HomeMy WebLinkAboutAgenda Report - February 1, 1984CITY COUNCIL MEETING
FEBRUARY 1, 1984
R11-11 VF OF Fol IcAving a rev iciv of the Infoirvit ion Sys tmis Planning
(XIOTT"m SIZE y Project F4�jx)rt for the City of 1AXIi ns prepared by Ernst
and INhinney, Counci I on vx)t ion of Miyor Pro Tempore Snider.
Reid second, received the subject docunent for fi I ing.
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Ernst &Whinney
January 24, 1984
Mr. Robert H. Holm
Finance Director
City of Lodi
221 West Pine Street
P.U. Box 320
Lodi, California 95241
Dear Mr. Holm:
555 California Street, Suite 3000
San Francisco, California 94104
415/981-8890
We have appreciated the opportunity of working with you, the Management
Information Systems Steering Committee, and the management and staff of
the City of Lodi in and planning for future use of information systems
within the City. The attached project report summarizes the findings and
recommendations derived from our investigation and analysis. We trust it
will provide the Steering Committee and City as a whole with an effective
path for meeting the future information needs at the City.
Questions about the report should be directed to Mr. Tom Ihlenfeldt at
our San Francisco office, (415) 981-8890.
Very truly yours,
4t-�V' "-1�7
EW:J.b:c/lodi
CITY OF IADI
INFORMATION SYSTEMS PLANNING PROJECT REPORT
Table of Contents
EXECUTIVESUMMARY .................................................... 1
THE PURPOSE OF INFORMATION SYSTEMS PLANNING .......................... 5
CURRENT STATUS OF INFORMATION SYSTEMS AT LODI........................ 7
RESULTS OF LANG RANGE PLANNING PROJECT ............................... 11
PROPOSED IMPLEMENTATION ARCHITECTURE ................................. 14
PROPOSED INFORMATION MANAGEMENT ACTIVITIES AND POLICIES .............. 23
PROPOSEDIMPLEMENTATION PLAN ......................................... 30
APPENDICES
CITY OF IDDI
Information Systema Planning Project Report
EXECUTIVE SUMMARY
Ernst 6 Whinney was retained by the City of Lodi to assist in the
development of a long range data }processing plan for the future
implementation of computerized information systems.
This information systems planning process was designed with the following
project objectives:
o To develop a comprehensive list of data processing information needs
of City departments In such a manner that would assist management In
addressing these needs;
o To assess the capability of the City's current information processing
resources to support future application implementation;
o To recommend strategies for implementing future data processing
resources, including data processing, word processing and
microcomputer technology; and
o To assist in creating a common forum in which the informational needs
of the City may be discussed.
Comprehensive long—range planning for information systems is a relatively
new activity within municipal governments. Such planning serves to place
information systems in the proper perspective and helps to assure that
the City's information systems are responsive to the needs of the entire
organization. Planning of computer systems promotes the coordinated
growth of data and word processing and serves to limit inefficiency,
duplication and incompatibility.
The long --range planning project was structured to define the criteria
that should be considered in selecting a systems strategy that can be
expanded to meet the growing information needs of the City. This scope
excluded a specific review of the practicability or cost effectiveness of
department requirements. During the course of our review the following
broad tasks were performed:
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1. Established objectives by determining information needs;
2. Listed planning assumptions by defining unique City characteristics;
3. Identified alternative courses of action in terms of basic
strategies;
4. Evaluated these strategies;
S. Selected the optimum course of action; and
6. Formulated appropriate plans.
The Steering Committee reviewed the results of the needs assessment
process and identified the following priorities from a city-wide
perspective:
o Electric and water SCADA system;
o Electric utility transformer load forecasting;
o Public safety support systems (Police):
- Booking/Crime Analysis System,
- Investigation Case Management System,
- Labor Analysis System,
- Evidence Inventory Syctem, and
- Stolen Property Tracking System;
o City -vide word processing;
o Property iasnagement system;
o Personnel/ payroll system;
o Work order accounting system; and
o Financial modeling (spreadsheet) system.
The efforts of this study concentrated on defining user requirements and
the functional information processing capabilities required to satisfy
them. User requirements were defined without regard to vendor products.
Following the identification of information needs within the departments,
the Steering Committee discussed alternative strategies for implementing
systems to meet the needs. The decisiun processes addressing the
strategies focused upon two main issues important to the Committee:
I. Would the adopted stratc:gi�s pzovide the req,. 'red technology to
Implement user application requirements, and
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2. Would the adopted strategies support the City planning objectives of
making optimal use of current resources and limiting to as low a
level practical ongoing data processing related expenditures.
Among the different basic strategies discussed included:
1. Continued operation of existing data and word processing equipment_
2. Upgrading of existing equipment in the Finance Department to handle
most additional application requirements; word processing and
specialized applications would be split out in a coordinated manner
to dedicated departmental systems as required.
3. Upgrading of existing equipment in the Finance Department to support
all data and word processing applications within the City.
We recommend that the City pursue the second strategy. The fir at
strategy does not provide enough processing capability to support the
high number of potential applications. The third strategy would add a
large overhead burden to the annual City budget, both in terms of
personnel and equipment costs.
In upgrading the City'n existing data processing resources we recommend
that the City stay within the IBM product line which they are currently
using. Specifically, the City should apgrade to an IBM System/36
minicomputer.
As a result of our study, ve also make the following recommendations to
the City:
o The City should select a multiple -user word processing system to be
identified through the Request for Proposal (RFP) process and to be
installed in City Hall.
o The City should adopt a policy of purchasing a standardized '.ine of
mizrocomputer hardware and software to allow distributed support
processing in City departments.
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o The City should maintain an ongoing implementation schedule for data
processing which is subject to ongoing review and update by the
Steering Committee.
o The City should adopt a strategy of purchasing packaged software
applications (e.g., public domain, private vendors) rather than
developing the applications from scratch.
o An additional operator/analyst should be added to the City's Data
Processing staff to support future development activities.
An important output of the planning study is the formation of the
Management Information System (MIS) Steering Committee. While the
Committee was originally conceived as an ad hoc project team to assist in
the planning process, we recommend that it become a permanent and active
group in the future. The Committee should provide leadership in
implementing the long range plan, ris well as in making ongoing
modifications to the plan in the form of new application requirements and
implementation priorities. Through these activities and others, the
Committee provides assurance that new requests and/or acquisitions of
information processing resources is performed from a City-wide
prospective, rather than on a department by department basis.
In order to assist the Steering Committee, we have also recommended
information management guidelines for the following issues:
- Long Range Planning
- Application Development b Acquisition
- Project Management
- Application Maintenance
- Data Processing Administration
- Information Use & Control
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THE PURPOSE OF INFORMATION SYSTEMS PLANNING
Information system planning may be defined as planning for future
systems. More formally, systems planning is "the continuous process of
generating systems projects, allocating resources to the projects, and
controlling the projects." Systems planning is a relatively new activity
within the municipal government community. With computer-based
information and operations, and the growing impnrtance of all types of
planning within municilwal governments, systems planning is becoming more
and more essential.
Systems planning helps put information systems in a proper perspective.
Without proper planning, it is much easier to lose sight of the
supporting role of systems. Systems planning helps assure that the
City's information systems are resaponsive to the most important needs of
the City. This process promotes the coordinated growth of information
systems use and can help avoid costly and inefficient information and
hardware duplication or incompatibility. Finally, long range planning
for information processing helps assure that current systems -related
decisions are compatible with the long-term needs and plans of the City.
Planning for Systema
The definition of systems planning represent3 a different concept from
the systems planning being presently performed. Currently the City's
data processing analyst is involved in planning the details of specific
applications, such as vehicle maintenance, which are to be installed
Immediately. This planning is done on a project-bv-project and
application-lI-spplication basis without major cons i!sration of
interrelationships between projects and systems. Yong ranbe systems
planning is concerned with the planning for future systems, not the
planning of systems. The systems planning function tells the City where
to go, not precisely how tc get there. Systems planning is the
continuous process of evaivatirg applications and potential applications,
of generating new projects, and of implementing and controlling those
projects. it also necessitates periodic review of the systea projects
proposed, those in process, and the systems currently being used.
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Planning is a functional process which:
o identifies changes required for a City government's continuation and
financial viability;
o balances appropriate services with financial and other resources;
o improves forecasting, budgeting, and management capabilities;
o produces the information needed in a .-egulated environment;
o effectively involves the City council;
o continuously addresses immediate and longer range problems;
o integrates community needs, program plans, and financial resources and
requirements; and
o does not create a static plan.
The investment in new systems is extremely large not only in terms of
dollars and time, but perhaps more importantly in the dependency of City
Inputs and outputs upon that system. Therefore, management must not only
ensure that a proposed system has detailed implementation plans and
checkpoints for installation, but they also must assess risk, security
features, and back-up systems for such an installation. Management can
no longer turn the task over to a technically -oriented D.P. manager and
wait for an assessment of results. Management must be intimately
concerned, with all steps from planning through implementation.
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CURRENT STATUS OF INFORMATION SYSTEMS AT LODI
The City of Lodi municipal government serves the community of Lodi
(population 38,300) and surrounding areas. Among the services provided
by the City to the community are utilities (electric, water, sewage,
refuse), police, fire, park and recreationcl programs and a public
library. The City government is organized under a Council -Manager
organization, and currently employs approximately 285 people in nine
different departments. The City's total operating budget during the
1982-83 fiscal year was approximately $27 million.
The City currently utilires several data and word processing resources,
which a distributed throughout several departments. The different
resources and their use are described below.
Finance Department
The Finance Department currently operates an IBM System/34 computer,
which is physically located in a special facility in the basement of City
Hall. The hardware configuration is made up of the following components:
o Central Processing Unit (CPU)
IBM Model 5340-E34
- Main Memory - 128 kilobytes
- On-line fixed disk storage - 63.9 megabytes
- 2D diskette magazine
o Line Printer
Model 5211-02
o On -Line CRT Terminals
Model 5251-11
(One is used as an operator console and is located with the computer
facility; four are used for data entry and inquiry, two being located
in the first floor of City Hall in the utility billing and collection
area, and two be -Ing .located in the accounting area in the baaem ent of
City Hall.)
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The Finance computer currently proceses the following. financial
applications:
o Utility Billing — Over 1,400 reports are generated annually, four
display operations on CRT terminals enable staff to make inquiries as
to customers account status. 17,000 accounts are billed monthly,
which generates approximately $20,000,000 in revenue annually.
o Payroll -- Time cards, and exception reports are keyed in daily on CRT
terminals. 288 full-time employees are paid bi-weekly and, in
addition, seasonal part-time employees checks are also prepared. Nine
bi-weekly reports are generated in addition to withholding statements
at the end of the year.
o Business Licenses — Over 2,500 business licenses are maintained and
annual renewals are processed.
o Accounts Payable — Checks are prepared on a weekly batch basis and
accounting data and history files for all cash disbursements are
maintained. Six reports are generated with each batch of invoices.
o General Accounting -- Revenue subsidiary ledgers, expenditure and
appropriation subsidiary ledgers and general ledgers are maintained.
All accounting data flow through these files and reports generated on
a monthly basis.
The Data Processing section of the Finance Department supports the
computer and operates under an annual. budget of approximately $85,000.
The section is staffed as indicated below.
o Data Processing Manager, who reports directly to the Finance Director
and performs the following functions:
computer operations (40X),
- application maintenance (50X), and
- application development (101).
o Computer operator.
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The City is currently in the final year of a purchase agreement with IBM
for the computer and related peripherals. The equipment is currently
being serviced by IBM under a single -year maintenance agreement.
Public Works Department
The Public Works Department recently purchased a Hewlett-Packard
nicrocomputer, which is located in the engineering offices on the second
floor of City Hall, to provide general engineering support for the
department. The system is made up of the following components:
o Hewlett-Packard 86B microcomputer, and
o Epson M:(-100 dot matrix printer with Graftex.
Currently the computer is used to support scientific calculation and
simple graphing applications within Public Works -Engineering.
Word Processing
The City currently owns two "Display -Writer" standalone word processing
units from IBM Corporation. Each unit is configured with a separate
workstation and printer. One unit is located in the City administrative
area on the second floor of City Hall, and is shared primarily by the
City Attorney and City Clerk offices. The second unit is located in the
basement of City Hall and is shared by the Finance, Public Works anJ
Community Development departments. Several City employees are trained in
operating the Displaywriter equipment.
Police Department
The Police Department currently rents access time on San Joaquin County
computers, located in Stockton, California, using three ADM terminals
located in the Public Safety building. The terminals are used primarily
to access to the Canlis and CLETS systems. In addition, police labor
distribution and case reporting applications are processed by the County
for the department.
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Additional Departnents
Two other departments in the City are utilizing data processing equipment
in daily operations, although the equipment is owned by department
omployees instead of the City. The Fire Department currently uses an
Apple II microcomp%iter to track the status of the building inspections
they perform. The Electric Utility utilises a Radio Shack TRS -80
microcomputer to perform inventory control at the Electric Utility
warehouse, as well as to perform scientific calculations. Application
maintenance and operations support ir provided by individuals within each
of the departments.
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RESULTS OF LONG RANGE PLANNING PROJECT
Ernst 6 Whinney was ietained by the City of Lodi to direct this planning
process. We prepared a departmental survey form and conducted interviews
with department managers and key aspartment personnel to define perceived
information requirements. These needs were documented for each
department in the form of possible applications In a requirements
document (Appendix A). This information was reviewed by Steering
Coomittee representatives before being distributed to ail department
managers.
Each department was requested to review their own contribution to the
project and provide corrections and additions as necessary. The
departments then evaluated each of the potential systems (possible
applications) in relation to the urgency of the needs and the benefits
perceived. The departments assigned priorities to each of their
potential systems based on a three-level prioritisation scheme. An
Application/Priority Matrix (Appendix B) was developed to summarize the
different departments ratings of their systems, grouping applications
Into those that are perceived as critical, those perceived as desirable
with some possible payback, and those perceived as desirable but without
an easily quantifiable payback to the City.
Die to the relatively high number of applications rated in the critical
group the Steering Committee further prioritized these items to help
arrive at an implementation schedule. The non-critical items (levels B,
C, 6 U in Appendix B) were not further prioritized due to the unusually
high number of critical applications which needed to be addressed first.
The rating by the Steering Committee was designed to assess which
potential information systems were of most importance to the City. In
general, the Steering Committee did not question the priorities as
assigned by the department managers, but did consider the following
issues with the assistance of Ernst 6 Whinney consultants:
- Functional relationships between applications,
- City priorities, and
- Sophisticstion of technology required.
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Phis process recognized that the potential systems were not totally
independent and that an overall strategy must be developed.
Anticipated CitZRegarements
As a result of the requirements analysis performed within City
departments and our review of existing City resources, we identified the
following issues that the City will need to address in implementing
future information processing resources:
o Application needs, as identified in the Requirements Outline (4pendix
A) and the Application/Priority Matrix (Appendix B).
o Need for expanded processor capability. In order to start
Implementing the applications identified in the proposed
Implementation Schedule, the City will need additional processing
capability in the Finance computer. The current computer resources
within the Finance Department have the capability to support a modest
expansion of processing capability through an upgrading of the
System/34 computer. It is unlikely, however, that even with such
expansion the computer could sty; pert the significant increase in
on-line terminal activity and expanded batch applications that will
result from implementing the applications described in Exhibits A and
B.
Experience of IBM customers has shown that IBM System/34's normally
operate well in either a batch or on-line environment, but not both at
the same time. This potential drawback is inherent in the design of
the computer itself. The City has already experienced the effects of
this problem when they have tried to perform on-11ne inquiries into
files that are being used by data processing - computer response is
poor. In order to address these. problems, IBM has developed the
System/36 computer.
An,,yl--r reason the City should consider upgrading to an IBM System/36
hat IBM's strategy appears to be steering customers towards this
syst•,m. It is reflected in the price of the machine -- a nex' 'I.-stem/36
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costs about as much as a new System/34, and in support - IBM charges
about 30% more in annual maintenance fees for a System/34. It is
likely that the support for System/34 will become more and more
expensive in the future vs IBM upgrades its customers to System/35's.
Appendix J contains a cost comparison between upgrading the current
System/34 versus acquiring a new System/36.
o Need for expanded personnel resources. The current da -La processing
staff will not be able to adequately support the future expanded
environment anticipated by the departmental requirements. Currently
almost 100% of total Data Processing staff time is spent on program
maintenance and operations. We expect that at least 50% of the
staff's time is necessary to implement the proposed applications
(without that percentage of time, it is unlikely that there will he
much commitment to developing applications.) A greater percentage of
time will be needed if Lodi decides to develop the new applications
in-house. This dictates the need for additional staffing.
o Need for an ongoing MIS Steering Committee, with broad departmental
representation, to provide oversight and guidance in the development
and use of information within the City of Lodi. The role that the
Steering Committee should play is documented in the "Proposed
Information Management Activities and Policies" section of this
report.
In addition to the Applications listed above, the following City
departments requested on-line access to : N -oration in the Finance
Department computer (see Appendix A). They are therefore candidates for
additional computer terminal "hookups" in the next few years:
Fire Department (all stations),
Police Department,
Community Development,
Puolic Works (MSC) ,
Park and Recreation (Stockton Street),
City administration (including Personnel Manager), and
Electric Utility (MSC) .
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PROrUSED IMPLEMENTATION ARCHITECTURE
The purpose of an implementation architecture for information processing
Ls to assure that both the current and future implications of decisions
made today are understood and planned for. The architecture provides a
blueprint of how the City's automated information processing systems will
fit into a multi -faceted yet cohesive organization. Just as different
departments within the City have their own individual ways of operating,
differing information needs will have somewhat unique ways of being
fulfilled. For instance, some applications will best be implemented on a
central computer as a custom develgpment effort while others will be most
effectively implemented on a microcomputer within the individual
department. And just as the City has built into its operations an
overall infrastructure to tie all the departments together (such as the
budgeting process), the implementation architecture for information
systems should tie the different methods of processing together.
The implementAtion architecture is considered the overall atrateg y that
the organization wishes to pursue for the use of computer systema. It is
determined and reaffirmed as a part of the ongoing planning process and
is enforced and adhered to through the different policies and procedures
followed by the City to develop or acquire applications.
The City hes already recognized the complications that can enter into
Information processing decisions if an architecture is not well
determined, such as the problem of integrating data bases from computers
made by more than one company. Beyond solving such problems that could
occur, defining an architecture adds several possible advantages to the
Information systems process, such as:
o Economies of scale in computer resource acquisition,
o Reduced personnel resource needed to operate and support computer
systems, and
o Easier expandability of resources.
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Proposed Strategies for Lodi
As a municipal governing body, the ongoing planning and decision
processes at the City of Lodi are largely formed by a combination of
federal and state government entities and a changing local constituanc y.
In such an environment it is somewhat difficult to establish a
comprehensive and definitive strategy to guide the management of
resources, including information. Therefore the success of the
strategies noted below in guiding the City are very much dependent on the
ongoing planning and review activity carried out by the Steering
Committee.
The strategies (and the related implementation schedules) allow for a
good deal of flexibility in adapting to the many anticipated and
unanticipated changes that may occur at Lodi. Without the ongoing
overview of the Steering Committee, however, the effective development of
information systems within the broad guidelines of these strwtegies
cannot occur. An underlying basis of all these strategies, then, is the
strong role that the Steering Committee will play in implementing and
revising the strategies.
The City of Lodi has already established the following objectives in
developing information processing strategies:
o To make use of existing data and word processing resources to the
extent possible in implementing new applications and strategies. To
date, the City has made a significant investment in data and word
processing resources. In addition, they have spent resources to hire
knowledgable staff to support the computer and to train Cit? employees
in the use of data and word processing systema. While thane existing
investments have already paid off, the project was oriented towards
not eliminating this investment by "starting from scratch" with
different vendors products;
o To strive for standardisation of data and word processing resources
throughout the Cliy de,,artments. A common problem facing many
organizations who make use of computerised proce;:sing systems is
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having multiple vendor environments. This means utilizing equipment
or software from several different computer vendors within the single
environment. This situation leads to several potential and often very
real problems including:
- Inability to share data between multiple applications, leading to
duplication of information on file. Like any manual system where
data is duplicated, multiple computer files of the same information
can often fall out of synchronization, so the data in one location
is different than the "same" piece of data in another location.
Also, like manual systems, duplicated data in computer systems
leads to duplicated procedures for processing the data and requires
additional storage facilities, which ends up costing the City
additional resources;
- Multiple vendor equipment and software means multiple vendor
support. Each piece of equipment or application software is
supported by a different vendor, resulting in the City having to
rely on several different companies. Invariably this situation
leads to arguments between vendors as to whose product failed
(e.g., if the payroll application stops running, is the probleaa
that made needs to be fixed one in the computer equipment, the
application software, the system software. the data format, or in
operator procedures?). The more variables that exist, the more
difficult it becomes for the City to receive a quick, satisfactory
resolution of the problem; and
- Single vendor solutions also open the possibility of vclurae
discounts to the City; so, buying ten pieces of equipment such as
microcomputers from a single vendor can cost less than buying the
equipment from two or more different vendors.
Computer resource standardization, or moving towards an environment
where equipment and software are designed to interact naturally and be
supported by a single vendor or related vendors, will minimize the
opportunity for the above mentioned problems to occur. This does not
mean that a single vendor will always provide the optimal solution to
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the City's needs, but standardization must become a conscious factor
in selecting systems.
o To control the distribution of information and informltion processing
resources throughout the dliferent departments. As mentioned,
uncontrolled duplication of data, evidenced by uncontrolled dispersion
of information processing resources, will lead to higher system costs
to the City and possibly could cause data to become inaccurate and
inconsistent. This in turn could cause management decisions to be
based on "bad" information. Controlling the distribution of resources
throughout City departments should reduce the opportunity for such
problems to occur; and
o To include cooperative representation from throughout the government,
In implementing information proceatsing systems. The City has already
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identified a great interest among all departments to take advantage of
automated processing systems, such as data and word processing.
However, limited resources within the City dictate that departmental
needs be filled gradually, rather than all at once. In order to
eliminate, or at least reduce, dissention between departments, it is
important that the planning and implementation of new systems be
performed from a City—wide perspective, with departments viewing
resources as "City" resources rather than "their department's"
resources. One of the most common reasons for system efforts failing
is not that a system didn't work or was not well planned for, but t€hat
it was not accepted by top management and/or the operating
departments. A cooperative City effort would reduce the chance of
this problem occuring.
The proposed system architecture and strategies, as well as the
recommendations in this report as a whole, are designed to fulfill
these objectives.
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For the benefit of easier understanding, the strategies have been split
Into two distinct parts -- word processing and data processing. This
seems appropriate given the resources currently possessed by the City,
the current information needs of the City, and the technologies likely to
be available to the City to fulfill thou a needs.
In addition, implementation practices for several "general" strategies
are proposed for adoption by the City. Some are outlined in the
-Proposed Information Management Activities and Policies" section of this
report. Others are included in the proposed guidelines included in the
appendices of this report. Most are related to the implementation of the
Information systems plan and the Steering Committee's specific role In
It. These strategies are not repeated below.
Word Processing Strategies
The City should pursue implementation of an integrated word processing
system to serve the entire City. Integration is meant to provide common
application software and common data formatq to allow sharing of word
processing files between different physical workstations (e.g.,
departments). Integration will also allow the City to take advantage of
economies in training employees in use of the system and sharing
personnel between departments.
We recommend the proposed word processing system be implemented in the
following manner:
1. Identify the specific needs of the different departments which
require word processing capability. These needs should focus on
particular features of the word processing system. Such items
Identified during the study include:
- The system should include an adequate level of vender training and
on-site support,
- The system should allow physical workstations to be installed at
all secretarial desks within City Hall,
- System should be able to share data with the IBM Displaywriters
owned by the City,
- System should allow for step by step expansion to some day be
available to all departments, and
- The system should be able to operate in both a distributed word
processing environment or a centralized word processing
"production shop" environment.
Though no particular need was expressed to us during the study, the
City might also investigate systems that could provide other "office
automation" functions besides word processing, such i.s personal
calendars.
2. Develop a Request for Proposal (RFP) describing the City's needs and
an RFP questionnaire to allow the vendors to specifically respond to
those needs in their proposals. (See Appendix E for more details on
the RFP process.)
3. Evaluate vendor proposals and RFP questionnaires, attend
demonstrations, make reference calls, and ®elect a system.
Installation should begin in the first floor of City Hall (Finance,
Public Works, Community Development) . When these areas are
installed, the IBM Displaywriter currently located in the basement
can be moved to the city administration area so both Displaywricer
systems are available to the administration departments (City
Manager, City Attorney, City Clerk).
It may be possible that some of the integrated office systems, including
word processing, could be placed on the IBM System/36. Our experience is
that word processing in general is high utilization system - it tends to
"hog" computer resources. For this reason we recommend that if the City
would like to integrate word processing with this data processing system
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they do so through the use of file -sharing programs. (A good source on
how to do this Would be the City's IBM customer service representative.I
This could be a system requirement specified in the RFP.
Based on the previously mentioned requirements it is likely that the City
will be looking for a multi -terminal, shared logic system. While the RFP
process should drive the acquisition process, systems that fit into this
category are produced by:
o IBM (5520 system - this is most likely the best system for
integrating with the Displaywtiters and System/36);
o NBI (OASys 64); and
o Wang (OIS).
Data Processing Strategies
o The City should attempt to centralize data processing resource -related
activities to the degree possible. Applications should be implemented
on a "single data base" concept. This concept allows that a single
set of information be maintained by the City and that it be created
and used by the different applications. We recommend the data base be
located primarily on the single, centralized computer located
currently in the Finance Department. Pieces of the data base could be
located on other smaller computers in different departments as
appropriate, as long as the computers will share data easily with the
centralized computer and the arrangement is not inconsistent with the
single data base concept.
(Note - the advantages of such centralization to Lodi include:
- Economies of scale in hardware and software;
- Improved efficiency in systems development and programming;
- Better control of operations, standards and data;
- Greater growth and expansion of CPU, I/O devices, and peripheral
devices;
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- More efficient usage of magnetic tape storage, data bases, and data
base management software;
- Improved total compatibility, thereby allowing for tighter control
and security; and
- Reduction in u uplication of effort.)
It is likely that situations will occur where a specialized system is
needed which inherently cannot be integrated with the centralized
computer (such as the electrical and water SCADA system). In euc h a
situation, the City should consider the effect of the distributed
system on the centralized data base and take an appropriate action
(e.g., if a distributed system maintains data which duplicates that
maintained on the centralized computer system, the City should enact is
control such as daily file balancing to assure that the two seta of
data remain consistent.)
o The Finance Department will continue their investment in IBM's
mid-sized line of minicomputer systems (IBM Systems 34, 36 and 38) for
future expansion purposes. This allows maximization of current
investments and is consistent with the City's desire to minimize
ongoing data processing support costs. These computers are IBM's
products for users who need enough computer power to run a mid-sized
organization without the need for a large data processing staff. In
addition, these systen.s collectively have one of the largest
min(computer user bases, so they will tend to have a greater number of
software products available to them (including public domain) and have
a greater availability of equipment and program support than other
comparably -sized systems from other vendors.
o The City should adopt a pol icy of purchasing and distributing a
standardized line of microcomputer hardware and software to allow
distributed support processing in City departments. (Mora detailed
recommendations on this point are documented in Appendix I.)
�1
o The City should maintain an ongoing implementation schedule for data
processing activities and this schedule will be subject to ongoing
review and update, on not less than a quarterly basis, by the Steerins
Committee. The schedule should also be communicated to th*
departments. The purpose of the schedule -ould be to foster
communication and interaction between departments regarding City
Investments in data processing resources. This, in turn, should lead
to a higher degree of understanding and cooperation among departments
In implementing information processing systema.
o The City should attempt to fulfill application needs through
acquisition of and minor modification to existing systems (public
domain, private vendor) rather than through in-house or contract
development. The overall trend in data processing today is one of
finding developed and tested products to fill application needs rather
than developing them from scratch. This is because in almost every
case purchasing the software will result in lower costs than the
developing it. If a package does not exactly fit the City's
particular needs in certain areas, and such a fit is necessary and
cost justified, then modifications can be made to the package to
"customize" it. Lc,di, with an IBM System/36 computer, has an
advantage in purchasing packages as it can utilize one of the larges[
market bases of packaged software for minicomputers.
22
PROPOSED INFORMATION MANAGEMENT
ACTIVITIES AND POLICIES
A,s many exparts have noted the 1980's is ushering in the "information
age." Increasingly organizations are recognizing that good information in
at vital key to th-:ir success, much like good personnel. Information is.
Leing considered an organizational asset, Which needs to be managed much
like cash or equipment in order to help the organization prosper. The
City o: Lodi has recognized the growing need to control the information
asset as evidenced by their undertaking of this planning project.
The different activities and proposed policies listed below are issues
that the City needs to address if they are to effectively manage their
Information. The detailed instructions are Ernst b Whinney's
recommendations based on the f'_ndings of the planning study and our
experience at a myriad of other organizations. While the Citi may choose
to modify the suggestions, they should at least. be sure that each of the
gAneral areas are addressed.
Role of the SteerinR Committee
It is our understanding that the Steering Committee participating in the.
planning study is ar. ad hoc committee which would be dissolved following
the study's completion.. We recommend that the Steering Committee be
established as a forma, management committee that reports directly to
the City Manager. The City government operates ir. a constantly changing
environment. In order to provide a satisfactory level of service, the
City must respond to thea changing enviraument by changing itself . In
order to do so at minimum cost, the City needs to constantly evaluate the
effect of change on existing information systems and plan future actions
accordingly. This in turn necessitates the development of City policies
to guide MIS activity in the City and a City management -level
organization, such as the Steering Committee, to bring it to life. (More
general information about why steering committees are formed and what
they do is contained in Appendix C).
23
The basic role of the Steering Committee is to oversee the City's
investment in data ana word processing resources. In this role the
Committee would not usurp the responsibilities of the City Manager, Data
Processing Manager or other department heads. Rather they would act as
an arm of the City Manager function in applying a City-wide perspective
to MIS activity. It is important to note that this is an advisory role
and not a regular, operational function within the City. As is apparent
In the ideas that follow, the primary action that the Committee should
take is to address items brought to its attention by departments or Data
Processing - the Committee themselves would not be responsible, for
instance, for identifying and justifying new applications or determining
the effect of a new application on the performance of existing systems.
Rather these tasks should be completed by the initiating department, who
submits therm to the Steering Committee for approval, with the assistance
of Data Processing.
Information Management Functions
In any organization there are several basic MIS management functions
which need to be performed, including:
o Long range planning
o Application Development/Acquisition
o Application Maintenance
o Data processing departmental administration (including budget
projections)
The City of Lodi is no exception. In order to successfully implement
management information systems in the City the Steering Committee must
assure that these management items are properly addressed. We recommend
that the City develop policies and procedures in each of the above areas
to manage future MIS resource investment. The policies and procedures
should address the different issues as noted below:
Long Range Planning. Planning the acquisition or development of systems
required to meet the City's current and future information needs is one
of the Committee's most ir.portant responsibilities. Development of a
completely updated systems plan (using 'he existing plan as a starting
24
point) should be a maior activity for the Project Committee every year.
In order to stay useful during the interim, the plan should be
reevaluated and updated annually. This annual effort should include
revising scheduled projects as necessary and reassessing the underlying
Information needs, management priorities, and system costs and
availabilities.
N termination of information needs should be performed through a survej
process, much the same as was performed for this planning study. Some
needs previously expressed by departments but not yet implemented will
exist, and these items should be communicated back to the departments for
confirmation that they are still needed. Management priorities should be
set based on the city -vide needs expressed by the Steering Committee, the
justifications presented by each individual department, and technical
issues as addressed by the Data Processing Manager. In setting/ revising
priorities one ground rule should be established and adheres to:
Projects in process stay in process until complete or completely
abandoned.
When projects in the midst of development are so dropped for "higher"
priorities, the time spent developing them are invariably lost - it is
almost impossible to return to projects with the same level of
understanding or progress. The more this rule is broken, the less
importance that planning is since priorities as established will no
longer carry any weight.
After the basic priorities have been established, the Data Processing
department should propose a plan for implementing the applications. This
plan would then be approved by the Steering Committee and would serve us
the ongoi,.g basis for departmental budgeting.
Application Development/Acquisition. After projects have been
incorporated into an approved long-range plan, steps must be taken by
Data Processing to implement the projects. In addition, several other
25
projects may come up which were not appropriately considered during the
planning process. In either case the Steering Committee and Data
Processing must act together to determine project implementation plans
and, if necessary, to determine where the project fits in the City' a
overall plan.
NEw projccts which need to be merged into the City'a plan, if not in al l
cases, will usually be initiated by user departments and Data Processing.
Typically a request for new applications should be accompanied by the
following information which is provided by the user department and Data
Processing:
o An accurate design of system requirements has been documented,
o Alternatives for implementing the system have been considered, and
o Costs and benefits assortated with the system have been evaluated and
a justification for the system has been establiahed.
?hese items would then be reviewed by the Data Processing, who would make
a recomme►:dation au to how the application would be implemented and where
it will fit in the schedule. This solution would then be presented to
the Steering Committee for approval. The role of the Committee here is
not to "redo" the background research already performed by the user
department and Data Processing. Rather, the Steering Committee should
focus on the following issues:
o Docs the department's system design fit into the overall architecture
of the City (e.g., if it is a microcooputer based system, does it run
on hardware/software that falls in line with the microcomputer
acquisition policy)? If 1: does not fit, has a reasonable
justification for the departure been documented?
o Has the requested system's effect upon the planned or existing City
data base been considered (a.g., does the data processing and storage
in the requested system duplicate data beinS maintained by existing
systems)?
26
o Can the City make use of an alternative implementation strategy than
that proposed in the system request, which is consistent with
City-wide objectives and will benefit the department? The Committee
is in an excellent position to suggest alternative implementation
methods that would benefit the department and the City as a whole.)
These issues should all be discussed with representation of the user
department and Data Processing present, so the approval process is
quick. (This in turn should reflect favorably on the Steering
Committee's role in MIS management.)
In setting priorities for new projects the Steering ComWiL:ee should
consider adopting the recommendation of Data Processing. In addition,
when a determination of priority has been made the appropriate user
department should be allowed to discuss the determination. It may be
that as a result of discussion between the Committee, the department and
Data Processing. an alternative implementation strategy is developed .
This might be based on the inappropriateness of the priority for the
department or some other issue. Such action would also foster an
environment of ongoing trust between departments and the Steering
Committee. Finally, the Committee should consider two other "rules" when
evaluating suggested priorities. First, the "squeaky wheel" principle is
s relevant and commonly used method of setring priorities. Whether the
City plans on considering this method or not, it will probably occur .
Second, the rule stated earlier regarding projects in process should be
adhered to.
Project Management. Once a project is scheduled and is ready to begin,
it is important that it be monitored to assure that deadlines are
established and met, and that the anticipated results are being achieved.
Project task forces, which would be wade up of representatives from Data
Processing, the user department(s) and the Steering Committee, would be
the most effective method of managing projects. The purpose of the Data
Processing and user personnel is self-evident -- to develop and Implement
the required system. The Steering Committee representative would play
twr roles. First, they are a representative of the MIS Steering
27
Committee and would carry out the Committee's responsibilities of
overseeing the use of MIS resources in the City. Primarily this is a
watch dog role to assure that projects are completed as planned. Second ,
the Committee has important responsibilities in certain problem -solving
a-eas. These Include:
o determining how to overcome delays in projects,
o resolving disagreements over system design concepts,
o expediting management or operating department approval of recommended
designs and,
o clearing away roadblocks for successful completion of each project.
Application Maintenance. Once an application is placed into production
It is important that it is kept in good working condition. Due to
changes in the application's required functions, as well as changes in
the EDP environment that affect the application, a certain amount of
maintenance will be required. This maintenance activity should represent
about 50% of Data Processing's non-operating resources (new development
would take up the remaining 50X). We recommend that the Data Processing
Manager have full discretion of how to allocate the 50% of time related
to maintenance (maintenance priorities, etc.) The Steering Committee' s
entire role in maintenance process would then be as a resource for Data
Processing to call upon, much like their role in project management.
Data Processing Administration. While the MIS Steering Committee will
play a key role in overseeing data processing investment within the City,
they should not try to fulfill the role of Data Processing Manager.
Besides not being qualified, they will make quick enemies of Data
Processing. Rather, the Committee should be involved in approving plans
developed by the Data Processing Manager regarding such items as staffing
requirements or equipment utilization. Naturally, the Committee's
primary concern will be whether the proposed activity is in concert with
City-wide goals and plans.
Information Use 6 Control. The MIS Steering Committee should have the
overall responsibility for assurin, that the City's MIS resources are
being adequately safeguarded and so used to provide maximum benefit to
the City. Part of the control function that the Steering Committee
should fulfill involves evaluating the resource utilization aspect of
ongoing information processing operations. In so doing. the Committee
should be responsible for ensuring that data processing resources are
effectively utilized and evaluating alternative future systems projects
in recognition of their impact on existing systems and data processing
resources.
Mother control function the Steering Committee should fulfill involves
establishing control policies and evaluating the adequacy of existing
Internal controls. These include controls over the integrity and
confidentiality of information, and controls over the City's systems and
information processing operations. These control issues will assume
broader importance as systems usage expands into more of the line
functions of the City and is of major concern to managers.
29
PROPOSED IMPLEMENTATION PLAN
The proposed plan describes and schedules a series of projects necessary
to evaluate and install the needed systems. The plan also includes
scheduled re—evaluations by City personnel to ensure that it remains a
viable tool for controlling systems activities. In order to remain
useful, the plan must be updated as projects are considered and
undertaken, and the assumptions upon which the plan is based must be
periodically reviewed and reaffirmed.
The plan represents more than just a "wish list" of departmental
application requirements. The future of information processing at the
City of Lodi is based to a great degree on decisions made today relating
to hardware, organisation and personnel strategies. And the adoption of
these strategies is primarily a function of the City's perception of what:
Information processing should be and how it should serve the City, now
and in the future. These strategy decisions made to dace are
Incorporated into the plan itself, and are reflected in the
Implementation Schedule.
It ig to;,ortant to note that the proposal plan includes severg2
"preliminary activities" that the Steering Committee and City need to
address. These activities address preparing the plan that will be
adopted and issued by the Steering Committee itself. While Ernst b
Whinney has provided technical and project assistance to the Steering
Committee in developing the proposed plan, the City itself must adopt and
issue the plan for it to be successful. Without top management support
in implementing the plan, which includes ongoing review and update, the
planning document itself is worthless.
Beyond Steering Committee activities, the plan becomes a schedule of
projects that the City should perform in order to meet their departmental
application requirements and implement the adopted architecture and
strategies. In general, the projects are defined to include an initial
evaluation or design phase and a possible subsequent installation phase.
In the case of syateme anticipated to be obtained from available vendors,
the evaluation phase would inc:ude the determination of specific
30
requirements, the preparation of a detailed request for proposal, a
structured comparison of vendor alternatives, selection of the best
available alternative, a cost/benefit analysis of the system
installation, and negotiation of a contract for the chosen system. For
systems envisioned to be developed by the City the initial design phase
would include determination of specific requirements, the development of
a preliminary design, the determination of equipment requirements, and a
cost/benefit analysis of the system installation. It is expected that
each circumstance will require different degrees of ana:.ysis and have
differ,ng implementation tasks. These should be determined in the
initial evaluation phase through a feasibility study process.
The Implementation Schedule that follows is divided into several parts.
First, several tasks are listed that address General Implementation
issues. These items are important for the ongoing support of data
processing by the Steering Committee. Second, a schedule for data
processing resource implementation exists. This schedule addresses the
various application and equipment requirements identified through the
department survey and prioritized by the Steering Committee. Third, a
Standard Implementation Cycle exists, as was noted in the previous
paragraph. This cycle is a "cookbook" of procedures which the Steering
Committee should consider when evaluating projects. Circumstances should
dictate which steps to perform and which not to perform. Hord
process'ng, which is separate from the data processing applications but a
high priority nonetheless, should be implemented according to the
Standard Implementation Cycle. He recommend that after word proce9sing
detailed requirements are identified, the City utilise a Request for
Proposal approach to implementing the word processing strategy.
31
GENERAL IMPLEMENTATION TASKS
Task Assigned
I. Adopt a HIS Plan (one-time)
A. Review Consultants Report Steering Comm.
B. Refine Implementation Strategies and Schedule Steering Comm.
C. Adopt a HIS Steering Committee Charter Steering Comm.
D. Final draft and publishing of Long Range Steering Comm.
MIS plan
E. Presentation of Project Findings to Steering Cocom.
Departmental Managers
F. Approval of system strategy and plan City Management
II. Establish Necessary Budget Requests
(NOTE: Tasks should tie the Steering Steering Comm.
Committee activities into the
City's ongoing budgeting process.)
III. Update of Long Range Plan (on-going, annually)
A. Determine changes in planning environment Steering Comm.
B. Review implementation progress on to -date
projections
C. Develop updated information re4uirements Stee,-A ng Comm./
Departments
D. Rate application priorities Steering Cc am./
Departments
E. Project revised implementation schedule Steering Comm./
Data Processing
F. Approval of revised plan Steering Comm./
City Mgmt.
32
DANA PPDCFSSDG IFVMEf=CN SaEXJIE
Priority
-matrix Implementation
Number Application Stretl► Associated Tasks
Vehic-le 4ost Finance computer --
Syst,m1
A18, ZO S":,AM (water Dedicated processor o RFP submission
and electric) in MBC/substation o Proposal evaluation
o Site preparation
o bgleoentation b training
Al 7. 19 load Fbrmmtirg Microcomputers in o Microcomputer policy
(spreadsheet) departments o M,:r000mputer (at large)
feasibility study and
selection of standard
hardware/software
o Microcomputer iastalla-
tions
- Utility - Substation
- Utility - City hall
- R,blic marks - City Hall
- Admin. - City Mali
-- System/36 Conversion Finwrce computer
- Conversion Plan o identification of all RPG,
OCL and data file data sets
(use of packaged son, -.,ane
like Documint might help)
o identification of differences
that must be accounted fur
between IEM! Systems 34 and 36
o identify current and future
processing schedules and select
a time frame fvr system charge -
over. Prepay* a user department
notification scheme
o Identification of eaiversion
steps at related axwersion
cantrola
- Site Preparation o Determine adegkaacy of square
( in conjunction footage
vi!h D" o Review area for potential ha=nds
o Review a►dtability for fire
protection, rdrirg, power instanlla-
tiou, air conditioning
o Determine acrd plan bor installi.rg
additional site requirements related
to reconstruction
1 Application was in development at the time the planning study eammece3.
33
/
Priority
Matrix Implementation
Number rplication Strategy Associated Tasks
- Progran/Data o Deternine " schedule any
Conversion -necessary program code and
data conversions
o Perform code and data conversions
o Perform acceptance tenting of atm
and data conversions
o Prepare docrmentation of scheduled
and performed conversions art+ results
of acceptance testing process
- &?Apsent o Rrform conversion and acceptance
Conversion testing
- Personnel, c Identify additional staffing for
Preparation Systw/36 opnratio i'mrnintenwa-ce/
analysis
o Schedule additional training for
all Jeta processing personnel and
selected users
o Partin ipRLe in training
Al2 - 16 Police Systems kmance computer/
o Standa.•ti S14ilicstion implementation
- Booking and Crime Microcotsq=er in
cycle (attached)
Analysis department(to be
o install on-line terminals/micro-
- Investigation Case detecmined)2
eompiters Mtthin Police Department
Management
- Department tabor
Anal ys is
- Evidence Inventory
System
- Stol n Property 'Drank-
ing System
A3, 7 Property Management Finance computer
o Standard implenentatioa cycle
System
(attached)
o Install ore -line cenmin$1s in
- C=wxdty Development
- Public Works ftinseri%
- F.re
departaments
_
A3 Personnel System Fijwce computer
o S*.endani Implementation cycle
o Installation of terminal in City
A&Unistrat ion (Personnel Misnagrer )
a:
2 While it is u�likaly that the primary �duie of this
system, Booidrg and Crime Analysis, Mould
+effectively bre implemented on a micro, the following modules oa►Ld be placed on a standalone
micro(s): Investigation Case Mmiagebmt, Departmernt labor Analysis, Evidence Laboratory :jvstem
and Stolen Property Mwking System.
34
DATA PROCESSIM I)VU2421IMIM SCH UIE
Priority
Matrix Implementation
iNmaber Application Strategy Associated Tasks
- irogr=v Data o Determine and schedule any
Conversion neceeaary program code ad
data cmwersians
o Perform code and data conversions
o Perform acceptance testing of code
and data conversions
o Prepare documentation of scheduled
and perfon ued conversions and rearits
of acceptance testing process
- Equipment o Perform conversion and acceptance
Conversion testing
- Personnel o Identify additional staffing for
Preparation System/36 operation/maintenance/
analysis
o 9chedule additia_ " gaining for
all data processing personnel and
selected users
o Participate in training
Al2 - 16 Police Systems
Firmice computer/
o Standard application implementation
- Booking and Crime
Microcomputer in
cycle (attached)
Analysis
department(to be
o Install of -line terminals/micro-
- Investigation Case
determined)
computers within Police Department
Maffteme nt
- Department tabor
:analysis
- Evidence lnventory
system
- Stolen Property Track-
ing system
AS, 7 Property Idannageaent
Firma -ace computer
o Standard implementation cycle
System
(attached)
o Install on -Eine terminals in
- Ccrosonity DevelMunt
- Public Writs Pt>g innsering
- Fire
departments
A3 Personnel System
Finance oamputer
o Standard Implementation cycle
o Instal lat ion of terminal in City
Admi "t,-ation (Personnel Manager)
2 Virile it is unlikely timt the primary module of d -Lis system, Booking and Crime Analysis, would
effectively be implemented on a micro, the following modules could be placed on a standalone
lnnveestigatinn Case Managauent, DepRrtmesnt laiunr Analysts, Fxidence laboratory system
and Stolen Property Tracking Sys tem .
34
Note: Additional application requirements were included in Appendices A& 8 that are not addressed
in the above schedule. These additional items were not considered critical by the Steering
Comauittee and depsrments, and are needed oo a lesser degree limn dw critical iteme listed
above. Thus tte additional items sivuld be included in upcoming plan reviews and revisions.
Al ter nat ivel y, they could be inserted into the above schedule as determined by the Steering
Caami'tee.
35
DATA iFOCESSM Dflii'fi\MlM
SCHEDtNs:
Priority
Matrix
bmpdementation
Number
A Station
Strategy
Associated Tasks
A10
Mork Wer
Finance computer
o Standard implemartat_ion cycle
Accounting System
o Install on -lima tendnals in Public
Works/Utility QW) and Parks 6
Recreation (Stockton Street)
Ali
Document Indexing
Finance eanputer/
o Standard Lmplemmution cycle
System
micr3conputer in
deparmi nt (to be
determined)
A9
Fhcillty Scheduling
Mcrao=puter in
o Standard implementation cycle
MAel
department
A6
ilbrary Circulation
Dedicated omputer
o Standard implementation cycle
system
located in tine
library
AS, 21
Vehicle (Fquipamant
Finance computer
o Standard Implementation cycle
'Maintenance 6 Fuel
im►entnry 9yst:em)
Note: Additional application requirements were included in Appendices A& 8 that are not addressed
in the above schedule. These additional items were not considered critical by the Steering
Comauittee and depsrments, and are needed oo a lesser degree limn dw critical iteme listed
above. Thus tte additional items sivuld be included in upcoming plan reviews and revisions.
Al ter nat ivel y, they could be inserted into the above schedule as determined by the Steering
Caami'tee.
35
STANDARD APPLICATION IMPLEMENTATION CYCLE
The Steering Coraaittee represents the group by the same name Which is
described elgdwhere in this report. The Task Force is a special team of
people assigned to work on a single project. As noted earlier, it is
best if the Steering Committee is represented on the Task Force. At a
minimum the Task Force should report directly to the Steering Committee.
Data Processing refers to employees within the Data Processing section of
the Finance Department.
Task Assigned
Phase 1 - Initial Evaluation
1. Define the application systems project Department/
Data
Processing
2. Identify problems in existing functional areas Department/
Data
Processing
3. Determine probable benefits (valued in dollars Department/
if possible) of automation and/or new system Data
Processing
4. Obtain approval for detailed project study Steering
Coemittee
Phase 2 - I-astallation Phase
S. Establish project (implementation) task force Steering
Committee
6.
Conduct analysis
of existing systema
Task
Force
7.
Document detailed
user applications requirements
Task
Force
8.
Define management
reporting needs
Task
Force
9. Define external reporting needs Task Force
10. Determine whether relevant long range objectives Steering
related to project are reflected in the City's long Committee
range plan
11. Determine hardware/telecommunications implications Task Force
and requirements
12. Research application availability in the marketplace Task Force
13. Submit RFP documents (if appropriate)* Steering
Committee
14. Select preferred application Steering
Committee
36
STANDARD APPLICATTON IMPLEMENTATION CYCLE
Task
Assigned
15.
Obtain approval for expenditure
Steering
Committee
16.
Schedule conversion tasks and responsibilities
Task Force/
Data
Processing
Departments
17.
Deiine input, output and date base requirements
Task Force/
Data
..rocessing
18.
Determine City resources required
Task Force/
Data
Processing
19.
Design input/output forms and procedures
Task Force/
Data
Processing
20.
Convert data files for new system
Data
Processing
21.
Test new system for acceptance (e.g. parallel testing)
Task Force/
Data
Proce e:.Ing
22.
Obtain approval of Task Force and involved us`rs
Task Force/
Departments
23.
Prepare User and Data Processing staff documentation
Data
Processing
24.
Conduct Uaer and Data Processing staff training
Data
Processing
25.
Begin using new system application
Data
Processing/
Departments
26.
Post -conversion review
Steering
Committee
37
STOCKTON RECORD
CITY OF LODI
INFORMATION SYSTEMS PLANNING PROJECT REPORT
List of Report Appendices
APPENDIX A: City of Lodi Requirements Document
APPENDIX B: Application Priority Matrix
APPENDIX C: MIS Steering Committee Suggested Guidelines
APPENDIX D: Feasibility Study Guidelines
APPENDIX E: Request for Proposal Guidelines
APPENDIX F: Vendor Agreement Guidelines
APPENDIX G: Department Management Survey (Sample)
APPENDIX H: "ta Base Considerations
APPENDIX I: Suggested Microcomputer Guidelines
APPENDIX J: IBM System Upgrades
APPENDIX A
CITY OF LODI REQUIREMENTS DOCUMENT
CITY MANAGER
JERRY GLENN, ASSISTANT CITY MANAGER
Functions
o Department provides overall managetient of the operation of the City
government. Tasks performed by the City Manager's office include:
- Management and final approval of the City's annual budgeting
process;
- Representing the City in all aspects of labor negotiations,
including the internal complaint process;
- Ongoing review of departmental plans and activities, including
monthly performance of each department against their approval
budget; and
- Performance of special studies into the City's operations as derme:
necessary by the City Council or other outside agencies.
o Current staffing of the department includes the City Manager,
Assistant City Manager, and a clerical person.
o Future plans center around continuing to provide service to the
community as well as to keep the City running smoothly in spite of all
planned internal change.
o Other planned projects include:
- Streamlining the annual budgeting procedures currently being
performed manually, and
- Updating and more efficiently monitoring the City's Administration
Policy Manual.
o Information currently utilized by the department include:
- Management reports produced by each department on a monthly basis;
- Monthly budget and actual financial performance reports;
A-1
— Personnel records for all departments including labor contracting
documentation; and
— Minutes of the City Council and archived files in the City Clerk's
office.
Interaction with Other Departments
o The City Manager currently interactni with the foltoving departments:
Finance: Finance assists the City Manage: with the annual budget book
preparation as well as providing monthly reporting throughout the year
of actual expenditures vs. budgeted expenditures.
City Clerk: City Clerk provides the City Manager with archival
government docuemntation on an as needed basis.
Personnel: Personnel provides access to City employee personnel
records and reports on an as needed basis.
All Departments: City Manager carries on an on-going communication
with the management of all City departments in overseeing the
operation of the City.
Major Concerns/Issues
It is important to utilize new technology, to reduce the increase in
personnel costs that occurs as the C'_ty grows, while sharing such
technological resources between departments as such as is practical.
o Would like to streamline the currently complicated and labor-intensive
annual budgeting process, as well as improve financial reporti.ag of
monthly budget expenditures and operations statements for the City's
enterprise funds.
o Would like to improve available level of personnel activity reporting,
Including the use of part time personnel.
A-2
o The Administration Policy demand needs revision but current manual
techniques of doing so are not economically justifiable.
Possible Applications
1. Improved Personnel Reporting (A3)
o Purpose: To improve the level of personnel data reporting with which
the City Manager's department keeps up on personnel activity.
o Features:
- Improved reporting might be available from an existing, operational
system such as Payroll or could be implemented on a new
Personnel/Payroll system.
- Primary reporting requirement is an analysis of how much money is
spent on part time employees each month and year-to-date by
department, including budgeted amount and actual amount.
- Additional reporting includes a year-to-date historical analysis of
employee time not worked by department.
o Primary Benefit: Better control over personnel -related expenditures
within City departments.
o Priority: 2
2. Improved Budgeting Process (A17)
o Purpose: To reduce the amount of time required to prepare the annual
budget and provide more meaningful data to department managers to use
in constructing budgets.
o Features:
- Automated production of L budget questionnaire for each department
which includes prior year budget and actual expenditure data;
- Interactive spreadsheet -type capability to produce 'what if
analysis on budget requests;
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Ad hoc reporting and inquiry capability into the current status of
budget to actual expenditures, via a computer terminal in the
Assistant City Manager's office;
Improved monthly budget reporting (real time or a memo basis); and
These features could be added to the General Accounting computer
application, or could be part of a new budgeting system.
o Primary Benefit: Develop more timely and accurate budget reporting
without adding additional personnel.
o Priority: 1
3. Improved Financial Reporting (32)
o Would like the General Accounting computer application to produce
operating statements of revenue and expenditures for each of the
City's enterprise funds (standard statement format).
o Primary Benefit: Would allow more efficient analysis of enterprise
fund operations than current manual methods.
o Priority: 3
4. Other Capabilities (A17)
o Would like to utilize word processing to a greater degree within the
dvvartment for production of correspondence and documentation/revision
of the City's Administration Policy Manual.
o Would like on-line, interactive access to a financial
modeling/spreadsheet package for general negotiations such as labor
packages arm budget analysis.
o Priority: 3
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PERSONNEL DEPARTMENT
BILL HINKLE, ADMINISTRATIVE ASSISTANT
Function
The Personnel Department is responsible for maintaining personnel records
of all City empi.oyees as well as providing internal and external
personnel reporting as required by law. In fulfilling this function, the
department performs the following tasks:
- Maintenance of complete personnel files of each City employee as
required by law;
- Producing internal reports, such as the employee roster, for use by
other departments;
- Providing external reports, such as equal employment opportunity
reports, as required by law;
- Administering promotional examinations as required by law; and
- Responding to outside inquiries regarding current and former employee
information.
Personnel is staffed by the Administrative Assistant and a clerical
person.
Information which the department uses on a regular basis includes:
- Employee personnel records,
- Payroll application generated information on employee vacation and
holiday status, and
- Departmental position descriptions for the entire City.
Intera,:tion with Other Departments
Personnel currently works directly with the following City departments:
o Finance: Finance supplies vacation and holiday -related data as
generated by the Payroll computer application.
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o All Departments: Personnel administers testing for employee
promotions and reporting of test results (especially Police and Fire
Departments) to those departments. Other departments report their
personnel activity (hires, fires, etc.) to Personnel on an ongoing
basis.
Kain Concerns/Issues
o Concerned that the current data processing resources do not pro�;id e
support for Personnel in the record-keeping and reporting process, but
could;
o Concerned that Personnel has not been able to make use of word
processing equipment for regular, ongoing internal and external
reporting; and
o Concerned that City currently is not currently performing any detailed
analysis of Workmens' Compensation claims or Equal Employment
Opportunity status for internal management purposes.
Possible Applications
1. Personnel Management System (A3)
o Purpose: To automate the personnel recordkeeping process and related
reporting currently performed by the City, as ww_11 as to provide new
analytical reporting currently not being performed.
o Features of the System Include:
On-line inquiry and update compability from a Peraonnel department
computer terminal.
Ad hoc reporting of iaforaation in the personnel files.
Production of currently produced re;:ortr on a regular basis,
including the employee roster on a monthly basis.
Production of 'new' reports such as an EEO monthly roster of the
City's current employee demographics, and n monthly personnel
status and activity report for eeacll department.
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o If possible, an integrated Personnel/Payroll system should be!
Identified. This would allow more creative reporting of:
- Current period and historical vacation, sick leave, holiday and
overtime activity for each department; and
- Integrated personnel and payroll data analysis.
This would also allow more sophisticated recordkeeping in the area of
employee benefit coverage.
o Primary Benefits: Reduction in manual recordkeeping time requirements
of department personnel, and more useful management reporting for all.
departments of the City.
11 Priority: 1
2. Workmens' Compensation Reporting Capability (R26)
o Purl
.ose: The purpose of this capaMlity would be to provide internal
analysis of workmens' compensation activity by department or employee
position.
o Features of the capability, which could be implemented in a
personnel/ payroll (or just payroll) system mould include:
- Calculation of sick leave split between disability and payroll
(first 3 working days as relates to workmen's compensation), and
- Analysis of each department's level and nature of workmens'
compensation activity on a monthly basis.
o Vie system would provide an internal cost accounting -type report to
supplement the legal reporting requirements being fulfilled by the
outside compensation contractor.
o Primary Benefits: Better management of workmens' compensation costs.
o Priority: 2
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3. Word Processing — General (A22)
o Purpose: To allow the department to place ongoing reporting
requirements. such ;he EEO 4 report, on word processing. Currently
the department does not have qualified word processing operators.
Both training ynd access to any automated word processing system is
necessary.
o Primary Benefits: Less clerical time spent on updating ongoing
reports/correspondence, and more timely and accurate reporting.
o Priority: 3
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CITY CLERIC DEPARTMENT
ALICE REIMCHE
Function
The City Clerk Department serves the City primarily as an archivist of
documentation and records of action taken by the City Council, as well as
the administrator of local elections and liability claims against the
City. Tasks performed in providing these services include the
preparation/assembly, publication, recordation, execution and retention
of all documentation of the municipal government, including
administration record of local elections and liability claims. Currently
the department employees the City Clerk and an assistant. Future plans
within the department include expanded achiving requirements as dictated
by State statute as well as improving the efficiency and accuracy of
internal operating procedures.
The primary. information used by the department on the various documents
that must be indexed and archived, along with the index itself. In
addition, the City Clerk works with:
- monthly liability administration information provided by an outside
contract lfi•billty administration firm, and
- various election documentation items when local elections are held.
Interaction with Other Departments
The City Clerk interacts with all City departments in providing
documentation of City Council actions, contracts and liability claims
affecting the various other departments.
Major Concerns/Issues
o An extensive amount of manual effort 1s needed to maintain manual
archives and indices of City documentation.
o word processing is a critical resource to the department in generating
the extensive amount of documentation that the dep&rtment does.
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tossible Applications
1. Word Processing - General (A22)
o Currently the City Clerk's office has access to 1/2 of a word
processing machine, and based on increased workload, this does not
appear to be sufficient. Also, additional training would help the
department personnel in using the full capabilities of the word
processing equipment. If technologically possible, the system should
provide for OCR (Optical Character Recognition) input capability for
more efficient document storage on word processing.
o Primarrx Benefit: More efficient work flow and utilization of word
processing resources to eliminate extensive clerical tasks.
o Priority: 1
2. Election Results Processing System (B13)
o Purpose: To provide timely and accurate recording and reporting of
local election results.
o Features:
- The system would record election ballot voting results on
machine-readable cards and then automatically capture the data from
the cards for processing on the computer.
- Electronic reporting currently required by the locality, the county
and the State would be automatically produced with no need for
manual computations.
- An outside service. provider, such as Diamond International, could
be identified as a possible candidate to supply the system.
o Primary Benefits: More accurate and ti-?ely recording and reporting of
election results; reduction in the manual effort needed to run local
elections.
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c Priority: 2
3. Claim Reporting System (D2)
o Purpose: To maintain status records of outstanding liability claims
against the City of Lodi.
o Features:
- Provide a data base of key information on outstanding claims
against the City, including such key data as the contract
administrator may provide;
- On-line input directly from internal Incident Reports and Citizen's
Verified Claim Reports;
- Real-time, and low inquiry based on a number of different
use -defined keys;
- Exception reporting of claim status on a regular basis; and
- Dial -:n access capability to the liability administrator's
computerized data base.
o Primary Benefit: Reduction of manual claim identification and
research "Ame.
o Priority: 3
4. Municipal Code Index System (B14)
o Purpose: To provide a key word index and cross reference of the Lodi
Municipal Code, resolutions, and other legal documentation produced by
the City and achived by the City Clerk.
o Real time inquiry would need to be available, although no special
reporting requirements would be necessary.
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o Primary Benefit: Quicker access to archived documentation, with
reductions in sanual effort required of department personnel.
o Priority: 2
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CITY ATTORNEY
RON STEIN
Functions
The primary function of the City Attorney's office is to operate as the
legal department of the City and render legal advic4 to the City Council
and the other various City departments. In providing these servicc.a for
the City government, the following general activities nre pp_rformed:
- representation at all City Council meetings;
- prosecutions of violations of the City nrdinr,;sees in the arntcipa? and
superior courts;
- preparation of all leases, contracts, and ordinances for the
- administration of all claims filed against and by the City of Lod;;
- defense of all causes of action brought against the City other than
personal .Injury or property damage; and
- representation on the legal committee of the Northern California Power
Agency of which Lodi is a member.
Currently the City Attorney and a single clerical person staff th e
department. Future plans within the department are tc continue to
perform the same activities, but to utilize current technology to become
more efficient in doing so. Also, plans have been made to revise the
Municipal Code.
The City Attorney currently utilizes or maintains the following
information in daily operations:
- Municipal Code;
- Various logical research materials, domiciled both in Lodi City Hall
and in the San Joaquin County Law Library; and
- Various logical written materials, including brief*, contracts,
leases, letters, opinions, resolutions, and other papers.
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Interface with Other Departments
Currently the City Attorney must interface with all departments within
the City and with the City Council to render advice on legal matters. In
addition, research indices and materials at the San Joaquin County Law
Library in Stockton are often researched in Stockton by the City
Attorney.
Major Concerns/Issues
o The City Attorney generates
a large
amount of
written documentation,
which requires full-time
access
to word
processing equipment.
Currently they have access
to such
equipment
on a half-time basis;
o Writing legal opinions requires direct referencing to results of
related cases, which requires extensive legal research. In addition,
often such research requires driving to Stockton (County Law Library)
for half days;
o Legal case management is an ongoing requirement of the department; and
o Constant updating of Uip Municipal Code is a responr,ibility of the
department, which is currently done manually.
Possible Applications
I. Word Processing - General (A22)
o Currently the City Attorney's office has access to 1/2 of a word
processing machine, and this doeb not appear to be sufficient. Also,
additional training would help the department perac nel in using the
full capabilities of the word processing equipment. If
technologically possible, the system should provide for OCR (Optical
Character Recognition) inputting of lengthy legal documents.
o Primary Benefit: More efficient work flow and utilization of word
processing resources to reduce manual typing activity.
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o Priority: 1
2. Mord Processing - Municipal Code (A22)
o The purpose of this requirement is to reduce the amount of time and
energy needed to update and revise the Municipal Code. The Code would
merely be maintained on word processing files and indexed by the
quipment to provide easier cross-referencing and inquiry. Reporting
mould be limited to printing hard -copy of the Code or selected Code
sections.
o Primary Benefit: Reduction in clerical and contract employee time
needed to update Municipal Code, and reduction in clerical and
attorney time needed to access Code sections.
o Priority: 1
3. Case Management System (B15)
o Purpose: To provide current information on cases being managed by the
City Attorney and by the liability administrator under contract with
the City.
o Features:
- Maintain data base of key information on each case taken by the
City Attorney's office; including the status of cases and
accumulated legal costs;
- Allow ad hoc inquiry into the data base through several
user -defined indices;
- Provide exception reporting to highlight key information for the
City on a timely basis; and
- Provide an event calendar reporting function.
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o Primary Benefits: More efficient use of attorney time through more
efficient case management.
o Priority: 2
b. Legal Research System (B16)
o Purpose: To allow the City Attorney to access one or more of the many
available on-line legal research data bases, such as Lexis or Westlaw.
Since the on-line systems are already set up and maintained, the City
would need to either access the data bases through a dedicated
communications terminal or via a general terminal hooked up to a City
computer, which would then handle communications. Shared word
processing equipment would not be appropriate since it is likely that
the ad hoc research inquiries by the City Attorney would interfere
with the clerical activity in the department.
o Primary Benefit: Reduction of travel and research time and expenses
currently expended in traveling to the County Law Library in
Stockton.
o Priori►: 2
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POLICE DEPARTMENT
CAPTAIN MARC YATES
Function
The Police Department serves as the primary publiclaw enforcement agency
in Lodi. Their primary task is the enforcement of laws applicable to the
citizens and City of Lodi, as defined by various municipal, local, state
and federal statutes. In fulfilling these tasks the department follows
the various practices documented in their Policy b Procedures Manual,
including such things as protecting life and property, preserving public
pence, crime prevention and criminal investigations, detecting and
arresting violators of the law, and operating the municipal jail.
Currently, the department has 70 full time personnel, approximately 3/4
being sworn in officers and patrolmen.
In performing these tasks, the department uses or maintains the following
type of information:
o criminal complaints filed by non -department personnel;
o arrest booking records, including data or violation, victims and other
parties;
o case management records related to criminal and other investigations;
and
o inventories and updated lists of the following information:
- inventory of evidence held by the department,
- inventory of Police Department property,
- list of stolen property,
- list of open moving/non-moving traffic citations and their status,
- detailed list of pawn -shop activity, and
- personnel activity distribution for both investigation and patrol
areas.
Interaction with Other Departments
The Police Department must interact with the following City departments
and outside agencies in the performance of their daily operations:
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o San Joaquin County
Lodi Police Department (LPD) uses computer records related to the
following:
- patrol labor distribution reports,
- daily case files and missing case audit reports,
- criminal records inquiry for each LPD arrest,
- DMV inquiry regarding the licensing and registrations of motor
vehicles,
- case status, transfer and closure information regarding LPD -related
cases,
- inquiry into County probation records on an ad hoc basis, and
- inquiry into the status and closure of arrest ADR follow-ups on a
daily basis.
o Finance Department
- Manual inquiry into the City's license records regarding the
following areas:
o business licenses (cardrooms, taxi drivers, solicitors, etc.),
and
o pet licenses.
- Manual inquiry into utility billing records to identify the
occupants of particular addresses in the City, on an ad hoc basis.
Normal interface with the Finance Department's payroll unit for
maintaining up to date payroll records, as well as receiving data
on employee time distribution.
o Publ!, W.)rks Department
- Normal interface with the Municipal Service Center division of
Public Works, which provides maintenance services for police
vehicles.
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Main Concerns/Issueg
Im'the course of their daily operations the department has cited the
following concerns or high priority tasks which they need addressed:
o difficulty of maintaining normal inventory records,
o inability to quickly and easily analyze related records residing in
different files,
o difficulty In scheduling manpower distribution and analyzing officer
activity statistics,
o difficulty in evaluating officer performance due to lack of easy
access to necessary information, and
o need to continue to provide the same or higher level of public service
at minimal costs.
Possible Applications
NOTE: All police -maintained data would need to be kept under strict
security based on legal requirements.
1. Word Processing - Criminal Complaint System (®11)
o Puy rpose: To utilize the benefits of word processing in producing
criminal complaint filings in accordance with the State Penal Code.
o Featitres:
- Maintain the standard State Penal
code language on word processing
overlays, requiring department
personnel to type in
only the
details of the complaint; and,
- Maintain simple data base to track
P
the details of each
complaint _
P
(control numbers would be assigned
automatically to each
complaint
int
"produced").
o Primary Benefii:s- Greater accuracy in
complaint production,
lees time
required of investigation personnel,
end maintenance of data
needed
for officer productivity analysis.
o Priority: 1
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2. Investigation Case Management System (Al2)
o Purpose: To automate the case management of the Investigations
division, which is currently performed on 3x5" index cards.
o Features:
- Maintain a data base of information on each case undertaken,
Including such things as crime classification, case number•, victim,
address, phone number and officer assigned;
- Allow ad hoc inquiry capability by a variety of user -defined
indices; and
- Produce monthly reports currently required by the Police Chief and
other outside authorities.
o Primary Benefits: Less time needed to produce required department
reports, more effective management followup capability on
investigation capabilities; better ability to analyse level of
performance of officers.
o Priority: 1
3. Department Labor Analysis (A13)
o Purpose: To provide analysis of patrol officers daily time
distribution in order to better manage department reaourceR and
calculate officer performance.
o Features:
- Maintain a data base of patrol time usage, by officer, in each of
several predefined categories;
- Produce reports as needed by the department, including the reports
currently produced by the county; and
- Automate editing of input data to help prevent inaccurate
information from getting in the data base.
o Primary enefits: Less personnel time required to produce department
reports_; more effect:.-tre management of patrol resources due to more
timely and ac_cura°:e time distribution reports.
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o Priority: 1
4. Ors -Line Booking System (A14)
o Pur se: To provide automated support of the department's booking
process and so replace several manual procedures.
o Features:
- Maivtain an automated data base of booking and crime information,
including data currently kept on the Alpha file and data needed to
track crime disposition;
- Provide an automated two-way interface with the San Jouchin County
computer files in order to share data; and
- Provide ad hoc inquiry into data base according to user defined
parameters.
o System should also be integrated with a Crime Analysis System, Which
would
- Maintain additional data ort crimes, such as modus operandi, suspect
description, etc.; and
- Provide inquiry and reporting of an ad hoc nature to the
Investigation division.
(Much of this data, which is not currently kept, would be input during
the investigation process.)
o 24-hour access would be required of the system, and 1-2 dedicated
terminals would be needed.
o Primary Benefits: Quicker and more effective information without an
increase in required perso,inel resources; improved ability to perform
all aspects of criminal investigation and arrest recordkeeping,
including required reporting, criminal analysis, case management, and
personnel management.
o Priority: 1
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5. Internal Department Investigation System (C4)
o Purpose: To record incident of and track resolution of complaints
made against department employees.
o Features:
- Maintain an on-line data base of department investigation
information, which is needed to track such cases; and
- Provide exception status reporting, monthly departmental reporting,
and ad hoc inquiry.
o Primary Benefits: Less clerical time needed to maintain departmental
investigation records and provide related reporting; increased
timeliness and accuracy of investigation data resulting in more
efficient and effective investigation process.
o Priority: 3
6. Evidence Inventory System (A15)
o Purpose: Maintain an automated inventory system to control evidence
in the physical custody of the department.
o Features:
- Maintain a data base of information describing each piece of
evidence held by the 4epartment, including location; and
- Provide on-line inquiry based on user defined search criteria.
o Primary Benefits: Quicker and more accurate response to inquires
about evidence, and better control over evidence.
o Priority: 1
7. Stoles, rroperty Reporting Systea (A16)
o Purpose: Automate recordkeeping processes related to stolen property
reports and naurn shop activity, and provide a method of automatically
analysing the two.
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o Features:
- Maintain data bases of information describing reported stolen
property and pawn shop sales (both are currently manual);
- Provide automated comparison of records In both data bases on and
exception reporting of all possible/requested relationships; and
- Would allow on-line inquiry access on a 24-hour per day basis.
o Primary Benefits: More effective use of stolen goods and pawnshop
records in criminal investigation, less tine needed to be spent on
analysis.
o Priority: 1
8. Training Record System (310)
o Purpose: To provide an automated training record filing system with
reporting such to determine whether the department is sufficiently
staffed.
o Features:
- Maintain complete training information on all department personnel
as determined by the training coordinator; and
- Provide ad hoc reporting and inquiry into training records
necessary to comply with training programs including a "matrix"
report which compares department qualifications to particular
resource requirements.
o Primark► Benefit: Less time needed to perform required analysis of
department personnel qualifications.
o Priority: 2
9. General Real Tine Inquiry
o The department expressed an interest in having 24-hour a day access to
automated records in the following departments:
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— Finance:
— Stockton Police Department:
Business Licanse Records
Utility Customer Records
Fingerprint Record System
o Primary Benefit: Quicker access to required information, resulting in
a better level of service by the department.
o Priority: 2
A -2b
COMMUNITY DEVELOPMENT DEPARTMENT
JIM SCHROEDER, DIRECTOR
Function
Community Development provides services in the areas of City planning and
building inspection. In providing these services, the department
performs the following tasks:
- Reviewing building permit applications and plans and issuing building
permits pursuant to them;
- Providing building inspection services and reporting on the results of
such inspections;
- Reviewing and performing follow up investigations of housing and
sanitation complaints and issue citations pursuant to laws;
- Keeping updated records of City development including maps, reports,
and development plans; and
Interacting on a day-to-day basis with the general public, builders,
and contractors.
Community development currently employs eight total personnel, split
evenly between the planning and building inspection functions.
Future departmental plans are to provide more accurate information to the
public on a more timely basis by enhancing their document filing system.
Interaction with Other Departments
Community Development interacts with the following departments on a
regular basle:
o Fire Department: Community Development supplies the Fire Department
with assessor information on microfiche for helping the department to
Identify property owners. The Fire Department reviews pl+sns submitted
to Community Development and offers the comments on them regarding
fire safety and prevention.
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o Public Works, Utility: Public Works, Utility and Community
Development interact daily on a great number of projects and
coordinated data sharing.
o City Manager, Police: Community Development provides general
information from their files on an as required basis.
Main Concernsllosues
Currently both the Planning and Building Inspection areas maintain large
files of documentation which are very difficult to access, causing long
response times in answering public or internal inquiries.
The physical location of word processing equipment bakes it very,
difficult to effectively make use of the equipment.
Generating statistical information to support the City's general
development plan is a very time consuming manual task, which requires
more personnel as reporting becomes more extensive.
Possible Applications
I. Document Indexing System (A4)
o Purpose: To provide several indices for documentation filed in the
department so access to the documentation is more timely and
efficit.it.
o Features:
- On-line inquiry into system files through computer terainals
physically located within Community Development and Finance;
- Free form inquiry parameters by which the files will be accessed by
botn Community Development and other departments;
- Cross reference to other related files maintained by other
departments such as Finance (Utility Billing) and Fire (Building
Inspection), as well as physical location of documents;
- Periodic reporting for information maintenance purposes;
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Maintenance of additional tickler file information by property
relating to building permits, zoning violations, complaints, and other
correspondence; and
Exception reporting on certain information such as unperformed steps
in the planning and building permit process.
o Primary Benefits: Better control of Community Development
documentation, and higher level of information service for other
departments and the general public.
o Priority: 1
1. Vacant Lot Inventory System (AS)
o Purpose: To automate the current manual system used to track the
availability and features of vacant lots within the City.
o Features:
On-line inquiry into files from computer terminals located within
the department; and
Track vacant lots by location, lot identification and acreage.
o Primary Benfits: Easier access to vacant lot information.
o Priority: 1
3. Statistical Abstract System (56)
o Purpose: To maintain a statistical data base of information on the
City of Lodi.
o Features:
Maintain dote on land use inventory, sales tax activity, census
information, property tax information, school district enrollment
data, income characteristics, transportation data, and-nnexation
data;
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- Allow ad hoc abstract generation and reporting according to the
needs of the City planning commission, including graphic output
representation; and
- Access input information from various outside government agencies
such as the State Department of Finance or the Federal Census
Bureau.
o Primary Benefits: More meaningful reporting and analysis capability,
and reduction in clerical effort currently needed to produce the
report.
o Priority: 2
3. Word Processing - General (A22)
o Would like easier access to word processing equipment and greater
level of training in its use. (This would allow more effective use of
the equipment in performing ongoing reporting.)
o Would need eccess on 2-3 terminals located physically within the
community planning department, preferably at secretaries' depka.
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FINANCE DEPARTMENT
BOB HOLM, DIRECTOR - CITY TREASURER
Fuaction
The Finance Department is responsible for the planning, organizing and
operation of all systems and procedures related to the City's accounting,
auditing, and financial reporting. The department is also generally
responsible for the billing, collection and custody of City revenues and
funds.
In order to accomplish their general responsibilities, the Finance
Department is organized into the following units, responsible for the
f ollowing tasks:
o Administration:
- Planning, organization, and management the City's fivancial
reporting and control activities;
- Investment of idle City funds in accordance with State laws;
- Plan and control bonded debt administration; and
- Assist City Manager in preparing the annual operating budgets.
o Purchasing:
- Procedures and approve& purchase order requests from various City
departments;
- Maintains an office stores inventory; pend
- Administers the formal bid process within the City, from
specification examination to final recommendations.
o Accounting:
- Maintains City's general ledgar and subsidiary ledg,%r (Revenue,
Expenditures, Fixed Assets);
- Maintains and processes City -vide employee payroll;
- Processes and records accounts payables; and
- Preparation of City's annual financial stateAents.
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o Billing:
- Maintain customer account records and generates customer billings
for electricity, water, sewage and refuse utility usage.
o Collection and Credit:
- Collects, deposits, and records monies received by the City,
including utility billings, license payments and parking permits.
o Data Processing:
- Supports automated processing of the following applications --
utility billing, payroll, business licenses, accounts payable, and
general accounting.
Currently the department employs 26 personnel in daily operations.
Future plans include reorganizing staff and work load within the
department to reduce transaction time, smooth workflow and reduce
overtime and parttime costs.
Interaction with Other Departments
Currently the Finance department interacts with the following units on a
regular basis:
o City Manager:
- Finance assists in providing the annual budget for the City.
o All Departments:
Finance provides assistance to all City departments in the
following areas:
o Purchasing and invoice payment ,
o Payroll processing and reporting,
o Regular payment and recording of contract liabilities,
7
O Inquiry in business license and utility billing, and tax role
7Y--
records for owner/occupancy data (largely the Fire and Police
Departments), and
o Monthly budget and expenditure reporting.
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o Electric Utility:
- Finance provides meter reading service and handles
billing/collections for all utility customers, prepares financial
reports.
o Community Development:
- Community Development provides Finance with service orders for new
construction which Finance in turn bills charges ror.
o Public Works:
- ?mance services orders for new water/wastewater hook ups and
prepares all monthly utility billings.
Hain Concerns/Issues
o City has computer resources available within the Finance Department to
all departments, although currently its primary use is for Finance
applications.
o The department has completed a reorganization process that has placed
its field personnel under a field services supervisor and has, the data
processing section reporting directly to the Finance Director.
o The utility meter reading function, which is currently performed in a
very simplified fashion, is growing very rapidly as meters are used
more and more by the utilities. In addition, calculation of billing
amounts is becoming more and more difficult to perform manually, and
o The City Treasurer function takes extensive manual effort.
Possible Applications
1. Budget Inquiry System (Al)
o Purpose: To provide up to date status of each department's approved
budgets and status of expenditures to date.
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o Features:
- Frovide memo -based accounting and tracking of expenditures so as to
not affect the City's general ledger,
- Provide real time update and inquiry capability of monthly
expenditures and budget balance,
- Allow distribution of inquiry to departments on an as needed oasis
through computer terminals, and
- Production of a summary month end status report to allow balancing
to the general ledger.
o Primary Benefit: Greater control over the accounting functions, and
current reporting of departmental budget positions.
o Priority: 3
2. Portfolio Management System (al)
o Purpose: To provide an efficient and accurate method of performing
the City Tresurer recordkeeping functions.
o Features:
- Maintaining ! data base of information invested City funds,
including interest rates, rate of return, amounts invested maturity
dates, and interest earned;
- On-line, ad hoc inquiry into data base through terminals located in
the Finance Department; and
- Exception reporting of upcoming maturities or other "decision
dates" (i.e. maturity schedule).
o Primary Benefit: Less clerical time needed to maintain investment
portfolio, and greater control over invested City funds.
o Priority: 2
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3. Audit Horksheet Preparation (E2)
o Purpose: To automatically generate audit worksheets necessary for the
annual independent audit from automated financial records.
o Features:
- Produces the required reports from historical foes of automated
financial records.
o Primary Renefit: Reduced clerical time in producing these reportas
for the audit.
o Prlority: 2
4. deter Reading Management (A2)
o Purpose: To allow sore efficient management of the utility billing
and collection process.
o Features:
- Data collection through hand held meter reading devices which
automatically interface with the computer.
- Automated meter reading route analysis based on meters read and to
be read and the resources available for completing the readings,
- Ad hoc inquiry and reporting availability into billing files,
- Utility bill calculation based on a user -defined set of parameters,
and
- Maintenance of utility customer accounts.
o Primary Benefit: More efficient and effective use of water reading
resources, and reduced clerical effort for utility billing process.
o Priority: 1
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5. Improved Personnel/Payroll System (A3)
o Purpose: To provide additional record keeping and reporting on
personnel and employee benefit subjects, including:
- Calculation and cutting of insurance premiums for employee
insurance carriers;
- Calculation and reporting of current employee benefits; and
- historic reporting of employee hour distribution, including part
time employees.
o Primary Benefits: Reduced clerical time currently required for these
tasks.
o Priority: 2
6. Fixed Asset Accounting System (B..3)
o Purpose: To provide nutomated record keeping and reporting for the
accounting of fixed assets Within the City (standard asset system).
o Features:
- Automated record keeping of all information on fixed assets which
is currently kept manually by the department;
- Automated calculation and reporting of annual depreciation, tax
gain/loss, etc. for all fixed assets; and
- Could be merged With Public Works maintenance systems.
o Primary Benefit: Reduced clerical effort needed for fixed asset
accounting.
o Priority: 2
7. General. Additional Items
o Automated generation of the City Council report, Which summarunes cash
disbursements for the period (produced from data in the automated cash
disbursement records).
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o Automated record keeping and tracking of subdivision refunds due for
repayment, as well as related exception reporting for missed
payments.
o Automated recording of cash collected by the Finance Department
through on-line cash register system, including nightly reporting of
detailed cash collected and a summary balancing total.
o Improved reporting of customer year to date utility account history.
o Additional documentation and system development aids for Data
Processing.
o Centralized Purchasing and related automated inventory system for
electric, water and sewer utility Funds.
o Automated fuel dispensing syster with interface to computerized furl
inventory.
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FIRE DEPARTMENT
CHIEF DON MacLEOD
Function
The Fire Department is responsible for the protection of life and
property through fire suppression, public education, fire prevention and
delivery of emergency medical services. They also perform building plan
reviews for the entire City population on an as -needed basis. Major
tasks which need to be carried out by the department in providing these
services include fire suppression/ property conservation activities,
ongoing management of a building inspection program, reviewing building
plans, managing a formal training program, maintaining equipment,
vehicles and station facilities, performing arson investigations, and
managing a weed abatement program. The department currently is made up
of SO personnel operating three shiftn per day, seven days per week.
In performing these tasks, the Fire Department must maintain the
following types of information:
- Building inspection records including results of inspection and
schedules;
- Building information, gathered during the inspection process, is used
continually to provide advice to companies in the field;
- Incident report records are kept to provide a history of department
activity as well as reporting to the State;
- Training and personnel records of department personnel;
- Inventory and maintenance records for department equipment, vehicles
and facilities;
- Base maps of the City streets and building layouts; and
- Business license, utility and tax role information.
Interaction with Other Departments
Currently the Firm Department interacts with the following City
departments on an ongoing basis:
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o Building Department: To provide Building with revisions of building
plans, and to receive interpretations of municipal building code froom
Building.
o Finance Department: To obtain information from Finance regarding
utility/address information, business licenses, and tax role
Information.
Main Concerns/Issues
In the course or their daily operations and planning the Fire Department
has cited the following concerns or high priority plans which need to be
addressed:
- Inability to perform a detailed analysis of fire incident records;
- Need to expand the ctirrent Apple II -based building inspection tracking
system to accommodate more records and more information per record;
- Need by dispa,cher to have 24-hour per day, real-time inquiry access
to building and property record information;
- Inability to easily perform ad hoc reporting of department training
information; and
- Need to have a less labor-intensive method of scheduling and following
up on preventative maintenance for equipment, vehicles and
facilities.
Possible Applications
1. Property Information System (A7)
o Purpose: To maintain and provide information necessary to respond to
requests from the field for information on particular properties.
Also, to help manage the building inspection process.
o Featureb•
- Maintain a data base of information on different properties located
within the City of Lodi and related fire districts. Information
needed includes:
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• Physical characteristics of building, such as exits, entrances
and water tapas;
• Other data that would help department respond to calls such as
the storage location of potentially harmful substances; and
• Data related to building inspection activity such as the data
and results of the last inspection;
Prc•ide on-line, 24-hour access to the data base by the department
dispatcher;
Provide activity and exception reporting related to building
Inspection process; and
Meet the requirements for current building inspection data and for
new requirements related to sprinkler and hood and duct systems.
This system (or related word processi+ag capability) would also produce a
form letter which would announce the Inspections in advance, with names
and addresses taken directly from the computerised files.
o Primary benefit: Improved uanagement of the building inspection
process; higher level of fire fighting effectiveness.
o Priority: 1
2. Equipment Maintenance System (A8)
o Purpose: Provide automated recordkeeping and reporting related to the
maintenance of department equipment and hydrants.
o Features:
- Maintain a data base of the following types of equipment:
Fire hydrant location and maintenance,
• Pressurised extinguisher, air bottle location and maintenance,
• Vehicle preventative maintenance and parts inventory, and
Fire hose location and maintenance;
- Provide exception reporting of items that require action by the
department, based upon the preventative maintenance program that
currently exists; and
- Provide reporting for physical inventory purposes.
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o Primary Benefits: More effective and efficient enforcement of the
current preventative maintenance program.
o Pricrity: 2
3. Firemen Training Record System (B10)
o Purpose: To provide information necessary to monitor compliance with
the department's internal training program.
o Features:
- Maintain complete trai:_ing information on all department personnel
as required by the training program;
- Provide on-line inquiry capability into training records; and
- Provide standard reporting as required by the department, including
ad hoc and exception reporting.
o Primary Benefit: Reduced personnel time needed to provide training
information to department management.
o Priority: 3
b. Report Information System (0)
o Purpose: Assist in the preparation and maintenance of accident report
records filed for each call a company makes.
o Features:
- Allow on-line data entry through a menu -type overlay identifying
information required for each report, allowing the clerical
personnel or fireman completing the report to "fill in the blanks"
of each circumstance;
- Automatically maintain a file of report information;
- Allow ad hoc inquiry into the data base;
- Produce all reports requSred by the department (city) and by the
State of California; and
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— Provide department statistical analysis reporting to assist in
performing and scheduling fire prevention and Investigation
activities.
o Primary Benefit: Reduce amount of time spent in completing incident
reports and generating summary reports filed with the State; improve
clerical accuracy of report information.
o Priority: 3
S. Utility Information
o The Fire Department needs information related to utility billing
roles, which are currently kept on computer in the Finance Department.
Two hardcopy utility listings are needed, sorted by address and by
last name.
o Such information would save the department time delays in performing
their daily tasks.
o Priority: 3
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CITY LIBRARY
LEONARD LACHENDRO, HEAD U BRARIe.:i
Function
The City Library currently provides free library service to the people of
Lodi and surrounding areas (approximately 53,000 p3ople). Their duties
include all tasks necessary to provide such service, including material
selection, ordering, receiving and cataloging, for both children and
adults. They are responsible for maintaining records on material
circulation, and also maintain several reference files of non-cirulating
materials. Currently 10 full time librarians and librarian assistants
work at the library, along with 13 part time aides and pages. The
library is also responsible for its own operating budget, which includes
such things as maintaining the facility and paying for material
purchases. The library currently is expanding rapidly, providing new
services to the community and a greater selection of materials. As a
result, their primary focus is to expand their current circulation system
(which is automated) and to develop delivery methods for the new
services.
In performing these tasks, the library uses or maintains the following
types of information:
- Cataloging records for all materials including card catalogue
indices;
- Complete rec.rds of waterials in circulation including information
related to overdue mat,trials and library followup;
- Special interest book lists;
- Local newspaper reference index;
- Records of materials on order; and
- Budgeting records.
Information with Other Departments
Currently the library interacts regularly with only two other departments
in the City:
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o Finance: Provides information regarding the availability of funds to
the library.
o Personnel: M hoc inquiries into personnel records.
Major Concerns/Issues
The library cited the following major concerns or iPsues that they felt
needed to be addressed as high priority items.
o The current automated circulation system is quickly running out of
storage capacity and would need to be replaced. Without this
capability, the current low level of staffing could not be kept
unchanged and still provide the same level of service.
o The local inter -library service of which Lodi is a part may fold
within the next year due to lack of funding. Without access to a
regional bibliographic utility (such as OCLC), the library could not
offer the same level of inter -library material loans.
o The library currently purchases approximately 6-20,000 books per year,
which requires a great deal of clerical activl,y on their part.
o Current Rtaffing levels are not adequate to effectively provide the
following services to the community on a manual basis:
- newspaper index file,
- community information file, and
- book lists and special interest profiles.
(In the case of the former two items, no other city agency is
providing these services.)
Possible Applications
1. Circulation System (M)
o Purpose: To provide a complete on-line circulation system, including
all necessary recordkeeping and reporting.
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o The system should provide the same general capabilities as the current
system, as well as:
- Increased storage and processing capability, and
- Backup system capability to track basic checking in and out of
materials and provide limited reporting.
u Library requires a very fast on-line response time from the system.
o Primary Benefit Provide the current level of service with growing
material inventory without adding additional personnel.
o Priority: 1
2. On Line Public Access Card Catalog (Cl)
o The Library would like to automate the current card catalogue indices
and allow special index search and reporting capabilities. Users of
the library would have hands on access to 2-4 dedicated computer
terminals from which they could inquire into catalogue information.
The system would share data directly with the circulation system (for
economies of scale purposes).
o Primark► Benefit: More powerful access capability for library ucers.
o Priority: 3
3. On Line Ordering System (C2)
o Purpose: To automate the materials purchasing process with the
Library's largest book supplier and with other purchases.
o Features:
Provide access to the Baker and Taylor on-line ordering system (BST
supplies 90% of Library materials.) The system requires the
Library purchase a small communications terminal through which
orders would be directly placed.
-- Provide a standard automated purchasing system for all other
orders.
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o Primary Benefit: Estimated cost savinge of $4-5,000 per yea -
currently spent on manual ordering process; clerical time savings in
researching ISBN numbers, which Baker and Taylor will provide with
their system.
o Priority: 3
4. Mnmpaper Indexing System (60)
o The library currently maintains a reference index of various articles
which have run in the local newspaper. The Newspaper Indexing Systes►
would simply place the index on a computer, allowing for more timely
and efficient inquiry and reporting capability.
o Primary Benefit: Reduced personnel time spent researching and
maintaining the index; higher level of service to library users.
o Priority: 2
5. Reference Tickler Bile (x7)
o This system would provide u free -format, computerised "tickler file"
from which Library personnel could recall previously researched
reference information.
o Library staff requires real-time access to the tickler file
information.
o Primary Benefit: More efficient use of employee time; higher level of
aervice to community.
o Priority: 2
6. Community Inforuation Pile System (B9)
o The Library currently keepb a manual file of community information for
public reference, such ar address and phone numbers of public service
agencies.
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o The Coamunity Information File System would maintain this information
on file and allow real-time access to it for ad hoc inquiry.
o Primary Benefits: Reduced personnel time spent accessing information,;
higher level of service to community.
o Priority: 2
7. General Real -Time Inquiry
o The Library expressed an interest in having access to information
maintained by other city departments through computerised inquiry of
such information including:
- Finance: Access to the current level of funds available.
Personnel: Access to employee personnel data IF such a system were
automated on a City-wide, centralized basis. (Currently, the
Library keeps its own snt of manual personnel records.)
o Primary Benefit: Quicker access to the information, allowing for a
better level of management information needed to run the Library.
o Priority: 3
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PUBLIC WORKS DEPARTMENT
JACK RONSKO, DIRECTOR
Functions
The Public Works Department is responsible for the physical planning,
engineering, construction and maintenance of City facilities such as
buildings, streets, water and wastewater systems, and the storm drainage
system. In order to provide this service, the department is
organizationally divided into an administrative function and four
operating divisions -- Engineering, Streets, Water/Wastewater and
Equipment, and Building Maintenance.
In providing service to the community the Public Works Department must
perform the following broad tasks:
o Development and implementation of the City's Capital Improvement
Program;
o Completion of special request reports for the City Manager and
Council;
a Administration of formal construction bidding process;
0 Development and maintenance of general and system maps for themselves
and other departments;
o Review of development plans submitted to Community Development
planners by the general public;
o Analyze traffic patterns and propose appropriate changes to the
traffic rules;
o Maintenance of City streets and associated storm drain facilities,
street trees and off-street parking facilities;
o Maintenance and control of the City's water and wastewater systems; -
Operation of the White Slough wastewater treatment plant and
associated water analysis lab;
o Maintenance of City -owned buildings;
o opc.ation of the Municipal Service Center for City -owned vehicle
maintenance; and
o All associated record keeping and reporting necessary to perform the
above-mentioned tasks.
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The Public Works Department currently employs 67 full-time and 21
seasonal part-time or work-study personnel.
Interaction with Other Departments
Currently the Public Works Department interacts with the following units
on a regular basis:
o Finance:
- Performs monthly billing for mete* zzd sewage charges and shares
data with Public Works,
- Provides monthly budget to actual expenditure reports to Public
Works, and
- Provides periodic employee sick leave and holiday data to Public
Works and processes payroll for the department.
o Community Development:
- Public works shares extensive data with Planning area, including
city maps; and
- Public works performs reviews of planning or building projects.
o Electric Utility:
Utility and Public Works assist each other in specified projects
and Public Works furniahes base maps to Utility upon request; and
Both departments share the Municipal Service Center.
o Police Department and Fire Department:
Public Works provides Police and Fire departments with maps, and
Police provides Public Works with accident reporting records.
o Personnel:
- Personnel maintains Public Works department employee records as
required by law.
o All Departments:
Public Works services and maintains all vehicles owned by the City.
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Major Concerns/Issues
o The City's current water and wastewater control system is no longer
servicable and needs to be replaced as soon as possible.
o Highly skilled lab technicians at the White Slough wastewater
treatment facility currently spend too much time performing clerical
functions and manual calculations that are more efficiently performed
by a computer.
o Economics of scale are not being achieved by operating decentralized
Inventory and purchasing functions. Also, extensive warehouse space
owned by the City which could be used is not.
o Department management and personnel are currently finding many ways of
utilizing computer technology to more efficiently utilize City
resources, and would like to exploit such technology for the benefit
of the City.
Possible Applications
I. SCADA Water Production Systen/SD SCADA System (A20)
o Purpose: To monitor and collect data on the well production levels
and flow activity wi.thin the City water system.
o Features:
Real time data recording through remote terminal units (BTUs)
located at well heads and throughout the sel.-tem.
Maintenance of a large historical data base of water production
statistics, which should be available for regular and ad hoc
reporting.
Detailed specifications for the system are currently being drawn up
by the Public Works Engineering division.
o Primary Benefits: To allow management of the City's water and
wastewater systems (current systems are obsolete and will soon not
provide necessary data).
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o Priority 1
2. Water Quality Test System (Ela)
o Purpose: To provide an automated method of tracking and scheduling
water quality testing performed at wells on a 3 -year cycle.
o Features:
- Allow for storage :.f water quality analysis data currently
maintained manually;
- On-line inquiry capability of the data base through terminals
located at the White Slough Treatment Facility;
- Generation of graphic representation of testing results as required
by outside authorities; and
- Exception reporting on an ad hoc basis for managing and scheduling
the testing function.
o Primary Benefits: Reduce the amount of clerical tasks currently being
performed by the White Slough technicians, and more efficient
management of the water quality test program.
o Priority: 2
3. Waste Water Plant Reporting System (319)
o Purpose: To provide automated recordkeeping and management related to
the operation of the wastewater treatment plant at White Slough.
o Features:
(Initially) On-line entry of water floc•, content, etc. data through
a computer terminal located at White Slough. (Future plan)
Automated data entry through SCADA-type remote terminal units
located throughout the plan
Perform calculations on data that are currently performed manually;
Provide regular water teat reporting on a daily basis with output
being produced at White Slough;
Provide graphic output; and
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- Monitor wastewater output by major industrial areas (all with water
meters) and generate usage billing figures based on a predetermined
formula
o Primary Benefits: Reduce the amount of clerical tasks currently
performed by lab technicians; produce more meaningful and timely
analysis of plant operation and wastewater discharge.
o Priority: 2
4. Street Inventory and Maintenance System (320)
o Purpose: To provide automated record keeping and reporting of the
City's street inventory, as well as managing the ongoing street
•aintenance program.
o Features:
- Maintain a data base of street information currently maintained on
the manual inventory system, including data on curbs, gutter and
sidewalks. structural sectioning, street widths, etc.;
- Provide exception reporting on streets that need to be maintained
and of complaints about street condition from the general public;
and
- Provide data on incroachment permits issued by the City for each
inventoried street parcel.
o Primary Benefits: Reduce clerical time needed in managing the street
maintenance functions.
o Priority: 2
S. Fuel Inventory System (A21)
o Purpose: To provide automated record keeping of the City's vehicle
fuel inventory. Includes use of Automated Fuel Dispensing System.
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o Features:
- Automated data entry through fuel metering devices located in the
fuel storage tanks;
- Integrates with the Vehicle/Equipment Maintenance System (#12) or
is a submodule of the latter;
- Automated inventory control calculations based on reorder
quantities, and exception reporting of fuel ordering requirements;
and
- Automated reporting of fuel consumption by department and fuel
type, which can be used for interdepartmental billing.
o Primary Benefit: To keep more accurate accounting control over fuel
inventories arA usage.
o Priority: 1
6. Traffic Reporting System (C7)
o Purpose: To provide automated reporting of traffic accidents
occurring in Lodi based on State accident reports.
o Features:
- Ad hoc reporting and analysis of accident locations, frequency,
conditions, etc.
o Primary Benefit: More complex and detailed analysis of accidents
without corresponding rise in required manual effort.
o Priority: 3
7. Street Tree Inventory System (C8)
o Purpose: To automate the record keeping and reporting functions
associated with maintaining data on street trees and in scheduling
maintenance of the trees.
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o Features:
- Maintain a data base of information on the trees including type,
location, etc.;
- Provide automated scheduling of tree trimming main:.enacce to be
performed by the department on an 8 -year cycle;
- Tracki»g of citizen complaints regarding trees; and
- All data entry and reporting would need to be located at the City's
Municipal Service Center.
o Primary Benefit: Reduced clerical effort in managing the street tree
maintenance program.
o Priority: 3
8. Water Well Maintenance System (B21)
o Purpose: To provide automated recor4 keeping and scheduling of water
well and C12 equipment m.:Intenance.
o Features:
- Maintain a data base of the warerwell and C12 equipment inventory
and the results of well testing (efficiencies, etc.);
- Provide analysis reporting from historical data (testing results,
and exception reporting of wells and equipment due for maintenance;
and
- Provide for data entry and output production at the Municipal
Service Center.
o Primary Benefit: Reduced clerical effort in managing the water well
maintenance program.
o Priority: 2
9. Meter Inventory System (C9)
o Purpose: To provide automated record keeping and scheduling of water
flow metering device maintenance.
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o Features:
- Maintain a data base of the various metering device inventory,
Including location, and the results of testing and maintenance
performed on the devices;
- Provide analysis reporting from historical data (testing results)
and exception reporting of all devices due for maintenance; and
- Provide on-line inquiry capabilities for both the Public Works and
Finance (utility billing inquiry) through terminals located at City
Hall and the Municipal Service Center.
o Primary Benefit: Reduced clerical effort in managing the water
metering device maintenance program.
o Priority: 3
10. Street Sign Inventory System (C10)
c Purpose: To provide automated record keeping and scheduling of the
City's street sign maintenance program.
o Features:
- Maintain a data base of the various street signs and markings that
the City is responsible for maintaining, as well as other
information relating to maintenance of the signs/workings and
complaints by local citizens;
- Provide analysis reporting from historical maintenance and
complaint data as well as exception reporting of all signs/workings
due for maintenance;
- Provide data entry and report production facilities on location at
the Municipal Service Center; and
- Provide traffic signal inventory and maintenance record keeping and
reporting.
o Primary Benefit: Reduced clerical effort in managing the street
sign/marking maintenance program.
o Priority: 3
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11. Pump Station Main* ante Program (D1)
o Purpose: To provide automated record keeping and scheduling of pu=p
station equipment nainteuance.
o Features:
- Maintain a data base of the pump station equipment inventory,
Including location., and the results of equipment testing a nd
maintenance performed on the equipment;
- Provide analysis reporting from historical data (testing results)
and exception reporting of all equipment due for maintenance; and
- Provide data entry and report production capabilities at the
Municipal Service Center.
o Primary Benefit: Reduced clerical effort in managing the pump station
equipment maintenance program.
o Priority: 3
12. Vehicle/Equipment Maintenance System (A8)
o Purpose: To provide automated record keeping and scheduling of City
vehicle and equipment maintenance provided by Public Works.
Features:
- Maintain a data base of the various and equipment inventory,
including location, and the results of previous maintenance
performed;
- Provide analysis reporting from historical data (operating results)
and exception reporting of all items due for maintenance; and
- Provide on-line inquiry capabilities for both the Public Works and
Finance (fixed asset accounting) through terminals located at City
Hall and the Munic1pal Service Center.
o Primary Benefit: Reduced clerical effort in managing the vehicle and
equipment maintenance program.
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o Priority: 1
13. Warehouse Inventory Systes (B17)
o Purpose: To provide a standard, computerized inventory system for
vehicle and equipment parts and materials used by all City
departments, including Public Works.
o Features:
- Maintain dits base of standard inventory information for all
varehoused items;
- Perform automated inventory coutial calculations based on reorder
quantities and exception reporting of material ordering that needs
to take place, automatic generation of purchase order information;
- Perform automated tsporting of inventory consumption by department
and capital project; and
- Provide data entry and report production capability from the
warehouse location and on-line inquiry Po -Ability by the Purchasing
unit within the Finance Department.
o Primary Benefit: Reduce clerical effort needed to maintain and manage
the Public Works inventory.
o Priori: 2
14. Mapping System (B22)
o PurEose: To provide computer-aided design tools for the production of
base and system maps of the City.
o Features:
- Standard, automated CAD system with the capability to produce map
graphics in hard copy.
- Should maintain maps for the Public Works, CommuniCy Planning,
Fire, Finance, and Utility departments.
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o Primary Benefit: Reduction in amount of clerical effort needed to
currently drawn, trace and redraw City maps.
o Priority: 2
15. General Work Order Accounting (A10)
o Pose: To allow tracking of personnel and material costs against
defined capital improvement projects:
o Features:
- Tracking personnel time and cost by particular project, including
further breakdown by project tasks for Engineering division
activity;
- Interface with data on wareh;,use inventory system for material
usage costing;
- Generation of standard project cost analysis statements by work
order; and
-• Data entry and reporting capability from both City Rall and the
Municipal Service Center.
o Primary Benefit: Better management of capital iupr(,)vement projects.
o Priority: 3
16. Facility Maintenance System (Cll)
o Purpose: To provide automated record keeping and scheduling of City
fAcility and building maintenance.
o Features:
- Maintaia a data base of the various City properties, including
location and maintenance schedules for i:ie facilities;
- Provide analysis reporting from historical data and exception
reporting of all building faciliti.eu due for maintenance; and
- Provide on-line inquiry and reporting capabilities through
to:minals located at City Hall and the Public Works area.
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o Primary Benefit: Reduced clerical effort in managing the City's
facilities maintenance program.
o Priority: 3
17. Enhanced Personnel Reporting (A3)
o Purpose: To allow better tracking of personnel usage within the
department.
o Features:
- Improved reporting might be available from an existing, operational
system such as Payroll or could be implemented on a new
Personnel/Payroll system;
- Primary repo-aing requirement is an analysis of how such money is
spent on part time employees each month and year-to-date in the
department, including budgeted amount and actual amount;
- Summary reporting of sick leave and time-aff taken in current
period and year-to-date; and
- Additional reporting includes a year-to-date historical analysis of
cmplayes time not worked in the department.
o Primary Benefit: Better control over personnel -related expenditures
within the Publ:.c Works department.
o Priority: 3
18. Hord Processing - General (A22)
0 Mould like to utilise word processing to a greater degree within the
department for producing correspondence and other documentation. Each
secretary should have a word proceesing work station, and receive
.adequate training in its use.
o Priority: 2
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19. Encroachment Perait Inventory (923)
o Purpose: To provide an automated tickler file of key encroachment
permit information.
o Features:
- Maintain key encroachment permit information, including permit life
cycle, for quick inquiry purposes;
- Provide ad hoc inquiry capability to the Public Works and Community
Planning department based on several user -defined indices.
- Provide exception reporting capability based on user -defined
parameters.
u Primary Benefit: Reduced clerical effort in determining the existence
and Germs of encroachment permits held by the City.
o Priority: 2
20. Development File Index (924)
o Purpose: To provide an automated tickler file of key information
related to development and planning agreements made by the City vith
outaide parties.
o Features:
- Maintain key information. including document location, from the
following types of agreements:
Development Agreements,
Reimbursement Agreements, and
Other conditions and requirements that the City/developers must
abide by in developing property within the City's boundaries;
- Provide ad hoc inquiry from the Public Works department based on
several user -defined indices, including property identificction;
and
- Provide exception reporting capability based on user -defined
parameters.
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o Primary Benefit: Reduced clerical effort in design and planning work;
reduced probability of breach of agreement on the part of the City.
o Priority: 2
21. Other Requirements
o Access to up-to-date budget vs. actual expenditure information for the
department.
o Use of general civil engineering applications for the department's
Hevlett-Packard computer, including:
- File indexes for documents, saps, etc.;
- Master Planning tools for the SS/SD systema; and
- Other miscellaneous functions.
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DEPARTMENT OF PARKS AND RECREATION
ED DeBENEDETTI, DIRECTOR
Function
The Parks and Recreation Department is responsible for serving the
community by providing recreation programs and facilities. In providing
this service the department must perform the following general tasks:
- Identifying, planning and developing community recreation and program
needs, along with the necessary facilities to develop the program
interests;
- Publicizing recreational programs and encouraging community
participation in them;
- Register participants and schedule each activity or class and the use
of facilities;
- Form recreational leagues, schedule games, and supervise officials for
the leagues;
- Schedule work and maintenance for park and recreational facilities.
planning manpower distribution within the departments;
- Maintain park equipment inventory; and
- Maintain an accounts receivable/cash receipts operation for all
department -organized recreational activities, as well as for the use
of park facilities.
In performing these tasks, the department is responsible for the overall
management of approximately 25 full-time employees and 60-120 part time
employees. The department also is involved in fund raising activities
for recreai_ional programs, such as boys' sports (i.e., BOBS) . The
primary direction that the department is heading in the future is to
expand the present program offerings without requiring additional funds
or full-time personnel.
In providing service to the community, the department uses or maintains
the following information:
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Program records identifying data regarding the progrma organization,
participants, activity schedules, fee collections, and program costs;
Schedules and use records related to department facilities and parks;
Park equipment maintenance and inventory records; and
Payroll records and time caids related to both full and part-time
employees.
Interaction with Other Departments
The Parks and Recreation Department interacts on a daily basis with the
following other City departments:
o Finance Department: Parks and Recreation turns over collected fees
and charges to Finance. Parks and Recreation turns over time cards
and employee records to Finance for payroll processing.
o Electric Utility: Utility provides services for Parks and Recreation
facilities.
o Public Works: Public Works maintains and services the Parka and
Recreation vehicles.
Main Concerns/Issues
The following items have been cited by the Parks and Recreation
department as being concerns or issues that need to be addressed:
o Analysis of costs and revenues related to a particular program
currently is not available. Such information is necessary to set
equitable fees for the activities and to perform cost accounting
analysis of the programs;
o Breakdown of park maintenance costs is not adequate to perform cost
accounting/budget analysis;
o Distribution of fees and charges as to which fund they were submitted
(general fund, 0140 Reserve, BOBS) is not clear and can not be
effectively used to manage/control the department; and
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o Maintenance of program and facility schedules is too awkward and
error -prone as is currently being performed manually.
Possible Applications
1. Program Management System (D12)
o Purpose: To maintain and report information necessary to manage
recreational programs/classes offered by the department.
o Features:
- Provide a data base of recreation program information, including
data on:
• Participants (name, address, class name, age, etc.);
. Class/Program (coordinator, timing, location, enrollment, etc.);
and
• Employees (coordinator name and address, class/program, rare,
etc.);
- Provide reporting necessary for a program's operation, such as a
roster, and after a program is completed, such as participant
analysis or follow up mailings; and
- On-line access to data is not necessary.
o Primary Benefits; Elimination of extensive manual recordkeeping
perconnal requirements; availability of program analysis for
department planning and analysis.
o Priority: 2
2. Facility Scheduling System (0)
o Purpose: Protide real-time scheduling and related usage analysis of
the City's recreational facilities.
o Features:
- Maintpin schedule data on each of the City's recreational
facilities for at least 3 months into the future;
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- Provide on request, "what if" rescheduling of facilities
automatically (with as little operator intervention as possible)
based on changes to different factors that affect the schedule
(such as league, day of week, etc.); and
- Allow on-line terminal access from the department offices for
inquiry and data entry purposes.
o Primary Benefits: Improved service to program participants;
elimination of extensive manual calculations and errors associated
with facility scheduling and rescheduling.
o Priority: 1
3. Program Cost Accounting System (A10)
o Purpose: To provide the department with cost and revenue reporting by
program and activity.
o Features:
Maintain a "work order" type accounting record for each
class/program the department sponsors, including data on actual and
budgeted costs and revenues; and
Provide simple performance reporting on each program, including
budget and actual figures ai"i related variance.
o Primary Benefits: Ability to evaluate the financial feasibility of
specific program; ability to set more equitable fee structures between
different programs; ability to perform sero -based program budgeting
and better cost control.
o Priority: 1
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ELECTRIC UTILITY
DAVID CURRY, DIRECTOR
Function
The Electric Utility provides service to it customers located within the
City of Lodi. In providing this service the Utility is not only e
reseller of power it purchases from PG&E, but also is a participant !n
several power generation projects. In acting as both a producer and
distributor of electric power for Lodi, the Utility performs the
following general tasks:
o Operation and maintenance of the electric distribution system,
including utility substations and hundreds of miles of electrical
lines;
o Management of energy supply and demand, including such tasks as
load forecasting, energy cost analysis, and retail rate
development;
o Long range planning for expansion of the utility production and
distribution facilities including accompanying economic analysis;
o Maintenance of depattment equipment and vehicles and management of
a parts and materials warehouse; and
o Ongoing recordkeeping associated with management of the utility.
Future plans of the Utility focus on assuming its new role as a producer
and supplier of electric power and implementing the management systema
necessary to do no.
Possible Applications
NOTE: The system requirements of the electric utility are detailed in
the R.W. Beck report dated April 1, 1983. These applications %re
briefly outlined below.
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1. Electric SCADA System (A18)
o Purpose: To provide supervisory control of and data collection from
the electric utility system equipment. This would replace the
current, obsolete supervisory and control system.
o Features:
- Real time operation to control system flow and collect operating
data as well as access certain plant equipment data;
- Operation would require several remote terminal units (RTU) placed
throughout the system, linked to a central processor. Data
collection would be performed by the RTU system, with the central
processer dedicated to data processing and reporting; and
- The system would be readily expandible to support a larger electric
distribution system.
o Primary Benefit: The system is mandatory to operate safely,
efficiently and legally in the present electric utility environment.
o Priority: 1
2. Load Forecasting System (A19)
o Purpose: To enable the City to develop in-house load projections
based on historical and other data, as required in its agreement with
PG&E.
o Features:
- Perform extensive mathematical calculations automatically to
forecast load, based on historical average and peak data gathered
In SCADA;
- Provide extensive ad hoc analysis and provide input data for
spreadsheet calculations (see i3 below); and
- Availability to the system operas^r on a 24-hour basis for hourly
load forecasting.
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o Priority: I
3. Mathematical Spreadsheet Capability (A17)
o Purpose: :o allow Utility management and staff to performs, relatively
complex and tedious, but necessary, calculations required for
profitable operation of the utility.
o Features:
- The system would provide interactive algorithm development and data
entry capabilities, adequate to support calculations associated
with:
• Energy cost analysis,
• Retail rate development,
• Long range power supply planning,
• Capital project economic analysis, and
• Analysis of large customer load data; and
- The system should provide the capability to integrate calculations
with text and/or graphic representations.
o Primary Benefits: Extensive reduction In the time needed to manually
perform calculations, and greater accuracy in calculations.
o Priority: I
4. Inventory Control System (817)
o Purpose: To provide automated recordkec ping and control over utility
materials inventoried at the warehouse.
A standard inventory control system which could handle up to 2,000
items would suffice, with no special reporting capabilities.
o Priority: 3
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5. Equipme..t Cataloging System (C5)
o Purpose: To provide automated cataloging and control over various
Installed plant equipment.
o Features:
- Scheduling and exception reporting of preventative maintenance on
plant equipment. Also, downtime analysis reporting based ori
hiscorical data and other equipment cataloging/ reporting as
required.
o Priority: 3
6. Work Order Accounting System (A10)
o Purpose: To facilitate cost accounting analysis of costs associated
with engineering construction projects.
A standard work order accounting system would suffice, with no special
reporting requirements. The system would need to provide on request
reporting, however, and should provide for cost updating on a monthly
basis.
The system should interface directly with on inventory control system
for cost capture, if such an inventory system is available (see
application i4).
o Priority: 3
7. Distribution Load/Fault Analysis System (C6)
o Purpose: To provide "what if" analysis of system load/fault current
levels to help identify impact on the electrical distribution system
of certain conditions.
This is a very specialized 'industry' application.
o Priority: 3
A-67
APPENDIX $
APPLICATION/PRIORITY MATRIX
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Department Identification Code
1. City Manager's Off lce
2. Personnel
3. City Clerk's Office
4. City Attorney's Office
S. Police Department
6. Community Development Department
7. Finance Department
8. Fire Department
9. Public Library
10. Public Works Department
11. Recreation a Parks Department
12. Electric Utility
Definition of Priority Classifications
The following classifications apply to the priority ratings which appear
on the Application/Priority Matrix:
"1" Critical -- Critical to the operations of the department; has a
measurable impact on the direct services provided to the public.
"2" Desirable -- Desirable to the department and would resul! in
significant cost savings If implemented.
"3" Desirable -- Desirable to the department, or "nice to have", but
would not have a direct effect on services provided to the public or
identifiable cost savings.
"9" Unidentified -- The application was noted by the department as
something they sight like to nave, although no particular priority
Is associated with it.
B-4
APPENDIX C
MIS STEERING CO*UTTEE SUGGESTED GUIDELINES
CITY OF LODI
MIS STEERING COMMITTEE
SUGGESTED GUIDELINES
Why a steering committee to manage the data processing function?
Because it is the most effective way to ensure the fit of information
systems with the City's corporate strategy.
Too forces are making it necessary that Lodi adopt a steering committee
to manage data processing from an "executive" perspective:
1. Decentralisation
2• Strategic Choice
Suggested :uiaelines:
1. Frinctional - What the committee does.
2. EnpirIcwl - How will the committee operate.
Steering CoamIttee: Functional Guidelines
The most useful analogy for the steering committee is the City's City
Councils the committee functions as the compute: activity's council. It
links business strategy with computer strategy by setting a strategic
direction and determining the multiyear financial commitment. It
provides a forum where senior managers and users can discuss this
direction, match City concerns with technological potential, and build
commitment to policies.
The City's "City Council" for its computer activity has five essential
functions: direction setting, rationing, structuring, staffing, and
advising and auditing. Each of these functions are briefly discussed
below.
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o Direction Setting
The direction -setting function links the City's corporate strategy and
computer strategy. It consists of setting objectives for the use of
computers, formulating strategy to focus on these goals, devising
policies to ensure that the City's actions are consistent with these!
objectives, and reviewing and approving the long-range plan for
computers to guarantee that the approach for achieving these goals is
workable and is in line with the City's priorities and capabilities.
o Rationing
The rationing function reconciles the commitment of City resources to
computers with commitments to other City business activities. The
City's budget and capital appropriations process should govern their
computer activity, as they do other business functions. However, both
of these financial processes must have the benefit of a long-range
plan since the effective management of computers is a multiyear
proposition.
Screening of computer projects is related to capital appropriations,
but it has another important dimension: risk assessment. The
Implementation of computer projects may involve high technology and
extensive organizational change. Since both of these aspects involve
risk, it is essential to develop a process as an integral part of
capital appropriations whereby the potential benefits of proposed
computer projects are assessed against their potential risks.
o Structuring
The structuring function focuses on an appropriate organization design
to ensure effective use o: computers in the City. It deals directly
with tie centralizatiocx-vs.-decentralization issue and establishes
chartt&ta for various organizational units.
Usually the function is performed in a very low key manner, focusing
on the information systems organizational integration rather than on
the general organization structure.
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o Staffing
The structuring and staffing functions are closely related, because
the ideal organisation structure should sake the best use of the
computer activities most important to the U ty's business objectives
and should build around key personnel.
o Advising i Auditing
The advise and audit function keeps the computer activity on track.
Through advising, the committee assists top computer managers with
problem solving. In execution of a long-range plan, the unexpected
inevitably happens. It can take the form of failure of a vendor to
deliver a piece of hardware on schedule or even completion of an
important project ahead of the due date. Since only the issues that
significantly affect the long-range plan or policy should come to the
oteering committee for its advice, a structure for presenting issues
is necessary. The advice function is analagous to the role the City
Council performs for the top management at Lodi.
The audit function evaluates the City's performance in using
computers. Having a good state*:nt of objectives and a long-range
plan is essential to this function. The audit is best done annually
and should be conducted by a relative outsider to ensure objectivity.
All aspects of the computer activity should be audited against the
long-range plan. In addition to evaluating performance, the audit
review plays a central role :In helping the committee learn about
opportunities and issues in applying computer technology.
Each of these various functions and functional tasks have been ranked
according to "perceived" importance, both to senior management and DP
management, as shown in Exhibit 1. `chile Lodi's environment is unique
and therefore will differ to some axtent from the rankings shown here,
thaso rankings will provide a guideline for incorporating the functions
into a steering cow.Aittee charter.
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It is important to note also that the committee should not try to take on
more than it can handle when adopting a charter. Bather, the committee
should evolve into handling all functions, starting with a single
function on its initial agendas. Evolution is a necessity, because it
allows the committee members to develop an adequate conceptual framework
with which to execute all primary functions. Exhibit 2 shows a possible
stepwise approach which allows the steering committee to master and
function and check how best to execute it before moving on to the next
function.
It is also important that the charter evolve because both the strategic
objectives of the Citi• and the technology available to support them will
change over time. Thve the composition and calendar adopted by the
cosmittee in 1984 may not be appropriate in 1985. Finally, while the
charter and approach adopted by the City may be sound in the aggregate,
orgauisation design is highly dependent on the City's "corporate
culture." So this culture must be considered in the ongoing structuring
sud employing of the steering committee.
Steering Committee: Empirical ..sidelines
In order to be successful, the steering committee must not only adopt a
charter that is appropriate within the City of Lodi, but they etust ai,so
set up operational practices that will allow for a smooth and low
frustration start-up. The following guidelines should holp to develop
operational practices for the steering committee.
Frequency of meetings: monthly or quarterly
Length of meetings: one to two hours
Number of members: six to eight (major departvents represented)
Staff Support: Task forces of committee and other City personnel as
detailed projects are undertaken
Data processing department
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Function
Importance
Senior DP
Management Management Overall
(SM) (DP) Rating
Direction getting: 1
o Establish company -vide
1
1
objectives and policies
for computer technology
o Review and approve/update
2
2
long-range plan
Rationing:
o Review and approve
6
S
annual budgets
o Reviev and approve major
S
4
computer-related capital
appropriations (e.g., facilities,
hardware)
o Major project approval
3
3
and screening
Structuring:
o Develop, maintain and
7
7
revise steering committee
charter.
o Review and approve organisation
8
8
structures and changes
Staffing:
o Selection of key managers
10
10
for computer activity
Advising and Auditing:
o Monitor and review major
4
6
projects
o Advise and audit key
9
9
manager's performance
Exhibit 1 - Rating of EDP Steering Committee
Functions
Source: Survey performed by Nolan,
Worton 6
Company,
Inc., and reported in the
Harvard Business Review,
July -August, 1982.)
C -S
2
SH: 4 DP: 3
S
SM: 3 DP: 4
Function
Staffing:
o Selection of key managers
for computer activity
Advising and Auditing:
o Monitor and reviev major
projects
o Advise and audit key
manager's performance
Importance
Senior DP
Management Management Overall
(SM) (DP) Rating
10 10
SM: 3 DP: 4
4 6
9 9
Exhibit 1 - Rating of EDP Steering Committee Functions
(Source: Survey performed by Nolan, Worton i Company,
Inc., and reported in the Harvard Business Reviev,
July -August, 1982.)
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100%
Percentage
of time
spent on
activities
Advising/
Rationing Auditing
Direction
Executing Setting
Functions
Structuring
L L I ---
0 1 3 S
Approximate
Time in Years
Exhibit 2 Evolution of functions/activities of the City•s steering
committee
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Staffing
APPENDIX D
FEASIBILITY STUDY GUIDELINES
INTRODUCTION
Feasibility studies represent the primary bridge between long-range
strategic planning and actual, data-processing projects. The studies
usually address one-time requirements (e.g., a single EDP issue or
application) and have the objective of examining present methods of
operation and recommending a method of best meeting the requirement. For
example, a particular need w1hich is identified asa candidate for
automation on the Ci,.y's long range plan may be implementable through
rieveral methods, such as in-house development, public -domain softi-mre,
contract development or non-public packages (through a Request :or
Proposal approach). The purpose of the feasibility study is to rector=^ne.
the optimal approach. The study results would be based on research
performed by an ad hoc "study team", made up of a steering comaittte
member, a user department representative and a data processing person.
In addition, outside consultants may be tined. The study team wouldbe
responsible for reporting its results to the steering committee at large
as well as the user department(s). They in turn would report, through
the budgeting or special appropriation process to the City Manager -
Mayor - City Council.
i`wo thoughts should be considered when preparing to conduct a feasibility
study. First, the study should not be oriented to directly modify the
long range pian. Rather, they represent different tasks within the long
range plan that need to be completed in fulfilling the plan. Seconal, to
as great a degtae as possible political or parochial views should be
avoided in completing a study, as they way hinder or delay the
implementation of the recommendations made :'.n the study. Difficulties do
occur in implementing any system, as Machltvelli points out in The
Prince:
It must be remembered that there is nothing more difficult to -tan,
more doubtful of success, nor more dangerous to manage, than the
creation of a new system. For the initiator has the enmity of all
who would profit by the preservation of .the old institutions and
merely lukewarm defenders in those who would gain by the new ones.
D-1
Orgainisational structures ctn be considered during the feasibility study
in identifying the optimal solution, but "political" ramifications are
best left to the arena of the City Council.
Organising the Feasibility Study
The initiating party, possibly the Steering Committee, should state in a
memorandum the need for the study, and identify:
o The purpose of the study - Why and what.
o Brief hackground of the project - Brief information leading up to the
study specifically reference the long range plan if appropriate)
o Scope of feasibility study - Activities, and limit of study.
o Team larder or chairman and members - The leader should be brought in
on the plannit.g at the outset.
o What information and actions are needed - Statistics and parameters
should be considered.
o Problem or problems to be solved - What functional areas or how
efficiency will be improved.
o Progress reporting - Reporting schedule and procedures to follow.
o Completion date - Realistic, allow sufficient time.
Depending on the particular requirement, different levels of feasibility
studies any be performed. Some feasibility studies may require
background analysis, in-depth study of the present method of operation of
an on-going system, and the future implication of implementing a new or
modified system. Sone may "require" a less complex involvement. In any
case the feasibility study should address a single functional area. For
instance, if a task in the long-range plan is to identify on
implementation scheme for a specific application and to carry out the
implementation, then the feasibility may be divided into the following
"sub -tasks":
- Identify unique requirements of application,
- Identify alternate methods of implementing the system within the
context of the long-range plan and the costs and benefits associated
with each, and
D-2
— Recommend an implementation strategy for the application.
The result of the feasibility study would be the recommended strategy,
f ram which a successful implementation could be performed.
Kembers of a study team should have a current background and experience
in the functional areas in which they are to study. The team or the
individual should be skilled in systems work, and understand methods and
techniques presently in use. Individuals should also possess mature
judgment, be expert in the subject matter they are studying, and have
technical and working knowledge of computers. The team members' overall
background should be heavy in operations rather than technical or
p rogr-mming oriented. The team may be comprised of members from various
departments of the City. The members would be "on loan" to the
feasibility efforts until the project is finished.
The personnel selected "n conduct a study should be dedicated and loyal
employees who plan to remain with the City. Regardless of how well a
study is documented, invariably many questions arise that only the author
of the study can answer. It is important that the team leader, or
individual who did the study remain with the project until it is
implemented.
A general feasibility study is probably best addressed in three phases:
Part 1. Learn and Understand the Present Methods
o What are the weaknesses and strong points?
o What are the functional tacks and activities involved?
o Hou are the tasks now performA?
o What time constraints exist?
o Where are the tasks performed?
o What inputs and outputs are involved?
Part 2. Conceptual Design of the New System
o Determine the present and foreseeable future requirements and
objectives.
o Combine the requirements of the old system with new concepts.
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o Work out the design concepts of the new system.
o Analyse the design for workability, see if it meets intermediate and
longer term requirements, and look for possible alternate approaches.
Part 3. Economic Analysis and Work Plans
o Cost out the new system including costs of personnel, training
overhead, EDP equipment, and supplies. Amortise conversion expenses
and costs of study.
o Cost out old system on comparable items. Project for three years or
more .
o Use discounted cash flow method for e.valua*.ions.
o Set up a schedule for the work to be done, s'aowing cost incurred at
the various stages.
Each part and step will vary depending on the particular study subject,
but this technique will help to break the study down into functional
aras. In some cases, one or two of the parts mentioned above may not
even apply. This should be determined it the beginning of the study.
Things to Consider in Performing a Feasibility Study
In order to perform the feasibility study effectively and recommend
appropriate actions for the City, the studl team or analyst (individual)
should consider the following issues. This should help the team or
analyst deal with the approach, consideration, techniques and method of
writing and presenting a feasibility study.
A feasibility study may be required because of the following:
o Changes in the hardware or software techniques,
o An obsolete system or procedure,
o Converting from a manual to an automated system,
o Updating an automated system,
o Recurring software, hardware, or operational problems,
o Changes in operational philosophy and,
o Now requirement from user/customer, or management.
D-4
Sef ora the team or analyst starts the study, they should understand well
the purpose of the study. Planning in an important aspect of research.
Planning what to write and preparing an outline, will save much time and
will ensure the ultimate success of the feasibility study. After the
Lean or analyst has determined what they are to write about and why the
study is necessary, they should ask themselves the following questions:
o What is the study about?
o What is the purpose of the study?
o Do I understand clearly the objective for the study?
o What additional research material or documentation do I need?
o Who will read the study?
o What is the reader's background and experience level?
Unless the team or analyst has a background in the system in which they
are to write a feasibility study, they may have difficulty in answering
the above questions. The team or analyst may have to do considerable
reading of existing documentation to get themselves "on -board.' They
will find it necessary to talk with anpartmental and data processing
personnel who are involved in the software and operational management of
the present system.
Until it is clear to the team/analyst what is to be done, they should
seek help through existing documentation, and consult with department and
data processing personnel. The team/analyst mr.st know what they are to
accomplish in order to write a meaningful feasibility study. They should
know the following:
o What they are going to do,
o What they want to du,
o How they can do it,
o The documentation or where to find the material that they need to do
the study,
Jhe reliability of the source,
0 How it is to be done,
o The time period to complete the study,
0 the individual or group that they would like to review and critique
the study,
D -S
o When to find help in answering questions, and
o The readers of the study.
If these things are understood by the team/analyst, they will have no
difficulty in performing and documenting a meaningful feasibility study.
PREPARING THE FEASIBILITY STUDY
If the team has answered the above questions satisfactorily, they should
not have a problem in preparing the feasibility study. The basic format
of a feasibility study's results should include the facts and data
related to the study, followed by recommendations for a solution to the
problem (Remember: the feasibility study should address a particular
problem of an EDP requirement.)
The feasibility study should be prepared in an easy reading format. The
study should have a title page, giving the subject of the feasibility,
the author, and date. There should be a table of contents containing
major topic subjc_ts and sub -topics, and a list of appendixes, if any.
The title page and table of contents should be prepared after the body of
the feasibility study has been typed in final draft copy.
The body of the feasibility study should contain the following major
topics as a minimum:
1. Introduction Statement
2. Problem
3. Purpose of StuA--
4. Factors Bearing on the Problem
S. Discussion
6. Conclusion
1. Introduction Stateme ., should be the opening topic of tho
feasibility study and should identify the department or unit that
requiro,! the feasibility study. Any correspondence that tasked your
organisation to conduct the study (reques- for dp resource, etc.) and
other correspondence relating to the subject should also be
in the introduction statement.
D-6
2. Problem, the second topic of the study, thould consist of one or two
short paragraphs stating the problem in concrete terms, with no
discussion. The problem which has been identified by management
should briefly be reiterated. The problem statement reacquaints
management with the problem.
3. Purpose of the Study, should be the third topic of the study. Here,
the writer should restate briefly the purpose of the feasibility
study. This should be a brief statement to clarify what the study is
about. The writer should identify his solution of the problem in two
or three sentences. The details should be saved and discussed under
the major topic, Discussion.
4. Factors Bearing on the Problem, the fourth topic of the study, is the
section that supports the writer's solution to the problem. It
contains the pertinent Facts, Assumptions and Standards used to guide
the writer in developing the feasibility study.
The writer's facts are most important. The writer should research
available material on the subject and extract facts that will lend
support to his solution to the problems. The writer should list
those facts that can be proved, and other supporting evidence t%st is
recognised as customs or practices commonly accepted. The analyst
should do his own research. He should not rely on the "swivel chair
experts." A writer who misinterprets the facts or lists something
that is not factual is committing a serious error. The reader, aftar
discovering an incorrect statement or unsupported evidence, will lose
faith in the validity of the study, and the competency of the writer
will be questioned.
The analyst should not be too eager to accept the printed facts. He
should weigh the facts against his experience and observations. He
should not let his mind become cluttered with other people's facts
and logic. 'the analyst should take the time to research and think
through the validity of his own logic. He should identify the source
of his facts and supporting evidence.
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Most people, simply by applying a few sound principles, could THINK
more effectively than they do. Too many of us are awsd by the
experts, preferring to let them do our thinking for us. We fail to
realize three fundamental principles about thinking, which, if
recognized, will strengthen our confidence in our own ability to
think:
1. Knowledge doesn't come from books - it comes from human
observations an deductions. That's how it got in the books in
the first place. The most important knowledge we possess comes
from observing and thinking, not from reading books or listening
to profr_asors.
2. It's ALWAYS worthwhile to try to think for yourself. Study the
available facts and apply your own imagination and logic.
Sometimes you can find the right answer -- or a perfectly good
answer - despite lack of experience.
3. Be wary of the "expert." If what he says doe,.-n't agree with what
you have seen and deduced for yourself, sake allowances for the
fact that he may be wrong. Books and experts ofter are.
Assumptions - are the opinions of the writer. His opinions should be
based on experience, research, and on observation. Assumptions may
or say not be true. but for the purpose of the feasibility study,
the assumptions must be accepted as the basis for the writer's
reasoning, and they should be considered as true assumptions. The
analyst shotild be careful not to use generalizations. He should
present assumptions that are plausible. Too many generalizations in
a feasibility study will invalidate the study and degrade the
competence of the analyst.
Standards - or city policy, that are binding upon the writer and have
a bearing upon the solution should be identified. Standards or
policy guides that the study team used to test the validity of the
study should be identified also.
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There three sub—topics — "Pacts," "Assumptions" and "Standards" —
should be written in separate paragraphs in sufficient detail to
Identify the criteria used as the source for the writer's rationale
In developing the feasibility study. In presenting facts,
assumptions, and standards, the analyst should make sure of the
following:
o That the facts are true and can be proved,
o That the facts are pertinent,
o The facts are distinguished from assumptions,
o That assumptions are logical rather than generalized in nature,
o That the company standards were accurate and current,
o That all standards and policy guides have a bearing on the
subject, and
o That the source and authority for the facts, supporting material,
and standards are identified.
3. Discussion should be the fifth major topic of the study. Under this
topic, the analyst presents his solution to the problem. He outlines
his approach and elaborates on the solution that he feels will
resolve the problem. He should weigh the solution that he proposes
against the facts, standards, and policy guides which the writer
should have identified under "Factors Bearing on the Problem."
If the analyst presents several solutions, he should identify the one
that he feels most logically would resolve the problem. He should
give reasons as to why he chose a particular solution. The writer
should use analogies and show how he weighed one solution against the
other.
In the majority of feasibility studies, the analyst will not be asked
to consider several different solutions to a particular problem. He
will be asked to provide only one solutiou the best solution to a
problem.
This topic Discussion will, no doubt, be the longest section of the
study. It may be desirable to give some background information.
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This say help to clarify and identify the problem. Although
management may have previously identified the problem, due to the
time that has elapsed since th4 feasibility study was assigned and
during the period —4 --tired to complete the dtudy, management may not
readily recall the details of the problem. Depending on the nature
of the problem, several paragraphs may be required to give sufficient
background information.
The Discussion topic should be written in a positive and
straightforward manner. The writer should sound convincing. His
facts should back him up. He should write as if he were an expert or
an authority on the subject of which he writes. If the analyst has
done adequate research, he will be able to do this. The analyst
should not use hedge words, or verbose or pompous writing. The
analyst should keep in mind the following:
o Make the Discussion as brief as possible but not to the point that
clarity is sacrificed.
o Maintain a coherent and logical thought process throughout the
writing.
o Explain the rationale used by showing the reader hor> you reasoned
the problem through.
o Let the logic of your argument and facts, rather than your
emotions or personal convictions, convince t.:e reader.
If the suggestions contained in this report are followed, the analyst
will be able to write a factual, convincing, ana meaningful document.
To know if he has followed good writing techniques, the analyst
should ask himself the following questions:
o Is the material well organized?
o Does it follow an easy reading format?
o Axe the paragraphs short and confined to one topic?
o Are there transition sentences or words from one paragraph to
another?
o Are the sentences concise, clear, and short?
o Are the modifiers placed close to words they modify?
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o Is the study free of generalisations and prolix writing?
o Are the sentences logically constructed?
o Is the punctuatioa adequate?
o Are the facts true?
o Are the assumptions based on experience, research, and
observations?
o Are terms and abbreviations defined in a glossary;
6. Conclusion is the caption of the final topic. This toric would be
the writer's sumation. Here, the analyst would restate in concise
language a workable and realistic solution to the problem, and should
sot present new facts or alternate solutions. The writer should
simply restate the solution and arguments presented in the
feasibility study, being careful to limit the conclusion to a few
short paragraphs.
ILLUSTRATIONS AND APPENDIXES
The team should use supplemental material to support the feasibility
study. If he feels that quotation and footnotes will not support his
study, the writer should attach supporting evidence as appendixes and
Illustrations to the feasibility study. Illustrations such as tables,
graphs and diagrams are helpful in clari;ying a certain portion of the
text, and should be placed close to the text that they support. The text
should refer the reader to the illustration that supports the text;
otherwise, the reader may not associate the illustration with the text.
If the feasibility study contains terms, abbreviations and acronyms, the
analyst should prepare a glossary to define those terms used in the
study. The glossary should be included as an appendix.
REVIVING ANIS CRITIQUING THE FEASIBILITY STUDY
After the final revision (but before the final typing) of the feasibility
study, the analyst should ask someone to review the study. The purpose
for the review is to correct misleading or incorrect facts and to test
tie soundness of opinions and assumptions and the logic of the concepts
as presented in the study.
The document should be reviewed by another analyst or a person
knowledgeable on the subject. The writer soon gets to 1 -now individuals
w10 "nit-pick" a document and play on words. Such people overlook
completely the purpose for the review. They suggest semantic changes
that do not change the concept or meaning of a sentence or paragraph.
Corrections to obvious grammatical errors and constructive comments on an
awkwardly worded sentence or paragraph are appreciated by the writer.
The analyst should shun individuals who try to engage his in a dialogue
ahout semantics. Self-appointed experts of the English language should
be avoided also. The English language is not static - it is constantly
ebanging. The language is for communicating ideas. If it does this, it
has served its purpose.
DISPOSITION OF THE FEASIBILITY STUDY
After the final critique and production, the feasibility study should be
appropriately bound for presentation. In most cases the study should
include a transmittal letter, especially if the study is being presented
to a particular department, the City Manager or Council.
The transmittal letter, which should be two or three paragraphs long, may
serve as an abstract for the study. It should identify the subject of
the study, who authorised it, and explain what the document is about.
The explanation can be accomplished by briefly stating what is discussed
In the study.
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APPMMIX E
REQUEST FOR PROPOSAL GUIDELINES
REQUEST FOR PROPOSAL GUIDELINES
A critical task in the hardware and/or software selection process is the
preparation of a Request for Proposal (RFP). The RFP perform* several
functions. First, it should help to define the data processing needs of
the City by documenting the requirements. Second, it should communicate
those needs uniformly to all vendors. Finally, it should serve as a
guideline for evaluating the proposals that will be received from
vendors.
The RFP should also serve as the guideline for evaluating proposals. It
should be possible to evaluate proposals against a checklist prepared
from the RFP. Proposals that are poorly structured, that fail to address
significant information needs, or that do not comply with "ground rules"
set forth in the RFP may be considered inadequate.
An RFP for a complete hardware and software selection should consist of
five major sections:
I. Statement of Purpose/Proposal Guidelines
A. hover Letter
B. General Information
C. Proposal Guidelines
II. Current Applications Descriptions
M. Proposed Applications Descriptions
IV. Technical Requirements Narrative*
V. Uniform Vendor Questionnaires
A. Vendor Specifics
B. Hardware Specifics
C. Application Specifics
The steps, moat notably those in the questionnaire, may change depending
an the nature of the calection. In the case sof a financial application,
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the questionnaire would emphasise hardware/system software compatibility
with the current IBM environment rather than evaluating a complete new
hardware system. In the case of a complete hardware/software solution
like SCADA, the complete hardware/ software guidelines Mould be followed,
In the RFP (the 'complete" solution is addressed here for reference
purposes).
Based upon the experience of E&W selection engagements we have found that
a major task is to identify the best two or three alternatives. After
identification of these alternatives, the final screening process of
demonstration, benchmarking, and negotiation (if necessary) are
relatively straightforward in determining a "best possible" computer
alternative. The primary activity, then, is to isolate those two or
three candidates from the field of participants. Resolution of how well
each vendor has not the requirements presented in the RFP is accomplished
by a simultaneous review of the proposal and Important control points.
Initial evaluretion of each proposed system requires that the City
consider and appraise each system on Control Points. Those Control
Points should deal with software, hardware, and related vendor
capabilities. There are 26 Control Points which we believe must be
evaluated, t*Uch are:
- Central Processor Performance
- Vendor Reputation
- Peripharal Performance
- Vendor Kxperience
- Remote Device Performance
- Operating System
- Environmental Requirements
- Programming Languages
- Hardware Expandability
- Product Compatibility
- Sardware Reliability
- Vendor Acquisition Techniques
- Interactive Mature
- System Availability
- operational $ass
- Direct Costs
- Vendor Support
- Indirect Costs
- Types of Cost Commitments
- ,Applications Documentation
- Application Software Suitability
- Applications Controls
(Processing i Reporting per
- Applications Conversion
application)
- Utility Software
- Applications Modularity
- Support Software
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Depending on the purpose of the RFP, certain cont:'ol points will not
apply and should not be considered (e.g., an RFP for application software
would not necessarily address all hardware control points).
HARDWARE EVALUATION
Significant dissimilarity in computer hardware (outside of cost) is rare.
Therefore, it is the task of the City to find any significant
dissimilarities which may impact the relative effectiveness of the
couputer hardware to support applications requirements. It is the
responsibility of the vendor to match the appropriate hardware for the
required applicatons software systems. It is the responsibility of the
City to ensure that the vendor has performed that task adequately.
The process of evalustiag hardware performance relative to Control Points
places a great deal of reliance upon the City's technical familiarity
with computers. In addition, the City may have to probe the hardware
specifications of the proposal and outside reference sources to fully
augment and verify the evaluation of hardware and component performance.
Central Processor
For most applications, the central processing unit specified by the
vendor will be adequate, as the CPU typcially spends a large percentaRe
of its time waiting for data retrieved from secondary storage. As the
number of users of the system goes up, however, central processing unit
capabilities become more critical.
As most small systems are targeted for operation by user personnel and
not data center operations personnel, the interactive nature of the
system becomes an important factor. To support operating software of an
interactive nature, the system should be interrupt -driven and have a real
time clock. Other factors to consider are:
o Proposed memory capacity determining the limits of potential storage;
o Type of memory as an indicator of the state of technology used;
o maximum data movement rate as an indication of the speed of the
machine;
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o Power failure detection serving to protect circuitry power
fluctuations as they occur; and
a lhaeber of addressable channels providing an insight into the
expandability and flexibility of the equipment.
Peripherals
Storage capacities and access times of disks, speed of magnetic tape
devices, and print Yate of printers specified will help to determine
whether the hardware configuration is physically capable of handling
applications, exclusive of software overhead considerations. An outline
of current offerings in the peripherals area follows below.
Disk Drives
Most random accessmaus storage is currently provided by disk drives.
Some types and general characteristics are:
o Fixed disk drives (conventional or Winchester technology):
- Fixed head, capacity 256 K bytes to 8 M bytes, and
- loving head, capacity 5 M bytes and up; and
o Removable media disk drives (utilising disk packs, data modules, and
cartridges):
Bard surface disk, capacity 2 M bytes to 200 M bytes, and
Floppy disk, capacity 150 K bytes to 2 M bytes.
Magnetic Tape Units
Magnetic tape units are used to store large amounts of sequential data,
such as archival volumes, audit journals, or images of disk packs. Three
main types are presently available:
- cassette tape (lowest capacity),
- Data cartridge tape, and
- Reel-to-reel tape (highest capacity).
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Printers
There is a wide selection of computer printers for production of
hard -copy output:
- Character printers (up to 200 characters per second),
- Dot matrix,
- Thermal (requires treated paper),
- "Daisy wheel" (high quality printing),
- Print ball (high quality printing),
- Line printers (up to 1800 lines per minute),
- Chain train,
- Band,
- Drum, and
- Electrostatic (requires treated paper).
The following criteria should be considered during the selection of
peripherals:
o Transfer rate serves as a limiting factor on the speed of the total
system;
o Ca acit in consideration of expected growth factors;
o Price, both in term of direct and indirect costs (such as media and
maintenance);
o Single vendor availability to avoid considerable difficulties with
multi -vendor relationships; and
o Mean time before failure as peripherals typically are the highest
maintanance cost item in a system.
Remote Devices
Remote devices, such as teleprinters, video displays, and associated
communications support equipment, serve as the human interface to the
sy�rtea. As these devices are the only part of the system with which many
users will have direct contact, an effort should be made to select
terminals which take into consideration human factors such as legibility
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of displayed characters, the -feel" of the keyboard, transmission rate,
etc., within the constraints established by the City.
While terminals have standard electrical interfaces, the transmission
modes, edit and display capabilities, and costs can vary widely. Factors
to consider are:
o Maximum number of terminals supported by a single controller to
anticipate needs for expansion and backup;
o Local screen printers provide the option to produce local hard copy of
video displays;
o Vendor installed cabling to eliminate a hidden cost item and provide a
guarantee of suitability; and
o Number of remote devices proposed is an indication of the
understanding by the vendor of the City's requirements.
Environmental Requirements
The trend in small business systems is toward operation in a normal
office environment. Review of equipment environmental requirements
should consider:
o Maximum power consumption directly impacts the monthly operating costs
of the system;
0 Electrical requirements in that special wiring -tan be an unanticipated
cost item;
o Temperature tolerances indicate the possible need for air conditioning
facilities; and
o Requirement for raised flooring which adds considerably to site
preparation costs.
Expandability
Practically all automated systems expan! in one ray or another. if
growth is not in the number and complexity of functions, then it is in
file sizes, transaction volumes, and number of user teratinals. The
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following are hardware expansion considerations to be evaluated in
support of this growth:
o Maximum memory available serves as a limit to expansion;
o compatible product line allows for upgrades to larger processors on
attractive terms from the vendor;
o Maximum number of remote de -'-es on a currently installed system serve
as a check on vendor claims for terminal capacity; and
o Networking capabilities would allow for the connection of a multiple
systems and preserve the option of expansion.
Reliability
The number and length of failures of the hardware configruuation can have
substantial impact on a system's operations. Users tend to base their
co..ceptions about the quality of the system on its continued
arailability• The following are gauges by which system failure and
re pair rates can be measured:
o Mean time before failure and mean time to repair statistics serve as
an indication of potential maintenance costs.
o Built-in error diagnosis equipment adds to system cost but reduces
ongoing maintenance fees.
o Scheduled preventative maintenance makes a significant contribution to
system reliability.
o Redundant devices increase costs but reduce the risks associated with
equipment failure.
o Remote diagnostic capability_helps to pinpoint the system failure so
that the engineer can arrive on the site with the proper repair
parts.
Costs
The average purchase price of small systems hardware Is steadily
declining for most components. The central processing unit is among the
least expensive portions of the system, with peripherals generally being
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the most costly system components. Review, of cost considerations should
examine:
o Hidden cost items such as installation, maintenance, warranty,
documentation, and training
o Vendor paid shipping costs which can substantially reduce start up
costs;
o Warranty terms which should include all parts, labor, and traveling
tine; and
o 1jype and cost of maintenance agreement, which should be clearly
defined.
SOFTWARE EVALUATION
The City should concentrate the greatest amount of effort in determining
which vendor most closely meets the needs of each application and system
software feature. The weakest link in the history of modern computing
has been the availability of acceptable applications and systems
software. It therefore becomes a necessity to review the related
softu,+re-related questionnaire responses in great detail along with
supporting documentation from the corresponding vendor proposal.
pro_ gramaing Language
The City should consider the following criteria when reviewing vendor
responses regarding programming languages:
o Language availability should stress the most popular languages (AASIC,
FCRTRAN, and COBOL).
o Sts,ndardisation of language should comply with the American National
Standards Institute's (ANSI) standards.
o Languages should be implemented in a compiler version to reduce system
overhead during processing.
o Compilation speed is a good measure of the speed of the machine.
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Sjstem Utilities
This section presents some of the types and characteristics of common
system utilities. Among these, the capabilities of the file maintenance
and disk backup utilities are typically the most important in normal data
processing environments. The following system utilities say prove useful
to the City:
o File maintenance programs should be available to copy, add, delete,
and extend data bele files.
o System backup programs to transfer to disk or tape should be available
as a safety measure, in addition to the ability to restore the system
from one of these media.
o Sorting utilities must have speed to avoid ±%onopolizing system
resources.
o System message utilities allow communications between terminals on the
system•
Operating System
Most computer systems today are interactive, utilizing real time, on-line
operating software, and supporting multiple users. T:�e City should
consider the following criteria when reviewing vendor responses regarding
the operating system:
o Real time operating system provides interactive capabilities.
o Memory control techniques can have a significant effect on the
throughput and flexibility of the system.
o Multi-user, multi -tasking capability is essential..when there will be
more than one terminal being used at a time.
o System performance displ! s show the state of the system for tuning
and fault detection.
o Memory requirement for the operating system itself must bs,.- considered
in evaluating the adequacy of a system.
o Maturity of the operating system is a matter of compromise between
state-of-the-art software, which may be unproven in relationship to
reliable, yet antiquated systems.
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o Batch environment involves the ability to run batch and on-line
applications concurrently.
System Support Software
System support software ranges in sophistication from simple print
epoolers to complete transaction processing environments. The evolution
of support software is directed towards the development of report and
screen formats by personnel without data processing backgrounds, reducing
the involvement and associated costs of programmers. The followign
system uupport software may move useful to the City:
o. Print spoolers are important as they allow terminal operations to
continue while reports are being primed.
o Job accounting enables recording of system use.
o Password security is Important to protect sensitive data.
o Database management systems facilitate the generation of special
reporting on a query basis.
o Report writers allow custom formatting of existing data and the
composition of new reports.
Product Compatibility
It is important that the City considers the extent to which oysters
vendors adopt a philosophy of consistency across their software product
line, as it not only maintains a growth potential for their customers but
also reduces costs of system software development, conversion
difficulties, and internal and external training. The City should
consider the following criteria regarding the vendor's product
compatibility:
o Standard la ua es can save considerable time, effort, and costa
during configuration upgraden.
o Compatible op!trating systema across the product line indicate the
vendor's commitment to the operatigg system.
o Consisten syatem utilities eliminate the need for new procedures or
training during system upgrades -
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o Release dependency is important in that care should be taken to
prevent the current release software being outmoded.
o Uniform file structure throughout the product line assists in the
system upgrading.
Interactive Nature
With computer operation's responsibility directed to the user area,
factors dealing with the system's on-line procedures, transaction
recovery, and response time are becoming increasingly important. We
believe the City should consider the following:
o Ability to specify screen formats should be independent of the
programa to increase their flexibility.
o Transaction logging and recovery assures that All transactions
initiated will be followed to completion independent of equipment
interruptions.
o Multiple aellication mceess enhances the productivity and backup
capabilitiep of the system.
o Ability to assign priorities to remote devices ensures that those
devices supporting the most critical or tine -dependent functions will
be given the highost priority.
0 erational Base
Computer aysten operational procedures are continuing to be reduced in
complexity, with the system itself automating functions such as etart-up,
recovery, and fault diagnostics. Important factors to consider are:
u Abilit.+ to transfer among applications at a terminal (especially
Important is carrying out successive stages of common functions);
o Automatic restart after system fallures (improves system availability
and improves integrity of data);
o Time required for backup (this dail; operation can reduce the on -lien
time of the system.
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Applications Documentation
The objectives of applications documentation should be to: 1) provide an
understaniing of application inputs, processing, outputs, and
Interrelationships on both a summary and distail level so as to serve both
training and maintenance concerns; 2) clearly specify normal user and
operator procedures; and 3) serve as a reference to aid in recognising
and resolving error conditions. The following documentation should be
provided by the vendor and be of high quality:
o Technical documentation serves as a hedge against the discontinuation
of the vendor's support;
o User documentation leads to increased understanding and auditability
of the system;
o Documentation update services should be provided by the vendor;
o Error messages should be defined as to an explanation of its cause and
suggested action for correction;
o Source Listings should be available and annotated by narrative for
each processing step;
o Record layouts should include the name of the file and names,
descriptions, and lengths of fields; and
o Recovery procedures should be collected in one place and easily
understandable.
Applications Control
The loss of segregr.tion of function introduced by modern systems
Installed and operated in and -user departments mandate strong controls,
as does their interactive nature. As changes to the data base take place
on a real-time transactional basis, stringint input and authorisation
limitations and processing histories are a necessity for asuditability.
Proper controls include:
0 Validation of input should take placL, before file update;
o Flagging of errors should explain the cause of the error with
suggested corrective action;
o Pasmmrd security should be used for system access, application
access, and, in some cases, this security should be extended to the
file level;
o Authorisation levels should be estaulished for segregation of duties
on a functional level; and
o Bash and batch totals should be fostered to assure the integrity of
batch data.
Applications Conversion
An often neglected aspect of the system evaluation process is the amount
and type of vendor -supplied conversion support. Conversion of manual or
automated data bases is generally a major undertaking and rapidly
increases in complexity, time, and resource requirements with the size
and number of interrelated files. The following criteria should be
considered:
o Vendor -assisted conversions are desirable where the data base is
converted on the vendor's equipment.
o Conversion software is used to facilitate the records being converted
to another format on language.
o Vendor-s2pp122d conversion plan should state the extent of conversion
assistance, cost for these aervices, and reliability checks to assure
data integrity.
Costs
The cost of application software packages can often be 50 percent or more
of the price of the hardware on which it runs. Subsequent modifications
to a software picKage are particularly expensive because the cost is
dependent on the custom programming effort invested for a single client,
not on the original program development spread over several
installations.
For the vast majority of computer system vendors, system software is
offered as an integral part of the system configuration. Though this
software is closely coupled with the equipment, the costs of different
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system software elements are often quoted separately. This is especially
true in the case of system support programs, such as sorting and
t olecommunications packages, which are marketed as separate proprietary
pzoducts. Comparable cost figures should include:
o Aoplication cost should include base license, desired enhancements,
installation and delivery, training, and future enhancements;
o Source listings (often worth paying extra for to lessen the dependency
on small under -capitalised vendors);
o Right to modify should be defined as many vendors will not be
responsible if the software is modified;
o Cost of system software maintenance and updates is such that vendors
say or may not charge separately for these services;
o Software non-performance should require a refund on the part of the
vendor; and
o Reference manuals may often be an added cost feature.
VENDOR EVALUATION
The structure of P. vendor questionnaire contained in the RFP should
contain a separate treatment of vendor qualifications, apart from
hardware and software. The general success of most computer systems with
regard to accomplishing objectives of installation requirements can be
directly attributable to vendor capabilities of:
- Support,
- Reputation,
- Experience,
- Acquisition Methods, and
- Availability.
These five items are the corresponding Control Points which must be
appraised for each vendor. In many cases, two vendors (hardware and
software) will participate in proposing on one system. In those
instances each vendor rust be evaluated separately. The City must be
comfortable in receiving "yes" answers to the following questions prior
to recommending vendor choices:
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o Can the vendor provide enough overall support in personnel, training,
and other technical capabilities to ensure the success of systems
Implementation and maintenance?
o Can the vendor demonstrate that its financial condition and local
reputation is sufficient and acceptable to assure a continued ability
to support the system?
o Can the vendor demonstrate and account roe enough experience in the
computer industry and this municipal government application to satisfy
the City?
o Does the contractual agreement protect the City and force vendor
commitment to the system?
o Is hardware, software, and support readily available and verifiabla
and is the time frame for implementation reasonable and organised?
Dealing with two or more vendors on a proposed computer systes
significantly increases the difficulty in obtaining "yes" responses to
all of the above questions. However, a great deal of confidence in the
vendor(s) is required in order to proceed further in the
evaluation/selection process.
All verification of references should be performed by the City prior to
attending vendor demonstrations. Bach vendor should 'be required tc
supply at least two or three references. References for each of the
finalist vendors must be verified and a summary of the results of the
reference checks should be developed. The reference contact should
understand the purpose of the verification function ani the importance of
their comments.
The reference contact should be asked to evaluate each of the following
areas ranging from excellent to poor:
- !maintenance Service (Responsiveness/Effectiveness),
- Ease of operation,
- Ease of Installation (Conversion),
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— Technical Support,
— Hardware Reliability,
— Software Suitability,
— Vendor Commitment to the Site,
— System Growth Capability,
— Management Satisfaction, and
— Overall Satisfaction.
Zn addition, soliciting any commentary with regard to the vendor's
strengths or weaknesses is any area is extremely useful.
Support
Most major systems manufacturers maintain a national service network.
However, the quality and timeliness of service is generally a local
attribute, as the City has al•covered with the present vendor.
Turnkey vendors with OEM arrangements typic.11y rely on the maintenance
staff of the equipment manufacturer for system hardware and software
support, retaining the responsibilit- for applications software systems.
As this strategy is being recommended, the following vendor support
criteria should be considered:
o Local service centers affect the promptness of maintenance as well as
being an indication of the vendor'e commitment to the local market.
o Local support in terms of engineers and the size of the client base
they s.:ve sey provide an indication of equipment reliability and
vendor commitment.
o Software support should be the responsibility of the primary vendor to
eliminate third parties.
o Vendrir user groups can be a significant source of information about
the vendor.
Reputati.)n
Vendor reputation is best ascertained through references in the local
area who are using the ucoposed system. The following reputation factors
should be ascertained:
E-16
o Industry experience in number of years protects against the high
turnover in small systems firms;
o Financial information can help to establish vendor growth and
financial standing;
o Subsidiaries of non -computer corporations have a high tendency to be
disbanded or sold to other firms; and
o User ratings by trade publications or assocfntions provide additional
referances.
Experience
Typically, the prise indicators of vendor experience are: 1) the number
of systems installed in the municipal government industry of the same
type proposed; 2) the resumes of the vendor personnel involved in
installation and ongoing contacts; and 3) vendor references. Factors to
consider are:
o The number .'%f systems installed provides assurances that the vendor
understands .he industry as well as the proposed solution.
o The amount o: customisation required is a possible indication that the
vendor has insufficient industry experience to recognise its common
problems.
o Similar configurations of other customers identify the limitations,
ease of installation, effectiveness of vendor personnel, and hidden
cost factors.
E-11
VENDOR AGREEMENT GUIDELINES
VENDOR AGREEMENT GUIDELINES
The process of establishing a reasonable vendor agreement between the
City and the vendor(s) providing the hardware and software services must
be considered a separate and distinct (but related) function of the
evaloution and selection process discussed previously. The purpose of
these suggestions is to provide insight and understanding into vendor
contracts and their implications for the City.
To achieve the objectives desired of the negotiation process, it is
Important to remember that:
o The RFP (EDP plan) is used as a guide when discussing upgrade
provisions, termination rights and costs, and transference of
obligations due to acquisition of or by another company.
o Arrangements should be avoided which are too convoluted or which may
be too difficult to monitor and control.
o Specific language should be used; that is, do not rely on implication
or phrases (such as industry terminology) to convey intent.
o An understanding of the financial implications of the various options
(lease vs. rent vs. purchase) should be developed in consultation with
City financial personnel as the negotiation proceeds.
The vendor negotiation process also consists of several non -contract
related discussions. General agreement and commitment should be received
from the vendor %Ath regard to pre -installation decisions. These
decisions consist of issues such as:
o Site Planning -- a formalized location survey and definition of
external requirements (power, cabling, lighting, heat, air, etc.);
o Training Schedules -- verification of City training dates,
availability, advance preparation, and formal enrollment;
F--1
a Documentation Procurement -- ordering and receiving advance copies of
the correct revision levels of required documentation;
o V.indor Representation -- designation, by vendor, of hardware,
software, and media liaison personnel (along with chain of command)
for City inquire handling;
o Media Support Orders -- finding sources for thR correct media (forms,
paper, I/O device media, atc.) which meets hardware and software
tolerances; and
o Support Hardware Procurement -- ordering (where necessary) component
furniture to provide media storage, seating, and cabinetry for system
hardware.
City representatives Suet also be made aware of system procurement issues
with regard to tax, insurance, capital expenditure implications, and
terms of sale. The City should also initiate contact/smbership in
applicable local and national vendor user groups. Finally the vendor
should include the City on appropriate software distribution
lists/updates.
The City assumes significant liability in entering a vendor agreerant
where those items specific to data processing performance and expectation
are not represented properly. It is essential that a vendor contract
clearly spell out timetables, performance levels, and standard
comparisons which may be adequately measured during the system life
cycle.
The following items provide a basis for features which may need to be
properly defined, quantified, or represented in an EDP contract.
Provisions similar to those presented here may or say not be found in one
or sore type of EDP contracts. Not all vendors may be willing to
negotiate such items, and guidance of a qualified 'legal r'unsel is
necessary to examine the appropriate level and use of the following
provisions.
P-2
o Attachment of Hardware
Configuration and Pr?ce List
o Price Protection - Current
Prices
o Procedure for Changes
o Rights to Enhancements
o Inclusion of all Expenses
o Price Protection - Software
Enhancements
o Hardware Maintenance Contract
o Installation Responsibility
o Transportation Costs
o Delivery - Hardware
o Municipal Site Access
o License to Use Supplier
Software
o Acceptance Tests - Hardware
o Performance Acceptance
o Patent and Copyright Indemnity
o User Confidentiality
o Bankruptcy of Vendor
o User Right to Modify Software
o Standards to be Used
o User Access to all Source
Codes
o Supplied Specification
o Trade -In Credits
o Rights to Uae Software in Other
Lc :ations
o D.saster Recovery
F-3
o Attachment of Proposal or Request
for Proposal
o Performance and Orerating
Characteristics
o Price
o Payment Terms
o Txclu.ton of Specified Taxes
o Price Protection - Future
&irdware
o Software Maintenance
o Warranty of New Equipment
o Installation Costs
o Delivery - Software
o Installation Timing
o License to Use Vendor
Software
o Acceptance Tests - Software
o Reliability Acceptance
o Title Transfer
o Vendor Confidentiality
o Termination Rights
o Contents of Documentation
o Errors and Corrections
o Constraints on Vendor Use of
User Resources
o Data Conversion Assistance
o Training Supplied by Vendor
o Inclusion e: Hardware and
Software Manuals
o Response Time for Hardware and
Software Maintenance
APPENDIX G
DEPARTMENT MANAGEMENT SURVEY (SAMPLE)
CITY OF LODI
Department Management Survey
Department:
Primary Contact:
Position:
Address:
Phone Number (Ext.):
Background Data
1. what is the function of the department (services provided, population
sector served, etc.)?
2. What are the major tasks performed by the department?
3. How many people are currenCly involved in the department and ghat is
the role that they play (job classification, etc.)? Give general ,fob
function classification and tonal people filling the function.
G-1
4. 'chat are the specific long range goals and objectives for your area
of responsibility?
S. What new services will be provided or what changes in current
services will take place to meet your goals and objectives?
Departmental Information Processing
1. what major functions within your area are currently on a computer
(including word processing equipment).
2. What systems do you work with? Briefly describe each system, your
purpose in using the system and any problems inherent in that
System.
c-2
�. What docu&4nts and/or information do you receive (get copies, if
possible), and where does the information come fcom?
4. What are the documents used for?
5. Where does the information go after processing in your department)
6. Can you indicate how many documents, transactions, or how much
Information you receive each day?
8. How does the deparMient benefit from the une of a computer for these
functions?
9. Could the us. of the computer be improved? If no, specify what
improvements you believe would be. helpful.
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10. What other major functions require significant manual or clerical
effort?
11. From which of the above functions do you believe the department could
recognize benefits through the use of the computer?
12. What problems have you encountered which have made your job more
difficult or took an inordinate amount of time?
13. What additional information do you need to aid you in your work?
Interdepartmental Information
1. With which other departments in the City of Lodi organization do you
interact, and what is the nature of the interaction?
G -b
2 . Could your interaction with these other departments be Improved
through the use of a computer? If so, how could the computer be
used?
3. Are there any other ways you feel other departments would benefit
from the use of a computer?
4. What is your understanding of the City's long range goals and
objectives?
0
S. In light of these goals and objectives, what strategy do you feel the
City should take in future automation plans?
Automation Survey
(Please identify below any data or word processing resources currently
being used in your department. (Also identify whether the equipment is
purchased, leased, or rented, and the length of any lease obligations.)
Vendor/ModelQuantity Description/Function
G-6
Please identify below any software products currently being used on the
data and/or word processing equipment within your department.
Vendor/Product Description
G-7
Please identify below any outside organizations that your department
currently purchases data pro, easing resources from, and the nature of the
functions that are performed.
Organization Nature of Services Provided
0-8
Are you currently planning to add or discontinue use of any data or word
processing equipaent or services? (Please identify each situation where
you are planning such a future change, giving a description of the
project, any defined benefits of the project, the general priority of the
project within the department, and the estimated cost and completion date
of the project.)
G-9
APPENDIX H
DATA BASE CONSIDERATIONS
DATA EASE CONSIDERATIONS
In adopting any strategy the City is concerned about what effect
development efforts will have upon the accuracy and integrity o: the
City's data base. With more and sore data processing resources being
distributed out to the individual departments questions arise as to what
effect the distributed activity will have on the overall City data flow.
Distributed efforts which are not considered in light of the City's
overall strategy and plan can have a detrimental effect on the City. For
Instance, development projects could be scraped after significant
investment because the project equipment may not interface with other
City equipment. Similarly, distributed data bases could accidently
replicate existing data at other locations, leading to potential for
inaccurate or misleading data appearing in management reports.
For these and other reasons, the City should begin a practice of
reviewing all data processing related requests, possibly by the Steering
Committee, to determine the effect on the City's data. This would also
allow the City to meld the projects into the long range plans. The
purpose of the review is not necessarily to "approve" or "disapprove" the
need behind the request, but rather to assure that adequate consideration
from a City-wide standpoint has been included in preparing the request.
Each new project will have to be considered on its own merits and
implication@. In many cares a department may be able to develop
"micro -based" applications on their own more efficiently and timely than
a centralized data processing department could. And many of these
applications may have no effect on the existing City data base. In many
cases, however, such applicat.tons will affect existing data. And in such
cases, whether the application implemented on distributed microcomputers
or on a central computer, the high-level review must be performed.
H-1
APPENDIX I
SUGGESTED MICROCOMPUTER GUIDELINES
PROPOSED MICROCOMPUTER GUIDELINES
As recommended in the proposed architecture section of this report, the
City view microcomputers as a versatile tool which can help departments
function more efficiently and effectively. Dy pr:.�tding such powerful
capabilities at such a low price tag, it is certain that microcomputers
will spread in use throughout all departments, whether the City funds
them or not - witness the use of non -City equipment in two departments
already.
Since microcomputers do represent significant expenditures for a
department and since they impact on the overall information management of
the City, we recommend than Lodi adopt a standard policy for
microcomputer purchaRea. This policy should be viewed as a method to
make it easier for departments to acquire microcomputers. They should
not be viewed and enforced as ways of keeping microcomputers out of the
City - as mentioned earlier, micro and personal computers will be used in
the City and a dictatorial policy will only serve to break down the
cooperative a -ir.onment that is necessary for successfully managing
information and HIS expenditures. We recommend the policy contain the
following elements:
o Departmental requests for microcomputers should be made in the same
way ss new applications. A, request with detailed specifications and
justification is submitted to the Steering Committee who review it for
city --vide impact. In addition, the Committee should make concrete
recommendations as to how or when to acquire the needed resources.
The Committee might even Ruggest to the departments some additional
features that they might be interested in. While the Committee should
not necessarily approve or disapprove department plans, they should
document in detail their _onceras and negotiate a feasible and
accepted solution with the department.
o We recommend thAt the Committee specifically _.omment or. "hidden costs"
related to microcomputer purchases while reviewing microcomputer
requests. While the microcomputer route can add timely support to
department operations and take a development load off of data
I-1
processing, they are not a "free lunch." Along with increased use of
microcomputers in departments come increased responsibilities in:
- Pystem operation;
- system dev*lopment and maintenance; and
- duplicated databases.
Each wf these responsibilities cost money and eventually each
department may develop its own data processing "section", eliminating
many of the advantages of alcrocomnuters. So this issue needs to be
addressed in the review process.
o We recommend that as software standards develop (see standards
recommended below), the City develop employee "experts" who can assist
the Steering Committee in reviewing application requests. Very often n
a standard software system which the City already owns could be used
to supplement systems rather than purchasing completely new software.
o We recommend that the City adopt standards for microcomputer
acquisition`. These standards should be flexible and allow for
integration with the central IBM computer. Standards help to
eliminate many problems being experienced by organizations who acquire
microcomputer resources in a haphazard manner. One such problem is
Incompatibility between machines, which leads to inability to share
data, and programs, inability to benefit from single vendor support
and volume acquisition discounts, and tnahility to cross -train City
personnel.
The standards adopted by the City should be followed in all eager%,
however, exceptions will occur when a particular application requires
non-standard equipmant (such as mapping). In these cases, the particular
application needs should overrule the standards. It is up to the
department to justify to the Committee Choat a reasonable search for an
application that meets G* standards hes been performed. Suggested
standx:ds include:
1-2
1. Equipment
We suggest IBM-PC compatible computers be the standard microcomputer
hardware that the City adopts. These systems are appropriate for
several reasons, including:
- These systems represent the "industry standard" that is currently
being adopted in the microcomputer market. As a result, the
opportunity for vendor support, future expansion, and packaged
software is much greater on these machinea than on any other type
of microcomputer. In addition, the large user Lase helps to
assure that users nre not abandoned by the vendor ouce the systems
have been purchased.
These systems by and large have features that will allow them to
communicate with the central IBM System/36 computer. As such,
data can be shared between the systems rather than being
duplicated on each. In addition, the microcomputers can also be
used as on-line terminals to the central computer. This will
allow departments needing on-line access to the central computer
files to acquires a microcomputer instead of a terminal at a
comparable price.
Several types of microcomputers fall under these guidelines, including at
the present time:
IBM
Personal Computer
Personal Computer XT
Columbia Data Systems, Inc.
MPL (Multi -Personal Computer)
VP Portable*
Corona Data Systems
Corona PC*
Compaq Computer Corp.
Compaq*
I-3
Eagle Computer, Inc.
Eagle 1600 computer
Spirit XL*
Dynalogie Info -Tech Corp.
Hyperion*
Seequa Computer Corp.
Chameleon*
Tara Corporation
Tara PC
By far the most popular computers are those made by IBM. They tend to
cost more than the IBM compatibles, but cost is more than oft -set by IBM
support. (Note: The starred * computers are portables. This means they
can easily be picked up and carried home to work at night or on weekends.
In addition, they can be carried between City locations.)
In addition to the computer, other "equipment" should be standardised ,
(although it is not as critical as with CPU's.) Other equipment that
would be required with CPU's include:
- Printers: It is generally best to buy these from the same vendor who
the microcomputer and software is purchased from. Given s choice.
very good products are made by the following companies:
Epson America, Inc.
Okidats
NEC
Qume
There are many different types of printers (e.g., dot matrix, letter
quality, etc.) and the type selected should depend on it* perceived
application.
- Plotters: Again, it Is generally best to purchase from a single
vendor. Industry concurrence is that Hewlett-Packard producer the
best plotters.
I-4
- Communication Devices: These items are really dependent on the
communication software which is used (see standard software below) .
Hayes Microcomputer Products markets the Bayes Smart Modem II, which
Is generally recommended with IBM PC -type computers.
Again, it should be stressed that while the above equipment is suggested
as standara: purchases of equipment should really be based on required
software. In other words, software than will do the required job should
be identified first. 'lien, if the software can be run on standardized
equipment, that equipment should be purchased. If not, the non-standard
equipment should be purchased.
2. System Software
Usually system software comes packaged with the microcomputer itself,
so no decision is usually required as to which software to purchase.
The standard operating software in the industry is MS-DOS, made by
Microsoft, Inc.
Khat communication software to purchase depends a great deal on what
It is to be used for. For hook-up with the central IBM computer, IBM
representative should be contacted. For communication with outside
service bureaus, the particular service hu:esu should bt contacted to
give advice.
3 Standard Application Software
While applications
all tend
to differ
between departments, several
"general" products,
such as
electronic
spreadsheets or personal data
Data Management
Ashton-Tate - Mase II
Lotus Development Corp. - 1-2-3
Text Processing
Micropro International - Wordstar
Lifetree Software - Volkswriter
I-6
APPENDIX J
IBM SYSTEM UPGRADE
IBM SYSTEM UPGRADE
The attached schedules show the possible paths the City has to choose
from in upgrading their central computing resources. As noted in the
strategy, both are based on the existing line of IBM products being used
by the City. One option Ss to add memory and storage to the existing IBM
System/34. The second option is to convert the System/36 and sell the
System/34. As noted in the body of our report, we r,tcommend the second
option. A cost justification of such action is documented here.
J-1
CITY OF LODI
Configurations
Current System/34
5340-E34 (128K, 64MB)
5211-002 (300 LPM Printer)
Upgrade System/34
5340-E34 to 5340-F37 (256K, 256MB)
Communications
Less 30%
TOTAL
System/36
5360-B23 (256K, 200MB)
Additional 256K
Workstation Expansion
Communications
Less 30%
5225-002 (400 LPM Printer)
Less 15%
Software
System Support Program
RPG II
Utilities
Migration Aid
TOTAL
*Additional
J-2
Purchase
$40,360.00
3,587.00
$43,947.00
13.184.00
$30,763.00
$44,600.00
2,500.00
2,000.00
8,122.r#O
$57,222.00
,;,167.00
$40,055.00
$13,945.00
2,092.00
$11,853.00
$ 4,700.00
800.00
600.00
250.00
$ 6,350.00
$58,258.00
Maintenance
$229.50
169.00*
27.00*
$425.50
$425.50
$165.00
9.00
3.50
13.50
$191.00
$191.00
$142.00
$142.00
$333.00
CITY OF LODI
Cost Justification
S/34 S/36
Purchase Maintenance Purchase Maintenance
S/34 Upgrade $30,763 $425.50 $ $
Salus Tax 1,846
S/36 Purchase including
software
S/34 Resale (per Bud Kruse)
5/36 Maint Warranty
2nd Shift (perator**
3 Year Msint Difference
First Year Costs
58,258 333.00
(16,845)
( 999)
$32,609 $425.50 $40,414 $333.00
$24,000/year
32052
$59,661 $40,414
** Includes fringe benefits. It is anticipated that staving with a
System/34 would sooner or later force the City to operate two shifts
to accomodate the expanded application processing.
J-3
System/34 versus System/36 Intangibles
I. S/36 throughput 50% greater than S/34 (see 2nd shift operator costs).
2. S/36 growth to 400MB versus 256 for S/34.
3. S/36 will support 30 local devices (CRTs and printers), the S/34 16
devices. (NOTE: Experience has shown that System/34 response time
starts degrading exponentially at about 6-8 terminals.)
4. S/36 has alternate indexing, a "pseudo database" for multiple access
paths to a record; the S/34 does not. This allows multiple
indialduals within the City to access common data, which is currently
a problem being experienced with the System/34.
5. S/36 designed to operate in environment with broader voltage
fluctuations than S/34, reducing number of problems that occur during
brown -outs.
6. S/36 has ability to produce graphics - charts and graphs for printing
or overheads.
7. S/34 to S/36 migration aid converts almost 100% of S/34 source code -
i.e., conversio.. time is minimal.
J--4