accept online permit and plan submittals.H CD, PW $40,000 $60,000 $60,000 General Fund 24 Enterprise Asset Management (EAM) System
Improvements
Conduct a needs assessment(s) and work with the vendor to develop/implement an Improvement Plan that closes any functionality gaps.

M PW $50,000 $150,000 $100,000 General Fund
25 Fleet Management System System to track fleet and equipment with work order and cost management.M PW $25,000 $75,000 $50,000
Motor Vehicle
Replacement
Fund
26 Parks & Recreation System Improvements Improvements and additional functionality for existing system.H Rec $10,000 $35,000 $25,000 General Fund 27 Police Scheduling and Time Tracking System Implementation of a Police scheduling and shift tracking software solution.H PD $25,000 $80,000 $25,000 $25,000 $10,000 $10,000 $10,000 General Fund 28 Evidence Management System Consolidating evidence management systems.M PD $20,000 $40,000 $30,000 General Fund 29 Digital Evidence Management of digital evidence and storage requirements.M PD $25,000 $50,000 $25,000 $27,500 $30,250 $33,275 $36,603 General Fund 30 Electronic Ticketing/Citation System Mobile hardware for citation management system.M PD $25,000 $50,000 $25,000 $25,000 General Fund 31 CAD/RMS Implementation Improvements to the Public Safety dispatching and records management solutions.H PD $250,000 $300,000 $278,000 COPS Grant 32 Electronic Content Management System (ECMS)
Improvements Citywide document management and records management system.M All $75,000 $150,000 $50,000 $50,000 $25,000 $25,000 Tech Svc Fund 33 Performance Dashboard Tool(s) to streamline the preparation of dashboard type reporting.L All $25,000 $50,000 $35,000 $20,000 $20,000 $20,000 Tech Svc Fund 34 Intranet Improvements in internal/inter-departmental online communications and resources.M All $25,000 $50,000 $40,000 Tech Svc Fund Smart Cities
35 Website Improvements
The City's existing website solution provider offers periodic refresh services as part of the recurring maintenance and support fee. The number included for this initiative is for additional services and/or functionality to improve the overall citizen experience and train staff.

L All $10,000 $25,000 $15,000 Tech Svc Fund
36 Online Civic Transparency Citizen self-service online available reports.L CM, Finance $15,000 $25,000 $25,000 Tech Svc Fund 37 Kiosks
Additional resident access to City online services. Reduce staff time spent assisting residents, kiosks can be very beneficial during busy times.

M All $10,000 $40,000 $25,000 Tech Svc Fund
38 Downtown Public and Staff Wireless Downtown wireless primary use would be for Public Safety. Public use would be beneficial, but not necessary.H All $75,000 $200,000 $100,000 Tech Svc Fund 39 Smart Parking (Meter and Management)Downtown parking can be an issue when there are many visitors to the City.H All $50,000 $100,000 $75,000 $75,000 $75,000 $75,000 $75,000 Parking Enterprise Fund

Attachment 1
Packet Page 257

Technology Master Plan
Budget
Low High FundFYE 2028
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IT Initiative Comments
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Budget Range
FYE 2023 FYE 2024 FYE 2025 FYE 2026 FYE 2027
40 Automatic Meter Reading Wireless meter reading solution to automate data collection.H PW $4,000,000 $6,000,000 $5,000,000 Water &
Wastewater
Enterprise Funds
(split 50%,50%)
41 Drone Programs Drone management software (cloud based).M FD, PD, PW $5,000 $20,000 $5,000 $5,000 $5,000 $5,000 General Fund 42 GIS Assessment and Plan Budget for third-party assistance to complete a GIS assessment, determine strategies, and lay out a plan for improved GIS capabilities.M All $25,000 $50,000 $25,000 General Fund IT Infrastructure
43 IT Computer Room and Teledata Closet Improvements Secure shelving, overhead power distribution, 2-phase sprinkler H All $75,000 $100,000 $5,000 $25,000 $50,000 Tech Svc Fund 44 Computer Equipment Replacement Plan Workstations included in budget. Included here are switches, WAPs, servers & SAN, and video systems.H All Tech Svc Fund
Workstations Replace workstations based on four year rotation H All $450,000 $500,000 $43,200 $81,000 $81,000 $81,000 $81,000 $81,000 Tech Svc Fund Switches Corp. Yard switches installed in FYE2023, PD refresh during move project.H All $40,000 $60,000 $45,000 Tech Svc Fund
Servers PD refresh during move project, SCADA server included.H All $100,000 $100,000 $80,000 $100,000 General Fund
$50K, Water &
Wastewater $30K
split 50%, 50%
Storage Area Network PD Refresh during move project.H All $35,000 $50,000 $35,000 General Fund Wireless Network Replace wireless access points at end of life H All $15,000 $20,000 $15,000 Tech Svc Fund Public Safety Video Cameras Replace Public Safety Video cameras per best practice replacement cycle.H PD $30,000 $50,000 $37,500 General Fund
45 Mobile Digital Computer (MDC) Replacement Planning Replacement planning specific to in-vehicle MDCs, the majority of which serve Police.M PD $70,000 $100,000 $72,000 General Fund 46 Server Upgrades Third party services to upgrade server OS.H All $15,000 $20,000 $15,200 Tech Svc Fund 47 Wireless Network Wireless mesh downtown.M PD, Tourism $100,000 $125,000 $100,000 Tech Svc Fund 48 FirstNet Preparation Planning Expand to utilities, no additional cost.M PW N/A N/A Tech Svc Fund 49 Radio Systems Upgrades and Replacement
Increase signal strength - ability to penetrate downtown buildings, redundant connection to radio tower in conjunction with new Public Safety Building.

M FD, PD, PW Tech Svc Fund
Redundant connection Public Safety Building
Radio Tower
Currently using wireless to connect Police building to radio tower.

Add fiber based connectivity.M FD, PD, PW $80,000 $125,000 $100,000 Tech Svc Fund Increase signal strength
Radio signal strength currently insufficient to fully penetrate some buildings. Increased signal strength will improve communication to First Responders.

M FD, PD $100,000 $120,000 $107,000 Tech Svc Fund
50 Internet Bandwidth Expand Internet speeds at City Hall. Add secondary (resilient) Internet connection at PD.H All $80,000 $100,000 $7,200 $14,400 $14,400 $14,400 $14,400 $14,400 Tech Svc Fund 51 Technology Support for the EOC Considerations for new Public Safety Building. Cost to be included in construction budget.M FD, PD N/A N/A Tech Svc Fund
52 Facility Access and Security Cameras Camera location expansion to other facilities.H PD Tech Svc Fund St. Jude's Tunnel Cameras Includes, PM, Electrical, Camera, & City Install.H PD General Fund Additional Disk Storage Meet legal requirements (15 camera locations).H PD $175,000 $225,000 $190,000 General Fund Funded

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Technology Master Plan
Budget
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FYE 2023 FYE 2024 FYE 2025 FYE 2026 FYE 2027
Future Public Safety Camera Projects Camera location expansion to other facilities.M PD $150,000 $300,000 $75,000 $75,000 $75,000 General Fund 53 Remote Access Budget for review and improvements.H All $15,000 $25,000 $15,000 Tech Svc Fund 54 Bring Your Own Device Implement Network Access Control prior to enabling BOYD.M All $50,000 $100,000 $50,000 Tech Svc Fund IT Operations
55 Mobile Device Management Use InTune - included in O365. 3rd party install assistance only.H All $10,000 $15,000 $11,400 Tech Svc Fund 56 IT Operations - Enterprise Management Platform Enhancements to IT Operations capabilities H All Tech Svc Fund Patch Management PDQ or similar.H All $18,000 $25,000 $4,500 $4,500 $4,500 $4,500 $4,500 Tech Svc Fund Inventory Management LANSweeper or similar.H All $15,000 $20,000 $3,500 $3,500 $3,500 $3,500 $3,500 Tech Svc Fund 57 IT Support Metrics Measurements from Help Desk (Service Desk).M All $10,000 $12,000 $9,000 Tech Svc Fund 58 Audit Logs and Log Management Ability to track Active Director changes that may otherwise not be logged. Consolidate logs for easy forensics and simplified review.H All $250,000 $300,000 $25,000 $26,250 $27,563 Tech Svc Fund Cybersecurity
59 Disaster Recovery Planning Complete following backup upgrade, simplified process based on cloud restore capabilities.H All $15,000 $20,000 $15,600 Tech Svc Fund 60 Backups Upgrade backups to include cloud back and restore capabilities H All Tech Svc Fund City Hall - 24TB Turn-key Backup System Includes cloud restore within 24 hours - used Datto for quote purposes.H All $150,000 $200,000 $40,000 $30,000 $30,000 $30,000 Tech Svc Fund PD - 42TB Turn-key Backup System Includes cloud restore within 24 hours.H PD $150,000 $200,000 $50,000 $37,500 $37,500 $37,500 Tech Svc Fund 61 IT Policies and Procedures Cybersecurity Incident Response Year 1, Remainder Year 2.H All $15,000 $25,000 $7,800 $9,000 Tech Svc Fund 62 Windows Active Directory Budget included in Server Upgrade.H All N/A N/A Tech Svc Fund 63 Multi-Factor Authentication For all staff. Remote Access Year 1, Application Systems Year 2.H All $25,000 $35,000 $19,350 $17,450 $2,250 $2,250 $2,250 Tech Svc Fund 64 SCADA Security Meet requirements of NIST SCADA security guide (based on federal law).H PW $30,000 $50,000 $35,400
Water &
Wastewater
Enterprise Funds
65 IT Security Assessment Best Practice cybersecurity improvements.H All Tech Svc Fund Password Manager For all staff.H All $10,000 $15,000 $12,500 Tech Svc Fund Penetration and Vulnerability Tests Annual - CISA.GOV to provide.H All N/A N/A Tech Svc Fund Managed Detection and Response solution Crowdstrike from CISA is most cost-effective solution.H All $175,000 $2,250,000 $50,000 $50,000 $50,000 $50,000 Tech Svc Fund IT Security Assessment Best practice - every 3 years M All $30,000 $45,000 $35,000 Tech Svc Fund 66 Security Awareness Training Ongoing - cost included in current budget.H All $3,500 $7,500 Tech Svc Fund 67 PCI Compliance Review Assess credit card processing methodologies and security procedures.M All $10,000 $20,000 $10,000 Tech Svc Fund
68 Records and Data Retention
Expand City records retention to include electronic records and data.

Implement cloud-based electronic mail archiving and migrate .PST files.

M All $60,000 $70,000 $18,400 $10,800 $10,800 $10,800 $10,800 Tech Svc Fund Telecommunications
69 Police VoIP Phone System Replacement
Replace obsolete phone system for PD. Recommended Best Practice methodology includes a competitive procurement process that considers replacement systems in addition to an upgrade.

H PD $80,000 $100,000 $32,000 $14,400 $14,400 $14,400 $14,400 $14,400 General Fund

Attachment 1
Packet Page 259

Technology Master Plan
Budget
Low High FundFYE 2028
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IT Initiative Comments
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IT Staffing
70 IT Staffing
Increased cybersecurity requirements, expanded needs from Police and departmental assistance create demand for an additional IT staff member.

M IT $110,000 $130,000 $119,000 $123,760 $128,710 Tech Svc Fund $554,150 $6,131,150 $1,093,050 $1,005,850 $740,448 $850,913 *Other Funding Sources (Funded, Planned and/or Estimated)FYE 2023 FYE 2024 FYE 2025 FYE 2026 FYE 2027 FYE 2028 General Fund Funded amounts in General Fund budget $60,000 $175,000 Water/Wastewater Enterprise Funds $61,000 $5,000,000 $100,000 Technology Services Fund $81,961 $43,200 $43,200 $43,200 $43,200 $43,200 Motor Vehicle Replacement Fund $0 $50,000
COPS Grant $278,660
Subtotal - Other Funding Sources $481,621 $5,218,200 $93,200 $43,200 $43,200 $143,200 Net New Funding $72,529 $912,950 $999,850 $962,650 $697,248 $707,713 Six-Year Grand Total $4,352,939

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Technology Master Plan

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OPTIMAL TECHNOLOGY GUIDANCE
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Technology Current State
Assessment (Project Initiatives)
The following section contains the Technology Current State Assessment documentation in its entirety. The assessment resulted in over 70 major technology initiatives and projects with hundreds of additional recommendations.

12.D-38Council Agenda 11-15-2022
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Technology Current
State Assessment
October 2022
Client Locations
Coast-to-Coast
Practice Locations
California
Illinois
North Carolina
Texas
800.806.3080
www.clientfirstcg.com

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Table of Contents
BEST PRACTICES .......................................................................... 5

1. Technology Governance ................................................................................. 6

2. IT Project and Services Portfolio ..................................................................... 7

3. Project Planning and Implementation Best Practices ...................................... 8

4. Maintaining Software Updates ...................................................................... 10

5. Cloud Computing .......................................................................................... 11

6. Mobile Computing ......................................................................................... 12

7. Applications Management Best Practices ..................................................... 14

8. Software Selection Best Practices ................................................................ 19

9. User Training and Support ............................................................................ 24

10. Training Room ............................................................................................... 28

11. Centralized Land and Parcel Data Management ........................................... 29

12. Sustainability Planning .................................................................................. 30

13. Return-On-Investment Considerations .......................................................... 32

14. COBIT (Control Objectives for Information and Related Technologies) ........ 36

15. ITIL (Information Technology Infrastructure Library) ..................................... 37 DEPARTMENTAL APPLICATIONS AND SYSTEMS ............................. 38

16. ERP Gap Analysis and Utilization Improvements .......................................... 39

17. Budgeting Process Improvements ................................................................ 43

18. Time and Attendance System ....................................................................... 44

19. Human Resources System............................................................................ 46

20. Expense Reimbursement Management ........................................................ 47

21. Business License System Improvements ...................................................... 48

22. Land Management System Gap Analysis and Improvements ....................... 49

23. Electronic Plan Submittals and Reviews ....................................................... 55

24. Enterprise Asset Management (EAM) System Improvements ...................... 56

25. Fleet Management System ........................................................................... 61

26. Parks & Recreation System Improvements ................................................... 62

27. Police Scheduling and Time Tracking System .............................................. 64

28. Evidence Management System ..................................................................... 65

29. Digital Evidence ............................................................................................ 67

30. Electronic Ticketing/Citation System ............................................................. 68

31. CAD/RMS Implementation ............................................................................ 70

32. Electronic Content Management System (ECMS) Improvements ................. 72

33. Performance Dashboard ............................................................................... 75

34. Intranet .......................................................................................................... 76

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SMART TECHNOLOGIES ............................................................... 78

35. Website Improvements ................................................................................. 79

36. Online Civic Transparency ............................................................................ 80

37. Kiosks ........................................................................................................... 81

38. Downtown Public and Staff Wireless ............................................................. 82

39. Smart Parking (Meter and Management) ...................................................... 83

40. Automatic Meter Reading .............................................................................. 84

41. Drone Programs ............................................................................................ 86

42. GIS Assessment and Plan ............................................................................ 88 IT INFRASTRUCTURE ................................................................... 90

43. IT Computer Room and Teledata Closet Improvements ............................... 91

44. Computer Equipment Replacement Plan ...................................................... 92

45. Mobile Digital Computer (MDC) Replacement Planning ............................... 93

46. Server Upgrades ........................................................................................... 94

47. Wireless Network .......................................................................................... 94

48. FirstNet Preparation Planning ....................................................................... 95

49. Radio Systems Upgrades and Replacement................................................. 95

50. Internet Bandwidth ........................................................................................ 97

51. Technology Support for the EOC .................................................................. 98

52. Facility Access and Security Cameras .......................................................... 99

53. Remote Access ........................................................................................... 100

54. Bring Your Own Device ............................................................................... 101 IT OPERATIONS ........................................................................ 102

55. Mobile Device Management ........................................................................ 103

56. IT Operations - Enterprise Management Platform ....................................... 104

57. IT Support Metrics ....................................................................................... 107

58. Audit Logs and Log Management ............................................................... 108 CYBERSECURITY ....................................................................... 109

59. Disaster Recovery Planning ........................................................................ 110

60. Backups ...................................................................................................... 111

61. IT Policies and Procedures ......................................................................... 112

62. Windows Active Directory............................................................................ 113

63. Multi-Factor Authentication.......................................................................... 114

64. SCADA Security .......................................................................................... 115

65. Cybersecurity Assessment .......................................................................... 116

66. Security Awareness Training ....................................................................... 117

67. PCI Compliance Review.............................................................................. 118

68. Records and Data Retention ....................................................................... 119

12.D-41Council Agenda 11-15-2022
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TELECOMMUNICATIONS ............................................................. 120

69. Police VoIP Phone Replacement ................................................................ 121 IT STAFFING ............................................................................. 122

70. IT Staffing .................................................................................................... 123

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Best practices are methods that are recognized as
consistently providing better results than those
achieved with other methods. We believe that the
following best practices will enhance the City’s
ability to select, procure, and maintain solutions
that are more effective in the future, as well as
improve overall productivity of staff.

Best Pract ices

1. Technology Governance

2. IT Project and Services Portfolio

3. Project Planning and Implementation Best Practices

4. Maintaining Software Updates

5. Cloud Computing

6. Mobile Computing

7. Applications Management Best Practices

8. Software Selection Best Practices

9. User Training and Support

10. Training Room

11. Centralized Land and Parcel Data Management

12. Sustainability Planning

13. Return-On-Investment Considerations

14. COBIT (Control Objectives for Information and Related Technologies)

15. ITIL (Information Technology Infrastructure Library)

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1.Technology Governance
Background
Technology Governance
Technology governance can provide a collaborative forum for major decisions, planning, internal communication, and department and staff training regarding such matters. Technology governance can also provide a methodology for stewardship of technology resources on behalf of the stakeholders who demand a benefit and/or return on the investment.

Steering Committee
A Technology Steering Committee is a group of employees and managers from a variety of departments and
disciplines that assist in providing long-term direction for an organization's technology resources. This committee can assist with prioritization and focus for development of organizational concepts and planning. Some of the
responsibilities the group may carry out include:
x Identifying and develop technology initiatives and
projects
x Assisting in prioritizing technology initiatives
x Monitoring the Technology Master Plan and projects’
progress
x Providing a forum for lessons learned during implementation of technology projects x Providing an initial review process of technology-related projects requested by individual departments
x Reviewing and providing feedback on long-term, unresolved Help Desk issues x Reviewing and assisting with the implementation of technology standards and policies x Provide support for technology across the organization x Discussing internal customer service concerns
x Acting as a sounding board for management and staff
Implementation of a technology governance methodology can be an effective forum for departments to become more knowledgeable about technology and how it can be used to enhance customer service and create efficiencies throughout the City’s business processes.

Findings and Observations
x The City has two technology steering committees when including the executive management team. The implementation of the Technology Master Plan recommendations will provide a great opportunity for City departments to collaborate on future technology use and application needs.
x This report recommends additional technology spending, which should be prioritized and managed as a part of the annual budget process.

Recommendations
x We recommend adjusting the roles and responsibilities of the Technology Steering Committees, including a Technology Steering Committee Charter, discuss technologies and recommend priorities, assist in policy development, communicate with department staff, and oversee the implementation of the Technology Master Plan.

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x Formalize a department head-level Strategic Technology Committee to monitor Technology Master Plan implementation.
Š CISCOM will then report to the Strategic Technology Committee on a quarterly basis to review Technology Master Plan implementation and priorities. x Utilize CISCOM as the initial forum for IT functions and other departments to propose and present new technology-related projects to ensure best practices are followed and applied to the review, selection, approval, procurement, implementation (project management), and ongoing technology maintenance.

Recommended Next Steps
x Develop a Strategic Technology Committee charter
x Develop and implement a Strategic Technology Committee focused on:
Š Oversight of the Technology Master Plan
Š Adjusting priorities based on limited IT resources
Š Annual IT budget review and approval
Benefits
x More transparency, responsibility, and accountability x Prioritization of initiatives
x Improved compliance and consistency
x Enhanced communication and collaboration
x Higher degree of business and technology alignment
x Widespread personal and professional growth

2. IT Project and Services Portfolio
Background
An IT Support Services Portfolio is a complete list of IT projects and services provided to City staff and the public. The support services portfolio outlines IT responsibilities for each service and any service-level agreements for those services (e.g., 24/7 support required, disaster recovery priorities, user-access permissions, report writing for certain software modules, server uptime requirements, etc.) Applications support is only one aspect of the complete portfolio.

Other IT services include projects, Help Desk, data network, telephone systems, cybersecurity, etc.

Findings and Observations
x There are no current service-level agreements defined. x A master schedule of technology projects is created each year and monitored throughout the year.

Recommendations
x Create an IT Projects and Services Portfolio to effectively communicate and set expectations for all users regarding what support services IT provides. Š Develop, implement, and communicate service-level standards. x Utilize results of IT assessment as the basis for a five-year project portfolio and budget.

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3.Project Planning and Implementation Best Practices
Background
A best practice approach should be followed for all significant implementation projects. The complexity and risk determine the actual level of due diligence that should be performed. The following is an outline of project planning and
implementation best practices:
x Determine Scope of Work –Work with all stakeholders
to determine what needs to be accomplished.
x Design –For larger, more complex projects, the design effort may become a separate project. For smaller
projects, design is integrated into budgeting.
x Specifications –Make sure an appropriate level of
vendor-agnostic specifications are included with
procurement requests that reduce ambiguity and provide
better comparisons between vendors.
x Collaborate –Include input and requirements of all
stakeholder groups to ensure all requirements are included in specifications and all stakeholders buy-in to the final solution. The IT Steering Committee should review as part of the Committee’s roles and responsibilities.
x Develop Budget –Project budgets include hardware, software, and consulting and SME costs. Consulting costs are estimated by outlining the various work steps and estimating the hours required to complete them.
x Gain Sign-Off –Once the budget is complete, review the scope of work and costs with the project sponsor and gain their approval before continuing, including consent by the IT Steering Committee.
x Create Project Plan –Based on all stakeholder needs, delivery dates, and the tasks to be completed, develop a project plan and estimated implementation date. x Outline Communication Plan –Outline the process for communicating implementation dates, improvements, and training to appropriate staff members. x Document Other Plans –Other plans may include training, testing, contingency, and back- out. These plans are developed on an as needed basis.
x Configure, Implement, and Train –Utilizing planning methodologies and technical expertise, configure the necessary system components, and implement the solution with the least possible impact to staff and productivity. The IT Steering Committee should receive status reports on the progress of the implementation, including whether the project is on time and within budget, user needs are being met, and vendors are following through with their contractual obligations.
x Post-Implementation Review –Complete a post-implementation review with successes, lessons learned, and any unresolved issues requiring vendor assistance. Report the results of the IT Steering Committee’s review.
x Post-Implementation Support –All implementations that affect multiple users require on- site, post-implementation support to eliminate remote response times. x Documentation –Develop any necessary procedures and update documentation as part of the project.

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Findings and Observations
x The City utilizes Project Management methodologies in a limited manner. Š As a result, a practice of adhering to project management best practices for all technology projects, both infrastructure and application based, is not fully developed.

Recommendations
x Develop a project portfolio methodology for all IT- and software-related projects. x Adhere to the planning and implementation best practices that are identified in the Background section of this initiative.
x Continue to review all major active and upcoming projects during Computer Information Systems Committee (CISCOM) meetings.
x Obtain services of third-party project managers and subject-matter experts, to supplement internal resources as appropriate.

Benefits
x Prioritization of projects
x Reduced periods between transitions
x Increased information-sharing capabilities
x Enhanced communication and consensus
x Increased anticipation and management of technology upgrades x Improved analysis and planning
x Increased departmental collaboration
x Measurement and tracking of results and outcomes

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4. Maintaining Software Updates
Background
Maintaining up-to-date software for the City applications is critical for maintaining system security, functionality, and unified training for end-users of a software across the organization.

Many local government agencies do not adhere to best practices standards that align with the goals of the Information Technology Infrastructure Library (ITIL). Absent these practices, the Agency’s software procurement is generally ad hoc and not centrally supported by the IT Department or Division. This environment makes it a significant challenge for software updates to be maintained and supported across the organization.

Findings and Observations
x Some software systems are not always maintained at the most current available version. x Falling further behind often creates upgrade scenarios with several intermediate steps, creating additional problems and potentially making upgrades more expensive and time- consuming.

Recommendations
x The City should follow the best practice recommendation of maintaining a minimum of N-1 (current major release or the one prior). This includes desktop applications and all core enterprise applications.
x Maintain consistent updates across all users.
x Ensure patch management software is implemented properly to provide software updates across the organization for desktop software updates, consistency, and automation. Include software updates in the organization’s sustainability and replacement planning. x Consider consolidating all application software subscriptions and maintenance into the IT budget.
x Review version release notes for each application software release to determine if any new functionality has been added that the City would need or like to implement. x Provide appropriate user training with each release.

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5. Cloud Computing
Background
Cloud Computing can be described as IT equipment or services that are not internal, but available through the Internet. This can range from having a server hosted in an organization or facility other than the local organization, accessing information from a portable device, processing requests from the field, subscribing to an Internet-based software solution per a subscription model (often referred to as “software as a service” or SaaS), and more. The benefit of cloud computing is that it allow individuals to collaborate and remain centralized, regardless of location.

Cloud computing is one of the most prominent discussions among current trends in IT.

Significant benefits can be achieved, including security, disaster recovery, and cost savings.

However, cloud computing options for many systems are still not the most cost-effective or secure approach.

Findings and Observations
x Infrastructure improvements will be required for the organization to fully utilize cloud-based systems.
Š The City has two Internet connections: one in City Hall and one in the Police Department.
ƒ The City Hall Internet connection is 100Mb synchronous. Š Most peer organizations of similar size to Pismo Beach have, at a minimum, two 200Mb synchronous (same speed up and down) Internet connections.

Recommendations
x We recommend the City expand the Police Department Internet connection to 100MB synchronous.
Š If possible, best practices would be to use one carrier for the City Hall Internet connection and a second carrier for the PD Internet connection. x As part of this plan, we recommend cloud-based backups and disaster recovery services. Š They provide the ability to start up virtual machines and restore service. x The City should continue to consider cloud computing options for future projects. Š Cost-benefits can be a significant factor for some cloud decisions. Š Some cloud solutions do not reduce cost.
Š Some cloud solutions have limited functionality when compared to some on-premise, server-based solutions.

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6.Mobile Computing
Background
The 21st century has ushered in an increasing demand for time and resources. Because of the need for inspectors,
infrastructure and maintenance personnel, community affairs personnel, and other general field employees to work in the field or off-site, mobile computing technology has evolved to relieve bottlenecks in obtaining centrally stored information and producing reports necessary to perform functions and meet these demands. By providing field and remote workers with the necessary equipment and software, they can:
x Interact with necessary applications and databases in real time without being bound to a desk
x View data or enter data in the field
x Interact with GPS and field devices
x Review, change, request, and receive programming, staff, and enrollment scheduling in real time
x Remotely submit time and attendance information
x Respond quickly to requests and questions from the public or other City staff and peers Mobile capabilities allow for:
x The ability to break the bonds of centralized office facilities and complete work in the field x Increased productivity and improved time management
x Centralized data that can be monitored in real time
x Improved accuracy and reporting
x Reduced physical paper-based work processes that can eliminate the need to re-enter data upon returning to the office
The ability to implement mobile functionality is primarily a hardware and secure-wireless networking challenge, as software applications that use browser technology require no additional software. For software programs that are not browser-based, we recommend consideration of virtual desktop technology:
x Demand for remote access will continue to grow as staff becomes more portable. x Access to mobile applications for smart phones and tablets will be a portion of the full range of remote-access demand.
x The other major demand segment will continue to be remote access from laptops and mobile desktops.

Software solutions that are designed for specific field operations generally have less functionality than desktop and laptop devices. Mobile devices have two main platforms: smart applications (downloaded from an app store), or native-written mobile device modules (for iPads, Android, or Windows tablets). Some mobile apps utilize store-n-go technology, which allows a user to continue working on a record, even if they are disconnected from a cellular or Wi-Fi connection. Once the user is back in range with the cellular or Wi-Fi signal, the store-n-go capability recognizes the reconnection and updates the information in the background. Store-n- go functionality becomes even more critical if the jurisdictional/geographical service area does not have full cellular or Wi-Fi coverage. Some mobile apps and remote access devices also connect with portable field printers.

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Findings and Observations
x The City has developed a Remote Work Policy.
x Public Works reported the need for mobile devices to be able to communicate with the iWorQ asset management system.
x Public Works would like the ability to have a mobile device assigned to each fleet vehicle. x Existing mobile devices are not integrated with the Land Management System or GIS. x Community Development would like the ability to take photos in the field with mobile devices.
x Currently, laptops assigned to traveling staff are bulky and heavy. Staff reported the desire to have lighter laptops to borrow when traveling.

Recommendations
x Determine and inventory mobile computing needs by specific staff and department including the full-use and mobile applications needed in the field or for required remote access.

Additionally, all existing software solution that have mobile application functionality should be identified.
x Work with enterprise solution vendors to determine the most appropriate field device options, including browser technology with full application system access (i.e., laptop or PC- based tablets such as Surface). Many enterprise application solutions utilize mobile app- based technology (iPad, Android, or Windows tablet) with cellular coverage and store-n-go functionality.
x Consider developing a limited number of standards for mobile devices with the exception being specific application system requirements.
x Continue to provide staff with City-owned mobile devices where justified.

Benefits
x Improved operations management
x Secure sharing of information
x Enhanced communication between field and home office
x Increased ability for team members to communicate/collaborate from separate locations and in the field
x A more mobile and productive workforce
x Faster, well-informed decision-making with access to maintenance manuals and other data x Real-time access to application information from the field

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7. Applications Management Best Practices
Background
The City is not using a structured best practice approach for acquiring, managing, and supporting its software applications across the organization. Statistics show that the most common reason for the failure of an enterprise application system implementation is choosing a system that is not the right fit for the needs of the organization.

End users reported that several enterprise application systems are not fully utilized, resulting in loss of productivity due to inefficient workarounds, continued reliance on manual processes, and ineffective or unnecessary reconciliations. Underutilization of applications can be attributable to inadequate implementation of the applications, the lack of sufficient end-user training, or a fragmented support approach between the IT Division and end users.

Like many municipalities, the City does not have sufficient resources in its IT Division to document practices, procedures, and functional and technical requirements for technology applications or business processes. Improving and achieving full utilization of software applications require a structured approach for prioritizing and evaluating alternative solutions, identifying insufficient implementation results, and assigning ongoing management and support resources. Achieving this outcome requires application roles, responsibilities, and support be blended between departmental users and the IT Division.

The following table is an inventory of the City’s different software applications or modules throughout all departments. The currently utilizes over 100 applications and modules. Major systems include:

Application Functionality Vendor
Financial Management Springbrook
Budgeting - Operating Manual/Spreadsheets / Springbrook Budgeting – CIP Manual/Spreadsheets
Human Resources Springbrook / NeoGov
EAM (Enterprise Asset Mgmt./Work Orders &
Maintenance Management) iWorQ
Land Management/Community Development (Licensed
but not implanted or used) Citizenserve
Police – CAD Dispatch and Records Management SunRidge
Electronic Document and Records Management Laserfiche
Geographic Information System (GIS) ESRI ArcGIS
A more comprehensive example listing of City applications is included below.

NOTE: This is not an official inventory.
x 2NDNATURE
x Adobe Suite
Š Adobe Acrobat DC
Š Adobe Acrobat Pro
Š Adobe Creative
Cloud
Š Adobe Illustrator
Š Adobe InDesign
Š Adobe Photoshop
x ActiveNet
x AutoCAD
x Bandicam
x Bluebeam
x CCPOR
x Citizenserve
Š Code Enforcement
Š Building Permits
Š Planning/Zoning
Š Request Tracker
x CivicPlus
x CJIS
x CLETS
x Colbi Technologies /
Quality Bidders
x Crystal Reports

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x CSAR
x Dashlane
x Data 911 LPR (future)
x Data 911 MDC
x Debtbook
x DMV file generation
x DocuSign
x DOJ
x Drop Box
x Easy Street
x EIS -- RMS
x EIS Property Manager
x Electronic Citation
System
x ESRI
Š ArcGIS Desktop
Basic Concurrent
Use
Š ArcGIS Spatial
Analyst
Š ArcGIS Engine
Š ESRI ArcMap
x Gas Boy Software
x Google
Š Earth
Š Chrome
Š Maps
x GovClarity
x Granicus
x Harris Select
x Host Compliance
x IPS – Parking
Management
x iWorQ
x Laserfiche
x Microsoft Office Suite
Š Access
Š Excel
Š Explorer
Š Word
Š Outlook
x NeoGov
x NexisLexis
x NEXTEST
x Official Payments
x Panasonic MDC
x Park Smarter
x Photo.net
x Procore
x Progressive – License
Track
x SunRidge
Š CAD Dispatch
Š RMS
Š Mobiles
x PSNET-- EIS
x Public Stuff – Citizen
Engagement
x Publisher
x RAVE
x Records Management
x Redactive
x ScheduleAnywhere
x Homebase App
x Scout – Avtec – Radio
consoles
x Security Lines US
x Slack
x Smart 911
x Springbrook
Š Employee Self
Service (ESS)
Š Finance Suite
Š Accounts
Receivable
Š Payroll
Š Utility Billing
x TEXT TO 911
x Thinkstream – CAD to
CAD integration
x TLO
x UPS backup
x Urban Footprint
x Utility Billing Merchant
Transact
x Verus - Data 911 Dash
Cam
x Verint – 911 and Radio
Call Recorder
x Vigilant LPR
x WatchGuard Mobile
Camera
x Weed Abatement
x wIntegrate
x WIN911
x Wonderware
Findings and Observations
x Training is needed for many software applications throughout the City (see User Training and Support initiative).
x The City lacks sufficient IT resources to support critical enterprise applications, document business processes, develop needs for applications systems, prioritize needs, evaluate solutions, or identify sufficient implementation, ongoing management, and support resources for these all these software solutions.
x Greater utilization of existing application software systems is vital to significantly increasing staff productivity throughout the City. However, achieving this goal in the current environment will require additional resources.

Future Applications Management Best Practices
The City can achieve efficiencies and ROI goals by adopting Applications Management Best Practices. Following the recommendations below can lead to improved functionality and use, as well as increased overall productivity.

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Future Applications Roles and Responsibilities
Applications support and management roles and responsibilities should be identified and assigned to each department’s operational application modules. We recommend starting with:
x Finance and Accounting
x Land Management
x EAM/Work Orders/Maintenance Management
x CAD/RMS
Identifying capable staff resources to fulfill the roles and responsibilities for applications will help the City achieve the Applications Management Best Practices in the future. Examples include:

Process Owner
x Primarily makes final decisions on process
policies, procedures, and deliverables for
their area of expertise
x “Resident expert” staff member who is
responsible for a given departmental process
or function
x May also be responsible for oversight and
delivery of daily, weekly, monthly, and annual
processes
x Stays current with the applicable industry
best practices, technology, and applications
capabilities
x Stays current with existing application
vendors’ capabilities, offerings, and enhancements
Power User
x Department expert on application/module
x Possesses greatest knowledge of application/module
x Lead trainer/support person for other departmental staff that utilizes application/module x Usually has formal training and is responsible for application configuration setup and changes on an ongoing basis
x Stays current with the applicable industry best practices, technology, and application capabilities
x Stays up-to-date with current application vendors’ capabilities, offerings, and enhancements Application Analyst Skills
x Assigned to work with process owners, power users, report writers, and users x Reviews business processes, current utilization of application, manual processes, and shadow systems (e.g., workarounds, spreadsheets, and other databases) to increase automation, improve efficiencies, and increase utilization of the core business application x Assists in developing and documenting standard operating procedures (SOPs) Report Writer
x Aptitude to develop ad hoc reports using vendors’ report writing tools, which may include third-party tools such as Crystal Reports, Cognos, or Microsoft SQL Server Reporting Services (SRSS)
x Assigned as the go-to person for ad hoc reports that other users cannot quickly generate on their own
Roles and Responsibilities
PO = Process Owner(s)RW = Ad hoc Report Writer(s)MS = Module Stakeholders PU = Power User IT = IT Responsibilities(e.g. System Admin. or server support)FF = Feature Function Reviewer(s) AA = Application Analyst(s)ML = Module Lead EC = Evaluation Committee Selection Participants Financial Management
General Ledger
(incl. Bank
Recon)
Budgeting Project and
Grant Acctg
Purchasing and
Req's Bids Mgmt Contract Mgmt
Accounts
Payable
Accounts
Receivable Cashiering Fixed
Assets
Financial
Reporting
Ad Hoc
Reporting
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• Liaisons/coordinates with departmental staff, project managers and vendor • May also be a feature function reviewer
• Lead responsible for selection process questionnaires, documentation, gathering information and coordinating other Key Module Stakeholders
• Lead participant in reviewing assembled software and business process needs requirements • Provide feedback or clarifications on software needs • Lead departmental implementer for new software module/functionality • Participant in reviewing assembled software needs requirements • Assists in gathering documentation and identifying department/division needs • May also provide feedback or clarifications on software needs • Participant in reviewing assembled software needs requirements • May also provide feedback or clarifications on software needs • Participant in group needs assessments workshops
• Participant in vendor proposal evaluations
• Participant in vendor demonstration evaluations
Role Description
• Primarily makes final decisions on process policies, procedures, and deliverables for their area of expertise
• “Resident expert” staff who is responsible for a given departmental process or function • May also be responsible for oversight and delivery of daily, weekly, monthly, and annual processes • Stays current with the applicable industry best practices, technology, and applications capabilities • Stays current with existing application vendors’ capabilities offerings and enhancements• An expert on a specific application or software module • Possesses greatest knowledge of application or module • Lead trainer or support person for other staff members that utilize application or module • Usually has formal training and is responsible for application configuration setup and changes on an ongoing basis
• Stays current with the applicable industry best practices, technology, and application capabilities • Stays current with existing application vendors’ capabilities offerings and enhancements• Assigned to work with process owners, power users, IT, and users • Reviews business processes and shadow systems (e.g., spreadsheets and other databases) to increase automation and improve efficiencies
• Assists in developing and documenting standard operating procedures (SOPs) • Aptitude to develop ad hoc reports using vendors’ report writing tools (e.g., Crystal Reports, SSRS, etc.) • The “go-to person” for ad hoc reports that other users cannot quickly generate on their own • Copy data between development, training, and live databases • Develop ad hoc reports
• Revise and test security roles, including testing all user IDs • Administer system and supporting software/database • Assists with the installation, upgrades, and ongoing maintenance of the application•

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IT Roles and Responsibility
x Identify the future role of IT for a given application/module. Š The IT Division does not have the resources to effectively fulfill all applications management support and maintenance roles for the entire City. Š For some applications, it is appropriate for IT to fulfill many of the above roles if not available within a department. However, an IT staff member can never be a process owner or power user.
Š The overall objective is for the departments to take as much responsibility as possible for the application management and support of the modules utilized by their primary business process functions
x Copy data between development, training, and live databases x Develop ad hoc reports
x Implement and test security roles, including testing all user IDs x Administer system and supporting software/database
x Assists with the installation, upgrades, and ongoing maintenance of the application Multiple Roles
Please note the organization may not have an identified resource in some instances, and some applications may not require certain roles. It is also likely, in some instances, the same person(s) will fulfill more than one role for a given application or module.

Module Lead
x Takes responsibility for documentation, gathering information, and coordinating other Key Module Stakeholders
x Leads participant in reviewing assembled software and business process needs requirements
x Liaisons or coordinates with departmental staff, project managers, and vendor x May also be a module lead and feature function reviewer x Provides feedback or clarifications on software needs x Leads departmental implementer for new software module/functionality Module Stakeholders
x Participates in reviewing assembled software needs requirements x Assists in gathering documentation and identifying department or division needs x May also provide feedback or clarification on software needs Feature Function Reviewer(s)
x Participates in reviewing assembled software needs requirements x May also provide feedback or clarification on software needs Evaluation Committee Selection Participants
x Participates in group needs assessments workshops
x Participates in vendor proposal evaluations
x Participates in vendor demonstration evaluations

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Recommendations
x Consider adding application and business analyst personnel (application support specialist) to the IT staff to provide increased and improved applications support to departmental users for departmental business applications.
x Departments should be encouraged to become more responsible for changes to application setup and configurations, with assistance from IT personnel. If department personnel are unable to make these changes, training should be provided. If needed, third-party subject- matter experts can be helpful for large or complex projects. x Training department personnel to perform their own simple report writing (basic listings and extracts in tabular form) is challenging, but beneficial. More complex reporting often requires specific understanding of database structures in the application, requiring IT assistance. This approach can free up IT staff to focus on other issues, such as providing assistance for more difficult or complex reporting needs. x Process owners and/or power users should take a more active role in monitoring upcoming functionality improvements from new software releases. Utilization by departments will improve over time. In addition, it would be helpful if process owners across departments monitored and discussed applications usage with other peer organizations and entities. The feedback gleaned from interagency exchanges could be incorporated into the City’s systems to further improve systems functionality and increase its use across the organization. x Specifically assign roles and responsibilities to each applicable application or module. x Key assignments should encompass responsibility for understanding industry best practices, solutions, or processes available and take the lead in continually assessing and inventorying needs.
x Inventory current and future feature/function, reporting, training, and support gaps, and maintain improvement needs lists by specific software modules.

Benefits
x Increased use of applications features, resulting in higher return on software investment x Higher degree of user independence, as well as reduced cost and demand for vendor assistance or time required by IT staff
x Identification of applications user roles and responsibilities x Improved efficiencies and productivity
x Improved customer service
Next Steps
x Complete Application/User Matrices for current and future applications usage and applications management roles.
Š Identify process owner(s) for each module or insert “N/A” if not applicable. Š Identify power user(s) for each module.
Š Identify application analyst(s) for each module or insert “N/A” if not applicable. Š Identify ad hoc report writers or insert “N/A” if not applicable. Š Differentiate (e.g., by color shading, annotations, etc.) if individuals are expected to assume roles in the future with additional training.
x Define IT Department roles and responsibilities for all applications or modules.

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8.Software Selection Best Practices
Background
Selecting the right system and technology is more critical today than ever before because the efficiency and effectiveness of the organization is directly dependent on its use of technology and information systems. Organizations realize they must take greater advantage of automation to meet growing constituent and public demands.

Return-on-Investment Considerations
While new software solutions can transform
certain operations, processes, and constituent
services, consider these facts:
x Without proper preparation, planning, and
methodology for selection and
implementation, organizations face many
problems and risks, including:
ŠSpending hundreds of thousands—and,
potentially, millions—of dollars more than necessary in total cost of ownership ŠFailed or prolonged implementation
ŠImplementation of systems that still do not
meet the organization’s functional needs
ŠLow productivity
ŠPoor contract negotiation position
ŠLack of and/or reduced integration between
other software systems
x Organizations typically fall short of their
implementation goals due to one or more of the
following factors:
ŠInsufficiently defining system objectives and
requirements
ŠFailing to adequately involve both
management and users
ŠUnderestimating the costs and effort required
ŠFailing to adequately plan for expansion
ŠFailing to properly evaluate software
x For key software systems to be implemented
properly and the organization to reap the full
benefits, the organization should utilize a
structured analysis and selection methodology. A
structured approach to selection and
implementation results in significant benefits,
including:
ŠReduced risk of a failed or prolonged
implementation
ŠLower total cost of ownership
ŠIndependent and objective analysis of potential alternatives ŠWell-defined objectives and requirements
ŠAn education process for the organization

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Š Selection of technology that meets the organization’s short- and long-term objectives and requirements
Š Effective contract negotiation through well-prepared and documented needs Š Overall project time savings
Š Improved implementation readiness
Recommendations
x Adapt these best practices for size and complexity of projects. More due diligence is generally required for larger, more complex projects. However, even small projects can benefit from these due diligence methodologies.
x Utilize best practice selection methodology when evaluating new software solutions (see example work plan below).
x Consider third-party consults when selecting or improving complex or highly specialized solutions.
x Ensure process reviews are completed and detailed feature/function specifications are documented as part of the RFP (see example below).
x Ensure detailed feature/function specifications are utilized with test scripts before going live on new applications implementations.
x Include all stakeholders in each software evaluation and implementation project. x Ensure detailed feature/function specifications are utilized in post-implementation reviews and ongoing training (see example work plan pages below).

Benefits
x Reduced hardware and software requirements
x Reduced preparation time for deployments
x Improved identification of integration requirements
x Reduced license fees
x Increased utilization of applications systems
x More effective due diligence
x Increased staff buy-in, consensus, and morale
x Improved decision-making (selecting software that is the best fit for assessed needs) x Improved implementation results (time, costs, and results)

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Example Work Plan
Step Software System Selection
Work Plan
Phase 1 – Needs Assessment and Recommendations
1 Kick-Off and Project Team Development – Hold a formal Kick-Off Meeting, and then work with the Project Manager to finalize the makeup of the selection Project Team and document required roles and responsibilities. Include representatives from all key stakeholder groups.

IT Infrastructure and Staffing Readiness Review
2 IT Information Meetings and Interviews – Conduct information-gathering activities focused on the ability of the existing IT staff and infrastructure to support the needs of the organization and review the readiness to implement and support the platform that will be required for the new software system, including:

IT Network and Infrastructure
Storage and Backups
Servers, Server Applications, and Management
Cybersecurity
Disaster Recovery
Desktop Environment
Printers
3 Documentation – Document information and summarize the required preparation initiatives, findings, and recommendations.
4 IT Assessment Memo – Prepare a memo assessing gap and readiness of IT infrastructure to support the organization's general needs and the introduction of the new software system. The memo is to include the following:

General readiness of IT to support the organization's needs and support the introduction of a new software
IT Initiatives with findings and recommendations, including the following scope:

IT Environment and Infrastructure
IT Applications Support Staffing Structure Business Department Needs Assessment Interviews 5 Business Process Review and Feature/Function Analysis – Meet with the identified personnel by functional area and software modules to review existing manual and automated systems and operations, including any custom-developed work-around systems and processes. Include a cross- section of all user types in each assessment workshop.
6 System Requirements Documentation – Document information gathered during process reviews and develop feature/function requirement specifications specific to your organization.

Phase 2 – RFP Development
7 Preliminary Vendor Research, Communication, and Coordination – Research vendor community to identify qualified vendors meeting the organization's system and service requirements and communicate with potential vendors. Vendors do not respond to all RFPs, so pre-communication is helpful to obtain proposals that are in the organization’s best interest to consider. 8 Develop Request for Proposals (RFP) – Prepare a Request for Proposals (RFP) document, and work with the organization to make adjustments and revisions, as well as ensure its compliance with the organization’s purchasing guidelines and is distributed per policy (assumes development of a single RFP document). RFP should include, but will not necessarily be limited to, the following:

Comprehensive list of functions/requirements with prioritization Cost, including purchase or other financial payment plan options

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Step Software System Selection
Work Plan
Required technical specifications
Installation costs
Migration from existing to new system (cost and timeline) Training cost and training schedule
New system hardware/network/system software requirements Phase 3 – Vendor Evaluation and Demonstration Management 9 Manage vendor questions and answers during established proposal response timelines. 10 Proposal Evaluation – Analyze and evaluate proposal responses. Provide an initial Summary Vendor Comparison Worksheet that provides side-by-side comparison of key system evaluation requirements, including feature/function compliance statistics.
11 Analysis Results Workshop to Determine Vendor Finalists (Short List) – Conduct a collaborative review workshop with a key stakeholder committee and determine which vendors are to be short-listed. 12 Develop Demonstration Documents – Prepare an agenda and sample demonstration scripts for vendor demonstrations to be sent to vendor finalists for their advance preparation. Also, prepare vendor demonstration evaluation forms for use by selection committee members during demonstration sessions. 13 Reference Check Form Preparation – Prepare form to be used by project team members during finalist reference checks or calls.
14 Schedule and Facilitate Vendor Demonstrations – Schedule demonstration dates and facilitate initial vendor demonstrations to ensure that pertinent requirements are addressed (estimate three vendors at X days each).
15 Develop Site-Visit Documents – Prepare an agenda for each vendor site-visit and a site-visit evaluation form for organization selection committee members to complete during each visit. 16 Post Demonstration/Visit/Reference Check Due Diligence and Follow-Up – Track follow-up issues and conduct comprehensive due diligence. This may include additional demonstrations, Q&A facilitation, reference checking, and site-visit assistance, etc.
17 Finalist Selection – Conduct a meeting with the organization selection committee to facilitate discussion and finalize the vendor selection.
18 Review Selected Vendor's IT Requirements – Review the IT (server, workstation, network, etc.) requirements provided in the selected vendor's proposal, and prepare a memo outlining observations and recommendations for IT.

Phase 4 – Contract Review and Negotiation Assistance
19 Implementation Plan Review – Review implementation plans, project management office, resource requirements, and timelines.
20 Implementation Team Organization – Establish Implementation Project Team based upon PMI and COBIT Project Management Office (PMO) principles and applications management best practices. 21 Contract Review and Negotiation Assistance – Conduct contract reviews and negotiations with an SME and legal representation.

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Example Feature/Function Specification

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9.User Training and Support
Background
Software systems are tools utilized to conduct business operations. As with other tools (e.g., phones, audiovisual equipment, backhoes, plotters, etc.), gaining greater
utilization through sufficient training and installation of other available software modules is key to significant increases in productivity and greater efficiency, as well as achieving cost savings in many areas.

Findings and Observations
x Software applications that are underutilized would gain significant increases in staff productivity if more training were provided.
x An updated inventory list can clarify and confirm licensing compliance, over and under seat license requirements, and training needs and user-responsibility roles, as discussed in the Application Management Best Practices initiative.
x Staff requested additional training in Microsoft Office, Adobe, and numerous business applications.

Business Department Application Training
As applications software changes and grows in complexity, training staff members to properly use software becomes more critical. A renewed citywide emphasis on targeted staff training on applications software will pay significant dividends in increased staff effectiveness and productivity. An inventory of high-priority training is essential to achieve expected productivity.

The City can identify and assess future training needs for all applications and users upon completion of an application/user matrix (see Applications and User Licensing Inventory initiative).

Return-on-Investment (ROI) Consideration
In a study conducted by Nucleus Research, an organization drove productivity gains of up to 50% through ongoing, successful user trainings.1
Staff Feedback
Staff reported the desire for additional user support and training. The following feedback is organized by department:
x Administrative Services/Finance
ŠSpringbrook, in particular more reporting capabilities ŠLaserfiche
ŠIPS parking online software
ŠPublicStuff
ŠNeoGov
ŠMicrosoft applications
ŠProgressive application for TOT and business licenses
1 Nucleus Research, 2010.

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x Community Development
Š Host Compliance
Š Springbrook
Š GovClarity
Š Acrobat Suite
Š InDesign
Š Granicus
Š CivicPlus
Š Laserfiche workflows
Š Citizenserve capabilities, including online portal opportunities Š ESRI GIS – How to update and manipulate data
Š Public Stuff
x Executive Team – Would like outlook training
x Management Services - Clerk – Springbrook
x Management Services - HR – Laserfiche
x Management Services - HR – CivicPlus
x Management Services - HR – Springbrook
x Police
Š Laserfiche
Š ArcGIS PRO
Š IPS - Parking management system
Š Observes a possible need for a City technician who is dedicated tech for the department Š Notes it is a challenge having remote IT due to lag time. x PW - Engineering
Š Adobe Suite, including Creative Cloud
Š Civic Plus
Š Springbrook
Š Laserfiche
Š Observes that support is less than desirable
x PW – Operations
Š Microsoft Suite: Word, Excel, Outlook,
Š BAYweb (thermostat system, on network) – Training from vendor for trouble shooting, training to include SOP
Š Calsense (irrigation system)
Š Wonderware software (after upgrade)
Š SCADA support services
x Recreation
Š Would like training on ActiveNet, Springbrook, Laserfiche, and other common software Š InDesign Graphic design – We need our own license and budget. The City has one license.
Š Laserfiche invoicing
Š Springbrook budgeting
Š ActiveNet - Program registration software.
Š CivicPlus training specifically for department to allow for maintenance of content

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x Tourism
ŠMicrosoft
ŠSpringbrook
ŠOutlook training.

Recommendations
x Develop an annual Training Plan including:
ŠA survey to assess training required to address actual needs and determine anticipated enrollment. This should be driven by department managers to elicit participation when training is made available.
ŠBusiness process improvement reviews to uncover many
needs for additional training across departments and
application systems.
x Use an established training room for training and use as a lab to implement application improvements and configure and set up systems to accommodate process improvement/workflows.
x Determine strategies for accomplishing training needs and engaging software vendors, such as:
ŠSelf-learning aids (CBT and other electronic tools)
ŠInternal classes (internal or external trainers)
ŠOn-site vendor training
ŠLunch-and-learns
ŠGo-To Application Champions
ŠTraining opportunities at software vendor annual user conferences x Participate in software vendor user conferences and local user meetings if they are available.
x Create a repository of basic how-to training aids and other training information (e.g., videos, past class information, etc.)
x Consider procuring a screen-capture video solution to assist with developing internal video training aids.
x Current and future needs can be evaluated and prioritized through a combination of mechanisms, including the Technology Steering Committee. x Consider class attendance as a factor in performance evaluations. This can be accomplished by having department management involved and agreeing to which classes each employee would benefit from.
x Consider efforts to reduce and/or limit the total number of software vendors and databases whenever possible, specifically with regards to duplicate application that provide the same functionality. This will reduce and limit overall cost-of-ownership, support requirements, and training and reporting needs and improve overall integration capabilities.

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Benefits
x Improved operations management
x Improved utilization and efficiency of software applications x Activation and use of existing functionality that is currently unknown but important to the City x Review and activation of new functionality provided in future applications software releases x Increased information sharing
x Improved identification of training needs
x Increased training alternatives
x Improved software administration (fewer staff required to service user community)

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10. Training Room
Background
A training room serves as a great opportunity for staff to become familiar with applications or expand on their current skills. It serves as a best practice to promote professional growth and continued improvement through increased utilization of existing or future organization applications to be released to staff. A dedicated training room is also a requirement for all major software implementation projects.

Findings and Observations
x The City does not have a permanent technology training location. x The City will benefit from a full-time training room with dedicated PCs to successfully complete the projects outlined in this plan.
Š An optimally configured training room would include eight-to-twelve PCs. Š This will increase productivity by reducing unnecessary setup and teardown of training equipment.

Recommendations
x The organization should establish and maintain a training room for:
Š Testing new applications that are being implemented
Š Implementing and testing updates to existing applications and support applications management best practices
Š Lab activities, including testing implementation of new application features or reconfiguration of existing application setup
Š Lab activities for resolution environment in instances where staff members are experiencing extensive computer difficulties
Š Use by staff (users) to improve upon existing application skill sets and competencies Š Maintaining an existing and new applications inventory and training room PC images ƒ Consider using applications push or the IS imaging solution to easily push applications to training PCs.
ƒ Time spent automating maintenance of training room PCs will pay large benefits in reduced maintenance in the long run.
x Identify approximately 500 square feet of space for use as a training room. x Eight-to-twelve computers or workstations should be maintained in a room that provides adequate individual space for each workstation.
x A permanent training room will be needed if the organization implements ongoing user training, refresher training, and other training needs.

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11. Centralized Land and Parcel Data Management
Background
Centralized land parcel data is increasingly crucial for consistent organization-wide parcel and address data for all departments to utilize. Updating and sharing a central parcel and address database is essential, allowing departments to retrieve historical records more efficiently and with consistency across the entire organization.

Modern enterprise applications are increasingly tightly integrated with geographic information systems (GIS), which rely on accurate parcel information to generate maps. Maps allow for a succinct visualization of data. Agencies are increasingly making that data and capability available to the public via their websites and other online tools.

Findings and Observations
x The City uses multiple geo-based applications for CAD/RMS, Work Orders, Permits, Code Enforcement, Planning, Inspections, GIS, etc.
x Community and Economic Development use the Citizenserve enterprise community development application. Staff report challenges in using the system, which include limited reporting capabilities and systems updates where historical information becomes corrupted. x Public Works Departments uses iWorQ for maintenance management. The Department reports that it is able to use location-based functionality for its activities, which includes the ability to verify property owner/address information as well as view property maps. It would like the same capabilities in its mobile devices.
x The address/parcel information is not synchronized between GIS and the various applications that rely on address and parcel data.
x The City could realize significant productivity gains and improved accuracy by using a common, centralized parcel/address database to populate any new or changed information.

This includes centralizing data from all applications that contain address data and all GIS data environments to improve the ability to share layers (see the GIS Assessment and Master Plan initiative).

Recommendations
x Utilize the GIS database for master address and parcel records (see GIS Assessment and Master Plan initiative).
x Future software application systems should be selected based on their ability to store both a master address/location and parcel management database (as applicable). Š New systems should allow for regular updates and synchronization with GIS. Š Master addresses/locations should be shared across all geo-based applications. x All address and parcel updates from external and internal sources should be done through GIS first. Updates to other systems would then use GIS master information. x Strict control of who is authorized to make updates of this information should be enforced, typically limited only to GIS data editors.
x Geo-based applications should be configured so that each transaction requires users to select from valid addresses or validate against the GIS database, not type in free-form addresses.

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12. Sustainability Planning
Background
Sustainability planning is the process of mapping the acquisition, maintenance, upgrade, improvements, training, and eventual replacement for major application systems over a long- term period (e.g., ten years). Sustainability planning helps in significant ways:

1. It reduces the significant periodic spikes in capital expenditures for large software solutions.

2. It schedules upgrades and replacements of departmental business application systems in a convenient and timely manner.

3. It provides for ongoing use training.

Sustainability planning includes computer replacement planning, application software upgrade and training costs, and all other technology expenses to create a holistic view of necessary technology expenditures over the long run. Sustainability planning can be used to develop a minimum annual set-aside.

The growing practice of sustainability planning provides a more practical and realistic way to determine and plan for the ongoing operational needs of all departments.

Because software applications are the primary technology tools of business departments, the City can benefit from implementation of sustainability planning versus the more limited practice of replacement planning.

Return-on-Investment (ROI) Considerations
x A study conducted by Express Metrix for quantifying ROI as it relates to IT and software asset management describes the following ROI benefits of replacement planning within an organization:2
Š Reduced cost of ownership related to IT assets by determining licenses for which an organization is overspending and reducing Help Desk costs Š Managed technology change by developing software procurement models that map current and future needs with technology migration and upgrade planning Š Minimized security risks by preventing unauthorized use, enforcing desktop standards, and identifying PCs with unlicensed applications
In a study conducted by the Aberdeen Group, the following were the cost savings that occurred after incorporating a sustainability plan:3
x System automations reduced paper costs by up to 11%.
x Efficiencies reduced facility costs by up to 10%.
x Waste and disposal costs were reduced by up to 8%.
x Transportation and logistics costs were reduced by up to 5%.

2 Express Metrix.
3 Aberdeen Group, 2009.

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Findings and Observations
x Spending on some major systems improvements has been limited. x Transfers from Enterprise Funds to compensate for necessary SCADA and Radio improvements appear to be limited.
x The City maintains an internal service fund (ISF) which recovers most IT related costs. x The City also has a section in the ten-year budget for technology-related projects.

Recommendations
x Develop a sustainability plan for major IT and department software applications. x Investigate and track annual maintenance and support, and upgrade costs for all major systems to determine if the cost structure is sustainable. If the cost structure is not sustainable, consider alternatives and priorities over the next five-year period. x Consider expanding as appropriate allocations of IT spending to water and waste-water enterprise funds.
x Expand spending for SCADA to attain best practice methodologies.

Benefits
x Increased long-term investment through scalability
x Reduced maintenance expenses
x Increased trust in systems
x Reduced risk and liability
x Reduced total cost of ownership
x Avoidance of unforeseen upgrades
x Informed purchase timing
x Software lifecycle evaluation

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13. Return-On-Investment Considerations
Background
Return on investment (ROI) is a widely used measure to compare the effectiveness of IT systems investments. It is commonly used to build a business case for IT projects and allows agencies to measure project returns at any stage. It is also used to evaluate project team performance and other relevant factors. The basic ROI calculation is to divide the net return from an investment by the cost of the investment and to express this as a percentage. Utilizing this measure for potential new projects allows the City to justify wise technology investments.

IT Infrastructure, Operations, and Support
Limiting the number of software and technology vendors supporting City functions will decrease the growth of IT infrastructure operational and support costs in the medium-to-long term. The following is a list of technology areas impacted when determining the number of applications necessary to support and maintain an organization’s core business solutions:
x Hardware – Servers required to house the applications x Software – Additional software, such as key operational software applications and the number of different database tools required to support core applications x Licensing – Increased licensing due to an increased number of vendor applications and various associated database tools
x Business Continuity – Increased Disaster Recovery Planning effort, testing, and recovery complexity to support multiple-vendor applications
x Support Costs – IT support costs for hardware and software as vendor application volumes increase
x Operation Costs – Increased training for employees to meet expertise requirements as more vendor applications and different database tools are introduced Departmental Labor Costs
Many organizations do not adequately understand the impact of improved automation and the resulting reduction in manual processes and shadow systems when considering implementation of new systems or conducting process improvement analysis to improve utilization of existing systems. Most productivity analyses show that, over time, labor cost savings far exceed the cost of reasonable automation efforts. The savings associated with the avoidance of one new hire or the elimination of a position due to attrition may be $50,000 to $100,000, or more, per year (including total payroll, taxes, benefits, and other costs). The life of some new systems should be over ten years, making the savings from the avoidance of just one new hire and/or elimination of vacated positions the equivalent of $500,000 to $1,000,000 over ten years. Ten years should be the minimum expected life cycle for major applications systems.

Return-on-Investment (ROI) for Applications Systems
Improved utilization of applications systems can result in immediate and sustained savings in time spent performing specific tasks or processes. These individual improvements do not always equate to immediate, hard savings. They may result in intangible benefits to the City, the population that the City serves, or cumulative savings from reduced long-term personnel needs.

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User Training and Support
Applications software is continually evolving. Improvements and enhancements are made yearly. Maintaining staff efficiency and improving productivity over time requires ongoing training of all staff. Users are typically not trained on all aspects or capabilities of particular software applications or other technology-based tools during initial implementation. Therefore, it is important for the organization to develop methodologies to carry out functionality use, reporting, and training requirements in order to utilize the City’s important technological assets to their fullest potential over time.

Calculation Examples
Whenever possible, we recommend that staff calculate tangible and intangible benefits when requesting approval for a project. The following calculations can be utilized in those efforts. We believe in being conservative and practical. Exhaustive ROI studies should not be necessary.

Focusing on a limited number of reasonable examples, as outlined here, should normally be sufficient to provide adequate justification for strategic projects.

Labor Efficiency
Savings
=Labor Hours Saved x Gross Hourly Rate
Tangible Labor Cost
Savings
=New hire avoidance, elimination of position
through attrition, consolidation of workload and
positions, etc.

Hard Cost Savings
x Hardware
x Software
x Maintenance
x Inventory reductions
Intangible Benefits
x Alignment with business needs
x Improved decision-making
x Compliance with regulatory requirements
x Increased levels of service
x Improved service to public users
x Increased safety
x More transparency
x Improved public communication
x Improved employee communication and satisfaction
x Systematic Technology Planning and improvements
Related Studies
A recent study conducted by Macquarie University4 discovered the following:
x Overall ROI in IT projects is around 30%.
x The projects that deliver at least some benefits should be about 52.5%. x Successful IT projects can have an ROI of around 400%. 4 Macquarie University

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Return-on-Investment (ROI) Cost Considerations
Shadow System Elimination
The propagation of numerous shadow systems has occurred due to the underutilization of the existing system as well as the limitations and inability of the existing system to provide information in real-time, analyze information, and perform management reporting. These shadow systems involve the management of offline spreadsheets, databases, paper, and other tools to meet departmental and citywide needs that the existing processes and systems cannot fulfill. Some examples of these shadow systems include, but are not limited to:

1. Journal entries entered in Excel (Finance)

2. Tracking of Financial, HR, and Payroll information in Microsoft Access or Excel

3. Limited use of automated system allocations, causing extensive manual tracking and reporting

4. Departmental duplicate tracking of budgets in Excel
The City should inventory all shadow systems to identify, inventory, and determine which ones can be eliminated with the new system. Additionally, if resources are available, the City may want to consider estimating the time spent on specific shadow systems throughout the organization. If beneficial, the City may also wish to consider such an effort to determine the true savings resulting from the elimination of these shadow systems through the implementation of the proposed new system. In the meantime, a very conservative example is provided below.

It is expected that the true cost savings will exceed this example.

Shadow System Cost Savings - Example
4 departments each @
20 hours spent per
week on Shadow
Systems
= 2 Full Employees =
Estimate of $100,000
annual Employee Cost
(fully burdened)
=
$1,000,000 in
Savings over 5
Years
Decrease in Staff Growth Rate
Personnel efficiencies and productivity gains will be realized from the new systems, including automation of existing manual processes, gains from the elimination of shadow systems, and process improvements. Seldom, if ever, have elimination in actual staff been observed due to hidden backlog or other needs that have been set aside due to existing workloads. But reduction of staff through attrition (retirement, resignations, etc.), reallocation of staff, and the slowing of the organization growth in staff commonly occur. The diagram below is a visual representation (not quantifiable actual results) of the principal of what is often experienced regarding staff growth projections related to the implementation of a new system.

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Productivity Cycle
Through the proper successful implementation of improved processes and new systems, the City should expect to achieve close to 100% of the expected gains in productivity. However, it should be understood there is a lead time associated with when these productivity gains will be realized. The productivity cycle is represented in the diagram below. Initially, due to learning curves, the time required for implementing new processes, and the assimilation of the organization’s staff, there is often a 90-to-180-day loss in productivity before actual gains begin to be realized.

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14.COBIT (Control Objectives for Information and Related Technologies)
Background
Control Objectives for Information and related Technology, also known as COBIT, helps to ensure alignment of IT with the environment through the adoption of incentives, metrics, and oversight. IT governance is the responsibility of executives and the Board of Directors and consists of the leadership and organizational structures and processes that ensure that the enterprise’s IT sustains and extends the organization’s strategies and objectives. For IT to be successful in delivering, management should put an internal control system or framework in place. The COBIT control framework contributes to these needs by:
x Making a link to the organization’s requirements
x Organizing IT activities into a generally accepted process model x Identifying the major IT resources to be leveraged
x Defining the management control objectives to be considered The orientation of COBIT consists of linking organizational goals to IT goals, providing metrics and maturity models to measure their achievement, and identifying the associated responsibilities of organization and IT process owners. The benefits of implementing COBIT as a governance framework over IT include:
x Better alignment based on an organizational focus
x A view of what IT does that is understandable by management x Clear ownership and responsibilities based on process orientation x General acceptability with third parties and regulators x Shared understanding among all stakeholders, based on a common language COBIT is an IT governance framework and supporting toolset that allows managers to bridge the gap between control requirements, technical issues, and business risks. COBIT enables clear policy development and best practices for IT control throughout organizations. COBIT emphasizes regulatory compliance, helps organizations to increase the value attained from IT, enables alignment, and simplifies implementation5. ClientFirst utilizes the concepts from COBIT throughout its IT Planning process.
5 www.isaca.org –COBIT, 2009

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Benefits
x Reduced unplanned work
x Increased number of successful changes
x Improved operations management
x Secure sharing of infrastructure and asset information x Increased anticipation and management of technology upgrades x Reduced total cost of ownership

15. ITIL (Information Technology Infrastructure Library) Background
This lifecycle approach to IT organization
results in strategies that align service
management with business strategy,
structures IT services to meet the real
business environment, and builds a support
model for the day-to-day procedures needed
to support business objectives. Through an
understanding of Information Technology
Infrastructure Library (ITIL) and how it relates
to IT operational environments, ClientFirst can
identify the strategy and resources needed to
accomplish the business objectives based on
the current structure of the IS Department.

ITIL provides a common framework understood by suppliers, clients, vendors, and businesses through a set of global standards. ClientFirst utilizes these concepts for service delivery throughout its IT planning process to provide a sound approach to support IT initiatives6. ITIL is a framework intended to assist organizations with the alignment of IT operations with business objectives through an IT service strategy of continuous realignment. ITIL is considered a best- practice approach to IT service delivery that can be molded to fit all organizational structures.

ITIL v3 groups IT service into four (4) categories: Strategy, Design, Transition, and Operation.

Recommendations
x Additional ITIL training would benefit senior technology staff.

Benefits
x Reduced in unplanned work
x Increased number of successful changes
x Improved operations management
x Secure sharing of infrastructure and asset information x Increased anticipation and management of technology upgrades x Reduced recovery times
x Reduced total cost of ownership
x Improved alignment of technology with business requirements and needs

6 www.itil-officialsite.com – ITIL, 2009

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De
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The Departmental Applications and Systems
category includes IT Initiatives that are primarily
department business applications-related and
were identified during the assessment process.

Many of these initiatives and recommendations
can have a significant impact on overall
productivity, enhanced communications and
information sharing, improved constituent service,
improved transparency, and, in some cases, cost
savings.

Departmental Applications and Systems

16. ERP Gap Analysis and Utilization Improvements

17. Budgeting Process Improvements

18. Time and Attendance System

19. Human Resources System

20. Expense Reimbursement Management

21. Business License System Improvements

22. Land Management System Gap Analysis and Improvements

23. Electronic Plan Submittals and Reviews

24. Enterprise Asset Management (EAM) System Improvements

25. Fleet Management System

26. Parks and Recreation System Improvements

27. Police Scheduling and Time Tracking System

28. Evidence Management System

29. Digital Evidence

30. Electronic Ticketing/Citation System

31. CAD/RMS Implementation

32. Electronic Content Management System (ECMS) Improvements

33. Performance Dashboard

34. Intranet

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16. ERP Gap Analysis and Utilization Improvements
Background
Enterprise resource planning (ERP) is an organization-wide software solution that allows integration among various departments and their respective functions. The result is a centralized system of communication, data storage, and operations management. Common city-related ERP applications modules for a city the size of Pismo Beach include Accounting, Financial Reporting, Payroll, Human Resources, and Utility Billing.

Findings and Observations
The City uses Springbrook Enterprise Resource Planning (ERP) software system. The system went live in 2016. Springbrook is used by many small- to mid-sized local government agencies throughout the country.

During departmental and functional area interviews, it was reported that end-users across business units and functional areas are not fully using the functional capabilities of Springbrook.

Gaps in training, and set-up and configuration issues from the vendor’s implementation process have resulted in functionality gaps. The gaps required end users to develop workarounds and rely on external shadow systems to bridge the ERP system gaps.

Some of the current challenges to Springbrook are summarized as follows:
x Vendor training was not sufficient for the modules that were purchased, which resulted in gaps in knowledge of the use of the system.
x Additional training in general on the system is needed, including key users outside of Finance.
x Opportunities exist for a number of interfaces, including interfaces with Citizenserve (Land Management) and ActiveNet (Park & Rec software).
x A number of functionalities were not implemented, and thus, a number of processes were not automated in the system including:
Š Bank reconciliation
Š Timesheets
Š Budget adjustments
Š Travel requests
Š Leave requests
x Reporting capabilities exist, but the Finance and other departments need training, and a number of critical reports need to be built to save time and reduce the need to use spreadsheets.

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ERP (Springbrook) Status Summary
The following table represent the current state of the Springbrook ERP system including what is licensed and in use, what is licensed and not in use, not licensed and opportunities for improvement.

Industry-Typical
Enterprise Module
Name
Current
Available
Vendor-
Equivalent
Module
Licensed Implemented
Potential
Process
Improvements
Financial Management
Springbrook
General Ledger General Ledger
(Finance Suite) Yes Yes
Bank Reconciliation
Bank
Reconciliation
(Finance Suite)
Yes
Budgeting
Budget
Preparation
(Finance Suite)
Yes Yes Yes
Budgeting Extended
Budgeting Yes No Yes
Project Accounting Project
Management Yes
Requisitions Requisitions Yes No Yes
Purchase Orders Requisitions
(Finance Suite) Yes Yes
Accounts Receivable Accounts
Receivable Yes
Accounts Payable
Accounts
Payable (Finance
Suite)
Yes Yes Yes
Dashboard Dashboard
(Finance Suite) Yes
Inventory Management Inventory Control No No
Fixed Assets Fixed Assets
(Finance Suite) Yes
Ad Hoc Reporting
Advanced
Reporting
(Finance Suite)
Yes
Cash Receipts
Misc. Cash
Receipts
(Finance Suite)
Yes Yes

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Industry-Typical
Enterprise Module
Name
Current
Available
Vendor-
Equivalent
Module
Licensed Implemented
Potential
Process
Improvements
People Management
Springbrook
Applicant Tracking Applicant
Tracking No No N/A
Human Resources Human
Resources No Yes
Payroll Payroll – Level 2 Yes Yes
NeoGov
Applicant Tracking Insight Yes Yes
Springbrook
Time Tracking ESS No Yes
Employee Self-Service ESS Yes
Utility Billing
Springbrook
Utility Billing/CIS Utility Billing Yes Yes
Utility Billing Meter
Interface
Utility Billing
Meter Interface Yes Yes
Online Capabilities
Online Utility Billing Utility Billing Web
Extension
Staff Feedback
x Administrative Svs/Finance – Would like to improve travel and expense reimbursement process. Too many repeated forms and the system is not user or customer friendly. x Administrative Svs/Finance – Would like the ability to swipe credit cards and take credit card payments
x Administrative Svs/Finance – Would like ability for interactive voice response (IVR) with utility billing
x City Manager – Would like to use procurement best practices workflow x Community Development – Would like ability to be able to create Budget projections x Community Development – Would like to use credit card readers for payments x Management Services - HR – Would like ability to automate Travel & Training Forms. This removes redundancy from multiple files. It will eliminate the need for multiple approvals for the same form, scanning in each item separately.
x Management Services - HR – Would like ability to automate Timesheet to help improve exception reporting
x Management Services - HR – Would like for the ability of customers to pay for items at our counter for minor payments at the Clerk's Department
x PW - Engineering – Would like to automate Timecards
x PW - Engineering – Would like to automate Budget Revision Requests x PW - Engineering – We also are using an iPad for credit card payments that is run through a separate network and printed on a separate printer. There are constant issues with connecting to the printer, which also affects customer service.

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x PW - Operations – Would like that ability to route credit card invoices in system, so paper copy does not get lost in transit
Recommendations
x We recommend conducting process reviews and needs assessment(s) to determine gaps and develop an improvement plan to close these gaps. The needs assessment process inventories current and future functionality requirements, by application module, for each department. The software vendor is then asked to respond (in writing) to these requirements with their capabilities to determine their level of compliance with the City’s specific needs.
x From the needs assessment documentation, determine any unmet needs (gap) and any additional modules that may need to be licensed, as well as the required implementation and training to fully utilize the solutions.
x Review applicable manual processes and shadow systems, such as spreadsheets, paper, and other databases, to determine automation improvements that will eliminate or reduce these shadow systems and result in labor efficiencies. Any requirements that the vendor is not capable of providing can then be dealt with by other means, such as more efficient work- arounds, third-party applications, modifications, change in organizational processes and procedures, etc.
x This process should also be used to inventory all required reports, as well as integration/interface requirements between other applications, such as credit card processing ECMS, GIS, EAM, Land Management, Parks and Recreation, etc.

Benefits
x Improved streamlined processes
x Improved operational consistency, efficiency, and accuracy x Improved online access to information
x Improved financial reporting
x Elimination of information silos
x Better identification of integration requirements
x Improved utilization and realization of ERP investment

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17. Budgeting Process Improvements
Background
Budgeting is the annual process public agencies undertake to develop its spending plan for the next fiscal year, or in many cases, involve a forecast of sources and uses four or five years into the future. A typical plan entails all funds administered by an agency for normal operations and for capital items. The process is iterative and ends in the adoption of the plan by a governing body.

Modern local-government-focused enterprise resource planning systems have budgeting capability to help agencies simplify and automate the process. The functionality of a budgeting module in an enterprise system varies significantly from vendor to vendor or within vendor application suites, which depend on the level of functionality that is licensed by the agency. In addition to budgeting functionality that resides natively in an enterprise system, standalone budget applications exist in the marketplace.

Some common features most budgeting software share are the ability to:
x Build reports and templates from prior year or average of years x Create budget projections for multiple future years
x Work in summary or detail views
x Define approval processes
x Use position and budget control to forecast salary and benefit costs and simulate changes to positions with what-if scenarios
x View dollars available after taking salary and benefit commitments into consideration through payroll encumbrances
x Check transactions against available budget balance
x Online capabilities
x Workflows for review and approvals
Findings and Observations
x The City initially licensed the standard budgeting functionality in Springbrook, but not Extended Budgeting. Post go-live, it was discovered that the system had significant functionality gaps (e.g., the ability to only provide a two-year budget). The limitation resulted in the City abandoning the application for the budget development process. x The City’s current budget creation and workflow processes are largely managed and tracked outside the of the Springbrook ERP system.
x Two Finance staff members are responsible for 90% of the budgeting process. x The City’s labor hours devoted to the budgeting process is burdensome due to the manual processes required.
x The City would like to streamline and automate these processes by taking better advantage of new and existing technology.

Recommendations
x Conduct a needs assessment to document processes, objectives, and application configuration requirements, which will include any potential systems integration/interface requirements.
x From the needs assessment, provide an analysis of the functional requirements as it pertains to existing (Springbrook) or potential replacement (third-party budgeting system).

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x Springbrook’s Version 7.X is now available. Springbrook claims that considerable functionality has been added to the system, including functionality for the Budget module.

Should this latest version of Springbrook’s budgeting software not meet the City’s needs, the City should consider a third-party budgeting software solution. This process should follow the steps outlined in Software Selection Best Practices initiative.

18. Time and Attendance System
Background
The tracking, recording, and storing of employee time and attendance information is a significant undertaking. A manual system with repeated entry and review steps often leads to inaccurate reporting, payroll discrepancies, and lost data. Automated time management systems can provide:
x Single-occurrence data entry, with integration to time clock equipment as needed
x Standardized employment rules and implementation
x Centralized database for electronic review of records x Consistent enforcement of vacation and sick policies, FLSA requirements, and union rules
x Web- and server-based options
x Integration with other functions, such as accounting and/or payroll x Automated calculations and accruals based on user parameters Such systems:
x Reduce duplicate efforts, thereby saving valuable time and resources x Decrease inaccuracies and human error
x Improve management of vacations, sick leave, and other absences Findings and Observations
x The Finance Department is working towards an e-timesheet system and possibly contracting out the basic payroll function.
x The agency does not currently use a centralized time and attendance system. x The time entry process is currently manual.
x Staff members still use paper timecards.
x The Agency currently uses the Springbrook ERP systems for core financials with related payroll functionality. However, it does not use the system’s timekeeping functionality.

Return-on-Investment (ROI) Consideration
In a software selection study conducted by Nucleus Research, an organization that transitioned to an automated time-entry system saw a return on investment within six months and an overall return of 225% of their initial investment.7

7 “ROI Case Study: Kronos Workforce Timekeeper Anonymous Healthcare Organization”, Nucleus Research

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Recommendations
x Conduct a comprehensive process review and develop feature/function requirements for all time keeping, attendance, and accrual tracking needs.
x Consider reaching out to Springbrook to obtain its written responses to the Agency’s requirements.
x Should Springbrook not satisfy the City’s requirements, follow best practices according to the Software Selection Best Practices initiative to solicit and procure a new system.

Benefits
x Consistent and standardized organization-wide timesheet system x Reduced manual processes
x Increased processing volume
x Reduced data entry errors
x Reduced payroll processing time (from improved processes, policies, and practices) x Single automated interface to ERP system

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19. Human Resources System
Background
A human resources information system (HRIS) System is a generic industry term that refers to a suite of software applications that are integrated in a single technology platform from a single vendor. It is composed of individual modules that process specific business functions. A modern HRIS solution is commonly composed of applicant tracking, human resources management, time keeping, and payroll modules. HRIS systems exist in the marketplace as part of an enterprise resource planning system (ERP), or as a standalone product that is sometimes referred to as a commercial off-the-shelf system (COTS). The HRIS modules may perform the following functions:
x Tracking Employee Internal/External
Training
x Tracking Certifications and Licenses
x EEO Reporting
x OSHA Reporting
x HIPAA Reporting
x Insurance and COBRA Reporting
x Emergency Medical Information
x Tracking Workers' Compensation
x FMLA Benefit Payments
x Benefits Administration
x Seniority Tracking
x Retiree Tracking
x Terminations
x Employee Grievance Tracking
x Position Control
x Applicant Tracking
x Organizational Chart Generation
x Wage/Promotion/ Disciplinary History
x Performance Evaluations
x Leave Requests
x Compensation Reporting
x Merit/Step Increases
x Tuition Reimbursement
x Travel Management
x Employee Surveys
Findings and Observations
x The City does not currently have an HRIS system.
x Its current Springbrook ERP system has the functionality for human resources and payroll management. However, the HR functionality is not licensed by the City. x Standard human resources functions and files are processed manually and rely heavily on paper for standard forms and the tracking of information. x The City has a goal to reduce paper processing with its human resources management activities.
x Staff is also investigating the potential use of a system to track training and attendance for staff and volunteer management.

Recommendations
x Conduct a needs assessment and process review and develop requirements for all HRIS Management needs.
Š Springbrook ERP has a HRIS management suite. The City should determine if Springbrook can sufficiently meet the City’s needs before considering third party, nonintegrated solutions.

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20. Expense Reimbursement Management
Background
Employee expense management is a process for employees to submit for reimbursement expenses that are non-payroll related. Current generation ERP systems and Commercial Off- the-Shelf (COTS) products simplify that process by automating the reimbursement lifecycle.

The submittal to reconciliation and payment can be done without the use of paper, which reduces manual errors and frees the user from the hassle of storing paper receipts. Employees can pull trip details into the software using cameras in mobile devices and apps, or by attaching a copy of an image. Agencies can define limits and spending policies. Users can easily generate reports and conduct analysis within the software.

A typical Expense Management system or module has the ability to perform the following processes:
x Allow for employee-initiated expenditure submittal for Š Non-travel-related expenses
Š Travel-related expenses
x Process expense claims
x Route travel planning and pre-trip approval
x Capture and attachment of documents
x Issue reimbursement or payment
Findings and Observations
x The City uses the workflow capabilities of the Laserfiche electronic document management system to process and
manage the travel request and reimbursement approval
process.
x Numerous staff members noted difficulty in preparing
expenses and, specifically, travel-related expenses that require travel request packets to be completed with prior approval before being routed in Laserfiche.

Recommendations
x It is uncertain if this capability is provided by Springbrook. The City should research and determine if this functionality exists, and if it does exist, determine if the functionality fully meets the City’s needs.
x If Springbrook does have this functionality, the Agency should request a product demonstration from Springbrook to gain a better understanding this capability. (see the recommendations sections for the Springbrook ERP Gap Analysis and Utilization Improvement Plan).
x Should the Agency determine Springbrook does not have this functionality or if Springbrook’s functionality does not meet the City’s needs, it is recommended that a third- party COTS application be considered.
x Document system functionality requirements to assist in demonstrations and to better understand the capabilities of all applications that are considered. x Follow systems selection best practices (see Software Selection Best Practices initiative).

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21.Business License System Improvements
Background
A business licensing application streamlines the tracking and management of licenses for contractors, businesses, trades, hazardous waste, alcohol sales, and many other types of licenses. Automation of licensing applications reduces paperwork and staff processing time, and it increases citizen satisfaction by providing them the ability to submit, renew, pay, and print business licenses online at their convenience.

Findings and Observations
x The City currently uses an application by Progressive to transact and process business licenses and transient occupancy taxes (TOT).
x The Progressive application went live in 2017.
x Support by Progressive is mixed. Although responsive to requests for service, the resulting fix often causes other functionality issues.
x The City elected to not purchase the business licensing module from Springbrook, which went live in 2009.
x Current generation land management systems have the capability to process business licenses and TOT.
x Staff currently struggles to pull together business license information, process renewals, or process TOTs.

Recommendations
x Consider conducting a detailed needs assessment to document current and future licensing and TOT functionality requirements.
x Develop a detailed set of functional and technical systems requirements. x Share the systems requirements with Progressive, Citizenserve, or a new Land Management solution to solicit vendors’ responses to determine the best overall solution options for the City.
x Should the vendors’ compliance rate with the system requirements fail to meet the City’s needs, consider other vendors in the marketplace to replace the current application. x Follow the Software Selection Best Practices initiative if replacing the existing Business Licensing system.

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22. Land Management System Gap Analysis and Improvements Background
A Land Management System (LMS), sometimes called Community Development, is a software suite comprising several applications that manages the creation, issuance, and tracking of development-related activities commonly associated with planning and zoning, permitting, inspections, licensing, code enforcement, and parcel/address management. An LMS system is a core solution for most cities. Modern LMS systems enable an enterprise-wide integrated system of communication, storage, and operations. A system that is configured and implemented using industry best practices can achieve significant operating efficiencies and return on investment (ROI) for the City.

The illustration and table in the following pages show typical modules available in land management systems.

NOTE: See “Benefits of Modern Land Management Software” below for more detailed functionality commonly found in leading EAM solutions.

Findings and Observations
x The City has used Citizenserve for land management system functionality since 2009. x Many staff feel reporting is limited and more advanced functionality typically available in most Land Management systems, such as online permitting, automated workflow processing, online inspection requests, and online credit card payments, has not been implemented.
x Staff also reports that the vendor support and customer service is not sufficient to meet the City’s needs.
x The City should expect significant productivity gains with a fully implemented land management solution.
x The City is actively working with Citizenserve to implement online application functionality for photovoltaic and re-roof permits.
x Community development took a request to City Council to update their Land management system, which was approved.

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x The City has interviewed several other land management software systems but found that the differences were not sufficient to make a vendor change. Therefore, they decided to keep and improve the current software.
x Community Development leads are meeting with the current land management vendor every two weeks to review their open issues but are missing a project manager to drive issue resolutions to completion.

Staff Feedback
x Community Development – The system is unable to duplicate new permits of the same type from a prior permit.
x Community Development – The system is not able to update the fee schedule without losing associated history, which is required annually.
x Community Development – Online permitting has not been implemented. x Community Development – The City has not set up and does not use the workflow abilities for planning, permitting, inspections, or code enforcement. This functionality can allow for the automated routing to multiple departments for review and commenting. x Community Development – The system is also not configured to take advantage of the capability to schedule inspections online.
x Community Development – Online payments are also not utilized. x Community Development – Reporting in the system is difficult. Š Staff is unable to report permit history.
Š Staff lacks the ability to create custom reports.
Š Reports are boilerplate and rigid.
x Community Development – Would like to have a Business Analyst who can record configuration and report specifications the end users need and work with Citizenserve to deliver the configuration and/or custom reports
x Community Development – Has been working with a designated Citizenserve lead on City configuration needs, but progress is slow and City staff does not have the time to track all details and confirm fixes are provided to entire system, not only specific examples x Community Development – Currently working on automating plan submittal process.

Citizenserve lacks some workflow automation needs the City has. x Community Development – Would like to automate letters and notices x Community Development – Would like to automate inspections x Community Development – Would like to automate plan review status check x Community Development – Would like to automate online film permit applications and routing
x Community Development – Would like to utilize preloaded and manually entered standard conditions of approval and transition those conditions from the Planning project to the Building permit for tracking purposes
x Community Development – Would like to track Accessory Dwelling Unit applications and data for reporting purposes
x Community Development – Would like ability to be able to easily report the requirement for impervious surface and to comply with Model Water Efficient Landscape Ordinance x Community Development – Would like ability to be able to easily generate report for General Plan Annual Reporting
x Community Development – Would like online capability for Permit tracking x Community Development – Would like online capability for Permit submittal x Community Development – Would like online capability for Payments for permits x Community Development – Would like ability to result comprehensive permit history in system
x Community Development – Citizenserve does not integrate to ESRI GIS.

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x Community Development –Would like to get refresher training for Citizenserve x Community Development –Would like to begin using electronic plan review software.

BlueBeam software may have too much functionality, while the software used by Public Works may not have enough functionality.
x Community Development –Is currently using a shared Outlook inbox and PDF functionality for electronic plan review. Reviewed plans are attached to the permit in Citizenserve by staff.
x Community Development –Is planning on taking Solar and Re-roof permits live for online application in September 2022
x Community Development –Is working with Citizenserve to resolve online payment issues as well as with Finance to determine if the credit card convenience fee will be passed on to the public or consumed by the City
x Community Development – Needs signature functionality for permit applications and issuance but Citizenserve does not have such functionality x Executive Team –Would like the ability for electronic plan check reviews x Management Services –Would like the ability to pay for development applications and building permits online
x PW - Engineering –Would like automated transportation permits x PW - Engineering –Would like automated Plan Review
x PW - Engineering –Would like automated Dumpster permits x PW - Engineering –Online payments would be helpful for certain types of permits, like transportation or dumpster permits.
x PW - Engineering –Transportation permits are typically looking for a day turnaround and are simple data entry permits. It would be nice to have these automated to meet their quick turnaround needs.
x PW - Engineering –Would like the ability to create custom reports x PW - Engineering –Unable to duplicate a new permit from a previous one Recommendations
x Land Management System (LMS) implementations on an organization-wide basis are commonly under-scoped and underfunded, leaving organizations with limited utilization and intended benefits.
x Consider conducting a land management assessment with process reviews and develop a gap analysis. This effort will identify gaps and document additional functionality requirements, modules needed, and GIS integration requirements. x The assessment should review applicable manual processes and shadow systems, such as spreadsheets, to determine automation
improvements that will result in labor
efficiencies.
x A completed feature/function set should be
sent to Citizenserve to solicit responses (see
the discussion on Software Selection Best
Practices initiative).
x The vendor responses to the feature/function
will allow the City to determine what
functional gaps can be closed.

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Benefits of a Modern Land Management System
Benefits associated with the utilization of the system include:

General Benefits
x Newer technology platform (processing, capacity advantages) x Real-time notifications/queues
x The gray shading is not working properly Task tracking x Real-time access to information
x Elimination of duplicate data entry
x Improved data integrity
x Reliable information
x Workflow capabilities
x Reduced operating costs
x Improved internal communication
x Foundation for future improvement
x Improved online information for citizens to access
Specific Benefits
x More automated permit processing from application through permit issuance x Automatic routing for permits requiring reviews and approvals x Single electronic file for all permit applications and documents x More automated tracking of reviews, inspections, and fees by permit and development projects
x Tracking of timelines, tasks, and required group reviews x Viewing of all project and permit information at a glance x Readily accessible planning and zoning records
x Automatic generation of case documentation
x Centralized current and historical parcel information Online Citizen Access
Online citizen access enables a more transparent government by providing the public with 24/7 access to real-time information for inquiries and payment processing. This empowers residents to retrieve online information that is pertinent to each individual and take further actions, which improves customer relations by eliminating the need to be physically present at City Hall. The following are examples of online citizen access transactions:
x Online permit applications
x Submit and access plan review comments
x License renewals
x Permitting, planning, and licensing payments
x Submit code enforcement complaints
x Submit inspection requests
x Access to inspections results
x GIS maps (zoning, districts, etc.)

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GIS Integration
Land management systems offer real-time integration to geographic information systems (GIS) in order to display land-use, zoning, parcel, permit, inspection, and code enforcement activity layers on a map. Benefits of GIS integration to land management systems include:
x Viewing system activity on a map (e.g., active planning projects, permits, code cases, etc.) x Map routing of daily inspections
x Ability to overlay multiple map layers
x Integration to website for resident inquiries
Electronic Plan Submittals and Reviews
Electronic plan submittals are architectural/developmental plans that are in an electronic format.

These plans can be submitted by the public through the City’s permitting and planning processes. In addition to the electronic receipt of plans, electronic plan reviews allow City staff to review plans and electronically mark up and track plan comments. The following are benefits associated with electronic plan submittals and reviews:
x Concurrent review of plans by multiple staff across multiple departments x Increased productivity through quicker processing
x Elimination of physical plan routing
x Submittal, review, and tracking of electronic plans
x Centralized storage and retrieval of electronic plans x Electronic collection of plan review comments
x Reduced number of and shorter resubmission cycle(s)
Mobile Computing
Mobile computing provides the flexibility to operate a more mobile and productive workforce. A land management system can allow staff to utilize applications while in the field in order to perform their job functions while away from their office. Common benefits of mobile computing include:
x Completion of work while in the field
x Real-time access to information
x Inspection results in the field
x Receipt of notifications and assignments
x Reduced travel to and from office locations
x Map routing based on location of activities
x Retrieval of mapping information
x Management of Code Enforcement cases in the field

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Dashboards
Dashboards form part of a user’s home page and display reports, key indicators, and other metrics regarding day-to-day operations, activities, and historical trends. Benefits of dashboards include:
x Quick links for immediate access to required tasks and approvals x Easy modification of dashboards for each user’s preference x Automated generation of dashboard information
x Transformation of data into visual information
x Easy-to-understand graphics
x Real-time analysis
x Drill-down access to activity detail
Reporting
The number one problem that is commonly seen when utilizing disjointed applications is the extensive time users dedicate to the consolidation of information for reporting purposes. Land management systems allow information to be quickly retrieved from a single source with numerous readily available reports. Users are also able to create their own reports without requiring them to be technical experts. This allows staff to spend more time studying analytics rather than manually assembling reports. Benefits of improved reporting include:
x Aggregated data across divisions and departments
x Improved data accuracy and reduced human error
x Intuitive report creation capabilities
x Council-ready reports
x Sharing of created reports
x Elimination of labor-intensive report creation

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23. Electronic Plan Submittals and Reviews
Electronic plan reviews for development and architectural plans related to City permitting and planning processes can be submitted, reviewed, and marked-up electronically. Electronic plans can result in a reduction of lost plans and physical storage requirements while enhancing sharing, collecting, storing, and retrieving of plans during the process and through retention periods.

Findings and Observations
x The City would like to consider and
evaluate utilizing electronic plan submittal
and review processing and are planning to
obtain third party subject matter expertise
to assist with the selection and
implementation of the system.
x Multiple solutions are available, including
purchased and online hosted solutions.

Recommendations
x Explore solution options and capabilities.
x Consider cost-benefit of available solutions.
x Consider the selection and implementation of electronic plan review software along with the Land Management system improvements, ensuring integration with the existing Land Management solution and process workflows. See the Land Management System Gap Analysis and Improvements initiative.
x Select new software vendor according to the Software Selection Best Practices initiative.

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24.Enterprise Asset Management (EAM) System Improvements Background
An enterprise asset management (EAM) system is a suite of application modules that include functionality for work orders, maintenance, and asset management of City infrastructure. The infrastructure includes facilities, streets, sidewalks, parks, trails, bridges, drainage, culverts, etc.

The following list and diagram illustrate typical maintenance and asset management software system functionality. It is not intended
to be all-inclusive, exclusive, or
organized by specific software
modules.
x Work Requests
x Inspections and Condition
Assessment
x Work Orders
x Preventative and Predictive
Maintenance
x Facilities Maintenance
x Asset Tracking
x Warehouse Inventory
x GIS Integration
x Report Writing
x Costing and Budget Forecasts
NOTE: See “Benefits of Modern EAM Software” below for more detailed functionality commonly found in leading EAM solutions.

Findings and Observations
x Public Works currently uses iWorQ for work orders/maintenance management activities. x Staff reported the system is not being used as a true asset management system since they do not know the functionality that is available.
x Mobile functionality is not available requiring administrative staff input of data. x The City expressed interest in implementing EAM system functionality that includes the following:
ŠTracking of labor, materials, and equipment usage for work orders ŠIntegration to GIS with tagging of assets in GIS maps
ŠMobile work order functionality
ŠImproved collection and reporting of data (e.g., generating needed reports) ŠAbility to track warehouse/stores inventory
Staff Feedback
x PW - Engineering –Would like ability to integrate iWorQ with permitting x PW - Operations –Online work orders are okay, but not great. x PW - Operations –System can be simplified to have more efficient workflows. This feature was not completely implemented.
x PW - Operations –Would like the ability to record work at the end of day after job is done, but cannot do so

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x PW - Operations – The system does not have the ability to generate monthly wastewater reports.
x PW - Operations – The system could be made simpler.
x PW - Operations – The system was not fully implemented. Would like to finish implementation.
x PW - Operations – The system is not used to generate work orders. x PW - Operations – Would like to use to record activities x PW - Operations – Would like to use the system to manage projects x PW - The system is reported to have integration with GIS for office-based computers.

However, the same functionality does not appear to be available on mobile devices for field staff.
x PW - The system does appear to be able to result/resolve work order history. x PW - It was reported that certain activities are recorded in the system (i.e., labor); however, certain physical inventories are not being recorded.
x PW – The system does not appear to have the ability to turn a work order into an invoice for work that needs to be billed and collected in the Springbrook system.

Recommendations
x EAM implementations on an organization-wide basis are commonly under-scoped and underfunded, leaving organizations with limited utilization and intended benefits. The City should ensure the necessary resources are available and can be allocated to a substantial system improvement or replacement project.
x EAM projects can be complex endeavors to streamline and automate various business processes and properly implement the necessary integration (GIS, Springbrook, etc.). As a result, the City should commit to a realistic timeline based on industry standards and best practices.
x Conduct a process review and needs assessment to:
Š Review applicable manual processes and shadow systems, such as spreadsheets, to determine automation improvements that will result in labor efficiencies. Š Identify and document the City’s required capabilities in a feature/function format. Š A completed feature/function set should be sent to iWorQ for them to provide written responses (see the discussion in the Software Selection Best Practices initiative). Š iWorQ’s responses to the feature/function will allow the City to determine if functional gaps can be closed. If not, the City may elect to replace iWorQ with a new EAM system. x Consider utilizing a third-party SME or consulting firm for the needs assessment, process review, and feature/function development.

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Benefits of Modern EAM Software
This section provides additional information about the benefits of EAM.

An enterprise asset management (EAM)system provides automation in managing the maintenance and day-to-day operations related to infrastructure assets, buildings, facilities, and, often, fleet vehicles, while capturing and reporting on the labor, equipment usage, and materials costs associated with a work order and preventative maintenance. A work orders/management system allows collaboration and sharing of information between divisions, departments, and citizens to provide a transparent and efficient government operation.

General Benefits
x Newer technology platform (processing, capacity advantages) x Real-time notifications/queues
x Task tracking
x Real-time access to information
x Elimination of duplicate data entry
x Improved data integrity
x Access to reliable information
x Workflow capabilities
x Reduced operating costs
x Improved internal communication
x Foundation for future improvement
Detailed Benefits
x Electronic routing of citizen requests
x Centralized task and maintenance management
x Completion of work orders from the field
x Retrieval of historical work order and cost information x Quicker work order completion times
x Improved decision-making through access to real-time information x Viewing of asset and activity trends visually through GIS mapping capabilities x Better replacement planning and forecasting
x Enhancement of staff productivity
x Improved regulatory compliance
x Improved safety and risk management
Reporting
The number one problem commonly seen when
utilizing disjointed applications is the extensive time users dedicate to the consolidation of information for
reporting purposes. Work order systems allow
information to be quickly retrieved from a single
source with numerous readily available reports.

Users are also able to create their own reports
without requiring them to be technical experts. This
allows staff to spend more time studying analytics
rather than manually assembling reports. Benefits
of improved reporting include:

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x Aggregated data across divisions, departments, and organization x Improved data accuracy and reduced human error
x Intuitive report creation capabilities
x Council-ready reports
x Sharing of created reports
x Elimination of labor-intensive report creation
Mobile Computing
Mobile computing provides the flexibility to operate a more mobile and productive workforce. A work order system can allow staff to utilize applications while in the field in order perform their job functions while away from their office. Common benefits of mobile computing include:
x Completion of work while in the field
x Real-time access to information
x Inspection results in the field
x Receipt of notifications and job assignments
x Reduced travel to and from office locations
x Map routing based on location of activities
x Retrieval of mapping information
Inventory Warehouse/Stores Management
Material management is often a costly endeavor within an organization. An efficiently run and well-organized warehouse—where inventory levels are monitored, material is available, and reordering is easy—is the best method of controlling costs.

Most EAM vendors have an add-on software module that is designed to track warehouse transactions in a secure environment. This type of system tracks incoming and outgoing materials from multiple storage areas, including work vehicle inventory. It also manages stock, material cost, suppliers, and, if needed, requisitions.

This inventory add-on capability often supports the following:
x Cycle counts
x Barcode technology
x LIFO/FIFO and weighted-average cost types
Most systems also have search capabilities that retrieve transaction records, materials, amounts, and other information.

Online Citizen Access
Online citizen access enables a more transparent
government by providing the public with 24/7 access
to real-time information for inquiries and payment
processing. This empowers residents to retrieve
online information that is pertinent to each individual, and to take further actions, which improves customer
relations by eliminating the need to be physically
present at City Hall. The following are examples of
online citizen access transactions:
x Submittal of citizen requests
x Electronic routing requests to staff
x Citizen request inquiries
x GIS maps (zoning, voting precincts, etc.)
iti A ffii

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Citizen Request Management
A citizen request management system is used to track, manage, and resolve citizen concerns and requests in a timely manner by automatically routing citizen requests to the appropriate department. It also provides the citizen with the flexibility to submit and track their complaints through the Web or a mobile phone application. Common benefits of a citizen request management system include:
x Ability for citizens to submit requests 24/7 through a phone application or the website x Automatic assignment and routing of requests, by type, to appropriate department(s) or staff x Ability for citizens to view current request status
x Conversion of requests to work orders
x Ability to include photos and geolocation of a request x More effective and efficient processes
x Improved transparency and citizen relationships
GIS Integration
Work order and maintenance management systems offer real-time integration to geographic information systems (GIS) in order to display land-use, zoning, and infrastructure layers on a map, and work order activity that resides within the system. Benefits of GIS integration include:
x Viewing system activity on a map (e.g., zoning, infrastructure assets, etc.) x Map routing of work orders, service requests, and daily inspections x Displaying locations of infrastructure assets
x Generating asset condition analysis
x Ability to overlay multiple map layers
x Integration to website for resident

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25. Fleet Management System
Fleet management system (FMS) software provides the ability to perform tasks in the management of any or all aspects relating to the City’s vehicle and equipment fleet. Fleet management, at a high level, encompasses all vehicle/equipment operations, from acquisition, through maintenance and life-cycle replacement analysis, to final disposal. This software is sometimes available as a module with an Asset Management Systems (EAM) or as independent commercial off-the-shelf systems (COTS).

Findings and Observations
x Public Works uses the iWorQ asset management system.
x The City currently does not currently use a Fleet Management System. x The City wants to ensure that any new system can assist with maintaining vehicles and meets its needs in maintaining and managing the other City equipment. x The City would also like to perform ad-hoc analysis and business intelligence activities to report on total cost of ownership of various assets.

Recommendations
x Conduct a comprehensive needs assessment and process review and develop feature/function requirements for all Fleet Management needs. x See the previous EAM system initiative. If the City decides to keep iWorQ and improve usage and utilization, the following should be considered:
Š iWorQ has a fleet management module in its asset management system. Reach out to iWorQ and request written response to the City’s functionality requirements. Š Ensure the system can interface with Fuel Management system, if necessary. Š Also, consider integration with the ERP financial system, so internal charges can quickly be processed and impact encumbrance and budget balances. x Should iWorQ’s response to the feature functions have significant gaps, the City should consider following best practices according to the Software Selection Best Practices initiative to procure a new software vendor.

Benefits
x Reduced vehicle and equipment ownership costs
x Extended useful life of vehicles and equipment
x Improved life-cycle cost analysis and replacement decision-making x Increased equipment availability
x Increased warranty recovery
x Optimized inventory levels
x Improved labor productivity
x Enhanced the satisfaction of the people that use the vehicles and equipment x Ensured regulatory compliance for vehicle management, maintenance, and parts inventory management

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26.Parks & Recreation System Improvements
Background
Parks and Recreation systems manage park and recreation operations. Many of the systems in the marketplace offer individual modules within a suite of applications that may include:
x Membership Management
x Activity Registrations
x Facility Scheduling
x League Management
x Swim Team Management
x Point-of-Sale
x Equipment and Locker Rental
x Fundraising and Donation Management
x Child Care Management
x Marketing
x Website Content Management
x Reporting
x Online Customer Access
ŠRegistration Software
ŠFacility Scheduling Software
ŠEquipment and Locker Rentals
ŠCustomer Relationship Management
Findings and Observations
x The City currently uses ActiveNet.
x The registration process for programs is labor intensive. x Staff reported the desire to minimize in-person, paper mail, and telephone registration.
x ActiveNet utilization rate is low among staff because of insufficient end-user training during the implementation process.
x Staff would like the ability merge customer accounts
from the same households.

Recommendations
x Conduct an assessment of all unmet needs to identify
additional functionality requirements, additional modules needed, and user training that is needed.
x Identify needed interfaces with other agency systems, such as:
ŠSpringbrook
ŠGIS
ŠLaserfiche
x Review applicable manual processes and shadow systems, such as spreadsheets, to determine automation improvements that will result in labor efficiencies. x Work with the vendor to develop a customized project improvement and training plan. x Consider using the email functionality in the system to satisfy the requirement for mass outbound communication to the public or customers.
lude:

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Benefits
x Improved training
x Improved software application utilization
x Improved reporting, resulting in better management decision-making x Improved customer access to information via a customer facing web portal

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27. Police Scheduling and Time Tracking System
Background
Public Safety scheduling can be set up to handle the complex scheduling for police departments. These systems effectively manage complex time tracking requirements while incorporating union agreements, overtime, and premium pay into the management of police department operations.

Staff and supervisors can securely access scheduling data internally and remotely to eliminate unnecessary confusion and scheduling errors. Some systems can offer self-service tools to allow officers and staff to request schedule changes and shift swaps, leave requests, bid for days off, and several other features.

The following is a short-list of typical features found in public safety scheduling systems:
x Unlimited schedules/shifts
x View and print daily roster reports
x Schedule grid and calendar view
x Employee self-service in-office and remotely, including secure smartphone access x Post open positions for sign-up or bidding
x Time Exchange feature for shift swaps and shift trades x Automated time-off request-and-approval process
x Overtime eligibility management and cost control
x Work limits
x Holiday and events calendar
x Reporting and auditing
x Full integration with payroll, HR, and CAD/RMS applications Some public safety scheduling systems can also perform timekeeping and integrate to payroll.

Findings and Observations
x Police is open to scheduling software that has the ability to schedule for Patrol, Parking, Dispatch, and Detectives.
x Scheduling is based on a four-month rotation.
x Shifts are assigned rather than bid.
x Vacancy notifications are made via phone.
x Timesheets record hours only. No time clock is used.

Recommendations
x Complete a needs assessment of Police Department scheduling needs, requirements, and document results.
x Apply the results of the needs assessment to research solution options and develop an RFP for vendors to provide competitive proposals and costs. Example software vendors include:
Š Telestaff
Š NetDuty
Š InTime
Š OSL Solutions
Š Aladtec
Š Others
x Follow the recommendations of the Software Selection Best Practices initiative.

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28. Evidence Management System
Background
Evidence management has changed in the last decade as
technology evolves and public perception shifts. Increased scrutiny of law enforcement policies and procedures makes managing evidence more and more critical in modern times.

In addition, the types of evidence collected, in the form of digital media, has increased the sheer volume of evidence to process significantly.

Knowing that the collection and storage of evidence, along with chain of custody procedures, could be called into question at any moment, law enforcement agencies need to ensure the integrity of their evidence management program. In addition, automation and the use of the latest technology tools will also provide agencies with the means to manage the ever-increasing staffing needs to manage evidence in any form.

An evidence management system that integrates automation, accessibility, security, and accountability can transform the way a law enforcement agency manages a very labor intensive process, while protecting the integrity of an investigation. From collection to disposition, a good evidence management solution can help solve some of these common problems:
x Lack of storage space
x Disposition & disposal of evidence
x Lost evidence
x Limited shelf life of old digital storage methods (CD’s, VCR’s, etc.) x Inadequate or manual process for tracking chain of custody Findings and Observations
x Pismo Beach PD is in the process of replacing the current RMS system with the SunRidge RIMS solution.
x The RIMS RMS application has a property/evidence module available. x It is undetermined at this time whether the RIMS property module will provide the needed functionality of the Department.
x The PD is expanding several different systems that could increase the amount of digital evidence storage and management needs in the future.

Recommendations
x Conduct an in-depth assessment of the desired functionality needed for the property/evidence management system.
x Compare these specific requirements with the available features in the Sunridge application to determine feasibility. This option will provide the most integration and least amount maintenance and support required.
x Review other standalone potential evidence management solutions to determine if they better serve the needs of the Department.
x Consult with peer agencies to determine what solutions they are using and pros/cons. x Recommend that vendor requirements include a proposed solution to handling digital evidence storage and potential integration to the Sunridge system as well as identify options for sharing digital evidence with other agencies as well as prosecutors. x If this standalone property management system option is selected, make sure that costs are identified from both vendors to provide this integration to the new RMS system.

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Benefits
x Better tracking and ability to maintain integrity of evidence x Improved compliance
x Centrally-managed information
x Documented property movement
x Improved prosecutor access
x Improved accounting & auction management
x Improved staff productivity and efficiencies

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29. Digital Evidence
Background
Digital evidence is an important component of an overall evidence management solution. It is increasingly becoming one of the most significant and labor-intensive components of processing evidence due to modern day technology available.

This trend is expected to continue as law enforcement agencies expand the use of tools available now and in the future. Items such as video footage captured by the public through use of smartphones, use of drones, integration with business surveillance/traffic cameras, body worn cameras, and dash cam footage all contribute to the massive amounts of evidence collected in modern times that require processing and storage.

To keep up with this demand, short- and long-term solutions for storing, tracking, retrieving, and sharing digital evidence is an important consideration for law enforcement agencies across the country.

Several key factors need to be considered including:
x Digital storage solution is compatible with, and integrated with RMS x Cost and capacity of method of storage (cloud vs. on premise) x Ability to track the chain of custody of digital evidence x Storage security of digital evidence
x Ability to electronically share digital evidence with other agencies such as DA, Court x Ability to upload digital evidence directly from the field x Ticklers and disposition notifications to eliminate items no longer needed Findings and Observations
x Pismo Beach PD is expanding several systems that will require a larger amount of storage and processing of digital evidence (body worn camera footage, drone video, traffic camera footage, social media/public photos, etc.)
Recommendations
x Recommend taking an inventory of all ancillary storage systems to determine potential consolidation opportunities.
x The amount of time to process digital evidence will continue to increase in the future.

Consideration should be given to finding a short-term central storage solution and integrating it with the replacement RMS system in the future. x Consider consolidating all current storage solutions into one central location. x Identify potential integration and sharing opportunities with other partners (other law enforcement agencies, prosecutors/Courts).
x Consider potential functionality that exists in the RIMS system to link to external storage solutions within the application to minimize the need to login to different systems to access digital media.

Benefits
x Significant productivity efficiencies
x Improved compliance
x Centrally-stored information and retrieval
x Documented property movement
x Improved accountability and disposition of evidence

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30.Electronic Ticketing/Citation System
Background
Electronic citation (eCitation) technology represents a continuing transformation in public safety technology. Transitioning from traditional handwritten citations into digital documents that can be quickly populated and accurately issued has significantly helped enhance the effectiveness and safety of law enforcement officers in the field. Citation systems offer agencies the ability to issue tickets and citations electronically.

Citation management systems provide the following capabilities:
x Citations –This capability provides the ability to track citations (moving violation or others) from issuance to determination. The systems provide the ability to set classes and fine structures. Violation and history are also maintained for quick inquiry, along with people, addresses, and related subjects.
x Parking Tickets –If needed, many systems provide a parking tickets component that streamlines the administrative adjudication process for parking and equipment violations.

There is also the ability to track late payments and assess late fees. x Access Permits and Parking Stickers –Some systems provide the ability to sell, manage, and enforce tags or stickers for parking or other services that can deliver a stream of revenue for the organization. Some organizations have used this capability to issue annual passes for unlimited visits to parks or other facilities or programs. x Mobile or Field Capabilities –This includes the ability to issue citations in the field with the connection to a small portable printer. Vendors typically support a variety of handheld devices, including handheld computers, laptops, and tablets. Many also integrate license plate recognition technology.
x Reporting –These systems support reporting, including a number of standard reports that can be picked from a list and run as needed. They also include Ad Hoc reporting capabilities, so specific reports can be created, as needed. x Online Services –Most systems provide the additional capability for public access to their citations and tickets and to pay for any associated fines online using credit cards.

The diagram below illustrates a typical citation management system.

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Findings and Observations
x The Police Department recently selected the Sunridge RIMS system to replace the current CAD and RMS system used by the Agency.
x The PD’s goal is to integrate an eCitation and parking solution with the SunRidge RMS system.
x Autocite handheld ticketing system was recently purchased and will be integrated with the new RMS.
x PD would like the ability to issue citations electronically in the field to increase automation and to minimize manual processes.
x The mobile capabilities of eCitation systems have the potential to improve efficiency in police and parking enforcement operations.

Recommendations
x When implementing an eCitation and parking ticket system, there are several things to consider:
Š Field equipment – Some systems, such as Autocite, have handhelds that run on battery power and store up to 1,000 citations. Tickets are barcoded and small in size. It is recommended to have some backup units available fully charged. Š Mobile printers are also needed for squad vehicles and motorcycles. x Initiate a review and assessment of mobile/handheld features and functions requirements and document the results to select the best overall hardware.

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31.CAD/RMS Implementation
Background
Computer-aided dispatch (CAD) is a software enabled method for dispatching emergency services. Modern CAD systems have core features that allow for automation for the handling and processing of public safety calls for service. These services include call input, call dispatching, call status maintenance, event notes, field unit status and tracking, and call resolution and disposition. CAD systems have interfaces to other systems, which include records management systems (RMS), analog radio and telephone equipment, logger-recorders, or GIS systems (see diagram below).

RMS is an enterprise application that allows for the storage, retrieval, retention, manipulation, archiving, and viewing of information, records, documents, or files relating to public safety activities (e.g., Fire, Police or EMS). Current generation CAD/RMS systems utilize GIS layers for dispatching officers, automated vehicle location, vehicle routing, state and federal reporting, and crime analysis.

Integrated computer-aided dispatch (CAD) and records
management systems (RMS) enable public safety and law
enforcement to centralize public safety incident information, preserve data integrity, and enhance operational efficiency.

Personnel within the department use this integrated
environment to quickly capture, record, update, share, and access critical incident and public safety data.

Common functionality of CAD/RMS systems include:
x Computer-Aided Dispatch with GPS and
Route Management
x Records Management
x Mobile Data Computing
x Field Reporting
x Property/Evidence with Bar Coding
x Personnel/Training
x Crime Analysis
x Investigations
x Intelligence/Suspect Tracking
x Mapping
The following is a high-level view of the primary or
“core” operational or application area and integration
points.

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Findings and Observations
x The City is planning to implement the Sunridge CAD/RMS system. x Pismo Beach and Grover Beach have elected to utilize the same vendor to facilitate inter- operability as part of a cooperative initiative.

Recommendations
x Identify a City represented Project Manager that can dedicate most of their time during implementation of the project.
x The City should ensure that prior to go-live:
ŠA review be completed that, at a minimum, includes comparison of core processes to understand how today’s processes will be performed with the new system. ŠIt is understood what data should or should not be converted and the process that will be used for this data conversion.
ŠA determination on how this will affect the mobile environment in the squads and what impact that may have on what existing equipment can be used or what new equipment may be required.
ŠAppropriate and structured end-user training should be conducted. x Consider conducting a post-implementation review to:
ŠDetermine the gap between what was planned to be implemented and what was actually implemented.
ŠDetermine any additional functionality that should be added or that can be implemented to improve operations.

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32.Electronic Content Management System (ECMS)
Improvements
Background
Electronic content management systems (ECMS), also sometimes referred to as electronic document management systems (EDMS), is a software system for organizing and storing different kinds of electronic documents. In addition to document scanning, storage, and records retention management, modern systems have additional functionality, which include:
x Enterprise records management, including retention
management
x Integrated document and process workflow management,
including internal request management, routing, and
distribution
x Forms management (Web and internal-based)
x Document sharing and versioning
x Project and process collaboration
x Extensive search and retrieval capabilities
x Sophisticated security functionality
x Web publication or posting for all above items, if desired x GIS integration and integration with electronic signatures Findings and Observations
x Laserfiche is the core enterprise content management system for the City.
x The City uses this application for business processes that fall outside of the application’s core functionality (e.g., routing and workflow for employee expense reimbursement).
x Staff would like to expand its use and to increase the number of user licenses.
x The application has limited integrations with existing enterprise systems (e.g., Springbrook or iWorQ).
x Although the City uses the workflow functionality of the application, staff would like to be able to automate additional workflow approvals within the application. x The City does not have the ability to set up the system to automate the process for presenting documents to the public.
x Although the functionality exists, the City is not using the native functionality of the system to create a retention schedule which would automate the purging of documents. x Better indexing of documents is also needed to improve the online experience for public searches.

Interviews from the assessment workshops with departments show a strong desire to expand Laserfiche environment. Benefits could include:
x Compliance –Improved and more efficient abilities to comply with increasing volume and complexity of regulations and retention requirements
x Security –Improved physical abilities and accessibility to security x Workflow Capabilities –Electronic capture, routing, and approvals of manual paper processes

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x Improved Efficiency – Increased productivity through automation of manual processes and time reduction in retrieving and sharing information
x Reduced Costs – Reduced costs of printing, paper, storage space, and labor x Reduced Carbon Footprint – Minimized paper waste
x Improved Transparency – Increased accessibility to information via the Web, including full automation of some types of documents immediately upon creation without additional processing or labor
x Disaster Recovery – Protection of vital records through storage redundancy x Digitization – Ability to digitize often accessed paper documents to reduce the time required to retrieve these documents from physical files
Staff Feedback
x Administrative Svs/Finance – Would like to use Laserfiche workflows to address the gaps Short-Term Rental process. The process has to be fixed repeatedly in Laserfiche. x Community Development – Would like more native forms for permit tracking x Community Development – Would like to be able to track short-term rentals x Management Services - Clerk – Using approvals in Laserfiche for invoices, credit card receipts, and occasional travel. Can workflow in LF be improved? x Management Services - Clerk – Need to track and audit contract term end dates x Management Services - Clerk – Need to track and audit insurance term end dates x Management Services - Clerk – There are records in Laserfiche that are beyond retention.

Would like the ability for auto-purge based on a retention schedule. x Management Services - Clerk – A Laserfiche repository reorganization is in process. x Management Services - Clerk – Would like to improve travel and expense reimbursement process. There are too many repeated forms and not customer friendly. x Management Services - Clerk – Would like more staff training for Laserfiche x Management Services - Clerk – Would like to increase the number of user licenses x Management Services - Clerk – Would like to create travel forms natively in Laserfiche instead of currently in Excel
x Management Services - HR – Would like ability to automate more approvals in Laserfiche x Management Services - HR – Would like to leverage ability of application to achieve HR paperless personnel files goal
x Police – Would like that ability to make targeted changes to policy documents without having to republish the entire document.
x Police – Would like that ability to automate the presentation of documents to the public.

This includes changes to policy manuals
x Police – Would like a retention schedule that is used to automate records purge x PW - Operations – Would like the ability to store confined space forms in system Recommendations
x Consider what functionality, configurations, and training would improve the staff members’ ability to effectively utilize an ECMS system, provide more transparency, and integrate other departmental applications and business processes.
x Conduct a needs assessment to develop a plan to close these gaps with goals, processes, timeline, and estimated costs. This plan should also consider and include the following:
Š Integrating Laserfiche with other core enterprise application systems across the Agency. Š Consider additional training for staff following system assessment.

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x Consider conducting workflow processes in core enterprise application before building similar functionality in Laserfiche. Some of those processes reported by staff include:
Š Consider using the Springbrook ERP application’s workflow functionality to process employee travel and expense reimbursement if possible.
Š Staff reported the desire to use Laserfiche to track permits or short-term rentals.

However, we recommend exploring capabilities of the existing Land Management solution or Host Compliance as a first priority.

Benefits
x Automated workflow and routing
x Reduced paperwork and related costs
x Online document retention and archiving
x Improved version and authorization control
x Improved public records access
x Increased information-sharing and collaboration capabilities x Ability to provide Web posting and public access to customers and the public.

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33. Performance Dashboard
Background
Dashboards are provided by many enterprise application software vendors. Dashboards form part of a user’s homepage and display reports, key indicators, and other metrics regarding day-to-day operations, activities, and historical trends (e.g., status of expenditures against budget, number and types of work orders issued versus those completed for a particular time period, etc.) These results are often displayed graphically as context-sensitive content, so clicking on the graphic enables drilling-down to the detailed information contained in the application upon which it is based. Benefits of dashboards include:
x Quick links for immediate access to required tasks and approvals x Easy modification of dashboards for each user’s preference x Automated generation of dashboard information
x Transformation of data into visual information
x Easy-to-understand graphics
x Real-time analysis
x Drill-down access to activity detail
The market currently has the following main dashboard types:
x Standalone software applications
x Web browser-based applications
x Desktop
x Enterprise-specific functionality
The marketplace for these systems is rich and dynamic. New vendors frequently enter the marketplace and advance its ecology with new features and functionality. Examples of the public sector-oriented vendors include:
x Tableau
x Power BI – by Microsoft
x CityView 360 – by Agiline Software
x OpenGov
Findings and Observations
x The Executive team would like to have dashboard capability that is independent of any one enterprise application, where data from several systems can be presented. x The team expressed the desire to have calendar, email, budget, or action items available to allow for more efficient decision making and action.

Recommendations
x Explore if performance dashboards are available in the existing enterprise solutions before considering a third-party or in-house developed application. x Complete a review and an assessment of Performance Dashboard needs with a cross section of leaders and users.
x Documenting the needs will result in an expectation of functionality to be delivered and allow Technology Services to understand the functionality to be designed and developed. x Follow the recommendations of the Software Selection Best Practices initiative.

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34. Intranet
Background
An intranet has a similar function to an organization’s public-facing website, except it uses the organization’s internal computer network to house a website-structured presence to share information in a private, secure manner. Generally, it is dedicated to internal use by the organization, staff, and management.

Intranets or intranet sites provide useful information, such as the ability to communicate within the organization and reduce miscommunication by providing consistent information and instructional content. It also reduces time spent requesting and distributing documents between and throughout departments and maintaining physical documents. Intranets can be used to:
x Quickly communicate news, changes
in policies or benefits, and emergency
information
x Promote a common culture
x Offer a dynamic calendar of events,
activities, due dates, etc.
x Send important news and newsletters
x Allow easy access to policies and
procedures, training manuals, or forms
x Provide contact information for
departments, supervisors, and other
staff
x Collaborate on City projects with
contractors and vendors
x Contain links to application-supported services (i.e., there may also be a link to Employee Self-Services that is tied to the Human Resource and Payroll applications, enabling employee capabilities to access electronic check stubs, electronic W-4 forms for filing changes, or other HR/P&C services)
Additional potential citywide Intranet uses could include, but would not be limited to:
x Increased City-Employee communications
x Tricks and tools that would benefit users
x Contact information (internally and externally shared) x Major project-related information
x Personnel forms
x Benefits information
x Policies and procedures
x Administrative forms
x Training libraries
Agencies that are most successful with Intranets configure staff personal computers to have the organization’s Intranet site as the homepage that launches whenever a browser is opened.

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Findings and Observations
x Departments have expressed a strong need and interest for the creation of an Intranet at the City.
x Major local government-focused website vendors provide Intranet design and implementation services on the same platform as the City’s website. x Each vendor prices these services a bit differently.

Recommendations
x Conduct a citywide assessment for internal department communications that could be posted or stored on the Intranet, such as frequently asked questions and frequently requested information, so employees can utilize the intranet’s self-service capabilities. x Make the Intranet the default Internet browser homepage for all City staff. x Use the Intranet site as a method to reduce other mass employee communications, such as email, flyers, and bulletin board posters (as applicable). x Design the Intranet with tools to automatically convert the Intranet content and presentation components to a mobile-compatible display format, so employees can use their smart phones and tablets to access the City’s Intranet.
x Provide training for staff to access self-service capabilities as users. In addition, provide training for staff that need to post content and provide self-service information to ensure they can post and maintain content regularly.
x There are many parallels between implementing an organization’s public-facing website and implementing an internal organization-wide intranet. It is recommended the City consider designing and building the intranet with the same tools and resources that are used for the City’s public website (CivicPlus).
x Implement best practices and make the Intranet a component of the Technology Steering Committee’s responsibilities to ensure the site is maintained regularly and remains relevant and up-to-date for the City’s employee community (see Technology Governance initiative).

Benefits
x Reduced miscommunication due to the use of a single-source communication location x Electronic document availability (decreasing labor and space requirements for physical documents, such as procedure manuals or paycheck inserts) x Electronic form availability (decreasing the need for physical employee forms) x Increased employee productivity and collaboration
x Remote access to information when outside the office

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Smart Technologies is the concept of using new
technologies in combination with creativity,
information sharing, and the collaborative process
to better serve and interact with the public.

Smart Technologies

35. Website Improvements

36. Online Civic Transparency

37. Kiosks

38. Downtown Public and Staff Wireless

39. Smart Parking (Meter and Management)

40. Automatic Meter Reading

41. Drone Programs

42. GIS Assessment and Plan

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35. Website Improvements
Background
Municipal websites have become informational portals for citizens to quickly access information and conduct transactions without having to call City staff or go to City Hall. Additionally, interactive functionality is available 24/7.

Findings and Observations
x The City uses CivicPlus for its website hosting and management. x Staff expressed the desire for more end-user training. x Some departments expressed the desire to integrate GIS maps of City assets (e.g., location of beaches and playgrounds).

Recommendations
x Conduct an assessment of additional website content desired by each department also considering design elements that will improve overall website navigation. x Identify user training requirements by specific users responsible for website content. x Develop a content management policy.
x As part of the content management policy, implement standard practices, and make the website maintenance a component of the Technology Steering Committee responsibilities to ensure the site is maintained regularly and remains relevant and up-to-date for the public. x Offer regular training to keep staff skills fresh and ensure they can keep website content current.

Benefits
x Reduced resident in-person visits
x Improved public records access
x Increased information-sharing capabilities
x 24/7 availability
x Improved resident-user experiences
x Increased resident interaction and transaction capabilities

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36.Online Civic Transparency
Background
The movement toward increased government transparency has been growing in recent years.

The public desires more openness, accountability, honesty, participation, and collaboration. In response to this trend, local governments are seeking web-based software to address this growing need. These Open Government solutions can sometimes integrate with City enterprise systems. Data can also be viewed in dashboard form for internal use and applied against key priorities and performance metrics. The key element of these systems is that data and financial reporting can be presented to the public through the City’s web portal. Portal functionality can include:
x Graphical presentation of budget, financial reports, and data x Performance dashboards
x Project Communications
Example vendors that offer this service include:
x OpenGov
x Executive Insights
x Munetrix
Findings and Observations
x Staff reported the desire to satisfy the public’s increasing requests for government transparency.
x The City currently uses a system called ClearGov.
x Staff also reported the desire to share financial information and key performance indicators. x The current process for responding to public record requests takes time and labor. x The ability to publish or present this information to allow the public to access or query this information via a Web portal is desired.

Recommendations
x Research the marketplace for vendors to determine functionality. x Follow software selection best practices principles.
x Query the local government Listserve to research options.

Benefits
x 24/7 access to data
x Present complex information that is understandable
x Improved public trust and support
x Reduced information requests
or government

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37. Kiosks
Background
Kiosks are public-access computing devices placed in convenient places for citizens to use to access information and conduct transactions without having to call City staff members or wait in line at the office counter. This also provides a method for citizens without home computers to take advantage of electronic public portal business services available from the City. Potential uses include:
x Accessing various types of program information (perhaps from the City website)
x Accessing other community-oriented information or services x Completing online forms or filings
x Completing various types of registrations or applications x Making online payments
x Paying for parking tickets
Findings and Observations
x Recreation staff expressed the desire to utilize kiosks for program registrations or to allow parents to complete and sign digital liability waivers. x The City has the potential to utilize this technology for other business functions. Examples could include:
Š Accessing various types of program information (perhaps from the City websites) Š Accessing other community-oriented information
Š Completing online forms
Š Completing various types of registrations or applications Š Making online payments
Š Facilitating job applications and to allow for the completion of related forms online Š Allowing the public to file digital accident reports with the Police Department Š Payment for City services without needing the assistance of staff Recommendations
x Consider using repurposed desktop computers before spending additional funds on kiosks for some locations such as City Hall, Police Department, Visitor Information Center, Parking Annex, etc.
x Consider placement and use of kiosks for self-service at field locations or ancillary facilities.

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38. Downtown Public and Staff Wireless
Background
High-speed wireless Internet is a key infrastructure component of a Smart City strategy. A strong wireless infrastructure can be an enabler for smart meters (water or parking), the Internet of Things (IoT), automatic license plate readers, some video surveillance applications, and many more Smart City tools.

Findings and Observations
x The City is interested in installing Smart City sensors, including license plate readers, video cameras, and other devices at many locations. Š The downtown and pier areas can benefit from Smart City applications. Š Wireless Internet access to tourists will improve their experience and allow the City to better communicate with event attendees.
Š Wireless access to the Internet and City applications will improve staff communication capabilities and expand mobile device capabilities.
Š The downtown area would benefit significantly from improved connectivity for Smart meters, visitor wireless, and traffic sensors.
x Telecommunications equipment and radio towers are available to the City. Š Some improvements in radio and point-to-point wireless speeds will be required. x Police Department portable command post would benefit significantly from improved connectivity to Public Safety systems when deployed for events. Š A downtown wireless mesh would allow the PD command post to be flexibly deployed.

Recommendations
x Create an RFI to determine interest in a public/private partnership to provide wireless Internet services to the downtown and pier areas of the City. x Given expected level of interest from an RFI, develop an RFP to select a vendor to assist expanding wireless coverage.
x Expand and improve point-to-point wireless from the pier to the City network. x Consider separate City-owned downtown wireless mesh for Public Safety and Smart City needs.

Benefits
x Improved economic growth opportunities8
x Improved job search outcomes
x Increased access to better health care
x Enhanced civic participation
x Expanded ability to host Smart City applications.

8 Council of Economic Advisers Issue Brief March, 2016.

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39.Smart Parking (Meter and Management)
Background
Many cities struggle with parking management in heavy traffic areas. Recent advancements in smart-related technologies and communications are now allowing agencies to achieve higher levels of centralization, automation, and remote management of parking management and payment. These technologies fall under the umbrella of Smart Transit Signals and Transit Network, also commonly referred to as Intelligent or Smart Transportation System (ITS).

ITS is an advanced system that comprises different transportation modes, which are managed across a transportation network that provides information to travelers to make smarter directional decisions. A transit network is connected to an enterprise system that manages and controls the network elements.

A smart parking system will allow the agency to help drivers more efficiently locate available parking locations, facilitate payments using smart parking meters, and assess fines for violations. These technologies can alleviate parking-related issues by increasing operational efficiencies, easing traffic flow, and improving revenue capture for the City.

Some key benefits of Smart Parking Meters include:
x Flexibility to impose different parking fees at different times of day x Remote monitoring on the functional status of parking meters, decreasing down time and minimizing revenue loss
x Real-time information accessible to parking enforcement personnel on expired meters improves efficiencies and revenue capture x Convenient payment options: cash, credit cards, debit cards, cell phones, payment over the Internet, and prepaid parking cards Findings and Observations
x During peak visitor seasons, a significant influx of visitors makes parking management a significant challenge for the public and the City.
x The City lacks an integrated system for managing parking and for the collection of payments relating to this service.
x This project was recently funded, and improvements will be ongoing as streets and parking facilities are improved.

Recommendations
x Research potential vendors and costs.
x Determine if there is a hard ROI versus primarily intangible benefits. x Follow the guidelines of the Software Selection Best Practices initiative.

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40. Automatic Meter Reading
Background
Automatic meter reading (AMR) and Advanced meter infrastructure (AMI) are technologies that allow water utilities to automate the collection of meter data. The data allows agencies to determine the consumption, diagnostic, and status data from a water meter, and then translate that information for use for billing, troubleshooting, and analysis. This technology helps reduce the cost of manually collecting meter data.

Common collection methods for these systems include:

AMR
x Mobile – Vehicle-mounted units are used to collect information via radio frequency on City- configured drive routes.

AMI
x Radio Frequency Network – RF systems can use two-way or one-way communication over both licensed and unlicensed RF bands to transmit data between the meter and a central database.
x Fixed Network – Comprised of a collection of geographically-fixed antennas, towers, repeaters, etc., that are used to obtain transmissions from AMR capable meters. x Wi-Fi – This consists of a family of radio technologies that use wireless local area networking (LAN)-capable devices to transmit meter data. This can also use a wireless mesh infrastructure.

Following its introduction in the mid-1980s, AMR has evolved and matured into a full Advanced Metering Infrastructure (AMI) system. Whereas AMR systems are primarily used to retrieve meter information, AMI systems are more automated and allow for real-time, on-demand, bi- directional interrogations with metering endpoints. These systems are also commonly called smart-metering systems. AMR systems are substantially less expensive than AMI solutions.

Some of the system’s capabilities include:
x Real-time or cumulative load/flow demand profile
x User-defined systems load profile or monitoring
x Real-time leak and tamper detection
Findings
x The City is currently evaluating proposals from solution vendors. x The City currently contracts meter reading activities with a third-party meter reading vendor, Alexander Meter Reading Service, at a cost approximating $40,000 annually. x The meter reading service is inconsistent, resulting in frequent missed readings. x There are approximately 4,700 meter connections (commercial and residential). x Administrative Services would like to migrate to an AMR system to eliminate the need for using a third-party meter reading service.
x The City Engineer would like to eventually migrate to a full AMI system to take advantage of the capabilities AMI described above.

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Recommendations
x Conduct a system needs assessment that uses system selection best practices, including return-on-investment calculations and intangible benefits of various options. x To realize the full functionality of the system, it is recommended the City consider the limitations in its wireless communications infrastructure to support an AMI system. x Manufacturers have provided free cost studies and return-on-investment studies for other water entities for deployment and operation. These studies are specific to each agency.

The City should consider this option and then scrutinize those studies for accuracy and reasonableness to understand the true and full cost of the moving to an AMR and/or AMI technology.

Benefits
x Minimize manual meter reading
x Access for the public to monitor usage in near real-time x Provide accurate actual readings, not estimates
x Quickly resolve billing issues
x Identify potential problems
x Enjoy improved equipment security
x Monitor loads for conservation enforcement

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41.Drone Programs
Background
Drones can play a vital role for public safety and government agencies to improve processes and disaster/emergency response. A few examples of how drones can help public sector agencies include:
x Disaster Surveillance Monitoring
x Post Disaster Assessment
x Search and Rescue
x Delivery of Supplies
x Thermal Imaging for Hot Spots
x Swat Operations
x Hostage Negotiations
x Accident investigations
x Land Surveys
x Creation of Maps and Aerial Views
x Capture and Use Footage for Future Analysis and Training Purpose Unlike private users of drones, Public Safety and government agencies need to be certified by the Federal Aviation Administration (FAA) to operate drones. The FAA offers two options for obtaining drone program certification, with most public agencies choosing to obtain both due to differences in certification processing times and restrictions.

Option 1: Small Unmanned Aircraft Systems (sUAS) Part 107 - Rules and Limitations Police and fire departments within a local government can operate a drone under the Small Unmanned Aircraft Systems (sUAS) with the following limitations:
x Users of drones need to take the FAA Aeronautical Knowledge Test to become drone pilots. x Each aircraft must be registered with the FAA.
x Drone must weigh less than 55 pounds (including equipment or cargo). x Cannot fly drone:
ŠBeyond visual line of sight
ŠMore than 400 feet above ground level (or more than 400 feet above the top of structures like communications towers)
ŠOver people or at night
x Aircraft must be confirmed to be in a condition for safe operation before each flight. x Remote pilots must receive FAA authorization to fly in airspace near airports.

Option 2: Request a Certificate of Authorization (COA) to become a public aircraft operator
A COA allows an agency to function as a “public aircraft operator” and operate its drones within Class G airspace, engage in self-certification of its pilots, and obtain emergency COAs under special circumstances. A COA is not subject to the same limitations as Small Unmanned Aircraft systems. Obtaining a COA requires an extensive application process.

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Findings and Observations
x The City PIO has one drone, and the Police Department has one drone currently and would like to add some additional in the future.
x Police Department has two pilots and funds their drone program through grants. x Public Works and Utilities want access for GIS and other planning/maintenance activities.

Recommendations
x Define objectives and what is the expected outcome.
x Develop and implement drone policy, plans, and procedures. Š Confirm City agencies compliance with all legal requirements. Š Identify risks and contingency for mitigation of risk. x Conduct a needs assessment that documents current drone functionality. x Develop a budget that includes replacement, maintenance, training, required software, etc. x Determine if existing drones meet current and future agency needs. Š Factors to consider should include requirements (e.g., flight times, distances a drone can be flown from the operator, infrared, etc.)
x Determine training requirements required to implement a successful program. x Explore drone management software solutions for the Police Department such as AirData UAV and Drone Deploy, which can be used to:
Š Create automated flight plans
Š Record all flights
Š Easily share data
Š Process and analysis captured data
Š Track drone usage
Š Track service schedules
Š Generate maintenance reports and safety checks
x Determine a strategy for storing drone video footage and identifying short- and long-term costs

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42.GIS Assessment and Plan
Background
GIS systems are integral components in the business of
managing an agency or City’s assets and operational
activities. Enterprise-level municipal software programs, including Enterprise Asset Management (work orders),
CAD/RMS, and Land Management use GIS to improve
accuracy, display graphical views, and provide easy access to geospatial data including: wastewater, signs, trees, light poles, buildings, streets, incident locations, crimes analysis, etc. In addition to tracking all locations, addresses, and parcels, many agencies/authorities inventory their
infrastructure assets (e.g., pipes, pumps, hydrants, facilities, etc.) within their GIS system.

Many benefits from the use of GIS have already been realized by the City. However, further benefits can be realized, including more informed decision-making and improved graphical management (locations, addresses, parcels, etc.) with the convenience of centrally managed information.

It should be noted that many enterprise application systems are architected, developed, and built on or designed to integrate with geo-spatial technology. In order to fully utilize these new geo-based enterprise applications systems, it is necessary to integrate them with the entity’s GIS system.

A GIS Assessment and Plan would set forth procedures and methods to determine where the City envisions going with GIS in the future, which may include:
x Improvements to the GIS Enterprise
x Evaluating potential data sources and data needs
x Integration of GIS with other City enterprise applications x Data acquisition needs
x GIS readiness and Smart City applications
x Developing additional GIS applications and functionality x Additional Staffing requirements
x Prioritized resource requirements
x Planning for the long-term maintenance of the GIS system and data x Development of a GIS-specific budgets tied to the various elements or initiatives within the GIS Master Plan
Findings and Observations
x The City is currently using an Esri ArcGIS system.
x Police, Public Works, Engineering, Utility, Community Development, Management Services, and Recreation have significant GIS data and integration needs. x Absent reliable integrations between enterprise applications and core GIS system, various City departments have turned to the GovClarity application to access GIS data location information.
x The City EOC center does not leverage or engage GIS services. x GIS is not utilized by the SCADA department.
ŠNo available GIS resources (staff)

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x There are a significant number of requests from the City’s departments/divisions for GIS capabilities, indicating the need for a more comprehensive review of the City’s GIS requirements. There is tremendous potential for GIS benefits across the City. x The City will benefit from a plan that addresses and prepares for future GIS operations and helps consolidate and leverage the City’s investment in GIS. Such a plan will also identify the needs for future GIS resources by providing a prioritized roadmap of potential GIS improvements and benefits across the City.

Recommendations
x Develop a GIS plan which includes:
Š GIS applications and hardware needs
Š Evaluation of Esri licensing and server implementation to determine the most effective and cost-managed approach
Š Organization-wide operational application integration needs (all departments) Š Leverage use of GIS for internal City departmental access and public access to information in a spatial or map-oriented format
Š Plans for identifying and tagging (coordinates) all assets for maintenance and view on a layer-by-layer basis
Š IT staffing and/or outsourcing needs, including alternative approaches to GIS staffing or staff augmentation needs
Š Identification of potential partnerships and data-sharing opportunities Š Five-year budget with prioritized initiatives
Š Consideration of assistance from a third-party subject-matter expert to develop the GIS Master Plan
x Make GIS integration a requirement for all new geo-based and spatially-oriented software application procurements.
x Consider utilizing Esri’s Local Government templates and modules for quick, easy-to-deploy applications.

Benefits
x Management of geospatial information
x Improved utilization of applications that support GIS integration x Inventory with location of all assets for maintenance management and planning x Secure sharing of information
x Access to information by more City personnel
x A more mobile and productive workforce
x Faster, well-informed decision-making
x Real-time access to information from the field
x Increased ability for team members to communicate and collaborate from separate locations x Easier creation and storage of digital maps
x Better analysis of infrastructure
x Improved land/parcel management
x Improved customer service through the ability to publish for public access

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IT Infrastructure refers to networks, servers,
equipment, inside or outside cable plant, and other
communications infrastructure.

IT Infrastructure

43. IT Computer Room and Teledata Closet Improvements

44. Computer Equipment Replacement Plan

45. Mobile Digital Computer (MDC) Replacement Planning

46. Server Upgrades

47. Wireless Network

48. FirstNet Preparation Planning

49. Radio Systems Upgrades and Replacement

50. Internet Bandwidth

51. Technology Support for the EOC

52. Facility Access and Security Cameras

53. Remote Access

54.Bring Your Own Device

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43.IT Computer Room and Teledata Closet Improvements
Findings and Observations
x An overhead sprinkler system is installed, carrying water into the ceiling space. x Shelving/racks do not appear to be secured to the wall. ŠMajority of content are non-essential to data center operations. x Outlets are high up, but power cords are on the floor. ŠPast flooding issues
Recommendations
x Consider a two-phase sprinkler system to reduce the risk of accidental water discharge.
x Secure shelving to the wall or remove them.
x Move to an overhead power distribution system.

Benefits
x Increased environmental monitoring of temperature
conditions
x Secured environment and physical access to data assets and infrastructure

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44. Computer Equipment Replacement Plan
Findings and Observations
x Current citywide computer equipment replacement plan is on a five-year cycle. Š Attempt to replace 1/5 of inventory each year.
Š IT is working on completing a Windows 10 deployment early this year. x Police Mobile Data Computers are scheduled to be replaced this budget year. x Data center network switches are slated to be replaced this budget year. x Most core information technology equipment is replaced within the recommended replacement cycle included in this initiative.
x We received partial inventories of computer equipment as a part of our information request. x Ancillary equipment such as video surveillance, door access control, and radio equipment do not appear to be included in the City’s computer equipment replacement cycle.

Recommendations
x Complete the replacement of all City computers
running non-supported operating systems.
Š Acquire extended support for critical
computers if upgrades will be delayed.
x Create and maintain an inventory of all computer
equipment, year purchased, warranty duration,
and other useful information.
x Develop a five-year, rolling computer equipment
replacement plan and budget accordingly.
x Standardize on specific manufacturer and system
configurations.
x Allow customized length of time for replacement of
any technology that may have a unique end-of-
life.
x Continue to purchase discounted extended
warranties at the time of purchase that will cover
the equipment throughout its useful life (e.g., five
years for computers and servers, etc.)
x The City should provide capital replacement
information for use at the start of each budget
cycle.
x Replace entire systems in a single budget year to
reduce work effort of piecemeal approaches.
x As appropriate, provide analyst and management-
level personnel with laptops and docking stations.
Š By policy, encrypt any data stored on mobile
devices.

IT Equipment
Recommended
Replacement
Cycle (Years)
Network Switches 7
Phone System
Upgrade 5
Phone System
Replacement 10
Audiovisual
Equipment 5
Servers 5
Disk Storage 5
PCs 5
Laptops 4
Mobile Data
Computers 5
Mobile Devices 2
Wireless Devices:

Point-to-Point 5
Wireless LAN 4
Windows Software +/- 5
MS Office +/- 5
Printers, Scanners 5
Plotters 5

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Benefits
x Improved forecasting of purchases
x Managed process that flattens capital expenditures over time x Improved computer performance
x Improved available features
x Ability to keep spare equipment around to be reissued, eliminating employee downtime x Increased employee performance by eliminating the use of old, slow, and post-lifecycle technology
x Reduced total cost of ownership

45. Mobile Digital Computer (MDC) Replacement Planning
Background
Police departments have been benefiting from mobile technology for many years, starting with mobile data terminals (MDTs) and now mobile digital computers (MDCs or laptops).

Findings and Observations
x The existing mobile data terminal/mobile digital computers (MDT/MDC) environment is aging.
x Current MDTs are due for replacement.
Š These systems should be kept current and replaced prior to end-of-life.
Š Eight police cars are in service, with additional MDTs for some command vehicles. x MDTs are generally replaced when the vehicle is replaced. x Differences in MDT make/model can severely affect IT ability to maintain devices. Š Often different MDT make/models can limit usability of imaging or software distribution tools.

Recommendations
x Include MDTs in the computer capital replacement plan. Š Replace all MDTs at one time. Insist on receiving all devices of the same make/model. x Include accompanying docking stations and the required in-car mounting components.

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46. Server Upgrades
Findings and Observations
x Microsoft Domain Controllers are 2012.
Š 2019 is the current version.
x Most City production servers are using Microsoft Windows Server. Š Current Microsoft server operating systems is a combination of 2008 R2 and 2012. Š Windows 2008 is end-of-life and no longer supported.

Recommendations
x Upgrade to standard Windows Server Format (2019 Standard).

47. Wireless Network
Findings and Observations
x Demand for Wi-Fi will continue to increase.
Š Staff demand will increase as they become more mobile, including “BYOD.”
Š Public demand for wireless at City facilities is increasing. x Current Guest Wi-Fi does not contain a splash page.
Š Guest Wi-Fi lacks a message informing guest of the conditions of access. x It should be noted that personal device use for City business creates risks related to the Public Records Act. Personal device communications for City business are public records and it may be necessary to access the device to recover the records. Š In the event of a lawsuit or legal investigation, personal devices may be subpoenaed. x MAC address filtering is not in use for City wireless access. x Wi-Fi currently covers mostly indoor spaces.

Recommendations
x Create and implement splash page for Guest Wi-Fi.
x During scheduled computer equipment replacement, standardize on a single wireless platform.
x Implement additional security, including MAC address filtering for City devices and RADIUS authentication for BYOD devices.
x Implement an Internet of Things Wi-Fi network for appliances.

Benefits
x Improved wireless speeds
x Reduced complexity
x Increased security
x Expanded coverage

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48. FirstNet Preparation Planning
Background
FirstNet is the short marketing name for the AT&T “First Responder Network.” FirstNet is being constructed nationally to provide priority cellular capabilities to First Responders. Network rollout is behind schedule, and major metropolitan areas are just now seeing Phase 1 deployments.

Verizon is preparing a similar service that will compete directly with FirstNet.

Findings and Observations
x FirstNet has been deployed for Police and rollout is planned for Utilities and SCADA networks.

Recommendations
x Expand FirstNet to include all critical City cellular connectivity. x For consistency, consider expanding FirstNet use to any critical staff who use cellular to remotely access City technology resources.

Benefits
x Improved public safety
x Improved remote access security and reliability

49. Radio Systems Upgrades and Replacement
Background
The City maintains a citywide radio system that supports the Police, Water, Waste Water, SCADA systems, and Public Works field workers.

Radio service is critical for City public safety. Because many areas of the City are in valleys, and the terrain can be rugged, radio coverage can be difficult and expensive to provide. The system has a limited number of repeaters that boost the signal throughout the City. Coverage gaps are reported, primarily in the northern section of the City.

Radio transport service is provided point-to-point radio connections. These connections are not resilient. A failure of the point-to-point wireless connection will cause the system to fail.

Findings and Observations
x Staff members have maintained key radio components by creating an inventory of spare parts and replacing components when they fail.
x The radio system lacks resiliency, which is critical to providing utility grade service and assuring officer safety.
x Coverage can be spotty due to rugged terrain.
Š Most coverage complaints are in the northern section of the City. x A City facility appears to be an excellent location for a repeater. x There are some complaints related to the number of channels available to Police. Š The radio system supports a single channel, which is currently operating in a split- channel mode to maximize availability.

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x Staff stated that radios fail at a rate of nearly one radio per month. Š Radio system support is located in Bakersfield.
Š Maintenance is provided through warranty service or time-and-materials assistance. x The radio system is approximately seven years old.

Recommendations
x Budget to increase radio coverage.
Š Consider adding radio coverage and repeaters at Spyglass lift station. x Budget to increase resiliency and backhaul capabilities. Š Add redundancy to backhaul and inter-site connections. Š Add the ability to manage additional channels.
x Expand available channels over time.
Š Move to a simulcast radio system.
x Consider moving to licenses frequencies for all point-to-point wireless connections.

Benefits
x Alignment with Disaster Recovery Plan
x Support for Incident Command System
x Support for E911 radio dispatch
x Support for office communication and officer safety
Š Radios provide the ability for officers to call for backup x Support for other public safety agencies assisting the residents and visitors to Pismo Beach x Coordinated support for emergency responders
x Basis for communication for field staff during local incidents and recovery activity

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50. Internet Bandwidth
Background
Increased Internet bandwidth and high availability are becoming more important to organizations for daily functionality. This allows for additional resources to become available during peak Internet usage and provide for resiliency when disasters occur that may affect primary Internet connections that are no longer accessible.

Findings and Observations
x Internet connectivity is 100Mb synchronous at City Hall and the Police Department. x Most agencies of similar size are using a minimum of 200Mb synchronous Internet or more for primary and secondary Internet connections.
Š Best practice is to use alternative carriers at secondary Internet sites if available. x Future use of cloud services will increase the importance of Internet bandwidth.

Recommendations
x Expand the primary Internet connection, preferably before expanding cloud-based backup capabilities.
x Incorporate two diverse, high-speed Internet connections. Š Best practice would be to implement an Internet connection from a separate provider at the Police Department location.
x Additional Internet bandwidth will be required as the City increases the use of cloud-based systems.
x Increased Internet costs have been included in recommended Five-Year Budget.

Benefits
x Improved performance
x Increased Internet uptime
x Increased resiliency, providing increased cloud-based applications and services uptime x Reduced risk and liability
x Disaster recovery safeguard

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51. Technology Support for the EOC
Findings and Observations
x The EOC requires upgrades and reconfiguration.
Š There are tripping hazards due to location of outlets versus the configuration of working tables.
Š Room is small and has limited space to hold all potential participants. x There are a limited number of computers.
Š Some staff are expected to bring their own laptops.
x There is no GIS presence.
x The City’s Emergency Operations Center (EOC) technology is insufficient to function optimally in large-scale emergencies. Existing technology includes:
Š Limited storage for EOC equipment
Š Power and data network cables must be run for each EOC activation or test Š Limited audiovisual capabilities
Recommendations
x We recommend that the EOC committee and IT work together to develop the specific requirements for the City’s Emergency Operations Center. Š Investigate options to expand functionality of existing space. Š Explore feasibility of relocating EOC to more suited space. Š Determine wireless requirements.
Š Obtain appropriate quantity of computers to support staff at activation. x Conduct a study of EOC needs and provide budget for recommended improvements accordingly.
x Incorporate spare radios and batteries.
x AV improvements:
Š Expand workstation display systems.
x Investigate the possibility of creating a combined technology training/EOC room to reduce setup time.
x We recommend in the Internet Bandwidth initiative the addition of secondary Internet access at the location of the EOC.

Benefits
x Alignment with Disaster Recovery Plan
x Support for Incident Command System
x Event Information Tracking
x Coordinated support for emergency responders
x Basis for communication to the public during local incidents and for recovery activity

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52. Facility Access and Security Cameras
Background
Actively monitored, security camera surveillance systems can be an effective security tool and criminal deterrent. One study by the Urban Institute determined that the savings and benefits of fewer incidents and crimes outweighed the cost of video surveillance systems. The study also found that police, policymakers, and others involved in facility or property oversight largely viewed security, surveillance, or monitoring cameras as a useful tool for managing behavior, preventing crimes, aiding in response, assisting in arrests, and supporting investigations and prosecutions.

Video surveillance systems can be integrated with door access control systems to improve visibility into door-related alarms, such as focusing a camera on a door that has been propped open too long.

State law now requires two years of storage for all video surveillance systems.

Findings and Observations
x The City does not have a centralized and integrated door access system. x Door access is not integrated with any of the video surveillance systems. Š Many doors require key access.
x Existing video surveillance footage is not backed up. x A public safety video project is underway at Chapman. x A public safety video project is planned for St. Jude tunnel. x State law requires public safety video to be stored for a minimum of 1 year.

Recommendations
x Investigate options to move to a single IP-based camera and door access solution. x Conduct a needs assessment to holistically determine additional camera and storage needs. Š Consider the potential use of integrated door access controls and video surveillance systems at all facilities.
x Develop a bid from the completed needs assessment and create a design specification that incorporates door access control and video surveillance integration if that is the desired direction.
x Optionally, select and install an integrated management platform that will support existing and potential video surveillance needs.
x Conduct a Best Practices vendor selection to find a long-term partner for public safety video projects.
Š We have had some success conducting a RFQ based vendor selection process for this purpose.
x Expand storage capabilities to one years.
Š Create backup capabilities for 90 days of video.

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53.Remote Access
Background
x Demand for remote access will continue to grow for on-premise applications, especially for staff members with significant computing needs in the field. ŠIncreased access to mobile applications for smart phones and tablets will also be part of increased remote-access demand.

Findings and Observations
x Numerous departments voiced complaints about existing VPN access. ŠConnectivity is extremely spotty.

Recommendations
x Expanding Internet bandwidth will improve the remote
access experience.
x Select and implement a more robust remote-access
solution that simplifies staff member access.
ŠConsider implementing FirstNet for all staff
requiring remote access.
ŠConsider use of NetMotion to eliminate intermittent drops in cellular service. x Implement multi-factor authentication for all remote access. ŠTwo-factor authentication for remote access is required by regulation for Police and SCADA systems.

Benefits
x Increased mobility for the current workforce
x Improved productivity for offsite personnel
x Improved balance between security and business needs

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54. Bring Your Own Device
Background
Some organizations have moved to a “Bring Your Own Device” (BYOD) model for certain device types. Most frequently, organizations provide employees with stipends for cell phones and allow staff to use personal cell phones for agency business.

Other organizations believe it is more appropriate to provide staff with all necessary tools to perform their job functions.

Findings and Observations
x Some staff are interested in bringing their own devices to utilize for City business. x IT systems are not prepared for BYOD.
Š Additional security measures are required to ensure that personal devices meet City security standards.
x Mobile Device Management (MDM) provides the ability to see and control all mobile devices entering the enterprise, whether provided by the City or part of a Bring-Your-Own-Device (BYOD) program.
x A key feature of MDM products is the ability to “wipe” a partition on the device if it is lost or stolen.
x The City uses AirWatch for a limited number of devices and MDTs. x Other security products can interrogate devices to ensure antivirus software is present and up-to-date and malware does not exist on the device before it is attached to the network.
x BYOD can also be problematic in a public agency because of the Public Records Act.
Š Certain types of inquiries may cause staff to download items or allow access to the device in order to meet Public Records Act requirements.

Recommendations
x Before allowing BYOD, draft and approve a policy related to BYOD devices. Š Consider Public Records Act implications as a part of the policy. x Review current solution and capabilities to support the expansion of mobile device utilization.
x Implement a Network Access Control (NAC) solution to improve security for devices not owned by the City.
Š HPE ClearPass and Cisco ISE are two examples of NAC solutions.

Benefits
x Simplified distribution of software
x Improved staff efficiency and mobility
x Increased use of remote access

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The IT Operations section addresses daily support
and maintenance of all IT infrastructure and user
support.

IT Operations

55. Mobile Device Management

56. IT Operations - Enterprise Management Platform

57. IT Support Metrics

58. Audit Logs and Log Management

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55. Mobile Device Management
Background
Mobile device management (MDM) software is a collection of applications that allows management, distribution, usage, and maintenance of laptops, tablets, and smart phones.

Additional features allow configurations to be done on devices to discourage wrongful use and reduce individual device maintenance.

Findings and Observations
x MDM provides the ability to see and control all mobile devices entering the enterprise.
x A key feature of MDM products is the ability to “wipe” a partition on the device if it is lost or stolen.
x The City uses AirWatch for a limited number of devices and MDTs.

Recommendations
x Review current solution and capabilities to support the expansion of mobile device utilization.
Š Support for all devices
Š Less time spent manually managing and monitoring
Benefits
x Simplified distribution of software
x Improved staff efficiency and mobility
x Increased use of remote access

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56. IT Operations - Enterprise Management Platform
Background
An Enterprise Management Platform is a complete set of IT operations tools that are fully integrated. They will add a level of automation between network and device monitoring/management and IT Help Desk. This enterprise-level automated approach will streamline the process of support and daily maintenance. The Enterprise Management Platform can include the following modules: IT Help Desk, network monitoring/management, server monitoring/management, active directory monitoring and audit logs, Syslog management, application response time monitoring, patch management, software application deployment, and software and hardware inventory.

Utilizing an enterprise platform for IT operations will reduce overall management by reducing the number of software vendors that must be managed. Module integration can reduce training time. Integration of inventory with management modules can reduce network discovery time and provide additional device tracking capabilities.

Active Directory Monitoring and Audit Logs
Active Directory Monitor and Audit Logs are software used to monitor the status and health of the Active Directory environment. This software also allows the ability to audit changes made to the Active Directory by date, time, and user. IT staff members can be notified immediately of any issues or potential threats to the Active Directory domain. The software helps Active Directory administrators and Help Desk technicians with their day-to-day activities. This software provides a powerful tool that can be used to automate bulk tasks, like user management.

Findings and Observations
x The City does not currently have an Active Directory monitoring system. x Audit logs are collected into a Kiwi-based server system. x IT staff members typically must manually perform multiple steps in Active Directory to complete a single task.
Š The Active Directory monitoring software will provide advanced automation for many of these tasks and reduce the work effort required by staff. x Kiwi syslog server is a basic application with rudimentary search capabilities. Š A new software solution will automate this process and provide a central location for all logs. It will then provide an intelligent analysis of the logs and present IT staff with a potential resolution, saving staff hours.
Š A new software solution could automate alerts and alarms from the collected system logs.

Recommendations
x An Active Directory Monitoring and Audit Log system should be evaluated and selected following the software selection best practices.
x Metrics related to the health of the Active Directory environment should be developed and tracked on a weekly and monthly basis.
x It is important to track all changes to Active Directory, including those made by IT staff. x Investigate a complete Enterprise Management platform, including Security Information Event Management (SIEM) capabilities.

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Benefits
x Centralized Active Directory management system
x Improved automation of routine tasks
x Increased investigation visibility using Audit trails x Improved security
x Improved reporting and metrics
x Better diagnostics and problem identification
x Availability of forensics log
x Alerts to bad logon attempts
x Increased staff productivity
Patch Management
Patch Management is the term used to describe the task of keeping all endpoint devices, like computers, laptops, and servers, up-to-date with the latest software patches. Patch management software automates and manages the deployment of software patches to devices on the network.

Findings and Observations
x A Windows Software Update Service (WSUS) server is in production. x Updates are done during monthly maintenance window.
x No software maintenance policy or procedural documentation is in place. x Non-Microsoft products are patched on an as-needed basis.

Recommendations
x Consider acquiring Kaseya or similar solution that allow for all patching to be completed in a more routine and consistent manner.
x Establish a Software Maintenance Policy with scheduled update window. x Develop a Sandbox Environment to testbed patching of equipment. Š Patching exceptions should be noted in a monthly report.

Benefits
x Centralized patch management system
x Improved security compliance on software patches
x Improved report metrics
x Support for most software packages
x Better diagnostics and problem identification
x Improved standardization of the IT environment, simplifying the support effort required x Drastically reduced support time required to deploy security patches x Increased staff productivity

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Hardware/Software Inventory Management
The Hardware/Software Inventory Management software is an automated tool used to monitor the status of all hardware (firewall, switches, servers, computers, laptops, tablets) and software (Microsoft Office, Adobe, Visio, project management software) inventory. This software also allows the ability to run audit reports for budgeting and licensing compliance as needed.

Findings and Observations
x The City does not currently have a robust
hardware/software inventory system.
ŠAsset information is currently being
tracked in ServiceNow.
x Staff members typically manually create
spreadsheets to present hardware and
software inventory lists for licensing for
budget or reconciliation.
ŠThe inventory being created by
spreadsheets is often old or out of date, with
inaccurate or incomplete information.

Recommendations
x A Hardware/Software Inventory Management system should be reviewed and selected following software selection best practices.
ŠIT staff should be fully trained and understand how the new system works. x Metrics related to hardware and software inventory should be developed and tracked monthly.
x The inventory should be used to confirm licensing compliance and budgeting.

Benefits
x Accurate tracking of technology growth in the City
x Improved budgeting
x Reduced software licensing audit time
x Accountability for all devices
Hardware AssetsConfigurations
st Asset
Inventory
Management

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57. IT Support Metrics
Findings and Observations
x We reviewed the CITIG Help Desk Executive Summary report from November 2019. Š It appears that CITIG is meeting Help Desk performance objectives. Š Concerning trends include:
ƒ A noticeable increase in Help Desk tickets month to month ƒ During the reporting month, ten tickets were “Performance” related, while six tickets were “Network Connectivity” related – accounting for 30% of all tickets. x We did not receive a Help Desk Aging report that would alert management to older tickets that might need additional attention.

Recommendations
x Discuss the observed increasing ticket trend with CITIG and determine root cause. x Review “Performance” and “Network Connectivity” tickets and determine if there is a potential pattern.
x Review Help Desk tickets (open and closed for the month) with CISCOM and solicit feedback.
x Metrics related to meeting Help Desk service levels should be developed and tracked on a weekly and monthly basis. This should include ticket aging reports such as tickets open more than seven days.

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58. Audit Logs and Log Management
Background
The Audit Log and Log Management software are used to monitor the status and health of the Active Directory and all network devices respectively. This software also allows the ability to audit changes made to the Active Directory by date, time, and user. IS staff members can be notified immediately for any issues or potential threats to the Active Directory domain. The software helps Active Directory administrators and Help Desk technicians with their day-to-day activities. This software provides a powerful tool that can be used to automate bulk tasks, like user management.

Findings and Observations
x The City does not currently have an Active Directory monitoring tool. x Network switch and firewall logs are managed manually and stored locally. x Server logs are stored in KIWI Syslog.
Š The City runs multiple instances, one at City Hall and one at the Police Department. Š Log management system capabilities are not implemented on the SCADA network. Š Lack of time and resource prohibit review.

Recommendations
x Consider a new software solution that will automate this process and provide a central location for all logs. It will then provide an intelligent analysis of the logs and present staff with a potential resolution and improve operational efficiencies. x An Active Directory Monitoring and Audit Log system should be evaluated and selected following the software selection best practices.
x Metrics related to the health of the Active Directory environment should be developed and tracked on a weekly and monthly basis.
x It is important to track all changes to Active Directory, including those made by IT staff.

Benefits
x Centralized Active Directory management system
x Improved automation of routine tasks
x Increased investigation visibility using Audit trails x Improved security
x Improved reporting and metrics
x Better diagnostics and problem identification
x Availability of forensics log
x Alerts to bad logon attempts

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Cybersecurity addresses all security systems and
practices, including disaster recovery, to protect
systems and data.

Cybersecurity

59. Disaster Recovery Planning

60. Backups

61. IT Policies and Procedures

62. Windows Active Directory

63. Multi-Factor Authentication

64. SCADA Security

65. Cybersecurity Assessment

66. Security Awareness Training

67. PCI Compliance Review

68. Records and Data Retention

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59.Disaster Recovery Planning
Findings and Observations
x The City does not currently have a disaster recovery plan. x Service-level agreements (SLAs) are not in place for application recovery in the event of a disaster.
x Data from City Hall and Police computer rooms are backed up to an agency location in San Luis Obispo.
ŠA backup host server is available to activate mission critical servers for City Hall and Police.
ŠAddition equipment would need to be purchased to activate all servers in the San Luis Obispo backup data center.
x Full system backups are not taken.
x Utilizing cloud-based backup and disaster recovery is becoming a best practice. ŠRelying on cloud-based backup and disaster recovery generally requires resilient high- speed Internet services.
ŠCloud-based backup and disaster recovery would provide the City with Internet-based resiliency for critical system recovery in the event of a regional disaster.

Recommendations
x As an initial planning step, work with the departments to understand desired service restoration timeframes for all systems.
x Consider the following disaster recovery scenarios when developing strategies:
ŠLoss of main computer room
ŠLoss of operations computer room
ŠMajor disaster eliminating all area communications
x Evaluate applications portfolio and determine the SLA for each application for restoration. x Develop strategies for restoration of high-priority applications. ŠIncorporate cloud services and ability to activate critical systems in the cloud. ŠBegin to implement, based on strategy and application priority. ŠTest portions of plan every six (6) months.

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Benefits
x Emergency preparedness compliance
x Improved communication
x Awareness of procedures
x Better diagnostics and problem identification
x Reduced risk and liability
x Faster, well-informed decision-making
x Identification of business-critical functions
x Decreased recovery times and exposure to system failures x Awareness of immediate actions

60. Backups
Findings and Observations.
x Backups are performed by service provider Logic Monitor. Š Backups are replicated to storage device located at the SLO/ECC data center. ƒ No true off-site backups are taken.
Š No full backups due to bandwidth limitation.
Š Device is approximately four years old.
x Bare-metal (complete) server backups are not included in the current backup schedule.

Recommendations
x Develop policy and procedure for backups.
Š Policy should include host-level backups.
Š Include backups in the Disaster Recovery plan.
Š Procedures should outline guidelines for data
retention requirements.
x Investigate how to improve bandwidth to accommodate
full backups.
x Verify that all backup media is encrypted, in transit, and at rest.

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61. IT Policies and Procedures
Findings and Observations
x The City IT function(s) have a minimal number of IT policies. Š Policies reviewed were approved in 2015.
Š Best practice for policy review and update is every three years. x The City does not appear to have:
Š A policy that outlines staff responsibilities for related to Security Awareness training Š Policies related to PCI compliance
Š Data Retention Policy
Recommendations
x Review current policies every three years and update appropriately. x Revise and create a limited number of additional IT policies and procedures that include the following topics:
Š Security Awareness Training
Š Computer Security Incident Response
Š PCI Compliance
Š Emergency Response Policy
Š Data Retention
x Utilize the IT Steering Committee to review policies and procedures and facilitate communication throughout the organization.
Š Consider applying security-related policies and procedures to the SCADA network in addition to the administrative network.
x Upon completion of IT policies and policy compliance, develop desk procedures to verify compliance and document key IT processes.

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62.Windows Active Directory
Background
Windows Active Directory (AD)is a central directory structure that provides authentication to network resources (files, printers, applications, and more). Groups and organizational units can be created in AD to lessen the ongoing maintenance
requirements of adding and deleting user rights. Domain controllers are Windows Servers running a version of AD Domain Services.

Findings and Observations
x The Active Directory domain is Windows 2012.
ŠThere are a minimal number of Windows 2008
servers remaining in the environment.
x SCADA system is not integrated to Active Directory.
ŠUsers are authenticated by Wonderware.
x IT security best practices for password management
have not been followed.
ŠService provider maintains password manager.
ŠCity IT is reviewing Dashlane for potential password
manager.
x A password change policy has not been implemented.

Recommendations
x Upgrade all AD domain controllers to Windows Server 2016. x Implement integration between AD, network devices, and City application wherever possible to provide a means for centralized authentication.
x Develop and implement an IT password security procedure based on best practices. x Specifications for future application software should include the requirement to integrate with AD.

Benefits
x Improved functionality and security
x Meets industry compliance standards
x Enhanced feature sets that were once non-existent are now available

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63. Multi-Factor Authentication
Background
Increased security threats and the need for both increased information sharing and remote access to data networks create new requirements to validate the identity of the individuals accessing information in these systems. To meet these requirements, many agencies at all levels of government are using a strategy known as advanced authentication or two-factor authentication. This approach supplements traditional username and password authentication with alternative forms of verification based on a user’s physical characteristics (such as a fingerprint), or an object in the user’s possession (such as a smart card or a token).

Findings and Observations
x Multi-factor authentication is implemented at the Police Department. Š Multi-factor authentication is not used for external email access. x Multi-factor authentication is a security strategy based on the principle of defense-in-depth. x National Institute of Standards strongly recommends two-factor authentication for water and wastewater utility supervisory control and data acquisition (SCADA). x Cybersecurity insurance will require multi-factor authentication for all systems in the near future.
Š Implement multi-factor authentication for all remote access as soon as possible.

Recommendations
x Develop, implement, and enforce a multi-factor policy. x Budget for and implement multi-factor authentication for all remote access to City systems. x Inventory the multi-factor capabilities of all City applications in preparation for future cyber security requirements.

Benefits
x Enhanced security and compliance
x Multi-factor authentication will be required by cyber security insurance providers.

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64. SCADA Security
Findings and Observations
x Staff have remote access to the SCADA system.
Š SCADA system is not currently integrated with Active Directory. Š Users are authenticated by Wonderware.
ƒ Users use a shared account when connecting to VPN and to the SCADA system. x No current support contract for SCADA system.
Š Current hardware is outdated and due for replacement. Š Upgrade would require a phased approach.
x Department of Homeland Security recommends the following cyber security improvements for SCADA systems:
Š Multi-factor authentication for remote access to SCADA Š Separate Active Directory for SCADA
ƒ Individual logins for each SCADA user
Š Separation of all administrative systems and SCADA
ƒ This includes internet access, video camera systems and other systems not directly related to SADA.
Š Regular patching of all systems within the SCADA environment Š Use of anti-virus/anti-malware software
x A firewall provides separation of City and SCADA traffic. x The current environment is not patched.
x SCADA servers are not utilizing an antivirus solution.

Recommendations
x Conduct a thorough, comprehensive, and professional security audit of all SCADA systems, using guidelines provided by the U.S. Department of Energy and software such as the Cyber Security Evaluation Tool (CSET).
x Investigate and determine equipment required to upgrade existing equipment. Š Obtain quotes for required equipment.
x Implement individual usernames and unique passwords for staff members who require system access.
x Implement multi-factor authentication (i.e., something you have, plus something you own) when providing remote access to SCADA.
x Implement a separate Active Directory for SCADA.
x Implement patching and anti-virus/anti-malware software. x Investigate firewall capabilities to enforce MAC authentication. Š Obtain a quote for Verizon private cloud and implementation of MAC authentication.

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65. Cybersecurity Assessment
Background
It is a best practice to conduct a cybersecurity assessment every three years. Penetration testing should be performed annually or whenever major firewall changes are made.

Findings and Observations
x A partial Cybersecurity Assessment was completed for the City Hall and Police Department networks.
Š The security assessment was performed by the same firm that is contracted for Help Desk, managed services, and on-site support.
Š The security assessments included automated scans of City Hall and Police Department networks. They did not include an analysis of security related processes. x We have not received a security assessment for the SCADA system. x Third-party penetration testing has not been completed recently at the City.

Recommendations
x Conduct penetration testing annually or whenever major firewall changes are made. x Engage a third party to perform a security assessment using a different firm than the IT support contractor.
x Conduct a separate security assessment for the SCADA network. x The results of the security assessments point to serious issues that should be addressed immediately.
Š Some of the vulnerabilities found on the Police Network suggest that Police Network security does not meet Criminal Justice Information Systems security standards.

Benefits
x Risk Mitigation
x Meets compliance requirements and industry best practices

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66. Security Awareness Training
Background
Security Awareness Training is a formal process for educating employees about computer security. A good security awareness program should educate employees about corporate policies and procedures for working with information technology. Employees should receive information about who to contact if they discover a security threat and be taught that data is a valuable corporate asset.

Regular training is necessary to provide staff with knowledge to help protect the organization’s network from viruses and malware. Users are the frontline defense for the prevention of virus and malware attacks.

Confirming how well the awareness program is working can be difficult. The simplest metric is measuring the number of incidents over time, which should be decreasing. The best practice method of measurement involves a multi-phased approach of baseline testing, then training, then testing using an automated phishing approach. Follow up with additional training as needed.

Online training provides multiple benefits, including:
x Staff members can work at their own pace, on their own schedule. x Staff members can be enrolled in multiple online training courses. x An administration control panel can be used to monitor users’ progress and set up phishing campaigns to test the users.
x Reports can then be generated to see how users did compared to previous phishing campaign scores in order to measure improvement.
x Organizations should encourage users to complete training on a regular basis as part of compliance requirements.

Findings and Observations
x High level of department participation.
x Phishing tests estimated 10% failure rate.
x Security awareness training is becoming a best practice targeted at improved staff security readiness.

Recommendations
x Include regular online security awareness compliance training. Š This training should be mandatory for all users.
Š Incorporate training plans into the annual review process. Š Select a proactive training solution that allows periodic deployment of simulated phishing attacks to test user awareness.

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67. PCI Compliance Review
Background
Payment Card Industry (PCI) compliance can reduce credit card transaction fees by complying with the Payment Card Industry Data Security Standard (PCI-DSS) for credit and debit card transactions. The major card brands (Visa, MasterCard, American Express, Discover, and JCB) issued the PCI-DSS to enhance the protections in place against the theft of cardholder data and require all merchants and service providers who store, process, or transmit payment card information to comply with its provisions.

Findings and Observations
x Credit cards are accepted as a form of payment at the City. x Credit card transactions are cloud based.
Š Credit card transactions are limited to credit card
terminals separate from the point-of-sale workstations. x Most PCI technical requirements have been met by the City.

Recommendations
x Review the current credit card payment methodology, including manual processes surrounding the transaction itself.
Š Validate compliance with PCI for all credit card processing workflows. x All payment card data should be separated from the City’s data network. x Create a complete inventory of all credit card processing devices, including location, make, model, date installed, and PCI capabilities.

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68. Records and Data Retention
Findings and Observations
x The City has a two-year electronic records retention policy. Š .PST files do not exist.
Š Electronic records retention durations should mirror paper records and data retention durations.
Š The City utilizes Office 365 Archiving Service.
ƒ The Office 365 search engine has the usual Microsoft limitations. x Many clients utilize a third-party email archiving service because:
Š The archiving service becomes a backup for electronic mail. Š Many third-party archiving products have search engines that are more user friendly than Microsoft’s.
x As with paper records, timely destruction is important. x City Clerk is spearheading the development of data retention requirements.

Recommendations
x Inventory all forms of electronic records storage at the City. x Develop policy and procedures for record retention of all various record/data types. Š Implement procedure for records retention and subsequent destruction of electronic records.

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The telecommunications system is a critical tool
for local government entities. It enables the ability
to communicate effectively with constituants and
deliver high standards of service.

Telecommunication is also a key element in
teamwork, allowing employees to collaborate
easily from wherever they are located.

Telecommunications

69. Police VoIP Phone Replacement

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69. Police VoIP Phone Replacement
Voice-over-IP (VoIP) technology uses an Internet connection to accommodate calls. It is highly reliable and fast when compared to conventional telephone systems and is an accepted communication standard. Benefits include reduced costs, ability to easily change numbers as needed, and increased features and support. VoIP hardware upgrades can occur automatically and seamlessly.

Findings and Observations
x Police Department uses a Centrex-based phone system.
x The existing telephone system functionality creates end user frustration. x Current cabling infrastructure is a combination of CAT 5e and CAT 6 and data network switches are slated to be replaced next year.

Recommendations
x Develop an RFP to receive proposals for a citywide VoIP system. Š Include alternatives for premise and cloud-based systems. ƒ Develop a ROI for premise versus cloud-based systems. Š Include specific criteria for interconnectivity to Police non-emergency systems. Š Include transfer capability from E-911 phone numbers to detectives and other City staff. x Select a new VoIP system according to telecom best practices, utilizing an independent consultant as a Subject Matter Expert (SME).
x It is prudent to compare multiple vendors to get best price and value.

Benefits
x Reduced implementation, support, and maintenance costs x Increased long-term ROI
x Enhanced communications
x Increased use of features
x Improved user experiences
x Reduced total cost of ownership

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IT staffing can be one of the most important areas
of business management, especially in view of the
impact IT decisions can have on the organization’s
productivity, budget, morale, and overall success.

IT Staffing

70. IT Staffing

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70. IT Staffing
Findings and Observations
x Help Desk is currently outsourced.
x Network and server equipment are managed under the Managed Services section of the Help Desk contract.
Š The contract includes two days per month of on-site time. x The City utilizes interns eight-to-twelve hours per week. x The IT Manager reports that he spends eight-to-ten hours per week on Help Desk-related items.
x Technology Master Plan questionnaire results related to Help Desk support were not favorable.
Š Some departments perceive slow response to emergency requests. x Staff training has been limited.
x Staff have defaulted to a learning-on-the-job methodology. Š This methodology can add significant time to project schedules as staff members learn as they go.
Š From time to time, this methodology can also result in less-than-optimal implementations.
x Overall, staff and third-party expenditures will be higher over the next several years as many IT Operations components are upgraded and systems replaced. x The City has budgeted for an IT Technician in addition to the IT Manager. x The ongoing expansion of cybersecurity requirements will continue to strain IT resources. x Several major projects are in various design stages including a new Public Safety Building and additional public safety video cameras.
Š Due to Pismo Beach’s reputation as a tourist destination, we feel that public safety technology needs will continue to increase.

Recommendations
x Revise complex systems procurement methodologies to expand the use of general contractor-like capabilities, procuring turn-key systems instead of the IT Manager acting as the general contractor.
x Develop training plans for IT staff.
Š Include one week of off-site training per year.
Š Microsoft server administration 2016 training is the recommended priority for the organization.
Š We believe that project management training is important for IT management and business analyst personnel.
x Subscribe to CBT Nuggets for inexpensive online training. Š Review CBT Nuggets usage each year and determine renewal. x As a part of the budget for this plan, we have incorporated an increased use of subject- matter experts to design, procure, and project manage complex IT systems. x Consider adding a third IT staff member if technology related projects continue at the current pace.

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Benefits
x Increased institutional knowledge
x More completed projects
x More effective projects
x Increased anticipation and management of technology upgrades

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