HomeMy WebLinkAbout1995-09-26; City Council; 13326; Info. systems needs assessment & long-range planu N
0 a
a,
a
I+ -4 w
aJ N
A u
aJ
a 8
a a, u a a,
c) c)
(d
4 -d 2 =t 0 u
.. z 0 F 0
t3 z 3 0 0
a
-I
37 Q $
DEPT. HD
CI 4 OF CARLSBAD - AGENDA aILL
AB# /?,3%0 TITLE:
INFORMATION SYSTEMS NEEDS MTG. 09/26/95 ASSESSMENT AND LONG-RANGE PIAN CITY Am
DEPT. FINANCEIIS CITY MGR
RECOMMENDED ACTION:
Accept and file report.
ITEM EXPLANATION:
In March 1994, Council authorized staff to proceed with the replacement of the City's
financial information system. Our current system is approximately 10 years old and was
designed primarily as a batch-oriented "bookkeeping" system with certain limited on-line
inquiry and reporting features. All support of this software by the original vendor stopped
many years ago. Thus, no updates have occurred beyond what has been done by in-house
programmers. Over the years, City staff has become more sophisticated in their use of
computers and the financial information system has not kept pace with their needs. Due
to its fundamental design, it is not cost-efficient to continue to patch or significantly redesign
the current system. The purchase of a new system is long overdue.
As the first step in pursuing this goal, a needs analysis and a long-range information
systems plan was required, To assist in the preparation of these items as well as to assist
in the writing of the request for proposals and the evaluation of the ultimate system, Council
authorized a contract with McGladrey and Pullen (M&P), an information technology
consulting firm, in September 1994.
The first phase of the assignment was to determine the current needs for information
systems processing within the City and then to prepare a long-range (five year) information
systems plan which would address those needs. In order to accomplish this task, M&P
analyzed our existing systems, surveyed all departments regarding their information systems
needs, conducted over 20 group and individual interviews with City staff and compiled and
presented the results in a document entitled "Information Systems Needs Assessment and
Long-Range Plan (the Plan). This document has been distributed to Council and all
department heads and is available for review by the public in the City Clerk's office.
The first action recommended by the consultant was to replace the City's financial system
as well as the permitting system. Under authorization from Council in previous agenda
bills, staff has begun work on selecting a new financial system. A detailed listing of the
City's information system requirements has been developed based on the results of the
needs assessment. This list was distributed along with the request for proposals (RFP) for
the software and hardware in March 1995. After initial evaluation of the responses by the
consultant, a City team was brought together to evaluate each of the top finalists through
attending demonstrations of the potential systems. It is anticipated that the team will have
a final recommendation for a system in late September or October which would be brought
to Council for approval shortly thereafter. At this point, our current contract with McGladrey
and Pullen will be completed.
Implementation of the new system is expected to commence about 90 days after Council
approval and will proceed throughout 1996. In order to coordinate and manage the
implementation, additional consulting assistance will be required. The consultant to provide
Estimated Costs
Year One Year Two Year Three
Low High Low High Low High
$ 933,500 $l,311,500 $ 271,000 $ 392,200 $299,850 $412,985
e *
i Page 3 of Agenda Bill No. /3.3$&
There is a total of $1,000,000 appropriated for this project in the 1995-96 Capital Improvement
Program. The funding has come from the following sources:
General Fund Balance $580,000
Water District 50,000
Sewer District 50,000
Data Processing Fund 320,000
Total $1,000,000
Upon completion of the software and hardware selection process, a better estimate of the costs
will be available. At that time, staff will begin working on a long-range capital budget for
information systems expenditures which will be submitted with the 1996-97 Capital Improvement
Program.
EXHIBITS:
1. City of Carlsbad, California Information Systems Needs Assessment and Long-Range Plan
(on file in the City Clerk’s office)
I
I
Ip
I
I
I
1
1 CITY OF CARLSBAD,
CALIFORNIA
1 INFORMATION SYSTEMS
1 NEEDS ASSESSMENT
I
I
1
l
I
I
I
1 LONG-RANGE PLAN
I M@GLADREY&PULLEN, LLF
Certified Pubk Accountants apd CoiisUltanTs
1
1
E
1
I
S @!!!la
MCGLADREYkPULLEN, LL P
Certified Public Accountants and Consultants
Ms. Lisa Hildabrand
Finance Director
1200 Carlsbad Village Drive
Carlsbad, California 92008
Dear Ms. Hildabrand:
We have completed the review of the City of Carlsbad's information systems. This review was
conducted in accordance with the arrangements set forth in our proposal dated September 7,
1994. The enclosed Information Systems Needs Assessment and Long-Range Plan report
presents our findings and recommendations resulting from our analysis, investigation and review.
We value this opportunity to serve the City of Carlsbad and express our sincere appreciation for
the courtesies and cooperation extended to us throughout the conduct of this project. The
successful implementation of our recommendations will require significant commitment and
careful follow-through by all parties involved.
B City of Carlsbad
1
1
1 s
I 4t- +&e*@
B p93
L--/ I
1
I
I
E
1
B
I
E
I
I
I
I
I
I
I
1
I u
I;
I
I
I
E
io
CITY OF CARLSBAD, CALIFORNIA
INFORMATION SYSTEMS NEEDS ASSESSMENT
AND LONG-RANGE PLAN
TABLE OF CONTENTS
I. INTRODUCTION
A. Objectives of the Project 1
B. Scope and Approach 1
C. Summary of Recommended Action 2
11. DEPARTMENTAL NEEDS ANALYSIS
A. Introduction 5
C. Information Needs Assessment Worksheet 52
B. Departmental Information Needs 5
111. RECOMMENDATIONS
A. City-wide Financial Information System 59
B. Other Departmental Systems Needs 62
C. Staffing and Training 69
D. Long-Range Capital Budgeting for Information
Systems Expenditures 70
E. Budget Estimates for Implementing Recommendations 71
Information Systems Needs Assessment and City of Carlsba4
Long-Range Plan Californic;
1
1
I
I
I
I
d
1
I
I s
I
E
T
U
I
I
I
I. INTRODUCTION
A. Objectives of the Project
In September of 1994, McGladrey & Pullen was engaged to perform an
information systems needs assessment and long-range plan for the City of
Carlsbad (City). This report contains our findings and recommendations
related to this phase of the project.
The primary objectives of this phase of the project were to: I
0 Identify the information processing requirements of the City, and
Identify appropriate hardware and sohare alternatives to satisfy
identify the extent that these requirements are presently being satisfied.
current and future information needs.
0
Upon completion of this phase of the project, we will assist the City in the
following areas:
0 Develop system specifications for Financial Information System
Evaluate all proposals received to determine the most appropriate
Assist in contract negotiation (in a non-legal capacity) for the new
software and hardware and prepare a Request for Proposal (RFP) to be
distributed to appropriate vendors.
system for implementation.
Financial Information System.
0
0
B. Scope and Approach
The scope of the project included a review of the City’s present information
systems. In connection with OUT assistance, we performed the following
tasks:
0 Conducted an initial meeting with the City’s computer selection
Thoroughly analyzed existing manual and automated systems,
committee to finalize the process for conducting the study and identify
departmental participants for interviews.
procedures and reports within the City. We conducted approximately
20 interview sessions with City personnel to accomplish this step. In
addition, pre-interview surveys were distributed and collected to gather
detailed information regarding departmental automation needs.
0
1
U In formation System Needs Assessment and City of Carlsbad,
Long-Range PIan CaIifornia
0 Reviewed, in detail, the information gathered during the interview and
I
I
I
I
I
I
survey process, and developed an information needs analysis
documenting the information systems improvements required by the
City to satisfy present and future needs.
processing and reporting requirements, and developed cost estimates
and comparisons for implementing the feasible solutions.
implementation of improved information systems within the City.
These findings and recommendations are contained within this report.
0 Identified the information systems required to support the City’s
Prepared our recommendations and an action plan for the continued 0
C. Summary of Recommended Action
Our detailed recommendations are contained in Section I11 of this report. A
brief summary of these recommendations is as follows:
0 The replacement of the City’s existing financial system should be
considered one of the most immediate requirements of the City. The
current system has served the City for many years, but no longer
provides the management and analysis tools required by the City.
e
I
0 The new financial system should provide on-line access to all City
departments for budget inquiry, purchase requisition processing,
payroll processing and general inquiry to pertinent City information.
This will reduce redundant manual procedures which are currently in
place due to the lack of on-line departmental access.
I
I
1
I
B
I
t s
1
I
The Request for Proposal process for the new system, which is
scheduled for early 1995, should be completed by April or May of
1995. We estimate that system implementation will require
approximately one year. By mid-1996, the new financial information
system should be fully implemented.
0 Permitting software should be included as part of the financial RFP
process. The current version of the City’s permit software is no
longer supported by the software vendor and should be replaced by
new software. Special consideration must be given to the conversion
of existing data due to the volume and add-ons of the current system.
w Other non-financial systems which currently operate on the City’s
Hewlett-Packard HP3000 computer will need to be replaced or
converted to the new hardware environment.
2
I Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
0 As on-line access to the City’s financial system and other systems
I
1
0
I
I
8
8
1
I
4
8
1
8
II
1
J
1
8
increases, networking and communications upgrades will be required.
The City will be budgeting for some upgrades in the communications
environment in the 1996 budget, which appear to provide some needed
improvements to the communications network. However, we
anticipate further upgrades will be required following the
implementation of the new system. Based on our analysis, it appears
that the City’s overall network design is sound and that the
communications bottleneck appears to be the speed of the data
communications lines. As bottlenecks occur, the City should consider
replacing existing 56kbps communications lines with higher speed T- 1
lines. We recommend that the City conduct a detailed network
analysis to determine the most appropriate hardware and
communications configuration to support the long-term voice and data
requirements of the City.
0 A plan should be initiated to distribute access to Geographic
Information System (GIS) data to other City departments. We
recommend that a pilot project be initiated in 1995, utilizing the PC-
based ArcView software, to determine the benefits of providing access
to the ArcInfo GIs.
0 Older PCs will need to be replaced as the City implements new
microcomputer software and operating environments such as
Windows. We recommend that a yearly budget line item be initiated
for continued upgrade and replacement of PC equipment. Due to
continual changes in technology, PC replacement will be an on-going
expense which the City should anticipate on a yearly basis.
0 Training both Information Systems staff and departmental users should
be a high priority for both the new financial system and
microcomputer applications. The City should make sure that adequate
training dollars are budgeted for new systems to ensure that the
maximum benefit is received for the dollars invested in new
technology.
0 Implementation of the new financial system with quality software
vendor support, should allow the City to keep current Information
Systems staffing levels constant. However, during the system
implementation process, part-time staff may be required to assist in
microcomputer support and other technical areas. Upon
implementation of the new system, existing staff may be retrained, as
some of their responsibilities should shift in emphasis (e.g., from
programming to training and user support).
3
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
E
I
8
1
1
1
I
1
I
I
I
1
I
1
8
E
I
I
The City should implement a process which supports long-range
capital budgeting for automation expenditures. We recommend that a
City-wide five year capital plan be prepared and presented to the City
council on an annual basis for review. This will allow the City to
plan for future automation needs and ensure that funding is available
to support these future acquisitions.
4
1 Information Systems Needs Assessment and City of Cartsbad,
Long-Range Plan California
11. DEPARTMENTAL NEEDS ANALYSIS
1
1
I
I
1
E
I
i
I
I
I
I
1
I
1
I
I
A. Introduction
This section of the report contains our findings related to the City’s
information technology needs. These findings, categorized by departmental
function, are the basis for the development of hardware and software
alternatives outlined in Section 111. 1 B. Departmental Information Needs
The narrative section of this analysis discusses the current data processing
situation in each department and contains our observations related to
information systems requirements. The departmental needs analysis
worksheet, which is located at the end of this section, outlines the
departmental needs and classifies them as high, medium or low. High
priority needs should be implemented within the first two years of the
planning horizon; medium priority needs should be addressed in years three
and four; with low priority needs following the high and medium
requirements.
In addition to this narrative section, we have prepared detailed lists of system
features, functions and capabilities for each of the Financial RFP-related
departments and/or functions. These detailed lists will be included in the
RFP document. The following overviews, presented in alphabetic order by
grouping, are contained in this section:
Financial RFP-related deDartments/functions
0 Business Licenses
0 City Manager
0 Finance
0 Human Resources
0 Permits
0 Purchasing
b Treasury
b Utilities
0 Fixed Assets
5
I Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
Other City deDartmentdfunctions
I
I
1
1
I
1
I
I
1
I
I
I
I
1
1
1
I
1
0 Attorney/Risk Management
0 City Clerk
0 Community Development
0 Community Services
0 Fleet Management
0 Geographic Information Systems
0 Information Systems
0 Library and Cultural Arts
0 Public Safety
0 RecreatiodSenior Center
0 Water & Sewer
Due to the structure of the project and the interview process, certain
departments and functions were reviewed in greater detail. We have created
separate sections for these to expand further on our findings, even though
they are technically part of one of the other departments listed. Therefore,
there may be some minor overlapping of information.
6
I Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1. Business Licenses
1
1
I
1
1
I
I
1
I
1
1
I
1
1
a
I
I
1 Background:
The Business License department uses PCs to access a custom
developed business license system on the HP3000 for the processing
and reporting of City business licenses. This system was given to the
City in 1989 by the City of Roseville, California who developed the
system using the PowerHouse programming tool. The City has
subsequently made numerous modifications to the system to meet their
specific needs. The PCs are also linked to the City’s LANNAN for
access to the microcomputer applications such as WordPerfect, Lotus
1-2-3 and Harvard Graphics. The department also uses an internally
developed database that resides on the HP3000 called PowerPlan.
This database tracks historical information on taxes for each of the
City’s hotels.
Findings:
New business licenses are initially processed with the completion of a
five part form. Information from this form is entered into the business
license system for the tracking of the license. The multi-part form is
distributed to the appropriate City departments for approvals.
Tracking of these approvals is presently a cumbersome task and is
dependent upon significant paperwork. The City would benefit from a
more “paperless” process where approvals could be made on-line in
the system. The time for approvals could be reduced; the amount of
paperwork would decrease; and the City would be able to offer better
customer service to those applying for licenses.
All cash receipts that are accepted for the licenses are recorded against
the applicant’s record. The overall handling of these cash receipts and
the generation of receipt documents is cumbersome. There is no
central cash receipting system with an interface to the general ledger
system for automatic posting. Instead, a listing is created from the
license system which is then forwarded to Finance for posting to the
general ledger. The new business license system should be tied into a
central cash receipting system that has cash registers and/or money
drawers where the cash can be physically stored and for the direct
input into the system. This system should also have a direct interface
with the general ledger for automatic posting of these cash receipts.
7
In formation Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
I
I
I
I
I
1
Additionally, the license system may be interfaced to or be part of a
permit system to allow for processing of licenses and permits from the
same workstation, using a shared database. The license system must
be accessible from multiple locations to eliminate the situation where
a citizen or contractor has to go to multiple City locations to complete
their business transactions.
The current license system handles the periodic renewals of licenses.
However, there is still a significant amount of manual processing that
is required to track the open renewals, send delinquency notices and
create agings. The new system should incorporate complete renewal
generation and tracking features that would reduce this manual
processing.
The current system lacks flexible reporting capabilities the department
needs for better management. A more powerful and flexible report
writer would allow for more statistical analysis of information,
historical information reporting on particular businesses, application
history, types and locations of businesses, etc. Presently, these are
generated manually or are not available at all.
a
1
1
I
I
1
I
I
t
1
I
8 8
1 Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
2. City Manager
I
I
I
I
I
I
I
1
1
1
I
1
I
1
I
1 Background:
The City Manager's Office presently is equipped with various PCs.
These PCs are linked to the City's LA" as well as to the
HP3000. Their main use is to access PC-based applications such as
Wordperfect, Lotus 1-2-3 and Harvard Graphics. One computer has a
modem connection to a Legislative Information Service, which is used
to access and download information on past, current and future state
and federal legislative issues. There is limited use of the HP3000 due
to the lack of pertinent applications. t Findings:
The main automation need of the department is a request for action
tracking and reporting system. Presently, there is a manual multi-part
form that is filled out to record citizen requests for action. It is
difficult to track the request once it is recorded and to follow up on
that request to determine whether it has been resolved. In addition,
the department needs to periodically report to the City Council on
request for action activities. This reporting is manually processed and
often verbally communicated to the City Council.
A comprehensive Request for Action system could be a module of the
integrated Financial Information System or could possibly be a
standalone system. In either case, it must be able to be accessed by
all departments within the City for inquiry and/or resolution. The
system would record the initial request on-line and would
automatically be sent to the appropriate department or person for
resolution. These requests can then be easily tracked to determine
their status. All management and City Council reports could be .
automatically generated to give statistics on the type of requests
received or number of requests by department.
The department would also benefit from easier and more timely access
to business license and permit activities. This can be addressed by
providing on-line access and reporting to these areas of the new
Financial Information System. The appropriate security would be
established to allow for read-only access to the data. There may be a
need to customize certain reports for their specific needs.
1
9
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
I
I
I
I
I
1
II
8
I
I
I
1
1
1
8
I
1
8
The City Manager also expressed a desire for providing remote access
for personnel to access the system from their homes and other
locations. As telecommuting becomes a more feasible work
alternative, the City may wish to be able to utilize the new system to
provide this type of access.
10
In formation Systems Needs Assessment and City of Carlsbad,
Long-Range Plan Califarnia
8
1
I
1
I
I
I
1
I
I
II
I
I
1
1
I
I
3. Finance 1 Background:
The Finance department uses various PCs for all data entry and
reporting needs. All financial accounting applications use the TAMAS
& Associates (TAMAS) Financial software system running on the
HP3000 minicomputer. Specific applications include general
ledgedfund accounting, accounts payable, accounts receivable,
budgeting/appropriation and payroll. The department supplements the
TAMAS system with the City’s LANNAN where there is access to
microcomputer applications, such as Lotus 1-2-3, Wordperfect and
Harvard Graphics.
Findings: I General LedgerEund Accounting,
The Finance department is the only department with transaction
processing access to the automated financial system. Other
departments can access standard reports and inquiries provided
through the system. Therefore, all requests for specialized or custom
financial information are channeled through the Finance Director or
her employees. The department is sometimes able to meet these
requests. However, because the Powerhouse report writer is
cumbersome for the typical user to master, the Information Systems
department is often relied upon to satisfy these requests. A more
flexible and user friendly report writer would provide users the
capability to create their own reports and offer a significant increase in
flexibility as well. In addition, this would decrease the number of
information requests processed by the Finance department as well as
by Information Systems.
The Finance department would benefit from a more flexible account
number structure. With the TAMAS system, there are limitations on
segmenting sub-funds within funds and breaking down divisions, sub-
divisions, departments and groups. These limitations impair the
flexibility of financial reporting, specifically as they relate to the
CAFR. The new Financial Information System should allow for a
more flexible breakdown of the funds, sub-funds, type, account
numbers, departments, divisions and objects, thus allowing for better
financial reporting.
11
u Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
The Finance department use PCs and the various application software
systems extensively. System training is imperative to all personnel
within the department to ensure efficient and effective processing on
these systems. This training should be an on-going process as the
systems change as well as the expertise of the users.
BudnetindAppropriation
The TAMAS system offers some basic capabilities for the preparation
of the annual budgets. A number of spreadsheets are also used during
the budgeting process, which is very typical for many organizations.
However, there could be processing performed on the financial system
prior to the use of the spreadsheets that would greatly facilitate the
process. This would include generating budget workpapers, providing
more easily accessible detailed and historical department expenditure
reports and automatic generation of budget amounts based on
percentage increases. The finance system should provide for very
easy downloading and uploading of data to these PC-based
spreadsheets.
The Finance department along with all other departments involved in
the budgeting process would benefit from a completely automatedon-
line approach to budgeting. This would allow all departments to
directly access the budget information on-line. These departments
would also be able to input directly into the system their budget
amounts. This would eliminate duplicate information processing or
input and facilitate the Finance departments review process. The City
would additionally benefit from a system that allows for budgeting to
1
I
I
I
1
I
I
I
1
I
I
1
I
1
I
1
1
II the project level.
Payroll
Payroll processing is performed using the TAMAS payroll module.
The system meets many of the City’s basic payroll needs, but lacks
many features that would make it more efficient and effective.
12
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
I
I
I
I
I
I
I
i
I
1
I
I
1
I
I
I
I
Each employee has their own manual time card. After approval,
information from these time cards is manually transposed into
department personnel records, which track hours, vacation, sick time,
etc. The time cards are then forwarded to the Finance department for
the payroll processing. This results in redundant processing of
information and a reliance on hard copy information that could
potentially be lost or destroyed. The existing payroll system maintains
only current payroll data and certain year-to-date information. Few
reports are available for management of the City’s human resources.
With an automated, integrated payroll and employee information
tracking system, much of the manual recordkeeping would be
eliminated.
Due to the significant number of employees, full time and part time in
a number of City departments, there may be numerous advantages to
having the input of the time card information done by the individual
departments. This could possibly save significantly on the time
required to process payroll. Most payroll systems will allow for this;
however, the appropriate procedures and reviews must be put into I place.
The City has many different pay types due to the different bargaining
groups. The payroll system must be very flexible in order to meet
these different needs.
The system lacks the ability to interface to a project costing system for
the recording of labor costs against various internal and external City
projects or programs. Because of this shortcoming, project costing
information is not tracked for many of the City’s projects and
programs, or is performed manually or on other internally developed
systems by the individual departments (e.g., permits). This results in a
lack of capturing important cost information as well as leading to
redundant information processing. The new payroll system should
have a complete interface to a project costing system for this data
collection.
13
1 Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
Fixed Assets
The City presently uses two separate systems to record and track fixed
assets. One is the PC-based PC-FAS system, which tracks all the
City’s depreciable assets. The other is an older fixed asset system that
resides on the HP3000 which tracks the non-depreciable assets. These
two systems are not interfaced with each other or with the general
ledger system. For required postings to the general ledger, reports are
generated from both systems which are then summarized on
spreadsheets for the creation of the appropriate journal entries. The
City should operate and maintain only one fixed assets system that
will track both depreciable and non-depreciable assets as well as real
property owned by the City. In addition, the fixed assets module
should have a direct interface to the general ledger system for direct
postings.
The Finance department would also benefit from a more flexible
report writer and query tool to access and report on the fixed asset
data. This would greatly facilitate the tracking of assets by find,
I
I
I
I
I
1
I
I
I
I
I
I
1
I
I
I
I
I department, location, etc.
Accounts Payable
The accounts payable function utilizes the TAMAS system on the
HP3000 for the processing and reporting of all accounts payable
transactions. Since purchase receiving is not performed on the system,
there is a lack of an automated approach to matching an invoice with
the purchase order and purchase receipt information. This adds
significantly to the accounts payable voucher input process. A fully
integrated system would allow for a much more efficient process of
matching and creating the voucher fiom purchase order information
already in the system.
The process of requesting manual checks is presently confusing for
most personnel. There are a significant number of forms that are
required for the various requests, with little knowledge of when to use
which form. Often, payments are made from photo copies of invoices
or statements. As a rule, payments should only be made from original
invoices, with photo copies or statements being the exceptions. These
areas require procedural improvements which should be addressed in
conjunction with the implementation of new Financial Information
System.
14
' Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
Project Costing
Presently, there is no central project costing system that can be used to
track internal and external City projects or programs. Some areas
within the City, such as Community Development, have developed
their own systems to track costs (e.g., for permits or Engineering labor
charged to capital projects). This has led to the duplication of data
entry in order to achieve the necessary project costing. Many of the
departments would benefit greatly from accurate and timely cost
information to better manage ongoing projects or programs or prepare
for future projects or programs.
The project costing system should be interfaced with purchasing,
payroll, work orders and accounts payable. This will allow cost
information to be created by the area that is already processing the
information, eliminating duplicate data entry or inaccuracies. The
capital projects and various City programs, such as DARE or special
events, can be set up as distinct projects. A project costing system
would also serve to better track cross departmental charges for
adjustments of budgets, reimbursements, etc.
Database Reauirements
The department has many needs for smaller databases to automate
existing manual functions. These databases may consist of
departmental mailing lists, documents, escrow information, assessment
district data, etc. A much higher level of productivity would be
acheived with an easy to use, PC-based database program to process
these various departmental database applications.
I
1
E
T
I
I
1
I
I
R
E
1
E
1
I
t
I
I
15
8 Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
4. Human Resources
Background:
The Human Resources department utilizes Macintosh computers.
These systems are linked together through the City Hall LAN, and are
also linked to the City-wide WAN. In addition, there is terminal
emulation access to the TAMAS payroll system residing on the
HP3000 minicomputer. The department extensively uses the
microcomputer software applications Wordperfect, Lotus 1-2-3 and
Pagemaker for much of their data processing and reporting. The
department also uses the microcomputer software AbraTrack for
applicant tracking.
Findings:
The Human Resources department does not have a comprehensive
Human Resources Information System (HRIS) for tracking and
reporting of personnel-related information. The TAMAS system
payroll module does not offer the capability to track historical salary
and job information. Most of this information is tracked manually and
is augmented by periodic data downloads to PC applications from the
HP3000. A complete HRIS would automatically create and track all
history when changes are made to the employee master file. This can
then be retrieved at any point in time for review.
Department personnel have very limited access to the TAMAS payroll
system. The Human Resources department often originates a
requirement which will require changes to an employee’s master file
record. Presently, they complete a form and forward it to the Finance
department, where payroll personnel make the system changes. This
leads to redundant information processing and creates inefficiencies in
the maintenance of the employee information. The department would
benefit from a HRIS that is integrated with a payroll system and
would allow appropriate employee master file changes which could be
made by the Human Resources department instead of by the Finance
department, resulting in better internal controls.
Another aspect of the HRIS that would not only benefit the Human
Resources department but also a number of other City departments is
the recording and tracking of employee education and certifications.
Not only would the system allow for recording of all appropriate
education and certifications for each employee, but would also serve
as a tickler database of renewals or re-certifications.
1
8
1
I
1
I
I
1
E
I
1
1
1
1
R
T
1
c
16
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
P
I
J
1
Q
I
tlE
1 s
1
l
1
I
3
1
3
I
6
Due to the lack of an HRIS, the department cannot easily generate
important management and mandated state and federal government
reports. These include various management reports for City and
department management as well as periodic state and federal reporting
for OSHA, EEO Affirmative Action, etc. A comprehensive HRIS
would include most of these as standard reports.
Currently, there is no system to link positions (funded and unfunded)
within a budget program to the actual personnel data. Some
departments must track this information manually. A Position Control
system should address these requirements as well as others related to
the tracking and reporting of position inventory throughout the City.
The City may wish to re-evaluate the use of Macintosh computers
within the Human Resources department and consider replacing this
equipment with IBM compatible PCs. This would provide the Human
Resources department with better connectivity to other City
departments and would provide further application and training
standardization within the City.
a
17
1 Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan Calqornia
5. Permits
1
1
I
0
J
1
!
1
I
I
1
I
I
I
0
Background:
Permitting presently utilizes the Sierra software application running on
the HP3000. This application is accessed through 56kb lines from
various IBM compatible PCs within the department. The software
application is comprehensive, covering general property information
and permit application, tracking and issuance services for Planning,
Engineering, Fire and Inspections. This system was brought on-line in
1988. In parallel with this system, an internally developed Rbase
application is used for tracking and project costing for the permits. I Findings:
Due to technological and vendor support factors, the HP3000 Sierra
system needs to be replaced. The vendor is discontinuing support of
the application on the HP3000 platform and has released UNIX and
DOS-based versions of the software. Some initial evaluation has been
performed on the newer versions of the software and it is felt that they
are much more complete and user friendly. However, the City has not
made a firm commitment to taking this route as it may be
advantageous to examine permitting modules that are part of the new
integrated Financial Information System.
Due to the lack of an integrated job cost system to properly track and
collect costs, an Rbase system was developed to address these areas.
Significant duplication of data entry is made to setup the permit
information in this Rbase system and the Sierra system. In addition,
there is a significant amount of data entry that is required to input
labor information, which is a duplication of what is being performed
in payroll processing. With the appropriate project costing module
attached to permitting and payroll, this redundant processing could be
eliminated.
The goal of enhancing this area is to integrate into one system the
information being processed by both the Sierra system and the Rbase
system. This will eliminate the duplicate data entry and maintenance
and should also allow for a more flexible inquiry and reporting
i
I environment for the users.
18
Information System Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
I
I
I
I
1
I
1
1
I
1
I
I
1
!
8
I
I
i
There is a significant amount of cash receipts activity that takes place
as part of the permitting process. Since there is no central cash
receipting system and no interface to the general ledger system, these
cash receipts require additional manual processing and must be
manually posted. The permitting should be completely integrated with
a central cash receipting system, using cash registers or money
drawers, which is also integrated to the general ledger. This will lead
to much more effective and efficient cash processing for the permit
area.
The permit system should have the capability to identify properties
which are located within the City’s Communities Facility District
(CFD). The system should be able to identify any appropriate taxes
and fees which may be assessed as a result of developing specific
properties in the CFD, so that this can be communicated to the
developer.
19
Information System Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
6. Purchasing
I
I
8
It
1
P
IC
I
1
B
1
I
1
I
i
i
Background:
The Purchasing department presently uses various PCs to access the
HP3000 minicomputer running the TAMAS financial software system.
This software includes a purchasing module that supports some of the
basics of the purchasing hctions. In addition, the PCs are tied into
the City’s LAN/WAN for access to various microcomputer software,
such as Lotus 1-2-3, Wordperfect and E-mail. Recently, the
department has begun to implement a microcomputer software
program called Advanced Procurement Systems. This system will be
used to help track additional vendor information and generate mailing
lists and labels. It is not interfaced with any other system.
Findings:
The purchasing module of the TAMAS system does not fully satisfy
the City’s purchasing needs and therefore requires numerous manual
tasks to be performed. Additionally, tracking and reporting is difficult
and adds inefficiencies to the various purchasing, receiving and
accounts payable processes.
All purchase requisitions are prepared manually by various City
department personnel responsible for procurement. Upon receiving all
necessary approvals, the Purchasing Department then generates a
purchase order using the TAMAS system. Often there is a long
period (one week) between creation of a requisition, its approval and
the creation of the purchase order. The system does not allow for
creation of requisitions on-line, which can then be tracked, approved
on-line and turned directly into the purchase order. A more
comprehensive purchasing system would allow for a much more
efficient and effective means to generating, tracking and reporting on
1
t requisitions and purchase orders.
20
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
a
1
1
I
I
I
1
1
1
1
I
1
E
I
1
1
I
Though the purchasing functions are centralized at the present time,
receiving is decentralized. Upon receipt of materials or services,
nothing is entered into the system to record the receiving against the
purchase order. Therefore, at any point in time it is difficult to obtain
accurate and timely information regarding open purchase orders.
Once the physical receiving is done at the various departments, all
paperwork is sent to Finance for payment. Purchasing never recieves
information to update the purchase order status. This creates
additional work since each department must manually update the
purchase order status periodically. The new system should easily
allow each of the various departments to perform purchase receipt
processing. However, appropriate procedures and controls will also be
necessary if this process is adopted.
Due to the limited functionality of the present purchasing system, the
department lacks the ability to track open order commitments easily
and in a timely fashion. At any point in time, it is important for the
department to accurately know of all vendor obligations and be able to
easily inquire and report on these. Most comprehensive purchasing
systems will have complete vendor and purchase order tracking.
The department would benefit greatly from having an automated and
integrated system for processing vendor bid requests. This would
encompass all facets of generating the bid, the bid list, accepting the
bid responses and then reporting for more efficient decision-making.
Presently, much of this process is performed manually or with
internally developed spreadsheets.
Basic tracking and reporting of purchase order transactions is difficult.
Spreadsheets are created to make up for the lack of tracking and
reporting by the current system. With a new integrated system,
purchase orders can be coded for better tracking and reporting. In
addition, built in management reports will give better on-line
information, and a report writer will allow them to customize the data
output to their specific needs.
e
1
21
Information Systems Needs Assessment and City of Carhbad,
Long-Range Plan California
I
1
1
I
i
I
I
I
I
I
I
1
1
8
1
I
I
7. Treasury
Background:
The Treasury department presently utilizes two IBM compatible PCs
that are linked to the City's LANNAN. The PCs have connections to
the HP3000; however, they are mainly used for accessing the PC
applications Lotus 1-2-3, Wordperfect, Harvard Graphics and an
internally developed database used for the tracking of investments.
There is limited use of the HP3000 due to the lack of pertinent I applications.
Fin dings :
The Treasury department has two main tasks that require computer
automation. These consist of cash management and portfolio
management. The cash management process mainly consists of
manually preparing cash flow projections for a rolling four week
period using an internally developed spreadsheet. The spreadsheet
works relatively well for their purposes at this point in time.
The area within the department that would benefit the most from
automation is portfolio management. Presently, this task is being
performed manually and through the use of various internally
developed spreadsheets. In addition, all posting to the general ledger
is performed manually. The department would greatly benefit from a
system that offers investment tracking and analysis, including "what
if' capabilities, and flexible reporting of all aspects of the City's
portfolio. This system could be a module of the new Financial
Information System or could also be a standalone system. If it is a
standalone system, an interface should be investigated to post the
appropriate transactions to the general ledger.
The cash management functions that are presently being performed
using the spreadsheets, could be further enhanced with a more
automated system of retrieving cash receipt and outlay information.
Presently, the department receives most of this information from
phone calls and by reviewing manual reports generated by other
departments. In addition, the department would benefit from the
system tracking and reporting all accruals that affect the cash
management functions.
1
22
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
8. Utilities
8
1
1
I
1
1
1
1
1
I
I
I
t
I
I
I
1 Background:
The Water District presently uses various PCs as workstations for both
the HP3000 minicomputer and on the City’s LANNAN. There are
only a few non-intelligent terminals still in use, which will be phased
out in the near term. For utility billing, the department uses a
software program developed by Datastream, which resides on the
HP3000. The City’s Information Systems Department has made
numerous program modifications to this system over the years. No
support or maintenance is received from Datastream.
The Water District uses ITRON hand-held meter reading devices.
Meter reading personnel input usage data into their hand-held devices
in the field. This data is then uploaded into the utility billing system
on the HP3000. For remittance processing, the department uses the
PC-based Standard Register S/40 system to process the checks and
batch them for the bank. An upload program, developed internally, is
then used for posting of this data into the utility billing system.
An internally developed application, also residing on the HP3000,
provides some basic support for department work orders, job costing
and inventory tracking. The department supplements the use of the
HP3000 with the microcomputer applications Wordperfect, Lotus 1-2-
3, Harvard Graphics and Lotus Approach as their database. The
department is presently being used as a beta site for the City’s
conversion to a complete Windows environment.
Additional background and findings related to Utility Billing are
discussed in the Water and Sewer section of this report.
1
23
In formation Systems Needs Assessment and City of Cartsbad,
Long-Range Plan California
m
Findings:
Utility Billing
The Water District manually processes new service orders. Once the
appropriate paper work is completed, information is keyed into the
Datastream system to setup the new customer information. Any cash
receipts that are taken at this point are manually processed as well.
No efficient cash receipt system is in place that automatically links the
cash to the customer file or to the general ledger for posting. Use of a
central cash receipting system that is interfaced with the utility billing
system would allow for automated cash receipts processing, will
automatically update the customer file and create the appropriate
postings to the integrated general ledger. Additionally, customer or
contractor deposits need to be recorded in the system for tracking.
The billing system lacks a number of features to enhance customer
service. This includes logging of calls and complaints to customer
accounts for tracking and reporting. In addition, it is often difficult to
establish whether a customer that has been at multiple residences
within the City. The District would benefit greatly if more complete
customer tracking and reporting was an integral part of the billing
I
I
1
8
8
I
I
1
I
I
I
I
I
8
I
1
I system.
Upon the need for service, there is no efficient means for
automatically creating a work order for the Maintenance department.
Presently, this information is manually passed on to that department
where it is entered into their own work ordedinventory system. The
new billing system should be interfaced with a work order system to
make this more efficient and to allow for easier tracking.
The Datastream system interfaces with the meter reading devices
(ITRON) and the remittance processing system (S/40) are working
relatively well. These interfaces will need to be re-established to the
new billing system once it is chosen. Additional findings of these
systems are discussed in the Water and Sewer section of this report.
The City’s Information Systems Department has made a significant
number of enhancements and modifications to the Datastream system.
Much of the code has been rewritten by the department to facilitate
on-going system maintenance. The Water District and the Information
Systems Department would greatly benefit from having a new system
which is not heavily modified and is vendor-supported. 1
24
Information System Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
Work Ordersfinventory
Work orders are created on the internally developed work order
system on the HP3000. This system creates the work orders and
offers some basic tracking of the work orders and their associated
costs. In order to track labor, the department must maintain their own
employee database with names, rates, etc. This is a duplication of
work that an integrated payrolVproject costing/work order system
could perform.
Inventory items are presently issued to a work order to keep the work
order costing intact as well as updating the perpetual inventory. This
seems to be working well. However, no interface with the general
ledger exists for transaction posting. A new system for the creation
and tracking of work orders should be fully interfaced with the billing,
payroll, project costing and inventory systems.
1
1
1
1
1
I
I
I
1
1
1
I
I
I
I
I
1
1 25
In formation System Nee& Assessment and City of Carlibad,
Long-Range Plan California
1
9. Attorneymsk Management
I
E
I
I
1
1
I
I
I
1
I
I
I
1
1
8
1
Background:
The Risk Management department has a PC which has access to the
City’s LANNAN. The department uses several PC-based software
packages, including Wordperfect, Lotus 1-2-3, Harvard Graphics, PC
File and Calendar Creator. The PC File software is utilized for the
City’s claim tracking and is not interfaced to any other City
applications.
Findings: I Risk Manayement
The department has used the PC File sohare for approximately six
years. System training has been very limited resulting in an under-
utilization of the software. The database features would be of great
use to the department for creating reports, but the staff has limited
knowledge of the use and features of the sohare. Therefore, many
of the necessary department reports are created through the use of
Lotus and Wordperfect. Safety hazard referrals are recorded and
tracked using Wordperfect. An integrated claims and incident tracking
system would eliminate repetitious entering data to several databases.
Risk Management handles all worker’s compensation claims. This
requires the department to work closely with Human Resources. It is
currently difficult for Risk Management to obtain necessary
information and data from the system for claim processing. A new
system should provide more user friendly, flexible access to this
information.
Once a year, Risk Management is responsible to calculate worker’s
compensation charges for each City department. This information is
manually entered and calculated using Lotus spreadsheets. On-line
access to the necessary finance applications would expedite this
process, especially for viewing budget information and for posting the
charges to the proper ledger accounts.
26
Information Systems Needs Assessment and City of Carlsbad,
Long-Range PIan California
I
I
1
I
I
1
1
I
1
I
i
1
I
8
1
Pay types and rates for workers compensation are processed manually
by the department. The ability for the payroll system to accept
various pay types and parameters necessitated by workers
compensation claims would assist in the generation of claim checks
and their tracking.
Risk Management manually maintains files of property damage for the
City. This information is then passed on to the Finance department
for the issuance of bills for the payment of these damages. The ability
to access the status of these bills in the accounts receivable system
would provide accuracy and efficiency in verifying receipt of payment
Safety program (OSHA) compliance is tracked by Risk Management.
All City employees are required to attend safety training as well as
other related employee training. This training attendance should be
tracked as part of a comprehensive human resources system with
appropriate on-line access andor reporting by Risk Management sMf.
The Risk Management department uses computer automation
extensively. Their needs may possibly be met with a system module
for Risk Management that is a part of the Financial Information
System. However, if this cannot be found, the department’s needs
may possibly be met by using a stand-alone system.
Attorney’s Office
Within the next five to ten years, the County Court system will
implement a network that will allow for outside party’s to acquire
court information for the County. Once available, access to this
network will be essential for the attorney to attain appropriate data for
handling cases.
Many court forms are used on a daily basis by the Attorney’s Office.
An automated forms generation and processing system would greatly
facilitate the filing and maintenance of these various forms.
Reference materials, such as code books, are maintained by the
Attorneys’s Office. Much of this information may be available on
optical disk. If not, this information can be scanned and placed on
optical disk. This will allow for easy access and storage. Research
time would be greatly reduced with the extensive search features of an
optical disk system. Optical disk could also be used to archive all
I
I
1
1 legal documents and letters.
27
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
10. City Clerk
1
1
I
I
I
I
I
1
1
1
1
i
I
1
I
Background:
The City Clerk’s department uses PCs linked to the City’s
LAN/WAN, which also provides access to the HP3000. Their use of
the system is fairly evenly divided between the use of the PC
applications of Wordperfect, Rbase, Lotus 1-2-3 and Harvard
Graphics, access to the HP3000 for the Indexing application, and
various other applications written in Cognos for tracking election
information, deeds and several other types of City agreements. The
HP3000 is also accessed to inquire into the finance system. 1 Findings:
The department’s automation needs are varied, but all of their
expressed needs support the goal of providing greater information
access to departments and the public. The Knowles-McNiff indexing
application currently residing on the HP3000 is used to log all actions
of the City Council. It currently contains information from mid-1984
to the present. It requires staff to enter the City Council action and
enter Yopics” relating to that action for faster searching. While the
system assists the Clerk’s staff in searching and locating data, it would
be desirable to make the information available to other staff as well as
the public. However, the current application is not conducive to that
use.
The Clerk’s department also has voluminous amounts of paper files
stored in a variety of ways. The desire is to make these documents
available to the public and other departments via automation, such as I CD-ROM or optical disks.
Another desire is to provide the Municipal Code via automation SO all
departments can access and search through the Code in an on-line
manner. The Code is currently a 3-inch thick book which is used by
virtually every department. It is updated with quarterly supplements,
but the lag time for getting new ordinances codified varies between
three and five months. Because of this time delay, the Code is seldom
current. The departments need to have access to a current version of 1 the Code.
28
In formation Systems Needs Assessment and City of Cartsbad,
Long-Range Plan Catgornia
I
I
I
1
I
1
1
I
I
1
1
I
I
I
I
I
I
II
1
The City Council minutes are not currently automated. The desire
would be to automate the minutes to allow other departments and
citizens with access. This application should be easy to use and allow
searches by a variety of methods. The Clerk would also like this
application to have the ability to track Council votes on items. This
would allow the staff to respond to questions received about how
individual council members have voted on items, such as future
development.
29
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
1
R
I
I
I
I
1
I
I
I
1
I
I
I
I
i
11. Community Development 1 Background:
Community Development consists of the City planning, engineering
and building groups. They currently utilize a variety of PCs with
access to City’s LANNAN and various office automation tools. The
most significant application systems used by this department are the
Sierra permit system and a custom developed Rbase system which is
used for project tracking and cost accounting. These systems have
been discussed in detail in the Permits section of this report. All other
findings are discussed below. I Findings:
Community Development would like to implement a system which
pre-calculates fee estimates for developers based on the parcel zoning,
etc. This system would allow the user to enter specific parameters
about the property or area of the City, and the system would suggest
what the potential development fees for that parcel would be. This
system could be eventually integrated with the City’s GIS system.
There are a number of areas of the department which could be
improved by increased automation or better access to existing
information. These include:
8 Tracking of affordable housing and rent restricted property.
Access to information regarding reasons for denial of a
Access to a City agenda and minutes tracking system.
Tracking of City-owned property and promissory notes owned
Tracking of reimbursement and future improvement
8
business license to provide information to the applicant when
requested.
8
8
by the City.
agreements.
8
Much of this could be satisfied by on-line access to other department
applications (i.e., business licenses) or with the use of an integrated
database management system.
30
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
I
1
E
R
1
6
I
I
1
1
i
1
I
I
I
I
I
The Community Development department would also like to improve
their office automation by moving to an integrated suite of office
applications (e.g., Microsoft and Lotus suites). They would like
improved presentation graphics capabilities, with the ability to scan
documents to incorporate into presentations. They would also like the
ability to generate PC faxes via a fax modem.
This department would also benefit from increased implementation of
the GIS system. PC inquiry to GIs maps would increase the
efficiency of some areas that work significantly with property and I! mapping data.
31
E Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
12. Community Services
Background:
Community Services for the City of Carlsbad provides services for
facilities, fleets, streets, parks, utilities and others. The divisions have
a limited amount of hardware, mainly consisting of various PCs which
access basic PC-based software, including Wordperfect, Lotus 1-2-3,
Harvard Graphics, Rbase and AutoCad. There are only a few PCs
which are part of the City’s LANNAN network.
Findings:
An automated calendar could be implemented to serve as a City-wide
activity scheduler. This calendar would be helpful when answering
citizen’s questions and concerns in regard to maintenance projects,
bike lane installations, sidewalk repair, water main replacement,
median re-planting and building remodeling. Knowledge about
locations and timing of maintenance projects when planning major
events, such as parades, triathalons, and fairs would eliminate a
conflict of scheduling (e.g., the lack of this access led to a conflict
with a parade route and some road repair.). This would require the
department to be connected to the network and additional hardware
and software to be installed at various locations.
Access to the payroll system would eliminate much of the present
paper-based system that exists. Community Services manually
documents payroll for approximately 105 full-time and 150 part-time
employees. Automation would allow supervisors to enter payroll
information on-line rather than sending time cards to the Finance
department, eliminating the double handling and entry of this
information. In addition, on-line access of employee sick, vacation
and leave time would facilitate department scheduling by the 1 supervisors.
6
1
I
0
1
I
e
c
1
t
1
1
E
I
I
0
1 32
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
B
D
1
1
8
1
a
I
I
E
I
1
c
1
f
E
I
Facilities Management is in process of evaluating various maintenance
management sohare systems. A maintenance system would allow
the department to better track and schedule projects for pavement and
street light repairs, provide energy management, project cost control,
and payroll information. If the department had lap top computers,
workers could enter information in the field which could be
downloaded and uploaded to a centralized database. The appropriate
interfaces to other City systems must be investigated for the sharing of
information between the applications, thus eliminating duplicate data
entry.
The Sign Shop uses a system installed several years ago. Presently,
the current vendor has gone out of business; therefore, the shop has no
system support or method to enhance the system. The department
needs to replace the system in the near future.
Much of the details needed for administering the City’s assessment
districts (such as number and type of street lights) is manually tracked
in parcel map books. If the tracking and mapping of these details
could be automated, this would eliminate a significant amount of
manual labor and provide for more accurate information. This could
be accomplished by integrating the assessment district information into I the GIS system.
Community Services would benefit from access to a City-wide work
order system which would allow for creating and tracking work orders
and would be interfaced to payroll, project costing and inventory
systems.
33
I Information Sysfems Needs Assessment and City of Carlsbad,
E ong-Range Plan California
13. Fleet Management
Background:
The Fleet Management department currently uses the Fleetsite system
running on the HP3000 platform for the automation of various fleet
management activities. The system is presently tracking over 350 City
vehicles. This includes all public safety vehicles, trailers, tractors, etc.
Additionally, the department uses the PC-based Gas Boy system for
the tracking of fuel costs for the various vehicles. This system is
interfaced with the Fleetsite system. Neither of these systems is
presently interfaced with the City’s financial information system.
a
I
I
1
6
II’
I
I
1 0 Purchase orders.
I
I
!I
I
1
1
!
E Fin dings :
The Fleetsite system is a very comprehensive fleet management
system. It has modules with the ability to automate the following
areas:
Parts inventory.
0 Repair Orders.
0 Preventive maintenance.
0 Vendor maintenance.
0 Labor tracking.
0 Billing.
At this time, however, the system is underutilized due to a lack of
department personnel to maintain and operate the system.
Additionally, the lack of a flexible report writer or query tool makes it
difficult for the users to access the data in different ways. Data input
into the system often is behind due to the limited number of personnel
who are maintaining the system.
Since there is no interface between the Fleetsite system and the
finance system, Information Systems created a special report that the
Fleetsite system generates for the appropriate postings to the general
ledger. Optimally, this system should have a direct interface to the
finance system to fully automate this process.
The Fleet Management department’s inventory is presently tracked
with manual tags and counts. The department would benefit from an
integrated barcode system to make the inventory tracking, counting
and reporting process more efficient and effective.
34 n
Information System Nee& Assessment and City of Carlibad,
Long-Range Plan California
I
8
I
I
E
R
R n
I
T
1
1 u
#
1
I
I
The Gas Boy system is obsolete and can no longer be repaired.
Therefore, the process of recording and tracking fuel useage is being
performed manually. Presently, the Fleet Management department
processes approximately 2000 transactions per month. The Fire
department has their own diesel pumps on which they maintain a
manual log of the fuel transactions. There are approximately 120 of
these transactions per month. This location should additionally be tied
into the new fuel system at Fleet Management.
The City is presently undertaking the task of replacing this fuel
system. The new fuel system should be an integral part of the Fleet
Management system, utilizing magnetic card readers for more
automation of transaction processing and posting.
Currently, repair orders for vehicles are submitted manually. No
system exists to record and track these orders by the various City
departments. The system should allow for a department user to
submit a repair order electronically within the system and then be able
to pull up that record to determine the status of the vehicle and/or
repairs. This should be an integral part of the Fleet Management
system.
I
e
35
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
1
I
1
I
1
I 0 Land use.
1
I
1
I
I
8
B
I
1
14. Geographic Information Systems I Background:
The City of Carlsbad currently uses a variety of technologies for
mapping and Geographic Information Systems automation. The City’s
main GIS system consists of two UNIX workstations running ArcInfo
GIS sohare. In addition, the Carlsbad Water District uses a PC-
based AutoCad system for development of water utility maps. I Findings :
The ArcInfo GIs has been used to establish a base parcel map for the
City, which contains all parcel numbers and has various data layers fo1
mapping. These layers include:
0 Vegetation.
e Contours and slope.
e Noise contours.
In addition, the City performs some downloading of tabular data from
the permit system running on the Kp3000 minicomputer, to provide
the ability to link property data to map layers. Assessor data, which i?
received on CD-ROM from Transamerica is also linked to the GIs.
The Water District AutoCad system also contains base maps which arc
used primarily for the location of water and sewer line attributes I within the City.
The most significant long-term GIS need for the City is to provide
additional integration of existing tabular data and to provide increased
on-line access to the GIS system. Some of the tabular data sets which
need to be integrated to the GIS include:
0 Assessor parcel number.
0 Street address.
0 Owner name.
O Census tracthlock.
0 Business license number.
0 Tax rate area.
0 Voter precinct.
0 Local facilities management zone.
Zip code.
36
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
1
I
I
B
I
B
1
I
1
1
D
I
1
I
I
In addition, there are public safety data layers which could also be
integrated to the GIS to provide police and fire with capabilities to
track streets, hydrants, fire and patrol grids, hazardous materials and
other information. In some cases, this will require interfaces to
external systems such as ARTIS (Area Regional Justice Information
System).
As additional interfaces and data layers are built, on-line access to the
GIS will be desirable. For network users who require inquiry only
access, the ArcView 2.0 software could be implemented to provide a
low cost method to provide on-line map inquiry. This technology
could also be used for public access to the GIS. Although the cost of
this software on an existing PC is relatively inexpensive ($1,500),
increased on-line access to graphic data may require upgrades to the
City’s communication network. The City should consider
implementing a pilot ArcView implementation to determine the
feasibility of expanding this technology throughout the City.
For users who will require the ability to update and modify GIS
information, additional ArcInfo workstations would need to be
implemented. Since these workstations cost approximately $40,000
each, these acquisitions will be more long-term in nature, as many
departments would not be able to justify this expenditure. For the
limited use of most departments, implementing ArcView or using the
GIS department as a service bureau would be the most cost-effective
e
1
I a1 ternative .
Further implementation of GIS within the City will reduce the current
redundancies within departments in generating maps. If information
can be centralized using ArcInfo as the main GIs tool, mapping could
be performed more cost-effectively and better information could be
provided to staff and City Council.
As GIS use increases, the existing hardware may need to be upgraded.
This would include the purchase of additional memory and disk for
the existing workstations and providing additional printers as required.
37
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
I
1
B
I
I
II
1
I
B
I
I
I
I
I
I
15. Information Systems I Background:
The Information Systems department consists of five professionals
who are responsible for supporting the City’s various computer
hardware and software platforms and computing networks. With the
exception of the Public Safety computer-aided dispatch system, which
is supported by a member of the Police department, the department
supports all other automated software applications within the City.
Major operating platforms supported by the department include: I
0 Hewlett-Packard Hp3000 for finance, permits, City
management and library applications.
Over 250 IBM-compatible PCs for office automation and
departmental applications.
Macintosh computers in the Human Resources department.
Local and wide area interconnection using Novell.
0
0
0
Information Systems uses Powerhouse from Cognos to perform the
majority of its development activities on the HP3000 platform. i Findings:
Since Information Systems is primarily a service provider and is a
limited user of end-user applications, their issues and concerns are
different than other departments included in the long-range planning
process. Major issues affecting Information Services which must be
addressed during the implementation of improved systems within the
City include:
Software Aptllications
There are various non-financial applications which are currently
operating on the Hewlett-Packard hardware platform which require
replacement or migration if a new financial system is implemented.
These systems include:
- Sierra permits system.
- Weed abatement program. - Street light assessment system.
- Index 3000 - a council action indexing package.
Fleet management and work order system.
Communities Facility District (CFD) system.
-
-
38
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
1
8
I
I
1
I
1
I
st
I
ll
I
I
1
i
I
- Housing Rental Information Systems. - Law System.
- Deed Indexing. - Public improvement database. - Uniform code index.
- Elections Database.
Based on our review of these ancillary systems, it would appear that
the permits, indexing and fleet management system would be
candidates for replacement with packaged sofhvare, since application
systems are readily available on minicomputer and microcomputer
platforms to satisfy these needs. Sierra provides UNIX and DOS-
based permitting systems. However, we recommend that systems
from vendors providing financial software to the City also be
considered, as they may provide increased application integration.
The other systems will, in all probability, require porting or
redevelopment to the new application environment.
Communications
Communication capabilities between the various City locations will
need to be upgraded to provide increased access to the new financial
system and wide area network. Currently, ten 56kb leased lines and
one T-1 line, sharing voice and data are being used for wide area
network communications. These lines are augmented by dial-up lines
in smaller locations. Currently, the City spends approximately $1,650
per month for data communications lines. Consideration should be
given to increasing the use of T-1 circuits between City Hall and high
volume remote departments to improve communications speed and
user satisfaction.
1
1 Training
Training for both technical and end-user personnel needs to be
addressed. Many departmental users expressed fmstration with PC-
related training and support, due to the limited resources available
from the Information Systems department. In addition,
implementation of a new financial system will place additional burden
on the department. While new financial applications should make
financial system support easier in the future, demand on technical staff
will increase during the implementation of the financial system.
Providing an adequate level of staffing for existing and future systems
will be a challenge for the City and should be budgeted for as part of
the financial system acquisition.
39
Information System Needs Assessment and City of Carlsbad,
Long-Range Plan California
1:
1
1
I
I
I
I
1
8
I
8
1
I
1
t
1
I
I
Relational Database
As part of the new Financial Information System implementation, a
relational database standard should be considered and appropriate end-
user tools should be acquired to provide system users the capability to
develop their own queries and reports. This capability, with
appropriate end-user training, would decrease some of the support
demand currently being placed on the Information Services
Department. Such systems are available from vendors such as Oracle,
Informix, Sybase, Ingres or Progress.
For smaller, departmental database needs, the City may wish to
standardize on a PC-based database management system as part of an
integrated office suite to satisfy departmental requirements.
System Budgeting
Methods for funding future City-wide information systems efforts
should be discussed. The need for new and replacement equipment
will not end with the implementation of a new financial system. The
City should develop a method to budget a specific yearly capital
budget amount to plan for acquisition of new equipment. By planning toward the future, major systems acquisitions will have less of an
impact on yearly operating budgets.
1
40
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan Californic;
I
I
1
8
I
1
I
I
R
#
8
1
I
1
I
I
1
16. Library and Cultural Arts I Background:
The Library and Cultural Arts departments have an HP3000/935
computer running the INLEX software. The system is located in the
City’s main computer room and is maintained and operated by
Information Systems. The HP3000/935 can only be accessed by the
Library and Cultural Arts departments and is not part of the City’s
LAN/WAN network system. The departments operate with several
types of workstations, including PCs, Macintosh systems and non-
intelligent terminals. I Findings:
Network communications are available at the main library and through
dial-up access for the Cultural Arts department. Currently, the
departments are equipped with older hardware and peripherals (e.g.,
8088 computers with 360K floppy drives and 20 megabyte hard
drives, 2400 baud modems) and therefore use fax machines as their
communication link between their branches and other City
departments. Replacement and upgrades of the hardware in the
Library and Art departments would allow network communication
with all City departments via electronic mail. Network access would
also provide uniformity of release levels for commonly used office
tool software packages, such as Lotus and Wordperfect. Other
universal information which should be made available through the
network include items such as store orders, City agendas, City
ordinances, medidgraphic contacts, reference contacts and statistical
information.
41
In formation Systems Needs Assessment and City of Carkbad,
Long-Range Plan California
I
I
i
I
I
I
1
1
I
1
I
1
1
I
1
I
8
Distinct divisions within the Library have special automation needs
which are dependent upon the current and anticipated services
provided for the public. To provide the services special equipment is
required, including:
0 Fax servers for document delivery.
Routers and other telecommunications equipment.
Satellite dishes for long distance learning.
Departmental LAN or WAN, if the branches remain
Hardware and software for digitized storage and retrieval of
Workstations for production of multimedia presentations.
0 Scanners.
0
0 Video equipment.
0
0
unconnected to the City network.
images, including photographs.
0
0
0 Access to the Internet.
In order to support these future requirements, there will be a need for
appropriate technical support staff within the City, due to the m complexities of these technologies.
The availability of the INLEX Reporter would allow the Library to
obtain information for managing their current system and provide
reports on demographics, etc. for future long-range planning. The
INLEX Reporter could be loaded and operated on the Library’s I mainframe.
The Library currently has reference files that are maintained on card
and paper files which limits access to one location. Automation of the
files would benefit the Library in providing additional access to the
information. There is interest in digitizing slide collections,
photographs, and other graphics for storage and retrieval purposes and
to create procedures manuals and central maintenance of inventories.
These are activities the Library could manage with the availability of
proper staffing, equipment and software.
Access to view current financial information would be welcomed by
the department. Currently, report information is delayed for several
weeks which constrains budget planning and accuracy.
42
Information Systems Needs Assessment and City of Carlibad,
Long-Range Pian Caiifornir;
I
1
8
1
I
8
I
1
R
8
I
I
I
I
I
I
I
I
1
Access to the payroll system would eliminate much of the present
paper-based system that exists. The department manually documents
payroll for a number of full- and part-time employees. Automation
would allow supervisors to enter payroll information on-line rather
than sending time cards to the Finance department, eliminating the
double handling and entry of this information. In addition, on-line
access of employee sick, vacation and leave time within the HRTS
would facilitate department scheduling by the supervisors.
There is a desire to offer access to library information to the public
through some type of remote access, or possibly via the Internet.
Future data communications improvements at the City should
incorporate methods to provide public access to City systems.
43
Information Systems Needs Assessment and City of Carisbad.
Long-Range Plan CaliforniL
1
17. Public Safety
Background:
The Fire and Police departments have a departmental MicroVax
system with 20 PCs connected to it, which accommodates a computer-
aided dispatch system from EM. This system also provides a data
communications gateway to the Area Regional Justice Information
System (ARJIS), a multi-jurisdictional system which provides
investigative support systems. The Police and Fire departments utilize
an internal network of approximately 50 Macintosh computers for
internal information processing and dial-up access to the City WAN.
The Fire department utilizes a Macintosh-based system called CFIRS
for incident reporting and has other Macintosh-based applications,
such as CAMEO, which are used for other department information
I
I
1
I
I
I
I
I
I
1
1
1
1
1
1
I
1
1 processing and reporting.
Findings:
Network communication is available to the Fire and Police
departments, but is limited due to the speed of existing
communications lines and the communications hardware. Improved
communications for the Fire and Police departments will be required
when the City implements the on-line financial systems. Inter-
departmental communications could also be improved through WAN
access to the electronic mail system.
The ARJIS sohare is currently in the process of being rewritten.
One of the main limitations of the ARJIS system is that it is designed
to be an investigative system and does not provide fkll records and
case management capabilities. The department may need to maintain
historical information on-line beyond a four-year period. The City is
actively involved in the ARKS rewrite and is looking forward to
increased capabilities within this system once the rewrite is completed.
44
Information Systems Needs Assessment and City of Carlsbad
Long-Range Plan Catifornic
I
I
I
I
I
1
1
I
I
I
1
i
1
1
I
I
1
Access to the payroll system would eliminate much of the present
paper-based systems that exist. The department manually documents
payroll for the employees. Automation would allow supervisors to
enter payroll information on-line rather than computing payroll within
the department then sending time cards to the Finance department,
eliminating the double handling and entry of this information. In
addition, on-line access of employee sick, vacation and leave time
within the HRIS would facilitate department scheduling, tracking and
analysis by the supervisors. On-line access to employee education anc
certification information would be of great help to these City 1 departments.
As GIS implementation continues within the City, Police and Fire
personnel would benefit fiom access to mapping information and the
ability to build additional map layers related to law enforcement and
fire services. Downloads fiom ARJIS to the GIS system would
provide the ability to perform crime analysis and other analytical
processes using the GIs. Access to the GIS system would allow the
Fire department to eliminate their Macintosh-based mapping system 1 currently in use.
Access to view the City’s financial system would be welcomed by
both the Fire and Police departments. Budgets are very difficult to
develop and monitor because the financial system does not provide
current accurate information. The departments would like to see a
system which has the flexibility to perform searches and will output
current up-to-date daily information. They would also benefit from an
on-line purchase requisition system.
The Police and Fire departments have many good ideas regarding the
increased utilization of technology in providing public safety services.
The Police department developed a technology plan in 1992, which
outlines many of the areas of new technology which may be
considered over the next five years.
45
Information Systems Needs Assessment and City of Carlsbad
Long-Range Plan Calif r nil
1
I
1
1
I
8
I
I
I
I
I
I
i
1
I
1
I
8
A summary of some of the other automation needs which should be
considered as part of the long-range planning process for these
departments include:
0 Alarm tracking system.
0 Ambulance billing system.
0 Photo imaging.
0 Electronic publishing for newsletters and other public
Fleet management system (access to the existing Fleetsite
awareness materials.
0
system).
Automated fingerprint imaging system.
0 Increased ability for Macintosh users to access City-wide 1 application systems.
46
I In formation System Needs Assessment and City of Carlsbad,
Long-Range Plan California
18. RecreationBenior Center
R
I
I
8
I
I
I
I
I
1
1
I
I
I
1
Background:
The Recreation and Senior Citizens divisions provide four major
services within the City of Carlsbad. These services include: e
0 Scheduling parks and recreational facilities.
Issuing permits for the Aqua Hedionda Lagoon.
0 Tracking of special programs.
0 Scheduling aquatic events.
0
The divisions function various PCs operating the PC-based
applications Wordperfect, Harvard Graphics, RMS 3, Activity and
League Scheduling, Facility Reservations, Adobe Illustrator, Adobe
Photoshop and Org Plus.
Findings: I S~orts & Recreation
The Recreation division is responsible for scheduling activities for the
25 City parks, athletic fields and facilities. Computers at the
Stagecoach, Calavera and Harding Community Centers presently allow
for class registrations. Facility scheduling is performed at each site I (for that site only).
Newer equipment would allow for further networking, faster
processing and accelerate the information inquiry process. Reports
could be compiled without the interruptions normally encountered and
the number of registrations processed daily could potentially be
increased.
47
m Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
Aquatic scheduling and reservations are manual with the exception of
a few programs which are maintained using Lotus 1-2-3 and
Wordperfect. Manual activities include:
I
I
I
I
I
I 0 Mailing lists.
1
I
I
I
I
I
I
I
I
I
I
0 Activity registrations.
0 Cash control.
Equipment inventory.
0 Preventative maintenance tracking.
Certificate training tracking.
0 Personnel scheduling.
0 Residenthon-resident tracking.
0 Pool chemical control.
0 Budget information.
Facilities use an ''on your honor" system from sports and recreational
activities. If bar coded or magnetic strip ID cards could be issued,
authorized entrance to facilities could be verified. Tracking renewal
fees could also be accommodated with a card system.
Automation of reservations and participant demographic tracking is
needed. If the department had a system to maintain program
participation and certification, scheduling could be expedited and the
manual tracking process could be eliminated. The ability for
participants to register 24 hours per day via touch tone phone would
reduce manual handling of registrations for public classes and
activities.
The Aqua Hedionda Lagoon is managed by the City and is open for
public access. To attain access to the lagoon, applications are required
and fees are collected before permits are issued. A tracking system is
needed to maintain demographic and permit information. Automated
access to this information would be of great use to the lagoon patrols
for emergencies and for verification of permits and boats. I
48
Information System Needs Assessment and City of Carlsbad,
Long-Range Plan California
II
I
1
I
I
c
E
I
I
I
I
I
I
I
I
I
I
I
I
Senior Citizens
The Senior Citizens department organizes and provides many activities
for seniors, including lunch programs, trips, meals on wheels and City
transportation. An automated system for scheduling activities and
scheduling the volunteers involved in providing these programs would
be advantageous.
An automated system to maintain personal demographic information
about senior citizens could also be useful. This type of information is
especially critical for emergency situations and for the Safe Watch
program.
The City receives donations and grants for senior activities. These
funds are tracked and allocated manually. There is a need to track
these funds and to determine how disbursements will effect the
budget. Much of this money is held in trust accounts; consequently,
they are held for a significant period of time and must be tracked
properly.
49
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
I
I
I
1 s
I
1
I
1
I
I
I
1
I
I
I
I
190 Water and Sewer
Background:
The Water and Sewer departments have approximately 30 PCs,
including some which are older 286-based equipment. Several of the
PCs have access to the City's LA" network and have
interchangeable communications to the three laser printers located in
the department, while other systems operate in a stand-alone
environment. Other equipment includes ITRON automated meter
readers, and the Standard Register S/40 remittance processing system
used for billing the estimated 18,000 billings produced each month.
Several of the PCs contain specialized software, including hydraulic
analysis software, AutoCAD, Wonderware and desk top graphics.
Findings:
Within the next two to five years, the department would like to
upgrade its meter reading equipment to include automatic readers
which eliminate key entry, and to incorporate dial-up or radio
transmission of meter readings to the utility billing. This enhancement
of the system has been investigated and would cost over $70,000 to
implement, but should be considered in the City's long-range plan as a
future upgrade consideration. The new utility billing system which
will be implemented as part of the financial system should have the
capability to interface with future meter reading technology.
Currently, all historical billing information is microfilmed and stored
at City Hall, which is several miles fiom the Water and Sewer facility.
The department finds research projects, dealing with complaints and
satisfying customer requests to be a very slow and cumbersome task
because the historical data is not at their fingertips. If the historical
billing information could be archived on optical disk or provided on-
line and maintained within the department, many issues could be
resolved in a very limited amount of time and with more accuracy.
In conjunction with archiving historical information, the department
has a need to implement a tracking system to maintain the many
complaints, requests and research projects. If the department could
formalize this process, repetition of the follow-up process would be
eliminated along with the manual paper process used today.
I
50
In formation Systems Needs Assessment and City of Carlsbad
Long-Range Plan Californic;
I
1
I
I
1
I
I
1
1
I
P
1
I
E
I
I
1
E
Water and Sewer also have over 10,000 drawings which could be
managed more efficiently through the implementation of basic
scanning technology. As part of the long-term implementation of GIS
some of this information could be integrated with mapping files
providing on-line access to maps and detailed drawings.
Improvements could be made by integrating an automated work order
system and inventory system with the utility billing system. This
would eliminate many manual and redundant processes related to worl
order processing.
A utility bill proof listing is generated at night at City Hall. It is
delivered to the Water and Sewer department for review. After
review, the bills are printed at City Hall. Although it may not be cost-
effective to provide the high speed laser printing required to produce
bills at the Water and Sewer departments at the present time, at
minimum, the proof listing should be printed at their department.
Printing volumes should continue to be monitored and as printer costs
decrease, consideration should be given to distributing the bill printing
process to the utility offices.
Replacement and upgrades of the older PC hardware in the departmenl
should be considered as the City implements additional Windows-
based applications and as WAN utilization increases. Other universal
information which should be made available through the network
include items, such as access to engineering and planning project
status and accounting systems.
1
51
Information System Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
1
I
I
1
I
I
I
1
1
1
E
l
1
I
E
1
b
I
C. Information Needs Assessment Worksheet
The following worksheet summarizes the information needs outlined
previously in this section in a tabular format. We have also assigned a
preliminary priority ranking for each need. These priorities should be
reviewed by City departmental management and updated to reflect overall
organization priorities on an annual basis. The needs assessment list can be
used on an on-going method to prioritize and categorize outstanding
information systems needs.
Each information need has been categorized into one or more of the
following categories:
Financial system - needs which should be satisfied by implementation
Non-financial packaged sohare - needs which could be satisfied by
Office automation - needs which could be satisfied by an office
DBMS or custom development - needs which could be satisfied by
of a new integrated financial system.
the purchase of pre-packaged application software.
automation application, such as electronic mail, calendaring, etc.
development of a custom database or through other custom
programming tools.
Other - needs which require other resources, such as improved
networking, additional personnel, improved procedures, etc.
52
x xxx
xxxxxxxxx x
xxx x
IIIzzIzzIrxISII XHIX
xxxx
xxxxx
x xx
In formation System Needs Assessment and City of Cartsbad,
Long-Range Plan Catifornia
I
1
I
I
I
I
1
I
I
8
I
1
I
1
I
I
1
111. RECOMMENDATIONS
A. City-wide Financial Information System
As indicated through the departmental findings outlined in Section I1 of this
report, the City has a high priority need for a new City-wide Financial
Information System. Replacement of the existing accounting software with
improved systems is one of the most immediate requirements of the City.
The current systems are quite old, require significant maintenance and
support and do not provide the City with the management and analysis tools
required to manage City financial matters in a proactive manner.
Applications which should be included in the new financial system include: I
0 General ledger and budgetary accounting
0 Project Costing
w Purchasing and encumbrance accounting
Accounts payable
0 Payroll/personnel
0 Utility billing
0 Workhervice order management
w Business licenses
Permits
w Request for action tracking
0 Inventory
0 Fleet management
0 Investment accounting
0 Custom report writerhecords management
0 Accounts receivable and cash receipts
0 Fixed assets
The new financial system should provide on-line access by all City
departments for budget inquiry, purchase requisition processing, payroll
processing and other departmental financial applications. One of the main
goals of the new system should be to provide on-line entry of information at
the location where the transaction is initiated, rather than via a batch process.
In addition, the system should provide adequate information via inquiry or
custom reports to eliminate duplicate sets of financial records being
maintained by some City departments. I
59
Information Systems Needs Assessment and City of Carisbad,
Long-Range Pian California
I
1
I
I
I
1
D
I
I
1
I
I
I
I
I
I
I
I
At this point, we are not recommending a specific hardware platform for
system implementation; however, we suggest that the system will, in all
probability, operate on a mid-range or microcomputer platform. Many of the
systems which should be considered operate on mid-range (UNIX, AS/400)
platforms or PC networks, while some of the systems include both
technologies in a clienthewer environment. Due to the increased capabilities
of smaller hardware platforms, the City would be adequately served by any
of these hardware alternatives.
We recommend that application software capabilities and vendor support be
the key selection criteria for the new system. There are a large number of
quality application software packages developed for City government which
are used by many municipalities across the United States. These system
vendors specialize in providing governmental accounting software and
support to cities and are well equipped to address the needs of the City of
Carlsbad.
Many of these systems are built around fourth generation programming
languages and relational database management systems, which will provide
the City with increased functionality and flexibility without requiring
significant custom modification. We strongly recommend that the City
refrain from performing significant custom modifications to the new system
and that customization be performed by the software vendor. The City does
not have the Information Systems staffing level to support significant
customization, and City Information Systems staff should be used for system
implementation and support activities rather than program development.
Estimated costs for hardware, software, staffing and training are provided
later in this section. In addition to a replacement for the City’s existing
Hewlett-Packard HP3000 computer and application software systems, we
have also budgeted for file conversion and other vendor supplied services.
I
60
u Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
Potential vendors for consideration for the new financial system include:
I
I
D
6
I
1
I
I
I
I
1
I
I
c
I
I
I
e Access International
0 BiTech Sohare, Inc.
0 Corbin Willits Systems
0 Eden Systems
0 EDSAnfocel
0 HTE
0 JD Edwards & Company
0 Mirasoft
0 New World Systems
0 Oracle
0 Pentamat ion
e Creative Computer Solutions
e Ross Systems
e SCT Public Sector
0 Solutions for Government (SFG)
Therefore Systems
0 Unisys
Determination of the most appropriate system for implementation should be
determined during a Request for Proposal process which may occur in early
1995, with selection targeted for May, 1995. Implementation of the system is
expected to be phased in over a one year period. By mid-1996, the City-
wide financial information system should be fully implemented with access
and use by all City departments. I
61
I Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
B. Other Information Systems Needs
I
I
1
8
I
1
I
1
E
I
f
I
1
1
B
I
As part of our interview process, we identified other information systems
issues which should be addressed as part of the City’s long-range planning
efforts. The issues which were identified as a high priority for the City as a
result of our analysis are discussed in this section. 1 1. Sierra Permit System
Presently, the City operates an automated permit system on the
HP3000 computer with software provided by Sierra. As discussed in
Section I1 of this report, the vendor has discontinued support of the
HP3000 version of the software and now supports software which
operates in either a UNIX or DOS-based operating system
environment. During our interviews, some users indicated the desire
to implement the new Sierra software in the near future.
We recommend that the City evaluate additional permit systems as
part of the Financial RFP process. While Sierra should be considered
as a potential vendor, it may be advantageous to purchase a permitting
system which is integrated to other financial applications, such as
centralized cash receipting systems. We recommend that the City
delay making an implementation decision on permit software until
financial system proposals have been received and evaluated.
As part of our cost estimates for City financial systems, we have
included the cost of software for permits.
Replacement of Non-Financial HP3000 Application Systems
In addition to the existing financial applications operating on the
existing HP3000 computer system, there are a number of other
application systems which also are being processed on this system. If
the City replaces the current hardware with a new system, these
applications will need to be replaced. The application systems which
were identified during our interview process include:
2.
0 Sierra Permits System.
0 Weed abatement program.
0 Assessment district information.
0 Housing Rental Information Systems.
0 Index 3000 council action indexing package.
Fleet management and work order system.
Community Facility District (CFD) system.
n
0
0
62
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan Califarnia
C
I
1
1
E
I
D
E
a
!
T
I
I
I
I
I
E
1
0 Gas Boy fuel system.
0 Law System.
0 Elections database.
0 Deed indexing.
0 Public improvement database.
0 Uniform code index.
The Sierra permit system has been discussed above and we have
included cost estimates for replacement of this system within our
estimates for a new financial system. We have also included cost
estimates for a fleet managemendwork order system as part of the
financial system.
Council action indexing software packages are readily available from
governmental software vendors. In addition, your current vendor
(Knowles McNiff) may have alternatives available which operate on
other hardware platforms. However, due to current support concerns
with this vendor, replacement packages may be more suitable for
consideration.
In addition, there are other systems which could be investigated,
possibly from the selected financial sohare vendor. The major
disadvantage of these replacement systems would be the need to
convert the existing indexing data to a new system. Following
selection of the financial application software vendor, we recommend
that the City compare the financial software vendor’s indexing system
with the one provided by the current vendor. Based on this
comparison, the City should implement the most appropriate of the
two alternatives.
The remaining applications currently operating on the Hewlett-Packard
hardware will most likely require conversion to the new hardware
platform. These systems satisfy the City’s specific requirements and il
may be difficult to acquire packaged sohare to replace these
systems. Once the new hardware platform and operating environment
has been determined, we recommend that the Information Systems
Department develop the necessary action plans for conversion of these
applications to the new hardware environment.
e
63
I Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
3. City-wide Networking and Communications Issues
The City of Carlsbad provides services to its constituents from a
variety of locations within the City’s geographical boundaries.
Because of this, the City has built an information systems environment
of local and wide area networks which are connected via a variety of
leased and dial-up communications lines. Although the current
communications environment has been adequate for some locations,
data communications speed and reliability is becoming a major issue
for some of the City’s remote locations.
The implementation of a new City-wide financial system will increase
the demands on the data communication network. One of the
fundamental concepts behind the new financial systems is to increase
access to the application software, by providing departments with the
ability to process transactions and generate reports and queries via on-
line terminal access. These new systems will replace some of the
batch processes which have been traditionally performed by the
Finance department. Distributing financial applications out to the user
department will decrease redundant efforts and should increase
departmental efficiency. However, it will also increase the demand on
the existing data communications network.
Although our planning efforts did not include a detailed analysis of
data communications and networking requirements, we believe that the
existing communications systems connecting City locations will need
to be upgraded. Our initial analysis has led us to the following
observations:
I
Ih
1
E
I
I
I
B
1
i
1
1
1
I
I s
II
a To date, the City has shown good forethought on the network
design. The equipment being used is of high quality and with
continued upgrades and improvements it should provide the
City with appropriate network management.
m
e As the new sohare and systems are added, it is likely that the
56kbps lines used as the backbone of the network will become
a bottleneck. Unless the traffic on the network is monitored
and adjustments made to line speeds, the service as a whole
could degrade. Adjustments will need to come in the form of
multiples of 56kbps channels being added or the switch to
services such as frame relay.
64
1 Information Systems Needs Assessment and City of Carlibad,
Long-Range Plan California
Complicating the network design would be the potential
I
I
1
I
R
I
I
I
R
I
I
I
1
t
I
I
1
addition of voice traffic. We noted the presence of one T-1
line carrying both voice and data traffic. As your network
grows and telephone systems need replacement, an appropriate
strategy should be developed regarding both voice and data
communications needs. Current network design trends make
significant use of T-1 technology to allow for both voice and
data. Under this strategy, an appropriate number of 56kbps
channels can be dedicated to the metropolitan wide network
while the balance is used to link telephone systems together in
a manner that allows for the reduction of hardware while
providing seamless communications between locations.
We have reviewed information prepared by the Information Systems
Department relative to upgrading some of the equipment in place by
installing routers and also installing some additional 56kbps and T-1
lines. We concur with this upgrade for the present time, as it is
difficult to estimate the actual additional network traffic which will be
experienced until the new financial system is installed. We have
included the City-prepared costs for network expansion as part of the
year one budgets and have included an additional estimated cost of
$40,000 - $60,000 in years two and three for additional upgrades to
the communications systems. The specific equipment and line
requirements for future years would be determined once additional
detailed analysis of transaction volumes could be performed.
Although the specific equipment and line requirements cannot
currently be determined, we fully support the City’s direction to
continue to upgrade existing data lines from 56 kbps to T-1 as line
speed degrades between locations. As mentioned earlier, the existing
network design and plans to continue to upgrade routers shows that
the City has used excellent forethought in its network design. We
believe that line speed will be the most significant issue that the City
will be facing over the next few years. However, this can be
addressed by replacing 56kbps lines with T-1 lines or adding multiple
T-1 lines between locations as the need arises. This will increase the
monthly line charges for data communication within the City operating
budget, but will provide for high speed data transmission between CiQ
office locations. This high speed transmission will be essential as neu
financial systems are installed and as graphical data, such as GIS
information, is distributed to departments as part of the long-range
technology plan.
e
65
1( Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
We highly recommend conducting a more detailed network analysis
during 1995 to develop specific hardware and networking strategies
for the City. As part of this analysis, special attention should be given
to increasing overall transmission speeds from remote locations,
providing improved integration of the Macintosh networks located
within the Police and Fire departments and building a communications
infrastructure which will support future citizen access to City systems.
A cost estimate for contracting with outside communications
consultants to perform the network analysis is also included in the cost
schedules.
Communications technology will become increasingly important over
the next few years as the public demands additional on-line access to
governmental services via the Internet and other public networks. A
recent article in the December, 1994 issues of Government
Technolonv magazine focused on the City of Merced, California’s
pilot project with Prodigy, a commercial on-line computer service.
This system provides residents with access to council minutes and
other City information. With the upcoming implementation of new
hardware and application software within the City, this is an opportune
time to examine the long-range networking requirements and to begin
to develop the infrastructure required to carry the City into the future.
Continued Implementation of Geographic Information Systems
Technology
The City of Carlsbad has developed a Geographic Information System
using the ArcInfo GIS software operating on two UNIX workstations
within the Community Services area. The GIS operates in a service
bureau environment with departmental users requesting maps and
other information from the GIS staff. There is currently no
departmental on-line access to the GIS in place. In addition to the
City-wide GIs, the water utility develops maps using PC-based
1
1
0
I
8
1
1
I
I
l
I
1
1
I
I
I
m
4.
I AutoCad software.
There is an increasing demand for map data within City departments.
Currently, the City’s data communications network would not provide
the throughput necessary to support distribution of image data to
departmental workstations. However, as the City upgrades its
communications networks, the possibility exists to provide direct
access to mapping files by City departments.
66
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
I
I
I
I
1
B
1
I
I
1
1
1
1
I
0
1
I
1
1
The new financial system will also increase GIs potential, as many of
the system vendors who will be evaluated have developed on-line
interfaces of property database information to ArcInfo-based GIS
stations. The implementation of new financial software and relational
database management systems should increase the use of GIS.
We recommend that the City plan for distributing GIS information to
other departments by initiating a pilot project in 1995 which would
include the purchase of a PC-based workstation equipped with the
ArcView 2.0 software. This software provides departmental PC users
with inquiry-only access to GIS maps and data. The City should
determine the most appropriate department to be used for this pilot
and should monitor the success of the pilot to determine if additional
workstations should be budgeted for in fbture years. We have
included costs for the first year pilot, with plans for two additional
workstations in subsequent years in our cost estimates.
Upgrades of Existing Microcomputers and Implementation of a
Standard Office Automation Suite of Products
As is the case with most organizations who have implemented
microcomputer technology, hardware requirements continue to expand
with the initiation of new graphical operating environments such as
Microsoft Windows. Based upon our review of existing
microcomputer inventory reports, the City has approximately 60 older
technology (286 or AT-based) microcomputers within various City
departments. The remaining City microcomputers are 386 or 486-
based IBM compatible machines or Apple microcomputers.
It may be advantageous for the City to standardize on IBM PC-
compatible computers as much as possible. Therefore, departments
such as Human Resources, which presently uses the Apple Macintosh
computers, be reviewed further to determine the possible conversion to
the IBM PC-compatible platform. This would facilitate system
connectivity and support by the City’s Information Systems
department.
5.
67
Information Systems Nee& Assessment and City of Carlsbad,
Long-Range Plan Calvornia
1
1
I
I
I
t
I
1
1
1
I
R
I
I
1
I
I
With the variety of equipment and application software being used by
City departments, it is increasingly difficult for the Information
Systems Department to provide support for these users. We believe
the City should implement a long-range plan and accompanying
budget which provides for continued upgrade of microcomputer
equipment within the City. This would require the City to budget a
specific amount on a yearly basis for upgrading microcomputer
hardware and software across City departments.
We recommend that approximately $125,000 to $150,000 per year be
initially budgeted for PC replacements and upgrades. This investment
should be considered as an on-going investment in current technology
and will, in all probability, be required indefinitely into the future.
Technology will continue to change and the City should plan to be in
a position to be able to implement these changes in technology as the
need arises.
In conjunction with this ongoing technology investment, we
recommend that the City evaluate integrated suites of office
automation software to be implemented as a City-wide standard. The
implementation of an office automation standard should increase
training effectiveness and improve interdepartmental data sharing. We
recommend that a task force consisting of Information Systems and
key departmental personnel be initiated to investigate office
automation application suites and to recommend a standard for
I
1 implementation.
The implementation of Windows technology within the City will
provide the benefit of multi-tasking (e.g., the ability to operate more
than one program simultaneously from a single workstation) to system
users. This capability will be important to allow system users to move
between financial applications and PC applications.
68
In formation System Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
I
I
1
1
I
D
1
1
1
1
1
1
1
1
1
1
1
C. Staffing and Training
Our interview process indicated that departmental training on microcomputer
applications and City developed systems should be an area of long-range
emphasis. The current Information Systems staff is supporting a large
number of custom financial applications and is also supporting an extensive
microcomputer network. Due to the level of maintenance involved to keep
these systems operational, there is limited time available to provide
application training to end-users. In order to successfully implement a new,
state-of-the-art financial system, the City must be committed to provide high
quality training to system users in order to achieve the maximum benefit in
this new investment.
By devoting adequate resources to training and support during the
implementation effort, the City will experience increases in efficiency due to
increased use of the City’s automation resources. Implementing a new
financial system without a commitment to training will not provide the
improvements to the financial accounting processes and procedures which the
City desires.
Additional training will also be required for existing Information Systems
staff and end-user personnel. Although at the present time we do not know
the hardware and operating platform of the new financial system, it is likely
that any system implemented will incorporate increased use of midrange and
microcomputer hardware and clientherver technology. In addition, many of
the systems which will be evaluated utilize relational database management
systems and fourth generation program languages. Current City Information
Systems staff will need to be trained on these new technologies. In addition,
some Information Systems personnel may need to shift their emphasis from
programming efforts to end-user training and support. This may also require
some re-training for technical personnel. The City should provide budget
dollars on a yearly basis for training of Information Systems personnel.
End-users of the new financial system will require training on how to process
transactions, perform inquiries and develop custom reports using the new
systems. We have also included estimates for vendor-provided technical and
end-user training in our cost estimates for the financial system. I
69
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
I
I
I
1
I
1
i
1
1
I
I
1
I
1
I
1
We cannot over emphasize the need for adequate training on a system of this
magnitude. Many cities have spent significant dollars on hardware and
software, and have viewed training and implementation budgets as an area
which can be reduced when budgets become strained. This often results in a
sophisticated financial information system which is being used at a fraction of
its capability. We strongly recommend that the City of Carlsbad avoid this
potential pitfall by making a firm commitment to training as part of the 1 implementation effort.
We believe that implementation of high quality packaged sohare will help
keep Information Systems staffing levels stable by reducing the amount of
maintenance and support required on a daily basis. Because of these factors,
we do not recommend that the City acquire additional fill-time staff to
support the City systems. However, implementation of a new financial
system will increase the amount of support required during the initial year of
implementation.
In addition, there is a need for additional microcomputer support, which
cannot be provided by existing staff during the conversion process. We
recommend that the City budget for contract technical assistance to provide
additional microcomputer support during the financial system conversion
period. This will allow existing staff more time to devote to the conversion
efforts. Due to the magnitude of such implementation projects, the City
could additionally benefit from implementation assistance by an objective
third-party. Their role would be to lend project management and technical
assistance to augment the City's current Information Systems Department.
We have included estimated costs for part-time technical support and
implementation assistance in the cost estimate section of the report.
Long-Range Capital Budgeting for Information Systems Expenditures
As the City of Carlsbad becomes increasingly dependent on computer
technology, the need for fiscal planning for system replacement and upgrades
will continue to increase. Many governmental organizations who we have
worked with have found it advantageous to implement a five-year capital
budgeting process to identify long-term capital needs and to reduce the
"surprises" which can occur in years when major systems must be replaced.
D.
1
70
Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
1
I
I
1
I
I
1
I
1
1
I
1
1
I
I
I
8
I
We recommend that the City of Carlsbad implement a process where an
internal Information Systems Advisory Committee prepare a five-year capital
expenditure budget which would include all planned purchases of capital
equipment with a useful life in excess of 3 years or which exceeds a specific
dollar limit specified by the City (e.g., $50,000). This budget would be
presented to the City Council for review and discussion. As the City’s long-
range plans change, the automation budget would need to be modified to
reflect these changes. Although the City would continue to adopt a yearly
budget for actual expenditures, this five-year automation budget would
provide a method of planning for future years and ensuring that the financing
mechanism would be in place to fund future year expenditures.
We believe that long-range capital planning will be critical in order to plan
for future major automation initiatives being contemplated by the City. The
five-year capital expenditure budget will provide a method to identify the
costs related to these on-going needs.
Budget Estimates for Implementing Recommendations
The following spreadsheet contains budgetary estimates for implementing the
high priority requirements outlined in this report. These cost estimates are
based on our previous experience with other cities similar in size to Carlsbad
and from our conversations with various governmental hardware and software
vendors. Since these costs are based on estimates and assumptions which are
subject to change, we do not represent them as results which will actually be
achieved. They should, however, provide a general budgetary estimate to
consider prior to the Request for Proposal process and any purchasing
activities for non-financial systems.
Some of the key assumptions of these estimates are as follows:
Financial Computer Svstem
I
E.
The hardware system is configured to support the financial
applications outlined in this report. If other City applications, which
are non-financial in nature, are processed on this system, the hardware
requirements and associated costs may increase.
0 Initial cost estimates are based on midrange computer hardware
platforms (UNIX, AS/400), which would be interconnected to the
City’s microcomputer wide area network. During the RFP process,
other hardware alternatives will be proposed and considered (e.g., PC
network); however, costs for these other hardware alternatives should
be comparable.
71
B Information Systems Needs Assessment and City of Carlibad,
Long-Range Plan California
Year two and year three hardware costs are estimates for annual
Financial application software estimates are based upon licenses for
1
I
I
!
1
I
1
1
I
1
1
I
1
1
I
I
I
1
maintenance contracts on the equipment.
32-48 concurrent users. If the City’s volume on concurrent users of
the system increases, the application software costs may increase.
Software costs include estimated costs for operating system licenses,
limited development database management system licenses and base
financial management software. Application software does not include
modification costs.
Years two and three costs for software are estimates for annual
maintenance and license fees. These costs are estimated to be 20% of
the initial software license cost of the software.
Estimates for technical and user training are only included for year
one. On-going training for new employees, etc. should be part of a
City-wide technology training budget.
Overtime for existing employees or temporary staff is included to
account for additional data entry and computer related activities which
may need to be absorbed into current workloads during the system
conversion. We estimated 1000 to 1200 hours of overtime at $25 per
hour to arrive at our estimates.
Clerks Indexing Software
Sohare cost estimates are based upon replacement software operating
on either the new financial hardware or an existing microcomputer
network. Yearly license and maintenance fees are estimated at 20% of
the initial software license cost.
Networking and Communications Software
Year one costs are based upon costs prepared by the City Information
Systems Department for upgrading some of the existing router
equipment and by implementing additional high speed communications
lines.
Years two and three costs are rough estimates of future
communications costs which may be incurred to upgrade the network.
These costs would be determined in further detail as part of a network
analysis study.
72
1 Information Systems Needs Assessment and City of Carlsbad,
Long-Range Plan California
Geographic Information System Expansion
I
1
I
1
8
D
I
I
1
1
8
1
1
1
I
I
1
0 ArcView 2.0 costs are for software to be installed on existing PC
workstations within the City.
The additional ArcInfo workstation would be a full function UNIX
workstation which would be acquired as the City’s GIS requirements
expand.
0
MicrocomDuter UDczrades
8 Yearly costs are estimates for replacing and upgrading older PCs
within the City. For example, the 1995/1996 Information Systems
budget request includes $125,000 for PC upgrades and replacements.
The current budget request will bring all City PC equipment up to 386
or 486 processor standards. We believe that on-going upgrades will
be necessary due to changes in technology, and the City should budget
similar amounts on a yearly basis in anticipation of these
requirements.
0 An estimate of $40,000 - $50,000 is included in year one for
upgrading the disk capacity of existing PCs in order to support
Windows and an integrated suite of office automation applications.
We have found that these applications are very disk intensive, and
existing workstations may require additional storage capacity to 1 operate these programs.
0 Upgrades to Windows and an integrated suite of products will result in
additional software and training costs for the City. We have estimated
initial costs for software and training, with additional costs in years
two and three for new systems and users.
73
I
I
t
1
I
1
I. 77 7
IF
I :g
15;
1s
Is E
I-
t
1
1
I
00 0000000000000000 0000000000000000
a3Nolololaoaama3NNolNm
000
0-0- t t t9990"99990"99
m
a,
- n
0000000000000000 0000000000000000
mYNoll-Vbmmola77YYol 9~-99~"99990"0" a!a! *-O-O-
77 2 a Is v
C m
$5
5: 1 $'$
E
k u) rn 0
K .E
+
c 0 00, .-
0 . IC
1
I
0 00 0 00
0 m- eo -69
769