BOARD AGENDA MEMO - WordPress.com · 2015-07-09 · 9. Implement enterprise content management...

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FC 1025 (09-20-13)

Meeting Date:02/10/15

Agenda Item: Unclassified Manager: S. Tikekar Extension: 2424 Director(s): All

BOARD AGENDA MEMO

SUBJECT: Work Study Session on the Information Systems Master Plan of 2012.

RECOMMENDATION:

Update on the Information Systems Master Plan of 2012. SUMMARY:

The District has a large network of complex infrastructure including water treatment plants, reservoirs and dams, a water quality laboratory, groundwater recharge facilities, pump stations, miles of pipeline, ponds, creeks, streams, and administrative assets such as buildings, vehicles and equipment. Information Technology (IT) plays a key role in this ecosystem. The District relies on its technology to monitor and control water quality, manage water supply and delivery, maintain and protect its critical infrastructure, and enable effective and efficient business operations and management. The District’s extensive technology portfolio needs to be well-managed and tailored to provide strong support for the organization. Following the District’s asset management and life-cycle planning strategy, IT developed the Information Systems Master Plan (ISMP) in 2012. The objective of the plan was to create a long term plan for District’s Information Technology with three key outcomes: Reduce Complexity, Reduce Redundancy, and Increased Integration. Additionally, it also included an assessment of business risk exposure, benchmark analysis, and internal stakeholder outreach. This report presents an update on the ISMP and a tie-in to the proposed IT capital improvement projects for FY 16. ISMP Findings and Recommendations The ISMP is centered on seven key findings:

1. Unlike traditional infrastructure and real estate, the District does not treat information technology as a critical asset.

2. The District’s IT infrastructure is not well positioned to quickly recover from a major disaster.

3. The District’s application portfolio is complex, redundant, and not well integrated. 4. The District is not fully leveraging the capabilities of its critical software systems. 5. Many technology infrastructure components are aging or at end-of-life. 6. IT service delivery lacks sufficient structure and is somewhat reactive. 7. Critical skill gaps exist within IT.

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SUBJECT: Work Study Session and Board Consideration to Approve the Information Systems Master Plan of 2012.

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Based upon the above findings, the ISMP plan proposed a total of 32 recommendations and the IT Division began to implement recommendations immediately. Overall, the District has completed 10 (31%) recommendations, 10 (31%) are in progress, 9 (29%) are proposed and 3 (9%) are pending due to dependencies. Attachment #2 provides details of each ISMP recommendation, description of work, and its project status. The 32 recommendations fall into four broad categories as listed: Applications, Technical Infrastructure, IT Service Delivery, and IT Decision Making. Applications Of the total of 19 recommendations in this category, the District has completed 3 (16%). They are as follows:

1. Enhancing the water use efficiency program database 2. Creating a unified asset registry 3. Implementing the fee and easement system

There are 7 (36%) projects in progress, 6 (32%) are proposed and 3 (16%) are pending. They are as follows:

1. Enhance customer relationship management capabilities (in progress) 2. PeopleSoft Upgrade Project (in progress) 3. Expand the use of business intelligence for performance management (in progress) 4. Maximo enhancements for asset management (in progress) 5. Implement future funding analysis application (in progress) 6. Ecological Monitoring Information Management System (in progress) 7. Mobile Inventory Inspection System (in progress) 8. Implement cross platform systems for emergency/customer communications (proposed) 9. Implement enterprise content management (proposed) 10. Implement District wide Intranet Portal (proposed) 11. Implement GIS-enabled mobile work order management (proposed) 12. Implement enterprise case management (proposed) 13. Replace fuel management system (proposed) 14. Implement Maximo for Transportation and fleet management (pending) 15. Implement a water supply planning transactional database (pending) 16. Implement data and information architecture standards and policies (pending)

For a fuller description of the in progress, proposed, and pending projects please refer to Attachment #2.

Technical Infrastructure Of the 4 recommendations in this category, the District has completed 1 (25%). It is as follows:

1. Implement scheduled PC replacement There are 2 (50%) are in progress, and 1 (25%) is proposed. They are as follows:

1. Improve current disaster recovery plans to better link to the District’s overall continuity of operations plan (in progress)

2. Implement wireless for all major District locations (in progress) 3. Implement remote disaster recovery capabilities aligned with the updated disaster

recovery plan (proposed)


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For a fuller description of the in progress, proposed, and pending projects please refer to Attachment #2. IT Service Delivery Of the 6 ISMP recommendations in this category, the District has completed 5 (83%) and 1(17%) is proposed. They are as follows:

1. Realigned District IT organizational structure 2. Structured IT service methodology 3. Structured system development life cycle methodology 4. Select long-term application development platform 5. Adopted targeted training plans for IT staff

The proposed initiative is to adopt an IT staff succession plan, which will be completed in FY 2016. IT Decision Making Of the 3 ISMP recommendations in this category, the District has completed 1. It is as follows:

1. Implement policies for Mobile Communication and Computing Strategy There is 1 project in progress, and 1 is proposed. They are as follows:

1. Refine IT governance structures, processes, and tools (in progress) 2. GIS Master Plan (proposed)

All the in progress and proposed projects are to be completed in FY 2016-30 timeframe. Current Capital Improvement Program Request Using the lens of the ISMP findings, IT is proposing two projects in the FY16-20 CIP.

1. Software Upgrades & Enhancements: This project addresses the ISMP findings that the District should treat technology as a critical asset (finding #1) and address components that will be reaching their end-of-life (finding #5). This project consolidates all upgrade and enhancement services to existing enterprise District applications including GIS, Maximo, Oracle applications and databases, internal and external District websites, and related databases, resulting in continually functioning software which is supported by the vendor. Regular maintenance and upgrade of the software applications portfolio also results in improved security, enhanced features, and streamlined process flows resulting in increased productivity. The total project cost is $13.9 million over fifteen years.

2. Data Consolidation: This project addresses the ISMP findings that the IT application portfolio is complex, redundant and not well integrated (finding #3). This also addresses the ISMP recommendation to implement enterprise content management. This initiative will purchase and deploy an enterprise content management system to create a one-stop shop for information, eliminate systems and data duplication, reduce the data footprint, and support and automate records retention. The public will also benefit from this initiative, which will provide easy access to data on the District’s website. The total project cost is $1.1 million over four years.


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As a result of these new projects and the continuation of current efforts, IT anticipates the following improvements to be in place by the year 2020.

Modern technical infrastructure with up-to-date business and SCADA networks Up-to-date software applications, including latest version of Microsoft Office PeopleSoft Enterprise Resource Planning (ERP) system implemented with additional

modules and functionality Enterprise content management implemented through Data Consolidation An enhanced website with several GIS features to analyze data visually Finalized and tested IT Business Continuity Plan

At the far end of the planning horizon, IT plans for the following additional improvements by 2030.

Replacement of the microwave infrastructure 10 years after project completion Possible migration of ERP system to the cloud

FINANCIAL IMPACT:

There is no direct financial impact associated with the recommended action. Proposed projects are included in the FY 2016-20 Capital Improvement Program, which will be considered separately. CEQA:

The recommended action does not constitute a project under CEQA as it does not have a potential for resulting in direct or reasonably foreseeable indirect physical change in the environment. ATTACHMENTS:

Attachment 1: Information Systems Master Plan of 2012 Attachment 2: Information Systems Master Plan Progress Attachment 3: PowerPoint presentation

July 3, 2012

Information Systems Master Plan

Pacific Technologies, Inc. Practical Planning. Positive Change.®

ATTACHMENT #1 Page 1 of 402

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http://www.valleywater.org/uploadedFiles/Newsroom/PublicReviewDocuments/ISMP.pdf?n=7436

Table of Contents

1. Executive Summary ........................................................................................................................ 1

Methodology Overview ..................................................................................................................... 3 IT Position Summary ........................................................................................................................ 6 Key Findings and Recommendations ............................................................................................... 7 Strategic Direction .......................................................................................................................... 12 Implementation Plan ....................................................................................................................... 20 Conclusion and Critical Success Factors ........................................................................................ 24

2. Assessment .................................................................................................................................. 26

Assessment Methodology ............................................................................................................... 27 Business Needs .............................................................................................................................. 29 Assessment Findings ...................................................................................................................... 33

3. Strategic Direction ........................................................................................................................ 48

Strategy Development Methodology ............................................................................................... 49 IT Vision, Mission, and Goals ......................................................................................................... 49 Goal 1: Accountable IT Governance ............................................................................................... 52 Goal 2: Transparent Customer Service ........................................................................................... 55 Goal 3: Business Continuity ............................................................................................................ 56 Goal 4: Workforce Efficiency ........................................................................................................... 57 Goal 5: Asset Management ............................................................................................................ 60 Goal 6: Proactive IT Service ........................................................................................................... 63

4. Implementation Plan ..................................................................................................................... 67

Implementation Planning Methodology ........................................................................................... 68 Implementation Projects ................................................................................................................. 68 Implementation Project Costs ......................................................................................................... 71 Implementation Timeline ................................................................................................................. 74

5. Detailed Recommendations ......................................................................................................... 77

Recommendation Development Methodology................................................................................. 78 Applications .................................................................................................................................... 78 Technical Infrastructure .................................................................................................................. 96 IT Service Delivery ....................................................................................................................... 110 IT Decision Making ....................................................................................................................... 122


6. Implementation Project Descriptions ........................................................................................ 135

Project Costing Methodology ........................................................................................................ 136 Application Projects ...................................................................................................................... 140 Technical Infrastructure Projects................................................................................................... 228 IT Service Delivery Projects .......................................................................................................... 243 Decision Making Projects ............................................................................................................. 266

7. Detailed Project Plans ................................................................................................................ 280

Project Planning Methodology ...................................................................................................... 281 (A4) Upgrade/Extend PeopleSoft .................................................................................................. 283 (A5) Implement Enterprise Content Management ......................................................................... 292 (A7) Implement a District-wide Intranet Portal ............................................................................... 298 (A8) Create a Unified Asset Registry ............................................................................................ 303 (A9) Enhance Maximo for District-wide Asset and Work Management ......................................... 308 (A10) Implement Maximo for Transportation for Fleet Management ............................................. 315 (A11) Implement a Future Funding Analysis Application ............................................................... 319 (A12) Implement GIS-enabled Mobile Work Order Management .................................................. 324 (A14) Implement Fee and Easement ............................................................................................ 330 (A18) Replace the Fuel Management System............................................................................... 335

Appendices

A: List of Participants .................................................................................................................. A-1 B: IT Position Summary Methodology ......................................................................................... B-1 C: Application Gap Analysis ........................................................................................................ C-1 D: IT Staffing Analysis Detail ....................................................................................................... D-1


Pacific Technologies, Inc. Practical Planning. Positive Change.

Chapter 1 Executive Summary


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The Santa Clara Valley Water District (SCVWD, the District) is the largest multi-purpose water supply, watershed stewardship, and flood management special district in California, and the primary water resources agency for Santa Clara County. It provides a reliable supply of clean, safe water to nearly two million people in 15 cities and the unincorporated areas of the county. The District also works to protect residents and businesses from flooding and serves as environmental steward for many of the county’s 800-plus miles of streams and creeks, groundwater basins and district-owned reservoirs.

The District’s Board of Directors codified these three core missions in its Ends Policies (see inset to the right). To achieve these objectives, SCVWD operates and maintains large infrastructure, including: a complex water delivery and treatment system with three water treatment plants, 10 reservoirs and dams, a water quality laboratory, 18 groundwater recharge facilities, three pump stations, and more than 165 miles of canals, tunnels, and pipelines; ponds, creeks, and streams used as natural resources for recharge and managed for flood control and environmental sustainability; and administrative assets such as buildings, motor vehicles, and equipment.

Recognizing the vital need to effectively manage these assets, SCVWD introduced a formal, district-wide asset management (AM) program in 2010. This AM program aims to minimize the total lifecycle costs of assets without jeopardizing reliability or service delivery by carefully planning for asset acquisition, operations and maintenance, disposal, and replacement.

Information technology (IT) also plays a critical role in this ecosystem. SCVWD relies on its software systems and technology infrastructure to help monitor and control water quality, manage water supply and delivery, plan for long-range water supply and demand, maintain and protect its critical infrastructure, and enable effective and efficient business operations and management. Prior to this planning effort, the District has not conducted the same level of lifecycle planning for its information technology that it devotes to its other assets. Recognizing the criticality of IT to its success, SCVWD initiated this information systems master planning (ISMP) project. By applying the same rigor that it uses to manage the costs, risks, and performance of its physical infrastructure to IT, the District intends to achieve three major outcomes:

Intended ISMP Outcomes

♦ Reduced Complexity ♦ Reduced Redundancy ♦ Increased Integration

Board of Directors Ends Policies

♦ E2 “…Reliable, clean water supply for current and future generations”

♦ E3 “…Health and safe environment for residents, businesses, and visitors, as well as for future generations”

♦ E4 “…Water resources stewardship to protect and enhance watersheds and natural resources and to improve the quality of life in Santa Clara County”


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Within this context, SCVWD engaged Pacific Technologies, Inc. (PTI)1 to facilitate the development of this information systems master plan.

The remainder of this executive summary is organized as follows:

♦ Methodology overview ♦ IT position summary ♦ Key findings and recommendations ♦ Strategic direction ♦ Implementation ♦ Conclusion and critical success factors

It is important to note that this information systems master plan is not just directed to the Information Management Services Division (IMSD). Rather, it is an assessment of district practices as a whole. The business community within SCVWD shares responsibility for steering the ship to the right direction. Executive sponsorship and business community involvement are the most critical success factors to successfully implementing this master plan.

Methodology Overview

PTI conducted the project in three phases:

1. Assessment and Analysis. PTI worked with SCVWD’s project management team to adapt the District’s business risk exposure (BRE) tools to more effectively measure the business risk exposure of system software, based on best practices and their collective experience and industry knowledge. The consultants used these adapted tools to assess the BRE of each application based on probability of failure (PoF) and consequence of failure (CoF). POF considered effectiveness and efficiency, data and content management, application architecture, and capacity. COF evaluated potential impacts to service delivery, workplace and public safety, the community, the environment, and the District’s reputation, as well as any potential financial impacts. Employing its own proprietary data analysis tools, PTI also collected and analyzed detailed quantitative data related to the District’s network architecture, technical infrastructure, and IT staffing and spending. Using this data, PTI compared SCVWD’s IT position against its database of public sector IT benchmarks. In addition, PTI considered extensive qualitative data gathered from nearly 200 district staff through individual interviews, focus groups, desk-side application reviews, and asset management workshops to develop a comprehensive picture of the District’s “as-is” IT position. Chapter 2 further details PTI’s assessment and analysis methodology.

1 Pacific Technologies, Inc. subcontracted a portion of this work to Spatial Wave, a California-based consultancy that specializes in water utility asset management.


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2. Strategy Development. During a series of strategy planning workshops with the project steering committee, PTI facilitated the development of a vision and mission for information technology at the District. These were based on PTI’s assessment findings, an opportunity analysis of enabling technologies, and recommendations as well as the Board of Directors’ ends policies for fiscal year 2011/12. The consultants then worked closely with the project management team and steering committee to translate the vision and mission into specific goals and actionable strategies. Chapter 3 further details PTI’s strategy development methodology.

3. Implementation Planning. PTI collaborated with the District’s project management team in a series of workshops to translate PTI’s recommendations into implementation projects. The consultants then developed low- and high-end cost estimates and estimated implementation timelines for each of the projects. The consultants also conducted a detailed alternatives analysis and developed detailed project plans to address application areas with significant business risk exposure, complexity, and/or substantial investment requirements. Chapters 4, 6, and 7 further detail PTI’s implementation planning, project costing, and detailed project planning methodologies, respectively.

Throughout these three phases, PTI worked collaboratively with the District’s project management team comprised of representatives from the Information Management Services Division and the District-wide Asset Management Planning Unit. The consultants also conducted two separate workshops with the District’s project executive steering committee to validate assessment findings; review recommendations; develop the IT vision, mission, goals, and strategies; and confirm the implementation projects, schedule, and costs.

Within each of these phases, PTI’s work centered on four IT focus areas:

♦ Applications – the essential business software that supports the District’s operations

♦ Technical Infrastructure – the hardware, network components, databases, and operating systems that support the District’s applications

♦ IT Service Delivery – the organization and staff that operate and maintain the District’s applications and technical infrastructure, including: IT organizational structure; staffing levels, and allocation; service management methodology; and support personnel skills and experience

♦ IT Decision Making – the governance structures, processes, and tools that support IT planning and investment decisions

The figure on the following page illustrates PTI’s methodology.


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ISMP Methodology Overview

Note that this information systems master plan represents a point-in-time effort and may not reflect changes after March 2012.2 As circumstances change, IT priorities must change accordingly. Consequently, this plan should be treated as a living document, reviewed annually, and revised as necessary.

2 Staffing recommendations contained in this master plan are based on IMSD staffing levels as of March 2012. They assume full realization of staffing efficiencies projected by PTI and anticipate increased operations and maintenance workloads resulting from the defined applications and technical infrastructure projects. All staffing recommendations will need to be revisited should IMSD staffing levels change, or new IT operational or maintenance requirements – beyond what is outlined in this master plan – be added.

• Application portfolio

• Business risk exposure

• IT inventory

• IT staffing and allocation

• IT budgets and spending

1. Quantitative Analysis

• Individual interviews

• Focus groups

• Desk-side application reviews

• Asset management workshops

• Business plans

• Policy documents

2. Qualitative Analysis

• Applications

• Technical infrastructure

• IT service delivery

• IT decision making

3. Findings Development

• Mobile communications

• Collaboration

• Customer self service

• Options analysis for key application projects

4. Opportunity Analysis

• IT vision

• Mission

• Goals

• Strategies

5. Strategic Direction Setting

• Implementation projects

• Project costs

• Implementation timeline

• Detailed project plans

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1 IT Position Summary

Applying quantitative rankings to approximately 150 key indicators, PTI assessed both the operational and strategic position of SCVWD’s application portfolio, technical infrastructure, IT service delivery, and IT decision making. The following figure illustrates the District’s current IT position, evaluated within this framework.

The following section highlights key findings and recommendations from the consultants’ work.

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Strategic Position

Santa Clara Valley Water DistrictIT Position Summary

Technical Infrastructure

While the District’s core network is stable and reliable, very few critical applications are positioned for rapid recovery in the case of a disaster. In addition, staff rely on aging personal computers and a wide variety of mobile devices purchased on an ad hoc basis.

IT Service Delivery

IMSD’s current staffing level is adequate to maintain IT operations. However, a lack of role clarity and skill specialization – and an informal approach to IT service management – has negatively impacted other business units’ perception of IMSD as a trusted service provider.

Applications

SCVWD has a robust portfolio of highly capable applications, including both Maximo for asset management and PeopleSoft for finance and human capital management. However, the District is not fully leveraging the built-in functionality of these applications. Additionally, a proliferation of custom-developed shadow applications introduce unnecessary complexity and redundancy, and complicate integration.

IT Decision Making

While the District has a structured AM program for critical assets, it does not conduct lifecycle planning for software systems and technology infrastructure as it does for other district assets –increasing business risk and unplanned repair and replacement costs.


1 Key Findings and Recommendations

The District’s Information Management Services Division supports over 750 employees operating in multiple facilities and in the field throughout the county. These technology professionals provide maintenance for nearly 1,200 personal computers and 450 mobile devices, approximately 185 servers, numerous telephones and radios, and a complex communications system. They also sustain all major business applications, including software for: water resources planning, supply, and utility operations; watershed and stream stewardship; infrastructure development and maintenance; financial and business management; and the District’s external and internal communications.

Chapter 2 details the many strengths of the District’s application portfolio, technical infrastructure, IT service delivery, and IT decision making as identified by the consultants during their assessment work. The following highlights key opportunities for improvement

1. Unlike traditional infrastructure and real estate, the District does not treat information technology as a critical asset. As noted, the District manages a wide variety of assets, including dams and appurtenances, pipelines, pumps, water treatment plants, recharge ponds, creeks, facilities, and fleet vehicles. For these traditional assets, SCVWD implemented a district-wide asset management program aimed at minimizing total lifecycle costs without jeopardizing reliability or service delivery. This requires careful lifecycle planning, including for acquisition, operations and maintenance, disposal, and replacement. However, while the District’s asset management program clearly defines information technology as a critical asset, it has not conducted the same level of lifecycle planning for software systems and technology infrastructure. Nor does the District have a structured IT governance process in place to guide technology decisions beyond lifecycle planning – such as business alignment, benefit maximization, resource management and allocation, risk management, or performance measurement. In the absence of district-wide governance for IT, business units have implemented their own technology solutions, creating an ad hoc IT environment at the District and increasing technical support and maintenance demands.

This lack of lifecycle planning reduces the reliability of system software and technology infrastructure and increases their probability of failure – with the potential to significantly impact business operations and costs. As a result, many of the District’s software systems (such as PeopleSoft) and technology infrastructure (such as personal computers) have not been kept current. Accordingly, the District faces significant IT upgrade and replacement costs. Additionally, the lack of effective IT governance has led to a proliferation of siloed technology solutions in some areas – exacerbating system complexity, redundancy, and integration challenges – and insufficient automation in others.

2. The District IT infrastructure is not well positioned to quickly recover from a major disaster. Although SCVWD has a business continuity of operations plan (COOP), it does not clearly define the requirements for IT disaster recovery. The District has no defined application recovery time or

While the District’s asset management program clearly defines information technology as a critical asset, it has not conducted the same level of lifecycle planning for software systems and technology infrastructure.


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point objectives, no viable remote disaster recovery facility, and does not regularly train for recovering applications in an emergency. Insufficient backup and recovery capability is not limited to just the core IT network; the SCADA network and associated hardware components also suffer from less than comprehensive recovery capability, although the District has defined standard operating procedures in place for recovering SCADA systems.

The lack of an IT disaster recovery plan and viable remote disaster recovery facility risks the District’s ability to timely resume mission critical operations after a natural disaster or other major disruptive event.

3. The District’s application portfolio is complex, redundant, and not well integrated. SCVWD has nearly 40 separate asset management-related business applications. It operates and maintains at least 14 independent document management and cataloging systems. Additionally, the District relies on numerous shadow systems and custom-developed applications to support water resources planning, supply, and utility operations; watershed stewardship; financial and human capital management; and other critical business operations.

These complex, redundant systems compromise the quality and reliability of – as well as access to – critical data. They also increase the cost and complexity of maintenance and support.

4. The District is not fully leveraging the capabilities of its critical software systems. Maximo is a highly capable enterprise asset management system and currently is broadly used for work order management throughout the District. However, many critical district-owned assets (e.g., recycled water facilities, groundwater monitoring wells, water supply management systems, power generation or laboratory facilities, SCADA network components, information technology systems and infrastructure) are not in Maximo, limiting its use as a unified asset registry. Also, Maximo offers additional functionality not used by the District today that could automate currently manual processes, such as preventive maintenance scheduling, fleet management regulatory reporting, and automated workflow. Similarly, PeopleSoft offers integrated planning and budgeting and procurement solutions. Today, the District operates and maintains a combination of third-party and custom-developed solutions to perform these functions. Many of these are out of date, not well integrated, and/or do not effectively meet business requirements.

This unnecessarily complicates business processes with shadow systems or manual workarounds, hinders staff efficiency, and limits the District’s ability to fully realize the value of its technology investments.

5. Many technology infrastructure components are aging or at end-of-life. While the District has a regular PC replacement policy, the lack of sufficient funding led the District to extend its replacement schedule twice – the first time from four to five years, then again from five to six. Contrary to best practices, which dictate replacement every four to five years, over 70% of the

SCVWD has nearly 40 separate asset management-related business applications and operates and maintains at least 14 independent document management systems.


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District’s PCs now exceed five years of age and are nearing end-of-life. Additionally, the District’s standard server operating system (Server 2003) is out of date and behind current technology.

Aging IT infrastructure increases unplanned maintenance and repair costs, risks reliability and security, and increases the District’s business risk exposure should an infrastructure component fail.

6. IT service delivery lacks sufficient structure and is somewhat reactive. While IMSD has service desk software and staff have been trained in the Information Technology Infrastructure Library (ITIL) methodology (a structured approach IT service management), the division has not yet implemented formal procedures for service support (i.e., service desk, incident management, problem management, change management, and release management) and service delivery (i.e., service level management, service continuity, availability, capacity, and financial management). A lack of role clarity among IMSD staff exacerbates today’s ad hoc, reactive approach to service delivery. In interviews and focus groups with PTI, business unit customers noted confusion surrounding the responsibilities of the Information Technology and Information Systems Solutions units. They indicated that technology issues – whether hardware or software in nature – are often passed back and forth with very limited customer communication.

This lack of role clarity – within IMSD and between IMSD and the business units – results in a lack of shared ownership and accountability for the success of technology projects.

7. Critical skill gaps exist within IMSD. Many IMSD staff perform a wide variety of IT functions across multiple specialty IT areas – limiting their ability to develop specialized skill sets. The opportunity for training has been limited over the last decade due to budget cuts. Both IT and business unit staff indicated that IT skills at the District are mostly aging or outdated, and IT skills gaps exist in areas ranging from business analysis and structured service methodologies, to contract and project management. Additionally, the current business environment necessitates that IT staff are adequately trained for supporting newer technology and capable to assume a wider range of functional responsibility.

IT skill gaps impact the District’s capacity to effectively and efficiently maintain critical software systems and technical infrastructure.

The following summarizes the above opportunities for improvement and PTI’s associated recommendations. Chapter 5 details PTI’s recommendations.

Reactive service delivery and lack of effective customer communication within IMSD negatively impacts other business units’ perception of IMSD as a trusted provider.


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Key Findings, Recommendations, and Benefits

Key Finding Associated Recommendations Benefits

1. Unlike traditional infrastructure and real estate, the District does not treat information technology as a critical asset.

• Proceed with implementing the asset management framework for IT assets

• Establish governance for district-wide IT decision making

• Refine existing governance structures, processes, and tools to better consider the unique characteristics, risks, and potential benefits of IT investments and to prevent the implementation of rogue systems and ad hoc solutions that deviate from established strategic objectives

• Regularly update the ISMP

• Increased reliability of IT infrastructure

• Lower lifecycle costs for IT assets

• Improved capital planning for asset replacement

• Reduced business risk exposure

2. The District’s IT infrastructure is not well positioned to quickly recover from a major disaster.

• Improve current disaster recovery plans to better link to the District’s overall continuity of operations plan

• Secure a remote disaster recovery facility to resuming business operations in the event of a major disruptive event

• Enhanced ability to recover from a major disruptive event


3. The District’s application portfolio is complex, redundant, and not well integrated.

• Replace multiple, redundant systems with fewer, more functional applications

• Improve integration across software systems

• Improved data access, quality, and reliability

• Lower maintenance costs and complexity

4. This District is not fully leveraging the capabilities of its critical software systems.

• Focus on Maximo for enterprise asset management

• Upgrade and extend PeopleSoft for fully integrated finance and human capital management, planning and budgeting, and procurement

• Streamlined business processes, aligned with best practices

• Improved management of critical operational assets

• Increased workforce efficiency

• Improved integration


1 Key Finding Associated Recommendations Benefits

5. Many technology infrastructure components are aging or at end-of-life.

• Upgrade aging asset management systems to supplement functionality not provided by Maximo

• Implement a scheduled PC replacement cycle

• Standardize server operating systems on current technology

• Potentially lower maintenance and repair costs for IT assets

• Increased security

• More reliable, long-term vendor support


6. IT service delivery lacks sufficient structure and is somewhat reactive.

• Reorganize IMSD aligned with best practices

• Adopt a structured IT service methodology

• Enhanced IT service delivery, including software system and technical infrastructure support

• Increased IT cost and service efficiencies

• Improved IT customer service

7. Critical skill gaps exist within IMSD.

• Develop targeted training plans for IMSD staff

• Enhanced service delivery, including application software and technical infrastructure support

• Increased cost and service efficiencies

• Improved IT customer service

• Greater technical expertise in areas of critical IT operations


1 Strategic Direction

Based on PTI’s assessment findings and recommendations, as well as the Board of Directors’ ends policies for fiscal year 2011/12, the project steering committee developed a vision and mission for information technology at the District. During a series of strategy planning workshops with the consultants, the project steering committee then worked to translate this vision and mission into specific goals and actionable strategies.

The following summarizes the outcome of the committee’s work.

IT Vision A vision statement provides a broad aspirational image of the future that an organization is trying to achieve. In developing a vision for information technology, the project steering committee considered the desired role of IT in the broader context of business operations. The District’s IT vision below reflects this consideration.

IT Vision

Information technology provides a sustainable foundation for efficient and effective business operations.

IT Mission A mission states the purpose of an organization. The project steering committee wanted to ground the IT mission in the broader mission of the District. The IT mission below reflects the District’s desire to employ information technology as a tool to achieve specific strategic outcomes.

IT Mission

Information technology facilitates the people and systems that enable a reliable, clean water supply; flood protection; and water resources stewardship for the District’s customers.

The project steering committee developed an IT vision and mission based on PTI’s assessment findings and recommendations as well as the Board of Directors’ ends policies for FY 2011/12.


1 IT Goals and Strategies A goal is a statement of what an organization wants to accomplish. Once the “what” is defined, a strategy describes “how” it is to be accomplished. The project steering committee looked carefully at the consultants’ assessment findings to identify improvement opportunities, and the related recommendations for achieving those improvements. The following table summarizes the six IT goals that resulted from this work.

Santa Clara Valley Water District IT Goals

1 Accountable IT Governance

IT governance aligns investments with business objectives through a streamlined, accountable process.

2 Transparent Customer Service

Information technology facilitates efficient and transparent customer service.

3 Business Continuity Information technology supports the District’s ability to recover from business interruption in a coordinated, planned fashion.

4 Workforce Efficiency Information technology tools improve workforce efficiency.

5 Asset Management Information technology resources enable the District’s asset management program.

6 Proactive IT Service IT service is proactive, customer oriented, and professionally managed.

The following pages further describe each of these, present their attendant strategies, and highlight key anticipated outcomes associated with each. Chapter 3 details these goals and strategies.


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Goal 1: Accountable IT Governance


Anticipated Outcomes

Enhanced lifecycle planning for IT assets – resulting in increased reliability, lower lifecycle costs, and improved capital planning for asset replacement

Detailed plan for coordinated investments in geographic information systems, technology, and support

Improved ability to cost-effectively equip a mobile workforce to work productively in the field

Effective IT governance ensures that the District has the right technology, in the right place, and at the right cost – in support of SCVWD’s strategic business priorities. This strategic goal refines existing governance structures and processes to consider the unique characteristics, risks, and potential benefits of software system and IT infrastructure investments, and develops actionable plans for investment in geographic information systems and mobile technologies.

Strategies

1-A: Enhance district-wide IT governance

1-B: Develop IT plans and policies


1 Goal 2: Transparent Customer Service


2A: Use technology to more effectively engage customers


Enhanced customer self-service – resulting in less time and cost associated with responding to customer requests

Increased public safety through timely, automated notification of emergencies and potential risks

Customer self-service has become the norm for conducting business in both the public and private sectors. The wide availability of Internet access, combined with the proliferation of mobile devices has created an environment where most district customers and stakeholders can easily access information themselves – and expect to be able to do so. This goal enhances self-service for customers on the District’s website and implements a unified approach to delivering emergency and other communications across multiple platforms (e.g., voice mail, email, text message, social media).

Strategies


1 Goal 3: Business Continuity

Information technology supports the District’s ability to recover from business interruption in a coordinated, planned fashion.

3A: Enhance the District’s capability to recover from an emergency or disaster


Enhanced ability to recovery from a major disruptive event

Reduced business risk exposure

Effective IT disaster recovery plans support an organization’s broader business continuity goals. This strategic goal improves the District’s IT disaster recovery plans to include specific recovery objectives aligned with priorities for resuming business operations, institutes regular testing of those plans, and implements remote disaster recovery capabilities.

Strategies


1 Goal 4: Workforce Efficiency

Information technology tools improve workforce efficiency.


Streamlined business operations

Increased workforce efficiency

Improved employee communication and collaboration

Reduced complexity and redundancy

Improved integration

Strategies

4A: Address high priority business automation gaps

4B: Enhance collaboration capabilities

Continuing advancements in systems software provide SCVWD opportunities to enhance the way district employees work together, improve operational efficiency, and lower costs. This strategic goal upgrades and extends PeopleSoft for finance and human capital management, procurement, and planning and budgeting; replaces multiple redundant document management systems with an enterprise content management solution; implements business intelligence for performance management; and leverages the capabilities of mobile and collaboration technologies, and continues to evaluate new enabling technologies as they emerge.


1 Goal 5: Asset Management

Information technology resources enable the District’s asset management program.


Enhanced asset management – resulting in increased asset reliability, lower lifecycle costs, and improved capital replacement planning

Easier access to data and more informed decision making

Reduced complexity and redundancy

Improved integration

Strategies

5A: Utilize Maximo as the District’s core asset management solution

5B: Replace and upgrade applications to provide critical AM functionality not supported by Maximo

5C: Implement a structured approach to data management

Software systems are a critical component of the District’s asset management program. They track the inventory and condition assessment of assets, support lifecycle cost analysis and capital replacement planning, and facilitate funding analysis. This strategic goal establishes Maximo as the District’s core asset management solution, retires redundant systems, and upgrades selected AM applications to augment the functionality of Maximo.


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Goal 6: Proactive IT Service

IT service is proactive, customer oriented, and professionally managed.


Enhanced IT service delivery, including software system and technical infrastructure support

Increased IT cost and service efficiencies

Improved IT customer service

Strategies

6A: Optimize IMSD organizational structure

6B: Enhance IT service delivery approach

6C: Align IT skills with current and planned technology demands

Professionally managed IT services – whether provided by an in-house organization or by the private sector – effectively balance the service quality with the cost of service. This strategic goal reorganizes IMSD aligned with best practices to deliver enhanced IT customer service, implements a structured IT service management methodology to realize greater labor efficiencies, and develops training plans to fill current skills gaps and meet future skill demands.


1 Implementation Plan

PTI worked closely with the District’s project management team in a series of workshops to translate the consultants’ recommendations into specific implementation projects. The consultants developed low- and high-end cost estimates for one-time implementation costs and annual recurring costs. The consultants based the projections on their market research, industry knowledge, and experience with similar implementations. One-time costs included internal implementation labor, initial software license, hardware and hardware warrantee, procurement assistance, project management, implementation services, quality assurance, supplemental training, and miscellaneous consulting where appropriate. Recurring costs included internal support labor, software and hardware maintenance, and contract services where appropriate.

The scope of the consultants’ work did not include formal vendor bids, definition of hard dollar benefits, or a return on investment analysis. As such, the cost estimates do not account for potential vendor-provided discounts, efficiency savings, or other financial benefits. They also do not include the costs of maintaining current systems during the implementation period, or the potential cost savings of retiring old and/or redundant systems.

Estimated One-Time Costs This information systems master plan comprises 32 implementation projects with a total average estimated one-time cost of $19.1 million,3 including internal labor, services and supplies, inflation, and contingency. It can be helpful to look at these estimated expenditures by IT goal to ensure that planned implementation efforts align with overall strategic direction. The figure to the right illustrates how the District’s portfolio of implementation projects aligns with its IT goals.

As the chart indicates, workforce efficiency and asset management projects constitute approximately 80% of the total estimated expenditures. These projects represent significant investment in the District’s core software systems – many of which, without adequate lifecycle planning, have now exceeded their expected life and require major upgrades or replacement.

3 Does not include costs for enhancing the water use efficiency rebate program database or implementing a watershed mobile asset collection application, which are currently in progress.

PTI developed cost estimates based on their market research, industry knowledge, and experience with similar implementations.

$415,800 2%

$332,200 2%

$643,500 3%

$11,477,400 60%

$3,901,700 21%

$2,346,850 12%

Average Estimated Total Expenditures by IT Goal

Goal 1. Accountable IT Governance

Goal 2. Transparent Customer Service

Goal 3. Business Continuity

Goal 4. Workforce Efficiency

Goal 5. Asset Management

Goal 6. Proactive IT Service


1 Estimated Annual Expenditures The following figure illustrates estimated annual expenditures and labor effort, calculated by averaging PTI’s low- and high-end estimates. Total annual costs, including (labor, inflation, and contingency), range from $1.2 million to $6.9 million4, with capital expenditures peaking in 2016 and transitioning into regular operations and maintenance after 2018.

Average Estimated Expenditures and Labor Effort by Year*

*Does not include costs for enhancing the water use efficiency rebate program database or implementing a watershed mobile asset collection application, which are currently in progress.

PTI anticipates the need for additional contract labor to support the implementation of ISMP projects in 2016 through 2018. However, the IT staff efficiencies gained through reorganizing, structured IT service

4 Ibid.

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2013 2014 2015 2016 2017 2018 2019 2020

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Projected funding required (includes labor) Projected funding required (excludes labor)

High End IMSD FTE Low End IMSD FTE

Low End SME FTE High End SME FTE


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management methodologies, and training are expected to yield the equivalent of five FTEs, which can be repurposed to meet ongoing operational support needs beginning in 2019. The following table presents these average estimated annual costs, including labor and inflation, by implementation project.

The following table presents these average estimated annual costs, including labor and inflation, by implementation project.

Average Estimated Annual Expenditures by Implementation Project

Based on these estimated cost figures provided by the consultants, the District analyzed the potential financial impacts on overhead rates, Municipal and Industrial (M&I) rates, reserves, and contingency funds. Due to the reality of constrained financial resources, and limited ability to increase rates beyond what is already planned, many of these implementation projects will have to compete with other efforts for funding.

Project Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Year 7 Year 8

A1 Enhance customer self service and CRM capabilities -$ -$ 171,000$ 3,000$ 3,000$ 3,000$ 4,000$ 4,000$ A2* Enhance the water use efficiency rebate program database -$ -$ -$ -$ -$ -$ -$ -$ A3 Implement cross platform methods for emergency and other customer communications -$ -$ -$ 150,000$ 80,000$ 82,000$ 85,000$ 87,000$ A4 Upgrade PeopleSoft -$ 1,332,000$ 1,312,000$ 1,150,000$ 1,118,000$ 1,151,000$ 1,186,000$ 1,221,000$ A5 Implement enterprise content management -$ -$ -$ 1,824,000$ 1,333,000$ 1,373,000$ 324,000$ 334,000$ A6 Expand the use of business intelligence for performance management -$ -$ -$ 173,000$ 1,441,000$ 1,090,000$ 154,000$ 159,000$ A7 Implement districtwide intranet portal -$ -$ 536,000$ 396,000$ 256,000$ 264,000$ 272,000$ 280,000$ A8 Create a unified asset registry 100,000$ 102,000$ 105,000$ 50,000$ 51,000$ 53,000$ 54,000$ 56,000$ A9 Enhance Maximo for districtwide asset and work management -$ -$ 636,000$ 430,000$ 168,000$ 173,000$ 178,000$ 184,000$ A10 Implement Maximo for Transportation for fleet management -$ -$ 92,000$ 201,000$ 27,000$ 28,000$ 29,000$ 30,000$ A11 Implement a future funding analysis application -$ -$ 157,000$ 216,000$ 71,000$ 74,000$ 76,000$ 78,000$ A12 Implement GIS-enabled mobile work order management -$ -$ 375,000$ 217,000$ 99,000$ 102,000$ 105,000$ 108,000$ A13 Implement enterprise case management -$ -$ -$ 131,000$ 148,000$ -$ -$ -$ A14 Implement fee and easement -$ -$ -$ 308,000$ 92,000$ 31,000$ 32,000$ 33,000$ A15 Implement a water supply planning transactional database -$ -$ 130,000$ -$ -$ -$ -$ -$ A16 Implement an ecological monitoring information management system (EM-IMS) 9,000$ 9,000$ 9,000$ 100,000$ 197,000$ 203,000$ 209,000$ 215,000$ A17* Deploy the in-house developed mobile solution for asset inventory and condition assessment -$ -$ -$ -$ -$ -$ -$ -$ A18 Replace fuel management system -$ 212,000$ 63,000$ 27,000$ 28,000$ 29,000$ 30,000$ 31,000$ A19 Implement data and information architecture standards and policies -$ 100,000$ 34,000$ -$ -$ -$ -$ -$

109,000$ 1,755,000$ 3,620,000$ 5,376,000$ 5,112,000$ 4,656,000$ 2,738,000$ 2,820,000$

TI1 Implement scheduled PC replacement 140,000$ 287,000$ 296,000$ 305,000$ 314,000$ 323,000$ 333,000$ 343,000$ TI2 Improve current disaster recovery plans to better link to the District's overall continuity of operations plan 50,000$ 36,000$ 21,000$ 22,000$ 22,000$ 23,000$ 24,000$ 25,000$ TI3 Secure a remote disaster recovery facility -$ 251,000$ 495,000$ 487,000$ 502,000$ 517,000$ 532,000$ 548,000$ TI4 Implement wireless for all major district locations 145,000$ 13,000$ 13,000$ 14,000$ 14,000$ 14,000$ 15,000$ 15,000$

335,000$ 587,000$ 825,000$ 828,000$ 852,000$ 877,000$ 904,000$ 931,000$

SD1 Realign district IT organizational structure 89,000$ -$ -$ -$ -$ -$ -$ -$ SD1 Implement a structured IT service methodology 266,000$ 276,000$ 5,000$ 5,000$ 6,000$ 6,000$ 6,000$ 6,000$ SD3 Implement a structured system development life cycle (SDLC) methodology 40,000$ 83,000$ -$ -$ -$ -$ -$ -$ SD4 Select preferred long-term application development platform(s) 90,000$ 43,000$ 45,000$ 46,000$ 47,000$ 49,000$ 50,000$ 52,000$ SD5 Adopt targeted training plans for IT staff -$ 35,000$ -$ -$ -$ -$ -$ -$ SD6 Adopt an IT succession plan -$ 29,000$ -$ -$ -$ -$ -$ -$

485,000$ 466,000$ 50,000$ 51,000$ 53,000$ 55,000$ 56,000$ 58,000$

DM1 Refine IT governance structures, processes, and tools 64,000$ 37,000$ 38,000$ 40,000$ 41,000$ 42,000$ 43,000$ 45,000$ DM2 Develop a GIS master plan 103,000$ 106,000$ -$ -$ -$ -$ -$ -$ DM3 Implement mobile communication and computing strategy and policies -$ 52,000$ 53,000$ -$ -$ -$ -$ -$

167,000$ 195,000$ 91,000$ 40,000$ 41,000$ 42,000$ 43,000$ 45,000$ Contingency (10%) 109,600$ 300,300$ 458,600$ 629,500$ 605,800$ 563,000$ 374,100$ 385,400$

1,205,600$ 3,303,300$ 5,044,600$ 6,924,500$ 6,663,800$ 6,193,000$ 4,115,100$ 4,239,400$

Subtotal - IT Decision Making

Projected Funding Required


Subtotal - Technical InfrastructureIT Service Delivery

Subtotal - IT Service DeliveryIT Decision Making

Average Annualized Cost Summary

Applications

Subtotal - Applications



1 Implementation Timeline The consultants developed a preliminary implementation schedule, which they validated during a workshop with the project steering committee. The Gantt chart on the following page illustrates this timeline. It is presented in fiscal years beginning in the first quarter of Fiscal Year 2013 (July 1, 2012).

Projected Implementation Timeline

The District will need to periodically review and make adjustments to this implementation timeline, based on changing business needs and resource constraints.


1 Conclusion and Critical Success Factors

Without doubt, these are difficult financial times for Santa Clara Valley Water District – and rising operational costs, limited ability to increase revenue, and competing capital needs are unlikely to abate over the course of this plan’s time horizon. Nevertheless, this information systems master plan calls for the District to make significant investments in software systems and technology infrastructure. The reason for this is clear: information technology has moved out of the back seat and now drives service quality, operational efficiency, and innovation. It provides the best means to, practically speaking, “do more with less.”

This information systems master plan provides a clear blueprint to:

♦ Simplify the application portfolio. Replacing multiple, redundant systems with fewer, more functional applications – such as Maximo for asset management and PeopleSoft for finance and human capital management – reduces the complexity of the District’s application portfolio. Additionally, leveraging the best practice capabilities inherent in these software solutions before looking to third-party or custom developed applications allows the District to maintain a tightly integrated suite of software – streamlining business operations and improving productivity.

♦ Increase the reliability of technical infrastructure. Making critical investments in backup and recovery infrastructure positions SCVWD to timely resume operations after a natural disaster or other major disruptive event.

♦ Enhance IT service delivery. Restructuring IMSD and implementing a structured IT service management methodology, aligned with industry best practices, achieves greater IT cost and service efficiencies. Additionally, enhancing IT skills, and developing a succession plan to maintain capability as IT staff retire, ensures IT staff are well equipped to effectively support the District’s critical software systems and technology infrastructure.

♦ Improve the effectiveness of IT asset management and governance. Implementing formal asset management and lifecycle planning for existing software systems and technical infrastructure enables the District to increase the reliability, lower the lifecycle costs, and reduce the business risk exposure of its critical IT assets. Putting in place a structured governance body and processes for district-wide information technology decision making improves business alignment, enhances value delivery, better manages resources, increases long-term risk awareness, and ensures performance measurement.

Of course, achieving the benefits of this plan demands more than a one-time financial investment. It requires a new way of thinking about IT. Like physical structures, real estate, and equipment, information technology is a critical district asset. As such, the District must plan for, maintain, regularly upgrade, and replace software systems and technology infrastructure as it does any other asset. It also must consider these other critical success factors:

Information technology has moved out of the back seat and now drives service quality, operational efficiency, and innovation.


1 ♦ Shared ownership and accountability for success. As previously stated, this master plan is not

just directed to the Information Management Services Division (IMSD). Rather, it is a call for change for district-wide IT policies and practices. The business community within the District must share responsibility for steering the ship in the right direction. Executive auspice and business community involvement are the most critical success factors to achieving success.

♦ Structured governance for IT. While the District can begin to effectively conduct lifecycle planning for its existing IT assets within the Asset Management Program, a governance structure and process for information technology is essential to realizing the benefits of this plan. A sub-committee of the Executive Leadership Team (ELT) charged with this responsibility will ensure district-wide IT decisions and investments align with business priorities and deliver real value.

♦ Increased IT labor efficiencies. The ability of IMSD to effectively support the information systems and technologies outlined in this plan without a corresponding increase in staffing depends on its ability to implement repeatable service management methodologies and practices, leverage automated tools, and achieve service efficiencies aligned with best practice benchmarks.

♦ IT staff training and recruiting. Both achieving IT labor efficiencies in the near-term and positioning the District to support new and emerging technology in the long-term relies on highly skilled and experienced IT staff. Training and recruiting to fill identified skills gaps is critical.



Chapter 2 Assessment


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This chapter explores business needs and strategic priorities driving demand for information technology at the District. It presents the consultants’ assessment of major IT strengths and challenges at SCVWD and serves as a basis for the strategic directions presented in Chapter 3. Chapter 2 is organized as follows:

♦ Assessment methodology ♦ Summary of business needs and strategic priorities ♦ Assessment findings

Assessment Methodology

As previously noted, PTI organized its assessment and analysis around four IT focus areas:

♦ Applications ♦ Technical infrastructure ♦ IT service delivery ♦ IT decision making

The following describes PTI’s approach to assessing SCVWD’s current position in each of these IT focus areas.

Applications

Applications refer to the essential business software that supports the District’s business functions – including water utility operations and planning; environmental monitoring, assessment, and operations planning; long-range and asset management planning; maintenance and field operations; regulatory compliance; and financial management and administrative support. PTI and Spatial Wave comprehensively assessed the District’s application portfolio, including over 40 separate asset management and AM-related software systems. The consultants utilized qualitative user feedback, direct observation, and a quantitative analysis of business risk exposure.

♦ User Feedback. The consultants conducted 15 individual interviews and 10 focus groups with nearly 100 district staff to identify the strengths and weakness of existing business applications. They facilitated a series of workshops and conducted a system survey with approximately 100 additional subject matter experts to review over 40 asset management-related software systems, analyzing their purpose, users, primary data and record sets, primary inputs and outputs, technical environment, security, backup and recovery, and key interfaces. Appendix A provides a list of district staff who contributed to this master planning effort.

PTI organized its assessment and analysis around four IT focus areas.


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♦ Application Reviews. The consultants also conducted 23 detailed application reviews with “super-users” of 20 core applications, including Maximo and PeopleSoft. They observed how effectively these applications met business requirements as district staff walked through routine business processes using the systems. The consultants assessed functionality, ease of use, access to data, reporting capabilities, integration with other applications, and any functional gaps that required shadow systems or manual processes.

♦ Business Risk Exposure Analysis. The consultants worked closely with the District to refine its business risk exposure (BRE) tools to more effectively measure the business risk exposure of IT-related assets, based on best practices and their collective experience and industry knowledge. The consultants used these adapted tools to assessed the BRE of each application based on probability of failure (PoF) – considering effectiveness and efficiency, data and content management, application architecture, and capacity – and consequence of failure (CoF) – considering potential impacts to service delivery, workplace and public safety, the community, the environment, and the District’s reputation as well as any potential financial impacts. Appendix C details this BRE analysis methodology.

Technical Infrastructure Technical infrastructure refers to the hardware, network components, databases, and operating systems that support the District’s applications. In addition to using qualitative feedback about the strengths and weaknesses of the District’s technical environment, PTI utilized a detailed data analysis tool to collect and analyze data regarding the District’s local and wide-area network connectivity, server architecture, personal computers, mobile and specialized devices, and telecommunications. PTI also conducted a walkthrough of SCVWD’s main and backup data centers, as well as its major networking closets. These walkthroughs helped PTI assess the District’s data center maturity, physical security, space organization, power provisioning, intra- and inter-building networking, and disaster recovery capabilities.

The scope of this study included the assessment of SCADA support staff and staff allocation, and the BRE of SCADA-related applications. It did not include a detailed review of the SCADA master plan.

IT Service Delivery IT service delivery refers to the organization and staff that support the District’s applications and technical infrastructure. It includes the IT organizational structure; staffing levels, and allocation; service management methodology; and support personnel skills and experience. Using proprietary data staffing analysis tools, PTI collected detailed quantitative data related to IT staffing and allocation. The consultants analyzed the staffing allocation across nearly 80 unique IT functions in five service areas (customer services, technical infrastructure services, business application services, IT planning, and IT administration). Appendix D summarizes this staffing analysis. The consultants used this data together


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with the technical inventory data collected to assess key labor efficiency metrics, such PC and server support ratios, against PTI’s target benchmarks.5 The consultants also reviewed policy and procedures documentation and used qualitative feedback provided in interviews and focus groups with both IT staff and business unit customer to evaluate IMSD’s IT service management methodology and service delivery model.

While a formal IT skills survey was beyond the scope of this master planning effort, PTI analyzed the number of unique IT functions each IMSD employee performs to understand what areas (as indicated by functions staffed with minimal effort) may suffer from a skilled resource deficiency. PTI solicited additional input regarding current IT skills from IMSD supervisors, staff, and business unit customers via individual interviews and focus groups.

IT Decision Making IT decision making refers to the governance structures, processes, and tools that support IT planning and investment decisions. Using proprietary data analysis tools, PTI collected and evaluated detailed quantitative data related to district-wide IT spending. The consultants compared the District’s spending levels to other public sector and water utility organizations, identified areas of under- or over-investment, and reviewed alignment of IT spending with strategic business priorities. The consultants also reviewed the District’s existing governance policy documents, capital project validation and planning processes, and associated tools and guidelines.

The findings in this chapter are based on the consultants’ quantitative and qualitative analysis of each of these IT focus as well as the consultants’ understanding of SCVWD’s unique business needs and strategic priorities gained during their assessment work – summarized in the following section.

Business Needs

During interviews and focus groups with PTI, district staff and stakeholders identified several key factors driving the need for more efficient and effective technologies, most notably the need to:

♦ Ensure a reliable supply of clean water ♦ Provide natural flood protection ♦ Provide water resources stewardship ♦ Ensure sustainability ♦ Respond to a growing demand for accountability and transparency ♦ Effectively operate in a fiscally constrained environment

5 PTI maintains and annually updates a database of public sector IT benchmarks based on nearly 20 years of data.

A viable information systems master planning effort must be responsive to the District’s core business imperatives.


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♦ Efficiently manage enterprise assets ♦ Address an aging workforce

The following further describes each of these business needs.

Ensure a Reliable Supply of Clean Water A reliable, long-term supply of clean water requires varied supply options and dependable water treatment and delivery capabilities.

With the population of Santa Clara County expected to grow by nearly 16 percent by 2020 and an additional 12 percent by 2030,6 the District will see a rising demand for water. SCVWD’s ability to meet that demand is increasingly challenged by years of drought, limited water imports, and growing competition for water from other consumers. The District is currently developing a Water Supply Infrastructure Master Plan to identify the supplies, infrastructure, and operational approaches needed to achieve long-term water supply reliability through 2035.

Provide Natural Flood Protection Natural flood protection requires the District to accurately model and effectively reduce flood risk.

Protecting homes, businesses and transportation networks from the devastating effects of floods represents one of the District’s three core missions (i.e., reliable clean water, natural flood protection, and environmental stewardship). Historically, communities suffered millions of dollars in property damage and vital roadways became impassable when flooding occurred. Today, SCVWD provides natural flood protection to avoid or minimize these impacts.

Provide Environmental Stewardship Protecting habitat and natural resources requires accurate, up-do-date data, sound science, and support from key stakeholders.

The public’s concern for sensitive or threatened species, and for creek and habitat protection, has dramatically transformed district operations and service delivery. New and frequently changing environmental laws, greater oversight and more stringent regulatory requirements govern the District’s efforts to restore and maintain habitats and provide open space and recreational opportunities along its reservoirs and creeks throughout the county. Today, SCVWD tracks well over 200 active district permits or agreements with more than 1,000 unique provisions in addition to its compliance with other

6 Projection by the Association of Bay Area Governments Project 2009 as reported by the County of Santa Clara, http://www.sccgov.org/portal/site/planning/agencychp?path=%2Fv7%2FPlanning%2C%20Office%20of%20(DEP)%2FFacts%20%26%20Figures%2FCounty%20Profile

The public’s concern for sensitive or threatened species, and for creek and habitat protection, has dramatically transformed district operations and service delivery.


http://www.sccgov.org/portal/site/planning/agencychp?path=%2Fv7%2FPlanning%2C%20Office%20of%20(DEP)%2FFacts%20%26%20Figures%2FCounty%20Profile




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legal requirements for its watershed and stream, water supply, water treatment, dams and reservoirs, and pipeline related activities.

Ensure Sustainability A growing population, limited natural resources, and climate change require the District to ensure sustainability in its short and long term operations.

California water resource agencies are planning for the long-term impacts of climate change. The loss of significant amounts of the Sierra snowpack and long-lasting droughts will reduce water supplies. Rising tides will increase risk of flood and threaten critical infrastructure. Additionally, increasing temperatures and precipitation changes will endanger natural habitat, and plant and animal species.

In the early 2000s, the State of California began to establish aggressive sustainability goals, focusing on energy efficiency, climate action, renewable energy development, water use efficiency, waste management, and transportation management. Santa Clara Valley Water District has already implemented a number of sustainability initiatives. It increased the fuel efficiency of its vehicle fleet and meets part of its electricity needs with solar panels. Robust water recycling and conservation efforts produced quantifiable savings in energy and reductions in greenhouse gas emissions by offsetting the need to use electricity to pump water long distances. In 2010, California Sustainability Alliance recognized these achievements with its Sustainability Showcase Award.

Respond to a Growing Public Demand for Accountability and Transparency Accelerating public demand for accountability and transparency requires the District to employ new ways to communicate with stakeholders.

As previously noted, the District is held accountable for compliance with an increasing number of legal and regulatory requirements, including Title 27 – Environmental Protection of the California Code of Regulations and the California Environmental Quality Act.

Additionally, driven in part by the uncertain economy and increasing environmental concerns, consumers and community stakeholders seek evidence that the District operates in fiscally responsible and sustainable ways. They look for public review documents, master plans, rate structures, and budget details online, and expect public records to be readily available. Customers made nearly 7,000 online requests for information via Access Valley Water since its inception in 2007, and more than 450 separate public records requests in the last half of fiscal year 2010-11.

The District is held accountable for compliance with an increasing number of legal and regulatory requirements.

The District operates and maintains a wide range of assets, including water delivery and treatment facilities and equipment, natural resources, and administrative equipment and inventory.


http://en.wikipedia.org/wiki/Efficient_energy_use

http://en.wikipedia.org/wiki/Efficient_energy_use

http://en.wikipedia.org/wiki/Renewable_energy

http://en.wikipedia.org/wiki/Renewable_energy

http://en.wikipedia.org/wiki/Water_efficiency

http://en.wikipedia.org/wiki/Water_efficiency

http://en.wikipedia.org/wiki/Waste_management




2 Effectively Operate in a Fiscally Constrained Environment Increasing operational costs and constrained revenues demand that the District operate more effectively and efficiently.

In fiscal year (FY) 2011-12, the District reduced its annual budget by $2.5 million over FY 2010-11. It cut 10 staff positions this fiscal year and 82 positions in the previous three years – eliminating over 10 percent of the District’s workforce since FY 2007-08. Additionally, it significantly reduced overtime and consultant services.

These budget reductions reflect a response to a combination of increasing operational costs and constrained revenues. Watersheds operations costs increased by $9.7 million, or 8.9 percent, in FY 2011-12. Exacerbating this, two of the District’s revenue sources are at risk. First, approved by voters in 2000, the Clean, Safe Creeks and Natural Flood Protection Plan will sunset on June 30, 2016. If not renewed by the voters, the District could lose more than $34 million in annual special parcel tax revenues beginning in FY 2016-17. Second, the District still awaits final determination to a 2009 legal case, in which the court ruled that it incorrectly charged Great Oaks Water Company for groundwater production. Based on the decision of this trial case, the District has booked a $6.1 million liability, pending the determination of financial remedies, expected late 2012.

Efficiently Manage Enterprise Assets Dependable assets are an indispensable component of providing a reliable, clean water supply, flood protection, and environmental stewardship to residents and businesses.

SCVWD operates and maintains a complex water delivery and treatment system that includes three water treatment plants, 10 reservoirs and dams, a water quality laboratory, 18 groundwater recharge facilities, three pump stations, and more than 165 miles of canals, tunnels, and pipelines. However, the District’s assets extend far beyond its constructed facilities. They include its natural resources (such as creeks and streams) and its administrative assets (such as buildings, motor vehicles, office equipment and computers). Existing capital assets – including facilities, land, and major equipment – are valued at over $700 million. Many dams were placed into service over 70 years ago and some water treatment plants exceed 20 years of age. Several of these and other capital assets are nearing the end of their expected life and require refurbishment or replacement.

While SCVWD outlined a district-wide asset management (AM) framework in 2010, it does not yet have a comprehensive, long term asset management plan integrating water utility, watersheds, and administration AM programs.


2 Address Changing Workforce Demographics With the retirement of so many experienced staff, the District faces a significant loss of institutional knowledge and will be challenged to recruit new, skilled workers and to integrate the new thinking and business tools they will bring with them.

Approximately 750 employees work at Santa Clara Valley Water District. Nearly half of all district employees (more than 330 employees, or 44%) will be eligible for retirement in the next five years. Approximately two-thirds of these have 10 or more years of service with the District. Not only does the District risk losing significant institutional knowledge, it faces a newer, younger workforce with high expectations for mobile, collaboration, and other enabling technologies on the job.

Assessment Findings

The following sections present findings from the consultants’ assessment of SCVWD’s current IT environment. Both strengths and opportunities for improvement are organized around the four strategic IT focus areas:

♦ Applications – the essential business software that supports the District’s business functions

♦ Technical infrastructure – the hardware, network components, databases, and operating systems that support the District’s applications

♦ IT service delivery – the organization and staff that support the District’s applications and technical infrastructure, including: IT organizational structure; staffing levels, and allocation; service management methodology; and support personnel skills and experience

♦ IT decision making – the governance structures, processes, and tools that support IT planning and investment decisions

Applications The District has a robust application portfolio which includes both packaged applications that effectively meet business needs as well as custom applications to directly address user requirements not currently offered by commercially-vended software. In particular, SCVWD relies primarily on Maximo, a tier 1 application vended by IBM, for its asset management needs. This software offers work order management, preventative maintenance, and fuel management, among other capabilities, and provides a foundation for improving the District’s asset management automation. Other packaged software applications such as PeopleSoft for financial and human resource management and ESRI for GIS leverage best practices and efficiencies inherent in vended systems. In addition, some custom applications support the District and cut down on manual, paper-based processes, including the Monitoring and Mitigation Activities Database (MMAD) which manages mitigation and monitoring

With significant pending retirements, the District risks losing significant institutional knowledge and faces a newer, younger workforce with high expectations for mobile, collaboration, and other enabling technologies on the job.


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projects for watershed operations and the Hazardous Substance Liability Assessment (HSLA) application which stores related data for property acquisition investigations.

Opportunities for Improvement

The following table describes the District’s application portfolio challenges and associated risks.

Finding Risks and Impacts

Work activities depend heavily on paper-based, manual processes and stand-alone, work unit automation solutions.

Business process workshops revealed many instances of paper-based workflows used in conjunction with automated solutions. For example, to initiate watershed field operations work orders, SCVWD staff reference hard copy binders to locate codes which are then manually input into Maximo – after first going through a paper-based approval process. In addition, the use of multiple financial models for capital and budget forecasting creates inefficiencies as financial data is redundantly entered.

• Perpetuates reliance on slow, paper-based, largely manual business processes and institutional knowledge

• Increases time to locate important content

• Risks liability associated with using the wrong version of critical documents and/or inability to locate required files or documents

• Provides inadequate enterprise organization/categorization of unstructured data

• Leads to ongoing costs related to document production and handling (e.g., printers and ink/toner, scanners, paper, and serving public disclosure requests)

The District is not fully leveraging its investment in Maximo.

Maximo 7.1 is the District’s core asset management system. While the consultants assessed Maximo as having only a “moderate” business risk exposure rating, it currently offers limited integration with other core administrative systems (e.g., financial management, time entry, document management),and reporting and accessing data is difficult. Furthermore, the District is not on the most current release (7.5) which offers enhanced usability, upgraded performance, and more asset and supply change management functionality. Maximo also does not manage a number of important District assets, including dams and reservoirs, additional waterways, buildings and grounds, SCADA networks, pipeline corrosion control systems, wells and meters, power generation facilities, real estate, and equipment.

• Increases the District’s costs for managing assets and related information

• Contributes to automating asset management functions via disparate, poorly integrated solutions

• Promotes workaround solutions which bypass Maximo and introduce inefficiencies

• Inhibits management and reporting across the District’s assets

• Leads to higher BRE resulting in reduced quality, service delivery, and workplace and public safety

The District is not fully leveraging its investment in Maximo.


2 Finding Risks and Impacts

The District maintains many redundant asset management solutions.

SCVWD currently has nearly 40 separate asset management-related business applications. Many of these systems are custom developed, aging, and difficult to maintain.

• Siloes asset management information and compromises data quality

• Hinders reporting and business intelligence capability

• Increases reliance on aging technology platforms, programming languages and attendant skills

• Results in ineffective asset management leading to asset failure and related consequences

• Decreases ability to make informed decisions with respect to the asset repair or replacement resulting in added asset life cycle costs

• Does not consistently apply asset management tools across all asset types

• Continues reliance on inaccurate data and inefficient processes due to lack of knowledge of assets that are owned by the District

The District maintains many redundant case management systems.

The District currently supports over 20 standalone internal case management and service request systems, including both web-based online forms for request processing (e.g., Anonymous Ethics/EO Input and Complaint Form, Board Member Scheduling Request Form, Business Card Request Form) and web-based case management and service request systems (e.g., Intra-District Request for Field Services, Mobile Lab & Irrigation and Nutrient Management Assistance Program Request Form, Personnel Action Request System [PARS].)

• Slows case management and service request processes

• Increases support costs

• Requires extensive programming to meet changing case management requirements

The District maintains many redundant applications for both asset and case management.


2


PeopleSoft is significantly out of date and does not meet functional needs.

SCVWD currently uses PeopleSoft FMS 8.4 for financial management and PeopleSoft HR 8.3 for human resource management. This software was originally purchased in 2002 and has not had a significant upgrade since. Both of these versions are now out of date; Oracle is no longer supplying updates, fixes, security alerts, or extended support, and the District could incur a significant late penalty charge to upgrade to current versions. In addition, PeopleSoft offers integrated planning and budgeting and procurement modules which the District is not using in favor of a combination of aging and disparate third-party and custom-developed applications to perform these functions.

• Necessitates error-prone manual and paper-based workarounds, particularly for timekeeping

• Drastically elevates the District’s risk exposure to application problems or failure (e.g., unrecoverable crashes, ongoing functional deficiencies)

• Impedes integration with other systems

• Increases risk of payroll error and/or delays

• Reduces staff productivity and delays budgeting and contracting processes

• Impairs ability to accurately track labor costs associated with asset management and capital projects

• Reduces insight into SCVWD’s financial environment

• Increases possibility of non-compliance with regulatory requirements

SCVWD’s intranet is aging and ineffective.

Today, Aqua (SCVWD’s intranet) provides employees access to district news, policies and standards, service request forms, and selected employee information. Employees can access the business applications by signing on to each of them individually. Aqua provides very little navigation guidance; employees must know where to find the information they seek. The District still utilizes a shared drive structure for file sharing, in which the information is often redundant, out of date, and misplaced.

• Inhibits effective and consistent communication, collaboration, information access and exchange

• Encourages staff to maintain their own information and data repositories for common items (e.g., policies)

• Increases reliance on – and risks associated with – institutional knowledge

PeopleSoft is significantly out of date and does not meet functional needs.


2


The District lacks an enterprise approach to content management (i.e., formalized method for organizing and storing documents and information).

The District has 14 independent document management and cataloging systems, including but not limited to: • Community Projects Review Unit System (CPRU) for

District-issued permit tracking • Cuadra Star to catalog Records and Library physical

records • District Permit Management System (DPMS) for watershed

permit tracking • Engineering Drawing Catalog System (EDCAT) to catalog

Records and Library engineering drawings • Extensis to catalog Records and Library photographs • MapLibrary for groundwater-related documents • Quality and Environmental Management System (QEMS) to

track ISO documents • Questys for engineering drawings and Board agenda

management • Watershed Photo Library System (WPLS) for watershed

photographs With the exception of Cuadra Star, Extensis, and Questys, all of the applications outlined above are custom developed. Some are aging and require additional capacity and significant ongoing maintenance. The consultants assessed EDCAT, QEMS, and WPLS all as having “high to very high” business risk exposure ratings.

• Makes it difficult to manage the District’s information assets

• Complicates regulatory compliance

• Increases costs associated with system licensing, maintenance and hard-copy document storage

• Continues reliance on slow, paper-based, largely manual business processes and institutional knowledge

• Risks liability associated with using the wrong version of critical documents and/or inability to locate required files or documents

• Increases time to locate important content

• Provides inadequate enterprise organization/categorization of unstructured data

• Leads to ongoing costs related to document production and handling (e.g., printers and ink/toner, scanners, paper, and serving public disclosure requests)

The District lacks an enterprise approach to content management.


2


Key ancillary systems are near end-of-life.

Many of the District’s custom-developed applications that augment or support core automation (e.g., Maximo, PeopleSoft) are out of date and/or rely on obsolete technology. For example, the District’s infrastructure and capital asset management system (ICAM) toolkit is not easily integrated with Maximo, and lacks scalability to meet future requirements. SCVWD’s fuel management system – TRAK – is more than 15 years old, relies on obsolete technology, and requires extensive manual data entry. Finally, the District currently utilizes a prototype database built using Microsoft Access and Cold Fusion for water use, allocation, storage, and climate data. The system was developed internally and the developer has left SCVWD, effectively ending support for the system.

• Increases possibility of system failure

• Relies on aging or obsolete technology and attendant software development skills

• Degrades SCVWD’s ability to meet future business needs

• Increases possibility of non-compliance with regulatory and environmental reporting requirements

Opportunities exist for improving customer relationship management.

Currently, Access Valley Water (Comcate) is effectively used for some service requests. However, it does not allow external customers to easily access information and services online (e.g., payment processing for well water customers), without the need for physical interaction with SCVWD personnel. In addition, it is not optimized for mobile devices.

• Limits customer self-service capabilities

• Increases phone and in-person contact with stakeholders

• Uses manually intensive, error-prone processes surrounding the analysis of and response to SCVWD stakeholder concerns

SCVWD lacks a cross-platform solution for emergency and other communications.

Business units within SCVWD employ various point solutions for emergency and other communications. For example, the emergency operations center utilizes the Blackboard emergency notification system and plant operations has formal procedures to notify retailers and municipalities of water delivery or treatment issues. However, the District has no integrated, cross-platform system for alerting stakeholder groups (e.g., customers, district staff) to emergency and other important events (e.g., boil water alerts, planned and unplanned outages, water use restrictions) via multiple media (e.g., telephone, text, email, social media).

• Complicates and delays external communications

• Increases the possibility of inconsistent messaging

• Prevents some stakeholders from receiving important notifications in sufficient time

• Leads to a high volume of customer service inquiries during an emergency or outage

• Continues reliance on error-prone manual processes

Many of the District’s custom-developed applications are out of date and/or rely on obsolete technology.


2


District information is stored in a variety of systems with no single source of record.

For example, SCVWD stores human resources information in Halogen (performance appraisal) Gyrus’ SST Training Wizard (employee certification and education), and PeopleSoft (employee identification and benefits). Several systems (e.g., Cognos, CIP Dashboard and the financials data warehouse) store business intelligence/performance management information.

• Complicates gathering, analyzing and reporting on key business operations and performance information

• Duplicates data unnecessarily and leads to rework

• Contributes to data inaccuracy as systems receive updated information at different times

• Leads to lost knowledge due to inconsistent information management or attrition

• Increases possibility of accidental disclosure of confidential information

It is difficult to gather, analyze, and report on key business operations and performance information.

The District currently utilizes Cognos BI for financial and human resource management business intelligence. However, during interviews and workshops with the consultants, District executives and staff expressed a strong desire for easy to access, near real-time performance analytics to support its asset management program as well as other core operational areas outside of finance and human resources. Because the District lacks a data warehouse and data mart architecture, this information is extremely difficult to access and aggregate, reducing the capability to report on key performance measures and to make data-driven decisions.

• Does not provide meaningful insight into District operations and related data

• Continues reliance on error-prone manual processes and institutional knowledge for data retrieval, merging, and analysis

• Provides potentially unreliable information

Data and information is extremely difficult to access and aggregate, reducing the capability to report on key performance measures and to make data-driven decisions.


2 Technical Infrastructure The District’s production systems are stable, and system uptime is tracked to quickly discover issues and take corrective action. This helps SCVWD maintain business operations and prevents data loss and other issues associated with system crashes. SCVWD’s core fiber network is also reliable and offers sufficient bandwidth to support increasing data transmission requirements associated with new technologies (e.g., web and sensor-based). In addition, being largely (97%) standardized on a single PC operating system (i.e., Windows XP) simplifies PC management and support and streamlines application testing and deployment at the District.


The following table describes challenges related to the District’s technical infrastructure.


Contrary to best practices, IT infrastructure refreshes have not been kept current.

In an attempt to delay expenditures, the District extended its desktop PC replacement cycle twice – the first time from four to five years, then again from five to six years. Only two percent of SCVWD’s desktops are less than three years old. Twenty-six percent are aging (i.e., between three and four years old), and the remaining 72% are due for replacement (i.e., over four years old). Personal computer and server operating systems (Windows XP and Windows Server 2003, respectively) are well behind current technology. SCVWD has also eschewed migrating to 64-bit OS platforms.

• Creates risks related to security, stability, and compatibility with business applications

• Slows desktop PC performance, especially those that operate newer software

• Diminishes application performance

• Reduces staff productivity

• Increases risk of business interruption due to PC or server failure

Very few of the District’s critical applications are positioned for rapid recovery.

While SCVWD’s business system backup data center can rapidly resume operations for PeopleSoft, recovery of other systems depends on the District’s ability to acquire capacity on short notice. The District does have in place manual processes to recover from the loss of some critical water supply and delivery control systems.

• Increases risk of disruption to business operations (e.g., unrecoverable system outages, data loss)

• Increases risk of diminished customer service

Very few of the District’s critical applications are positioned for rapid recovery.


2


The District only informally documents and tests its disaster recovery plan.

Although the District began work on a business continuity of operations plan (COOP), the IT disaster recovery portion of the plan is not adequate. SCVWD has no defined application recovery time or point objectives, no viable remote disaster recovery facility, and does not regularly train for recovering applications in an emergency.

• Increases risk of disruption to business operations (e.g., unrecoverable system outages, data loss)

• Risks ignoring business priorities when resuming operations in an ad hoc manner

• Extends recovery time

• Increases reliance on IT personnel with thorough technical infrastructure knowledge


Contrary to best practices, the District has no offsite disaster recovery facility.

The District operates four data centers – two for business systems and two for SCADA. Both business data centers reside on the main SCVWD campus while the main SCADA data center and backup data center reside at the District’s treatment plant.

• Increases risk of disruption to business operations (e.g., unrecoverable system outages, data loss) due to regional disasters (e.g., earthquake, fire)


Many buildings do not offer wireless connectivity.

The District is currently implementing wireless networks on the main campus but has no plans to deploy wireless connectivity to outlying buildings.

• Limits some mobile and collaboration capabilities to main campus personnel

In the absence of a defined mobile communication and device strategy, the District takes an ad hoc approach to mobile computing.

Although SCVWD already utilizes mobile devices loaded with asset data to support field technicians, they are currently unable to easily access geospatial information which would allow them to remotely retrieve and generate work orders in Maximo while away from the office.

• Provides no clear guideline for appropriate mobile device usage

• Misses opportunities to reduce redundant manual entry through increased use of mobile devices in the field

SCVWD has no defined application recovery time or point objectives, no viable remote disaster recovery facility, and does not regularly train for recovering applications in an emergency.


2 IT Service Delivery The District recently transitioned to a more formal IT service desk process with a primary phone number and email address, ticket number assignments, and tier 1 and 2 resource allocation. Since these measures have been in place, business unit staff have reported an improvement in IT customer services and IT staff are able to more effectively track key issues and resolutions. The District also monitors some IT performance measures (e.g., disk usage and capacity, backup completion, system availability), enabling IMSD to manage capacity according to trended data. In addition, IMSD is currently staffed to meets its long-term operations workload, although some contractor labor may be necessary to complete larger implementation projects.


The following identifies the District’s challenges regarding delivery of IT services.


District users of information technology perceive an ineffective partnership between IMSD and the business units.

Focus groups and interviews surfaced a lack of trust in IMSD’s understanding of business needs and its service delivery capabilities. The District’s fractured application architecture indicates that insufficient attention has been paid to developing an application portfolio that effectively mirrors integrated business operations.

• Encourages siloed solutions that do not appropriately involve IMSD in planning

• Diminishes effective deployment of software applications to solve business problems

• Impedes effective communication surrounding district-wide IT

• Diminishes morale and negatively affects organizational culture

There is a lack of role clarity and appropriate skill specialization within IMSD.

The Information Technology Unit currently provides a broad and somewhat ambiguously defined range of IT services. Accordingly, staff within that unit lack clarity surrounding position roles and responsibilities. IMSD formally defines roles for personnel in each unit, but PTI’s assessment indicated that IMSD personnel perform a variety of IT functions across multiple specialty IT areas – and lack adequate cross training. Additionally, the District relies on non-IT titled staff (e.g., water quality specialist, management analyst) to support some IT functions.

• Hinders IMSD’s ability to cultivate and deliver specific IT skills (e.g., application configuration management, business analysis)

• Diminishes staff efficiency

• Leads to workload imbalances

• Fosters a reactive, rather than proactive, IT support environment

District users of information technology perceive an ineffective partnership between IMSD and the business units.



IT effort is misallocated across IT functions.

Based on self-reported IT effort from IMSD staff, PTI charted the District’s allocation of IT staff among five core IT functions – customer services, technical infrastructure services, application services, IT planning and IT administration. PTI’s assessment identified some potential labor inefficiencies within IMSD (i.e., customer services, IT planning and IT administration), balanced by a need for additional resources in technical infrastructure and application services.

• Diminishes staff efficiency


• Contributes to IT service delivery inequalities

• Deviates from IT staff allocation best practices

• Increases labor costs for over-allocated areas

IMSD takes an informal approach to IT service management.

Based on qualitative feedback solicited during PTI’s interviews and focus groups, a variety of personnel appear to provide inconsistent IT help desk support. Application configuration, change management, resource allocation and performance management functions tend to be conducted in an inconsistent and somewhat ad hoc manner, with no clear “owner.” IMSD does not have a formal IT service catalog that clearly defines what IT services IMSD provides or attendant service levels.

• Contributes to ad hoc IT service provision

• Results in uncoordinated IT processes (e.g., help requests) across SCVWD

Contrary to best practices, the District relies on custom development and a wide variety of development platforms/approaches.

SCVWD develops software for Oracle, SQL and Access databases using a variety of programming languages, including SQL Forms and SQL Reports as well as PHP, Java, and Java Script/AJAX. Custom software development and maintenance are very resource intensive, and staff must continually enhance their programming skills to leverage new technology. Finally, the District does not follow a formal software development lifecycle.

• Increases reliance on a small number of development staff

• Elevates risk of software failure and business interruption

• Increases training costs

• Decreases ability for users of applications developed on non-standard platforms to obtain support

• Results in software that inconsistently meets user needs



IT skill gaps exist in areas ranging from business analysis and structured service methodologies, to contract and project management.

While a formal IT skills survey was beyond the scope of this master planning, PTI quantitatively analyzed the breadth and depth of effort being expended by IMSD staff and qualitatively assessed current skills gaps via interviews and focus groups. The consultants' work identified the following current IT skill gaps: • Application configuration and change management – to

successfully test and deliver application functionality aligned with business unit expectations

• Application lifecycle management – to maximize the District’s software investments and successfully plan for necessary replacements

• Asset management application support – to help the District maximize the life and use of its physical assets

• Business analysis – to ensure applications meet unit needs and that the District appropriately adjusts business processes to align with best practices and/or reduce the need for custom software

• Contract negotiation for major software license and service agreements – to help the District achieve optimal agreements with its vendors

• Customer account management – to collaboratively partner with business units and provide accountability for IMSD services

• IT procurement – to ensure the District efficiently and cost-effectively purchases IT goods and services

• IT project management – to ensure the District implements its IT projects on time, on budget, and achieves desired outcomes

• IT service methodology – to develop and manage a service catalog and deliver IT services to customers in accord with best practices

• Modern software development platforms and languages (e.g., java, .Net) – to modernize the District’s custom application portfolio (in areas where COTS applications cannot be leveraged) and enhance integration

• Results in inefficiencies across IT services


• Encourages customers to contact specific IT personnel directly rather than through standard District support processes

• Hinders ability to use new technology to improve District business operations


2

• Systems development lifecycle management – to ensure the District’s custom applications achieve best practices for updating, testing and release

• Tier 1 and tier 2 customer support – to achieve best practices in customer service benchmarks (e.g., PC:PC support personnel ratio) and exceed the expectations of the District’s IT users


The District can anticipate future skills gaps in areas of emerging demand such as disaster recovery, mobile communications, and collaboration technologies.

As the District moves to more broadly adopting enabling technologies such as mobile and collaboration – as well as more structured approaches to disaster recovery and IT service management – it will require a similar investment in the IT skills to support these strategic directions. PTI identified the following potential future skills gaps: • Disaster recovery – to protect the District and its customers

against unexpected outages • IT service management (specifically the Information

Technology Infrastructure Library – ITIL) – to adopt and employ IT operations best practices

• Intranet development and support (specifically for Microsoft SharePoint) – to enhance enterprise collaboration and communication

• Mobile device (e.g., tablets, smart phones) support – to support modern technology and field an agile workforce

• Information/data management – to support the District’s data design and application integration needs, including data marts for decision support

• Application support skills – to implement, administer, and provide user guidance for new applications and existing software enhancements recommended by this ISMP

• Unified communications – to enable advanced communication features (e.g., dynamic presence), and reduce network complexity and administration effort

• Windows Server 2008 administration – to support the District’s future server operating systems and attendant capabilities

• Hinders ability to use new technology to improve District business operations

• Increases risk of disruption to business operations (e.g., unrecoverable system outages, data loss) due to regional disasters (e.g., earthquake, fire)

• Deviates from IT service management best practices


2 Finding Risks and Impacts • Windows 7 support – to support the District’s future

desktop operating systems and attendant capabilities • Wireless network administration – to support workforce

collaboration

IT Decision Making SCVWD leadership recognize the need for an updated, holistic IT master plan to ensure the District responsibly uses its IT resources, appropriately manages risks, enables core business functions, and maximizes benefits. A wide variety of stakeholders were included in this effort, establishing buy in and support for the resulting plan.


The following table identifies the District’s IT decision-making challenges and associated impacts.


Unlike for other District assets, SCVWD does not conduct lifecycle planning for critical software systems and technology infrastructure.

The District’s BRE tools are designed to evaluate physical infrastructure and water assets. Unlike physical infrastructure, the probability of failure of software systems and IT infrastructure is more accurately calculated based on system architecture, effectiveness and efficiency, data and content management, and capacity rather than years to failure and redundancy.

• Inaccurately evaluates the condition of SCVWD’s IT systems

• Postpones needed investment in technology

• Diminishes application performance


• Increases risk of business interruption due to PC or server failure

Technology is not effectively leveraged in addressing business needs.

The District does not effectively take advantage of the software automation it purchases. For example, workflow is not fully deployed in some critical applications (e.g., Maximo) and the District has no unified asset registry.

• Continues reliance on error-prone manual processes and institutional knowledge

• Impairs ability to accurately track labor costs associated with asset management and capital projects


• Increases business risk exposure

SCVWD leadership recognize the need for an updated, holistic IT master plan to ensure the District responsibly uses its IT resources, appropriately manages risks, enables core business functions, and maximizes benefits.



The District does not employ a structured, enterprise approach to IT governance to align investments with SCVWD’s highest priorities.

The District defines the roles for project validation and capital planning personnel, but SCVWD’s CIP priority criteria do not properly evaluate technology projects. For example, project cost-benefit worksheets do not include an appropriate assessment category for software systems and IT infrastructure. The category 1 and 2 business case templates also do not include an IT impact assessment that addresses necessary: • IT support for capital efforts • IT implementation skills and abilities • IT annual support • IT maintenance and operations skills and abilities • Compliance with technical standards

• Leads to IT investments misaligned with district-wide priorities

• Results in uncoordinated IT investments and system redundancy

• Misses opportunities to fully leverage existing and planned IT investments

• Increases software system and IT infrastructure complexity

• Contributes to a proliferation of independent point solutions

• Leads to unplanned, unbudgeted IT operations and maintenance costs

Both district-wide information technology operations and IT capital projects lack clear goals and performance measures.

SCVWD evaluates capital IT projects with an infrastructure-based, risk of failure model. This model does not establish objectives and/or performance measures for new or replacement IT systems.

• Offers inadequate guidance for major technology projects

• Feeds misinformed and/or unrealistic expectations

• Leads to IT investments misaligned with district-wide priorities

• Provides insufficient accountability for IT initiatives

Key IT plans and policies are missing.

The District does not have formal policies governing IT software and services purchasing, nor does it possess strategies addressing mobile computing or GIS.

• Results in ad-hoc GIS solutions that may increase complexity and cost

• Offers fragmented support for GIS

• Increases costs associated with mobile technology procurement, support, and maintenance

• Leads to increased privacy and security issues as staff bring personal devices to the workplace

The District’s CIP priority criteria do not properly evaluate technology projects.



Chapter 3 Strategic Direction


3 This chapter charts a strategic direction for information technology at Santa Clara Valley Water District. It outlines an IT vision, mission, and a core set of IT goals and associated strategies to guide the deployment of technology at the district. Chapter 3 is organized as follows:

♦ Strategy development methodology ♦ IT vision and mission ♦ Goal 1: Accountable IT governance ♦ Goal 2: Transparent customer service ♦ Goal 3: Business continuity ♦ Goal 4: Workforce efficiency ♦ Goal 5: Asset management ♦ Goal 6: Proactive IT service

Strategy Development Methodology

During a series of strategy planning workshops with the project steering committee, PTI facilitated the development of a vision and mission for information technology at the District. These were based on PTI’s assessment findings, an opportunity analysis of enabling technologies, and the consultants’ recommendations as well as the Board of Directors’ ends policies for fiscal year 2011/12. The consultants then worked closely with the project management team and steering committee to translate the vision and mission into specific goals and actionable strategies.

IT Vision, Mission, and Goals

SCVWD recognizes that information technology is a critical district asset daily employed to help monitor and control water quality, manage water supply and delivery, plan for long-range water supply and demand, maintain and protect its critical infrastructure, and enable effective and efficient business operations and management. As a result, the District’s project steering committee and other selected stakeholders established a vision and mission for district-wide software systems and IT infrastructure.


3 IT Vision In developing a vision for information technology, the project steering committee considered the desired role of IT in the broader context of business operations. The District’s IT vision below reflects this consideration.

IT Vision

Information technology provides a sustainable foundation for efficient and effective business operations.

IT Mission The project steering committee wanted to ground the IT mission in the broader mission of the District. The IT mission below reflects the District’s desire to employ information technology as a tool to achieve specific strategic outcomes.

IT Mission

Information technology facilitates the people and systems that enable a reliable, clean water supply; flood protection; and water resources stewardship for the District’s customers.


3 IT Goals A goal is a statement of what an organization wants to accomplish. Once the “what” is defined, a strategy describes “how” it is to be accomplished. The project steering committee looked carefully at the consultants’ assessment findings to identify what improvement opportunities existed, and their recommendations for how to achieve those improvements. The following table summarizes IT goals that resulted from this work.

Santa Clara Valley Water District IT Goals

1 Accountable IT Governance


2 Transparent Customer Service


3 Business Continuity Information technology supports the District’s ability to recover from business interruption in a coordinated, planned fashion.

4 Workforce Efficiency Information technology tools improve workforce efficiency.

5 Asset Management Information technology resources enable the District’s asset management program.

6 Proactive IT Service IT service is proactive, customer oriented, and professionally managed.

The following sections further describe each of these goals together with their attendant strategies and related findings (see Chapter 2), recommendations (see Chapter 5), and implementation projects (see Chapter 6).


3 Goal 1: Accountable IT Governance

IT governance aligns investments with business objectives through a streamlined, accountable process. Effective IT governance ensures that the District has the right technology, in the right place, and at the right cost – in support of SCVWD’s strategic business priorities. This goal refines existing governance structures and processes to consider the unique characteristics, risks, and potential benefits of software system and IT infrastructure investments, and develops actionable plans for investment in geographic information systems and mobile technologies.

The following strategies describe the District’s high-level plans for achieving this goal.

1-A: Enhance district-wide IT governance This strategy refines the District’s existing CIP validation and planning processes – and associated tools – to more effectively evaluate and prioritize major software systems and IT infrastructure projects and assess the IT operations and maintenance impacts of other CIP investments. It establishes a sub-committee of the Executive Leadership Team to govern district-wide information technology decisions and investments and be accountable for the implementation of this master plan. It also defines district-wide IT performance measures and targets based on the District’s mission and strategic objectives and the IT goals defined in this master plan, and measures progress against these targets on an annual basis.

Accountable governance enhances asset lifecycle planning – resulting in increased reliability, lower lifecycle costs, and improved capital planning for IT asset replacement.

This strategy responds to the consultants’ assessment findings and recommendations summarized below and detailed in chapter 2 and 5, respectively. The listed projects identify specific investments designed to implement this strategy. Chapter 6 further describes these implementation projects.

Related Findings


• Contrary to best practices, IT infrastructure refreshes have not been kept current.

IT Decision Making

• Unlike for other District assets, the District does not conduct lifecycle planning for critical software systems and technology infrastructure.

• The District does not employ a structured, enterprise approach to IT governance.

• Both district-wide information technology operations and IT capital projects lack clear goals and performance measures.

Effective IT governance ensures that the District has the right technology, in the right place, and at the right cost – in support of SCVWD’s strategic business priorities.


3 Associated Recommendations


• Standardize SCVWD’s technical infrastructure on current, supported technology.

• Target a PC replacement cycle of five years or less.

• Establish PC hardware standards based on user need, and develop criteria for exceptions from the standard.

• Examine the cost, business user, and technical impacts of thin client before committing to it as the architecture direction.

• In concert with the District’s PC replacement, implement network security enhancements (e.g., data encryption, intrusion alert software).

• In concert with the PC replacement cycle, support up to four standardized PC images, but allow customization as appropriate.

IT Decision Making

• Proceed with implementing the asset management framework to support investment decisions regarding existing assets, including IT assets.

• Include a review by the Chief Information Officer of all capital project business cases and proposals with information technology impacts.

• Refine the business risk exposure reduction analysis tools to better accommodate software systems and IT infrastructure projects.

• Refine the cost-benefit worksheet to include unique assessment category definitions for software systems and IT infrastructure.

• Refine the category 1 and 2 business case templates to include an IT impact assessment.

• Revise the CIP priority criteria for information technology projects.

• Designate project costing mentors to support the capital project validation and planning processes.

• Formalize IMSD’s and Financial Planning and Management Services’ membership and role on the capital project validation team.

• Establish executive-level governance for district-wide IT decision making.

• Adopt quantitative performance measures and associated targets for district-wide information technology.

Implementation Projects


(TI1) Implement scheduled PC replacement.

IT Decision Making

(DM1) Refine IT governance structures, processes, and tools.


3 1-B: Develop IT plans and policies This strategy documents a clear direction for such key enabling technologies as geographic information systems (GIS) and mobile communication. For GIS, it establishes standards and policies for deploying and managing geospatial data and associated software applications and hardware. For mobile communication and computing devices, it develops purchase and use policies, device management practices, regular replacement schedules, and technology standards by analyzing alternatives and costs. It considers technology infrastructure, security, personal use, cost, and IT support requirements.

Detailed plans governing the acquisition, use, maintenance and support for GIS and mobile technologies lead to better coordinated investments and more cost-effective solutions.


Related Findings


• The District only informally documents and tests its disaster recovery plan.

In the absence of a defined mobile communication and device strategy, the District takes an ad hoc approach to mobile computing.

IT Decision Making

• Key IT plans and policies are missing (e.g., GIS, mobile computing).

Associated Recommendations


• Formally document a district-wide IT disaster recovery plan.

• Support mobile devices (e.g., tablets and smart phones) where business needs justify adoption.

IT Decision Making

• Regularly update and refresh the Information Systems Master Plan.



(TI2) Improve current disaster recovery plans to better link to the District’s overall continuity of operations plan.

IT Decision Making

(DM2) Develop a GIS master plan.

(DM3) Implement mobile communication and computing strategy and policies.


3 Goal 2: Transparent Customer Service

Information technology facilitates efficient and transparent customer service. Customer self-service has become the norm for conducting business in both the public and private sectors. The wide availability of Internet access, combined with the proliferation of mobile devices has created an environment where most district customers and stakeholders can easily access information themselves – and expect to be able to do so. This goal enhances self-service for customers on the District’s website and implements a unified approach to delivering emergency and other communications across multiple platforms (e.g., voice mail, email, text message, social media).


2-A: Use technology to more effectively engage customers This strategy expands the District’s website and Access Valley Water to include online payment capabilities and consumption information (e.g., for well-water customers) as well as additional data and information for public look-up (e.g., stream level data). It optimizes the website for the mobile environment, including smart phones and tablet computers. Recognizing the need to “push” information to customers as well as to make it available for easy access, this strategy also implements a unified communication solution to support emergency and other customer communications across multiple platforms (e.g., voice mail, email, test message, social media).

Expanded customer communication and online services engages customers, improves customer service and emergency communication, and reduces work demands on district staff.


Related Findings

Applications

• Opportunities exist for improving customer relationship management (e.g., communication tracking).

• SCVWD lacks an effective cross-platform solution for emergency and other communications.


Applications

• Implement technologies to more effectively support external customers.

The wide availability of Internet access, combined with the proliferation of mobile devices has created an environment where most district customers and stakeholders can easily access information themselves – and expect to be able to do so.


3 Implementation Projects

Applications

(A1) Enhance customer self-service and CRM capabilities.

(A2) Enhance the water use efficiency rebate program database.

(A3) Implement cross platform methods for emergency and other customer communications.

Goal 3: Business Continuity

Information technology supports the District’s ability to recover from business interruption in a coordinated, planned fashion. Effective IT disaster recovery plans support an organization’s broader business continuity goals. This strategic goal improves the District’s IT disaster recovery plans to include specific recovery objectives aligned with priorities for resuming business operations, institutes regular testing of those plans, and implements remote disaster recovery capabilities.


3-A: Enhance the District’s capability to recover from an emergency or disaster This strategy documents a formal IT disaster recovery plan to support SCVWD’s broader continuity of operations plan. It establishes and regularly tests a formal IT disaster recovery plan and secures a remote disaster recovery facility.

Recognizing that the District’s software systems are a critical component of delivering reliable water utility services, this strategy ensures the District can resume those systems – and continue to provide vital water operations – after a disaster or other service interruption.


Related Findings


• The District only informally documents and tests its disaster recovery plan.

• Contrary to best practices, the District has no offsite disaster recovery facility.

• Very few of the District’s critical applications are positioned for rapid recovery.

Effective IT disaster recovery plans support an organization’s broader business continuity goals.




• Continue relying on existing facilities for the District’s primary data center.

• In alignment with best practices, target a server virtualization percentage of approximately 85%.

• Stay the course on SAN and NAS data storage.

• Formally document a district-wide IT disaster recovery plan.

• Secure a remote (i.e., off campus) IT facility for resuming business operations in the event of a natural disaster or other major, disrupting event.



(TI2) Improve current disaster recovery plans to better link to the District’s overall continuity of operations plan.

(TI3) Implement remote disaster recovery capabilities aligned with the updated disaster recovery plan.

Goal 4: Workforce Efficiency

Information technology tools improve workforce efficiency. Continuing advancements in systems software provide SCVWD opportunities to enhance the way district employees work together, improve operational efficiency, and lower costs. This strategic goal upgrades and extends PeopleSoft – establishing it as the District’s core administrative software by leveraging its capabilities and built-in best business practices before looking to third-party or custom-developed solutions. It also replaces multiple redundant document management systems with an enterprise content management solution, implements business intelligence for performance management, leverages the capabilities of mobile and collaboration technologies, and continues to evaluate new enabling technologies as they emerge.


4-A: Address high priority business automation gaps This strategy upgrades and extends PeopleSoft for finance and human capital management, procurement, and planning and budgeting. It also replaces multiple redundant document management systems with an enterprise content management solution and implements business intelligence for performance management.

Continuing advancements in systems software provide SCVWD opportunities to enhance the way district employees work together, improve operational efficiency, and lower costs.


3 Addressing high priority business automation gaps streamlines business operations, increases employee productivity, reduces the business risk exposure, and eliminates unnecessary complexity and redundancy in the District’s application portfolio.


Related Findings

Applications

• Work activities depend heavily on paper-based, manual processes and stand-alone, work unit automation solutions.

• PeopleSoft is significantly out of date and does not meet functional needs.

• The District lacks an enterprise approach to content management.

• The District maintains many redundant case management systems

• Key ancillary systems are near end-of-life.

• It is difficult to gather, analyze, and report on key business operations and performance information. IT Decision Making

• Technology is not effectively leveraged in addressing business needs.


Applications

• Implement a comprehensive financial and human resource management solution.

• Eliminate redundant document management systems and adopt an enterprise content management solution.

• Continue to use Cognos for business intelligence/performance management in the near-term.


Applications (A4) Upgrade/extend PeopleSoft. (A5) Implement enterprise content management. (A6) Implement business intelligence for performance management.


3 4-B: Enhance collaboration capabilities This strategy implements an intranet portal to provide employees a single point of access – with a single sign-on and appropriate security – to a full suite of automated tools that support their daily work, including: interfaces to Maximo, PeopleSoft, and other business applications; collaboration spaces; links to service request forms; and easy access to personal HR data (e.g., payroll data, benefits information, leave requests). This strategy also completes the implementation of wireless networks at the main campus and key remote sites.

A common intranet portal and wireless connectivity provides employees a new way to work more effectively, collaboratively, and productively – better leveraging the District’s technology investments and making the District a more attractive workplace for Millenials.


Related Findings

Applications

• SCVWD’s intranet is aging and ineffective. Technical Infrastructure

• Many buildings do not offer wireless connectivity.


Applications

• Establish a district-wide IT portal for employees to provide streamlined access to data and information as well as technology tools.

• Institute user groups for major applications. Technical Infrastructure

• Continue implementing wireless for campus buildings, and extend wireless connectivity to remote district facilities.


Applications (A7) Implement district-wide intranet portal. Technical Infrastructure (TI4) Implement wireless for all major district locations.


3 Goal 5: Asset Management

Information technology resources enable the District’s asset management program. Software systems are a critical component of the District’s asset management program. They track the inventory and condition assessment of assets, support lifecycle cost analysis and capital replacement planning, and facilitate funding analysis. This strategic goal establishes Maximo as the District’s core asset management solution, retires redundant systems, and upgrades selected AM applications to augment the functionality of Maximo.


5-A: Utilize Maximo as the District’s core asset management solution This strategy establishes Maximo as the District’s core asset management system by seeking to fully leverage its capabilities before looking to third-party or custom-developed solutions. It builds out the asset registry already started in Maximo by adding: dams and reservoirs; additional waterways; mitigation, restoration, and enhancement sites; buildings and grounds; SCADA networks; pipeline corrosion control systems; wells and meters; power generation facilities; real estate; and equipment. It implements the recommendations made by Facility Management Engineering (FME) in its 2009 report to the District, and Maximo for Transportation to enhance fleet management.

A fully integrated asset and work management solution supports the District’s asset management program and minimizes SCVWD’s business risk exposure by reducing duplication; increasing data access and quality; simplifying and reducing the cost of maintenance; and providing reliable decision support data.


Related Findings

Applications

• The District is not fully leveraging its investment in Maximo.

• The District maintains many redundant asset management solutions (e.g., document management, work request management).

• Key ancillary systems are near end-of-life.


Applications

• Utilize Maximo as the District’s core asset management solution.

Software systems are a critical component of the District’s asset management program. They track the inventory and condition assessment of assets, support lifecycle cost analysis and capital replacement planning, and facilitate funding analysis.



Applications (A8) Create a unified asset registry. (A9) Enhance Maximo for district-wide asset and work management. (A10) Implement Maximo for Transportation for fleet management.

5-B: Replace and upgrade applications to provide critical AM functionality not supported by Maximo This strategy retires ancillary third-party systems that can be replaced with the enhancement of Maximo, and upgrades or replaces critical aging asset management systems that augment Maximo’s functionality. It replaces: the District’s Infrastructure Capital Asset Management (ICAM) long-term funding forecast model with GHD Inc.’s TEAMPlan3; Respect and Fee and Easement with enhancement to Maximo and the District’s new enterprise case management system; and over 20 independent case management and service request systems with Maximo work orders. It also implements: a commercially available solution for GIS-enabled work order management; a future funding analysis application; a water supply planning transactional database; an ecological monitoring information management system; and a watershed mobile asset collection application.

A current suite of commercial asset management software solutions to augment Maximo reduces the District’s business risk exposure by filling automation gaps, streamlining business processes, and reducing reliance on custom-development.


Related Findings

Applications

• Key ancillary systems are near end-of-life (e.g., TRAK for fuel management).

• The District maintains many redundant case management systems.


Applications

• Replace and upgrade applications to provide asset management functionality to augment Maximo.



Applications (A11) Implement a future funding analysis application. (A12) Implement GIS-enabled mobile work order management. (A13) Implement enterprise case management. (A14) Implement fee and easement. (A15) Implement a water supply planning transactional database. (A16) Implement an ecological monitoring information management system. (A17) Deploy the in-house developed mobile solution for asset inventory and condition assessment. (A18) Replace fuel management system.

5-C: Implement a structured approach to data management This strategy recognizes that data and information – like utility infrastructure, real estate, equipment, and information technology – is a critical asset that the District relies on to deliver services. As such, data storage, access, maintenance, archiving, and destruction must be carefully managed to ensure integrity. Accordingly, this strategy develops clear standards and policies for data ownership, sources of record, access and security, storage, and retention.

A structured approach to data management eliminates data duplication, improves data access, appropriately protects data security, quality, and reliability, and facilitates greater integration.


Related Findings

Applications

• District information is stored in a variety of systems with no single source of record.


Applications

• Implement a structured approach to data management


Applications (A19) Implement data and information architecture standards and policies


3 Goal 6: Proactive IT Service

IT service is proactive, customer oriented, and professionally managed. Professionally managed IT services – whether provided by an in-house organization or by the private sector – effectively balance service quality with the cost of service. This strategic goal reorganizes IMSD aligned with best practices to deliver enhanced IT customer service, implements a structured IT service management methodology to realize greater labor efficiencies, and develops training plans to fill current skills gaps and meet future skill demands.

The following strategies describe the District’s course for achieving this goal.

6-A: Optimize IMSD’s organizational structure This strategy restructures IMSD into the following six business units:

♦ Client services ♦ Application services ♦ Technical infrastructure services ♦ Program management ♦ Records and library ♦ Business and customer support

In addition, it reallocates IT labor across these units according to best practice public sector IT benchmarks. Chapter 5 further describes the details of this reorganization.

This structural realignment, in concert with new IT service management delivery structures and standards and IT skills training (see strategies 6-B and 6-C below) will increase IT staff specialization while supporting cross training capabilities; engender labor efficiencies in areas such as personal computer and server support as well as problem resolution; and enhance business unit customer satisfaction.


Related Findings

IT Service Delivery

• District users of information technology perceive an ineffective partnership between IMSD and the business units.

• There is a lack of role clarity and appropriate skill specialization within IMSD.

Professionally managed IT services – whether provided by an in-house organization or by the private sector – effectively balance service quality with the cost of service.


3 • IT effort is misallocated across IT functions.


IT Service Delivery

• Restructure IMSD into six functional specialty units: client services, application services, technical infrastructure services, program management, records and library, and business and customer support.

• Maintain the District’s current level of IT operations staffing; augment with contractors to support ISMP/capital project needs as needed.

• Re-allocate IT staff among IMSD’s business units to align with the new organization structure.

• Evaluate sourcing alternatives (e.g., cloud services) on a case-by-case basis.


IT Service Delivery (SD1) Reorganize IMSD.

6-B: Enhance IMSD’s IT service delivery approach This strategy adopts a structured approach IT service management, according to the principles and best practices of the Information Technology Infrastructure Library (ITIL).7 It also establishes a guiding principle that favors commercially available software solutions over custom development for future application investments. However, for those limited instances where in-house development is required, it also articulates standards for the system development life cycle and application development platforms.

By instituting these structures and standards, the District’s central IT organization can benefit from proven best practices, repeatable processes, and an ability to track performance against benchmarks – enhancing service delivery and increasing labor efficiencies.


Related Findings

IT Service Delivery

• IMSD takes an informal approach to IT service management.

• Contrary to best practices, the District relies on custom development and a wide variety of development platforms/approaches.

7 An industry accepted a set of best practices for IT service management (ITSM) that focuses on aligning IT services with the needs of business.



Applications

• For future application investments, favor commercially available solutions over custom development

IT Service Delivery

• Adopt ITIL to guide IMSD service management.

• Develop an IT service catalog, then evaluate IT service sourcing alternatives for future needs.


IT Service Delivery

(SD2) Implement a structured IT service methodology.

(SD3) Implement a structured system development life cycle methodology.

(SD4) Select preferred long-term application development platform(s).

6-C: Align IT skills with current and planned technology demands This strategy adopts targeted training plans for current IT staff and develops a succession plan for replacing retiring IT staff – aimed at filling both current and anticipated IT skill gaps as identified in this plan.

By ensuring the District’s IT skills align with current technologies and planned investments, SCVWD will be well positioned to effectively and efficiently support its software systems, maintain its technology infrastructure, and deliver in-demand technology services to business unit customers.


Related Findings

IT Service Delivery

• IT skill gaps exist in areas ranging from business analysis and structured service methodologies, to contract and project management.

• The District can anticipate future skills gaps in areas of emerging demand such as disaster recovery, mobile communications, and collaboration technologies.



IT Service Delivery

• Develop a training plan for current IT staff.

• Establish an IT training budget for IMSD staff.

• Require employees to possess and maintain technical certifications linked to the position’s necessary skills and abilities.

• Encourage staff participation in professional IT association memberships.


IT Service Delivery

(SD5) Adopt targeted training plans for IT staff.

(SD6) Adopt an IT succession plan.



Chapter 4 Implementation Plan


4

This chapter outlines an eight-year work and cost plan aimed at achieving implementing the projects outlined in the previous chapter, organized as follows:

♦ Methodology ♦ Implementation projects and costs ♦ Implementation timeline

Please refer to chapter 6 to review project descriptions and related cost assumptions.

Implementation Planning Methodology

PTI worked closely with the District’s project management team to translate the consultants’ recommendations into specific implementation projects. The consultants developed low- and high-end cost estimates for both one-time implementation costs as well as annual recurring costs, based on their market research, industry knowledge, and experience with similar implementations, and the cost and labor assumptions detailed in chapter 6. One-time costs include internal implementation labor, initial software license, hardware and hardware warrantee, procurement assistance, project management, implementation services, quality assurance, supplemental training, and miscellaneous consulting where appropriate. Recurring costs include internal support labor, software and hardware maintenance, and contract services where appropriate. All cost estimates account for inflation.


After developing cost estimates for each of the projects, the consultants worked with both the District’s project management team and steering committee to create an overall implementation timeline, considering project priorities, dependencies, costs, and resource availability.

Implementation Projects While these projects are organized around the four IT focus areas of PTI’s assessment methodology, each of them support one or more of SCVWD’s six IT goals, as indicated in the following table. Click the hyperlinked projects below to link to detailed project descriptions in chapter 6.

This plan asks for a new level of technology investment to address areas of defined risk and in recognition of IT as a strategic district asset.


4

Implementation Project and IT Goal Alignment

Implementation Project

Accountable

IT

Governance

Transparent

Customer

Service

Business

Continuity

Workforce

Efficiency

Asset

Management

Proactive

IT Service

Applications

(A1) Enhance customer self-service and CRM capabilities X

(A2) Enhance water use efficiency rebate program database X

(A3) Implement cross platform methods for emergency and other customer communications

X

(A4) Upgrade/extend PeopleSoft X

(A5) Implement enterprise content management X

(A6) Implement business intelligence for performance management

X

(A7) Implement district-wide intranet portal X

(A8) Create a unified asset registry X

(A9) Enhance Maximo for district-wide asset and work management

X

(A10) Implement Maximo for Transportation for fleet management

X

(A11) Implement a future funding analysis application X

(A12) Implement GIS-enabled mobile work order management X

(A13) Implement enterprise case management X

(A14) Implement fee and easement X

(A15) Implement a water supply planning transactional database

X

(A16) Implement an ecological monitoring information management system

X

(A17) Deploy the in-house developed mobile solution for asset inventory and condition assessment

X

(A18) Replace fuel management system X


4 Implementation Project

Accountable

IT

Governance

Transparent

Customer

Service

Business

Continuity

Workforce

Efficiency

Asset

Management

Proactive

IT Service

(A19) Implement data and information architecture standards and policies

X

IT Infrastructure

(TI1) Implement scheduled PC replacement X

(TI2) Improve current disaster recovery plans to better link to the District's overall continuity of operations plan

X X

(TI3) Implement remote disaster recovery capabilities aligned with the updated disaster recovery plan

X

(TI4) Implement wireless for all major district locations X

IT Service Delivery

(SD1) Realign district IT organizational structure X

(SD2) Implement a structured IT service methodology X

(SD3) Implement a structured system development life cycle methodology

X

(SD4) Select preferred long-term application development platform(s)

X

(SD5) Adopt targeted training plans for IT staff X

(SD6) Adopt an IT succession plan X

IT Decision Making

(DM1) Refine IT governance structures, processes, and tools X

(DM2) Develop a GIS master plan X

(DM3) Implement mobile communication and computing strategy and policies

X


4 Implementation Project Costs

This plan asks for a new level of technology investment to address areas of defined risk and in recognition of IT as a strategic district asset. Given fiscal constraints, informed investment decisions will need to be made, driven by effective district-wide IT governance.

Estimated One-Time Costs This information systems master plan comprises 32 implementation projects with a total average estimated one-time cost of $19.1 million,8 including labor, inflation, and contingency. It can be helpful to look at these estimated expenditures by IT goal to ensure that planned implementation efforts align with overall strategic direction. The following figure illustrates how the District’s portfolio of implementation projects aligns with its IT goals.

Workforce efficiency and asset management projects constitute approximately 80% of the total estimated expenditures. These projects represent significant investment in the District’s core software systems – many of which, without adequate lifecycle planning, have now exceeded their expected life and require major upgrades or replacement.

Estimated Annual Expenditures The following figure illustrates average estimated annual expenditures and labor effort. These were calculated by averaging the low- and high-end estimates developed by PTI. Total annual costs, including (labor, inflation, and contingency), range from $1.2 million to $6.9 million9, with capital expenditures peaking in 2016 and transitioning into regular operations and maintenance after 2018.

8 Does not include costs for enhancing the water use efficiency rebate program database or implementing a watershed mobile asset collection application, which are currently in progress. 9 Ibid.

Workforce efficiency and asset management projects constitute 80% of the total estimated expenditures.

$415,800 2%

$332,200 2%

$643,500 3%

$11,477,400 60%

$3,901,700 21%

$2,346,850 12%

Average Estimated Total Expenditures by IT Goal

Goal 1. Accountable IT Governance

Goal 2. Transparent Customer Service

Goal 3. Business Continuity

Goal 4. Workforce Efficiency

Goal 5. Asset Management

Goal 6. Proactive IT Service


4

Average Estimated Expenditures and Labor Effort by Year*


PTI anticipates the need for additional contract labor to support the implementation of ISMP projects in 2016 through 2018. However, the IT staff efficiencies gained through reorganizing, structured IT service management methodologies, and training are expected to yield the equivalent of five FTEs, which can be repurposed to meet ongoing operational support needs beginning in 2019.

The following table presents these average estimated annual costs, including labor and inflation, by implementation project.

0

2

4

6

8

10

12

$-

$1

$2

$3

$4

$5

$6

$7

$8

2013 2014 2015 2016 2017 2018 2019 2020

Est

imat

ed F

TE

Est

imat

ed A

ver

age

An

nu

al C

ost

Mill

ion

s

Year

Projected funding required (includes labor) Projected funding required (excludes labor)

High End IMSD FTE Low End IMSD FTE

Low End SME FTE High End SME FTE

Due to the reality of constrained financial resources, and limited ability to increase rates beyond what is already planned, many of these implementation projects will have to compete with other efforts for funding.


4

Average Estimated Annual Expenditures by Implementation Project


Based on these estimated cost figures provided by the consultants, the District analyzed the potential financial impacts on overhead rates, Municipal and Industrial (M&I) rates, reserves, and contingency funds. Due to the reality of constrained financial resources, and limited ability to increase rates beyond what is already planned, many of these implementation projects will have to compete with other efforts for funding.

Project Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Year 7 Year 8

A1 Enhance customer self service and CRM capabilities -$ -$ 171,000$ 3,000$ 3,000$ 3,000$ 4,000$ 4,000$ A2* Enhance the water use efficiency rebate program database -$ -$ -$ -$ -$ -$ -$ -$ A3 Implement cross platform methods for emergency and other customer communications -$ -$ -$ 150,000$ 80,000$ 82,000$ 85,000$ 87,000$ A4 Upgrade PeopleSoft -$ 1,332,000$ 1,312,000$ 1,150,000$ 1,118,000$ 1,151,000$ 1,186,000$ 1,221,000$ A5 Implement enterprise content management -$ -$ -$ 1,824,000$ 1,333,000$ 1,373,000$ 324,000$ 334,000$ A6 Expand the use of business intelligence for performance management -$ -$ -$ 173,000$ 1,441,000$ 1,090,000$ 154,000$ 159,000$ A7 Implement districtwide intranet portal -$ -$ 536,000$ 396,000$ 256,000$ 264,000$ 272,000$ 280,000$ A8 Create a unified asset registry 100,000$ 102,000$ 105,000$ 50,000$ 51,000$ 53,000$ 54,000$ 56,000$ A9 Enhance Maximo for districtwide asset and work management -$ -$ 636,000$ 430,000$ 168,000$ 173,000$ 178,000$ 184,000$ A10 Implement Maximo for Transportation for fleet management -$ -$ 92,000$ 201,000$ 27,000$ 28,000$ 29,000$ 30,000$ A11 Implement a future funding analysis application -$ -$ 157,000$ 216,000$ 71,000$ 74,000$ 76,000$ 78,000$ A12 Implement GIS-enabled mobile work order management -$ -$ 375,000$ 217,000$ 99,000$ 102,000$ 105,000$ 108,000$ A13 Implement enterprise case management -$ -$ -$ 131,000$ 148,000$ -$ -$ -$ A14 Implement fee and easement -$ -$ -$ 308,000$ 92,000$ 31,000$ 32,000$ 33,000$ A15 Implement a water supply planning transactional database -$ -$ 130,000$ -$ -$ -$ -$ -$ A16 Implement an ecological monitoring information management system (EM-IMS) 9,000$ 9,000$ 9,000$ 100,000$ 197,000$ 203,000$ 209,000$ 215,000$ A17* Deploy the in-house developed mobile solution for asset inventory and condition assessment -$ -$ -$ -$ -$ -$ -$ -$ A18 Replace fuel management system -$ 212,000$ 63,000$ 27,000$ 28,000$ 29,000$ 30,000$ 31,000$ A19 Implement data and information architecture standards and policies -$ 100,000$ 34,000$ -$ -$ -$ -$ -$

109,000$ 1,755,000$ 3,620,000$ 5,376,000$ 5,112,000$ 4,656,000$ 2,738,000$ 2,820,000$

TI1 Implement scheduled PC replacement 140,000$ 287,000$ 296,000$ 305,000$ 314,000$ 323,000$ 333,000$ 343,000$ TI2 Improve current disaster recovery plans to better link to the District's overall continuity of operations plan 50,000$ 36,000$ 21,000$ 22,000$ 22,000$ 23,000$ 24,000$ 25,000$ TI3 Secure a remote disaster recovery facility -$ 251,000$ 495,000$ 487,000$ 502,000$ 517,000$ 532,000$ 548,000$ TI4 Implement wireless for all major district locations 145,000$ 13,000$ 13,000$ 14,000$ 14,000$ 14,000$ 15,000$ 15,000$

335,000$ 587,000$ 825,000$ 828,000$ 852,000$ 877,000$ 904,000$ 931,000$

SD1 Realign district IT organizational structure 89,000$ -$ -$ -$ -$ -$ -$ -$ SD1 Implement a structured IT service methodology 266,000$ 276,000$ 5,000$ 5,000$ 6,000$ 6,000$ 6,000$ 6,000$ SD3 Implement a structured system development life cycle (SDLC) methodology 40,000$ 83,000$ -$ -$ -$ -$ -$ -$ SD4 Select preferred long-term application development platform(s) 90,000$ 43,000$ 45,000$ 46,000$ 47,000$ 49,000$ 50,000$ 52,000$ SD5 Adopt targeted training plans for IT staff -$ 35,000$ -$ -$ -$ -$ -$ -$ SD6 Adopt an IT succession plan -$ 29,000$ -$ -$ -$ -$ -$ -$

485,000$ 466,000$ 50,000$ 51,000$ 53,000$ 55,000$ 56,000$ 58,000$

DM1 Refine IT governance structures, processes, and tools 64,000$ 37,000$ 38,000$ 40,000$ 41,000$ 42,000$ 43,000$ 45,000$ DM2 Develop a GIS master plan 103,000$ 106,000$ -$ -$ -$ -$ -$ -$ DM3 Implement mobile communication and computing strategy and policies -$ 52,000$ 53,000$ -$ -$ -$ -$ -$

167,000$ 195,000$ 91,000$ 40,000$ 41,000$ 42,000$ 43,000$ 45,000$ Contingency (10%) 109,600$ 300,300$ 458,600$ 629,500$ 605,800$ 563,000$ 374,100$ 385,400$

1,205,600$ 3,303,300$ 5,044,600$ 6,924,500$ 6,663,800$ 6,193,000$ 4,115,100$ 4,239,400$

Subtotal - IT Decision Making

Projected Funding Required


Subtotal - Technical InfrastructureIT Service Delivery

Subtotal - IT Service DeliveryIT Decision Making

Average Annualized Cost Summary

Applications

Subtotal - Applications


4 Implementation Timeline

The consultants developed a preliminary implementation schedule, which they validated during a workshop with the project steering committee. The following Gantt chart illustrates this timeline. It is presented in fiscal years beginning in the first quarter of Fiscal Year 2013 (July 1, 2012).

Projected Implementation Timeline


4 The District will need to periodically review and make adjustments to this implementation timeline, based on changing business needs and resource constraints

Timeline Overview The following provides a brief summary of each year in the implementation timeline.

2013 The first year of this information systems master plan primarily focuses on implementing the necessary IT governance structures and processes to effectively execute the remaining projects. Year 1 also includes significant change for IMSD personnel as it restructures the division and adopts an IT service methodology. Other Year 1 efforts center on existing District IT projects, as well as high priority and quick-win tasks. For example, improving the District’s continuity of operations plan and creating a unified asset registry are both high priority efforts. Adopting wireless at all district locations is a current project.

2014 With IT governance structures and a realigned IT organizational structure in place, the second year of this plan asks the District to further refine IT service delivery and make a noticeable investment in recommended application projects. Perhaps most significantly, it includes upgrading and extending PeopleSoft – a two year effort with high visibility and impact. Year two also finishes the implementation of a future funding analysis application and begins the replacement of the District’s fuel management system.

2015 Year 3 begins the most resource-intensive period for the District. The PeopleSoft project continues while SCVWD initiates efforts to enhance CRM, implement a district-wide intranet portal, enhance Maximo, implement future funding analysis automation, and implement a water supply planning transactional database.

2016 As the project that upgrades and extends PeopleSoft winds down, it is followed by another major district-wide effort: implement enterprise content management. Toward the end of this year, the District also begins implementation of business intelligence. A few smaller applications round out the 2016 initiatives, including GIS-enabled work order management, enterprise case management, and fee and easement.

2017 Only a few major efforts continue into 2017: enterprise content management, business intelligence, and an ecological monitoring information management system. The District should expect to complete the enterprise case management and fee and easement projects before the year is half over. At this point,

Regularly updating this plan is a crucial step in achieving the District’s IT goals as it moves further into the future.


4 activities primarily center on fully supporting a more integrated and functional – and less complex and redundant – application portfolio.

2018 Although this plan’s Gantt chart reflects that the enterprise content management, business intelligence and ecological monitoring implementation efforts extend into Year 6, attendant resource demands should diminish markedly by this time. It is also worth noting that reliably forecasting IT project schedules this far into the future is difficult. Accordingly, regularly updating this plan is a crucial step in achieving the District’s IT goals as it moves further into the future.



Chapter 5 Detailed Recommendations


5 PTI and Spatial Wave developed specific recommendations to address the opportunities for improvement presented in Chapter 2. These recommendations laid the foundation for the implementation projects presented in the previous chapter. This chapter documents these recommendations, organized as follows:

♦ Methodology ♦ Applications ♦ Technical infrastructure ♦ IT service delivery and organization ♦ IT staff skills development ♦ IT governance

Recommendation Development Methodology

PTI developed recommendations to address key assessment findings based on emerging technology trends, industry best practices, PTI’s public sector IT benchmarks, and experience with water utility software systems and technology infrastructure. The consultants worked closely with the District’s project management team in a series of workshops to review and refine preliminary recommendations and identify specific implementation risks and benefits. Finally, the consultants presented these recommendations to the project steering committee during a workshop in which the consultants and the committee validated the course of action expanded upon below.

Applications

SCVWD relies on essential business software to enable effective and efficient business operations – including water utility operations and planning; environmental monitoring, assessment, and operations planning; long-range and asset management planning; maintenance and field operations; regulatory compliance; and financial management and administrative support.

The following recommendations are based on the consultant’s business risk exposure analysis of applications,10 the consultants’ understanding of SCVWD’s full application portfolio and unique business environment gained during the assessment phase of this

10 Appendix C presents the results of the consultants’ BRE analysis.

PTI developed recommendations to address key assessment findings based on emerging technology trends, industry best practices, PTI’s public sector IT benchmarks, and experience with water utility software systems and technology infrastructure.


5 master planning project, the District’s stated IT goals, and industry best practices. Recommendations surrounding SCVWD’s applications include:

1. Utilize Maximo as the District’s core asset management solution.

2. Replace and upgrade applications to provide asset management functionality to augment Maximo.

3. Implement a comprehensive financial and human resource management solution.

4. Eliminate redundant document management systems and implement an enterprise content management solution.

5. Continue to use Cognos for business intelligence/performance management in the near-term.

6. Implement technologies to more effectively support external customers.

7. Establish a district-wide IT portal for employees to provide streamlined access to data and information as well as technology tools.

8. Implement a structured approach to data management.

9. Institute user groups for major applications.

10. For future application investments, favor commercially available solutions over custom development.

The remainder of this section expands upon each of the recommendations cited above. Additionally, already in progress or planned application projects are addressed at the end of this section.

1. Utilize Maximo as the District’s core asset management solution.

SCVWD currently has nearly 40 separate asset management-related business applications. PTI recommends simplifying this portfolio – and thereby improving data access, quality, and reliability as well as reducing costs and complexity of maintenance – by establishing an integrated, district-wide asset and work management solution outlined as follows.

1a. Implement a unified asset registry. SCVWD already is utilizing Maximo as its asset registry for more than 7,000 water utility assets, watershed assets representing approximately 33% of long-term operating and capital costs, and the District’s fleet assets. The District should expand this asset registry to include: dams and reservoirs; additional waterways; mitigation, restoration, and enhancement sites;

SCVWD currently has nearly 40 separate asset management-related business applications.


5 buildings and grounds; SCADA networks; pipeline corrosion control systems; wells and meters; power generation facilities; real estate; and equipment. PTI recommends continuing to use GIS as the source and system of record for all linear assets, and utilizing ActiveG to synchronize asset data with Maximo in the near term. After upgrading Maximo to version 7.5 (as recommended below) the District should evaluate Maximo’s ability to serve as the system of record with tight GIS integration. If this version proves capable of meeting SCVWD’s GIS-related asset requirements, PTI recommends the District adopt Maximo as the system of record for linear assets.

1b. Enhance Maximo for district-wide asset and work management. While the consultants assessed Maximo as having only a “moderate” business risk exposure rating, it currently offers limited integration with other core administrative systems (e.g., financial management, time entry, document management), reporting and accessing data is difficult, and performance is unreliable. SCVWD should incorporate, as appropriate and in alignment with this ISMP, the Maximo recommendations made by Facility Management Engineering (FME) in its 2009 report to the District. Additionally, the District should enhance integration with:

• PeopleSoft for project tracking, time tracking, purchasing and contract management, warehouse inventory, and fixed assets

• GIS for linear assets and mobile work orders

• SCADA for work orders based on runtime hours, meter readings, or alarms linked to assets

• Selected fuel management and document management solutions.

Finally, the District should upgrade to version 7.5 to improve usability and performance, and leverage enhanced GIS, asset, and supply chain management functionality.

1c. Implement Maximo for Transportation to enhance fleet management. While fleet data already is managed in Maximo, Maximo for Transportation provides an improved ability to track industry codes, integrate fuel and meters, manage labor certifications, provide maintenance alerts, maintain meter and warranty history, and comply with regulatory reporting requirements.

The following figure illustrates the transition sequencing for these Maximo improvements and enhancements.

While many of the District’s asset management applications can be consolidated and/or replaced by Maximo, other specialized applications meet unique requirements and are needed to augment Maximo’s capabilities.


5

Maximo Transition to Recommended Future State

The following table summarizes the consultants’ recommendations regarding SCVWD’s portfolio of asset management and asset management-related applications.

Recommendations to Maintain or Replace Existing Systems

Application Recommendation

ActiveG Evaluate replacing with Maximo 7.5/GIS integration

AECMS/ISOSoft Evaluate replacing with Maximo

Archibus Maintain

Budget Tools Replace with Hyperion

CALSIM Maintain

Condition Assessment and Risk Assessment (CARA) Replace with GIS-based tool

Infrastructure Capital Asset Management (ICAM) Replace with TEAMPlan3

Contract Administration System (CAS) Evaluate replacing with PeopleSoft

Certificate Evaluate replacing with ECM

CIP Dashboard Evaluate replacing with PeopleSoft/Hyperion

Comcate (Access Valley Water) Maintain

Upgrade MaximoImplement FMERecommend-

ations

Review and Improve

Performance

PeopleSoftIntegration

SCADAIntegration

CRMIntegration

ECMSIntegration

Implement Mobile Work Orders

TEAMPlan3 Integration

Usability Improvements Capability Improvements

Integration Improvements


5 Application Recommendation

Corrective and Preventive Action Requests (CPAR) System

Evaluate replacing with ECM

Community Projects Review Unit (CPRU) System Replace with ECM

CuadraSTAR Replace with ECM

District Permit Management System (DPMS) Augment with ECM

DRUPAL Replace with intranet portal

Engineering Drawing Catalog System (EDCAT) Replace with ECM

Ektron Replace with Drupal

ESRI SDE Upgrade

Extend Maintain

Extensis Replace with ECM

Fee & Easement Replace with Maximo and ECM

Financials Data Warehouse (FIN DW) Integrate with enterprise data warehouse

H2ONet Replace with InfoWater

HEC-RAS Maintain

Honeywell Replace with Honeywell’s Prowatch

Hazardous Substance Liability Assessment (HSLA) Maintain

IWR-MAIN Maintain

Long Term Forecast (LTF) Replace with PeopleSoft/Hyperion

MAXIMO Upgrade

Monitoring and Mitigation Activities Database (MMAD) Replace with EM-IMS

Operations Data Management System (ODMS) Maintain

Oracle Spatial Enterprise DB Upgrade

PeopleSoft Upgrade

Phone Database (DB) Replace with Active Directory

Photo Library Replace with ECM

Quality and Environment Management System (QEMS) Replace with ECM

Questys CADD Replace with ECM


5 Application Recommendation

Questys COB Replace with ECM

Respect Replace with Maximo and ECM

RFPR Tracker Replace with ECM

RISK Maintain

STARLibrary Replace with ECM

Stream Maintenance Program (SMP) System Evaluate replacing with ECM

Supervisor Control and Data Acquisition (SCADA) Maintain

Surface Water Treatment Rule (SWTR) Maintain

Training Wizard Replace with Halogen

TRAK Replace

USGS Modflow Maintain

Vertical Maintain

Water Supply Operations Excel Model Maintain

Watershed AM Mobile (Watersheds Field Inspection Model)

Maintain

Water Evaluation and Planning (WEAP) Maintain

WISKI Maintain

Watershed Revenue Appraisal System (WRAS) Maintain

Watershed Resource Information System (WRIS) Maintain

WSO System Optimization Model Maintain

A fully integrated asset and work management solution supports the District’s asset management program and minimizes SCVWD’s business risk exposure by reducing duplication; increasing data access and quality; simplifying and reducing the cost of maintenance; and providing reliable decision support data.

2. Replace and upgrade applications to provide asset management functionality to augment Maximo.

While many of the District’s asset management applications can be consolidated and/or replaced by Maximo, other specialized applications meet unique requirements and are needed to augment Maximo’s capabilities. Many of these applications are custom-


5 developed, aging, and difficult to maintain. The following presents PTI’s related recommendations.

2a. Replace the District’s Infrastructure Capital Asset Management (ICAM) long-term funding forecast model with GHD Inc.’s TEAMPlan3. While the consultants assessed ICAM as having only a “moderate” business risk exposure rating, the ICAM toolkit is based on obsolete technology, it is not easily integrated with Maximo, and it lacks scalability to meet future requirements. After evaluating TEAMPlan3, RIVA Modeling’s suite of tools, and in-house custom development, TEAMPlan3 was selected as it has already been successfully piloted at the District.

2b. Implement a commercially available off-the-shelf solution for GIS-enabled work order management; integrate it with Maximo. SCVWD already utilizes mobile, handheld devices loaded with asset data to support field inspections. GIS will enable field workers to inventory, assess, and maintain the District’s utility and watershed assets. Improved field computing capabilities also will allow field workers to remotely access work orders generated in Maximo, as well as generate work orders in the field – without paperwork or redundant data entry.

2c. Replace the District’s internal case management and service request systems with Maximo work orders supported by a standardized user interface developed using SharePoint InfoPath forms. The District currently has over 20 standalone request systems, and while the consultants did not evaluate the business risk exposure of these independent systems, this automation redundancy confuses users, hinders workflow, slows business processes, and complicates and increases the cost of maintenance.

2d. Implement IBM’s Tivoli for integrated IT service management. Due to the unique requirements of IT asset and service management (e.g., ability to discover configuration of assets on the network, ability to remotely push updates to workstations on a defined schedule), the District should consider specialized software to support related service requests and case management. PTI recommends IBM’s Tivoli solutions, as they offer tight integration with Maximo.

2e. Replace Respect and Fee and Easement systems with Maximo, the District’s selected enterprise content management system (recommendation #4), and GIS. While the consultants assessed Respect as having a “minimal” business risk exposure rating, Fee and Easement has one of the top five highest BREs in the District’s application portfolio. Property records are extremely difficult to track and not all property-related data is stored in the system – resulting in unreliable data.


5 The District should replace Fee and Easement with Maximo and Respect with its selected ECM. Integration of Maximo with GIS would tie the real estate related assets to the Maximo asset registry.

2f. Implement a water supply planning transactional database. The District currently utilizes a prototype database built using Microsoft Access and Cold Fusion for water use, allocation, storage, and climate data. However, the original developer has since retired from the District, and the database can no longer be supported by in-house expertise. Additionally, Microsoft Access is not an appropriate multi-user platform and is susceptible to corruption and data loss. SCVWD should evaluate the use of WISKI to replace this prototype database. If WISKI cannot meet these requirements, the District should develop a custom water supply planning transactional database using the platform outlined in PTI’s business intelligence/performance management recommendation #5. This will be a critical first step for the District to lay the groundwork to enhance analytical capabilities in this area, reduce system redundancy, and integrate water supply models and modeling data.

2g. Replace the District’s fuel management system (Trak Engineering’s TRAK) with a commercially available off-the-shelf solution. While TRAK was not assessed as having a high business risk exposure rating, it is more than 15 years old, relies on obsolete technology, and requires extensive manual data entry. A competitive procurement will allow SCVWD to evaluate commercially available solutions against its unique requirements – including integration with Maximo, passive mileage reader capabilities, carbon footprint tracking, and enhanced reporting – and business processes.

A current suite of asset management software to augment Maximo reduces the District’s business risk exposure by filling automation gaps, streamlining business processes, and reducing reliance on custom-development.

3. Implement a comprehensive financial and human resource management solution.

SCVWD currently uses PeopleSoft FMS 8.4 for financial management and PeopleSoft HR 8.3 for human resource management. This software was originally purchased in 2002 and neither have had a significant upgrade since. Both of these versions are now out of date; Oracle is no longer supplying updates, fixes, security alerts, or extended support, and there is no simple upgrade path to current versions. The District elected to terminate its software maintenance contract with Oracle in October of 2011, and Rimini Street – a third-party support provider – is supplying maintenance services and tax and 1099

The District’s version of PeopleSoft is out of date; Oracle is no longer supplying updates, fixes, security alerts, or extended support, and there is no simple upgrade path to the current version.


5 updates. Because the District discontinued its support agreement with Oracle for annual PeopleSoft maintenance, any upgrade would require payment of back maintenance and associated penalties. Additionally, due to the age of the software versions the District currently operates, there is no easy upgrade path to the current version and any upgrade would be, in effect, a complete re-implementation. Due to the age of its architecture, functional gaps, ‘off maintenance’ status, and lack of integration with other core operational systems, the consultants assessed PeopleSoft as having one of the four highest business risk exposure ratings in the District’s application portfolio.

Additionally, the District relies on various custom-developed applications and paper-based tools to support planning and budgeting as well as purchasing and contract management. These systems and processes are all within the top ten highest business risk exposure ratings in the District’s application portfolio. The District also does not have a single point of entry solution to ensure accurate, consistent labor and cost information to both finance and asset management systems.

PTI evaluated the risks and benefits of: 1) maintaining PeopleSoft; 2) replacing PeopleSoft with a lower-tier, fully-integrated suite for finance and human resource management, timekeeping, budgeting, and procurement; 3) implementing a combination of best-of-breed applications to meet functional needs; and 4) upgrading PeopleSoft. Based predominately on the lowest life cycle costs and the greatest ability to reduce the District’s business risk exposure, upgrading and extending PeopleSoft was selected as the preferred option. The following presents PTI’s related recommendations.

3a. Upgrade/extend PeopleSoft. Required in-scope functionality should encompass:

Financial Management ♦ General ledger ♦ Accounts payable ♦ Accounts receivable (non-water) ♦ Fixed assets and inventory ♦ Payroll ♦ Project and grant accounting ♦ Purchasing ♦ eProcurement ♦ Management reporting

Human Resource Management ♦ Benefits administration ♦ Learning management


5 ♦ Position control ♦ Recruitment/applicant tracking ♦ Self service ♦ Management reporting (including EEO reporting)

3b. Include requirements for optional functionality, including:

♦ Time and labor ♦ Planning and budgeting ♦ Contract management

Because of the District’s unique requirements for time and labor reporting and the specialized nature of these software applications, few ERP vendors provide integrated systems that meet the District’s functional needs in this area. If PeopleSoft is unable to meet these requirements, the District should conduct a competitive procurement for a third-party solution, capable of tightly integrating with PeopleSoft.

Similarly, the District should look first to PeopleSoft’s integrated solutions for planning and budget, and contract management. Only if the District desires additional functionality beyond what PeopleSoft offers, should it conduct a separate competitive procurement for third-party systems to meet these requirements.

A PeopleSoft upgrade offers the lowest total lifecycle costs and greatest reduction in business risk exposure when compared to replacement alternatives while minimizing redundancy, reducing complexity, and improving integration.

4. Eliminate redundant document management systems and adopt an enterprise content management solution.

The District has 14 independent document management and cataloging systems, including but not limited to:

♦ Community Projects Review Unit System (CPRU) for District-issued permit tracking ♦ Cuadra Star to catalog Records and Library physical records ♦ District Permit Management System (DPMS) for watershed permit tracking ♦ Engineering Drawing Catalog System (EDCAT) to catalog Records and Library

engineering drawings ♦ Extensis to catalog Records and Library photographs ♦ MapLibrary for groundwater-related documents ♦ Quality and Environmental Management System (QEMS) to track ISO documents

The District has 14 independent document management and cataloging systems.


5 ♦ Questys for engineering drawings and Board agenda management ♦ Watershed Photo Library System (WPLS) for watershed photographs

These document management systems also support many of the District’s other business applications, including Maximo, PeopleSoft, Fee and Easement, and Respect.

With the exception of Cuadra Star, Extensis, and Questys, all of the remaining applications outlined above are custom developed. Some are aging and require additional capacity and significant ongoing maintenance. The consultants assessed EDCAT, QEMS, and WPLS all as having “high to very high” business risk exposure ratings.

In addition to these electronic document systems, the Records and Library Unit manages numerous physical records, essentially without automation. These include materials related to district assets, such as maps, engineering drawings, specifications, construction files, photographs, and reports.

This combination of siloed systems and physical records makes it difficult to manage the District’s information assets, complicates regulatory compliance, and increases costs associated with system maintenance and hard-copy document storage.

PTI recommends the District replace its existing document management systems with a single, commercially available off-the-shelf enterprise content management system. A competitive procurement will allow SCVWD to evaluate commercially available solutions against its unique requirements – including those for Board documents, engineering drawings, photographs and other unstructured data as well as for indexing and managing physical records – and business processes, such as document sharing, approval and notification workflows, email discovery, and collaboration support. The District also should ensure interfaces with Maximo, PeopleSoft, SCVWD’s customer relationship management system, and other business-specific applications as appropriate.

An enterprise content management solution reduces the District’s business risk exposure by providing easier access to critical records and information, better managing the archival and retention of documents in compliance with regulatory requirements, and providing more predictable total life-cycle costs.

5. Continue to use Cognos for business intelligence/performance management in the near-term.

The District currently utilizes Cognos BI for financial and human resource management business intelligence (BI). However, during interviews and workshops with the consultants, district executives and staff expressed a strong desire for easy to access,


5 near real-time performance analytics to support its asset management program as well as other core operational areas outside of finance and human resources. The following presents PTI’s related recommendations.

5a. Define a district-wide data warehouse and data mart architecture. The District should implement a district-wide data warehouse which extracts data from various operational production systems and makes it available for reporting and analysis. Additionally, the District should implement data marts to make specific subsets of the data available in support of unique business operation needs.

5b. Expand the use of business intelligence; after upgrading PeopleSoft, evaluate the ability of Oracle’s Business Intelligence Enterprise Edition (OBIEE) to meet the District’s BI requirements. Based on the outcome of this evaluation, either implement OBIEE or expand Cognos in conjunction with the district-wide data warehouse and operational data marts to track and report on key performance measures.

A robust business intelligence solution reduces the District’s business risk exposure by equipping decision makers with easy access to real-time or near real-time performance data and information.

6. Implement technologies to more effectively support external customers.

Currently, Access Valley Water (Comcate) is effectively used for public as well as internal work orders and selected other service requests. However, best practice public sector organizations are offering significantly more online functionality to their external customers. The following presents PTI’s related recommendations.

6a. Enhance customer self service capabilities. Expand the District’s website to include online payment capabilities and consumption information (e.g., for well-water customers) and additional data and information for public look-up (e.g., stream level data). This also includes optimizing the website for the mobile environment, including smart phones and tablet computers.

6b. Conduct a competitive procurement for a cross platform client communication system to support emergency and other customer communications. A competitive procurement will allow SCVWD to evaluate commercially available solutions against its communications requirements for emergency and non-emergency events (e.g., boil water alerts, planned and unplanned outages, water use restrictions), to varied stakeholder groups (e.g., customers, district staff), and for multiple media (e.g., telephone, text, email, social media).


5 Expanded customer communication and online services engages customers, improves customer service, and reduces work demands on district staff.

7. Establish a district-wide intranet portal for employees to provide streamlined access to data and information as well as technology tools.

Today, Aqua (the SCVWD’s intranet) provides district employees access to district news, policies and standards, service request forms, and selected employee information. In addition, employees can access the business applications they use daily by signing on to each of them individually as needed, respectively.

PTI recommends the District provide employees a single point of access (i.e., SCVWD staff portal) – with a single sign-on and appropriate security – to a full suite of automated tools that support their daily work. The District should conduct a competitive procurement for the development of an enterprise intranet portal using Microsoft SharePoint. This portal should provide a common desktop framework across the enterprise, single sign-on capabilities to operational systems; links to internal service request forms; mechanisms for district-wide communication; interfaces with the selected ERP solution, Maximo, and other operational systems to support access to employee information (e.g., payroll data, benefits information) and workflow (e.g., service requests, leave requests); and collaboration communities (e.g., project work spaces). Unlike Comcate, which supports customer and employee requests today via Access Valley Water, SharePoint is specifically designed to facilitate employee portals, single sign-on, and collaboration as well as service request management and workflow.

An internal portal provides employees a single sign-on and point of access to all of their automated support tools – increasing productivity, improving workflow, facilitating district-wide communication, raising levels of staff computer literacy, and enhancing self-service capabilities for internal service requests.

8. Implement a structured approach to data management.

Data and information – like utility infrastructure, real estate, and equipment – are critical assets that the District relies on to deliver services. As such, data storage, access, maintenance, archiving, and destruction must be carefully managed to ensure integrity. Today, the District manages myriad types of structured and unstructured data (e.g., documents, engineering drawings, reports, photographs, video) in over 40 separate asset-management related business applications and countless physical records, and has no district-wide information taxonomy – often resulting in data duplication, difficult reporting, and compromised data quality.

Data and information – like utility infrastructure, real estate, and equipment – are critical assets that the District relies on to deliver services.


5 PTI recommends SCVWD develop clear data and information architecture standards and policies. The District should perform a content audit to inventory the volume and type of digital information, assess information flow, and evaluate data quality. Based on this audit, the District should develop a district-wide information taxonomy, establishing standard metadata associated with specific information types and outlining policies surrounding user access and security, information ownership, and information storage and retention.

A structured approach to data management eliminates data duplication, improves data access, and appropriately protects data security, quality, and reliability.

9. Institute user groups for major applications.

District staff in application reviews with the consultants reported receiving tremendous value from hearing from other application users. They discussed application limitations and shared various tips and tricks to work with the system more productively to conduct daily business. It is for this reason that application user groups are a best practice for organizations similar in size, or larger, than SCVWD.

PTI recommends the District establish informal forums for application users to exchange application-related knowledge. These user groups should be organized by major application and functional area (e.g., Maximo maintenance management, PeopleSoft financials) and focused on application capabilities and shortcomings as well as workarounds and adaptive business processes. User group meetings should include specific agenda topics and occur once quarterly or as needed. While membership can be informal, meeting participation should be limited to no more that 20 to ensure meetings are productive.

User groups provide a regular forum for staff to share application-related knowledge with other application users – enhancing application proficiency among staff and increasing productivity.

10. For future application investments, favor commercially available solutions over custom development.

Currently, more than three-quarters of the District’s applications are custom developed – whether by in-house developers or external consultants. This is antithetical to best practices as it diverts limited resources away from the District’s core mission and toward application development, and requires the District to recruit and retain skilled application developers in a competitive employment market. It also misses opportunities to leverage best practice business processes inherent in modern software. The following presents PTI’s related recommendations.


5 10a. Use structured criteria to inform make versus buy software decisions. Key criteria

for consideration should include the alignment with ISMP direction, ability to meet functional requirements, configurability to meet future needs, cost, integration, vendor stability, implementation services, and long-term maintenance and support options.

10b. Maintain software on current versions. To fully realize the benefits of COTS software, the District must invest in annual maintenance and implement regular software upgrades. Maintaining the currency of the District’s application portfolio ensures the District receives regular updates, fixes, security alerts, and functionality enhancements.

10c. Conduct business process reengineering in conjunction with major system implementations. To fully leverage the best practices built into COTS software, the District must commit to reengineering business processes and streamlining workflow before customizing commercial software.

10d. Look first to external contractors for development efforts. PTI recognizes that, on occasion, COTS software will not meet the District’s requirements. In these instances, SCVWD should first seek third-party custom development.

10e. For those limited instances where in-house development is required, standardize on a limited number of application development platforms. Only in the case that neither commercial software nor a third-party custom solution is preferred – based on the evaluation criteria above (see 10a) – should the District custom develop. Under these very limited circumstances, the District should use the following application development platforms.

Custom application development is antithetical to best practices as it diverts limited resources away from the District’s core mission.


5

Recommended Application Development Platforms11

Database

Oracle MS SQL Server

Database Design Toad SQL Server Management Studio/Toad

Development Language Java, HTML5 .NET, C#, HTML5

Interactive Development Environment

APEX, JDeveloper Visual Studio

Reporting Cognos SQL Reporting Services

Ad-Hoc Query Cognos Cognos

Business Intelligence Platform Cognos Cognos

Business Intelligence Analysis Cognos Cognos

Performance Management/Dashboards

Cognos Cognos

Data Warehousing Cognos SSIS/Cognos

O/S Platform Unix/Linux Windows Server

A preference for maintaining current, commercially available business applications aligns with best practices and allows SCVWD to focus on its core mission rather than software development. It also reduces the District’s business risk exposure by providing imbedded best practice business processes, ensuring ongoing vendor investment in enhancements, and offering a reliable supply of skilled support and maintenance resources.

11 Note that these specific platforms are recommended for the near-term based on the District’s existing technologies; they will need to be reevaluated after upgrading PeopleSoft and selecting a long-term business intelligence solution.


5 In Progress and Planned Applications In addition to the new application projects proposed by this information systems master plan, the District has several in progress and planned application projects. For each of these, the District asked the consultants to make one of three possible recommendations:

♦ Terminate – end the project without completion

♦ Delay – temporarily stop the project to allow additional information to be gathered or to make room for predecessor and/or higher priority efforts

♦ Continue as planned – complete the project in accord with the current schedule and resource allocations

All but four of the District’s in progress and planned application projects are due to be completed before the implementation period of this master plan. The consultants considered percentage complete, remaining budget, and planned completion date in their development of the following recommendations. The consultants provided additional detail supporting these recommendations in a separate document to the District.

Recommendations for In Progress and Planned Application Projects

Project %

Complete* Planned

Completion Recommendation Rationale

1 Ecological Monitoring Information Management System (EM-IMS)

5% Beyond FY-2012

Delay12 Dependent upon selection of long-term application development platform(s); minimal sunk cost to date

2 Maximo GIS mapping application (ActiveG)

75% FY-2012 Continue as planned Nearly complete; cost effectively meets requirements

3 Labor hours single-point-of-entry solution for Maximo and PeopleSoft

80% FY-2012 Continue as planned Successfully pilot tested as interim solution pending Maximo/ PeopleSoft interface

4 Violation subsystem module for CPRU

100% FY-2011 Not applicable Completed

12 Chapter 6 details the consultants’ recommendations for this currently in progress project.


5 Project

% Complete*

Planned Completion Recommendation

Rationale

5 Letter subsystem module for CPRU

30% FY-2012 Continue as planned Interim solution cost effectively meets high priority near-term need; interim solution to be re-evaluated after implementation of new enterprise case (rec #2c) and content (rec #4) management systems

6 Water use efficiency rebate program database

20% Beyond FY-2012

Delay Dependent upon selection of long-term application development platform(s)

7 Digitizing project for Fee & Easement GIS

80% FY-2012 Continue as planned Nearly complete; foundational for future projects

8 Asset management GIS data layer development

90% FY-2012 Continue as planned Nearly complete; foundational for watershed asset inventory

9 Watershed mobile asset collection application

80% FY-2012 Continue as planned Nearly complete; broadly applicable to other spatially located assets

10 SMP database analytical subsystem and biological data management system

50% FY-2012 Continue as planned Project will reduce probability of failure and minimize BRE

11 WUE GIS based hydraulic modeling software for pipelines (MWH Infowater and Infosurge)

5% Beyond FY-2012

Delay Dependent upon development of GIS master plan

12 Budget - long term forecasting 1% Beyond FY-2012

Delay Included in the PeopleSoft upgrade (rec #3b)

*As of January 2012.


5 Technical Infrastructure

Technical infrastructure refers to the hardware, networks, databases, and operating systems that support the District’s applications and business processes. It provides the critical foundation for connectivity and processing power.

The following recommendations are based on the consultants’ quantitative and qualitative analysis, their understanding of SCVWD’s unique business environment gained during the assessment phase of this master planning project, the District’s stated IT goals, and industry best practices. They address the following technical infrastructure components:

♦ System platforms ♦ Wide area network connectivity ♦ Local area network connectivity ♦ Data center ♦ Data Storage ♦ IT disaster recovery ♦ End user computing

The scope of this study included the assessment of SCADA support staff and staff allocation, and the BRE of SCADA-related applications. It did not include a detailed analysis of SCADA-related infrastructure or a review of the SCADA master plan.

System Platforms

The following recommendations surround SCVWD’s deployment of server and PC operating systems, database management systems, and virtualization software. Combined, these technologies comprise the District’s system platforms – providing the environment for operating SCVWD’s business applications.

1. Standardize SCVWD’s technical infrastructure on current, supported technology.

Overall, the District’s technical infrastructure environment is already largely standardized. SCVWD employs relatively few personal computer and server operating systems; application databases tend to use Oracle or Microsoft structured query language (SQL); and the core network offers sufficient bandwidth.

Opportunities for improving district-wide technical infrastructure still remain, nonetheless. Although the District has standardized PC and server operating systems (Windows XP and Windows Server 2003, respectively), both versions are well behind current technology – creating risks related to security, stability, near-term vendor support, and


5 compatibility with business applications. SCVWD also has eschewed migrating to 64-bit OS platforms and the performance benefits it offers. Finally, the District virtualizes many of its application servers, but can extend this technology further. The following supporting recommendations address these technical infrastructure issues in more detail.

1a. Migrate to Windows Server 2008 for servers. Nearly 90% of the District’s servers use a Windows operating system, but they are split among three Windows OS versions: Server 2008, Server 2003,13 and Windows 2000.14 Each operating system offers different capabilities, features, security and performance. They also require IT support staff to possess a broad base of Windows Server support knowledge.

Note that while standardizing on one server operating system is ideal, it will not be completely feasible for SCVWD at this time. As a water district, SCVWD must conduct unique business processes (e.g., condition assessment, land survey elevation measurement, ecological monitoring/assessment) that require the use of specialized software. Because the market for this software is small, developers often postpone updating the systems to work with newer technology (e.g., 64 bit desktops and servers). At best, operating the software on more modern platforms may not be supported by the program vendor, and at worst, the software may not operate at all. As a result, the District often cannot migrate to newer server operating systems – forcing SCVWD to maintain aging, unsupported technology. This issue requires the District to support and maintain 24 Windows 2000 servers – meaning that almost 15% of SCVWD’s total servers have no vendor support for their operating systems.

Although the District’s software vendors will likely not improve compatibility with modern platforms, SCVWD should standardize all other servers on a current server operating system. Doing so decreases the risk and expense of using unsupported/extended support technologies, and offers increased functionality, compatibility, and security. Standardization also allows the District to pursue alternative service provision for server support functions.

For software packages that must run on operating systems more than one version behind current, the District should clearly communicate the need for update to the associated vendors. For applications with no upgrade path, the District will need to plan for replacement as platforms reach end of life.

13 Mainstream support ended July 13, 2010. Extended support ends July 14, 2015. 14 Mainstream support ended June 30, 2005. Extended support ended July 13, 2010.


5 Increased server standardization helps deliver applications and data more quickly, reliably, securely, and cost-effectively. It also avoids the risks (e.g., system failure, security breaches, application incompatibilities, unsupported hardware, decreased support skill set availability) associated with unsupported operating systems.

1b. Transition to Windows 7 (64 bit) for personal computers. Similar to SCVWD’s server environment, the District is largely standardized on a single Windows product (Windows XP 32 bit) for desktop computers. However, SCVWD also has a small number of PCs still running Windows 2000 (end of life as of July 13, 2010), as well as a few Windows 7 and Windows XP (64 bit) machines. Once again, the District maintains older operating systems because they run applications that have not been updated to work on more modern operating systems. Newer Windows 7 machines exist for testing purposes, or because a business unit acquired them outside of IMSD’s replacement cycle.

As a consequence, this environment requires PC support personnel to maintain skill sets on outdated product. In addition, the District faces a larger problem. Microsoft ceased offering standard support for Windows XP in 2009, and the OS is currently considered to be in extended support until April 2014. If SCVWD does not migrate to a newer operating system, it will have to pay for any support performed by Microsoft until that date. Afterward, Microsoft will not provide any support for Windows XP – meaning the District will be operating an unsupported PC operating system. To avoid potentially critical and costly technical issues, the District needs to migrate off of Windows XP as soon as possible.

Many of PTI’s clients have successfully migrated to Windows 7. The operating system offers a host of improvements compared to Windows XP. Although it has a slightly different user interface that will likely require some user training, improvements in file sharing, security, administration, data encryption, search – even file transfer speeds – make Windows 7 a more robust product than Windows XP.

At this point, PTI does not recommend migrating to Windows 8, which is due to arrive sometime in 2012. Windows 8 is rumored to include many enhancements over Windows 7, but it also departs even further from the traditional Windows user interface familiar to district users. Without any current installations and no indication of performance, security or capabilities (other than Microsoft press releases), PTI suggests evaluating Windows 8 – or a successor – when replacing PCs in approximately 2017.


5 Standardized PC operating systems enable IT support staff to specialize in one OS, simplify the overall PC support environment and processes, reduce or eliminate issues surrounding network communications (e.g., printing, file server access) between different operating systems, allow IMSD to create and maintain a standard set of PC images that apply to all users, and provide a consistent and current OS environment familiar to users.

1c. Continue virtualizing with VMWare vSphere. When the District started consolidating its servers using virtualization, VMWare was the only viable vendor. It remains the market leader in server virtualization, although Microsoft’s Hyper-V product has progressed significantly in the past three years. The District is heavily invested in VMWare, and is in the process of upgrading to VMWare’s vSphere product. Although VMWare and Hyper-V offer similar feature sets, VMWare’s tools are currently far superior. The District should complete its vSphere upgrade and continue virtualizing servers.

Provided the District’s applications are certified to run in a virtual environment, virtualizing physical servers avoids the costs associated with purchasing an entire physical server for one application. It also reduces the environmental (i.e., power, cooling) requirements for the District’s data center, and improves backup and recovery capability.

1d. Ensure purchased and custom application databases use Oracle 11g or Microsoft SQL Server. The District largely employs Oracle and SQL Server databases for its vended software packages (e.g., PeopleSoft Finance and HR, Maximo), while its custom applications (e.g., Respect, Fee & Easement) use Oracle exclusively. Rarely, SCVWD also utilizes other, less robust database systems (e.g., Access, Informix) for less critical applications. Though expensive, the Oracle database is a very robust platform with broad support from vendors. The District faces no shortage of Oracle development expertise in the market. Microsoft’s SQL Server is not as robust as Oracle, and is not a widely adopted platform for supporting GIS data, but it offers similar capability at a lower price point. SQL Server skills are also very prevalent in the technology workforce. The District should establish a policy dictating the use of Oracle and SQL Server databases for commercial or custom-developed applications, and limit the use of other database systems. In some instances, SCVWD may also want to continue utilizing Microsoft Access, particularly due to its low price and extensive user familiarity. However, the District should develop platform evaluation criteria (e.g., single user system, non-mission critical


5 application, no/limited backup needs, licensing considerations) that limit database development in Microsoft Access to applications appropriate for that platform.

Standardizing the District’s database languages on SQL Server and Oracle ensures SCVWD purchases, develops and maintains current, supported technology. The District can also leverage the data stored in these databases with business intelligence tools built to access data stored in Oracle and SQL Server databases. Finally, limiting the use of ad hoc databases (e.g., Microsoft Access) prevents users from creating one-off solutions that silo data and increase reliance on institutional knowledge.

1e. Migrate to 64 bit server and PC operating systems. Windows XP was the first Microsoft desktop operating system to offer a 64 bit environment. At the time of its introduction, many desktop applications were not capable of operating in a non 32-bit environment and were unusable as a result. Accordingly, customers tended hold off migration to 64-bit desktop environments.

The majority of 64 bit server operating systems began with Unix variants in the late 1980s. Because of the open source nature of Unix, these operating systems were able to quickly take advantage of newly-released 64 bit processors offered by hardware manufacturers. Microsoft did not release a 64 bit server operating system until 2001 (Windows XP). Windows Server 2003 offered both 64 and 32 bit versions. Its successor, Windows Server 2008, also offered 32 and 64 bit support. Microsoft’s latest server OS – Windows Server 2008 R2 – only offers 64 bit support.

With 64 bit server operating systems now the majority, migrating to a 64 bit desktop environment ensures parity between servers and PCs. In environments that use file and print servers, parity helps prevent driver conflicts. Client-server applications also tend to operate more easily when both server and desktop operating systems share the same platform. As the District adopts 64 bit server operating systems, it should deploy 64 bit PC operating systems as well.

A uniform 64 bit PC and server OS environment allows machines to utilize more RAM15, and offers improved application performance as well. It also reduces driver and program conflicts inherent with mixed-platform (i.e., 32 and 64 bit) environments.

15 Random access memory.


5 Wide Area Network Connectivity

The District’s wide area network (WAN) connects SCVWD’s buildings to one another through district-owned network cabling and components (e.g., routers, switches), as well as commercially-leased lines (e.g., T-1, DS-3).

2. Increase bandwidth to remote district facilities.

A large portion of SCVWD’s off-campus facilities connect to the District’s network via T-1 lines. T-1 lines operate symmetrically (upload and download speeds are the same) at 1.544 mbps,16 which all users at each remote site must share. Compared to residential or business-class cable connections, T-1 lines offer much less bandwidth. Common cable Internet service can be obtained with asymmetrical download speeds up to 50 mbps. Predictably, users at these facilities reported slow network speeds while conducting typical business operations.

Higher bandwidth network connections enable users to conduct network-related business operations more efficiently.

Local Area Network Connectivity

SCVWD buildings use category five (i.e., CAT 5) cabling to the desktop, with inter-building spans using fiber optic network cables. CAT 5 cabling is more than sufficient, as all desktop PCs have at least 100mbit connections. LAN bandwidth is more than sufficient for district business operations.

3. Continue implementing wireless for campus buildings, and extend wireless connectivity to remote district facilities.

The primary purpose of implementing wireless networks is to offer Internet and intranet connectivity to users with laptops and/or mobile devices. With connectivity available anywhere throughout SCVWD buildings, staff can access key systems and data sources while away from their desks. The District is currently implementing wireless networks on the main campus. Remote sites can also benefit from wireless connectivity, particularly as SCVWD moves to adopt tablet computers. Because they offer another access point to the District’s applications and data, it is also worth noting that wireless networks can present security risks to the District. However, when set up properly (e.g., using security capabilities such as MAC address filtering, WPA password protection, and virtual network segmentation), SCVWD can offer wireless connectivity with sufficient intrusion protection.

16 Megabits (or millions of bits) per second. A measure of networking throughput.

The District’s main data center was professionally constructed using best-practice methods and offers sufficient space for scalability if needed.


5 Wireless connectivity also enhances collaboration by facilitating data access and analysis in group settings (e.g., conference rooms).

Deploying wireless connectivity to all campus facilities enables users to access data away from their desks, which can improve meeting productivity and reduce the District’s reliance on portable storage devices (e.g., USB drives). It also facilitates communication and data access on tablet computers, which the District is just now beginning to use.

4. In concert with the District’s PC replacement, implement network security enhancements.

SCVWD does not currently monitor network communications or IP addresses of networked computers. Network communications are also unencrypted, largely due to the District’s use of Windows XP. Intrusions are very difficult to detect and locate – even after the fact – and SCVWD has no alarms to alert appropriate personnel of inappropriate data access, deletion or communication.

Implementing Windows 7 will provide data encryption capabilities that will help secure the District’s data. To further secure SCVWD’s systems, it should implement IT security solutions designed to prevent data loss and secure network nodes (e.g., PCs, physical and virtual servers, gateways).

Enhanced network security protects district data assets from unauthorized access, use and distribution as well as from potentially disruptive events caused by malicious intrusions.

Data Center

The District’s main data center was built less than three years ago. It resides in the administration building on SCVWD’s main campus. Construction and layout of the data center follow best practices; it offers raised flooring, adequate power conditioning and onsite power generation, as well as environmental controls, color-coded cabling, fire protection, secure entry and sufficient space for expansion.

5. Continue relying on existing facilities for the District’s primary data center.

The District’s main data center was professionally constructed using best-practice methods (e.g., raised flooring, hot-aisle/cold-aisle layout, labeled cable runs). It offers sufficient space for scalability if needed, and available space should continue to grow as the District virtualizes more of its servers. The data center also employs adequate power conditioning and environmental controls. Backup power is sufficient, and this capability is


5 regularly tested to ensure fail-over is error-free. SCVWD can improve its use of existing tools for server monitoring and issuing alerts.

Note that the District also utilizes a secondary space in its headquarters building for hosting a backup PeopleSoft server. In concert with development of an overall disaster recovery plan, PTI recommends discontinuing use of this data center in favor of a remote site with the appropriate hot, warm, and cold recovery capabilities. Refer to PTI’s data center recommendation in this document for more detail.

SCVWD’s existing primary data center aligns with best practices for construction, layout, cabling, fire protection and power. It also offers adequate space for deploying more servers if necessary.

6. In alignment with best practices, target a virtualization percentage of approximately 85%.

SCVWD has already virtualized 108 of its 164 servers (66%) – only 56 physical servers remain17. The number of virtual machines per host relies largely on the types of server (application, database, Web) and the host’s level of physical hardware. For instance, VMWare typically supports up to 32 virtual servers, but can go as high as 100 virtual servers if the hardware and server types support it. At an 85% virtualization rate, the District can expect to use approximately 24 physical host servers to share the load of 162 logical servers.

As previously noted, some of the District’s servers run older applications that are not certified for virtual environments. These applications will become increasingly rare as time goes on, enabling SCVWD to migrate to a best-practice virtualization ratio.

Server virtualization reduces the District’s expenses related to purchasing and maintaining (e.g., electricity needed to power and cool the equipment) individual physical servers. Virtualization also removes physical servers from SCVWD’s data center, providing space for other purposes.

17 These figures do not include the 21 physical servers that function as virtual server hosts and cannot be virtualized. Based on the District’s response to PTI’s information request, the 56 remaining physical servers consist of 29 application servers, 17 database servers, 5 web servers, 3 email/calendaring servers, 1 file/print server and 1 unspecified server.

Some of the District’s servers run older applications that are not certified for virtual environments. These applications will become increasingly rare as time goes on, enabling SCVWD to migrate to a best-practice virtualization ratio.


5 Data Storage The District relies on a storage area network (SAN) and network area storage (NAS) for files, databases and virtual servers. Backups are disk-to-disk from the main data center to the secondary data center in the headquarters building, augmented by one month of tape backup stored offsite with Iron Mountain.

7. Stay the course on SAN and NAS data storage.

The District’s SAN/NAS environment supports SCVWD’s virtual servers and backup processes, including a redundant SAN/NAS in the District’s headquarters building. SCVWD regularly monitors SAN capacity trends and adds storage as necessary. As the District continues to virtualize more servers, it will place a higher load and reliance on the SAN, underscoring the need for adequate data backup and disaster recovery capabilities mentioned in previous recommendations.

Aligned with best practices, SCVWD’s current SAN/NAS offers adequate storage capacity and speed for the District’s databases and virtual servers.

IT Disaster Recovery This category of recommendations concerns the District’s ability to resume IT operations and systems after a disrupting event. These events can be minor (e.g., extended power outage or network component failure) or major (e.g., earthquake, fire). The District’s approach to resuming IT operations depends largely on the interrupting event, as well as SCVWD’s tolerance for interruption.

8. Formally document a district-wide IT disaster recovery plan.

The National Institute for Standards and Technology (NIST) defines an IT disaster recovery plan (DRP) as:

…an information system-focused plan designed to restore operability of the target system, application, or computer facility infrastructure at an alternate site after an emergency. The DRP may be supported by multiple information system contingency plans to address recovery of impacted individual systems once the alternate facility has been established.


5 Although the District began work on a business continuity of operations plan (COOP), the IT disaster recovery portion of the plan is not adequate. SCVWD has no defined application recovery time or point objectives, no viable remote disaster recovery facility, and does not regularly train for recovering applications in an emergency. The lack of backup and recovery capability is not limited to just the core IT network; the SCADA network and associated hardware components also suffer from poor recovery capability, although the District has defined standard operating procedures in place for recovering SCADA systems.

PTI recommends that SCVWD complete the development of its IT disaster recovery plan in the context of its overall COOP. The District must first conduct a business impact analysis. Based upon these priorities – and the District’s IT budget, IMSD can identify preventive controls, create contingency strategies (e.g., backup methods, alternate sites, equipment replacement, roles and responsibilities), and finally conduct appropriate planning, training and testing. The DRP should document the business impact analysis through the preventive controls, contingency strategies and training/testing methods – and include a mechanism for regularly updating the plan.

Establishing a formal IT disaster recovery plan ensures the District can recover critical systems, applications and data according to the District’s recovery objectives, driven by business priorities.

9. Secure a remote (i.e., off campus) IT facility for resuming business operations in the event of a natural disaster or other major, disrupting event.

The District operates four data centers – two for business systems and two for SCADA. Both business data centers reside on the main SCVWD campus while the main SCADA data center and backup data center reside at the District’s treatment plant.

Unfortunately, SCVWD’s business system backup data center can only resume operating one application (i.e., PeopleSoft, SCVWD’s financial management application). Because both business data centers reside on the District’s main campus, a regional disaster (e.g., earthquake, fire) could potentially destroy both. SCADA data centers face a similar situation, as both reside at SCVWD’s treatment plan.

Aligned with best practices, PTI recommends SCVWD procure an off-site data center that can resume operations for all of the District’s high priority systems, including SCADA. SCVWD may be able to partner with another water district to provide mutual disaster recovery capability. This approach obviates the need for three of the District’s data centers (i.e., both SCADA facilities and the secondary business data center), but SCVWD

SCVWD has no defined application recovery time or point objectives, no viable remote disaster recovery facility, and does not regularly train for recovering applications in an emergency.


5 should make an informed decision regarding the future of these facilities predicated on the results of the IT disaster recovery plan.

A remote database facility provides recovery capability for interrupted IT operations at the District’s data center, and helps the District continue to provide critical services to its customers – potentially during a natural disaster.

End User Computing The following section highlights PTI’s recommendations surrounding the computers staff employ to interact with SCVWD applications, data repositories, and other users.

Personal Computers

This category encompasses both desktop and laptop computers.

10. Target a PC replacement cycle of five years or less.

Only 2% of SCVWD’s desktops are current (i.e., less than three years old). Twenty-six percent are aging (i.e., between three and four years old), and the remaining 72% are due for replacement (i.e., over four years old). Many of the participants in PTI’s focus groups asserted that their computers were over six years old (according to information provided by SCVWD, 44% of desktops are 6 years old or older). In an attempt to delay expenditures, the District extended its desktop PC replacement cycle twice – the first time from four to five years, then again from five to six years. This strategy is a common method of deferring hardware expenditures into future budgets, but it also increases support costs as parts fail and computers operate more slowly. If pushed out too long, the age, instability and sluggishness of older PCs hinder productivity.

PTI recommends SCVWD re-establish a five year desktop PC replacement policy, and replace all of its desktop computers every 5th year (rather than 20% replacement each year), with exceptions predicated on business need (e.g., low-end vs. high-end applications/users, mission-critical business processes) and hardware failure. This will discourage the District from implementing a “trickle down” policy, and it will also minimize IT resources dedicated to desktop deployment.

Although the District currently purchases its computers, leasing may be a viable option that should be considered for every replacement cycle. The District may also want to consider a combination of purchases and leases. SCVWD should conduct a cost/benefit analysis to determine the appropriate method for each replacement cycle.

Operating current PCs helps ensure desktop computers run the District’s business applications efficiently. SCVWD can also benefit from extended manufacturer warranties

Approximately three-quarters of the District desktops are due for replacement.


5 without materially raising purchase prices, which lowers costs associated with maintaining computers. Replacing PCs once every five years limits IT resource time for procuring, deploying and imaging the new machines.

11. In concert with the PC replacement cycle, support up to four standardized PC images, but allow customization as appropriate.

PC imaging is an IT support best practice. Imaging software allows the District to create PC configurations that have the correct – and current – drivers, operating system patches and business software updates. Images also ensure all computers join the appropriate domain, have the correct wireless settings, and do not allow unwanted capabilities or programs. With these capabilities, IMSD staff can assemble a stable “model” system, and then clone that system’s settings and software to all appropriate PCs. IMSD can also delay operating system and business software updates until fully tested, then deploy updates to all computers at once.

The District currently uses Norton Ghost for imaging its PCs. Because SCVWD acquires PCs in an ad hoc manner, it has to maintain a minimum of four images for two laptop models and two desktop models. In addition to those images, the District also maintains additional images (approximately six) to accommodate specific models and user needs.

When the District moves to an all-at-once five year PC replacement cycle, all laptop and desktop computers will have standardized hardware. Two core images (one each for desktops and laptops) should meet the needs of most users, and SCVWD can use up to two additional images to address the small number of high-performance machines and/or specific application deployments. As a result, SCVWD can disable administrator privileges for most users – greatly contributing to a standard PC environment and simplifying support.

With increased standardization, when users experience a problem with their machine, it’s very easy for IT staff to deliver a newly-imaged PC. This minimizes user downtime because IT staff don’t have to fix the problematic computer – they can replace it with a working unit and investigate the issue further. Once the problem is discovered and remedied – assuming it affects all imaged computers – IT staff can simply create and deploy an updated image.

Exceptions to the standard image will always be necessary, but the goal is to minimize the number of exceptions. For users who cannot get their jobs done using the standard images, the District should create exception criteria (e.g., business functions with specific software needs) to allow deviation.


5 Limiting the number of PC images enables IMSD to utilize the built-in security features of laptop and desktop operating systems, contributing to a more uniform and standardized PC environment. In turn, maintaining a small number of images also simplifies operating system and software support processes, thereby reducing IT support labor. Finally, deploying fewer standard PC images positions the District to leverage external PC support services.

12. Establish PC hardware standards based on user need, and develop criteria for exceptions from the standard.

SCVWD currently attempts to purchase the same, or very similar, PC hardware for all users when it conducts a PC replacement. Users who wish to deviate from the District’s standard must submit a form specifying the reason(s) for more expensive hardware. During PTI’s focus groups, participants indicated that this process rarely resulted in receiving the computer desired. In those cases, business units often purchase their own computers.

Just as desktop images change for users who require certain software, the District should offer various levels of PC hardware for more demanding customers. Accordingly, SCVWD must also develop criteria (e.g., business specific application requirements, time-sensitive business processes, necessary hardware to facilitate use by users with disabilities, business function – particularly if it involves extensive field work or travel) that justify deviating from the standard – and by how much.

PC hardware standards and defined exception criteria restrict more powerful (and expensive) computers to user groups or end-users who have a legitimate reason for using them. They also ensure customized models continue to meet IT standards and guidelines.

13. Examine the cost, business user, and technical impacts of thin client before committing to it as the architecture direction.

Like many organizations, SCVWD is interested in the potential cost savings of deploying thin clients and relying on powerful servers to deliver application software. While the theory of this approach has appeal, in PTI’s experience it has rarely delivered the expected benefits. These environments require a tremendous amount of server software and hardware administration for IT staff and place a much higher load on network and server components, which are intrinsically more expensive than desktop machines. In addition, much of the software SCVWD users rely on may pose technical difficulties in a thin client configuration. The model may also present licensing complications for some products that rely on rich client installations. As more applications transition to true

The District has no formal strategy for the acquisition, support, or replacement of mobile communication devices.


5 browser-based delivery (requiring no client installation whatsoever), the District can revisit the adoption of thin clients. However, at this point, PTI’s experience indicates that thin client has not proven viable for organizations similar to SCVWD.

Continuing to use workstations with rich client software maintains a familiar, proven desktop computing environment for business users and IT support staff. This model also avoids introducing a complex back-end technology that would place further demand on IT support skills and resources.

Mobile

Unlike PCs, mobile computing devices travel with users and tend to provide less functionality in favor of a smaller form-factor. Examples include smart phones and tablet computers.

14. Support mobile devices (e.g., tablets and smart phones) where business needs justify adoption.

The District is still very dependent on paper processes for mobile data access and recording. Because all handwritten information must be transported back to a district facility, translated and then keyed into the appropriate system, business processes dependent on paper can be very time consuming and error prone. Laptop computers enable users to access systems and enter data while in the field, but they can be expensive to deploy. Smart phones and tablets provide a less expensive – and less capable – alternative to laptops.

As these mobile devices become more prevalent in users’ hands, IMSD faces mounting pressure to utilize and support them. With concerns surrounding network and data security, as well as disclosure laws that could require users to divulge personal information stored on the devices, organizations often have difficulty determining how best to deploy smart phones and tablets – and the District is challenged by these very same issues.

Users at SCVWD have already adopted smart phones and tablets; there are already nearly 450 mobile devices in use throughout the District. The District has no formal plan or strategy surrounding use or support of these tools. Accordingly, the environment is very informal. Personal phones and tablets intermix with district devices, and SCVWD has no coordinated strategy for device acquisition, use or replacement.

PTI recommends the District first focus on creating policies and procedures for supporting personal smart phones and tablets. This allows users to continue using their devices, provided their device and usage complies with SCVWD policies. Secondly, the District should implement mobile devices for users with a legitimate business need. For example,


5 SCVWD testing indicates field maintenance employees accomplish their tasks more quickly and enter more accurate data when using tablets. In addition to business needs, the District must also consider cost, support requirements, security issues and product capabilities (particularly functionality provided by specialized applications) before implementing mobile devices.

Mobile devices offer unique capabilities and can substantially improve the efficiency of some business functions. Carefully evaluating business needs, mobile device costs, security issues and product capabilities ensures the District adopts mobile devices in an informed, strategic manner.

IT Service Delivery

IT service delivery includes the IT organization; staffing levels, and allocation; service management methodology; and technology support personnel skills and experience. The following recommendations are based on the consultants’ quantitative and qualitative analysis of the District’s current IT organizational structure, staffing levels and allocation, and service delivery approach. They also consider the consultants’ understanding of SCVWD’s unique business environment gained during the assessment phase of this master planning project, the District’s stated IT goals, and industry best practices. They are presented as follows:

♦ IT organization ♦ IT staffing ♦ IT service management ♦ IT staff skills

IT Organization

The following recommendations address IMSD’s organizational structure. Due to the scope boundaries of this master planning effort, the consultants’ recommendations do not address the Records and Library18 or Business and Customer Support Services19 units.

18 The Records and Library Unit manages the District’s records, administers public records request processes, and performs research and library services. 19 The Business and Customer Support Services Unit provides the following services: mail, reprographic, receptionist/switchboard, word processing, forms management.


5 1. Restructure IMSD into the following units: client services, technical infrastructure

services, application services, program management, records and library, and business and customer support (as illustrated in the organization chart on the following page).

Currently, the Information Management Services Division (IMSD) consists of five units:

♦ Information Technology ♦ Information Systems Solutions (ISS) ♦ Information Security ♦ Records and Library ♦ Business and Customer Support Services

During PTI’s interviews and focus groups, customers noted a lack of role clarity between the Information Technology and Information Systems Solutions units. The same customers indicated that technology issues – whether hardware or software in nature – are often passed back and forth between the two units with very limited customer communication.

Restructuring IMSD clearly defines IT employee roles and responsibilities, enhances appropriate IT staff specialization while supporting cross training capabilities, appropriately sizes span of control, provides a dedicated unit for customer support, and helps IMSD standardize the District’s IT environment.

During PTI’s interviews and focus groups, customers noted a lack of role clarity across IMSD units.


5

Recommended IMSD Organization20

1a. Charge the Client Services Unit (CSU) with performing all first-call user support. IMSD currently takes an informal approach to IT service management. Based on qualitative feedback solicited during PTI’s interviews and focus groups, a variety of personnel appear to provide inconsistent IT help desk support. Application configuration, change management, resource allocation and performance management functions tend to be conducted in an inconsistent and somewhat ad hoc manner, with no clear “owner.”

PTI recommends making the new Client Services unit responsible for tier 1 and tier 2 IT support for all District personnel, as well as desktop applications (e.g., personal productivity, intranet) support, audio/visual services, business unit IT training, and customer account management. The unit should also manage IT support requests

20 Some period of time will be required to transition to this target organization structure and FTE allocation. Specific FTE allocations may vary during this transition period and final allocations should be determined based on business needs at that time.

CIO(1 FTE)

Information Security Manager

(1 FTE)

Application Services

(22-25 FTEs)

Technical Infrastructure Services(9 FTEs)

Records andLibrary

Client Services(7 FTEs)

• Application development• Packaged application support• Business analysis• Employee intranet portal support• Website support • GIS support

• IT leadership• IT strategic planning• Budget development• IT standards and policy development

• Database administration• Security administration• Server administration• Network administration • Middleware support• Data center operations• Storage administration• Video security• Telephone administration• Continuity of operations planning

• Help desk (Tier 1 support) and Tier 2 support for all enterprise applications

• Desktop application support:o Personal productivityo Intranet

• Audio/visual services• Customer account management

• IT design and architecture• IT strategic planning support• IT governance coordination• Portfolio management• IT project management• Contract / vendor management• Procurement• Performance measurement

Program Management(2 FTEs)

• Physical, network, data and application security oversight• Security/privacy standards and policies• Security-related regulatory compliance

Business andCustomer Support


5 that involve IMSD’s other primary units – Technical Infrastructure Services and Application Services.

Client Services staff must efficiently and effectively represent the “face” of IMSD at the District, and hold primary responsibility for supporting customers and meeting their IT service expectations.

Positions surround the following service areas:

♦ Audio/visual operations ♦ Customer account management21 ♦ IT training ♦ Tier 1 help desk (phone/email based support for all IT hardware and software) ♦ Tier 2 support (in person PC/mobile device/personal productivity support)

In alignment with ITIL concepts and best practices, the Client Services Unit will provide a consistent, single point of contact for customers seeking IT assistance, allowing for the use of industry-standard performance measures. Along with establishing a familiar, consistent contact for IT support, this model also encourages district staff to seek support from IMSD rather than from non-IT personnel (i.e., shadow staff).

1b. Charge the Technical Infrastructure Services Unit with operating and maintaining the District’s information technology hardware. As previously indicated, the Information Technology Unit currently provides a broad and somewhat ambiguously defined range of services. Accordingly, staff within that unit lack clarity surrounding position roles and responsibilities.

With a smaller scope than the existing Information Technology Unit, the recommended Technical Infrastructure Services Unit will support the District’s IT hardware and networks. This includes server, database and storage administration, management of logical and physical security systems, data center operations, wired and wireless network administration (including telephones and radio), and continuity of operations planning. While day-to-day security management responsibilities will fall to this unit, the information security manager (outside of the Technical

21 Includes functions related to tracking and reporting service levels, business needs assessments and service gap determination, and the collection and reporting of service measures (e.g., tier 1 and tier 2 response and resolution rates, customer satisfaction surveys). May also include directly managing vendor service contracts or assisting with vendor relationship management.


5 Infrastructure Service Unit) conducts overall information security oversight and planning activities – aligned with separation-of-duties best practices.


♦ Database administration ♦ Security administration ♦ Storage administration ♦ Server administration ♦ Network administration (e.g., WAN, LAN, radio, phone)

Establishing the Technical Infrastructure Services Unit provides clarity surrounding enterprise IT hardware and network support responsibility, and enables staff to specialize and offer greater expertise in these key areas.

1c. Charge the Application Services Unit (ASU) with supporting the District’s packaged and custom-developed software. During PTI’s interviews and focus groups, business unit staff indicated that the Information Systems Solutions Unit’s custom software development was inconsistent in effectively meeting business needs. Many factors contribute to this environment, including the lack of an architected environment, inadequate governance, poor communication/partnership between IMSD and business units, and a lack of business analysis skills within IMSD.

The core responsibilities of the recommended Application Services Unit remain largely the same as the current Information Systems Solutions Unit. They focus on providing specialized support for the District’s packaged applications, as well as limited custom development of software for critical areas where packages cannot meet SCVWD’s business needs and business practice change is not feasible. In recognition of the District’s need for business analysis skills, the ASU is also responsible for business analysis, which will help ensure that the District takes best advantage of its software packages and guide the District’s systems integration efforts. Finally, the ASU includes GIS development and support.


♦ Packaged application support for the following systems:

- ERP - Asset management - Business intelligence/performance management - Document management


5 ♦ Business analysis ♦ GIS support ♦ Custom application support

Aligned with public sector IT best practices, this unit supports the District’s business software and performs related business analysis functions, within one cohesive group.

1d. Leverage the Program Management Unit to guide the District’s overall deployment of information technology and support related administrative needs. Staffing data indicates that IT project management effort is distributed among eight IMSD staff. Business unit staff described an unclear IT project management environment, with inconsistent and/or unenforced policies and procedures.

Running a successful IT organization demands more than providing quality customer, technical infrastructure and application support. A number of other functions are critical to IMSD’s future success. These functions include IT project management, IT portfolio management, contract/vendor management, capital project validation and planning support, procurement, and IT strategic planning and governance administration. The Program Management Unit consolidates these key IT administrative functions into one cohesive unit with clear roles and responsibilities.

A more consistent approach to strategic planning and program management supports cost-effective deployment of limited IT resources and helps ensure achievement of anticipated benefits from IT investments, aligned with SCVWD’s core strategic priorities.

1e. Charge the CIO with overall IT leadership, strategic planning, budget development, and IT standards and policy development. For an IT organization the size of IMSD, the CIO must focus on overall IT guidance. Departmental leadership, strategic planning, and budget and policy development represent fundamental activities necessary for the success of IT on a district-wide basis. The CIO should also focus on outreach to other business units, promoting IT innovation to solve business needs, and implementing this IT master plan.

These actions help ensure IMSD can appropriately meet the IT needs of SCVWD’s business units, and convey a planned approach to the District’s overall IT environment.

It is anticipated that implementation efforts will peak in fiscal year 2016, requiring up to 10 IT FTEs. Because of this it may be necessary to augment IMSD staff with contractors to successfully execute this ISMP.


5 1f. In the near-term, keep SCADA IT application effort separate from IMSD; as AM

capabilities and IT/business partnership improves, consider moving SCADA IT functions under IMSD. Today, IMSD provides support for SCADA infrastructure components (e.g., network, security, hardware) and the Utility Electrical and Control System Unit of the Water Utility Technical Support Division is responsible for SCADA-related applications.

Emerging best practices advocate for the inclusion of both SCADA application support and network management personnel within an organization’s core IT department. For SCVWD, this move would represent significant organizational and cultural change, and should not take place during the first few years of this plan’s implementation. Over the short term, SCADA application support staff should remain in the Utility Electrical and Control System Unit while IMSD addresses the high-priority projects identified in this plan. Predicated on demonstrated success surrounding business unit IT support and asset management capabilities, and as IMSD builds credibility as a trusted shared services provider, the District should then consider incorporating SCADA IT staff into the IMSD organization.

Over the long term, moving SCADA within IMSD coordinates IT investments across all business units at the District, and helps ensure the SCADA environment benefits from the up-to-date skills and best practices within IMSD. It also offers more structured training and career development opportunities for SCADA support staff.

2. Evaluate sourcing alternatives (e.g., cloud services) on a case-by-case basis.

As stewards of public funds, agencies like the District must assess the business benefits of cloud offerings on a case-by-case basis, particularly as the District’s requirements for IT skills and/or service levels shift. Key evaluation criteria should include cost, service levels, skill sets, and political viability.

Evaluating sourcing alternatives enables the District to make an informed choice surrounding new market services that may increase service levels, augment deficient skills, or reduce expenses – or a combination thereof.

IT Staffing IT staffing refers to the staffing levels and allocation of technology support personnel. Appropriate staffing levels and allocation are a critical component in IT services with overall business objectives and attendant IT service demands. The following recommendations address IT staffing at SCVWD.

While this assessment indicated an appropriate overall IT staffing level, it identified some labor inefficiencies within client services and IT planning and administration as well as a need for additional labor effort focused on technical infrastructure and application services.


5 3. Allocate IT staff among IMSD’s business units as indicated in the proposed

organization chart (presented in the previous section of recommendations).

Based on self-reported IT effort from IMSD staff, PTI analyzed the District’s allocation of IT labor effort among five core IT functions against PTI’s target ranges and public sector benchmarks. While this assessment indicated an appropriate overall staffing level, it identified some labor inefficiencies within client services and IT planning and administration as well as a need for additional labor effort focused on technical infrastructure and application services. The following recommendations address these findings.

3a. Reallocate IT labor effort according to best practices. PTI recommends staffing the new IMSD organizational units according to the staffing numbers presented in the proposed organization chart included with IT organization recommendation 1. As IMSD shifts to this new IT staffing allocation, it can anticipate enhanced service delivery as well as labor efficiencies in commodity areas, such as for PC and server support. (See illustrations below for target ratios that can be anticipated with the recommended staffing allocation in combination with training and structured service management methodology and tools.)

Current PC:PC Support Ratio Recommended PC:PC Support Ratio

Current Server:Server Support Ratio

Recommended Server:Server

Support Ratio

275:1225:1

250:1

200:1

126:1

300:1

275:1225:1

250:1

200:1

249:1

300:1

40:130:1

25:1

92:1

45:1

40:130:1

25:1

44:1

45:1


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3b. Develop a transition plan. To inform the District’s transition to PTI’s recommended IMSD organization and IT staff allocation, PTI recommends that SCVWD develop an IT transition plan that details an implementation/adoption schedule, interim governance and reporting relationships, training needs, succession planning, and change management requirements.

Revising IT labor allocation helps the District achieve best practices for IT support, and provides the best return on investment for SCVWD’s IT operations.

4. Maintain the District’s current level of IT operations staffing; augment with contractors to support ISMP and capital project needs as needed.

PTI estimates the need for between five and nine full-time equivalent staff within IMSD to support the ongoing maintenance of technologies implemented resulting from this master planning effort. PTI also estimates that reorganizing, training, and implementing structured service methodologies and tools will yield the equivalent of five FTEs of labor effort that can be repurposed to meet these operational support needs. Additionally, because many of the ISMP projects (e.g., PeopleSoft, Maximo, fuel management, document management, case management) upgrade or replace existing applications, IT labor currently employed to support existing applications can transition to the support of upgraded or replacement software systems. As a result, PTI recommends maintaining the District’s current level of IT operations staffing.

It is anticipated that implementation efforts will peak in fiscal year 2016, requiring up to 10 IT FTEs. Because of this it may be necessary to augment IMSD staff with contractors to successfully execute this ISMP.

Ensuring adequate staffing contributes to capital project success and helps ensure IMSD is able to properly support the District’s IT infrastructure, custom and packaged applications, and business unit staff long-term.

IT Service Management The following recommendations address IT service management at the District.

5. Adopt ITIL to guide IMSD service management.

In interviews and focus groups with the consultants, business unit customers repeatedly mentioned an ad-hoc approach to IT service at the District. PTI’s IT staffing analysis supported this feedback by showing a large number of staff who perform activities in more than one IT discipline (e.g., customer services and technical infrastructure

In interviews and focus groups with the consultants, business unit customers repeatedly mentioned an ad-hoc approach to IT service at the District.


5 services). In addition, IMSD does not have a formal IT service catalog that clearly defines what IT services IMSD provides or attendant service levels.

By training IT staff in ITIL, the District has already taken steps toward adopting a formal IT service management approach. Now that some IT staff have a basic understanding of the principles behind ITIL, the District can focus on implementing ITIL’s major components – defined methodologies for service desk, incident management, problem management, change management and release management.

Adopting ITIL will also pave the way for conducting more informative evaluations of IMSD’s performance. For instance, ITIL strongly advocates the implementation of service level agreements (SLAs) and operational level agreements (OLAs). IMSD must regularly track and report on the service levels specified in those agreements, which can range from mean time between failures (MTBF) to explicit response times for varying levels of service needs (e.g., tier 1 vs. tier 2), to overall customer satisfaction – and many more.

Implementing ITIL instills a best practices-based approach for managing the District’s IT environment, and establishes a platform for successful IT operations.

6. Develop an IT service catalog, then evaluate IT service sourcing alternatives for future needs

A key component of adopting ITIL is the establishment of a service catalog. This catalog specifies the types of services – and associated service levels – that IMSD offers to the District’s business units. This structure also enables IMSD to charge for some – or all – of its services, and let business units decide whether or not to purchase support from IMSD.

With a service catalog, the District can more easily evaluate using internal or outsourced services to meet IT needs. Outsourcing may make sense for some areas (e.g., desktop support), and not others (e.g., SCADA support) – but the District will have a difficult time making an informed decision between the two without a service catalog and defined evaluation criteria (e.g., annual cost, service levels, security, required skill sets, business unit staff preference).

While the District adopts ITIL and develops a service catalog, all IT services should remain in-house. Transitioning to external service provision requires a stable and well-defined IT environment, which the District does not currently possess. Once the IT environment at SCVWD stabilizes and a clearly defined service catalog is in place, the District can begin assessing the viability of sourcing alternatives for IT services.

Delaying the assessment of IT service sourcing alternatives enables the District to stabilize its IT environment, then solicit more reliable – and lower cost – bids from third


5 party IT services vendors. Outsourcing some IT support functions can potentially reduce operating expenses related to IT service provision.

IT Staff Skills Development

The District will rely heavily on IT staff to provide the necessary skills and abilities to implement the projects in this information systems master plan – and to support the technologies once implemented. The following recommendations address IT staff skills development at SCVWD

7. Develop a training plan for current IT staff.

Although PTI’s analysis identified a number of IT skill gaps among district IT personnel, SCVWD must assess the District’s current IT staff skill levels in more depth.

A survey that inventories existing IT skills, paired with a succession plan, should inform this assessment. Once SCVWD has a more detailed understanding of skill levels and current/future gaps, it can design a plan for enhancing and/or adding required IT skills. It must also consider loss of knowledge due to retirement.

PTI recommends the District develop a training plan that includes:

♦ Required IT skills at SCVWD ♦ Current and projected IT staff proficiency in each skill ♦ Current and future IT skill gaps ♦ Prioritization of training needs ♦ Identification of IT training opportunities and costs ♦ Specific recommendations/plans for sending IT personnel to training courses

Ensuring IT staff possess modern IT skills is critically important to all SCVWD operations. IMSD should update this training plan on an annual basis to account for past training participation, new hires, and retiring staff.

A training plan establishes a method, timeline and cost for elevating IT skill levels among existing IT staff, and ensures IT staff maintain modern IT skills.

8. Establish an IT training budget for IMSD staff.

PTI recommends the District institute an IT training budget to help IMSD further develop their IT skills and abilities – specifically those skills required to support the implementation of this information systems master plan.

Due in part to a lack of training resulting from budget cuts over the last decade, both IT and business unit staff indicated that IT skills at the District are mostly aging or outdated.


5 An IT training budget minimizes staff personal expenditures to maintain or enhance their IT skills, enhances cross-training capabilities, and encourages IT staff to develop additional skill sets.

9. Require employees to possess and maintain technical certifications linked to the position’s necessary skills and abilities.

Attaining professional IT certifications can be a long and involved process, but the certifications ultimately provide employees and the District as a whole with improved technical understanding and ability. The following lists some of the more common IT certifications that District IT personnel should work toward:

Security

♦ CompTIA Security+ ♦ Cisco CCNA Security (associate level) ♦ Cisco CCNP Security (professional level) ♦ Cisco CCSP (professional level)

Networking

♦ CompTIA Network+ ♦ Cisco CCNA ♦ Cisco CCNP

Desktop support

♦ CompTIA A+ ♦ Microsoft Certified Systems Administrator (MCSA)

Microsoft-related certifications

♦ Microsoft Certified Systems Administrator (MCSA) ♦ Microsoft Certified Database Administrator (MCDBA) ♦ Microsoft Certified Professional Developer (MCPD) ♦ Microsoft Certified IT Professional (MCITP)


5 Application area certifications22

♦ Document management – CompTIA CDIA+ ♦ Voice over IP/unified communications – Cisco CCNP Voice ♦ Certified business analyst professional (CBAP)

Skill and certification requirements encourage staff to maintain current IT skill levels and certifications. They also help ensure IT staff conduct business operations according to current best practices and accepted standards.

10. Encourage staff participation in professional IT association memberships (e.g., ISACA, AITP, NPA).

PTI recommends that the District actively encourage its IT employees to join professional IT associations that focus on educating and certifying IT staff. Combined with the District’s funding of IT training budgets and IT certification requirement, IT staff members taking part in these associations are much more likely to maintain current skills and be informed about current and future IT issues. The District can encourage participation multiple ways, including management expectations or subsidizing membership fees.

Professional membership exposes members to current research and education, collaboration and certification opportunities surrounding information technology. It also helps members enhance their professional development, and provides guidance on current technology trends (e.g., cloud computing, mobile device adoption).

IT Decision Making

IT decision-making structures and processes are fundamental to effective information technology because they direct how an organization plans for, allocates, and manages its information technology resources. To ensure IT decision making effectively guides the realization of this information systems master plan, the consultants developed IT decision making-related recommendations in the following categories:

♦ IT decision making processes ♦ IT decision making tools ♦ IT decision making roles and responsibilities ♦ Information systems master plan stewardship

22 There are very few generic application area certifications. Most software product vendors offer training and certification programs to customers. The District should leverage these programs to certify staff in the specific systems it deploys.


5 IT Decision Making Processes

Today, two key procedure documents guide the District’s validation and planning processes for both IT and non-IT projects:

♦ Capital Project Validation Process (AMF-DTW-Q03) ♦ Capital Improvement Program Planning (Q710D01)

PTI reviewed these documents and offers the following related recommendations.

1. Proceed with implementing the asset management framework to support investment decisions regarding existing assets, including IT assets.

PTI recommends proceeding with the implementation of the AM Framework to inventory, assess, determine life cycle costs of, set target levels of service for, and fund the operations and capital renewal of existing assets.

The asset management (AM) framework provides a proven, best practice approach to maintaining the reliability and minimizing the life cycle costs of existing assets, including IT assets.

2. Establish governance for district-wide IT decision making.

While the AM Framework can be an effective mechanism for managing existing IT assets, it is not within the scope or authority of the Asset Management Governance Committee to guide investment decisions for new technologies, nor to establish long-term technology direction or set district-wide IT policies. PTI recommends the District establish a sub-committee of the Executive Leadership Team to govern district-wide information technology investments and decisions. Create guiding principles for decision making that focus on:

To effectively prioritize IT projects for budget approval, supporting evaluation and prioritization tools must consider the unique characteristics, risks, and potential benefits of software system and IT infrastructure investments compared to other capital project.


5 ♦ Strategic alignment with business objectives ♦ Value delivery ♦ Cost-effective resource management ♦ Risk management ♦ Transparent performance measurement23

Also charter this new sub-committee to track progress made on this master plan against district-wide IT performance targets and industry benchmarks (see recommendation #10 below), and regularly communicate progress to stakeholders.

Structured governance for district-wide IT ensures: IT is aligned with and enables the business; IT delivers demonstrable value; IT resources are used cost-effectively; and related risks are appropriately mitigated.

3. Include a review by the Chief Information Officer of business cases and proposals with information technology impacts.

PTI recommends including a review by the Information Management Officer of all business cases and proposals with information technology impacts during the validation and planning processes.

Including an IT review of proposed capital projects ensures compliance with IT standards and policies, reduces redundant, siloed IT-related investments, leverages existing system software and IT infrastructure and/or takes advantage of economies of scale in purchasing, and ensures adequate IT resources for implementation support and ongoing maintenance.

IT Decision Making Tools

The following tools support the District’s capital project validation process today:

♦ Project identification form ♦ Confidence level rating (CLR) instructions and workbook ♦ Business risk exposure (BRE) reduction instructions and workbook ♦ Life-cycle cost (LCC) analysis instructions and workbook ♦ Cost-benefit worksheet ♦ Project business case template (category 1 and category 2)

23 These recommended guiding principles are based on the five focus areas of IT governance as put forth by the IT Governance Institute in its Control Objectives for IT (CobiT).


5 Additionally, the following tools support the capital planning process:

♦ New capital project request form ♦ CIP project prioritization worksheet

PTI does not recommend introducing new tools into the capital project validation and planning processes. However, to effectively prioritize IT projects for budget approval, supporting evaluation and prioritization tools must consider the unique characteristics, risks, and potential benefits of software system and IT infrastructure investments compared to other capital projects. The following details PTI’s recommendations to refine the District’s existing decision making tools accordingly.

4. Refine the business risk exposure reduction analysis tools to better accommodate software systems and IT infrastructure projects.

For the assessment phase of this planning project, the consultants worked with the District to adjust the existing BRE tools to more effectively measure the business risk exposure of IT-related assets, based on best practices and their collective industry expertise. Building on the success of applying these new criteria during this IT planning effort, PTI recommends adopting the probability of failure (PoF) definitions for software systems and IT infrastructure presented on the following page.

Each PoF assessment category – architecture, effectiveness and efficiency, data and content management, and capacity – would be assigned a PoF rating from 1 to 5. Total overall PoF would equal the highest rated assessment category. Business risk exposure would then be calculated by multiplying the PoF by the consequence of failure (CoF), as it is today.

The existing BRE tools are designed to evaluate physical infrastructure and water assets. Unlike for traditional infrastructure, the probability of failure of software systems and IT infrastructure is more accurately calculated based on system architecture, effectiveness and efficiency, data and content management, and capacity rather than years to failure and redundancy.


5

Recommended IT Probability of Failure (PoF) Assessment Criteria 1 2 3 4 5

Probability of Failure None Minimal Moderate Moderately High Very High

Architecturea. Applicaton and system software and hardware currencyb. Application securityc. Reliabilityd. Supportability (operational administration and technical support)

Architecture is optimized for current and future reliablity. System architecture is modern, adaptable, and optimized for current and future reliablity and security. Architecture is aligned with industry best practices and district standards.

Architecture is optimized for current reliability and likely can achieve future requirements without modification. System architecture is modern, adaptable, and optimized for current reliablity and security. Architecture is aligned with district standards.

Architecture is reliable, but will require modification to meet future requirements. System architecture is current and provides appropriate reliability and security. Architecture is aligned with most district standards.

Architecture has some reliability concerns. System architecture is aging and requires high levels of maintenance. Significant reliability and security concerns exist. Architecture is aligned with some district standards.

Architecture is near end-of-life or obsolete; significant reliability concerns exist. System has exceeded its useful life and recovery is questionable. Architecture is aligned with few or no district standards.

Effectiveness and Efficiencya. Functionality (ability to meet business needs and support best practices without significant paper processes and/or workarounds)b. Ease of usec. Integrationd. Level of implementation

Effectively meets current and future business needs. System functionality effectively supports current business processes and incorporates best practices. System easily adaptable to changing business practices. No manual processes and/or workarounds are required. Extremely intuitive and easy to use. Integrated with core applications. Implemented with full functionality.

Effectively meets current business needs and likely achieve future needs without modification. System functionality effectively supports current business processes and incorporates best practices. System adaptable to changing business practices, but may require technical intervention. Few if any manual processes and/or workarounds are required.

Meets current business needs, but will require modification to meet future requirements. System functionality effectively supports current business processes. System requires technical intervention to adapt to changing business practices. A moderate number of manual processes and/or workarounds are required. Relatively easy to use. Integrated with core

Meets current business needs only inefficiently and ineffectively. System requires some manual work and/or system workarounds to complete business processes. System cannot adapt to changing business practices. Cumbersome to use and integrated with only a limited number of core applications.

Does not meet current business needs. System requires significant manual work and/or system workarounds to complete business processes. System cannot adapt to changing business practices. Difficult to use and/or fully implemented. Not integrated with core applications.

Data and Content Management (LOS)a. Qualityb. Integrityc. Structured. Accessibilitye. Searchabilityf. Reporting and ad hoc query capabilitiesg. Absence of unplanned data duplication/redundancy

Meets current and future data and content management requirements. Excellent data quality and integrity. System provides easy data and content search, access, and flexible reporting capabilities. No unplanned data duplication/redundancy.

Meets current data and content management requirements and likely can achieve future requirements without modification. Acceptable data quality and integrity. Content is accessible, searchable, and reportable. Minimal data duplication/redundancy exists.

Meets current data and content management requirements and with some modifications, future requirements. System provides acceptable quality, integrity, accessibility, searchability, and reportability, but modifications are needed to sustain the same level in the future. A moderate level of data duplication/redundancy exists.

Current data and content management requirements are in jeopardy of not being achieved and future requirements cannot be achieved without major modifications. Data is not managed with quality or integrity. Content is not easily accessibile, searchable, or reportable. Significant data duplication/redundance exists in multiple point solutions.

Does not meet current data and content management requirements. Data quality and integrity is compromised. Content is not searchable or accessible, and is not easily reportable using standard reporting tools. Significant data exists in multiple point solutions to augment system deficiencies.

Capacitya. Scalabilityb. Throughput (response or speed, concurrent access, number of transactions)c. Extensibilityd. Storagee. Performance

Meets current and future capacity needs within planning horizon. System can easily add new users, manage increased volumes or be extended. Sufficient storage is available to meet current and future requirements, and performance is not impacted by volume of stored data.

Meets current capacity needs and likely can achieve future needs without modification. System meets current capacity requirements under all intended operating conditions.

Meets current capacity requirements, but is on the margin. System marginally meets current capacity requirements, but not future requirements without modification. System not easily scaled or extended, and throughput, performance, and/or storage could be optimized.

Does not meet current peak requirements. System occasionally fails to deliver peak demand capacity and performance. System is not scalable or extensible. There is not sufficient throughput or storage available to meet requirements.

Does not meet current requirements. System regularly fails to deliver normal demand capacity and performance.


5

5. Refine the cost-benefit worksheet to include unique assessment category definitions for software systems and IT infrastructure.

PTI recommends adopting the cost-benefit assessment category definitions for software systems and IT infrastructure on the following page, aligned with the recommended CIP prioritization criteria (see #6).

Aligning cost-benefit assessment and CIP prioritization criteria with best practice evaluation factors for system software and IT infrastructure provides a consistent framework for evaluating and prioritizing IT investments.


5

Recommended IT Cost-Benefit Assessment Criteria

Category Range

Option 1 Rating

Option 2 Rating

Option 3 Rating Weight

Option 1 Score

Option 2 Score

Option 3 Score Notes

None = 0

Med = 5

High = 10

None = 0

Med = 5

High = 10

None = 0

Med = 5

High = 10

None = 0

Med = (-5)

High = (-10)

None = 0

Med = 5

High = 10

None = 0

Med = 5

High = 10

None = 0

Med = 5

High = 10

None = 0

Med = 5

High = 10

None = 0

Med = (-5)

High = (-10)

None = 0

Med = 5

High = 10

None = 0

Med = 5

High = 10

< 25% = 0

26-50% = 5

> 50% = 10

0 0 0

Social

Enhanced service delivery

4 0 0 0

Does the project help ensure a reliable, clean water supply, provide natural flood protection, or protect or enhance watersheds and natural resources?

Improved workplace or public safety

0

Does this project help eliminate or mininmize disruption to the community?

Does this project support workplace or public safety?

Reduction in potential or actual disruption to the community

2 0 0

4 0 0 0

0

Is the project highly controversial with the public or with other agencies? Do customers object to the project?

Economic

Funding availability

Political cost or negative impact to District customer relationships (cost)

2 0 0

0 0 0

Does this project contiribute positively to the District's reputation?

Total (Qualitative Value)

Fiscal stewardship

1Is external funding available for this project?

2 0 0 0

Does this project help eliminate or minimize potential financial loss (e.g., non-compliance fines)?

Environmental

Reduction in duration of ecological and/or environmental damage

3 0

3 0 0 0

Potential to eliminate/minimize financial loss

0 0

Does this project help eliminate or reduce the potential duration of ecological and/or environmental damage?

Improved energy efficiency Does this project improve energy efficiency?

Increased reduce/reuse/recycle efforts

2 0

2 0 0 0

0 0

Does this project facilitate reduce/reuse/recycle efforts?

Enhanced regulatory compliance

0 0

Are there impacts to hydrology, geology, natural resources, fisheries, vegetation, wildlife, agriculture, land use, air quality, etc indefinitely?

Does this project support regulatory compliance?

Long-term environmental impacts (cost)

3 0

3 0 0 0


5 6. Refine the category 1 and 2 business case templates to include an IT impact

assessment.

PTI recommends expanding the “Project Cost and Qualitative Cost-Benefit Analysis” section of the category 1 business case template and the “Options Analysis” appendix of the category 2 business case template to include the following for each option assessed:

♦ Required IT support for capital efforts (expressed in FTEs) ♦ Required IT implementation skills and abilities ♦ Required IT annual support (expressed in FTEs) ♦ Required IT maintenance and operations skills and abilities ♦ Compliance with technical standards

In addition, ensure IT labor costs are included in construction and annual cost estimates.

Including an IT impact assessment in the business case enables IMSD to better plan and prepare for capital implementation efforts and to more effectively support long-term operations.

7. Revise the CIP priority criteria for information technology projects.

PTI recommends adopting the following priority ranking criteria for software systems and IT infrastructure.


5

Recommended Information Technology Projects Priority Ranking Criteria

To operationalize these new prioritization criteria, the District will need to identify “mission critical software systems and/or IT infrastructure.” This designation should be maintained in the asset registry.

Evaluating IT projects based on their unique characteristics, risks, and potential benefits ensures they are fairly prioritized with competing capital projects.

CIP PRIORITY CRITERIA INFORMATION TECHNOLOGY PROJECTS

Priority Ranking Criteria

PRIORITY SCORE = 0 SCORE = 0

PRIMARY OBJECTIVE (40%)

A. Project maintains existing or implements new mission critical software systems and/or IT infrastructure to improve reliability for business continuity. (100%)

B. Project enhances existing or implements new mission critical software systems and/or IT infrastructure to improve user functionality and/or productivity. (80%)

C. Project enhances existing or implements new mission critical software systems and/or IT infrastructure to meet projected future needs. (75%)

D. Project replaces end-of-life software systems and/or IT infrastructure. (80%)

SOCIAL FACTORS (25%) Enhances service delivery (40%)

Supports workplace and public safety (40%)

Eliminates/minimizes disruption to the community (20%)

ENVIRONMENTAL FACTORS (20%) Eliminates/reduces duration of ecological and/or environmental damage

(30%)

Improves energy efficiency (20%)

Facilitates reduce/reuse/recycle efforts (20%)

Supports regulatory compliance (30%)

ECONOMIC FACTORS (15%) Eliminates/minimizes financial loss (30%)

Supports fiscal stewardship (reputation) (10%)

Life cycle costs (40%)

Funding availability (20%)


5 IT Decision Making Roles and Responsibilities

The Capital Project Validation Process procedure document (AMF-DTW-Q03) defines specific responsibilities for the following roles in the project validation process:

♦ Project initiators ♦ Asset owners ♦ Project proponents ♦ Validation lead ♦ Validation team ♦ Capital project manager ♦ Capital project owner ♦ CIP coordinator

Capital Improvement Program Planning (procedure document Q710D01) defines responsibilities for the following roles in the capital project planning process:

♦ Capital program services (CPS) deputy officers (DO) ♦ Chief executive officer (CEO) ♦ Chief officer (COO) ♦ CIP committee ♦ CIP coordinator ♦ CPS deputy operating officer (DOO) ♦ Finance ♦ Project initiator ♦ Project owner

The following outlines PTI’s associated recommendations.

8. Designate project costing mentors to support the capital project validation and planning processes.

PTI recommends designating project costing mentors within Financial Planning and Management Services to support the life cycle cost (LCC) analysis, confidence level rating (CLR) assignment, and business case development for capital projects.

In-house project costing mentors provide project initiators, proponents, managers, owners, and other stakeholders with expert resources to help evaluate the life cycle costs of capital project proposals.


5 9. Formalize IMSD’s and Financial Planning and Management Services’ membership

and role on the capital project validation team.

The existing capital validation process already suggests including representatives from information technology and administration as subject matter experts (SME) on the validation team. For all capital projects, PTI recommends making this membership required for Financial Planning and Management Services’ costing mentors (see #7 above) to support the LCC analysis and CLR assignment. For IT-related capital projects or projects with an IT impact, PTI also recommend making this membership required for IMSD’s new Program Management Unit to review compliance with IT standards and policies and conduct a detailed impact assessment.

PTI does not recommend any additional revisions to existing roles and responsibilities in the capital project validation or planning processes.

The role of IT has moved beyond the back office, as information technology now permeates every aspect of the District’s business. This trend will only continue, as technology becomes more integrated with work processes and more and more devices require IP addresses (e.g., HVAC controls, card entry systems).

IT and financial experts on the validation team contribute to more accurate and comprehensive impact assessment and life cycle cost analysis – enabling the District to more effectively prioritize projects and project future funding and resource requirements.

Information Systems Master Plan Stewardship

System software and IT infrastructure projects represent significant investments for the District, and can be effectively validated and prioritized together with other capital projects using existing governance processes. However, the District will need to make many other IT-related decisions on an ongoing basis, including how to ensure the successful implementation of this information systems master plan.

PTI’s associated recommendations follow.

10. Adopt quantitative performance measures and associated targets for district-wide information technology.

PTI recommends the District baseline the following IT performance measures and adopt the related performance targets – aligned with its IT goals, and informed by PTI’s database of public sector benchmarks and industry best practices.


5

Recommended Performance Measures and Targets

IT Goal Performance Measure Target

1. IT governance aligns investments with business objectives through a streamlined, accountable process.

• % of high priority capital IT projects funded and implemented

>80%

• % IT operational budget as percentage of total operational budget

4.5% - 6.5%

• IT operational spending per connected workstation

$8,000 - $12,000

2. Information technology facilitates efficient and transparent customer service.

• % external customers “satisfied” or “very satisfied” with key customer service metrics, e.g.,: - Website ease of use - Availability and quality of information online - Ability to conduct transactions online - ADA compliance - Mobile access

>80%

3. Information technology supports the District’s ability to recover from business interruption in a coordinated, planned fashion.

• Disaster recovery plan reviewed and tested Annually

4. Information technology tools improve workforce efficiency.

• % internal customers “satisfied” or “very satisfied” with key customer service metrics, e.g., application or tool: - Ease of use - Easy to learn - Ability to support business processes - Easy access to data and

information/reporting - Reliability - Integration

Year 1: >70% Year 2: >75% Year 3: >80% Year 4: >85% Year 5: >90%

• Business process cycle times for key work processes

% reduction from baseline

• Business process cost for key work processes % reduction from baseline


5 IT Goal Performance Measure Target

5. Information technology resources enable the District’s asset management program.

• % assets inventoried in asset registry Year 1: >70% Year 2: >75% Year 3: >80% Year 4: >85% Year 5: >90%

• Total asset life (in years) for key assets % increase over baseline

• Asset life-cycle cost for key assets % reduction from baseline

• Business risk exposure for key assets % BRE reduction

6. IT service is proactive, customer oriented, and professionally managed.

• % internal customers “satisfied” or “very satisfied” with key customer service metrics, e.g.,: - IMSD is a trusted advisor - IMSD understands my business processes

and associated technology needs - IT problems are resolved in a timely manner - IT problems are resolved to my satisfaction - The status of IT problems and requests is

well communicated - Quality of IT services - Availability of IT services - Overall satisfaction

Year 1: >70% Year 2: >75% Year 3: >80% Year 4: >85% Year 5: >90%

Measuring performance against IT goals and industry benchmarks helps ensure the District makes steady progress on the IT Master Plan and leverages technology aligned with best practices.

11. Regularly update and refresh the information systems master plan.

PTI recommends the District revisit the ISMP annually to update the schedule, sequence, and priority of projects as needed to reflect changes in business needs, new projects, and available resources. PTI also recommends refreshing the ISMP every five years to refine the IT vision, mission, goals, and strategies. These activities should be guided by the Executive Leadership Team IT subcommittee, and coordinated by the IMSD Program Management unit. Keeping the ISMP current maintains executive leadership engagement in district technology direction and ensures IT efforts align with the District’s strategic plan, operational plans, and capital and operating budgets.



Chapter 6 Implementation Project Descriptions


6 PTI worked closely with the District’s project management team in a series of workshops to translate the consultants’ recommendations from the previous chapter into specific implementation projects. This chapter presents descriptions and cost estimates for each of these projects, organized as follows.

♦ Project list ♦ Project costing methodology ♦ Application projects ♦ Technical infrastructure projects ♦ IT service delivery projects ♦ IT decision making projects

Project List This chapter presents implementation projects organized around the four IT focus areas of PTI’s assessment methodology. Click the hyperlinked projects below to navigate to detailed project descriptions.

Implementation Project and IT Goal Alignment

Implementation Project

Applications

(A1) Enhance customer self-service and CRM capabilities

(A2) Enhance water use efficiency rebate program database

(A3) Implement cross platform methods for emergency and other customer communications

(A4) Upgrade/extend PeopleSoft

(A5) Implement enterprise content management

(A6) Implement business intelligence for performance management

(A7) Implement district-wide intranet portal

(A8) Create a unified asset registry



(A11) Implement a future funding analysis application

Estimates do not include the costs of maintaining current systems during the implementation period, or the potential cost savings of retiring old and/or redundant systems.


6 Implementation Project

(A12) Implement GIS-enabled mobile work order management

(A13) Implement enterprise case management

(A14) Implement fee and easement

(A15) Implement a water supply planning transactional database

(A16) Implement an ecological monitoring information management system

(A17) Deploy the in-house developed mobile solution for asset inventory and condition assessment

(A18) Replace fuel management system

(A19) Implement data and information architecture standards and policies

IT Infrastructure

(TI1) Implement scheduled PC replacement

(TI2) Improve current disaster recovery plans to better link to the District's overall continuity of operations plan

(TI3) Implement remote disaster recovery capabilities aligned with the updated disaster recovery plan

(TI4) Implement wireless for all major district locations

IT Service Delivery

(SD1) Realign district IT organizational structure

(SD2) Implement a structured IT service methodology

(SD3) Implement a structured system development life cycle methodology

(SD4) Select preferred long-term application development platform(s)

(SD5) Adopt targeted training plans for IT staff

(SD6) Adopt an IT succession plan

IT Decision Making

(DM1) Refine IT governance structures, processes, and tools

(DM2) Develop a GIS master plan

(DM3) Implement mobile communication and computing strategy and policies


6 Project Costing Methodology

The consultants developed low- and high-end cost estimates for both one-time implementation costs as well as annual recurring costs, including inflation. One-time costs included internal implementation labor, initial software license, hardware and hardware warrantee, procurement assistance, project management, implementation services, quality assurance, supplemental training, and miscellaneous consulting where appropriate. Recurring costs included internal support labor, software and hardware maintenance, and contract services where appropriate.


Cost Assumptions All estimates were based on best available market research data as of March 2012; SCVWD’s relevant experience; the consultants’ industry knowledge and experience with similar implementations; as well as the following cost and labor assumptions.

Software Assumptions

♦ Annual inflation for software is 3%

♦ Software license costs do not include vendor discounts

♦ Software maintenance fees begin immediately upon contract signing at the start of implementation

♦ Annual software maintenance fees range between 20% to 25% of total license cost, based on industry standards and vendor-provided data

Hardware Assumptions

♦ Annual inflation for hardware is 3%

♦ Hardware replacement costs are budgeted annually at 20% of original purchase price, unless otherwise noted.

Services Assumptions

♦ Annual inflation for professional services is 3%

♦ Implementation services include configuration, data migration, interface development, testing, training, and vendor project management and are estimated at $185/hour

♦ Other professional services are estimated at the following hourly rates:


6 - Procurement assistance - $150 - Project management - $185 - Quality assurance - $150 - Training - $125.00 - Miscellaneous consulting/contract services - $100

Labor Assumptions

♦ Annual inflation for internal labor costs is 3%

♦ Costs are applied to internal IMSD labor at the fully-burdened average hourly rate of $90

♦ IMSD implementation (one-time) labor includes security design, support for data conversion and interface development, technical and performance testing, and management of the development, test, and production environments

♦ IMSD operations and maintenance (annual recurring) labor includes limited application support, server and database administration, security administration, and testing of patches and upgrades.

♦ Costs are applied to internal business unit labor at the fully-burdened average hourly rate of $79

♦ Business unit subject matter expert implementation (one-time) labor requirements validation, configuration review, functional testing, training, and limited business process reengineering

♦ Business unit SME operations and maintenance (annual recurring) labor includes application configuration, new business rule and workflow set up, and table maintenance

Alternatives Analysis PTI and Spatial Wave worked closely with the District’s project management team in a series of workshops to identify 10 prospective projects that – based on their significant business risk exposure, complexity, and/or potential cost – required alternative analyses and detailed project plans. For each of these, the consultants assessed the business risk exposure (BRE) of two to four alternatives based on probability of failure (PoF) – considering effectiveness and efficiency, data and content management, application architecture, and capacity. Building upon this analysis, the consultants also assessed the consequence of failure (CoF) – considering potential impacts to service delivery, workplace and public safety, the community, the environment, and the District’s reputation as well as any potential financial impacts. Additionally, they analyzed the lifecycle costs (LCC) of each alternative using the District’s standard LCC tools to estimate capital, operating, and maintenance costs. The District then selected a preferred alternative based on a combination of greatest business risk exposure reduction and lowest cost.

The associated descriptions in this chapter related to these specific 10 projects summarize the lifecycle costs and business risk exposure reduction ratings associated with each, as well as the attendant alternatives analyzed.


6 Application Projects

(A1) Enhance Customer Self-Service and CRM Capabilities

Purpose

The purpose of this project is to improve external customers’ ability to access district information and services through SCVWD’s website and customer relationship management (CRM) application (i.e., Access Valley Water).

Description

In alignment with best practices, this project develops additional web pages and associated forms that enable external customers to easily access online information and services – without the need for physical interaction with SCVWD personnel. This includes developing mobile-specific web environments for smart phones and tablet computers, as well as payment processing capabilities for the District’s well water customers. This project also deploys additional Access Valley Water (AVW modules) for postal mail and interactive voice response (IVR) needs. Finally, it also conducts associated training to improve the District’s use of Access Valley Water for CRM purposes.

Scope and Objectives

The scope of this project includes a full review and enhancement of the District’s online information and services. It involves every business unit at the District that communicates directly with stakeholders/customers, or anyone with a vested interested in understanding external stakeholders’ concerns. It conducts brainstorming sessions with all business units that interact with customers and conducts a customer survey to further inform IMSD’s web development efforts.

The objectives of this project include:

♦ Increase the availability of customer-desired data/information on the District’s website (e.g., stream level data) as appropriate and in alignment with best practices

♦ Implement online payment capabilities ♦ Deliver additional training to software users for fully leveraging Access Valley Water’s capabilities

♦ Integrate Access Valley Water with SCVWD’s other operational systems (e.g., CMMS, IVR, GIS) as appropriate

Associated ISMP Goal


Associated ISMP Strategy

2A. Enhance customer self service capabilities


6 Rationale and Options Analysis

Customer self-service has become the norm for conducting business in both the public and private sectors. The wide availability of Internet access, combined with the proliferation of mobile devices has created an environment where most district customers and stakeholders can easily access information themselves – and expect to be able to do so. The District lags peers, nearby local governments, and the private sector in its self-service capabilities. In addition, the District does not effectively track its interactions with customers. This impairs SCVWD’s ability to analyze customer needs, desires, and complaints. The latter data can inform decisions surrounding customer communication, media relations, and investment in business initiatives. Accordingly, the District needs to enhance both its self-service and customer relationship management capabilities.

Because the District has technologies in place that are capable of supporting these efforts, no options analysis was performed.

Expected Benefits

Anticipated benefits include:

♦ Enhanced customer self service

♦ More informed customers

♦ Reduced time and costs associated with responding to stakeholder inquiries/requests

♦ Improved ability to gather and report on data associated with customer interactions (e.g., location, types of issues)

Cost Detail

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 520 1,040 47,000$ 95,000$ -$ -$

Business Unit SME 208 312 17,000$ 25,000$ -$ -$ IMSD 312 728 30,000$ 70,000$ -$ -$

Professional Services Labor (Total) 100 820 20,000$ 150,000$ -$ -$ Procurement 300 -$ 48,000$ Implementation 100 520 20,000$ 102,000$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware -$ -$ -$ -$ Software -$ 31,827$ -$ 7,000$

Total Costs 67,000$ 276,827$ -$ 7,000$

*Excludes contingency.

One-time* First-year Annual Recurring*

HoursCosts CostsHours


6 Low-end Cost Assumptions

♦ IMSD and business units collaborate to decide what information and services to provide via SCVWD’s website

♦ The District utilizes professional consulting services to configure the software and deliver training to the District’s AVW users

High-end Cost Assumptions

♦ The District utilizes professional consulting services to augment internal effort in designing and developing informative, interactive web experiences for customers

♦ SCVWD utilizes professional consulting services to configure the software and deliver training to the District’s AVW users

♦ The District leverages procurement assistance to solicit bids for professional consulting services

♦ Software costs reflect additional modules for integrating postal mailings and interactive voice response

Required Skills Sets

Project implementation will require the following skills, knowledge, and/or abilities:

♦ Customer service

♦ Web development

♦ Communication

♦ Project management

♦ Vendor contract management

Key Considerations, Assumptions, and Dependencies

Access Valley Water is an externally-focused CRM application – it should not be used for internal case management or for technology service desk operations (both of which can be automated with specialized, commercially available automation). Although this project improves the District’s use of AVW, it also calls for a significant amount of web development effort to deliver more helpful services and meaningful information.


6 Associated Findings

This project responds to the following assessment findings:

Applications

♦ Opportunities exist for improving customer relationship management (e.g., communication tracking).

Risks of Doing Nothing

Should the District not implement this project, it risks:

♦ Missed opportunities to enhance interaction with stakeholders

♦ More complicated business processes to identify and analyze stakeholder issues and common communication themes/trends

Alignment with Intended ISMP Outcomes

Reduced Redundancy Reduced Complexity Improved Integration


6 (A2) Enhance the Water Use Efficiency Rebate Program Database As the previous chapter indicated, this project is in-progress and approximately 20% complete as of January 2012. For this reason, it is incorporated within this information systems master plan – although the development of a description and cost estimates was not included within the scope of this planning effort.








6 (A3) Implement Cross Platform Methods for Emergency and Other Customer Communications

Purpose

The purpose of this project is to enhance customer communications during emergencies and service outages.

Description

This project conducts a competitive procurement process for a new cross platform client communication system and associated implementation services. The system will serve a single point of management for mass client communications during emergencies and outages.


The scope of this project includes mass communications management functionality for both emergency and non-emergency events (e.g., boil water alerts, planned and unplanned outages, water use restrictions) for district staff, customers, and other impacted stakeholders. All major communications platforms will be accessible from the same system, including social media (e.g., Facebook, Twitter). Depending on the District’s needs, the system can integrate with the preexisting GIS and client databases to provide geographically initiated alerts and notices. In addition, the procurement can be expanded to implement other notifications and warnings. This project includes effort from those responsible for district communication as well as IMSD.


♦ Implement a mechanism for mass client communication during emergencies

♦ Leverage SCVWD’s existing GIS and client databases to automate client notifications and alerts

♦ Integrate multiple communications platforms, including social media.

Rationale and Options Analysis

Organizations that actively communicate with their stakeholders have a bevy of tools available to facilitate correspondence. Traditional communication methods (i.e., phone, physical mail, Web) can be augmented with electronic mediums, including email, text messaging and social media (e.g., Facebook, Twitter). Deploying unified messages simultaneously across each of these tools can be difficult as it requires staff to possess varied technical skills. In addition – and unlike more traditional tools – messaging via social media tends to be more successful with two-way communication rather than static






6 messaging. As stakeholders have come to expect consistent messaging in a variety of formats, issuing messages in an ad hoc manner across these systems contributes to confusion. Pursuing a unified solution, whether technical or physically staffed, is essential to successfully communicating with SCVWD’s stakeholders.

No options analysis was performed for this project.

Expected Benefits


♦ Increased public safety through timely notification of emergencies and potential risks

♦ Enhanced client service by providing timely, targeted communications

♦ Reduced volume of client inquiries and requests

♦ Reduced reliance on manual processes

Cost Detail

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 125 250 12,000$ 23,000$ 104 416 9,000$ 39,000$

Business Unit SME 21 42 2,000$ 3,000$ 104 312 9,000$ 28,000$ IMSD 104 208 10,000$ 20,000$ 0 104 -$ 11,000$

Professional Services Labor (Total) 100 525 20,000$ 96,000$ -$ -$ Procurement 275 -$ 45,000$ Implementation 100 250 20,000$ 51,000$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware -$ -$ -$ -$ Software 21,855$ 87,418$ 23,000$ 90,000$

Total Costs 53,855$ 206,418$ 32,000$ 129,000$





6

Low-end Cost Assumptions

♦ Software costs are based on a hosted solution ♦ Professional services are used for procurement

assistance only ♦ Functionality is limited to uploading client

contact files and message to the software service for distribution

♦ Service level agreement is a one-hour message delivery time

♦ Limited social media integration


♦ Software costs are based on a hosted solution ♦ Professional services are used for procurement

assistance and implementation ♦ Functionality includes integrated web services,

utility billing, and GIS ♦ Service level agreement is a 20 minute delivery

time ♦ Full social media integration



♦ IT project management

♦ IT system administration

♦ Database administration

♦ Extensive familiarity with related systems and databases (to facilitate data transfer and integration


♦ Integrated social media management is an emerging service in this arena.

♦ To maximize value from this project, the District should integrate the emergency communication solution with its GIS and CRM software.

♦ Software as a service offerings are pervasive throughout the emergency communication industry; SCVWD should consider hosted alternatives.

♦ PTI highly recommends contracting with a third-party procurement assistance services to ensure the District:

- Conducts a competitive procurement process with reduced risk of protest and/or delay - Negotiates favorable implementation and maintenance contract




Applications

♦ SCVWD lacks an effective cross-platform solution for emergency and other communications.



♦ Ineffective client service

♦ Continued reliance on error-prone manual processes

♦ High volume of customer service inquiries during an emergency or outage




6 (A4) Upgrade/Extend PeopleSoft

Purpose

The purpose of this project is to ensure that the District has a current and functionally robust enterprise resource planning (ERP) solution, incorporating finance/HR, timekeeping, planning and budgeting, and procurement functionality.

Description

This project resumes payment of PeopleSoft maintenance, installs the current version, extends associated functionality to incorporate additional modules, makes a concerted effort to eliminate shadow and ancillary systems used to augment ERP functionality, and reengineers business processes as part of the upgrade to ensure that the District takes full advantage of the software’s inherent capabilities. It includes making determinations regarding the suitability of PeopleSoft solutions for budgeting and planning as well as procurement.


The scope of this project encompasses financial management (e.g., general ledger, accounts payable/receivable, purchasing, payroll, asset accounting, project accounting and grant management), human resources management (e.g., position control, benefits administration, recruitment, self-service, learning management), time and labor management, planning and budgeting, and contract management/procurement functionality for all business units at the District. The scope includes upgrading the software, procuring new modules, and implementation services as well as entering into a long-term support contract. It also includes making determinations about using the PeopleSoft budgeting and planning and procurement modules as well as evaluating sourcing alternatives for operating the software, including potential cloud and other outsourced services options (e.g., managed services). This project requires effort from IMSD as well as all business units at the District.


♦ Fully automate the District’s financial and human resources management functions

♦ Automate and improve the accuracy of the District’s planning and budgeting process

♦ Automate the tracking and reporting of the District’s labor effort and employee leave

♦ Automatically apply SCVWD’s business rules to employee time records

♦ Implement work flow for time approval, purchasing, and contract management

♦ Improve the accuracy of the allocation of time to projects, work orders, and other district activities




4A. Address high priority business automation gaps


6 ♦ Integrate with SCVWD’s CMMS for asset and project accounting and, potentially, purchasing and

inventory management

♦ Decommission ancillary and shadow systems whose functionality can be subsumed by the ERP

♦ Obviate the need for third party budgeting and planning and procurement solutions

♦ Automate and improve the accuracy of the District’s contracting and contract management processes

♦ Leverage a modern, robust, supported and current solution

♦ Re-engineer related business processes, adhering to best practices

♦ Train users to sufficient competency in the software to ensure that its capabilities are effectively utilized


SCVWD currently uses PeopleSoft FMS 8.4 for financial management and PeopleSoft HR 8.3 for human resource management. This software was originally purchased in 2002 and neither have had a significant upgrade since. Additionally, the District’s uses a combination of third-party and custom-developed solutions to augment PeopleSoft’s planning and budgeting, timekeeping, and procurement functions. Many of these are out of date, not well integrated, and/or do not effectively automate business processes. Due to the business risk exposure of these systems and the level of investment required to improve automation, PTI performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. PTI considered the following four options:

1. Maintain PeopleSoft (Status Quo)

2. Replace PeopleSoft with a lower-tier, fully-integrated suite for finance and human resource management, timekeeping, budgeting, and procurement (Tier 2 Solution)

3. Implement a combination of best-of-breed applications to meet functional needs (Best-of-Breed Solution)

4. Upgrade PeopleSoft

Based predominately on the combination of low life cycle costs and the greatest ability to reduce the District’s business risk exposure, upgrading PeopleSoft (option 4) was selected as the preferred alternative (highlighted in yellow in the following tables). As the tables below indicate, upgrading PeopleSoft offers the most favorable reduction in business risk exposure for less investment than all other alternatives. It also offers the highest reduction in business risk exposure.


6

Lifecycle Cost Analysis

Business Risk Exposure Analysis

Expected Benefits


♦ More accurate financial tracking and reporting

♦ Better insight into key financial data with real-time information

♦ More streamlined benefits administration processes (e.g., open enrollment, changes and updates)

♦ More accurate tracking and reporting of employee time, leave balances, benefit accruals, etc.

♦ Accurate labor cost and effort data for projects, work orders, and other district activities

♦ Accurate, timely management information including project and work order cost data

♦ Enhanced employee and process efficiency via automated workflow

♦ More accurate contract management and administration

♦ More accurate planning and budgeting

♦ Improved ability to do cost allocation, budget by performance objective, and measure performance results

♦ Enhanced employee and process efficiency via automated workflow

10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction

BRE Reduction Unit Cost

1 Status Quo $6,598,800 $0 $5,948,800 $650,000 0 NA

2 Tier 2 Solution $14,664,136 $5,701,376 $7,304,960 $1,657,800 81 $15,456

3 Best-of-Breed $19,017,625 $8,532,616 $7,488,000 $2,997,009 54 $30,268

4 Upgrade PeopleSoft $9,056,010 $1,784,970 $5,948,800 $1,322,240 108 $7,111

Option

PoFA

PoFA

Justification BRE

Total Business Risk Reduction

(BREB - BREA)

1 Status Quo 5.0End of life architecture, cumbersome, inefficient, high failure risk with minimal or no recovery capability

135.00 0.00

2 Tier 2 Solution 2.0Current architecture, meets business needs, very low risk of failure, risk of implementation failure

54.00 81.00

3 Best-of-Breed Solution 3.0More complex architecture than single suite, meets business needs, extensive integration increases chance of failure

81.00 54.00

4 Upgrade PeopleSoft 1.0 Current architecture, meets business needs, very low risk of failure 27.00 108.00

Option


6 ♦ Secure data and information

♦ Greater compliance with regulatory requirements

♦ Improved foundation for business intelligence/decision support

♦ Reduced reliance on manual processes and institutional knowledge

♦ Reduced business risk exposure

Cost Detail

In contrast to PTI’s costing templates used to develop the following budget figures, the District’s LCC tool does not account for inflation and low-end/high-end cost estimation. Accordingly, the figures below do not match the lifecycle costs analysis presented earlier.

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 10,400 16,640 902,000$ 1,397,000$ 6,864 12,480 670,000$ 1,238,000$

Business Unit SME 6,240 10,400 513,000$ 813,000$ 2,080 2,080 185,000$ 185,000$ IMSD 4,160 6,240 389,000$ 584,000$ 4,784 10,400 485,000$ 1,053,000$

Professional Services Labor (Total) 4,560 10,900 863,000$ 2,004,000$ -$ -$ Procurement 400 500 62,000$ 78,000$ Implementation 4,160 8,320 801,000$ 1,601,000$ Project Management -$ -$ Quality Assurance 2,080 -$ 325,000$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 1,813,484$ 3,459,181$ 806,000$ 1,401,000$






♦ Software costs include back maintenance and associated penalties; no additional software licenses for new modules

♦ Assumes maintenance payments resume immediately

♦ Software costs do not include additional database licenses

♦ Implementation costs include training


♦ Software costs include back maintenance and higher penalties; no additional software licenses for new modules

♦ Assumes maintenance payments resume immediately


♦ Implementation includes more complex configuration and integration, requiring additional professional services and internal labor effort

♦ SCVWD leverages external assistance for quality assurance




♦ Extensive familiarity with SCVWD’s finance, human resources, planning and budgeting, procurement, and timekeeping processes

♦ Business process analysis and reengineering

♦ Procurement

♦ Contract negotiation

♦ Vendor management

♦ Change management

♦ Requirements definition




♦ Network administration



6 Key Considerations, Assumptions, and Dependencies

♦ The District should look first to the upgraded PeopleSoft solution to meet its planning and budgeting, timekeeping, and procurement requirements. Only if PeopleSoft cannot meet minimum requirements should the District consider interfaced third-party solutions.

♦ To maximize value from this project, the District must integrate the ERP with its asset management and business intelligence/decision support solutions.

♦ Long-term, the District should consider integration of the planning and budgeting solution with the future funding analysis application (project A11).

♦ PTI highly recommends contracting with a third-party procurement assistance for implementation services to ensure the District:

- Conducts a competitive procurement process with reduced risk of protest and/or delay - Negotiates favorable implementation services contracts

Associated Findings


Applications

♦ PeopleSoft is significantly out of date and does not meet functional needs.

♦ Work activities depend heavily on paper-based, manual processes and stand-alone, work unit automation solutions.

IT Decision Making

♦ Technology is not effectively leveraged in addressing business needs.



♦ Increased business risk exposure (e.g., unrecoverable crashes, ongoing functional deficiencies) ♦ Continued reliance on error-prone manual processes and institutional knowledge

♦ Increased risk of payroll errors and/or payroll delays ♦ Reduced staff productivity and delayed budgeting and contracting processes ♦ Impaired ability to accurately track labor costs associated with asset management and capital

projects ♦ Reduced insight into SCVWD’s financial environment

♦ Potential non-compliance with regulatory requirements


6 Alignment with Intended ISMP Outcomes



6 (A5) Implement Enterprise Content Management

Purpose

The purpose of this project is to migrate the District away from paper processes and forms – as well as myriad independent automated solutions – in favor of an enterprise content management system that provides for the automated storage, retrieval, archiving, and deletion of the District’s structured and unstructured data.

Description

This project procures and implements an enterprise content management solution to meet related requirements for the District.


The scope of this project encompasses electronic documents and files including engineering drawings, contracts, correspondence as well as video, photographs, audio files and other unstructured data. The scope also encompasses indexing and management physical records and facilitation of content management-related business processes such as document sharing, approval and notification workflows, email discovery, and collaboration support. It includes integration with many of the District’s operational systems, including Maximo, PeopleSoft, SCVWD’s customer relationship management system, and other business-specific applications as appropriate. It also makes selected documents available to the public via the District’s web site.

The new solution will replace many existing document management systems, including:

♦ Administrative Policy System

♦ CPRU

♦ CuadraSTAR

♦ DPMS

♦ Extensis Portfolio

♦ EDCat

♦ Photo Library

♦ QEMS

♦ Questys






6 ♦ RFPR Tracker

♦ STARLibrary

This project impacts all business units, most employees within the District, and the public for selected documents. SCVWD will also need to evaluate the impact of allowing selected temporary and contract employees of the District to access documents via the system. Software as a service and/or other sourcing alternatives should be included in the procurement process so that they can be evaluated against traditional licensing approaches.


♦ Procure and implement software that:

- Automates paper-based District business processes - Archives documents based on customizable retention rules - Augments other system workflows that rely – at some point – on paper - Facilitates document indexing, search and retrieval, collaboration, and versioning - Provides a long term records management solution for designated District records

♦ Integrate the system with SCVWD’s other core automation (e.g., PeopleSoft, Maximo, GIS) as appropriate

♦ Train software users to utilize the system’s functionality and best practices


There are at least 14 third-party and in-house custom developed systems that provide document management at the District. Some are aging and require additional capacity and significant ongoing maintenance. Additionally, the Records and Library unit, which manages fixed media formats (as opposed to live electronic documents), uses its own indexing as well as content management solution. Lack of an enterprise level content management policy (e.g., version control, retention) and supporting technologies has made it difficult to track district generated and used content and to respond efficiently and comprehensively to requests for information from both internal and external customers. PTI performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following three options:

1. Implement new enterprise content management system (New)

2. Extend functionality of a single existing document management system (Questys System)

3. Extend functionality of multiple existing document management systems (Integrated)

Implementing a new enterprise content management system (option 1) was selected as the preferred alternative (highlighted in yellow in the following tables). Alternative 2 was considered not viable since it had the least reduction in business risk exposure for similar unit cost to other options. Alternative 3 was


6 also deemed not viable since it had similar unit costs to Alternative 1 but would not be as effective in reducing the BRE.



Expected Benefits

Anticipated benefits include: ♦ Enhanced document creation and collaboration ♦ Easier access to critical records and information ♦ More efficient work processes ♦ Reliable document archival and retention that meets regulatory requirements ♦ Cost savings surrounding paper, printers, ink/toner and other related office supplies ♦ Improved transparency and public disclosure ♦ More predictable total life cycle costs ♦ Less negative environmental impact ♦ Reduced business risk exposure

Cost Detail


10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction


1 New $3,189,800 $1,480,400 $432,000 $1,277,400 100 $2,851

2 Questys System $1,381,120 $837,120 $432,000 $112,000 50 $2,523

3 Integrated $2,440,080 $1,004,080 $1,296,000 $140,000 75 $2,840

Option

PoFA

PoFA

Justification BRE


(BREB - BREA)

1 New 1.0Best reduction of POF due to system meeting the requirements and specifications

25.00 100.00

2 Questys System 3.0 Questys may not offer the complete solution even when extended 75.00 50.00

3 Integrated 2.0Multiple existing systems may be a good alternative to meet all of the requiremetns; still difficult to manage and maintain

50.00 75.00

Option


6


♦ SCVWD contracts with a third-party for business process mapping services

♦ SCVWD purchases 400 user licenses each for: - Desktop user access - Web access - Remote access - Content creation

♦ Hardware costs include the following: - Production and test servers for the

application, database and web platforms - Two enterprise scanners with image

processing software - A new SAN for storing electronic documents

♦ Business users participate in business process mapping sessions, as well as software configuration, testing and training activities



♦ SCVWD purchases the same number of licenses as the low-end assumption

♦ The District purchases the same servers, but with more robust hardware than the low end assumption

♦ The District purchases $50,000 of scanning services (enough for 1-1.5 million scanned pages at 3.5-5c per page)


Cost Category Low High Low High Low High Low HighInternal Labor (Total) 11,440 17,680 1,046,000$ 2,143,000$ 1,040 2,080 112,000$ 224,000$

Business Unit SME 8,320 12,480 733,000$ 1,621,000$ 0 0 -$ -$ IMSD 3,120 5,200 313,000$ 522,000$ 1,040 2,080 112,000$ 224,000$

Professional Services Labor (Total) 6,820 13,640 1,313,000$ 2,612,000$ -$ -$ Procurement 400 600 67,000$ 100,000$ Implementation 3,120 6,240 643,000$ 1,287,000$ Project Management 2,080 4,160 429,000$ 858,000$ Quality Assurance 520 1,040 87,000$ 174,000$ Training 300 500 42,000$ 70,000$ -$ -$ Miscellaneous Consulting 400 1,100 45,000$ 123,000$ -$ -$ Contract Services -$ -$

Hardware 76,491$ 109,273$ 11,000$ 23,000$ Software 435,539$ 725,899$ 90,000$ 172,000$

Total Costs 2,871,030$ 5,590,171$ 213,000$ 419,000$





6 Required Skills Sets


♦ Procurement








♦ Extensive familiarity with related systems and databases (to facilitate data transfer and integration)


♦ Ability to search and retrieve documents from GIS represents critical functionality.

♦ Defining business processes before the implementation will save time and facilitate identifying opportunities for improvement.

♦ The District should consider developing a plan addressing inventory and priority for physical documents to be managed in ECM.

♦ The District should begin the implementation in a small, but complex business area to demonstrate functionality and create an early win (e.g., contract administration).

♦ The District may want to consider establishing a central document scanning unit.

♦ This project should follow the PeopleSoft upgrade (project A4), and integrate with it for archiving records.

♦ Cloud/third-party hosting services are becoming increasingly cost effective for large software implementations; SCVWD should assess the viability of sourcing alternatives.

♦ PTI highly recommends contracting with a third-party procurement assistance services to ensure the District:

- Conducts a competitive procurement process with reduced risk of protest and/or delay - Negotiates favorable implementation and maintenance contracts




Applications

♦ The District lacks an enterprise approach to content management.


IT Decision Making




♦ Continued reliance on slow, paper-based, largely manual business processes and institutional knowledge

♦ Inability to quickly locate important content

♦ Potential liability associated with using the wrong version of critical documents or inability to locate required files or documents

♦ Inadequate enterprise organization/categorization of unstructured data

♦ Ongoing costs related to document production and handling (e.g., printers and ink/toner, scanners, paper, and serving public disclosure requests)




6 (A6) Implement Business Intelligence for Performance Management

Purpose

The purpose of this project is to implement a robust, flexible business intelligence solution to support real-time or near real-time performance management.

Description

This project expands the District’s business intelligence/performance management capabilities and integrates associated solution software with SCVWD’s core business automation, including PeopleSoft and Maximo.


The scope of this project includes all district data of interest to SCVWD decision makers. The scope includes procuring the software and implementation services as well as entering into a long-term support contract. Software as a service and/or other sourcing alternatives should be included in the procurement process so that they can be evaluated against traditional licensing approaches. This project impacts all decision makers and analysts at the District as well as IMSD.


♦ Select a long-term business intelligence platform

♦ Automate the District’s financial analysis, business analysis, and management reporting functions

♦ Deliver dashboard functionality to manager’s desktops, providing real-time decision support information

♦ Integrate with SCVWD’s ERP and CMMS for comprehensive analysis and reporting


♦ Enhance the District’s ability to gather, analyze and report on key operational information.


While the District currently utilizes Cognos BI for financial and human resource management business intelligence, deployment is limited and data from Maximo, SCADA systems, and other important business systems is not integrated with the business intelligence information. Very little data is available in summarized, time-series formats – structures that form the core of a successful business intelligence deployment, In addition, key performance metrics have not been converted into measures






6 accessible through a BI platform and desktop dashboards that monitor performance metrics have not been deployed.

Effective performance analytics are critical to good decision making. Successful organizations in both the private and public sectors have invested in the technology necessary to make data driven decisions. SCVWD lags in this regard, as the organization has not made the commitments necessary to easily gather, analyze, and report on key business operations and performance measures. This project addresses that shortfall.

Because the District has technologies in place that are capable of supporting these efforts, no options analysis was performed.

Expected Benefits


♦ More informed decision making

♦ Active monitoring of key performance indicators

♦ Proactive alerts delivered to manager’s desktops when performance tolerances are exceeded

♦ Ability to analyze and report on data from a variety of sources

♦ Mitigates the risk and effort associated with current business intelligence business processes

♦ Better insight into key financial data with real-time information

Cost Detail


Business Unit SME 2080 4160 188,000$ 332,000$ 0 0 -$ -$ IMSD 4160 6240 429,000$ 643,000$ 520 1040 56,000$ 112,000$

Professional Services Labor (Total) 5,600 9,100 1,160,000$ 1,881,000$ -$ -$ Procurement 300 500 50,000$ 83,000$ Implementation 4,000 6,000 845,000$ 1,268,000$ Project Management 1,040 2,080 220,000$ 441,000$ Quality Assurance 260 520 45,000$ 89,000$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware -$ 50,648$ -$ 10,000$ Software 135,061$ 413,624$ 28,000$ 98,000$

Total Costs 1,912,061$ 3,320,272$ 84,000$ 220,000$


One-time* First-Year Annual Recurring*




♦ Software costs reflect less configurable systems (e.g., tier 2 products)

♦ Hardware costs include servers for the following functions: - Application production - Database - Web

♦ Test/development


♦ Software costs reflect highly configurable systems (e.g., tier 1 products)

♦ Hardware costs reflect more expensive servers









♦ This project should follow the District’s PeopleSoft upgrade (project A4) to avoid redundant implementation services and associated costs

♦ Based on its integration with PeopleSoft, the District should evaluate Oracle’s Business Intelligence Enterprise Edition (OBIEE) for a long-term business intelligence solution; if OBIEE cannot meet long-term requirements, the District should expand its existing Cognos solution to meet these long-term needs

♦ To maximize value from this project, the District must integrate the business intelligence solution with PeopleSoft, Maximo and other core operational systems/data warehouses

♦ PTI highly recommends contracting with a third party procurement assistance services to ensure the District:

- Conducts a competitive procurement process with reduced risk of protest and/or delay - Negotiates favorable implementation and maintenance contracts




Applications

♦ It is difficult to gather, analyze, and report on key business operations and performance information.


IT Decision Making




♦ Lack of meaningful insight into district operations and related data

♦ Continues reliance on error-prone manual processes and institutional knowledge for data retrieval, merging and analysis

♦ Ongoing risk of getting different answers to the same question (i.e., unreliable information)




6 (A7) Implement a District-wide Intranet Portal

Purpose

The purpose of this project is to provide a functionally robust intranet portal to facilitate internal collaboration, communication, and system access.

Description

This project conducts a competitive procurement process for a Microsoft SharePoint solution and associated implementation/development services. Once procured, this project develops an enterprise intranet portal, relying on the District’s information architecture standards and policies (project A19) to inform purpose, structure and design.


The scope of this project encompasses the development of an enterprise intranet portal, including information management (e.g., taxonomy, archiving) and collaboration functionality for all business units at the District. The portal offers key collaboration functionality such as document workflow and version control. The scope also includes procuring the software and implementation services as well as contracting third-party services for portal design and functionality. This project also includes evaluating sourcing alternatives for operating the software, including potential cloud options (e.g., Microsoft Office 365). This project impacts all of the District’s employees.


♦ Fully design and implement an intranet portal for:

- Intra-district communication – aligned with both SCVWD’s organization structure as well as project and ad-hoc workgroups

- Document creation and revision (integrated with the enterprise content management system procured in project 4A.2)

- Knowledge recording and transfer

- Integration with SCVWD applications, in alignment with best practices

- Single sign on for user applications






4B. Enhance collaboration capabilities



A variety of platforms exist that enable organizations to develop intranets with these capabilities. PTI performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following three options:

1. Microsoft SharePoint

2. Oracle Portal

3. Open source platform

Microsoft SharePoint (option 1) was selected as the preferred alternative (highlighted in yellow in the following tables). Purchase and development expenditures represent the primary cost drivers in this analysis. Although open source platforms are free to acquire, they require more effort to develop and integrate with other applications. Oracle’s Portal product is very expensive to purchase. Microsoft SharePoint is fairly inexpensive to license (and SCVWD may already own the necessary licenses) – meaning the majority of its costs stem from ongoing support effort and hardware maintenance. Since the District does not have an existing solution, PTI could not calculate a business risk exposure reduction. However, the following tables present the LCC and PoF analyses of alternatives.



*Note that Oracle charges software maintenance fees for its product, reflected in the Total Maintenance column above. Microsoft SharePoint and open source platforms do not charge software maintenance; the table reflects hardware maintenance costs.

10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction


1 MicroSoft SharePoint $2,411,651 $591,851 $1,684,800 $135,000 NA NA

2 Oracle Portal $6,103,826 $1,712,051 $1,684,800 $2,706,975 NA NA

3 Open Source Platform $2,629,911 $810,111 $1,684,800 $135,000 NA NA

Option

PoFA

PoFA

Justification BRE


(BREB - BREA)

1 MicroSoft SharePoint 1.0Modern architecture, proven implementations, robust data management and capacity

NA NA

2 Oracle Portal 2.0More complex architecture than SharePoint, unclear product direction, robust data management and capacity

NA NA

3 Open Source Platform 3.0Modern architecture, higher implementation and maintenance risk, unclear product direction

NA NA

Option


6 Expected Benefits


♦ Enhanced employee and process efficiency via structured collaboration sites and automated document workflow

♦ Accurate, timely management of information, including project and team data

♦ Reduced reliance on manual processes and institutional knowledge

♦ Improved foundation for team collaboration and support


Cost Detail


Cost Category Low High Low High Low High Low HighInternal Labor (Total) 3,016 4,368 279,000$ 403,000$ 2,080 2,080 211,000$ 211,000$

Business Unit SME 728 1,040 58,000$ 82,000$ 0 0 -$ -$ IMSD 2,288 3,328 221,000$ 321,000$ 2,080 2,080 211,000$ 211,000$

Professional Services Labor (Total) 700 1,680 139,000$ 330,000$ -$ -$ Procurement -$ -$ Implementation 700 1,120 139,000$ 222,000$ Project Management 480 -$ 95,000$ Quality Assurance 80 -$ 13,000$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 633,352$ 983,280$ 254,000$ 259,000$






♦ Software costs reflect 1,000 SharePoint client access licenses (CALs)

♦ Software costs do not include additional server/database licenses

♦ Hardware costs reflect upgraded SAN capacity and two new servers for the following functions: - Production - Test/development

♦ One-time internal effort is dedicated to procurement, project management, implementation, business process analysis, site development, and training

♦ Recurring internal effort is apportioned to training and site administrative functions


♦ Software costs reflect 1,100 SharePoint CALs ♦ The District contracts for professional training

services, utilizing a train-the-trainer approach ♦ The District utilizes professional consulting

services to assist in business process analysis and site design


♦ One-time internal effort is dedicated to developing a more functionally robust site, training, and requisite technical configuration

♦ Recurring internal effort is apportioned to training, site administration, and technical maintenance









♦ Security administration



To maximize value from this project, the District must integrate its performance management solution with PeopleSoft, Maximo, timekeeping, and other core administration and operational systems




Applications

♦ SCVWD’s intranet is aging and ineffective.



♦ Continued reliance on inefficient, largely – or exclusively – manual operations for some business processes

♦ Unnecessary costs related to redundant creation, storage and use of critical forms and documents

♦ Ongoing dependence on institutional knowledge

♦ Redundant and error-prone data entry between systems




6 (A8) Create a Unified Asset Registry

Purpose

The purpose of this project is to implement a comprehensive solution for tracking all district assets.

Description

This project establishes a single source of information on asset location, condition, maintenance history, etc. It eliminates redundant, conflicting data surrounding assets and serves as the foundation for a comprehensive district wide asset management program. This project creates and populates data into a unified asset registry will be the official source of asset data to implement the District’s asset management program. This is step one of the 10-step best practice asset management process as illustrated below.

Best Practice Asset Management 10-step Process




5A. Utilize Maximo as the District’s core asset management solution


6 Scope and Objectives

The scope of this project includes the development of a unified asset registry using Maximo and GIS. Maximo will be the asset registry for all assets including the following:

♦ Watershed

♦ Utility

♦ Properties (parcels, easements)

♦ Fleet

♦ Facilities and Structures

♦ Equipment

♦ IT Assets

GIS will be the source for the linear/horizontal assets and will provide the environment to manage and maintain these assets. ActiveG software will be used to synchronize GIS (linear/horizontal assets). This project impacts all asset owners as well as IMSD.

The primary objectives of this project include:

♦ Develop a single repository of all district assets

♦ Provide an API (Maximo API) to integrate related asset data with other applications

♦ Establish a sound technical platform upon which a comprehensive asset management program can be built


Creation of a unified asset registry is the first, foundational step in implementing a comprehensive asset management program. Spatial Wave performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following three options:

1. Utilize Maximo as the asset registry (Maximo)

2. Custom develop an independent asset registry (Custom Development)

3. Implement a third-party COTS solution (COTS Solution)

Using Maximo (option 1) was selected as the preferred alternative (highlighted in yellow in the following tables). As the lifecycle cost analysis table below indicates, this option offers the lowest-cost reduction of business risk exposure and leverages an existing solution (Maximo).


6



Expected Benefits


♦ Improved asset management practices, lower life cycle costs for assets, and fewer service interruptions due to asset failure

♦ Easier tracking of maintenance and work management-related activities against assets

♦ Simplified integration of asset management-related financial data, including total asset lifecycle cost

♦ More uniform application of the existing and planned asset management tools to all assets

♦ Improved ability to plan future capital projects for asset replacement and/or refurbishment

10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction


1 Maximo $515,280 $214,480 $280,800 $20,000 69 $649

2 Custom Development $880,632 $394,472 $476,160 $10,000 92 $845

3 COTS Solution $789,480 $298,680 $280,800 $210,000 92 $746

Option

PoFPoF

Justification BRE


(BREB - BREA)

1 Maximo 2.0Reduces complexity and redundancy and improves integration; may not full meet desired functionality

46.00 69.00

2 Custom Development 1.0Introduces unecessary complexity, redundancy, and integration challenges; difficult to maintain and enhance

23.00 92.00

3 COTS Solution 1.0Introduces unecessary complexity, redundancy, and integration challenges

23.00 92.00

Option


6 Cost Detail



♦ Initial planning study with a limited scope ♦ Availability of good quality data resulting in a

two year implementation project


♦ Initial planning study with a comprehensive scope

♦ Lack of availability of good data resulting in a longer implementation and requiring additional resources



♦ Knowledge of information management principles and asset management business practices

♦ Knowledge of the District’s assets

♦ Knowledge of Maximo administration and setup

♦ Knowledge of GIS and ActiveG software


The District is actively working to create an asset registry in Maximo. This project brings that work to completion. The following table identifies specific assets needed to complete the registry.

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 640 1,240 55,000$ 105,000$ 360 680 33,000$ 61,000$

Business Unit SME 320 620 26,000$ 48,000$ 240 480 21,000$ 41,000$ IMSD 320 620 29,000$ 57,000$ 120 200 12,000$ 20,000$

Professional Services Labor (Total) 1,200 2,395 143,000$ 285,000$ -$ -$ Procurement -$ -$ Implementation 160 320 30,000$ 60,000$ Project Management 80 155 15,000$ 29,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 960 1,920 98,000$ 196,000$ -$ -$ Contract Services -$ -$


Total Costs 208,200$ 405,300$ 35,000$ 64,000$





6

Asset Registry Status

Assets (Hierarchy Level) Status

Level 1 Level 2 Level 3 In Maximo?

Water Utility Source of Supply Dams and reservoirs Yes

Imported water facilities Yes

Recycled water facilities No

Production well meters Yes via WRIS

Groundwater monitoring wells No

Raw Water Transmission & Distribution

Pipelines Yes

Pump stations Yes

Water supply management systems No

Power generation facilities No

SCADA network No

Water Treatment Water treatment plans Yes

Laboratory facilities No

SCADA network No

Treated Water Transmission & Distribution

Pipelines Yes

Pump stations Yes

Wells (extraction & injection) Yes

SCADA network No

Maintenance Parts & Materials Inventory

All No

Misc. Real Estate All No

Watersheds West Valley Watershed Individual creek watersheds In progress

Lower Peninsula Watershed Individual creek watersheds In progress

Guadalupe Watershed Individual creek watersheds In progress

Coyote Watershed Individual creek watersheds In progress

Pajaro Watershed Individual creek watersheds In progress

Field Ops Parts & Materials Inventory

All No

Misc. Real Estate All No Administration Facilities Buildings and grounds No

Maintenance parts and material inventory No

Equipment Equipment Yes


6 Assets (Hierarchy Level) Status

Level 1 Level 2 Level 3 In Maximo?

O&M parts and material inventory No

Fleet Yes

Information Technology Information systems No

Inventory No

Misc. Real Estate All No

Associated Findings


Applications

♦ The District is not fully leveraging its investment in Maximo.

♦ The District maintains many redundant asset management solutions (e.g., document management, work request management).



♦ Ineffective asset management resulting in asset failure and related consequences

♦ Inability to make informed decisions with respect to the asset repair or replacement resulting in added asset life cycle costs

♦ Compromised data quality and data inconsistencies related to assets

♦ Inability to consistently apply asset management tools across all asset types

♦ Continued reliance on inaccurate data and inefficient processes due to lack of knowledge of assets that are owned by the District




6 (A9) Enhance Maximo for District-wide Asset and Work Management

Purpose

The purpose of this project is to establish a robust, fully integrated, district-wide asset and work management solution.

Description

This project establishes Maximo as the asset and work management solution for the District and addresses functionality gaps in the existing implementation of Maximo.


The scope of this project includes the implementation of the Maximo recommendations made by Facility Management Engineering (FME) in its 2009 report to the District. It makes enhancements to improve Maximo’s performance and usability, and implements IBM’s Tivoli for integrated IT service management.

This project integrates Maximo with PeopleSoft as well as the District’s selected enterprise content management system (project A5), and fuel management system (project A18). It also includes enhancement of Maximo to integrate with the District’s SCADA system. This integration is proposed to allow for creation of work orders that are based on runtime hours, meter readings, and alarms linked to assets. This functionality can trigger generation of preventive or corrective maintenance work orders. This project impacts all Maximo users as well as IMSD.

The objectives of the project include:

♦ Implement FME’s original recommendations for Maximo

♦ Implement IBM’s Tivoli for IT service requests and case management and interface with Maximo for asset work order management

♦ Enhance Maximo integration with other core systems (e.g., PeopleSoft, ECMS, fuel management, SCADA)

♦ Improve Maximo’s performance and usability







Spatial Wave performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following three options:

1. Implement Maximo enhancements as recommended (Maximo)

2. Adopt a tier-2 GIS-enabled replacement CMMS (e.g., CityWorks) (Tier 2)

3. Custom develop a replacement CMMS (Custom Development)

Enhancing Maximo as recommended (option 1) was selected as the preferred alternative (highlighted in yellow in the following tables). As the lifecycle cost analysis table below indicates, this option provides the highest BRE reduction at the lowest unit cost.



Expected Benefits


♦ Focused SCVWD resources on a single system for managing assets and work orders

♦ An integrated and functional system to provide for more efficient decisions

♦ Improved performance and usability of Maximo

♦ Elimination of redundant, ancillary asset management applications


10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction

BRE Reduction Unit

Cost

1 Maximo $3,222,200 $295,800 $1,874,400 $1,052,000 52 $5,140

2 Tier 2 $2,647,470 $1,019,320 $1,218,150 $410,000 26 $8,668

3 Custom Development $2,573,400 $1,517,000 $1,046,400 $10,000 26 $8,993

Option

PoFPoF

Justification BRE


(BREB - BREA)

1 Maximo 2.0Effectively addresses existing functionality gaps and performance issues

52.00 26.00

2 Tier 2 1.0Reduces business risk exposure, but introduces uneccessary redundancy and integration issue; may not meet functional requirements

26.00 52.00


26.00 52.00

Option


6 Cost Detail



♦ Additional Maximo license costs are included in specific project plans that replace existing systems or implementing new system with Maximo, e.g., Implementation of Maximo for Transportation

♦ Implementation services include $375,000 to upgrade to the current version of Maximo

♦ Software costs include Tivoli licenses for 4 users at $5,117 per user

♦ Hardware replacement costs not included ♦ Recurring software cost is based on $100k/year

maintenance which reflects 20% of the license cost for Maximo


♦ Additional Maximo license costs are included in specific project plans that replace existing systems or implementing new system with Maximo, e.g., Implementation of Maximo for Transportation



♦ Hardware replacement costs not included ♦ Recurring software cost is based on $100k/year

maintenance which reflects 20% of the license cost for Maximo

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 1,120 1,640 104,000$ 147,000$ 420 520 43,000$ 53,000$

Business Unit SME 320 640 27,000$ 51,000$ 0 0 -$ -$ IMSD 800 1,000 77,000$ 96,000$ 420 520 43,000$ 53,000$

Professional Services Labor (Total) 4,387 5,097 687,000$ 783,000$ -$ -$ Procurement -$ -$ Implementation 2,187 2,347 433,000$ 465,000$ Project Management 200 250 40,000$ 50,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 2,000 2,500 214,000$ 268,000$ -$ -$ Contract Services -$ -$

Hardware 21,000$ 42,000$ -$ -$ Software 22,000$ 43,000$ 114,000$ 120,000$

Total Costs 834,000$ 1,015,000$ 157,000$ 173,000$ *Excludes contingency.

One-time* First-year Annual Recurring*HoursCosts CostsHours




♦ Knowledge of the District’s asset management program







♦ Extensive familiarity with related systems and databases (to facilitate data transfer and integration) Asset Management


Maximo implementation, improvements, and maintenance should be considered as part of a program which comprises a number of related projects, including:

1. Implement FME’s original recommendations for Maximo

2. Improve Maximo’s performance and usability

3. Implement IBM’s Tivoli for IT service management

4. Enhance Maximo’s integration with other core systems (PeopleSoft, timekeeping, enterprise content management, future funding analysis, fuel management, Access Valley Water, and SCADA)

5. Create a unified asset registry (project A8)

6. Implement Maximo for Transportation for fleet management (project A10)

7. Implement GIS-enabled mobile work order management (project A12)

8. Implement enterprise case management (project A13)

The District should develop a formal application lifecycle for the maintenance, upgrade, and training of Maximo.

Associated Findings



6 Applications


♦ The District maintains many redundant asset management solutions (e.g., document management, work request management).



♦ Higher costs for maintaining district assets

♦ Workaround solutions which bypass Maximo and introduce inefficiencies

♦ Higher BRE resulting in reduced quality, service delivery, workplace and public safety




6 (A10) Implement Maximo for Transportation for Fleet Management

Purpose

The purpose of this project is to reduce the life cycle costs of fleet vehicles and more effectively meet regulatory transportation reporting requirements.

Description

This project implements a fleet asset management system using the Maximo industry solution for transportation (Maximo for Transportation). It also better supports the District’s ability to meet its fleet management-related regulatory reporting requirements.


The scope of this project includes:

♦ Tracking of industry codes

♦ Fuel and meter integration

♦ Labor certifications

♦ Maintenance alerts

♦ Meter history and warranty recovery

This project impacts the District’s fleet managers and IMSD.


♦ Implement IBM Maximo's Maximo for Transportation

♦ Integrate Maximo with PeopleSoft

♦ Configure Maximo to meet regulatory reporting requirements for fleet management


This District currently has multiple asset management solutions, employing multiple technical platforms and databases. This project implements a fleet management solution aligned with the District’s broader asset management framework and tools. Spatial Wave performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following three options:






6 1. Maintain current “as-is” operations (Status Quo)

2. Implement IBM’s Maximo for Transportation (Maximo)

3. Implement best-of-breed, commercial-off-the-shelf (COTS) solution (Best-of-Breed)

Due predominately to lifecycle cost, alignment with the District’s asset management software direction (Maximo), and ability to reduce existing business risk, implementing Maximo for Transportation (option 2) was selected as the preferred alternative (highlighted in yellow in the following tables).



Expected Benefits


♦ Improved ability to manage fleet assets in Maximo, including tracking of industry codes, fuel and meter integration, labor certifications, maintenance alerts, meter history and warranty recovery

♦ More accurate fleet asset data

♦ Enhanced ability to meet regulatory reporting requirements

♦ More uniform application of asset management tools, including for fleet

♦ Simplification of the District’s application portfolio

10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction


1 Status Quo $24,600 $0 $21,600 $3,000 0 NA

2 Maximo $237,040 $147,880 $62,160 $2,700 57 $379

3 Best-of-Breed $813,000 $490,800 $43,200 $279,000 76 $980

Option

PoFPoF

Justification BRE


(BREB - BREA)

1 Status Quo 5.0 Does not reduce business risk exposure 95.00 0.00

2 Maximo 2.0Addresses all architecture concerns; still may not fully meet all desired functionality

38.00 57.00

3 Best-of-Breed 1.0Addresses all functionality requirements by introduces additional technical complexity and interation challenges

19.00 76.00

Option


6 Cost Detail



♦ Software costs reflect 10 Maximo Transportation module licenses

♦ Implementation costs assume that the existing fleet data can be easily transferred into the Maximo for Transportation module


♦ Software costs reflect 15 Maximo Transportation module licenses

♦ Implementation costs assume additional data gathering and processing to transfer the existing fleet data into Maximo for Transportation module






♦ Fleet management

♦ Asset management



Professional Services Labor (Total) 628 993 111,000$ 175,000$ 40 80 5,000$ 9,000$ Procurement -$ -$ Implementation 360 600 73,000$ 121,000$ Project Management 88 113 18,000$ 23,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 180 280 20,000$ 31,000$ -$ -$ Contract Services 40 80 5,000$ 9,000$

Hardware -$ -$ 1,000$ 1,000$ Software 53,045$ 74,263$ 11,000$ 15,000$

Total Costs 222,045$ 325,263$ 21,000$ 33,000$






It is assumed that Maximo for Transportation meets the regulatory reporting of the District. This assumption should be validated.

Maximo-PeopleSoft integration requirements should include fleet asset-related data.

This project should consider the fuel management system replacement (project A18) and the existing integration with Maximo. Replacement of the fuel management system will require development of a new interface for capturing the fuel data into Maximo.

Associated Findings


Applications




♦ Inability to meet regulatory reporting requirements for fleet management

♦ Liability associated with potentially operating poorly maintained or unsafe vehicles

♦ Inconsistent and inaccurate depreciation and financial tracking of fleet assets




6 (A11) Implement a Future Funding Analysis Application

Purpose

The purpose of this project is to assist future funding analysis of asset management (AM) related projects, allowing for the projection and analysis of capital funding needs related to maintaining District assets.

Description

This project implements a future funding analysis application to support the development of funding strategies for the District’s assets. Future funding analysis and strategic planning is step 9 of the 10 step best practice asset management process as illustrated below.





5B. Replace and upgrade applications to provide critical AM functionality not supported by Maximo


6 This step addresses questions related to long-term funding strategy and investment requirements as well as the short-term asset budget considerations in the Capital Improvement Program (CIP). This application focuses on AM investments and will be used in the AM planning processes at the District.


The scope of this project is to implement a commercial-off-the-shelf (COTS) solution for conducting future funding analysis. It focuses on adopting the GHD solution (TEAMPlan3), which was previously piloted at the District. It impacts all staff involved in:

♦ Asset management operations and maintenance workload planning and budgeting

♦ Capital budgeting

♦ Rate setting

♦ Project funding processes


♦ Replace obsolete solutions that were previously used by the Water Utility Enterprise

♦ Adopt a common tool for analyzing all asset management-related investments for the District


This application replaces the Infrastructure Capital Asset Management Toolkit (ICAM) long-term funding forecast model, which was previously used for Water Utility Enterprise. ICAM is based on an obsolete technology which is not easily supportable. Spatial Wave performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following three options:

1. Adopt GHD’s TEAMPlan3

2. Custom develop in-house

3. Adopt RIVA Modeling Solution

Adopting GHD’s TEAMPlan3 (option 1) was selected as the preferred alternative (highlighted in yellow in the following tables). As the lifecycle cost analysis (LCC) table below indicates, this option offers a comparable reduction in business risk exposure as option 3, but at a substantially lower cost than both other options.


6



Expected Benefits


♦ Ability to analyze different asset management investment planning alternatives to identify the best long-term financial strategy

10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction


1 TEAMPlan3 $382,200 $185,800 $86,400 $110,000 84 $409

2 Custom Development $697,320 $497,720 $189,600 $10,000 84 $772

3 RIVA Modeling Solution $799,080 $381,080 $108,000 $310,000 112 $639

Option

PoFPoF

Justification BRE


(BREB - BREA)

1 TEAMPlan3 1.0Offers a comparable BRE reduction to option 3, and also minimizes project risk as it already has been piloted at the District

28.00 112.00


56.00 84.00

3 RIVA Modeling Solution 1.0Offers a comparable BRE reduction to option 1, but has not been tested at the District

28.00 112.00

Option


6 Cost Detail



♦ GHD has provided a license to the District based on the pilot study of TEAMPlan3; if this license can be used then the one-time cost of this option can be reduced by $50,000

♦ Hardware replacement costs not included

♦ Data from ICAM can be used for this system without an extensive data quality assurance process




♦ Extensive data quality assurance is required prior to loading the ICAM data into this system






♦ Financial planning


Business Unit SME 200 400 17,000$ 32,000$ 0 0 -$ -$ IMSD 0 0 -$ -$ 100 200 10,000$ 20,000$

Professional Services Labor (Total) 1,100 1,700 219,000$ 339,000$ -$ -$ Procurement -$ -$ Implementation 1,100 1,700 219,000$ 339,000$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware 5,305$ 10,609$ -$ -$ Software -$ -$ 55,000$ 55,000$

Total Costs 241,305$ 381,609$ 65,000$ 75,000$






The District goal is to adopt a vendor-supported COTS solution; as such, District and PTI team met with GHD and confirmed that an hosted (i.e., software as a Service - SaaS) option for accessing TeamPlan3 is viable and supported by GHD. TeamPlan3 system will require integration with Maximo for obtaining asset related information; integration requirements are described in the TeamPlan3 Pilot Report dated November 2010.

TeamPlan3 may also require integration with the upgraded PeopleSoft application (project the selected ERP solution (tactic 4A.1) and planning and budgeting solution (tactic A4) depending on the capabilities of the ERP and the Maximo to ERP integration implementation.

Associated Findings


Applications

♦ Key ancillary systems are near end-of-life.



♦ Fragmented future funding applications and inability to conduct a comprehensive future funding analysis

♦ Sub-optimal funding decisions

♦ Increased business risk exposure for the asset management program




6 (A12) Implement GIS-Enabled Mobile Work Order Management

Purpose

The purpose of this project is to empower SCVWD staff to process work orders in the field via map-based access to district assets.

Description

This project procures and implements a GIS-enabled mobile work order system and extends the use of Maximo into the field. It supports mobile generation and processing of work orders in an online or offline mode. This project, together with current district efforts surrounding asset inventory and condition assessment, supports a comprehensive GIS program to identify, capture attributes, and manage linear assets at the District.


The scope of this project encompasses the procurement, setup and implementation of a commercial off-the-shelf (COTS) solution for GIS-enabled mobile work order management solution, outlined as follows. It impacts all field workers who access Maximo and IMSD.

CMMS Generated Work Orders This capability allows for processing a work order in the field that is generated in the office using Maximo. The work performed in the field is synchronized with Maximo when a connection is established and the system goes online. CMMS generated work orders may have one or more assets (or locations) attached to the work order. The assets included in the work order will be present in the GIS map displayed on the mobile unit.

Field Generated Work Orders This capability allows for creation of a work order in the field and uploading the work order into Maximo. Work orders may be completed in the field or may be created as a request to conduct additional work. Field generated work orders may have one or more assets (or locations) attached to the work order. The assets included in the work order will be selected from the GIS map displayed on the mobile unit.

The objectives of the project include:

♦ Implement field access to Maximo work orders – both in online and offline mode (for locations with weak internet signal)

♦ Allow field access to job plans, asset histories, and inventory information






6 ♦ Provide the ability to create work orders in the field to capture additional work that needs to be

performed (e.g., repair and construction-related activities)

♦ Provide the ability to capture and relate information such as photos in the field to a specified work order

♦ Allow for the use of GIS in conjunction with Maximo in the field, enabling the use of GPS to automatically zoom into and view assets at a location where work will be conducted


Seamless use of Maximo in the field, in both connected and disconnected mode, will increase the efficiency and productivity of district field workers. It will also reduce paperwork and non-productive activity. Adding GIS to this capability will allow the field workers to effectively inventory, assess, issue work orders, and perform work to maintain the District’s watershed and utility assets. Accessing Maximo work orders in the field via a disconnected mode increases District security by not using a real-time connection to Maximo. Spatial Wave performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following two options:

1. Custom develop a GIS-enabled mobile work order solution (Custom Development)

2. Adopt a COTS GIS-enabled mobile work order solution (COTS Solution)

Existing COTS solutions that did not include GIS capability were not included in the alternative analysis.

Adopting a commercial-off-the-shelf (COTS) GIS-enabled mobile work order solution (option 2) was selected as the preferred alternative (highlighted in yellow in the following tables). As the table below indicates, this option offers a higher BRE reduction than custom development.


10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction


1 Custom Development $1,228,000 $602,000 $576,000 $50,000 26 $4,232

2 COTS Solution $1,584,880 $606,880 $528,000 $450,000 52 $2,685

Option


6


Expected Benefits


♦ Increased field worker productivity

♦ Easy access by both utility and watershed field workers to Maximo work orders

♦ Ability to record work and attach relevant documents to a work order in the field

♦ Ability to work on and complete the Maximo work orders from field locations that do not have wireless connectivity

♦ More accurate location of district assets (via the use GIS and GPS)

Cost Detail


PoFPoF

Justification BRE


(BREB - BREA)

1 Custom Development 2.0 26.00

2 COTS Solution 1.0 52.00

Option

Introduces uneccessary complexity and integration challeges; requires more resources to maintain and manage and has a higher probability of becoming obsolete

Provides more support options and upgrade paths



Professional Services Labor (Total) 453 1,730 90,000$ 345,000$ 50 200 6,000$ 23,000$ Procurement -$ -$ Implementation 350 1,440 70,000$ 287,000$ Project Management 103 290 20,000$ 58,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ 50 200 6,000$ 23,000$ Contract Services -$ -$


Total Costs 181,436$ 884,142$ 33,000$ 164,000$






♦ Limited scope of implementation at the pilot level

♦ Five mobile units included in the pilot project ♦ Hardware replacement costs not included


♦ Full scale mobile implementation ♦ Forty mobile units included in the project




♦ Procurement











♦ GIS experience


Key dependencies include:

♦ Coordination with enhancing Maximo (project A9)

♦ Establishment of a unified asset registry in Maximo (project A8)

♦ Quality GIS data for both utility and watershed assets, synchronized with the Maximo asset registry

♦ Identification of “high-value” work processes that will benefit from a mobile work order system (“high-value” refers to improvements which will result in major resource savings, high return on investment, and/or reduce the District’s business risk exposure)


6 The following functionality should be considered when evaluating potential mobile work order solutions:

♦ Ability to display and interact with GIS features in both connected and disconnected mode

♦ Ability to view work orders generated in Maximo and to update the work order data as work is performed

♦ Ability to generate a work order in the field and transmit the work order to the office

♦ Ability to complete a work order in the field

♦ Ability to display documents related to an asset in the field

♦ Ability to identify corrections to the GIS assets in the field (This includes identification and reporting of missing assets as well as correction of the location of existing assets.)

♦ Ability to collect electronic signature and read bar/Q code

Associated Findings



♦ In the absence of a defined mobile communication and device strategy, the District takes an ad hoc approach to mobile computing



♦ Continued reliance on manual processes due to lack of electronic access to the Maximo work orders in the field

♦ Reduced field staff productivity and delayed work order processes

♦ Inability to collect detail data while processing a work order in the field




6 (A13) Implement Enterprise Case Management

Purpose

The purpose of this project is to streamline and improve the internal request process.

Description

This project replaces multiple standalone internal case management and service request systems that are currently used and supported by the District, including the following web-based online forms for request processing:

♦ Anonymous Ethics/EO Input and Complaint Form

♦ Board Member Scheduling Request Form

♦ Business Card Request Form

♦ Business Support Services Online Request Forms

♦ Clerk of the Board Online Research Request Form

♦ Copy Machine Service Requests

♦ Forms Design Services Online Request Form

♦ GIS Administration Request Form

♦ Graphic Services Online Request Form

♦ ISS Online Request Form to request support for Maximo, PeopleSoft, Oracle, Database Support, Web Site, and others

♦ Mail Center Services Online Request Form

♦ Lab Services Online Request Form

♦ Public Records Request

♦ Reprographic Services Online Request Form

♦ Request for Legal Services

♦ Request for Real Estate Service

♦ Water Wise House Call Request Form

♦ Word Processing Services Online Request Form






6 In addition, it replaces web-based case management and service request systems currently in use throughout the District:

♦ Intra-District Request for Field Services

♦ Mobile Lab & Irrigation and Nutrient Management Assistance Program Request Form

♦ Personnel Action Request System (PARS)

♦ Procurement-Track Purchase Request

♦ Request for Records/Subpoena Tracking System

Many of the above systems are applications developed using Oracle as the back-end database with ColdFusion as the front-end.


The scope of this project includes development of a solution for handling in-house service requests, with a focus on those requests that are form-centric and require custom form design. Note that the District currently uses Access Valley Water (Comcate) to handle watershed and external customer requests. Comcate currently does not have a custom form processing functionality and therefore is not a viable technical solution for this project.

The scope of this project comprises three components:

1. Handling Forms/Front-End – This will be done in SharePoint using InfoPath forms. InfoPath forms can be created and published in SharePoint without detailed programming knowledge. This is an ideal solution for web-based, online forms. If the request workflow requires detailed tracking and work management, then the form data will be uploaded as a work request/order into Maximo. If the workflow does not call for detailed work management, then form data can use one of the default actions, including emailing the form to the supervisor/individual handling the request.

2. Handling Back-End Process – This will be done using a custom-developed back-end agent (similar to the one developed for Access Valley Water) to upload selected from data as a work request/order into Maximo. The supervisor will then handle the work order manually or automatically, based on defined workflow rules.

3. Informing the Requester – This will be done using custom-developed reports and notifications generated against the InfoPath form and the Maximo work order.


6 This project impacts all service requesters and case managers at the District as well as IMSD. The objectives of this project include:

♦ Implement a comprehensive system that provides the following capabilities:

- Requester to be able to use simple and direct means to submit their request (e.g., forms, email, call), obtain feedback on status, and be able to access self-help and knowledge base information

- Supervisor to allow manual and rule based dispatching, optimize the resources involved in servicing the request, obtain reports on KPIs, financial, and resource usage. Supervisor will also be able to obtain customer feedback, collaborate with staff performing the work, review case history, review equipment history, and contribute to the knowledge base

- Staff performing the work will have the flexibility to work with the system, collaborate with the requestor and others, access and contribute to the knowledge base, reassign/redirect/escalate the request

♦ Provide a uniform back-end system to monitor, track, and respond to the case requests


As previously noted, the District currently uses many different and redundant solutions to address its case management needs. Spatial Wave facilitated a discussion of the following options during a series of asset management solution workshops with district stakeholders:

1. Utilize a standardized front-end with Maximo to support back-end functionality

2. Utilize an open-source (e.g. Kayako) front-end solution with Maximo to support back-end functionality

3. Consolidate existing (“as-is”) front-end solutions and integrate with Maximo to support back-end functionality

Based on a desire to limit custom development and maximize that value received from Maximo, a standardized front-end with Maximo to support back-end functionality (option 1) was selected as the preferred alternative.

Expected Benefits


♦ Reduced number of applications and databases to support enterprise case requests

♦ Robust system for implementing new and changing existing requests without programming

♦ A standard and easily supported platform for creation of new service requests instead of developing individual applications to support each type of request


6 Cost Detail


♦ Labor costs reflect 20 existing systems to be converted in this project

♦ Implementation assumes a one-way integration with Maximo– receiving request data in Maximo without sending future update information to the originating system


♦ Labor costs reflect 30 systems to be converted in this project

♦ Implementation assumes a two-way integration with Maximo– receiving request data in Maximo and sending future update information to the originating system



♦ Knowledge of SCVWD’s case management processes


♦ Business analysis and requirements definition

♦ SharePoint and InfoPath

♦ Maximo administration


This project is dependent on the implementation of SharePoint for the district-wide intranet portal (project A7). It interfaces with IBM’s Tivoli for integrated IT service management, implemented as part of project A9.

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 800 2,400 80,000$ 240,000$ -$ -$

Business Unit SME 0 0 -$ -$ -$ -$ IMSD 800 2,400 80,000$ 240,000$ -$ -$

Professional Services Labor (Total) 360 800 74,000$ 164,000$ -$ -$ Procurement -$ -$ Implementation 160 200 33,000$ 41,000$ Project Management 200 600 41,000$ 123,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware -$ -$ -$ -$ Software -$ -$ -$ -$

Total Costs 154,000$ 404,000$ -$ -$





6 The District should consider replacing the corrective and preventative action requests (CPAR) used in conjunction with QEMS with the enterprise case management solution resulting from this project. A discovery of the functional requirements of CPAR should be made prior to deciding the feasibility of replacing CPAR action requests with the current project.

Associated Findings


Applications

♦ Key ancillary systems are near end-of-life (e.g., TRAK for fuel management).



♦ Failure of responding to requests due to complexity and limitations of existing systems

♦ Costly support for multiple case management systems

♦ Costly and inefficient programming to meet changing case management requirements




6 (A14) Implement Fee and Easement

Purpose

The purpose of this project is to improve management of the District’s real estate assets and automate related workflow processes.

Description

This project replaces the District’s Fee and Easement and Respect systems. Respect tracks the District’s real estate (land, commercial, and residential building) holdings and includes modules for: deed, facility, title, permit, appraiser, grantor/grantee, lease, repair, joint use, etc. Respect supports the following business processes: dedicating use of land, getting property maintenance fees (repair, lease information), and tracking land ownership and related liabilities. Fee and Easement is a spatially enabled database of district-owned properties (i.e., "fee") and properties to which the District has access (i.e., "easement"). This system provides access to property information through maps and web-based tools. Both systems are document intensive requiring workflow management.


The scope of this project includes utilizing Maximo, the District’s selected enterprise content management system (ECM), and GIS to replace Respect and Fee and Easement. The selected ECM system will be used to implement Respect, while Maximo (integrated with ECM and GIS) will be used to implement Fee and Easement. Integration of Maximo with GIS will tie the real estate related assets to the Maximo asset registry. Real estate related assets will be created and maintained in GIS. This system will also interface with the fixed asset component of the ERP system.

The objectives for this project include:

♦ Provide electronic access to real estate related documents

♦ Track location information for hard copy documents that cannot be digitized

♦ Implement electronic workflow and document management to track and process real estate assets and related documents


Spatial Wave identified Fee and Easement as one of five applications with the highest business risk exposure rating. Inability to meet current and future functional requirements (e.g., difficulty in tracking






6 property records, difficulty of use, and lack of consistency in being able to access electronic data related to District properties of interest), inadequate data and content management, and insufficient capacity contribute to system unreliability. Spatial Wave found Respect to rely on an obsolete platform architecture, contributing to a high probability of failure. Due to the business risk exposure of these systems, Spatial Wave performed an alternatives analysis using the District’s lifecycle costs (LCC) and business risk exposure (BRE) reduction tools. The consultants considered the following four options:

1. Continue with “as-is” solutions (Status Quo)

2. Replace Fee and Easement / Respect with a comprehensive GIS-centric real estate management system (Replacement)

3. Enhance the existing systems according to current plans (Enhancement)

4. Utilize Maximo and ECM to replace Fee and Easement and Respect (Maximo/ECM)

Due to the high costs of the alternatives, and the ability to adequately reduce the District’s business risk exposure, using Maximo and ECM to replace Fee and Easement and Respect (option 4) was selected as the preferred alternative (highlighted in yellow in the following tables). As the tables below indicate, this option offers the second-highest business risk exposure reduction for nearly the same unit cost as the least expensive option (option 3).



10 Year LCCTotal

Capital Total

Operations Total

Maintenance BRE

Reduction


1 Status Quo $118,000 $0 $108,000 $10,000 0 NA

2 Replacement $1,073,280 $458,280 $156,000 $459,000 92 $1,026

3 Enhancement $210,280 $92,280 $108,000 $10,000 46 $409

4 Maximo/ECM $349,600 $205,600 $54,000 $90,000 69 $464

Option

PoFPoF

Justification BRE


(BREB - BREA)

1 Status Quo 5.0 Does not reduce business risk exposure 115.00 0.00

2 Replacement 1.0 Addresses architecture concerns and functionality gaps 23.00 92.00

3 Enhancement 3.0 Maintains and architecture that has limited adaptability 69.00 46.00

4 Maximo/ECM 2.0Reduces redundancy and enhances integration; may not completely meet all desired functionality

46.00 69.00

Option


6 Expected Benefits


♦ Enhanced real estate asset management

♦ Better ability to store and retrieve related documents for district-owned real estate assets

♦ Unambiguous, reliable data on district easements and real property

♦ Reduced business risk exposure related to inaccurate information surrounding real estate holdings and easements

Cost Detail



♦ Data in the existing system is adequate to start up the new solution

♦ Existing software components of ECM and Maximo are adequate to develop this system.

♦ The proposed software cost covers additional user licenses


♦ Additional labor hours are needed to Q/A the data in the existing system and to process additional data

♦ The proposed software cost include additional user licenses as well as additional software components of ECM and Maximo


Business Unit SME 200 320 17,000$ 25,000$ -$ -$ IMSD 1,380 2,680 137,000$ 265,000$ 120 240 13,000$ 25,000$

Professional Services Labor (Total) 345 670 70,000$ 136,000$ -$ -$ Procurement -$ -$ Implementation -$ -$ Project Management 345 670 70,000$ 136,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 256,782$ 491,564$ 21,000$ 41,000$







♦ Knowledge of the District’s asset management program and real property management processes





♦ Real property administration

♦ Document management administration





♦ GIS parcel data creation and maintenance


The selected enterprise content management system (project A5) should be implemented and functional prior to this implementation.

Real estate asset data should be digitized in GIS and synchronized with Maximo. This step relates to Maximo being the enterprise asset registry (project A8). There already is an ongoing GIS project to provide district staff access to fee and easement documents (scans of deeds) and location information in the form of GIS data sets. This ongoing GIS project is a first step toward gathering the necessary data for this project.

The District should develop a structured approach to inventory and scan the appropriate real estate documents into the document management system.

Associated Findings


Applications



6 Risks of Doing Nothing


♦ Continued difficulty and inefficiency in finding property asset-related information

♦ Increased business risk exposure on matters related to the District property




6 (A15) Implement a Water Supply Planning Transactional Database

Purpose

The purpose of this project is to replace a system which will soon become obsolete and unsupported with a modern solution that houses and processes valuable planning, tracking, and related modeling data.

Description

This project conducts a competitive procurement to move the Haake database from a prototype into a transactional database for tracking planning and resource data. The Haake pilot database and web application is a prototype system built using Microsoft Access and Cold Fusion platforms. It is used by district planners and modelers to obtain data related to water use, allocations, storage (surface reservoir and groundwater), and climate. The Haake database serves as a repository, reporting, and transactional data extraction system for many different datasets, as depicted in the figure below.






6

Haake Supported Datasets, Models, and Programs


The scope of this project includes providing current users of water resources planning data, including resource planners and modelers, with a fully supported solution for maintaining their data of interest. It replaces the technically inadequate Haake database and reporting system. It is a critical first step for the District to lay the groundwork to enhance water supply planning analytical capabilities, reduce redundancy across the models illustrated above, and integrate water supply models and modeling data.

This project involves effort from resource planners and modelers as well as IMSD. The objectives of this project include:

♦ Convert the Haake prototype database from MS Access into an enterprise level database ♦ Provide tools and interfaces for loading data and obtaining reports; these tools will include data

entry as well as batch loading tools ♦ Load the historical data from the existing system into the new database



Water supply planning activities require a central database to support future modeling and analysis. Although Haake offers valuable data that is critical for decision making and planning, the support for this system will diminish and the data may no longer be accessible if this system is not converted into a fully supported enterprise level solution.

As alternatives will be considered as part of a competitive procurement, no options analysis was conducted for this project.

Expected Benefits


♦ Easier access to water supply data

♦ A single platform for integrating water supply planning model inputs and historical results


Cost Detail

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 80 120 8,000$ 11,000$ -$ -$

Business Unit SME 0 0 -$ -$ -$ -$ IMSD 80 120 8,000$ 11,000$ -$ -$

Professional Services Labor (Total) 540 810 97,000$ 144,000$ -$ -$ Procurement 100 200 16,000$ 32,000$ Implementation 300 400 59,000$ 79,000$ Project Management 20 30 4,000$ 6,000$ Quality Assurance 80 120 13,000$ 19,000$ Training 40 60 5,000$ 8,000$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 105,000$ 155,000$ -$ -$






♦ Project to be implemented using professional service labor

♦ The existing Haake prototype database will be used as the data model


♦ Project to be implemented using professional service labor

♦ A new database will be developed from scratch (additional 100 hours)





♦ Haake expertise to identify the system capabilities

♦ Oracle expertise to convert the system



♦ The data in Haake is primarily of a time-series format. The District has a license for WISKI, which is a time-series data manager and includes both modeling and web interfaces, which could be configured to meet the requirements of the Haake database. Accordingly, WISKI should be considered as a tool for replacing the Haake database.

♦ The Haake system is currently maintained outside of IMSD. The update and data loading is performed by staff from the Office of Planning under WUE. The updated system should be maintained by IT professionals in an appropriately recoverable and secure processing environment.

♦ The current interface is developed in Cold Fusion. If the budget does not permit a complete redevelopment effort, the Cold Fusion portion of the application could remain in place – although converting the software utilizing the District’s designated application development platforms and tools (project SD5) will allow IMSD staff to continue supporting this application if the original developer is no longer available.

♦ This project has a dependency on the selection of the preferred long-term application development platforms (project SD5).




Applications




♦ Limited ability to conduct successful water supply planning studies impacting the District’s future decisions without reliable data

♦ Inefficiency due to duplication of the water supply planning data by many modelers

♦ Inability to find a single authoritative source of water supply planning data




6 (A16) Implement an Ecological Monitoring Information Management System

Purpose

The purpose of this project is to make available ecological information in an efficient and effective manner through a centralized repository used for data entry, data storage, and data retrieval.

Description

This project resumes the ecological monitoring information system project referenced in Chapter 5. Before beginning the development effort, this project evaluates alternative design options based on similar custom-developed systems, including the Bay Delta and Tributaries Project (BDAT), South Florida Water Management District, and the National Water Information System (NWIS). This project is dependent on the designation of software development standards.


Types of data included in the scope of this project include:

♦ Surface water quality ♦ Fish and wildlife ♦ Botany ♦ Vegetation management ♦ Soils ♦ Hydro-geo-morphology

The Mitigation and Monitoring Activities Database (MMAD), which is already completed, is the first module of this in progress ecological monitoring information management system (EM-IMS). MMAD makes available information about ecological activities conducted by District projects and programs. This project consists of three phases. Phase 1 covers the surface water quality and fish and wildlife data, and was 20% complete as of January 2012. Phases 2 and 3 of this project, which have not been started, cover botany and vegetation management, and soils and hydro-geomorphology, respectively.


♦ Coordinate requirements, design, and development with the District’s asset management program and GIS master plan

♦ Develop a comprehensive system architecture based on best practices and new district standards

♦ Establish a central repository for ecological data and information







Although the development of central repository for ecological data and information has been a District priority, historically there has been a lack of alignment between the expectations for delivery and the level of financial and organizational support needed to successfully implement a system of this complexity. To expedite progress given these constraints, the District has shortcut elements of detailed planning and design, including comprehensive architecture design. It is for this reason that this project delays a currently in progress project until more detailed planning and design can be completed.

The District evaluated options in 2006 and found no commercially available solutions at that time. However, there are similar custom-developed database and decision support systems in production at other agencies. An analysis of the design and implementation of these systems will be conducted as part of this project.

Expected Benefits


♦ Easier access to reliable ecological data and information


Cost Detail


♦ Based on already budgeted hours provided by the District


♦ Based on already budgeted hours provided by the District



Professional Services Labor (Total) -$ -$ -$ -$ Procurement -$ -$ Implementation -$ -$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Miscellaneous -$ -$ 98,000$ 295,000$ -$ -$ -$ -$

Total Costs 23,000$ 41,000$ 98,000$ 295,000$









♦ Application development



The following master plan projects impact the development of the EM-IMS and should be considered prior to continuing this effort:

♦ Implement data and information architecture standards and policies (A19) – Data managed for the EM-IMS should be aligned with the selected data architecture standards and policies.

♦ Select preferred long-term application development platform(s) (SD4) – Development of the EM-IMS should be aligned with the selected application platform(s).

♦

♦ Develop a GIS master plan (DM2) – EM-IMS includes a web-based mapping element. The design of this component of the EM-IMS should be aligned with the guidelines set forward from the GIS master plan. The interim considerations of the GIS master plan development may be taken into account to allow continuation of the EM-IMS effort prior to completion of the GIS master plan.

Associated Findings


Applications


♦ The District maintains many redundant asset management solutions.

♦ District information is stored in a variety of systems with no single source of record.




♦ Inadequate decision support information for ecological planning

♦ Inability to find a single authoritative source of ecological data

♦ Inefficiency due to maintaining duplicate sources of ecological data




6 (A17) Deploy the in-house developed mobile solution for asset inventory and condition assessment

Purpose

The purpose of this project is to create a district-wide GIS-enabled mobile inventory and condition assessment application.

Description

This is an in-house custom-development project to refine, expand, and adopt the technology and approach used in development of the watershed asset management mobile application to other field assets, including utility assets. The watershed AM mobile application uses a combination of tools to collect GIS and condition assessment data, while developing AM GIS data layers for the watershed. This project will evaluate the toolbox used previously (illustrated on the following page) and identify potential improvements to implement a district-wide approach for conducting watershed mobile inventory and condition assessment.






6

Watershed AM Mobile Application Toolbox


The scope of this project is to expand the approach and technology used in the watershed asset inventory and condition assessment for use with other spatially located district assets. Utility assets, such as transmission pipelines, and the associated infrastructure components would be a natural next set of assets to be considered.

The objective of this project includes:

♦ Identify new tools and technologies to simplify the implementation approach

♦ Upgrade existing infrastructure and tools (e.g., ArcGIS, and Maximo)

♦ Expand the existing project to cover other assets in addition to watershed assets

♦ Capture inventory and condition assessment data in both GIS and Maximo

ArcSDEMaximo

Asset ManagementActiveG

ArcPADOptional high accuracy

Trimble GPS unit

ArcGIS toQA/QC

ArcSDE to provide support for disconnected editing and GIS version control

Used to synchronizedata with Maximoand provide map viewing

Check-in/Check-out



The asset management process requires having access to the most up-to-date asset inventory and the associated condition assessment data. Maximo plays the central role of maintaining district asset information and will become the source of data for future asset management planning and budgeting tools. To take advantage of this capability, any toolbox or solution that is used to inventory assets, or to capture condition data, needs to interface with Maximo. The watershed asset management mobile application is a viable example of this approach and should be further expanded to address this requirement for other assets managed by the District.

Given that this is an extension of in-progress projects, no options analysis was conducted for this project.

Expected Benefits


♦ Standard approach for inventorying assets and collecting associated location data

♦ Standard approach for synchronizing GIS assets with Maximo

♦ Enhanced ability to conduct asset management analysis and planning

Cost Detail

The precursor to this project is in-progress and approximately 80% complete as of January 2012. The development of a cost estimate was not included within the scope of this planning effort given that this project continues the existing work into other asset areas by in-house staff.




♦ GIS data management, QA/QC (e.g., SDE)

♦ GIS/GPS data capture and configuration (e.g., using Trimble GPS and ArcPAD)



♦ Maximo administration



The approach adopted by the watershed asset management mobile application is relevant where new locations need to be captured every time a condition assessment is made. This is the case for watershed assets as they are broken up into reaches and the locations are X, Y point in the reach. A key feature of this approach is that it allows for capturing of new GIS locations while field crews are working in a disconnected mode with an existing dataset. This is critical for successfully merging data from multiple field units into the back-office dataset.

The situation may be different for spatially-located utility assets. Capture of the location of utility assets is an initial task which typically is conducted once only. This may be done from field data inventory, or from existing engineering drawings (e.g., as-builts, maps). The toolbox required to capture the initial location would be the same as the watershed asset management mobile application in case of field data inventory. From that point forward, the requirements of the utility assets condition assessment can be met without carrying the GPS and or creating new assets in the field. This allows for considering simplified solutions which translate into condition/inspection data (attribute data) gathering rather than GIS feature (point, line, and polygon) collection. Consideration should be given to other solutions such as the GIS-enabled mobile work order management system once the initial phase of inventory and condition assessment is completed for the utility assets.

Associated Findings


Applications


♦ The District maintains many redundant asset management solutions.




♦ Redundant or multiple asset registries

♦ Inability to develop and apply a uniform set of tools for asset management planning

♦ Costly support and maintenance for multiple tools that perform similar functions for different asset types


6 (A18) Replace the Fuel Management System

Purpose

The purpose of this project is to enhance fuel tracking and reporting.

Description

This project conducts a competitive procurement for the replacement of the District’s existing fuel management system (TRAK) and associated hardware.


The scope of this project includes procurement of software, fueling station hardware, implementation services, and long-term support. The scope may also include construction at the fuel stations to accommodate the new hardware. This project impacts fleet and asset management business units at the District.


♦ Replace TRAK software with a modern, robust, and supported solution

♦ Implement passive reader technology to read mileage as the vehicle approaches the fuel island

♦ Re-engineer related business processes, adhering to best practices to reduce manual data entry including entering of the credit card information

♦ Implement better integration with Maximo using modern (i.e., network rather than dialup) technology while capturing all of the required data.


TRAK software is more than 15 years old and uses obsolete technology (FoxPro 3.01.18), which is no longer supported. The system has a high probability of failure due to its age and lack of support. It currently captures fuel and mileage data, but the District has a number of critical requirements for additional data –such as CO2 emissions – that TRAK does not meet.

As alternatives will be considered as part of a competitive procurement, no options analysis was conducted for this project.






6 Expected Benefits


♦ Better fuel tracking

♦ More accurate tracking of CO2 emission and carbon footprint cost and statistics

♦ Enhanced ability to meet all tracking and reporting requirements, including for greenhouse gas and cost per mile

♦ Improved ease of use and reduced manual data entry


Cost Detail


♦ Maximo integration can be accomplished using existing tools

♦ Construction cost is not included in this option since it cannot be estimated until the District selects a solution

♦ Hardware and software costs are combined based on a total estimate of this solution


♦ Maximo integration requires new interface development







Total Costs 185,000$ 311,500$ 21,000$ 32,000$







♦ Knowledge of SCVWD’s fleet and asset management processes ♦ Procurement ♦ Contract negotiation ♦ Vendor contract management ♦ IT Project management ♦ Requirements definition and business analysis ♦ IT system administration ♦ Database administration ♦ Network administration ♦ Extensive familiarity with related systems and databases (to facilitate data transfer and integration)


♦ The existing TRAK system integrates with Maximo for fuel and mileage data. This integration needs to be present with the new fuel management system. The new integration should be expanded to accommodate additional data such as the CO2 emissions.

♦ Replacing the current system will include both hardware and software installation and changes. Downtime during this process should be planned ahead of time.

♦ Using credit card gas purchases needs to be further studied regarding capacity for integration with the selected fuel management system.

♦ Implementation of the Maximo for Transportation module relies on the data that is being captured by the fuel management system. Requirements of the Maximo Transportation module should also be included in the procurement process of this project.

Associated Findings


Applications




♦ Possible failure of the TRAK system


6 ♦ Inability to meet regulatory and environmental reporting requirements due to lack of access to

required data

♦ Continued risk of introducing errors while manually collecting the data




6 (A19) Implement Data and Information Architecture Standards and Policies

Purpose

The purpose of this project is to establish a structure and policies for managing the District’s digital information, including organization, access, and retention.

Description

This project develops a plan to govern the storage and retrieval of both internal and publicly available district information in digital format. It identifies an overarching information structure and policies surrounding regulatory compliance, user access and security, and content own.


The scope of this project includes performing a content audit to inventory the volume and type of digital information at the District, assessing information flow, evaluating data quality, developing a district-wide information taxonomy, establishing standard metadata associated with specific information types, and outlining policies surrounding user access and security, information ownership, and information storage and retention. This project includes effort from IMSD and selected representatives from the business units.


♦ Establish district-wide information policies and standards

♦ Develop and document a district-wide information structure and flow

♦ Position the district for enterprise architecture and better abstraction of data from applications


Data and information – like utility infrastructure, real estate, equipment, and information technology – is a critical asset that the District relies on to deliver services. As such, data storage, access, maintenance, archiving, and destruction must be carefully managed to ensure integrity. Today, the District manages myriad types of structured and unstructured data (e.g., documents, engineering drawings, reports, photographs, video) in over 40 separate asset-management related business applications and countless physical records, and has no district-wide information taxonomy – often resulting in data duplication, difficult reporting, and compromised data quality. In some cases, inability to identify the drawing or record or to timely produce accurate data in response to a regulatory or public




5C. Implement a structured approach to data management


6 information request can expose the District to financial liability and may impact the District’s reputation and position as a trusted service provider.

A structured approach to data management eliminates data duplication, clearly identifies the authoritative source for critical information, improves data access, enforces defined retention policies, and appropriately protects data security, quality, and reliability.

As this project is an analysis and policy/standards effort, an options analysis was not necessary,

Expected Benefits


♦ Increased efficiency through better information management

♦ Enhanced access to information through improved organization

♦ Improved understanding of district information policies and standards

♦ Optimization of storage capacity through refined retention guidelines and usage policies

♦ Reduced information redundancy

♦ Improved ability to respond to regulatory changes and Freedom of Information Act requests

Cost Detail



Professional Services Labor (Total) 788 1,075 85,000$ 118,000$ -$ -$ Procurement -$ -$ Implementation -$ -$ Project Management 38 75 7,000$ 14,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 750 1,000 78,000$ 104,000$ -$ -$ Contract Services -$ -$


Total Costs 107,000$ 162,000$ -$ -$






♦ IMSD staff invest 150 hours to support the project

♦ Business unit staff invest 100 hours to support the project

♦ Professional services are used to develop the plan


♦ IMSD staff invest 300 hours to support the project

♦ Business unit staff invest 200 hours to support the project

♦ Professional services are used to develop the plan




♦ Strategic planning

♦ Data management


The District should consider contracting with a third-party to provide information management planning services.

This information management planning effort will inform the following implementation projects:

♦ (A1) Enhance customer self-service and CRM capabilities

♦ (A5) Implement enterprise content management.

♦ (A6) Implement business intelligence for performance management.

♦ (A7) Implement district-wide intranet portal.

Associated Findings


Applications





♦ Knowledge loss due to inconsistent information management or attrition

♦ Confusion over versioning

♦ Redundant data and rework

♦ Accidental disclosure of private information




6 Technical Infrastructure Projects

(TI1) Implement Scheduled PC Replacement

Purpose

The purpose of this project is to implement a five-year replacement schedule for all district personal computers.

Description

This project establishes funding to effectively implement a five-year replacement schedule for the District’s personal computers. It replaces 100% of its inventory of approximately 1,200 computers every five years.


The scope of this project includes defining the funding mechanism and instituting regular replacement for the District’s inventory of approximately 1,200 personal computers. It includes effort from IMSD.


♦ Create a steady funding stream to reduce the need for large, unplanned investments

♦ Maintain the currency of personal computer hardware and operating software, minimizing the use of obsolete equipment

♦ Minimize the number of standard desktop images to be supported


While the District currently has a stated six-year PC replacement schedule, lack of adequate funding has led to a suspension of actual regular replacement. Contrary to best practices, which dictate replacement every four to five years, nearly half of the District’s PCs (517 of 1183) exceed five years of age. Another 28% (337) will be out of date in 2012. This project funds regular replacement of the District’s PCs using dedicated replacement funds – aligned with the District’s asset management program (which accommodates both asset disposal and replacement in total life cycle costs) as well as industry best practices.

This need to replace approximately 75% of its PC inventory within the next year provides the District the opportunity to evaluate alternative computing strategies, such as thin client/dumb terminals. PTI has not seen this model effectively deployed in the public sector. These environments require a tremendous


1. IT governance aligns investments with business objectives through a streamlined, transparent process.


1A. Implement district-wide IT governance


6 amount of software and hardware administration for IT staff and place a much higher load on network and server components. In addition, much of the software SCVWD users rely on will not work in a dumb terminal configuration. The model also presents licensing complications for some products that rely on fat client installations. As a result, the consultants did not consider thin client/dumb terminals a viable alternative for the District at this time.

Expected Benefits


♦ Increased personal computer and application performance

♦ New file encryption capabilities and enhanced file security

♦ Greater ability to implement modern software on PC operating systems

♦ Reduced labor costs for PC support

♦ Reduced carbon footprint through energy efficient computers

Cost Detail

Cost Category Low High Low High Low High Low HighInternal Labor (Total) -$ -$ 120 480 11,000$ 44,000$

Business Unit SME -$ -$ 0 0 -$ -$ IMSD -$ -$ 120 480 11,000$ 44,000$


Hardware -$ -$ 173,000$ 346,000$ Software -$ -$ -$ -$

Total Costs -$ -$ 184,000$ 390,000$

*Exluces contingency.





♦ The District replaces 100% of its inventory of 1,200 personal every five years, annually budgeting 20% of total anticipated purchase cost

♦ The low end average cost for PCs is $700 ♦ IMSD staff spend an average of 30 minutes per

computer for set up and configuration, setting up approximately 50 computers nightly for five nights and remotely configuring via the network


♦ The District replaces 100% of its inventory of 1,200 personal every five years, annually budgeting 20% of total anticipated purchase cost

♦ The high end average cost for PCs is $1,400 ♦ IMSD staff spend an average of 120 minutes

per computer for set up and configuration, setting up and configuring each computer individually in its location



♦ IT purchasing

♦ Personal computer configuration

♦ PC standards development


♦ The District purchases, rather than leases, personal computers at this time; it should reevaluate the less expensive initial costs and simpler disposal against the higher total cost of leased computers at the next replacement cycle.

♦ The District should reevaluate thin client/dumb terminals at the next replacement cycle.

♦ SCVWD must conduct business application testing for both Windows 7 64-bit and the standard Windows 7 Internet browser (Internet Explorer 9) prior to deploying Windows 7 x64 district-wide; incompatibilities may require the District to install Windows 7 x86 (32 bit) and/or Internet Explorer 8 in select locations

♦ SCVWD should evaluate updates to other IT infrastructure (e.g., printers, scanners) accordingly.

Associated Findings



♦ Contrary to best practices, IT infrastructure refreshes have not been kept current.




♦ Slower application performance and/or reduced staff productivity

♦ Limited file encryption capability – risking security

♦ Increased risk of business interruption due to PC failure

♦ More complicated implementation of modern software

♦ Increased maintenance costs




6 (TI2) Improve Current IT Disaster Recovery Plans to Better Link to the District’s Overall Continuity of Operations Plan

Purpose

The purpose of this project is to prepare the District to recover from a disruption in operations.

Description

This project documents a formal IT disaster recovery plan to guide IT operations in the instance of a major disruptive event (e.g., tornado, earthquake, extended power outage, terrorism).


The scope of this project encompasses all automated business functions at the District, including SCADA systems. Disaster recovery planning involves a three stage effort that impacts all district stakeholders. First, SCVWD defines which critical systems should be restored during or immediately after a disruptive event. To inform this decision, the District conducts a business impact analysis. Second, SCVWD develops strategies for resuming operations. This involves establishing policies and procedures and defining recovery time and recovery point objectives for restoring operations, including potentially contracting with cloud or other services to restore key systems. The third stage involves regularly testing and updating the plan. This project involves effort from IMSD as well as representatives from the business units.


♦ Develop, maintain, and regularly test a disaster recovery plan


Although SCVWD reported that is has begun development of a continuity of operations plan (COOP), that plan does not address IT recovery subsequent to a catastrophic event. Accordingly, the District is insufficiently prepared to resume operations in the event of a disaster. Nearly all of SCVWD’s critical applications are not positioned for rapid recovery.

Due to the planning nature of this project, no options analysis was conducted.




3A. Enhance the District’s ability to recover from an emergency or disaster


6 Expected Benefits


♦ Continuity of operations after a catastrophic event

♦ Enhanced security of critical IT assets


Cost Detail


♦ The District utilizes third-party consulting services for developing the disaster recovery plan

♦ One-time internal effort focuses on identifying critical business applications, assisting with the impact analysis, and reviewing plan deliverables

♦ Recurring internal effort centers on annual “table top” testing, where SCVWD simulates procedures that would be enacted during an actual recovery effort


♦ A third-party consultant conducts an in-depth, objective planning process that incorporates district input into the plan development process

♦ Based on system complexity or inadequate system documentation, a more in-depth planning process is required, requiring a commensurate increase in one-time internal effort to provide input to the plan development process and review deliverables

♦ Recurring external effort centers on annual testing, where a third-party consultant simulates a technical failure to observe and review actions that are undertaken during an actual recovery effort

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 100 200 9,000$ 17,000$ 166 16,000$ -$

Business Unit SME 50 100 4,000$ 8,000$ -$ -$ IMSD 50 100 5,000$ 9,000$ 166 16,000$ -$

Professional Services Labor (Total) 500 750 50,000$ 76,000$ 250 -$ 27,000$ Procurement -$ -$ Implementation -$ -$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 500 750 50,000$ 76,000$ 250 -$ 27,000$ Contract Services -$ -$


Total Costs 59,000$ 93,000$ 16,000$ 27,000$







♦ Business impact analysis

♦ Knowledge of the District’s continuity of operations plan




♦ Extensive familiarity with related systems and databases


♦ To maximize value from this project, the District must involve all key stakeholders in the planning process.

♦ Regularly updating and testing the plan ensures that new business processes or applications are not at risk.

♦ This project should precede the District’s selection of a secure disaster recovery facility (project TI3).

♦ During the planning process the District should:

- Set standards of ownership for data used by multiple applications - Establish an enterprise-wide records retention program covering both electronic and paper files - Synchronize restored data across applications and platforms - Conduct integrated application recovery tests to prove true recoverability - Integrate data security measures into the plan

♦ PTI highly recommends contracting with third party services to ensure the District conducts a comprehensive and objective disaster recovery planning process.

Associated Findings



♦ The District only informally documents and tests its IT disaster recovery plan.

♦ Contrary to best practices, the District has no offsite IT disaster recovery facility.

♦ Very few of the District’s critical applications are positioned for rapid recovery.




♦ Increased risk of disruption to business operations (e.g., unrecoverable system outages, data loss)

♦ Diminished customer service




6 (TI3) Implement Remote Disaster Recovery Capabilities Aligned with the Updated Disaster Recovery Plan

Purpose

The purpose of this project is to ensure SCVWD has an offsite facility that supports the requirements defined in the District’s disaster recovery plan, including the ability to recover critical IT infrastructure.

Description

This project conducts a competitive procurement process for a disaster recovery facility. This remote facility will provide the District with a location to temporarily establish critical system operations following a disaster (e.g., fire, flood, terrorist threat). Establishing a remote recovery site is an integral part of the disaster recovery plan and wider business continuity planning at the District.


The scope of this project encompasses procuring an appropriate cold, warm, or hot site facility in accord with recovery time objectives (RTOs) and recovery point objectives (RPOs) as identified in the District’s disaster recovery plan. In a hot site, the equipment and system backups required during a disaster recovery situation will be readily available, reducing recovery time with a corresponding increase in cost. A warm site offers readily available hardware but has minimal system backups, requiring additional time to load and configure systems before they become they can become operational. A cold site provides a facility with power but minimal hardware and no system backups, requiring complete provisioning before operational status is achieved. This project includes effort from IMSD.


♦ Provide the District with a remote physical location for hosting disaster recovery assets

♦ Support the RTOs and RPOs set forth in SCVWD’s continuity of operations plan (COOP)


Contrary to best practices, the District does not maintain an off-site facility for disaster recovery, posing a significant risk to the effective resumption of SCVWD operations after a catastrophic event.





3A. Enhance the District’s ability to recover from an emergency or disaster


6 Expected Benefits


♦ Secure data and information

♦ Ability to appropriately continue operations in the face of an event that disables the District’s data center


Cost Detail


Business Unit SME 208 0 17,000$ -$ -$ -$ IMSD 208 104 20,000$ 10,000$ -$ -$

Professional Services Labor (Total) 250 -$ 39,000$ -$ -$ Procurement 250 -$ 39,000$ Implementation -$ -$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware -$ -$ -$ -$ Micellaneous Infrastructure 43,909$ 888,214$ 46,000$ 928,000$

Total Costs 80,909$ 937,214$ 46,000$ 928,000$






♦ The District procures a subscription-based disaster recovery service that provides cold-site hardware, office space, power, and satellite connectivity in the event of a disaster

♦ The recovery facilities and associated IT infrastructure will be delivered on demand to a physical location of the District’s choice

♦ Data backups and application restore points are maintained by the District

♦ The District develops site and service requirements, publishes an RFP, and conducts vendor selection activities


♦ The District uses professional services to develop site and service requirements, publish an RFP, and conduct vendor selection activities to procure a high-availability hot site

♦ The site offers full data backups and application mirroring

♦ The site supports 60 percent of hardware infrastructure for failover capabilities



♦ The District’s disaster recovery objectives






♦ The District’s choice of disaster recovery facility type (i.e., cold, warm, hot) is determined by cost and business need. Hot sites are traditionally the most expensive, with cold sites being more cost effective to maintain. However, if the District stands to lose substantial revenue for each day of system downtime, either a warm or hot site should be strongly considered. These considerations should be addressed by the disaster recovery plan.

♦ The District must establish a disaster recovery plan before an appropriate disaster recovery facility can be identified.

♦ During site selection, the District should ensure contractual usage provisions and procedures to ensure that facility providers can accommodate during a large regional disaster.

♦ To maximize value from this facility, its implementation should be aligned with the District’s COOP.


6 ♦ The District may reduce its cost by entering into a cooperative agreement with another organization,

however this may require additional investment in the District’s own data center to support recovery of the sister facility.

Associated Findings



♦ Contrary to best practices, the District has no offsite disaster recovery facility.

♦ Very few of the District’s critical applications are positioned for rapid recovery.



♦ Increased risk of disruption to business operations (e.g., unrecoverable system outages, data loss)

♦ Diminished customer service




6 (TI4) Implement Wireless for All Major District Locations

Purpose

The purpose of this project is to enable employees to access network resources and the Internet with laptops or other mobile devices without an Ethernet cable.

Description

This project continues implementing wireless networks for campus buildings and extends wireless connectivity to remote district facilities. The wireless networks provide seamless access to the same applications and network resources as the District’s wired connections.


The scope of this project includes the installation of secure wireless access points (WAPs), for employee use only, in the District’s five core campus buildings. It does not provide network access for SCVWD guests. This project includes effort from IMSD.


♦ Enable secure employee access to network resources (e.g., files, printers) and applications from a wireless connection


Currently, many District buildings do not offer wireless access. Nevertheless, wireless devices are widespread, meaning that a disconnection exists between the prevalence of wireless capable hardware and the availability of wireless connectivity. IMSD currently supports approximately 440 smartphones and eight tablets, representing almost 30% of SCVWD’s end user computing devices. Across the business world, wireless devices are playing a growing role in daily job performance. They facilitate a collaborative work environment where staff who are in meetings have instant access to the data they need, as well as the ability to easily communicate with individuals and business partners who are not in the room. Accordingly, for a relatively small investment, SCVWD can better support a technology that its workforce has already adopted. This effort will also prepare the District for a future where wireless devices have been more actively incorporated into work activities.

Because this effort builds on existing District technologies, an options analysis was not performed. Costs reflect amounts necessary to augment existing wireless access points to provide the desired network coverage.




4B. Enhance collaboration capabilities


6 Expected Benefits


♦ Improved data access and edit capability

♦ Enhanced meeting productivity via easier data and application access

♦ Enhanced collaboration

♦ Creation of a platform for adopting mobile devices (e.g., smart phones, tablet computers)

♦ Faster data and Internet access for mobile devices

Cost Detail


♦ Each building requires 10 wireless access points

♦ Each WAP requires 100 feet of additional network cabling

♦ District staff install and configure the wireless networks


♦ Each building requires 15 wireless access points

♦ Each WAP requires 100 feet of additional network cabling

♦ The District leverages third party assistance to install and configure the networks


Business Unit SME 0 0 -$ -$ 0 0 -$ -$ IMSD 1040 520 94,000$ 47,000$ 62 104 6,000$ 10,000$

Professional Services Labor (Total) 300 -$ 56,000$ -$ -$ Procurement -$ -$ Implementation 300 -$ 56,000$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware 37,850$ 56,775$ 4,000$ 6,000$ Software -$ -$ -$ -$

Total Costs 131,850$ 159,775$ 10,000$ 16,000$







♦ Network planning


♦ Network security



Wireless network security administration must be carefully planned and well executed. Although this project does not include establishing a public network segment for non-district employees, SCVWD may consider adding a separate logical network to serve guests.

Associated Findings


♦ Many buildings do not offer wireless connectivity.



♦ Inefficient meetings with limited/no real-time data or information access

♦ Less employee collaboration

♦ Frustration with the lack of mobile device connectivity

♦ More difficult recruitment of “millennial” workforce




6 IT Service Delivery Projects

(SD1) Realign District IT Organizational Structure

Purpose

The purpose of this project is to structure the District’s IT organization according to best practices and in alignment with business unit needs.

Description

This project revises the current organization of IMSD by establishing four units that report to the CIO: Client Services, Technical Infrastructure Services, Application Services, and Program Management, in accordance with the recommendations presented in the previous chapter. In addition, the reorganization positions the District’s IT security manager as a direct report to the CIO.


The scope of this project reallocates staff currently residing in the IT and ISS units within IMSD. It does not include the Records and Library or Business and Customer Support divisions – which will remain part of IMSD but are not within the scope of this effort. This project involves effort from human resources and IMSD.


♦ Organize IT support functions within IMSD according to best practices

♦ Clarify reporting structures


During PTI’s interviews and focus groups, customers noted a lack of role clarity between the Information Technology and Information Systems Solutions units. The same customers indicated that technology issues – whether hardware or software in nature – are often passed back and forth between the two units with very limited customer communication.

The units within IMSD currently perform the appropriate IT functions. But with just two large units, the span of control for managers is quite large (22 in the Information Systems Solutions Unit and 17 in Information Technology Unit). IMSD formally defines roles for personnel in each unit, but PTI’s assessment indicated that IMSD personnel perform a variety IT functions outside their formal job roles.




6A. Optimize IMSD organizational structure


6 This makes it harder for staff to focus on cultivating and delivering specific skills – particularly when they are often asked to help with unfamiliar tasks and processes.

Restructuring IMSD clearly defines IT employee roles and responsibilities, enhances appropriate IT staff specialization while supporting cross training capabilities, appropriately sizes span of control, provides a dedicated unit for customer support, and helps IMSD standardize the District’s IT environment.

As this project relates solely to organizational structure and does not involved comparing alternatives, an options analysis was not necessary. Costs were developed based on the consultant’s experience with similar reorganization efforts.

Expected Benefits


♦ Streamlined reporting relationships

♦ More efficient work processes

♦ Better ability to support customer needs

♦ Improved clarity regarding support responsibilities and personnel

Cost Detail


Business Unit SME 416 832 33,000$ 66,000$ -$ -$ Central IT 208 416 19,000$ 37,000$ -$ -$

Professional Services Labor (Total) 240 -$ 24,000$ -$ -$ Procurement -$ -$ Implementation -$ -$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 240 -$ 24,000$ -$ -$ Contract Services -$ -$


Total Costs 52,000$ 127,000$ -$ -$






♦ District HR personnel work with IMSD resources to formally create the new units, define positions, skills, and reporting relationships


♦ District HR and IMSD personnel perform the same tasks, but with additional effort than the low-end estimates

♦ SCVWD contracts for professional IT organization transition services



♦ Human capital management



The success of this reorganization is highly dependent on sufficient change management and communication – both must play a critical role before, during and after this effort. The District must also address span of control, training, and other human capital management considerations.

Associated Findings


IT Service Delivery

♦ District users of information technology perceive an ineffective partnership between IMSD and the business units.

♦ There is a lack of role clarity and appropriate skill specialization within IMSD.

♦ IT effort is misallocated across IT functions.



♦ Poor communication surrounding District IT both within and outside of IMSD

♦ Ongoing workload imbalances

♦ Inadequate checks and balances for major IT activities

♦ Business user and IT employee frustration


6 (SD2) Implement a Structured IT Service Methodology

Purpose

The purpose of this project is to improve the efficacy, efficiency, and reliability of SCVWD IT operations in accord with the established best practices of the information technology infrastructure library (ITIL).

Description

This project institutes a formal IT service management methodology within IMSD. It includes leveraging the best practices of the methodology to establish an enterprise IT help desk, define a catalog of core IMSD services, and enhance the working relationship between IMSD and other SCVWD business units.


The scope of this project includes help desk services, the IMSD service catalog, and IMSD’s service delivery relationship with the business units. Regarding the help desk, this project revises help desk processes to align with ITIL best practices, adopts commercial IT help desk automation, and serves as the first point of contact for all IT-related requests. Concerning the service catalog, this project defines IMSD’s core services, including service descriptions, minimum service levels, support options and availability, terms of use, and cost. It also links related services and creates common service packages for increased cost efficiencies. Services should be designed in a fashion that allows direct comparison with equivalent private sector offerings (e.g., email/calendaring) to allow comparison for future sourcing decisions. Surrounding the enhancement of the IMSD/business unit relationship, this project conducts ongoing meetings to solicit business unit feedback about IMSD processes and support, as well as discuss changes in IMSD as a result of the IT Master Plan.

This project involves effort from IMSD and will impact the IT service delivery to all business units at the District.


♦ Formally adopt ITIL as IMSD’s service methodology

♦ Create a centralized point of contact for all IT-related issues at the District

♦ Implement a vended IT help desk software solution that includes service desk tickets, knowledge packs, customer self service support, and automated configuration management capabilities (e.g., ability to push updates to workstations)

♦ Implement revised help desk processes that reflect the District’s formal IT service management methodology




6B. Enhance IT service delivery approach


6 ♦ Define IMSD’s catalog of IT services, associated service levels, and costs

♦ Develop core and customized service packages for department customers

♦ Increase communication between business units and IMSD

♦ Improve business unit satisfaction with IT services

♦ Reduce or eliminate business units’ ability to unilaterally procure third party IT products and services

♦ Conduct an informed analysis of IT outsource services on an as-needed basis


Aside from ITIL, other IT service management/improvement methodologies exist (e.g., COBIT, CMMI, MOF). Each methodology provides guidance for improving operations, but ITIL specifically addresses IT processes, and the professional services market offers ample ITIL expertise to guide SCVWD. In addition, the District already has certified IMSD staff in ITIL, setting the stage for a successful adoption. Given this environment, choosing a different IT service management methodology would slow progress and require additional investment.

Expected Benefits


♦ Increased efficiency by consolidating IT-related communications through the help desk

♦ Enhanced IMSD coordination by ensuring IT issues are appropriately documented and communicated

♦ Improved user ability to solve IT problems through the use of IT help desk self-service

♦ Better insight into the District's most common IT issues

♦ Improved ability to analyze the cost of IT support services across systems, technical infrastructure and users

♦ Better clarity surrounding IT service offerings, service levels, costs and business value

♦ More accurate measurement of the true costs of IT services

♦ Ability to compare cost-benefits of internal versus outsourced IT services

♦ Enhanced customer satisfaction surrounding IMSD services

♦ Increased business unit confidence in IMSD

♦ Reduced expenditures for unnecessary third party IT services

♦ More cohesive and team-oriented approach to solving business issues with IT solutions


6 Cost Detail

Low-end Cost Assumptions ♦ Business units work with IMSD to discuss

services and support needs ♦ IMSD staff attend training, meet with business

units to understand needs ♦ SCVWD leverages procurement assistance to

solicit bids for ITSM consulting and training ♦ The District utilizes professional services for

ITSM consulting and implementation assistance (400 hours)

♦ The District utilizes professional services for ITSM training (200 hours) and service desk training (80 hours)

♦ The District staffs the help desk with 2 FTE

♦ IMSD procures IT help desk software with five licenses (this purchase does not require procurement assistance)

♦ IMSD conducts ongoing meetings (.10 FTE across all business units, and .10 FTE in IMSD) to enhance communication and maintain a positive working relationship

High-end Cost Assumptions ♦ SCVWD leverages procurement assistance to

solicit bids for ITSM consulting and training ♦ The District utilizes professional services for

ITSM consulting and implementation assistance (1400 hours) as well as IT service desk best practices consulting (200 hours)

♦ The District utilizes professional services for ITSM training (300 hours) and service desk training (120 hours)

♦ The District staffs the help desk with 2 FTE ♦ IMSD procures IT help desk software with nine

licenses ♦ IMSD conducts ongoing meetings (.15 FTE

across all business units, and .15 FTE in IMSD) to enhance communication and maintain a positive working relationship

Cost Category Low High Low High Low High Low HighInternal Labor (Total) 2,454 4,888 222,000$ 440,000$ -$ -$

Business Unit SME 270 520 22,000$ 41,000$ -$ -$ IMSD 2,184 4,368 200,000$ 399,000$ -$ -$

Professional Services Labor (Total) 880 2,320 107,000$ 261,000$ -$ -$ Procurement 200 300 30,000$ 46,000$ Implementation -$ -$ Project Management -$ -$ Quality Assurance -$ -$ Training 280 420 36,000$ 53,000$ -$ -$ Miscellaneous Consulting 400 1,600 41,000$ 162,000$ -$ -$ Contract Services -$ -$


Total Costs 340,419$ 739,824$ 2,000$ 8,000$







♦ IT service management

♦ ITIL methodology

♦ Service cost analysis

♦ Extensive familiarity with IMSD services


The District should first reorganize IMSD according to the recommendations in the previous chapter. Success will depend in part on an ongoing commitment to and investment in ITIL training.

Associated Findings


IT Service Delivery

♦ IMSD takes an informal approach to IT service management.



♦ Ongoing, inefficient “firefighting” approach to IT services

♦ Uncoordinated IT processes (including help requests) across SCVWD

♦ Inability to accurately forecast the cost-benefit of third party IT services

♦ Frustrated business unit staff




6 (SD3) Implement a Structured System Development Life Cycle Methodology

Purpose

The purpose of this project is to establish a formal structure and system for managing the District’s software development efforts.

Description

Although this information systems master plan advocates the reduction of software development effort within the District, it recognizes that a limited amount of software development will continue. This project implements a formal methodology and tools that guide software development efforts according to best practices. The methodology can vary, but ultimately focuses on gathering, prioritizing and categorizing requirements, structuring the development process, setting development milestones, conducting software testing, and managing change.


The scope of this project includes a system development life cycle (SDLC) methodology to guide all in-house software development. It involves effort from IMSD application developers.


♦ Implement a formal, documented software development methodology based on best practices – tailored to the District’s needs/environment

♦ Train and certify staff on the chosen tools and methodology


Currently, IMSD has an ad hoc approach to software development. Individual developers select their tools and largely follow their own practices for requirements definition, system design, software development, testing, and production implementation. Accordingly, the quality, reliability, usability, and maintainability of the District’s custom developed software portfolio vary widely. The situation also leaves the District vulnerable to significant knowledge loss when the original developer leaves SCVWD’s employ. In addition, processes for package selection, configuration, testing, and implementation also lack clearly defined procedures – making difficult to achieve repeatable results when projects call for implementation of purchased software. A structured methodology will mitigate many of these risks by providing clear guidelines for choosing the development environment and ensuring that a repeatable methodology drives creation and maintenance of new software as well as selection, implementation, and support of vended solutions.




6A. Optimize IMSD organizational structure


6 As this project relates solely to software development practices and does not involved comparing alternatives, an options analysis was not performed. Costs were developed based on the consultant’s experience with similar SDLC efforts.

Expected Benefits


♦ Higher probability of fully meeting user requirements with in-house development efforts

♦ Enhanced ability to track development efforts

♦ Better management of software versioning, testing, and change management

♦ Consistent user experience for in-house developed applications

♦ Less complex development environment

♦ Clear direction for developer skills and ability requirements and attendant training

♦ Reduced reliance on individual skills sets

♦ Easier developer workload management

♦ Enhanced support for in-house developed applications

Cost Detail


Business Unit SME 0 0 -$ -$ -$ -$ IMSD 520 1040 48,000$ 95,000$ -$ -$

Professional Services Labor (Total) 400 600 41,000$ 61,000$ -$ -$ Procurement -$ -$ Implementation -$ -$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 400 600 41,000$ 61,000$ -$ -$ Contract Services -$ -$


Total Costs 89,000$ 156,000$ -$ -$






♦ IMSD staff work with a third party contractor to develop the software development methodology, and document the outcome

♦ SCVWD hires a consultant to guide the development and formal documentation of the SDLC methodology


♦ SDLC development and documentation effort requires more effort than the low end




♦ Understanding of software development efforts


♦ SCVWD may choose to allow temporary and contract employees of the District to access the software development management system, but outside developers often prefer to use their own methodology and tools.

♦ PTI highly recommends contracting with a third-party consulting services to guide the District’s methodology development and tool adoption.

♦ An effective SDLC includes the adoption of standards for user interface, system interfaces, database design, etc.

♦ The District should consider Platform-as-a-Service (PaaS) in lieu of purchasing development licenses and installing related IT infrastructure.

Associated Findings


IT Service Delivery

♦ IMSD takes an informal approach to IT service management.

♦ Contrary to best practices, the District relies on custom development and a wide variety of development platforms/approaches.




♦ Continued reliance on limited resources for software development and support

♦ Disparate applications with no cohesive automation vision

♦ Inadequate, incomplete automation for core business activities

♦ Software that is difficult to maintain for anyone other than the original author




6 (SD4) Select Preferred Long-Term Application Development Platform(s)

Purpose

The purpose of this project is to provide a consistent, modern set of development tools to support creation of district software.

Description

This project evaluates and selects a preferred development platform or platforms for internal application development. It is not the intent of this project to promote internal custom development. In general, the District should minimize custom application development and focus IT resources on adopting and integrating commercial-off-the-shelf (COTS) solutions to meet the needs of the organization. However, there will be limited instances where a COTS solution is not a viable option and custom development is required.


The scope of this project includes the following application development environments:

♦ Rapid application development

♦ Enterprise-level

♦ Database design

♦ Ad-hoc query/report development

♦ Data warehouse

It involves effort from IMSD managers and software developers.


♦ Select a limited number of preferred application development platforms

♦ Define an education and training plan for district developers to obtain mastery of the development tools and platforms

♦ Define a transition plan for each existing custom application to either a COTS solution (preferred) or alternatively to the preferred new development platform


The District currently employs multiple software development platforms, including Oracle, ColdFusion, and PHP. The lack of application development standards and the attendant need to maintain skill sets




6B. Enhance IT service delivery approach


6 in multiple development platforms hinders the District’s development efforts and complicates long-term maintenance and support for in-house developed applications. Rather than benefiting from deeper expertise in a limited set of tools, the District must devote resources to supporting varied development environments, some of which are proprietary and limit options for future technology directions. Given that software development is not a core competency necessary for the District to accomplish its business objectives, it makes sense to minimize both the tool set used for software development and the number of software development efforts undertaken.

The consultants evaluated multiple development platform options. The consultants’ based their recommendations (included below and in the previous chapter) predominately on: 1) currently installed software systems; 2) recommended software upgrades and replacements; 3) anticipation of future needs; and 4) the District’s goals for reduced complexity and improved integration.

Expected Benefits


♦ Consistent user experience for in-house developed applications

♦ Less complex development environment

♦ Clear direction for developer skills and ability requirements and attendant training

♦ Reduced reliance on individual skills sets

♦ Easier developer workload management

♦ Enhanced support for in-house developed applications

Cost Detail

Cost Category Low High Low High Low High Low HighInternal Labor (Total) -$ -$ -$ -$

Business Unit SME -$ -$ -$ -$ IMSD -$ -$ -$ -$



Total Costs 20,000$ 138,808$ 33,000$ 53,000$


One-time* Frist-Year Annual Recurring*




♦ SCVWD retains existing number (50) of Cognos licenses and does not purchase any additional licenses

♦ Software costs include 10 Visual Studio licenses for .NET development

♦ Estimates do not include costs related to purchasing and deploying database systems

♦ Oracle development platforms (JDeveloper and Apex) are available from Oracle for free

♦ SCVWD procures software through a sole-source effort; estimates do not include any additional procurement-related costs


♦ SCVWD purchases 250 additional Cognos licenses

♦ Estimates do not include costs related to purchasing and deploying database systems

♦ Software costs include 10 Visual Studio licenses for .NET development

♦ Oracle development platforms (JDeveloper and Apex) are available from Oracle for free

♦ SCVWD procures software through a sole-source effort; estimates do not include any additional procurement-related costs



♦ Software development and management expertise


Based on the consultants’ recommendations in the previous chapter, the District should consider the following for its limited set of preferred application development platforms:

Database


Database Design Toad SQL Server Management Studio/Toad

Development Language Java, HTML5 .NET, C#, HTML5

Interactive Development Environment APEX, JDeveloper Visual Studio

Reporting Cognos SQL Reporting Services

Ad-Hoc Query Cognos Cognos

Business Intelligence Platform Cognos Cognos

Business Intelligence Analysis Cognos Cognos


6 Database


Performance Management/Dashboards Cognos Cognos

Data Warehousing Cognos SSIS/Cognos

O/S Platform Unix/Linux Windows Server

Use of other development platforms should be avoided in the near term in favor of those recommended here. Longer term, the District will need to reevaluate these platforms after upgrading PeopleSoft and selecting a future business intelligence solution.

The recommendations for the above platforms should be paired with IT staff skills training (project SD6) and succession planning (project SD7). The District should additionally anticipate maintaining several developers with both Microsoft (.Net and SQL Server) and Java expertise to provide support for software systems that use these technologies.

Associated Findings


IT Service Delivery

♦ Contrary to best practices, the District relies on custom development and a wide variety of development platforms/approaches.



♦ Users of applications developed in non-standard platforms will not be able to obtain support. Level of service and reputation of IT will suffer in this process.

♦ Valuable data may be lost in the process of applications becoming obsolete.

♦ Business interruptions may result from technical failure and/or the District may be forced to keep obsolete technologies in its asset inventory in order to run end-of-life application platforms.




6 (SD5) Adopt Targeted Training Plans for IT Staff

Purpose

The purpose of this project is to ensure IT staff have the requisite skills and abilities to deliver IT services.

Description

This project identifies IT staff training needs and develops a plan for addressing current and anticipated skill gaps.


The scope of this project includes the development of a training plan to address the following IT skill gaps identified during the course of this master planning effort:

♦ Application configuration and change management

♦ Application lifecycle management

♦ Application support skills for the following software solutions:

- ERP - Business intelligence - Timekeeping - Procurement - Document management

♦ Asset management application support

♦ Business analysis



♦ Customer account management

♦ Disaster recovery

♦ Intranet development and support – specifically Microsoft SharePoint

♦ IT procurement


♦ IT service methodology

♦ ITIL

♦ Mobile device (e.g., tablets, smart phones) support

♦ Mobile network administration

♦ Modern software development platforms and languages (e.g., java, .Net)

♦ Systems development lifecycle management

♦ Tier 1 and tier 2 IT support


♦ Unified communications




6C. Align IT skills with current and planned technology demands


6 It involves effort from human resources staff and IMSD managers.


♦ Identify IT skill gaps based on the information systems master plan and IT manager feedback

♦ Develop a comprehensive plan for elevating the IT skill level of IMSD staff, both in the short-term and throughout this plan’s time horizon


IT skill currency is critically important to SCVWD’s ability to maintain its existing software systems and technology infrastructure, as well as implement new technologies. Organizations typically employ a multi-faceted approach to acquiring and maintaining IT skills: 1) hiring new staff; 2) paying to train existing staff; and 3) encouraging existing staff to pursue training through incentives or position requirements. A combination of these efforts is most effective, but the District’s ability to add new staff is limited as new positions are difficult to create and turnover in existing positions is relatively low. Accordingly, the District cannot easily hire new or replacement staff with updated skill sets. As a result, funding IT staff training must be a major component of the District’s efforts to update IT skills.


Expected Benefits


♦ Increased IT staff skill levels

♦ Improved business unit confidence in IMSD

♦ Better application of technology to business problems

♦ More balanced IT workload

♦ Faster IT problem resolution

♦ Fewer business unit staff acting in an IT support role

♦ Improved morale within IMSD


6 Cost Detail


♦ Human resources staff work with IMSD managers to determine skill gaps and develop a training plan


♦ Increased time/resources for human resources staff and IMSD managers to determine skill gaps and develop a training plan



♦ Staff skills assessment

♦ Training plan development



♦ Depending on the feasibility of training for specific IT skillsets, the District may consider increased use of contractors or alternative sourcing mechanisms for addressing short-term IT skill gaps.

♦ Retirements/attrition will create some open IMSD positions over the planning horizon. The training plan should be coordinated with the succession plan (project SD7) to most effectively achieve desired skill levels.

♦ PTI did not conduct an in-depth IT skills survey as part of this master planning effort; accordingly, the District may consider augmenting the list of missing IT skills by conducting an IT skills survey as recommended in the previous chapter.





Total Costs 27,000$ 44,000$ -$ -$







IT Service Delivery

♦ IT skill gaps exist in areas ranging from business analysis and structured service methodologies, to contract and project management.

♦ The District can anticipate future skills gaps in areas of emerging demand such as disaster recovery, mobile communications, and collaboration technologies.



♦ Inability to use new technology to improve district business operations

♦ Workload imbalances




6 (SD6) Adopt an IT Succession Plan

Purpose

The purpose of this project is to prepare the District for the pending retirement of key IT personnel.

Description

This project identifies which IMSD staff will be leaving the District over the next five years, and creates a plan to ensure SCVWD is able to effectively transition replacement staff into vacant IT roles and/or use the vacant positions to fill skill gaps in other areas.


The scope of this project encompasses all current IMSD employees. It involves effort from human resources staff and IMSD managers.


♦ Identify IMSD staff with mission-critical skillsets and/or responsibilities who will retire or otherwise leave SCVWD in this plan’s time horizon

♦ Coordinate the availability of open positions with identified skill gaps

♦ Develop a formal plan for replacing IT personnel through internal promotions and/or training, outside recruitment, outsourcing, or a combination thereof


Nearly half of all district employees (more than 330 employees, or 44%) will be eligible for retirement in the next five years. Approximately two-thirds of these have 10 or more years of service with the District. The ISMD organization is not immune to this district-wide labor reality. It also faces the loss of significant institutional knowledge and must plan for effective knowledge transfer to a new workforce.


Expected Benefits


♦ Minimized skill gaps during IT staff transition

♦ Avoidance of interruption in IT service levels




6C. Align IT skills with current and planned technology demands


6 Cost Detail

Low-end Cost Assumptions ♦ IMSD managers work with IT staff to determine

staff time horizons ♦ Human resources staff assist IMSD in

developing a plan

High-end Cost Assumptions ♦ IMSD managers work with IT staff to determine

staff time horizons ♦ The District utilizes professional consulting

services for plan development



♦ Staff skills assessment


♦ Training plan development


This project should be performed in conjunction with the adoption of targeting training plans for IT staff (project SD6) in order to best determine the District’s IT training and replacement skill needs.

Associated Findings




Professional Services Labor (Total) 200 -$ 21,000$ -$ -$ Procurement -$ -$ Implementation -$ -$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 200 -$ 21,000$ -$ -$ Contract Services -$ -$


Total Costs 23,000$ 35,000$ -$ -$





6 IT Service Delivery

♦ IT skill gaps exist in areas ranging from business analysis and structured service methodologies, to contract and project management.

♦ The District can anticipate future skills gaps in areas of emerging demand such as disaster recovery, mobile communications, and collaboration technologies.



♦ Unrecoverable loss of IT skills/knowledge

♦ Increased risk of business system failure or unplanned service interruptions

♦ Failure to address known skill gaps

♦ Inefficient operations

♦ Poor end-user support




6 Decision Making Projects

(DM1) Refine IT Governance Structures, Processes, and Tools

Purpose

The purpose of this project is to enhance district-wide decision making for major IT investments aligned with the District’s existing governance structures and investment evaluation and prioritization processes and tools, and gain consensus on measures for the IT goals identified within this information systems master plan.

Description

This project implements the IT decision making recommendations detailed in the previous chapter. It refines the District’s existing CIP validation and planning processes – and associated tools – to more effectively evaluate and prioritize major software systems and IT infrastructure projects and assess the IT operations and maintenance impacts of other CIP investments. It establishes a sub-committee of the Executive Leadership Team (ELT) to guide investment decisions for new technologies and to establish long-term technology direction and district-wide IT policies. It also defines district-wide IT performance measures and targets based on the District’s mission and strategic objectives, and the IT goals defined in this master plan. It measures progress against targets on an annual basis.


The scope of this project includes the CIP validation and planning processes and associated decision making authorities and tools. It involves effort from representatives of Capital Program Services (CPS), the ELT, Finance, and IMSD.


♦ Establish a dedicated executive-level governance structure for district-wide information technology

♦ Clearly articulate IT decision making roles and responsibilities across the organization

♦ Refine the CIP project validation, business case, and prioritization tools to clearly align IT projects with district-wide priorities and effectively forecast IT operations and maintenance costs resulting from capital projects

♦ Monitor IT performance against defined targets

♦ Increase the visibility of IT impacts of CIP projects and IT investments




1A. Implement district-wide IT governance



SCVWD is currently implementing an asset management program, governed by an Asset Management Governance Committee. However, the application of this program to IT assets is nascent and hasn’t yet been fully incorporated into the District’s capital project validation or prioritization process or tools. Additionally, the asset management program is structured to reduce the business risk exposure of existing assets, and the District lacks an effective process to evaluate and prioritize new software system or IT infrastructure investments that streamline business operations or enhance customer service. This project refines the District’s existing CIP validation and planning processes and associated tools aligned with best practices and to better accommodate information technology as a capital asset. It also establishes a new sub-committee of the ELT, chartered with the responsibility for developing district-wide technology standards and policies and accountability for tracking district-wide IT performance against targets – aligned with best practices in IT governance.

No options analysis was performed for this project.

Expected Benefits


♦ Better informed IT decisions

♦ IT investment decisions aligned with district-wide priorities

♦ More accurate forecasting of IT operations and maintenance costs resulting from capital projects

♦ Enhanced protection of mission critical software systems and IT infrastructure; reduced business risk of system/IT infrastructure failure

♦ More sustainable and greater return on IT investments

♦ Reduced system redundancy and fewer shadow systems


6 Cost Detail

Low-end Cost Assumptions ♦ The District’s AMGC, chiefs, IMSD staff and

CIO invest 196 hours to: - formalize the IT governance structure and

processes - refine CIP and IT investment evaluation and

prioritization process and tools - establish district-wide IT performance

measures ♦ Operational division and IMSD staff invest 300

hours to annually measure district-wide IT performance against targets

High-end Cost Assumptions ♦ The District’s AMGC, chiefs, IMSD staff and

CIO invest 196 hours to: - formalize the IT governance structure and

processes - refine CIP and IT investment evaluation and

prioritization process and tools - establish district-wide IT performance

measures ♦ Operational division and IMSD staff invest 600

hours to annually measure district-wide IT performance against targets



♦ IT governance

♦ IT performance measurement





Total Costs 48,000$ 80,000$ 25,000$ 49,000$






♦ The District can leverage the existing validation and planning processes, with minor adjustments to specific roles, responsibilities, and valuation and planning tools and templates.

♦ The District can complete this project without professional services.

Associated Findings


IT Decision Making

♦ Unlike for other District assets, the District does not conduct lifecycle planning for critical software systems and technology infrastructure.

♦ The District does not employ a structured, enterprise approach to IT governance.

♦ Both district-wide information technology operations and IT capital projects lack clear goals and performance measures.

♦ Contrary to best practices, IT infrastructure refreshes have not been kept current.



♦ IT investments misaligned with district-wide priorities

♦ Uncoordinated IT investments and system redundancy

♦ Missed opportunities to fully leverage existing and planned IT investments

♦ Increased software system and IT infrastructure complexity, and contributes to a proliferation of independent point solutions

♦ Unplanned, unbudgeted IT operations and maintenance costs




6 (DM2) Develop a GIS Master Plan

Purpose

The purpose of this project is to develop a plan that articulates a clear direction for deploying and managing geospatial data, software applications, hardware, staff expertise, and required workflows.

Description

This project conducts a competitive procurement process for development of a geographic information systems (GIS) master plan that defines the District’s GIS requirements and offers guidelines, solutions, and a project plan for meeting these requirements. The project will focus on requirements of the business units for developing, maintaining, and using GIS data in their work processes.


The scope of this project includes geospatial data management, GIS visualization, and spatial analysis. It encompasses the District’s GIS-related technology, resources, data development, and maintenance and impacts technical support staff and users of GIS-related applications. It involved effort from IMSD and users of GIS services throughout the District.


♦ Define requirements for GIS data and maintenance as well as geospatial analysis organization, including incorporation of workflows for GIS data management which takes data sources (e.g., CAD drawings) into account.

♦ Develop recommendations for the most efficient organizational structure to support and enhance GIS services at the District

♦ Assess GIS-related needs for applications that rely on GIS data, including:

- Visualization - Map making - Mobile data inventory - GIS-assisted mobile applications

• Mobile asset inventory and condition assessment • Mobile work orders

- Integration with the document management system




1B. Develop IT plans and polices


6 - Property asset tracking - Environmental monitoring

♦ Develop recommendations and, as appropriate, project descriptions, for the following:

- Data development and organization - Application platforms for visualization - Other technology use - Resource development

♦ Provide associated implementation plan with related project resource requirements


GIS is critically important to effectively managing both utility and watershed assets. It will also play an increasingly important role as SCVWD collects and analyzes more geographically-based data. Unfortunately, there is currently a lack of organizational commitment to supporting enterprise-level GIS. This has resulted in siloed approaches to GIS management, making the case for standards surrounding the storage and accessibility GIS data stronger. A GIS master plan will provide direction for GIS-based business functions and staff, as well as increase organizational commitment and buy in for this direction.

Due to the planning nature of this project, no optional analysis was conducted.

Expected Benefits


♦ Improved spatial asset data management, including increased accuracy of the asset register content and functionality

♦ Defined guidelines and standards for acquiring, configuring, and using GIS applications, and for data storage, maintenance, and organization

♦ Increased efficiencies in taking advantage of GIS in district workflows and supporting applications – improving decision making processes


6 Cost Detail

Low-end Cost Assumptions ♦ The District utilizes third-party consulting

services for developing the GIS master plan ♦ One-time internal effort focuses on defining

requirements, validating consultant recommendations, and reviewing plan deliverables

High-end Cost Assumptions ♦ A third-party consultant conducts an in-depth,

objective planning process that incorporates district input into the plan development process

♦ Based on system complexity or inadequate system documentation, a more in-depth planning process is required, requiring a commensurate increase in one-time internal effort to provide input to the plan development process and review deliverables



♦ Strategy development

♦ Policy development


♦ Technical GIS knowledge (ESRI and Oracle Spatial)

♦ Organizational management



Professional Services Labor (Total) 880 1,100 165,000$ 207,000$ -$ -$ Procurement -$ -$ Implementation 800 1,000 150,000$ 188,000$ Project Management 80 100 15,000$ 19,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 182,000$ 235,000$ -$ -$






Based on preliminary analysis, the consultants offer the following organizational and technical considerations to help inform development of the GIS master plan. Organizational considerations address efficiency gaps identified during the assessment phase. Technical considerations address existing architecture gaps associated with using and integrating GIS at the District and supporting the overall AM program.

Organizational

1. Identify stakeholders and GIS data owners. Enable these groups to maintain their own data using GIS tools.

2. Create a single GIS group to work with both ESRI and Oracle Spatial platforms. This group should support stakeholders who will maintain data, provide visualization and geospatial analysis tools, and support GIS application implementations. The group should also be responsible for maintaining and upgrading the District’s GIS software. The GIS Master Plan will further clarify this group’s charter.

3. Offer additional GIS training to end users once basic applications are available. Offer data editing and maintenance training to stakeholders responsible for data maintenance.

Technical - Data Management and Maintenance

1. Develop accurate and consistent data layers for all geospatial data sources, including both the Watershed and Water Utility Enterprise. The data should be organized in industry standard solution formats offered by ESRI and/or AutoCAD.

2. Develop a well-defined process for obtaining design data in CAD format and incorporating this data into GIS using CAD-to-GIS conversion tools.

3. Develop a standard electronic redlining process for identifying and capturing corrections to the data from the field and incorporating these corrections to the geospatial data maintained in the office. This process will ultimately result in improving the quality of the GIS data based on field QA/QC.

4. Use the ESRI suite of software to maintain and develop data.

5. Publish all data layers to Oracle Spatial – use Oracle Spatial as the published interface for visualization and applications interfaces.

6. Obtain data in the ESRI compatible format (shapefile, file geodatabase, personal geodatabase) from external sources.

7. Upgrade the ESRI suite to version 10 (and 10.1 in the future) to take advantage of native data format support (e.g., Oracle Spatial).


6 8. Use Safe Software’s FME solution to provide data exchange and interoperability, if necessary. This

solution may not be required in light of some of the features of ArcGIS 10.1 with regard to native data exchange with Oracle Spatial.

9. Use ESRI’s SDE technology to provide for multi-user editing capabilities. Use the Oracle Spatial technology for sharing and publishing data.

10. Use ArcPAD and ArcGIS Mobile technology to collect GIS data.

Technical - Visualization (applications, mapping, mobile)

1. Use the ESRI suite of software to visualize data, including ArcGIS Server technology. Use the ArcGIS Web Viewer solutions (Silverlight or Flex) to provide access to the data. The viewer can have linkage of geospatial data to documents including CAD and as-builts. It could further offer linkage of GIS data to tabular data maintained in the data warehouse. GIS should serve as a portal to display data from different sources using the spatial location as the common element.

2. Use data layers from the Oracle Spatial to construct and build visualization solutions.

3. Incorporate mapping data from Microsoft (Bing) as a base layer for data visualization.

4. Evaluate Mobile Work Orders as outlined in tactic 5A.3. Implement an “Electronic Redlining” process so that the District data errors and modifications can be identified in the field and passed on to the stakeholders for update.

Technical - Geospatial Analysis

1. Implement geospatial solutions at the Oracle Spatial level as much as possible. This is the most optimized level of using GIS data together with the published tabular data.

2. Use ESRI’s ArcGIS as the platform to conduct geospatial analysis if the analysis cannot be carried out using Oracle Spatial.

Associated Findings


IT Decision Making

♦ Key IT plans and policies are missing (e.g., GIS, mobile computing).



♦ Ad-hoc GIS solutions that may increase complexity and cost


6 ♦ More complicated, fragmented support for GIS

♦ Failure to meet AM objectives given that GIS serves as a key source of the asset data for the district-wide asset register

♦ Negative public perception of the District’s credibility based on inaccurate geospatial data analysis and presentation




6 (DM3) Implement Mobile Communication and Computing Strategy and Policies

Purpose

The purpose of this project is to clearly define the District’s future plan and policies for the use of mobile communication (e.g., cell phones, smart phones) and computing (e.g., laptops, tablets, specialized field units) devices.

Description

This project establishes a future plan and associated policies for mobile communication and computing devices. It evaluates the current and future need for cell phones, smart phones, laptops, tablets, specialized field units and other telecommunication and mobile devices by job role and remote access requirements. It develops purchase and use policies; device management practices; regular replacement schedules; and technology standards by analyzing alternatives and costs. It considers technical infrastructure, security, personal use, cost, and IT support requirements.


The scope of this project includes the development of district-wide policies surrounding the purchase, use, and support for mobile communication and computing devices for all District staff. It involves effort from IMSD and business unit representatives.


♦ Identify appropriate business functions for application of mobile technologies

♦ Develop clear criteria for evaluating and prioritizing the need for mobile technology and devices

♦ Establish district-wide policies for the purchase, use, and support for mobile communication and computing devices

♦ Define district-wide standards for mobile technologies and devices

♦ Communicate standards and policies


SCVWD lacks a cohesive, documented, district-wide strategy or policies regarding mobile communication and computing. Today, most field computing devices are purchased as required as part of a larger capital investment project, without specific asset life cycle considerations such as retirement or replacement. Lack of adequate field devices has resulted in manual field inspections and increased risk of data duplication and error. Additionally, many district employees use multiple mobile




1B. Develop IT plans and polices


6 communication devices, including district-owned and personal phones, radios, and pagers. As a result, support for both mobile computing and communication devices has become complicated and unnecessarily costly.

Mobile computing has been identified as a top 10 enabling technology by Gartner, Forrester, Deloitte Consulting, National Association of State CIOs, CIO Magazine, and other industry leaders. More and more, entrants into the workplace demand mobile capabilities on the job. Implementing a mobile computing strategy and associated policies is a best practice for organizations that want to compete for new qualified employees, streamline operations, increase remote and field worker productivity, and reduce support and maintenance cost and complexity.

It is in the scope of this project to evaluate specific alternative mobile communication and computing technologies in the development of associated district-wide strategies and policies.

Expected Benefits


♦ Enhanced remote and field worker productivity

♦ Potential economies of scale for mobile device purchases

♦ Simplified IT support for mobile devices

♦ Reduced confusion about use of personal devices in the workplace

Cost Detail



Professional Services Labor (Total) -$ 99,000$ -$ -$ Procurement -$ -$ Implementation -$ 99,000$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 77,000$ 133,000$ -$ -$






♦ District staff invest 860 hours to evaluate business needs, define functional and technical requirements, and develop policies and standards


♦ District staff invest 60 hours to procure professional consulting assistance

♦ The District utilizes professional consulting services to evaluate business needs, define functional and technical requirements, and develop policies and standards

♦ District staff invest 80 hours in contract management and consultant assistance



♦ Strategy development

♦ Policy development


♦ Mobile computing and communications


The District should consider industry trends toward integrated or unified communication services, and their potential benefit to business operations.

Associated Findings


IT Decision Making

♦ Key IT plans and policies are missing (e.g., GIS, mobile computing).



♦ Limited remote/field worker productivity

♦ Proliferation of mobile devices

♦ More complicated IT support for mobile technologies


6 ♦ Potentially increased costs associated with mobile technology procurement, support, and

maintenance

♦ Increased privacy and security issues as staff bring personal devices to the workplace





Chapter 7 Detailed Project Plans


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PTI and Spatial Wave worked closely with the District’s project management team in a series of workshops to identify implementation projects from the previous chapter that – based on their significant business risk exposure, complexity, and/or potential cost – required alternatives analysis and detailed project plans. The following 10 projects were selected for this more detailed project planning effort:

(A4) Upgrade/extend PeopleSoft

(A5) Implement enterprise content management

(A7) Implement a district-wide intranet portal

(A8) Create a unified asset registry



(A11) Implement a future funding analysis application

(A12) Implement GIS-enabled mobile work order management

(A14) Implement fee and easement

(A18) Replace the fuel management system

This chapter describes the consultants’ project planning methodology and presents the detailed project plans for each of the above implementation projects. Click any hyperlinked project above to link directly to its detailed project plan.

Project Planning Methodology

For each project selected for more detailed project planning, the consultants developed the following:

♦ Project schedule. The consultants developed a preliminary project timeline based on their experience with similar implementations and feedback provided by the District’s project steering committee during the recommendation validation workshop.

♦ Project costs. As noted in the previous chapter, the consultants developed low- and high-end cost estimates for both one-time implementation costs as well as annual recurring costs, including inflation. One-time costs included internal implementation labor, initial software license, hardware and hardware warrantee, procurement assistance, project management, implementation services, quality assurance, supplemental training, and miscellaneous consulting where appropriate. Recurring costs included internal support labor as well as software and hardware maintenance and

The consultants worked closely with the District’s project management team in a series of workshops to identify 10 implementation projects that – based on their criticality, complexity, and/or potential cost – required detailed project plans.


7

refresh, and contract services where noted. All estimates were based on the consultants’ market research, industry knowledge, and experience with similar implementations as well as the cost and labor assumptions detailed in chapter 6.

♦ Business and functional requirements. The consultants compiled a high-level summary of key business requirements and minimum functional requirements based on interviews, application reviews, and working sessions with district stakeholders and current system users.

♦ Technical requirements. The consultants defined key requirements for the technical environment based on the solution architecture, vendor recommendations, best practices to ensure appropriate security and reliability, and their industry knowledge and experience with similar implementations.

♦ Project resource requirements. The consultants estimated implementation labor requirements, for both technical and functional resources, based on best software implementation practices, market research, and their industry knowledge and experience with similar implementations. They considered labor requirements for project management, planning and design, procurement, requirements validation, configuration review, testing, training, security design, and support for data conversion and interface development.

♦ Software and licensing requirements. The consultants estimated software and licensing requirements based on the District’s functional scope and estimated number of users. The consultants’ also considered requirements surrounding perpetual licenses, right to purchase additional licenses, and right to receive no cost software upgrades and exchanges.

♦ System maintenance and support requirements. The consultants estimated software maintenance using a percentage of initial license purchase (typically ranging from 20% to 25%) based on marketplace trends. Hardware warrantee costs were included in the initial capital purchase and hardware refreshes were budgeted annually at 20% of original purchase price, unless otherwise noted. Low and high estimates for internal support resources, both technical and functional, were estimated based on best practice software guidelines and the consultants’ industry knowledge and market research.


7 (A4) Upgrade/Extend PeopleSoft

Purpose The purpose of this project is to ensure that the District has a current and functionally robust enterprise resource planning (ERP) solution, incorporating finance/HR, timekeeping, planning and budgeting, and procurement functionality. It also includes making determinations regarding the suitability of PeopleSoft solutions for budgeting and planning, as well as procurement.

Description This project resumes payment of PeopleSoft maintenance, installs the current version, extends associated functionality to incorporate additional modules, makes a concerted effort to eliminate shadow and ancillary systems used to augment ERP functionality, and reengineers business processes as part of the upgrade to ensure that the District takes full advantage of the software’s inherent capabilities.

Scope and Objectives The scope of this project encompasses financial management (e.g., general ledger, accounts payable/receivable, purchasing, payroll, asset accounting, project accounting and grant management), human resources management (e.g., position control, benefits administration, recruitment, self-service, learning management), time and labor management, planning and budgeting, and contract management/procurement functionality for all business units at the District. The scope includes upgrading the software, procuring new modules, and implementation services as well as entering into a long-term support contract. It also includes making determinations about using the PeopleSoft budgeting & planning and procurement modules, as well as evaluating sourcing alternatives for operating the software – including potential cloud and other outsourced services options (e.g., managed services). This project requires effort from IMSD as well as all business units at the District.


♦ Fully automate the District’s financial and human resources management functions

♦ Automate and improve the accuracy of the District’s planning and budgeting process

♦ Automate the tracking and reporting of the District’s labor effort and employee leave

♦ Automatically apply SCVWD’s business rules to employee time records

♦ Implement work flow for time approval, purchasing, and contract management

♦ Improve the accuracy of the allocation of time to projects, work orders, and other district activities


7 ♦ Integrate with SCVWD’s CMMS for asset and project accounting and, potentially, purchasing and

inventory management

♦ Decommission ancillary and shadow systems whose functionality can be subsumed by the ERP

♦ Obviate the need for third party budgeting and planning and procurement solutions

♦ Automate and improve the accuracy of the District’s contracting and contract management processes



♦ Train users to sufficient competency in the software to ensure that its capabilities are effectively utilized

Project Schedule The following table presents the currently planned implementation timeline. This schedule is subject to change after the selection of an implementation services partner and based on its recommendations and detailed project plan.

Estimated Implementation Timeline

Task/Milestone Start Date End Date

Pay back maintenance and penalties Q1 FY13 Q1 FY13

Select implementation services partner Q1 FY14 Q2 FY14

Purchase additional PeopleSoft modules Q3 FY14 Q3 FY14

Conduct detailed project planning Q3 FY14 Q3 FY14

Complete PeopleSoft 8.9 upgrade Q1 FY15 Q1 FY15

Complete PeopleSoft 9.1 upgrade Q3 FY15 Q4 FY15

Test Q3 FY15 Q4 FY15

Train Q4 FY15 Q4 FY15

Go-live Q1 FY16 Q1 FY16


7 Project Costs The following table presents low and high project cost estimates.

Project Cost Estimates

Low-end Cost Assumptions ♦ Software costs include back maintenance and

associated penalties; no additional software licenses for new modules



High-end Cost Assumptions ♦ Software costs include back maintenance and

higher penalties; no additional software licenses for new modules


♦ Implementation includes more complex configuration and integration, requiring additional professional services and internal labor effort

♦ SCVWD leverages external assistance for quality assurance


Cost Category Low High Low High Low High Low HighInternal Labor (Total) 10,400 16,640 902,000$ 1,397,000$ 6,864 12,480 670,000$ 1,238,000$

Business Unit SME 6,240 10,400 513,000$ 813,000$ 2,080 2,080 185,000$ 185,000$ IMSD 4,160 6,240 389,000$ 584,000$ 4,784 10,400 485,000$ 1,053,000$

Professional Services Labor (Total) 4,560 10,900 863,000$ 2,004,000$ -$ -$ Procurement 400 500 62,000$ 78,000$ Implementation 4,160 8,320 801,000$ 1,601,000$ Project Management -$ -$ Quality Assurance 2,080 -$ 325,000$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 1,813,484$ 3,459,181$ 806,000$ 1,401,000$





7 Business Requirements The following lists selected high-level business requirements, as identified in in interviews, application reviews, and working sessions with district stakeholders and current system users.

♦ Reduce human resource management business process cycle times (e.g., performance reviews, leave requests)

♦ Reduce accounts payable (“req-to-check’) cycle times

♦ Reduce the cycle time to create a budget

♦ Reduce accounts payable errors

♦ Improve payroll accuracy

♦ Improve employee timekeeping accuracy

♦ Provide near real-time access to project accounting data


Functional Requirements The following table presents a high-level summary of minimum functional requirements, as identified in interviews, application reviews, and working sessions with district stakeholders and current system users.

Functional Area Requirements

Human Resource Management

Absence Management • Ability to track multiple leave bank policies (e.g., vacation, sick, FMLA)

• Ability to track leave accruals based on hours worked or specific dates (e.g., hire date, rehire date)

• Ability to carry over leave balances from year to year

• Ability to automatically deduct forfeited/unused leave hours according to business rules

Benefits Administration • Ability to automate benefits enrollment according to eligibility rules

• Ability to track beneficiary information

• Ability to track dependent information

Learning Management • Ability to track individual training

• Ability to track individual licenses and certifications

• Ability to automatically notify designated employees of expiring licenses or certifications


7 Functional Area Requirements

Payroll • Ability to process payroll

• Ability to make payroll corrections

• Ability to process pension and leave accrual

• Ability to mass adjust salary ranges and pay rates

Performance Management • Ability to support the performance evaluation process, including automated routing via workflow for review and approval

• Ability to support quantitative and qualitative performance ratings

• Ability to customize performance review forms

• Ability to track individual development plans

Position Management • Ability to track complete position information with history (e.g., position number, tile, job code, classification, department, supervisor, required skills and experience, status)

• Ability to create an organization chart based on position control data with incumbent names

Self Service • Ability to allow employees to query their own employee information (e.g., benefit enrollments, paystub data, leave banks, performance reviews)

• Ability to allow employees to conduct HR-related transactions online (e.g., update personal information, submit leave requests, enroll in benefits)

• Ability to allow supervisors to approve requests and complete business process flows online (e.g., leave requests, performance reviews, personnel actions)

Workforce Management • Ability to maintain detailed employee data (e.g., contact information, employment dates, compensation history, safety incidents)

• Ability to maintain detailed contractor data (e.g., contact information, start/end dates, provisioning data)

• Ability to track employee grievances



Financial Management

Accounts Payable • Ability to manage vendors in a central database

• Ability to automate the full requisition to purchase order fulfillment process online using workflow

• Ability to provide two- and three-way match

• Ability to provide online checking for duplicate payments

• Ability to support purchase card payments

• Ability to make electronic payments

Accounts Receivable and Billing

• Ability to track and age invoices

• Ability to support overpayment refunds

• Ability to integrate AR and revenue reporting with WRIS data

Contract Management • Ability to maintain detailed contract data (e.g., name, number, value, funding source, start date, end date, certification requirements)

• Ability to maintain associated contractor and sub-contractor data

• Ability to track spending against contract value

• Ability support amendments and change orders

• Ability to automatically notify designated employees based on user-defined criteria (e.g., % of contract spent, certification expiring)

Fixed Asset Management • Ability to support GASB and FASB fixed asset account reporting requirements

• Ability to split ownership of an asset across multiple funds

• Ability to maintain warranty information

General Ledger and Accounting

• Ability to support fund accounting

• Ability to maintain multiple open years

• Ability to carry over balances from one year to the next

• Ability to automatically close and archive encumbrances after full payment

• Ability to track long-term debt

Investment Management • Ability to track investment portfolio and balances

• Ability to determine cash balances

• Ability to determine net funds requirements and availability



Project and Grant Accounting • Ability to integrate payroll hours for automatic reporting of hours and costs to projects

• Ability to provide authorized users access to query and update project status and information

• Ability to provide exception reporting for projects

• Ability to provide project planning tools (e.g., resource allocation)

• Ability to track both internal and external costs and units

Planning and Budgeting

Planning and Budgeting • Ability to support and maintain multiple budget versions and history

• Ability to support multi-year capital budgeting

• Ability to apply different inflation rates to accounts based on account type (e.g., labor expense accounts inflate at different rate than utility expense accounts)

• Ability to create a published budget with narratives

eProcurement

eProcurement • Ability to develop bid documents online using workflow

• Ability post bid documents and receive vendor responses online

• Ability to support encumbrance accounting

• Ability to split accounting on a single purchase order

• Ability to separately itemize sales tax and freight on a purchase order

• Ability to view online requisition/purchase order accounting information

• Ability to track historical pricing of orders

• Ability to send automatic notifications to designated employees based on business rules (e.g., order status update)

Technical Requirements Technical requirements include the necessary hardware and operating system components to operate the system under the District-recommended configuration. Typically this includes the following sets of servers:

1. Development server for initial installation, and for development and unit testing of interfaces, conversions, custom reports, and software modifications


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2. Test server for conducting integration tests, volume and performance tests, full conversion tests, and user acceptance tests

3. Production servers for running the production system

4. Database servers for running the database

5. Web servers for deployment of self-service applications (e.g., purchase order entry, employee self-service, vendor self-service)

It is assumed the existing server environments currently supporting PeopleSoft can be used for the PeopleSoft upgrade.

Project Resource Requirements The following table presents internal district resources requirements.

Average Estimated Project Resource Requirements (Hours)*

FY2013 FY2014 FY2015 FY2016 FY2017 FY2018 FY2019 FY2020

Technical SME** 2,290 2,290 570

Functional SME*** 3,660 3,660 920

* Rounded to the nearest 10 hours. ** Technical subject matter experts (SMEs) include system, database, and security administration resources. *** Functional SMEs include representatives from the impacted business units, familiar with relevant business

processes, functional requirements, and project objectives.

Software and Licensing Requirements For this project, the District requires a perpetual license to the software with sufficient licenses for the current number of users. The District should negotiate the right to purchase additional licenses as needed at the same unit price.

As long as the District is on a current maintenance program, the District should receive all fixes, updates, and upgrades to the software at no additional charge. In addition, the District should have the right to exchange the licensed software for other available vendor-owned software products that have pricing, features, and functionality substantially similar to the licensed software at no additional software license cost.

System Maintenance and Support The following table presents ongoing annual system maintenance and support requirements.


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Annual System Maintenance and Support Requirements*

System Maintenance

Hardware $0

Software $136,000 - $163,000

Internal Support Resources

Technical SME 4,784 – 10,400 (hours)

Functional SME 2,080 (hours)

*Annual system maintenance costs reflect first-year expenditures, accounting for inflation.


7 (A5) Implement Enterprise Content Management

Purpose The purpose of this project is to migrate the District away from paper processes and forms – as well as myriad independent automated solutions – in favor of an enterprise content management system that provides for the automated storage, retrieval, archiving, and deletion of the District’s structured and unstructured data.

Description This project procures and implements an enterprise content management solution to meet related requirements for the District.

Scope and Objectives The scope of this project encompasses electronic documents and files including engineering drawings, contracts, correspondence as well as video, photographs, audio files and other unstructured data. The scope also encompasses indexing and management physical records and facilitation of content management-related business processes such as document sharing, approval and notification workflows, email discovery, and collaboration support. It includes integration with many of the District’s operational systems, including Maximo, PeopleSoft, SCVWD’s customer relationship management system, and other business-specific applications as appropriate. It also makes selected documents available to the public via the District’s web site.

The new solution will replace many existing document management systems, including but not limited to:

♦ Administrative Policy System

♦ Community Projects Review Unit (CPRU) System

♦ CuadraSTAR

♦ District Permit Management System (DPMS)

♦ Engineering Drawing Catalog System (EDCAT)

♦ Extensis

♦ Photo Library

♦ Quality and Environment Management System (QEMS)

♦ Questys

♦ RFPR Tracker


7 ♦ STARLibrary

This project impacts all business units, most employees within the District, and the public for selected documents. SCVWD will also need to evaluate the impact of allowing selected temporary and contract employees of the District to access documents via the system. Software as a service and/or other sourcing alternatives should be included in the procurement process so that they can be evaluated against traditional licensing approaches.


♦ Procure and implement software that:

- Automates paper-based District business processes - Archives documents based on customizable retention rules - Augments other system workflows that rely – at some point – on paper - Facilitates document indexing, search and retrieval, collaboration, and versioning - Provides a long term records management solution for designated District records

♦ Integrate the system with SCVWD’s other core automation (e.g., PeopleSoft, Maximo, GIS) as appropriate

♦ Train software users to utilize the system’s functionality and best practices




Retain procurement assistance services Q1 FY16 Q2 FY16

Gather requirements, develop and release an RFP Q2 FY16 Q4 FY16

Select product and implementation services vendor Q4 FY16 Q1 FY17

Implement Q1 FY17 Q4 FY18



7 Project Costs The following table presents low and high project cost estimates, including inflation.




♦ SCVWD purchases 400 user licenses each for: - Desktop user access - Web access - Remote access - Content creation

♦ Hardware costs include the following: - Production and test servers for the

application, database and web platforms - Two enterprise scanners with image

processing software - A new SAN for storing electronic documents




♦ SCVWD purchases the same number of licenses as the low-end assumption

♦ The District purchases the same servers, but with more robust hardware than the low end assumption

♦ The District purchases $50,000 of scanning services (enough for 1-1.5 million scanned pages at 3.5-5c per page)


Cost Category Low High Low High Low High Low HighInternal Labor (Total) 11,440 17,680 1,046,000$ 2,143,000$ 1,040 2,080 112,000$ 224,000$

Business Unit SME 8,320 12,480 733,000$ 1,621,000$ 0 0 -$ -$ IMSD 3,120 5,200 313,000$ 522,000$ 1,040 2,080 112,000$ 224,000$

Professional Services Labor (Total) 6,820 13,640 1,313,000$ 2,612,000$ -$ -$ Procurement 400 600 67,000$ 100,000$ Implementation 3,120 6,240 643,000$ 1,287,000$ Project Management 2,080 4,160 429,000$ 858,000$ Quality Assurance 520 1,040 87,000$ 174,000$ Training 300 500 42,000$ 70,000$ -$ -$ Miscellaneous Consulting 400 1,100 45,000$ 123,000$ -$ -$ Contract Services -$ -$


Total Costs 2,871,030$ 5,590,171$ 213,000$ 419,000$






♦ Reduced cycle times to access to critical records and information

♦ Increased compliance with document archival and retention requirements

♦ Lower operational costs (e.g., paper, printers, ink/toner ,and other related office supplies)




Electronic Content Management

Input And Scanning • Ability to scan documents of various sizes (e.g., correspondence, maps, photographs, drawings)

• Ability to scan double-sided documents

• Ability to apply optical character recognition (OCR) to scanned images

Filing, Indexing, Storage • Ability to automatically number indexed documents

• Ability to index documents of various sizes

• Ability to integrate with modern database systems

Editing And Version Control • Ability to “check out” documents/records to users for editing

• Ability to retain past document/record versions

Archival, Query, Retrieval, Retention

• Ability to quickly and accurately retrieve desired documents/records

• Ability to retain documents/records according to a defined retention schedule

Document Security • Ability to protect documents and records from unauthorized access

• Ability to audit user changes

Audited Workflow • Ability to develop custom workflow processes

• Ability to track and report on steps within a workflow process (e.g., % complete)


7 Technical Requirements Technical requirements include the necessary hardware and operating system components to operate the system under the District-recommended configuration. This includes the following sets of servers:






Additional hardware requirements include:

1. Additional storage in the District’s SAN or NAS environment for stored content

2. Scanners for scanning and indexing physical records




Technical SME** 1,380 1,380 1,380

Functional SME*** 3,460 3,460 3,460

* Hours rounded to the nearest 10 hours. ** Technical subject matter experts (SMEs) include system, database, and security administration resources. *** Functional SMEs include representatives from the impacted business units, familiar with relevant business


Software and Licensing Requirements For this project, the District requires a perpetual license to the software with sufficient licenses for the desired number of users. The District should negotiate the right to purchase additional licenses as needed at the same unit price.


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System Maintenance

Hardware $11,000 - $23,000

Software $90,000 - $172,000


Technical SME 1,040 – 2,080 (hours)

Functional SME 0 (hours)

* Annual system maintenance costs reflect first-year expenditures, accounting for inflation.


7 (A7) Implement a District-wide Intranet Portal

Purpose The purpose of this project is to provide a functionally robust intranet portal to facilitate internal collaboration, communication, and system access.

Description This project conducts a competitive procurement process for a Microsoft SharePoint solution and associated implementation/development services. Once procured, this project develops an enterprise intranet portal, relying on the District’s information architecture standards and policies (project A19) to inform purpose, structure and design.

Scope and Objectives The scope of this project encompasses the development of an enterprise intranet portal, including information management (e.g., taxonomy, archiving) and collaboration functionality for all business units at the District. The portal offers key collaboration functionality such as document workflow and version control. The scope also includes procuring the software and implementation services as well as contracting third-party services for portal design and functionality. This project also includes evaluating sourcing alternatives for operating the software, including potential cloud options (e.g., Microsoft Office 365). This project impacts all of the District’s employees.


♦ Fully design and implement an intranet portal for:

- Intra-district communication – aligned with both SCVWD’s organization structure as well as project and ad-hoc workgroups

- Document creation and revision (integrated with the enterprise content management system procured in project 4A.2)

- Knowledge recording and transfer

- Integration with SCVWD applications, in alignment with best practices

- Single sign on for user applications




7 Project Schedule The following table presents the currently planned implementation timeline. This schedule is subject to change after the selection of an implementation services partner and based on its recommendations and detailed project plan.



Develop and release an RFP for SharePoint implementation services Q1 FY15 Q2 FY15

Select implementation services vendor Q2 FY15 Q2 FY15


Project Costs The following table presents low and high project cost estimates, including inflation.


Cost Category Low High Low High Low High Low HighInternal Labor (Total) 3,016 4,368 279,000$ 403,000$ 2,080 2,080 211,000$ 211,000$

Business Unit SME 728 1,040 58,000$ 82,000$ 0 0 -$ -$ IMSD 2,288 3,328 221,000$ 321,000$ 2,080 2,080 211,000$ 211,000$

Professional Services Labor (Total) 700 1,680 139,000$ 330,000$ -$ -$ Procurement -$ -$ Implementation 700 1,120 139,000$ 222,000$ Project Management 480 -$ 95,000$ Quality Assurance 80 -$ 13,000$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 633,352$ 983,280$ 254,000$ 259,000$






♦ Software costs reflect 1,000 SharePoint client access licenses (CALs)

♦ Software costs do not include additional server/database licenses


♦ One-time internal effort is dedicated to procurement, project management, implementation, business process analysis, site development, and training

♦ Recurring internal effort is apportioned to training and site administrative functions


♦ Software costs reflect 1,100 SharePoint CALs ♦ The District contracts for professional training

services, utilizing a train-the-trainer approach ♦ The District utilizes professional consulting

services to assist in business process analysis and site design


♦ One-time internal effort is dedicated to developing a more functionally robust site, training, and requisite technical configuration

♦ Recurring internal effort is apportioned to training, site administration, and technical maintenance

Business Requirements The following lists selected high-level business requirements, as identified in in interviews, application reviews, and working sessions with district stakeholders and current system users.

♦ Single sign-on to user applications

♦ Common district-wide desktop interface

♦ Streamlined enterprise and intra-departmental communication

♦ Customizable workflow

♦ Enhanced user self-service capabilities

♦ Integration with communication platforms (e.g., email, voice-over-IP phone systems)





Intranet Portal

Portal Access and Functionality

• Ability to deliver a consistent user interface

• Ability to customize portions of the portal based on department, division, section, and unit

• Ability to facilitate access to business applications based on user credentials

• Ability to disseminate messages to users across the enterprise

• Ability to manage document access and revision

• Ability to track project/initiative progress and facilitate reporting

Integration • Ability to integrate with core District operational systems for asset management, financial management, and enterprise content management

• Ability to integrate with the District’s communication technologies (e.g., email, phone)

Technical Requirements Technical requirements include the necessary hardware and operating system components to operate the system under the District-recommended configuration. This includes the following sets of servers:

1. Development and test server for initial installation, integration tests, volume and performance tests, and user acceptance tests



Technical requirements also include additional storage space in the District’s SAN or NAS environment to store intranet content.



7



Technical SME** 1,880 930

Functional SME*** 580 300



Software and Licensing Requirements For this project, the District requires a perpetual license to the software with sufficient licenses for the desired number of users. Estimated license costs assumed 1,000 to 1,100 SharePoint client access licenses. The District should be able to leverage existing software license agreements with Microsoft.



System Maintenance

Hardware $15,000 - $17,000

Software $28,000 - $31,000


Technical SME 2,080 (hours)




7 (A8) Create a Unified Asset Registry

Purpose The purpose of this project is to implement a comprehensive solution for tracking all district assets.

Description This project establishes a single source of information on asset location, condition, maintenance history, etc. It eliminates redundant, conflicting data surrounding assets and serves as the foundation for a comprehensive district wide asset management program. This project creates and populates data into a unified asset registry will be the official source of asset data to implement the District’s asset management program. This is step one of the 10-step best practice asset management process as illustrated below.



7 Scope and Objectives The scope of this project includes the development of a unified asset registry using Maximo and GIS. Maximo will be the asset registry for all assets including the following:

♦ Watershed

♦ Utility

♦ Properties (parcels, easements)

♦ Fleet

♦ Facilities and Structures

♦ Equipment

♦ IT Assets

GIS will be the source for the linear/horizontal assets and will provide the environment to manage and maintain these assets. ActiveG software will be used to synchronize GIS (linear/horizontal assets). This project impacts all asset owners as well as IMSD.


♦ Develop a single repository of all district assets

♦ Provide an API (Maximo API) to integrate related asset data with other applications

♦ Establish a sound technical platform upon which a comprehensive asset management program can be built




Develop and release an RFP for consulting services Q1 FY13 Q2 FY13

Select vendor Q3 FY13 Q3 FY13

Develop asset repository and interfaces Q4 FY13 Q4 FY15


7 Project Costs The following table presents low and high project cost estimates.



♦ Initial planning study with a limited scope ♦ Availability of good quality data resulting in a

two year implementation project


♦ Initial planning study with a comprehensive scope

♦ Lack of availability of good data resulting in a longer implementation and requiring additional resources


♦ Easier tracking of maintenance and work management-related activities against assets

♦ Lower life cycle costs for assets

♦ Fewer service interruptions due to asset failure




Professional Services Labor (Total) 1,200 2,395 143,000$ 285,000$ -$ -$ Procurement -$ -$ Implementation 160 320 30,000$ 60,000$ Project Management 80 155 15,000$ 29,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 960 1,920 98,000$ 196,000$ -$ -$ Contract Services -$ -$


Total Costs 208,200$ 405,300$ 35,000$ 64,000$





7 Functional Requirements The following table presents a high-level summary of minimum functional requirements, as identified in interviews, application reviews, and working sessions with district stakeholders and current system users.


Asset Registration

General • Ability to track and maintain watershed asset data

• Ability to track and maintain utility asset data

• Ability to track and maintain real property data

• Ability to track and maintain fleet data

• Ability to track and maintain facility and structure data

• Ability to track and maintain equipment data

• Ability to track and maintain IT asset data

Integration • Ability to synchronize with GIS via ActiveG for linear/horizontal asset data

Technical Requirements Technical requirements include the necessary hardware and operating system components to operate the system under the District-recommended configuration. It is assumed this project can leverage Maximo’s existing server environments.




Technical SME** 160 160 160

Functional SME*** 160 160 160




7 Software and Licensing Requirements For this project, the District requires a perpetual license to the software with sufficient licenses for the current number of users. The District should negotiate the right to purchase additional licenses as needed at the same unit price.




System Maintenance

Hardware $0

Software $2,000 - $3,000


Technical SME 120 - 200 (hours)

Functional SME 240 - 480 (hours)



7 (A9) Enhance Maximo for District-wide Asset and Work Management

Purpose The purpose of this project is to establish a robust, fully integrated, district-wide asset and work management solution.

Description This project establishes Maximo as the asset and work management solution for the District and addresses functionality gaps in the existing implementation of Maximo.

Scope and Objectives The scope of this project includes the implementation of the Maximo recommendations made by Facility Management Engineering (FME) in its 2009 report to the District. It makes enhancements to improve Maximo’s performance and usability, and implements IBM’s Tivoli for integrated IT service management.

This project integrates Maximo with PeopleSoft as well as the District’s selected enterprise content management system (project A5), and fuel management system (project A18). It also includes enhancement of Maximo to integrate with the District’s SCADA system. This integration is proposed to allow for creation of work orders that are based on runtime hours, meter readings, and alarms linked to assets. This functionality can trigger generation of preventive or corrective maintenance work orders. The following figure illustrates the transition sequencing for these Maximo improvements and enhancements.


7

Maximo Transition to Recommended Future State

This project impacts all Maximo users as well as IMSD.


♦ Implement FME’s original recommendations for Maximo

♦ Implement IBM’s Tivoli for IT service requests and case management and interface with Maximo for asset work order management

♦ Enhance Maximo integration with other core systems (e.g., PeopleSoft, ECMS, fuel management, SCADA)

♦ Improve Maximo’s performance and usability


Upgrade MaximoImplement FMERecommend-

ations

Review and Improve

Performance

PeopleSoftIntegration

SCADAIntegration

CRMIntegration

ECMSIntegration

Implement Mobile Work Orders

TEAMPlan3 Integration

Usability Improvements Capability Improvements

Integration Improvements


7



Develop detailed project plan Q1 FY15 Q1 FY15








♦ Additional Maximo license costs are included in project plans that replace existing systems or implementing new system with Maximo, e.g., Implementation of Maximo for Transportation




♦ Additional Maximo license costs are included in project plans that replace existing systems or implementing new system with Maximo, e.g., Implementation of Maximo for Transportation





Professional Services Labor (Total) 4,387 5,097 687,000$ 783,000$ -$ -$ Procurement -$ -$ Implementation 2,187 2,347 433,000$ 465,000$ Project Management 200 250 40,000$ 50,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 2,000 2,500 214,000$ 268,000$ -$ -$ Contract Services -$ -$


Total Costs 834,000$ 1,015,000$ 157,000$ 173,000$ *Excludes contingency.

One-time* First-year Annual Recurring*HoursCosts CostsHours


7 ♦ Hardware replacement costs not included

♦ Recurring software cost is based on $100k/year maintenance which reflects 20% of the license cost for Maximo


♦ Recurring software cost is based on $100k/year maintenance which reflects 20% of the license cost for Maximo


♦ Extended asset life

♦ Reduced mean time between asset failures

♦ Reduced asset life cycle cost

♦ Improved work crew utilization

♦ Increased inventory cycle count

♦ Reduced inventory cost

♦ Reduced inventory outages

♦ Reduced Maximo unplanned downtime

♦ More streamlined IT service management




Asset Management

Work Order Management • Ability to create work orders based on: o Runtime hours o Meter readings o Alarms linked to assets

• Ability to support preventive maintenance work orders



Work Programming and Budgeting

• Ability to estimate future workloads and budgets by o Annual work, including scheduled preventive maintenance o Level of effort o Resource costs

Field Access • Ability to support GIS-enabled mobile work orders

IT Service Management • Ability to maintain customizable service database (e.g., known errors, common resolutions)

• Ability to easily view and report on service queue

• Ability to track and report on key IT service metrics (e.g., mean time to resolution, service escalation)

Integration • Ability to integrate with PeopleSoft including timekeeping, financial, and inventory data

• Ability to integrate with the selected enterprise content management system

• Ability to integrate with the financial planning software (i.e., TeamPlan3)

• Ability to integrate and capture data from the new fuel management system

• Ability to turn requests from Access Valley Water into work orders for processing purposes

• Ability to integrate with SCADA to read asset status and runtime information







7

5. Web servers for deployment of the system

It is assumed this project can leverage Maximo’s existing server environments.




Technical SME** 600 300








7


System Maintenance

Hardware $0

Software $109,000






7 (A10) Implement Maximo for Transportation for Fleet Management

Purpose The purpose of this project is to reduce the life cycle costs of fleet vehicles and more effectively meet regulatory transportation reporting requirements.

Description This project implements a fleet asset management system using the Maximo industry solution for transportation (Maximo for Transportation). It also better supports the District’s ability to meet its fleet management-related regulatory reporting requirements.

Scope and Objectives The scope of this project includes:

♦ Tracking of industry codes

♦ Fuel and meter integration

♦ Labor certifications

♦ Maintenance alerts

♦ Meter history and warranty recovery

This project impacts the District’s fleet managers and IMSD.


♦ Implement IBM Maximo's Maximo for Transportation

♦ Integrate Maximo with PeopleSoft

♦ Configure Maximo to meet regulatory reporting requirements for fleet management



7



Develop and release an RFP for implementation services Q4 FY15 Q4 FY15

Select implementation services vendor Q4 FY15 Q4 FY15







Low-end Cost Assumptions ♦ Software costs reflect 10 Maximo

Transportation module licenses ♦ Implementation costs assume that the existing

fleet data can be easily transferred into the Maximo for Transportation module

High-end Cost Assumptions ♦ Software costs reflect 15 Maximo

Transportation module licenses ♦ Implementation costs assume additional data

gathering and processing to transfer the existing fleet data into Maximo for Transportation module



Professional Services Labor (Total) 628 993 111,000$ 175,000$ 40 80 5,000$ 9,000$ Procurement -$ -$ Implementation 360 600 73,000$ 121,000$ Project Management 88 113 18,000$ 23,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting 180 280 20,000$ 31,000$ -$ -$ Contract Services 40 80 5,000$ 9,000$


Total Costs 222,045$ 325,263$ 21,000$ 33,000$






♦ Fewer fleet asset data errors

♦ More accurate tracking of: industry codes; labor certifications; maintenance alerts; meter history; and warranty recovery

♦ Increased compliance with regulatory reporting requirements




Fleet Management

General • Ability to track industry codes

• Ability to track labor certifications

• Ability to track maintenance alerts

• Ability to track meter history and warranty recovery

Reporting • Ability to meet regulatory reporting requirements for fleet management

Integration • Ability to integrate fuel and meter data

• Ability to interface with PeopleSoft

Technical Requirements Technical requirements include the necessary hardware and operating system components to operate the system under the District-recommended configuration. It is assumed this project can leverage Maximo’s existing server environments.


7 Project Resource Requirements The following table presents internal district resources requirements.











System Maintenance

Hardware $1,000

Software $11,000 - $15,000






7 (A11) Implement a Future Funding Analysis Application

Purpose The purpose of this project is to assist future funding analysis of asset management (AM) related projects, allowing for the projection and analysis of capital funding needs related to maintaining District assets.

Description This project implements a future funding analysis application to support the development of funding strategies for the District’s assets. Future funding analysis and strategic planning is step 9 of the 10 step best practice asset management process as illustrated below.


This step addresses questions related to long-term funding strategy and investment requirements as well as the short-term asset budget considerations in the Capital Improvement Program (CIP). This application focuses on AM investments and will be used in the AM planning processes at the District.


7 Scope and Objectives The scope of this project is to implement a commercial-off-the-shelf (COTS) solution for conducting future funding analysis. It focuses on adopting the GHD solution (TEAMPlan3), which was previously piloted at the District. It impacts all staff involved in:

♦ Asset management operations and maintenance workload planning and budgeting

♦ Capital budgeting

♦ Rate setting

♦ Project funding processes


♦ Replace obsolete solutions that were previously used by the Water Utility Enterprise

♦ Adopt a common tool for analyzing all asset management-related investments for the District




Develop detailed specifications (update TeamPlan3 findings) Q3 FY15 Q3 FY15

Implement tools for Maximo integration Q4 FY15 Q1 FY16







7




♦ Data from ICAM can be used for this system without an extensive data quality assurance process




♦ Extensive data quality assurance is required prior to loading the ICAM data into this system


Business Requirements The following table lists selected high-level business requirements, as identified in in interviews, application reviews, and working sessions with district stakeholders and current system users.

♦ Enhanced ability to analyze investment alternatives to identify the best long-term financial strategy ♦ More accurate analysis of rehabilitation and renewal expenditure requirements

♦ Easier identification of short-term assets for consideration in the Capital Improvement Program (CIP)

♦ More informed asset renewal decisions

♦ Fewer redundant systems (e.g., ICAM) ♦ Reduced business risk exposure


Business Unit SME 200 400 17,000$ 32,000$ 0 0 -$ -$ IMSD 0 0 -$ -$ 100 200 10,000$ 20,000$

Professional Services Labor (Total) 1,100 1,700 219,000$ 339,000$ -$ -$ Procurement -$ -$ Implementation 1,100 1,700 219,000$ 339,000$ Project Management -$ -$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$

Hardware 5,305$ 10,609$ -$ -$ Software -$ -$ 55,000$ 55,000$

Total Costs 241,305$ 381,609$ 65,000$ 75,000$







Future Funding Analysis

General • Ability to assign predicted rehabilitation and replacement events into specific projects related to different assets

• Ability to synchronize data with CIP projects

• Ability to track data structure and guidelines for developing and updating management strategies

Integration

Maximo • Ability to interface with Maximo for obtaining asset related information, including attributes and cost (integration requirements are detailed in the TeamPlan3 Pilot Report dated November 2010)

• Ability to interface with Maximo for asset attribute data

• Ability to accommodate the different organizational (hierarchical or flat) setup of asset data in Maximo

• Ability to integrate future investment needs with Maximo’s project planning and budgeting tools

• Ability to review imported data from Maximo for QA purposes

PeopleSoft • Ability of the system to interface with PeopleSoft for financial management and planning and budgeting

Technical Requirements It is anticipated this system will be hosted on the selected vendor’s private cloud. It should be implemented using a web-based platform with clients using a browser on the windows platform. Client hardware should support Windows 7.





Technical SME**




Software and Licensing Requirements For this project, the District requires a perpetual license to the software with sufficient licenses for the current number of users. The District should negotiate the right to purchase additional licenses as needed at the same unit price. The software will be hosted at the vendor’s cloud with access provided to the users remotely.




System Maintenance

Hardware $0

Software $55,000 - $75,000






7 (A12) Implement GIS-enabled Mobile Work Order Management

Purpose The purpose of this project is to empower SCVWD staff to process work orders in the field via map-based access to district assets.

Description This project procures and implements a GIS-enabled mobile work order system and extends the use of Maximo into the field. It supports mobile generation and processing of work orders in an online or offline mode. This project, together with current district efforts surrounding asset inventory and condition assessment, supports a comprehensive GIS program to identify, capture attributes, and manage linear assets at the District.

Scope and Objectives The scope of this project encompasses the procurement, setup and implementation of a commercial off-the-shelf (COTS) solution for GIS-enabled mobile work order management solution, outlined as follows. It impacts all field workers who access Maximo and IMSD.

CMMS Generated Work Orders This capability allows for processing a work order in the field that is generated in the office using Maximo. The work performed in the field is synchronized with Maximo when a connection is established and the system goes online. CMMS generated work orders may have one or more assets (or locations) attached to the work order. The assets included in the work order will be present in the GIS map displayed on the mobile unit.

Field Generated Work Orders This capability allows for creation of a work order in the field and uploading the work order into Maximo. Work orders may be completed in the field or may be created as a request to conduct additional work. Field generated work orders may have one or more assets (or locations) attached to the work order. The assets included in the work order will be selected from the GIS map displayed on the mobile unit.


♦ Implement field access to Maximo work orders – both in online and offline mode (for locations with weak internet signal)

♦ Allow field access to job plans, asset histories, and inventory information


7 ♦ Provide the ability to create work orders in the field to capture additional work that needs to be

performed (e.g., repair and construction-related activities)

♦ Provide the ability to capture and relate information such as photos in the field to a specified work order

♦ Allow for the use of GIS in conjunction with Maximo in the field, enabling the use of GPS to automatically zoom into and view assets at a location where work will be conducted




Develop detailed specifications Q3 FY15 Q3 FY15

Procure software and services Q4 FY15 Q4 FY15






7 Project Costs The following table presents low and high project cost estimates, including inflation.



♦ Limited scope of implementation at the pilot level

♦ Five mobile units will be included in the pilot project



♦ Full scale mobile implementation ♦ Forty mobile units will be included in the project ♦ Hardware replacement costs not included

Business Requirements The following table lists selected high-level business requirements, as identified in in interviews, application reviews, and working sessions with district stakeholders and current system users.

♦ Reduced downtime for field crews

♦ Increased accuracy of as-builts

♦ Reduced elapsed time from red-line to approved as-builts

♦ Improved accuracy of work order costs and activity descriptions

♦ Reduced amount of rework associated with work orders



Professional Services Labor (Total) 453 1,730 90,000$ 345,000$ 50 200 6,000$ 23,000$ Procurement -$ -$ Implementation 350 1,440 70,000$ 287,000$ Project Management 103 290 20,000$ 58,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ 50 200 6,000$ 23,000$ Contract Services -$ -$


Total Costs 181,436$ 884,142$ 33,000$ 164,000$







Maximo Interaction

Mobile Work Orders • Ability to work both in connected and disconnected mode (e.g., no access to the intranet/internet)

• Ability to process field generated work orders

• Ability to access work orders from the field (e.g.., download existing work orders from Maximo into the mobile solution)

• Ability to track the progress on a work order that has been downloaded to a mobile unit

• Ability to handle one or more assets that are identified in the work order on the map

• Ability to handle one or more locations that are identified in the work order on the map

Work Assignments • Ability to assign work orders from Maximo to specific users

• Ability to re-assign work orders to different mobile workers

Attachments • Ability to access job plans, asset histories, and inventory information

• Ability to attach documents and photos to a specific work order from the field

• Ability to access and display attached documents and photos in the field

Integration • Allow to access Maximo components such as job steps, resource tracking, and safety plans Ability to move the collected content in the field into the District’s centralized enterprise content management system

• Ability to display content stored in the ECMS in the field

GIS

General • Ability to display and locate a work order on the map

• Ability to symbolize work orders based on assignment and status on a GIS map

• Ability to use GIS as the common source of horizontal assets attached to a work order


7 Technical Requirements The system should be implemented using a supported mobile platform based on the mobile strategy adopt at the District (e.g., Windows, Android, iOS). The District should utilize Windows-compatible severs with the database residing on server hardware compatible with Oracle or SQL Server.








Software and Licensing Requirements For this project, the District requires a perpetual license to the software with five mobile users for the pilot project expanding to 40 for the full implementation. The District should negotiate the right to purchase additional licenses as needed at the same unit price.




7


System Maintenance

Hardware $0

Software $3,000 - $44,000






7 (A14) Implement Fee and Easement

Purpose The purpose of this project is to improve management of the District’s real estate assets and automate related workflow processes.

Description This project replaces the District’s Fee and Easement and Respect systems. Respect tracks the District’s real estate (land, commercial, and residential building) holdings and includes modules for: deed, facility, title, permit, appraiser, grantor/grantee, lease, repair, joint use, etc. Respect supports the following business processes: dedicating use of land, getting property maintenance fees (repair, lease information), and tracking land ownership and related liabilities. Fee and Easement is a spatially enabled database of district-owned properties (i.e., "fee") and properties to which the District has access (i.e., "easement"). This system provides access to property information through maps and web-based tools. Both systems are document intensive requiring workflow management.

Scope and Objectives The scope of this project includes utilizing Maximo, the District’s selected enterprise content management system (ECM), and GIS to replace Respect and Fee and Easement. The selected ECM system will be used to implement Respect, while Maximo (integrated with ECM and GIS) will be used to implement Fee and Easement. Integration of Maximo with GIS will tie the real estate related assets to the Maximo asset registry. Real estate related assets will be created and maintained in GIS. This system will also interface with the fixed asset component of the ERP system.


♦ Provide electronic access to real estate related documents

♦ Track location information for hard copy documents that cannot be digitized

♦ Implement electronic workflow and document management to track and process real estate assets and related documents





Develop detailed specification and perform gap analysis Q1 FY16 Q1 FY16

Select implementation services partner Q2 FY16 Q2 FY16

Implement Phase 1 – Respect in ECM Q3 FY16 Q1 FY17

Implement Phase 2 – Fee and Easement in Maximo Q3 FY16 Q1 FY17







Business Unit SME 200 320 17,000$ 25,000$ -$ -$ IMSD 1,380 2,680 137,000$ 265,000$ 120 240 13,000$ 25,000$

Professional Services Labor (Total) 345 670 70,000$ 136,000$ -$ -$ Procurement -$ -$ Implementation -$ -$ Project Management 345 670 70,000$ 136,000$ Quality Assurance -$ -$ Training -$ -$ -$ -$ Miscellaneous Consulting -$ -$ -$ -$ Contract Services -$ -$


Total Costs 256,782$ 491,564$ 21,000$ 41,000$






♦ Data in the existing system is adequate to start up the new solution

♦ Existing software components of ECM and Maximo are adequate to develop this system.

♦ The proposed software cost covers additional user licenses


♦ Additional labor hours are needed to Q/A the data in the existing system and to process additional data

♦ The proposed software cost include additional user licenses as well as additional software components of ECM and Maximo


♦ Fewer errors associated with lease and land transactions

♦ Reduced time spent searching for lost/missing documents

♦ Increased revenue from district-owned properties

♦ Reduced time spent researching District property rights




Content Management

General • Ability to manage deeds

• Ability to manage title related documents

• Ability to manage permits

• Ability to manage appraisals

• Ability to manage leases

• Ability to manage agreements

• Ability to track ownership and any liability-related information

• Ability to track property maintenance fee collection

• Ability to support dedicating land use



Workflow • Ability to support all property acquisition and sale processes

• Ability to support leasing of a property that the district owns or a property that is leased by the district

• Ability to support property joint use agreements

• Ability to capture easements and right-of-ways

GIS

General • Ability to manage (store, update) parcel geographic and attribute data

• Ability to manage (store, update) easements and right-of-way geographic and attribute data

• Ability to track, in a browser based map viewer, all district-owned properties (i.e., fee) or to which the District has access (i.e., easement)

• Ability to view, query, and retrieve property information using a browser based map viewer; this includes all content that is managed by the content management system


1. Development server for initial installation, and for development and unit testing of interfaces, conversions, custom reports, and software modifications.

2. Test server for conducting integration tests, volume and performance tests, full conversion tests, and user acceptance tests.

3. Production servers for running the production system.

4. Database servers for running the database.

It is assumed the future server environments supporting Maximo and the District’s selected enterprise content management system can be used for this solution.







* Hours rounded to the nearest 10 hours. ** Technical subject matter experts (SMEs) include system, database, and security administration resources. *** Functional SMEs include representatives from the impacted business units, familiar with relevant business


Software and Licensing Requirements For this project, the District requires licenses to both Maximo and its selected enterprise content management software. It should negotiate the right to purchase additional licenses as needed to provide access to Fee and Easement users.




System Maintenance

Hardware $1,000 - $2,000

Software $7,000 - $14,000






7 (A18) Replace the Fuel Management System

Purpose The purpose of this project is to enhance fuel tracking and reporting.

Description This project conducts a competitive procurement for the replacement of the District’s existing fuel management system (TRAK) and associated hardware.

Scope and Objectives The scope of this project includes procurement of software, fueling station hardware, implementation services, and long-term support. The scope may also include construction at the fuel stations to accommodate the new hardware. This project impacts fleet and asset management business units at the District.


♦ Replace TRAK software with a modern, robust, and supported solution

♦ Implement passive reader technology to read mileage as the vehicle approaches the fuel island

♦ Re-engineer related business processes, adhering to best practices to reduce manual data entry including entering of the credit card information

♦ Implement better integration with Maximo using modern (i.e., network rather than dialup) technology while capturing all of the required data.





Development detailed specifications Q1 FY14 Q1 FY14

Procure software and services Q2 FY14 Q2 FY14











Total Costs 185,000$ 311,500$ 21,000$ 32,000$






♦ Maximo integration can be accomplished using existing tools




♦ Maximo integration requires new interface development




♦ Increased accuracy of fuel consumption records

♦ Better compliance with green reporting requirements

♦ Improved security related to fuel purchase transactions

♦ Improved ability to manage fuel-related costs




Fuel Management

General • Ability to incorporate credit card gas purchases

• Ability to incorporate passive reader technology to read mileage as the vehicle approaches the fuel island

Reporting and Data Conversion

• Ability to meet all requirements for greenhouse gas and cost per mile reporting

• Ability to migrate historical data from TRAK for reporting purposes



Integration

Maximo • Ability to track fuel and mileage data and export to Maximo

• Ability to export data to Maximo for Transportation, according to requirements defined for that implementation

Technical Requirements The system should be implemented using Windows-compatible severs with the database residing on server hardware compatible with Oracle or SQL Server.











7 System Maintenance and Support The following table presents ongoing annual system maintenance and support requirements.


System Maintenance

Hardware $0

Software $21,000 - $32,000


Technical SME 0 (hours)





Appendix A: List of Participants


A

Close to 200 SCVWD stakeholders – including district executives, managers, IT professionals, and end users – contributed to this master planning effort through interviews, focus groups, asset management workshops, surveys, and other data collection efforts. The following table lists these participants.

Name Title Unit

Jae Abel Biologist III 412

Behzad Ahmadi Groundwater Management UM 465

Scott Akin Senior Project Manager 412

Karen Akiyama Project Coordinator 333

Neddal Ali-Adeeb Business Resources UM PL3 411

Teresa Alvarado Comm./Public Relations Manager 172

Terri Anderson Senior Engineer 455

Mary Ann Ruiz Assistant Officer / Office of CEO 316

Joan Arends Senior Management Analyst 606

Linda Arluck Senior Management Analyst 106

Yvonne Arroyo Associate Engineer (Civil) 294

Emmanuel Aryee Technical Support UM 366

Kenneth Baker Water Plant Sup Grade V 565

John Berggren Senior Project Manager 715

Jill Bernhard Geographic Info Sys Analyst III 725

Jeff Blank Engineering Systems Analyst 725

John Blumenson Program Administrator 623

Ray Bobko Engineering Systems Analyst 725

Tim Bramer Engineering UM PL6 351

John Brosnan Engineering UM PL6 545

Paul Burnett Program Administrator 217

Dwight Busalacchi Land Surveying & Mapping UM 367

David Cahen Risk Management Admn 113

John (Brett) Calhoun Senior Water Quality Specialist 242

Rick Callender Government Relations Manager 152

Steven Camp Program Administrator 217


A Name Title Unit

Chris Cannard Senior Information Systems Tech 735

Jennifer Castillo Field Operations UM 243

Johanna Castro Senior Engineer 525

Kirstin Chan Geographic Info Sys Analyst II 725

Rita Chan Assistant District Council 112

Najon Chu Deputy Admin Officer / CFO 106

Jennifer Codianne Vegetation Program Spec II 295

Michael Coleman Environmental Planner II 243

John Cook Water Plant Sup Grade V 565

Jerry Cox Geographic Info Sys Analyst III 725

Sherrie Crane Senior Office Specialist 885

Mike Cresap Facilities Management UM 887

Jim Crowley Engineering UM PL6 435

Angelica Cruz Employment Services UM 927

Sal Curreri Control System Tech II 555

Jerry De La Piedra Program Administrator 445

Michael Devore Systems Control Supervisor 455

Natalie Dominquez Board Administrative Assistant II 604

Ann Draper Deputy Operating Officer / Watershed 241

Ed Drury Associate Civil Engineer 411

Mike Duffy Well & Water Services UM 475

Karna Duquite Senior Management Analyst 604

Beth Dyer Senior Project Manager 412

Cynthia Eaton Senior Office Specialist 253

Chris Elias Deputy Operating Officer / Watershed 251

Jim Fieldler Chief Operating Officer / Water Utility 402

Deanna Forsythe Real Estate Services UM 396

Carol Fredrickson Field Operations UM 253

Anthony Fulcher Assistant District Counsel 112


A Name Title Unit

Paul Fulcher Management Analyst II 820

Frank Fung Info Systems UM PL5 735

Laura Glasspool Human Resources Tech II 917

Paul Goeltz Senior Information Systems Tech 735

Beau Goldie Chief Executive Officer 102

Heidi Gonzalez Senior Reprographics Tech 775

Jennifer Grant Management Analyst II 623

Christine Grooby Information Security Manager 715

Elizabeth Guichard Senior Management Analyst 887

Brian Hackett ISS Unit Manager 725

Colleen Haggerty Associate Civil Engineer 294

Mike Hamer Deputy Operating Officer / OES 218

Seema Handa Info Systems Analyst III 725

Robert Haskins Mechanical Maintenance Supervisor 585

Kurt Hassy Geographic Info Sys Analyst II 725

Elizabeth Hayes Engineering Tech III 294

Tracy Hemmeter Senior Project Manager 412

Christine Hernandez Senior Accountant 673

Felicia Hernandez Senior Office Specialist 351

Tony Herrera Contractor - Security 218

Chii Hie Wong Information Systems Analyst III 725

Dale Honda Field Operations Admn 253

Dave Hook Dam Safety Program 595

Ofelia Hsieh Senior Accountant 673

Linda Huang Info Systems Analyst III 725

Brad Imamura Senior Real Estate Agent 369

Ron Jacobs Program Administrator 595

Dale Jacques Associate Engineer (Civil) 217

Joel Jenkins Assistant Civil Engineer II 435


A Name Title Unit

Joanne Jin Senior Management Analyst 606

Sharon Judkins Chief Administration Officer 602

George Kamenjati Office Automation Admin 735

Cindy Kao Imported Water UM 425

Bassam Kassab Associate Civil Engineer 455

Scott Katric Engineering UM PL6 292

Michele King Clerk of the Board 604

Marc Klemencic Chief Operating Officer / Watershed 316

Alan Kurotori Deputy Operating Officer / Water Utility 407

Liang Lee Deputy Operating Officer / Watershed 291

Dannette Lewis Senior Buyer 820

Mark Li Senior Project Manager 715

Jen-Men Lo Associate Civil Engineer 296

Carlos Lopez Web Analyst 725

Larry Lopez Health & Safety UM 217

Dave Mahaffey Technical Systems Admin 735

Joan Maher Deputy Operating Officer / Water Utility 415

Donna Mahoney Office Specialist II 765

Miles Mahoney Senior Engineering Tech. 294

Cong Mai Senior Engineer 376

Frank Maitski Deputy Operating Officer / Water Utility 408

Gary Masad Telecommunications Admin 735

Ron Mayorga Budget Services Officer 606

Jim McCann Public Info Rep II 172

Becky McCullough Utility Maintenance UM 555

Kenneth McKenzie Field Operations Unit Manager 293

Brian Mendenhall Project Manager 242

Anthony Mendiola Senior Management Analyst 335

Jaime Mendoza Senior Plant Maintenance Mechanic 585


A Name Title Unit

Louisa Mendoza Business Resources UM PL3 775

Nina Merrill Biologist II 412

Mark Merrit Associate Engineer 455

Jeff Micko Engineering Unit Manager 455

Gary Miller Project Coordinator 411

Devin Mody Senior Engineer 425

Lin Moore Board Administrative Assistant II 604

Karen Morvay Senior Water Conservation Spec 445

Gary Nagaoka Utility Maintenance UM 585

Kay Norris Deputy Admin Officer / HR 915

Sandy Oblonsky Deputy Operating Officer - Water Utility 515

Kristen O'Kane Environmental Planner II 293

Eric Olson Assistant Civil Engineer II 455

Anita Ong Supervising Accountant 673

Janice Ortiz Senior Human Resources Tech 927

Katherine Oven Deputy Operating Officer / Capital 315

Arthur Partridge Corrosion Control Tech II 435

Tracy Pena Accounting Tech 293

Son Pham Data Base Admn 725

Lillian Ramirez Senior Accountant 673

Ramona Ramstead Senior Office Specialist 293

Beth Redmond Technical Support UM 335

Jeff Reid Assoicate Engineer (Ctrl Sys) 545

Suzanne Remien Field Operations Admn 295

Melanie Richardson Deputy Operating Officer / Capital 316

Hernan Rivero Senior Management Analyst 113

Mike Rodriguez Senior Management Analyst 217

Nanacy Rodriguez Program Administrator 927

Miguel (Michael) Rosado Legal Analyst II 112


A Name Title Unit

Dave Salsbery Biologist III 243

Sharon Sampson Senior Information Systems Tech 735

Eva Sans Marie Administrative Assistant 241

Jim Scott Laboratory Services UM 535

Dipankar Sen Senior Project Manager 411

Samina Shaikh Assistant Engineer II (Civil) 455

Miguel Silva Assistant Engineer II (Civil) 455

Bill Smith Senior Environmental Planner 242

William Smith Senior Environmental Planner 242

Thomas Spada Facilities Maintenance Adm 887

Jerry Sparkman Water Resources Supervisor 585

Lonnie Spin Records & Library UM 765

Louisa Squires Senior Project Manager 242

Ken Stumpf Supervising Hydrographer 296

Ravi Subramanian Deputy Admin Officer / Procur-Ops Services 802

Laura Sullivan Management Analyst II 120

Sanjay Syal Program Administrator 411

Theresa Szabo Project Assistant 331

Timothy Tang Database Analyst 725

Camille Tavlian Deputy Clerk of the Board 604

Art Taylor Equipment Management UM 885

Darin Taylor Senior Project Manager 106

Bob Teeter Librarian 765

Paul Thomas Associate Engineer (Civil) 217

Sue Tippets Engineering UM PL6 294

Phuong Trieu Engineering Systems Analyst 725

Triet Trin Water Quality Specialist II 535

Christing Tulloch Senior Water Quality Specialist 412

Sue Turner Senior Real Estate Agent 369


A Name Title Unit

Karen Uyeda Engineering UM PL6 375

Meena Vandra Senior Management Analyst 673

Vitaliy Vasfeld Info Systems Analyst III 725

Michael Venell Senior Water Measurement Tech 475

Cynthia Vogerlsanger Senior Management Analyst 606

Jeff Walters Water Plant Sup Grade V 565

Mark Wander Vegetation UM 295

Charles Wang Deputy Admin Officer / CIO 715

Jim Wang Engineering Unit Manager 296

Geoffrey Weigand Program Administrator 217

Shawn Welch Hydrographer III 296

Zuberi White Senior Information Systems Tech 735

Thomas Wilkus Buyer II 820

Christy Williams Senior Management Analyst 335

Sunny Williams Environmental Planner II 292

Julie Wilson Senior Hydrologic Systems Analyst 683

Rebecca Wolff Engineering Tech III 253

Larry Wong Senior Engineer 435

Willen Wong Associate Engineer (Control Systems) 545

Eric Worrell Senior Water Measurement Tech 475

Steven Wu Senior Engineer 595

Liang Xu Senior Engineer 296

Stanley Yamamoto District Counsel 112

Linda Yang Info Systems Analyst III 725

Chenlei Yao Management Analyst II 606

Alan Zeisbrich Senior Project Manager 515



Appendix B: IT Position Summary Methodology


B

PTI utilizes a proprietary tool to summarize an organization’s baseline IT position in four IT focus areas as measured against industry best practices:

♦ Applications – Software that supports business operations; PTI assesses business risk exposure based on effectiveness and efficiency, data and content management, capacity, and architecture as well as consequence of failure.

♦ Technical Infrastructure – Hardware, systems software, databases, and network components that support the application portfolio; PTI evaluates IT infrastructure reliability, security, standardization, modernity, mobility.

♦ IT Service Delivery – The organizational structure and staffing to support both applications and technical infrastructure; PTI evaluates the IT organizational model, staffing levels and allocation, workforce management, and service management.

♦ IT Decision Making – The structures, processes, and tools to support IT planning and investment decisions; PTI assesses IT governance, funding and spending, performance management, and vision and direction.

Applying quantitative rankings to approximately 150 key indicators, PTI plots the position of each IT focus area in one of the following four quadrants:

♦ Leading – A position in this quadrant indicates a combination of effective operations, appropriate strategic investment and positioning. This quadrant represents the ideal position for each focus area.

♦ Planning – Focus areas in this quadrant often have well laid out strategies, but conduct current operations inefficiently. Generally speaking, these areas require attention to bridge the gap between current operations and their desired IT position.

♦ Reacting – A position in this quadrant indicates a focus area that largely functions in a reactive manner – often focusing on high risk areas first. Correspondingly, these areas need both strategic guidance and tactical attention.

Working

Planning

Leading

Reacting

Well Positioned

Wel

l Pos

ition

ed

Opportunity for Improvement

Op

era

tio

na

l Po

sit

ion

Strategic Position


B ♦ Working – Focus areas in this quadrant conduct current operations very efficiently, but lack a

strategic outlook for the next three to five years. An effective planning effort can move these areas into the “Leaders” quadrant, often with relatively small investments.

The X and Y axes range from “opportunity for improvement” at the bottom left to “well positioned” at the far right and top, respectively. The X axis (horizontal) charts an organization’s strategic position for all four IT focus areas; the Y axis (vertical) charts an organization’s operational position for the same four areas.

Since most organizations tend to improve operational efficiency as they conduct better planning processes, positions for each focus area typically progress along a linear trend line that starts at the bottom-left and moves to the top-right.

.



Appendix C: Application Gap Analysis


C

PTI and Spatial Wave worked with the District to analyze the business risk exposure (BRE) of existing asset management (AM) and AM-related business applications. They qualitatively examined 52 systems in 10 user focus groups, 11 technology workshops, and 22 application reviews. The consultants also quantitatively assessed the BRE of each application based on probability of failure (PoF) and consequence of failure (CoF). This appendix documents this assessment methodology and presents a summary of system BRE ratings as well as selected system-by-system findings. Spatial Wave separately provided the District with a supplementary workbook that includes extensive system gap analysis detail, which is too voluminous to include here.

Methodology

The District’s existing BRE tools are designed to evaluate the risk exposure of physical infrastructure and water assets. To more effectively evaluate the risk exposure of AM-related business applications, PTI and Spatial Wave worked with the District to adjust these tools to consider the unique characteristics, risks, and potential benefits specific to software system and information technology (IT) infrastructure investments, based on best practices and the consultants’ collective industry expertise. The consultants calculated the BRE for the 52 systems in the scope of this study based on both probability of failure and consequence of failure according to the formula below.

BRE = PoF x CoF

The following sections further detail how the consultants assessed probability and consequence of failure.

Probability of Failure Probability of failure considers the following four factors:

♦ System effectiveness and efficiency – including ability to meet business requirements and support best practices, ease of use, integration, and level of implementation

♦ Application architecture – including application, system software, and hardware currency; application security, reliability, and supportability; and availability of long-term operational administration and technical support resources

♦ Data and content management – including the quality, integrity, accessibility, and search-ability of data and data structures as well as reporting and query capabilities; and absence of unplanned data duplication/redundancy

♦ Capacity – including performance, throughput, storage, scalability, and extensibility


C

The consultants evaluated each of these factors on a scale of 1 (very low probability of failure) to 5 (very high probability of failure) according to the following criteria.

Probability of Failure (PoF) Assessment Criteria

1 2 3 4 5

Very Low Low Medium High Very High

System effectiveness and efficiency

Effectively meets current and future business needs. System functionality effectively supports current business processes and incorporates best practices. System easily adaptable to changing business practices. No manual processes and/or workarounds are required. Extremely intuitive and easy to use. Integrated with core applications. Implemented with full functionality.

Effectively meets current business needs and likely achieve future needs without modification. System functionality effectively supports current business processes and incorporates best practices. System adaptable to changing business practices, but may require technical intervention. Few if any manual processes and/or workarounds are required. Very easy to use. Integrated with core applications.

Meets current business needs, but will require modification to meet future requirements. System functionality effectively supports current business processes. System requires technical intervention to adapt to changing business practices. A moderate number of manual processes and/or workarounds are required. Relatively easy to use. Integrated with core applications.

Meets current business needs only inefficiently and ineffectively. System requires some manual work and/or system workarounds to complete business processes. System cannot adapt to changing business practices. Cumbersome to use and integrated with only a limited number of core applications.

Does not meet current business needs. System requires significant manual work and/or system workarounds to complete business processes. System cannot adapt to changing business practices. Difficult to use and/or fully implemented. Not integrated with core applications.

Application architecture

Architecture is optimized for current and future reliability. System architecture is modern, adaptable, and optimized for current and future reliability and security. Architecture is aligned with industry best practices and district standards.

Architecture is optimized for current reliability and likely can achieve future requirements without modification. System architecture is modern, adaptable, and optimized for current reliability and security. Architecture is aligned with district standards.

Architecture is reliable, but will require modification to meet future requirements. System architecture is current and provides appropriate reliability and security. Architecture is aligned with most district standards.

Architecture has some reliability concerns. System architecture is aging and requires high levels of maintenance. Significant reliability and security concerns exist. Architecture is aligned with some district standards.

Architecture is near end-of-life or obsolete; significant reliability concerns exist. System has exceeded its useful life and recovery is questionable. Architecture is aligned with few or no district standards.


C

1 2 3 4 5


Data and content management

Meets current and future data and content management requirements. Excellent data quality and integrity. System provides easy data and content search, access, and flexible reporting capabilities. No unplanned data duplication/redundancy.

Meets current data and content management requirements and likely can achieve future requirements without modification. Acceptable data quality and integrity. Content is accessible, searchable, and reportable. Minimal data duplication/redundancy exists.

Meets current data and content management requirements and with some modifications, future requirements. System provides acceptable quality, integrity, accessibility, searchability, and reportability, but modifications are needed to sustain the same level in the future. A moderate level of data duplication/redundancy exists.

Current data and content management requirements are in jeopardy of not being achieved and future requirements cannot be achieved without major modifications. Data is not managed with quality or integrity. Content is not easily accessible, searchable, or reportable. Significant data duplication/redundancy exists in multiple point solutions.

Does not meet current data and content management requirements. Data quality and integrity is compromised. Content is not searchable or accessible, and is not easily reportable using standard reporting tools. Significant data exists in multiple point solutions to augment system deficiencies.

Capacity Meets current and future capacity needs within planning horizon. System can easily add new users, manage increased volumes or be extended. Sufficient storage is available to meet current and future requirements, and performance is not impacted by volume of stored data.

Meets current capacity needs and likely can achieve future needs without modification. System meets current capacity requirements under all intended operating conditions.

Meets current capacity requirements, but is on the margin. System marginally meets current capacity requirements, but not future requirements without modification. System not easily scaled or extended, and throughput, performance, and/or storage could be optimized.

Does not meet current peak requirements. System occasionally fails to deliver peak demand capacity and performance. System is not scalable or extensible. There is not sufficient throughput or storage available to meet requirements.

Does not meet current requirements. System regularly fails to deliver normal demand capacity and performance.

The consultants then assigned a total PoF score using the highest probability of failure evaluation among these four factors.

Consequence of Failure Consequence of failure considers the impact of a system failure on key and mission-critical business processes, which were defined working in conjunction with the District. The following table lists these business processes and their associated district business functions.

Key and Mission-Critical Business Processes

Business Function Key Processes Mission-Critical?

1. Environmental Monitoring, Assessment, and Operations Planning

Ecological monitoring and assessment Yes

Environmental planning No


C Business Function Key Processes

Mission-Critical?

2. Long-range and Asset Management Planning

Long-range planning – watershed and water utility No

Watershed asset management planning Yes

WUE asset management planning Yes

3. WUE Operations Treated water supply process Yes

Managing water supply to meet current demand Yes

4. WUE Technical Support and Operations Planning

Managing water supplies to meet current demand Yes

Engineering work requests Yes

5. Watersheds Technical Support and Operations Planning

Community project review No

Annual stream maintenance program implementation Yes

Engineering field instructions process No

6. Maintenance and Field Operations WUE corrective maintenance work orders Yes

Watersheds – field operations and vegetation management work orders

Yes

Facilities maintenance, dams, meters, raw water Yes

7. Regulatory Compliance Worker's compensation No

Regulatory compliance environmental health and safety No

8. Capital Project Delivery Capital project delivery (planning, design, construction) No

9. Support Services Human Resources – benefits and workforce development No

Clerk of the Board No

Records and Library No

10. Financial Management Financial planning No

Financial monitoring No

11. Information Management IMS – public records request management No

IMS – IS/IT case management Yes

IMS – business services No

IMS – systems life-cycle management No


C

For each of the 52 systems in scope, the consultants identified which of these business processes would be impacted by a system failure and then assessed that impact based on the following six factors:

♦ Workplace and public safety – the potential severity of a resulting hazard or the magnitude of the public safety exposure

♦ Disruption to community – the impact on the community, as measured in geographic dispersal, number of stakeholders impacted, and elapsed time of a service interruption

♦ Impact to reputation – the potential negative effect on the District’s reputation, as measured by public complaints, media coverage, regulatory non-compliance, or criminal implications

♦ Environmental impact – the consequences to the environment, as measured by the type and size of the area impacted and the time required for restoration

♦ Financial impact – the fiscal consequences to the District

♦ Service delivery – the breadth of impact on key District business processes and the time required for service restoration

The consultants then evaluated the first five of these factors for each business process and each system based on a scale of 1 (very low consequence of failure) to 5 (very high consequence of failure) according to the following criteria.

Consequence of Failure (CoF) Assessment Criteria

1 2 3 4 5


Workplace and public safety

Failure of the system results in no impact to safety.

Failure of the system likely to result in a minor reportable injury.

Failure of the system likely to result in a significant injury requiring hospitalization.

Failure of the system likely to result in multiple significant injuries or long term disability.

Failure of the system likely to result in death.

Disruption to Community

Failure of the system results in no disruption to the community.

Failure of the system likely to result in a localized (residential street/ intersection, trail, park, etc.), short term (<3 day) disruption to the community.

Failure of the system likely to result in a localized medium term (3-10 day) disruption to the community, or a wide spread (neighborhood, service area, water shed, etc.), short duration (<3 day) disruption to the community.

Failure of the system likely to result in a localized, long term (10-30 day), or a wide spread, medium term (3-10) disruption to the community.

Failure of the system likely to result in a localized, very long term (>30 day), or a wide spread, long term (10-30 day) disruption to the community.


C

1 2 3 4 5


Impact to Reputation

Failure of the system results in no impact to reputation.

Failure of the system likely to result in minimal impact to reputation with <5 public complaints.

Failure of the system likely to result in medium impact to reputation with 5-20 public complaints, media coverage.

Failure of the system likely to result in high impact to reputation with regulator, Board, retailer involvement.

Failure of the system likely to result in very high impact to reputation with criminal implications.

Environmental Impact

Failure of the system results in no disruption to the environment.

Failure of the system likely to result in non-lasting, short term, repairable damage to the environment (restoration within one year).

Failure of the system likely to result in medium term, repairable damage to the environment (restoration within 3 years).

Failure of the system likely to result in long term, repairable damage to the environment. Restoration requires more than 5 years and may significantly compromise habitat.

Failure of the system likely to result in environmental damage with lasting consequences (Permanent change/damage to habitat).

Financial Impact Failure of the system results in no financial consequences other than the cost to restore the asset. <$20,000

Failure of the system results in low financial consequences ($20K - $100K).

Failure of the system results in moderate financial consequences ($100K - $500K).

Failure of the system results in high financial consequences ($500K - $2M).

Failure of the system results in very high financial consequences (>$2M).

Service Delivery Failure of the system results in no impact to service delivery.

Failure of the system likely to result in a localized (1 TW Turnout, 1 creek, etc.), short term (<3 day), or a widespread (neighborhood, service area, water shed, etc.) very short term (1 day) reduction in service delivery.

Failure of the system likely to result in a localized, medium term (3-10 day) reduction, or a short term (<3 day) total loss of service delivery. OR widespread, short term (<3 day) reduction, or very short term (1 day) total loss in service delivery.

Failure of the system likely to result in a localized, long term (10-30 day) reduction, or a medium term (3-10 day) total loss in service delivery. OR widespread, medium term (3-10 day) reduction, or a short term (<3 day) total loss in service delivery.

Failure of the system likely to result in localized, very long term (>30 day) reduction, or a long term (10-30 day) total loss in service delivery. OR widespread, long term (10-30 day) reduction, or a medium term (3-10 day) total loss in service delivery.

For each of the first five factors for each system assessed, the consultants assigned a score by adding the assessment scores for all impacted business processes. If an impacted business process was considered “mission-critical,” they multiplied the assessment score by two.

The consultants assigned a score for service delivery by adding the total number of impacted business processes. They adjusted the scores for all six assessment factors according to the following scale:

Initial Factor Score

Adjusted Factor Score

0 – 5 1

6 – 10 2

11 – 15 3

16 – 20 4

21 + 5


C

The consultants then assigned a total CoF score based on the sum of the adjusted factor scores for workplace and public safety, disruption to the community, impact to reputation, environmental impact, financial impact, and service delivery.

Business Risk Exposure and Gap Analysis Ratings Summary

The following table summarizes the BRE ratings of the 52 systems included in the scope of this analysis as calculated using the above methodology. Note that several systems do not impact any of the identified key or mission-critical business processes. As a result, the consultants did not evaluate their consequence of failure; only a PoF is listed below for these systems. Gap is assigned according to the following criteria.

♦ Severe (BRE = 100 or greater) – An application with high probability and consequence of failure, and/or requires significant investment to minimize identified business risk exposure

♦ Moderate (BRE = 50 to 99) – An application with moderate probability and consequence of failure and/or requires moderate investment to minimize identified business risk exposure

♦ Minimal (BRE = 0 to 49) – An application with low probability and consequence of failure

The following section describes each system and probability of failure analysis in further detail.

System BRE and Gap Analysis Ratings

Probability of Failure (PoF) Consequence of Failure (CoF)

Total PoF

Effectiveness and Efficiency App Arch

Data and Cont Mgt Capacity

Total CoF

Workplace and Public Safety



Environ Impact

Financial Impact

Service Delivery

BRE GAP

ActiveG 1 1 1 1 1 26 20 19 30 22 33 22 26 Minimal

AECMS 4 3 2 4 2 5 2 0 2 2 2 1 20 Minimal

Archibus 3 3 3 2 2 6 2 2 2 2 3 3 18 Minimal

Budget Tools 4 4 4 4 4 28 21 20 35 23 35 27 112 Severe

CALSIM 4 4 2 2 2 NA NA NA NA NA NA NA NA

CARA-ICAM 5 4 5 4 4 8 4 4 9 4 7 5 40 Minimal

CAS 4 4 2 3 3 27 18 18 33 20 32 25 108 Severe

Certificate 2 2 2 2 2 NA NA NA NA NA NA NA NA


C Probability of Failure (PoF) Consequence of Failure (CoF)

Total PoF



Total CoF




Environ Impact

Financial Impact

Service Delivery

BRE GAP

CIP Dashboard 4 4 3 4 2 26 19 18 31 21 28 21 104 Severe

Comcate 2 2 1 1 1 25 19 16 25 21 24 18 50 Moderate

CPAR 4 3 4 4 2 28 21 20 35 23 35 27 112 Severe

CPRU 4 3 3 4 2 14 12 11 15 12 16 10 56 Moderate

DPMS 3 1 3 2 2 19 14 11 22 16 21 14 57 Moderate

Drupal 2 2 1 2 2 1 0 0 0 0 0 1 2 Minimal

EDCAT 5 1 2 3 5 25 19 16 28 21 26 18 125 Severe

Ektron 2 2 2 1 1 3 0 0 1 0 1 1 6 Minimal

ESRI SDE 3 2 3 2 1 26 19 18 31 21 29 20 78 Moderate

Extensis 4 3 4 3 3 6 1 1 4 3 3 3 24 Minimal

Fee & Easement 5 4 3 5 4 23 17 14 25 19 25 17 115 Severe

FIN DW 3 2 3 2 2 3 0 0 3 0 3 3 9 Minimal

H2ONet 4 4 2 2 2 6 2 2 3 2 3 2 24 Minimal

HEC-RAS 4 4 2 2 2 3 0 0 2 0 2 1 12 Minimal

Honeywell 4 2 4 2 2 NA NA NA NA NA NA NA NA Minimal

HSLA 4 3 4 2 2 10 7 4 7 7 7 6 40 Minimal

IWR-MAIN 4 4 2 2 2 3 0 0 1 0 1 1 12 Minimal

LTF 5 5 4 5 3 28 21 20 35 23 35 27 140 Severe

Maximo 3 2 2 3 3 26 20 19 30 22 33 22 78 Moderate

MMAD 3 2 3 3 2 12 6 4 13 8 13 8 36 Minimal

ODMS 3 3 1 2 1 12 7 7 12 7 10 8 36 Minimal

Oracle Spatial 3 3 3 3 2 27 21 20 33 23 31 21 81 Moderate

PeopleSoft 5 4 5 3 3 27 19 18 33 21 33 26 135 Severe

Phone DB 4 3 4 2 2 28 21 20 35 23 35 27 112 Severe

Photo Library 4 3 4 3 2 27 21 20 32 23 32 22 108 Severe

QEMS 4 2 4 2 2 28 21 20 35 23 35 27 112 Severe

Questys CADD 3 2 3 2 2 8 3 3 8 5 7 5 24 Minimal

Questys COB 3 2 3 3 2 6 2 2 4 2 2 4 18 Minimal


C Probability of Failure (PoF) Consequence of Failure (CoF)

Total PoF



Total CoF




Environ Impact

Financial Impact

Service Delivery

BRE GAP

Respect 5 3 5 5 4 6 5 4 5 5 6 5 30 Minimal

RISK 3 3 3 3 2 NA NA NA NA NA NA NA NA

SCADA 2 2 2 2 2 14 11 11 15 11 15 10 28 Minimal

SMP 3 3 3 3 2 13 7 6 13 9 14 9 39 Minimal

SWTR 4 4 3 3 3 6 4 4 4 4 4 3 24 Minimal

Training WIZARD 3 3 2 3 1 27 19 18 33 21 33 26 81 Moderate

TRAK 5 4 5 4 3 NA NA NA NA NA NA NA NA

USGS Modflow 4 4 2 2 2 NA NA NA NA NA NA NA NA

Vertical 5 3 5 3 3 6 1 1 3 3 3 2 30 Minimal

Water Supply Ops. Model

4 4 2 2 2 NA NA NA NA NA NA NA NA

Watershed AM Mobile 2 2 2 2 1 4 0 0 6 2 6 3 8 Minimal

WEAP 4 4 2 2 2 3 0 0 1 0 1 1 12 Minimal

WISKI 4 2 3 3 4 7 3 3 8 5 6 5 28 Minimal

WRAS 3 2 3 2 2 6 2 2 4 2 4 3 18 Minimal

WRIS 2 2 1 2 1 11 6 6 13 8 11 9 22 Minimal

WSO Sys. Opt. Model 4 4 2 2 2 NA NA NA NA NA NA NA NA


C Gap Analysis Findings – System Assessment Descriptions

The following pages present the consultants’ findings for each of the 52 systems in the scope of this analysis, including supported key and mission-critical business processes, qualitative evaluation of probability of failure, and total CoF score and overall BRE rating. If a PoF assessment factor was determined to be “Very Low” (1) or “Low” (2) probability of failure no further description is provided below.

Application Name: ActiveG Vendor: ActiveG, LLC

Description: Enables embedded GIS mapping within Maximo; supports record synchronization between Maximo records and the corresponding spatial records maintained in a separate GIS database.

PoF Assessment Factor Score Description

System Effectiveness and Efficiency

1 Very low probability of failure.

Application Architecture 1 Very low probability of failure.

Data and Content Management


Capacity 1 Very low probability of failure.

PoF 1 x CoF 26 = BRE 26 (Minimal)

Application Name: AECMS Vendor: Inelex Technologies, Inc.

Description: Tracks infrastructure safety issues, corrective actions, and associated schedules.



3 Medium probability of failure. Reports reference Maximo work orders but system does not integrate with Maximo; lacks inspection scheduling capability.

Application Architecture

2 Low probability of failure.


4 High probability of failure. Requires significant manual data entry resulting in data duplication; limited reporting functionality.

Capacity




C Application Name: Archibus Vendor: Archibus, Inc.

Description: Repository of all work spaces (cubicles) within the District. PoF Assessment Factor Score Description


3 Medium probability of failure. Meets current business needs, but will require modifications to meet future requirements.


3 Medium probability of failure. Does not interface with District’s current CADD system version.



Capacity



Application Name: Budget Tools Vendor: Various in-house custom

developed

Description: Tracks project budget information. PoF Assessment Factor Score Description


4 High probability of failure. Difficult to use; only limited integration with PeopleSoft; linked excel files combined with import/export of data used to maintain data.


4 High probability of failure. Relies on multiple linked Excel files, requiring significant maintenance and raising reliability concerns.


4 High probability of failure. Data not easily accessible or searchable – requires knowledge of data structures.

Capacity

4 High probability of failure. Lack of database management system results in limited scalability.

PoF 4 x CoF 28 = BRE 112 (Severe)


C Application Name: CALSIM Vendor: Third-party custom developed

(CA Department of Water Resources)

Description: State/federal water supply simulation model. PoF Assessment Factor Score Description


4 High probability of failure. Lacks integration with other modeling-related data.





Capacity


PoF 4 x CoF NA = BRE NA

Application Name: Condition Assessment and Risk

Assessment (CARA)/ Infrastructure Capital Asset Management (ICAM)

Vendor: CH2MHILL

Description: Asset management analysis and planning system for Water Utility Enterprise; tracks infrastructure capital asset condition and risk assessments.



4 High probability of failure. Requires many workarounds. Inadequate integration with CARA Mobile and Maximo.


5 Very high probability of failure. Operates on an obsolete Microsoft operating system (OS), which is no longer supported.


4 High probability of failure. Lacks reliable data quality and integrity.

Capacity

4 High probability of failure. Not scalable or extensible.



C Application Name: Contract Administration System

(CAS) Vendor: Clarte

Description: Supports development and publication of procurement and contract documents and online submittal for contractor bids and proposals; tracks procurement results and contract documents.



4 High probability of failure. Requires significant manual data entry and workarounds for district users.




3 Medium probability of failure. Perpetuates data duplication and redundancy.

Capacity

3 Medium probability of failure. Performance can be slow for contractor’s submitting bids and proposals online.


Application Name: Certificate Vendor: In-house custom developed

Description: Tracks certificates of insurance including general liability, auto liability, and umbrella policies.








Capacity




C Application Name: CIP Dashboard Vendor: In-house custom developed

Description: Displays near real-time capital improvement project-related key performance data.



4 High probability of failure. Serves as a workaround for functionality that is common in robust, modern ERP systems.


3 Medium probability of failure. Architecture is reliable, but will require modification to meet future requirements.


4 High probability of failure. Duplicates data maintained in PeopleSoft as well as existing planning and budgeting tools.

Capacity



Application Name: Comcate (Access Valley Water) Vendor: Comcate

Description: Application services provider (ASP)-hosted customer relationship management (CRM) system to submit, route, manage, and track public requests and internal service requests.



2 Low probability of failure





Capacity


PoF 2 x CoF 25 = BRE 50 (Moderate)


C Application Name: Corrective and Preventive Action

Requests (CPAR) System Vendor: In-house custom developed

Description: Tracks correction and enhancement requests for the quality and environmental management system (QEMS).



3 Medium probability of failure. Difficult to adapt to changing business processes.


4 High probability of failure. Architecture non-compliant with district standards; built using PHP, MySQL, and InnoDB engine.


4 High probability of failure. -Current data and content management requirements are in jeopardy of not being achieved. Meeting future requirements will require major modifications due to system not being compliant with the district standards.

Capacity



Application Name: Community Projects Review Unit

(CPRU) System Vendor: In-house custom developed

Description: Tracks District-issued permits for the Community Projects Review Unit; designed using key references that follow the four-digit cost center scheme in the Maximo asset registry.



3 Medium probability of failure. Requires some manual data entry and workarounds.


3 Medium probability of failure.


4 High probability of failure. Content not easily accessible, searchable, or reportable. Large archive of paper and fiche documents, only a small percentage of which has been scanned.

Capacity




C Application Name: District Permit Management

System (DPMS) Vendor: In-house custom developed

Description: Tracks watershed permits with which the District has compliance obligations. PoF Assessment Factor Score Description




3 Medium probability of failure. Requires modification to meet anticipated future requirements.



Capacity



Application Name: Drupal Vendor: Open source

Description: Content management system used to support the District’s intranet. PoF Assessment Factor Score Description







Capacity




C Application Name: Engineering Drawing Catalog

System (EDCAT) Vendor: In-house custom developed

Description: Indexes physical engineering drawing records; used by the Records and Library Unit.







3 Medium probability of failure. Meets current data and content management requirements and with some modifications, future requirements. EDCAT is restricted for certain drawings that are available in other areas without restriction.

Capacity

5 Very high probability of failure. Does not contain all engineering drawings.


Application Name: Ektron Vendor: Ektron

Description: Web content management system used to manage the District’s internet website.








Capacity




C Application Name: ESRI SDE Vendor: ESRI

Description: Geographic information system PoF Assessment Factor Score Description




3 Medium probability of failure. Requires alignment with Oracle Spatial to meet future requirements.



Capacity



Application Name: Extensis Vendor: Extensis

Description: Catalogs and indexes digital and non-digital documents and photographs; used by the Records and Library Unit.





4 High probability of failure. Have not yet upgraded to most current version.


3 Medium probability of failure. Meets current data and content management requirements and with some modifications, future requirements.

Capacity

4 High probability of failure. Data from legacy HP system cannot easily be converted into this system.



C Application Name: Fee & Easement Vendor: In-house custom developed

Description: Spatially enabled database of District-owned properties, containing real estate records regarding property ownership, spatial geometry, and easement rights.



4 High probability of failure. Difficult to use and track property records; limited integration with other core applications.


3 Medium probability of failure. Architecture is reliable, but will require modification to meet future requirements.


5 Very high probability of failure. Lack of reliable data quality and integrity.

Capacity

4 High probability of failure. Does not contain all property-related documents (e.g., letters, board approvals), which are currently stored as paper documents or on fiche; may not have the capacity to include all of these documents.


Application Name: Financials Data Warehouse (FIN DW)

Vendor: In-house custom developed

Description: Financial data sourced from PeopleSoft FMS; generally accessed using Cognos tools.





3 Medium probability of failure. Architecture is reliable, but will require modification to meet future requirements as People Soft is upgraded or replaced.



Capacity

3 Medium probability of failure. Meets current capacity requirements, but likely won’t meet future needs.



C Application Name: H2ONet Vendor: Innovyze

Description: Hydraulic model for modeling the distribution system. PoF Assessment Factor Score Description


4 High probability of failure. Lacks integration with other modeling related data. The newer version of this model supports GIS instead of CAD.





Capacity



Application Name: HEC-RAS Vendor: US Army Corps of Engineers

Description: One-dimensional hydraulic model for modeling flow for a full network of natural and constructed channels



4 High probability of failure. Lacks critical integration with other modeling related data.





Capacity




C Application Name: Honeywell Vendor: Honeywell

Description: Manages user records and access control cards to district facilities. PoF Assessment Factor Score Description




4 High probability of failure. System has reached end of life. There is a plan to switch over to Honeywell's Prowatch enterprise system within the next few years.



Capacity



Application Name: Hazardous Substance Liability

Assessment (HSLA) Vendor: In-house custom developed

Description: Stores HSLA data related to property acquisition investigations. PoF Assessment Factor Score Description


3 Medium probability of failure. Lacks integration with Fee and Easement for accurate acquisition types, PeopleSoft for project numbers, Phone Database for district requesters, and WRAS for parcel information.


4 High probability of failure. This is system relies on an aging architecture and suffers from poor integration.



Capacity




C Application Name: IWR-MAIN Vendor: CDM Smith

Description: Supports demographic-based water demand forecasting. PoF Assessment Factor Score Description


4 High probability of failure. Lacks integration with other modeling related data. Inadequate supporting data for modeling water demand..





Capacity



Application Name: Long Term Forecast (LTF) Vendor: In-house custom developed

Description: Various long-term forecasting physical documents and electronic files developed and managed by the Financial Services Unit for annual budget preparation and long-term strategic planning.



5 Very high probability of failure. Requires significant manual data entry and workaround; does not meet current business needs.


4 High probability of failure. Relies on multiple Microsoft Excel and Word files; significant reliability concerns.


5 Very high probability of failure. Relies on multiple Microsoft Excel and Word files; lacks true database management and perpetuates data duplication and risk of error.

Capacity

3 Medium probability of failure. Meets current capacity requirements, but is on the margin. There is no database to support this application. It is implemented using MS Excel and MS Word.



C Application Name: Maximo Vendor: IBM

Description: Asset registry; manages asset maintenance and work orders. PoF Assessment Factor Score Description






3 Medium probability of failure. Difficult data access and reporting; incomplete asset information.

Capacity

3 Medium probability of failure. Meets current capacity requirements, but is on the margin. Some performance issues have been reported by the users.


Application Name: Monitoring and Mitigation

Activities Database (MMAD) Vendor: In-house custom developed

Description: Tracks and manages mitigation and monitoring projects for Watershed Operations; includes asset location references (e.g., creeks, waterbodies).





3 Medium probability of failure. Architecture is reliable, but will require modification to meet future requirements. For example, it lacks a GIS map interface.


3 Medium probability of failure. Implementation of EM-IMS and MMAD need to be aligned so data content of these systems is defined and is not duplicated.

Capacity




C Application Name: Operations Data Management

System (ODMS) Vendor: Third-party custom developed

Description: Repository of all SCADA sensor data/readings associated with district water delivery and treatment operations.



3 Medium probability of failure. The current plans are to try to work out a way to complete the punch-list items that were left by the contractor after they ran out of money on the project.





Capacity



Application Name: Oracle Spatial Vendor: Oracle

Description: Database management and storage system for ESRI files. PoF Assessment Factor Score Description


3 Medium probability of failure. Requires a moderate number of manual work processes and/or workarounds; requires technical intervention to adapt to changing business practices.


3 Medium probability of failure. Architecture is reliable, but will require modification to the process of maintaining the data to meet future requirements.


3 Medium probability of failure. Not all GIS data available in this format; not officially accepted as primary source of spatial data although in many applications it is used as the single source of data.

Capacity




C Application Name: PeopleSoft Vendor: Oracle

Description: Enterprise human resource management, financial management, payroll, purchasing, and budget system for the District.



4 High probability of failure. Cumbersome to use and only limited integration with other core applications including Maximo; lacks some core functionality including full life-cycle procurement and robust budgeting, which is currently supported by shadow systems.


5 Very high probability of failure. Current software releases (PeopleSoft HRM 8.3 and FMS 8.4) not upgraded in nine years and nearing end-of-life.


3 Medium probability of failure. Provides acceptable quality, integrity, accessibility, searchability, and reportability today, but modifications will be required to sustain the same level in the future; a moderate level of data duplication/redundancy exists.

Capacity

3 Medium probability of failure. Marginally meets current capacity needs, but not future requirements.



C Application Name: Phone Database (DB) Vendor: In-house custom developed

Description: Primary repository for all employee, temporary worker, contractor, and other individual contact data and information; relied on for user authentication by a number of applications.



3 Medium probability of failure. Meets current business needs, but will require modification to meet future requirements. System functionality effectively supports current business processes. System requires technical intervention to adapt to changing business practices. Integrated with core applications.


4 High probability of failure. Duplicates data that could be more effectively maintained in Active Directory, which would make this data more accessible from other core applications such as Oracle.



Capacity



Application Name: Photo Library Vendor: In-house custom developed

Description: Catalogs photographs of creeks and associated assets taken during field inspections and related activities.



3 Medium probability of failure. Meets current business needs, but will require modification to meet future requirements.


4 High probability of failure. Architecture is aging and requires significant maintenance.


3 Medium probability of failure. Meets current data and content management requirements and with some modifications, future requirements

Capacity

4 High probability of failure. Occasionally fails to delivery peak demand capacity and performance.



C Application Name: Quality and Environment

Management System (QEMS) Vendor: In-house custom developed

Description: Procedure library for key district processes (ISO controlled). PoF Assessment Factor Score Description




4 High probability of failure. Architecture is non-compliant with district standards.



Capacity



Application Name: Questys CADD Vendor: Questys Solutions

Description: Document repository for engineering drawings of projects and related assets. PoF Assessment Factor Score Description




3 Medium probability of failure. Architecture is reliable, but will require modification to meet future requirements. An upgrade to this product is being introduced by the vendor.



Capacity




C Application Name: Questys COB Vendor: Questys Solutions

Description: Document repository for all Clerk of the Board-related documents including Board agenda and minutes, project proposals, contracts, amendments, and presentations.





3 Medium probability of failure. Planned transition to Questys Content Management (CMx) may cause issues with existing integration with Granicus.


3 Medium probability of failure. Difficult search.

Capacity



Application Name: Respect Vendor: In-house custom developed

Description: Tracks district real estate related records and information. PoF Assessment Factor Score Description




5 Very high probability of failure. Operates on an obsolete Windows platform; architecture nearing end-of-life; significant reliability concerns.


5 Very high probability of failure. Significant data quality concerns.

Capacity

4 High probability of failure. Not easily scalable or extensible due to obsolete platform.



C Application Name: RISK Vendor: In-house custom developed

Description: Liability claims tracking system for vehicle and property-related assets. PoF Assessment Factor Score Description


3 Medium probability of failure. Meets current business needs, but will require modification to meet future requirements. Integration with a document management system would benefit this system.


3 Medium probability of failure Architecture is reliable, but will require modification to meet future requirements. This system needs enhancements in several areas including reporting, but this effort has not been budgeted.



Capacity



Application Name: Supervisor Control and Data

Acquisition (SCADA) Vendor: Intellution

Description: Operational control and monitoring system for reservoirs, pumping plants, line valves, raw water turnouts, and other facilities.








Capacity




C Application Name: Stream Maintenance Program

(SMP) System Vendor: In-house custom developed

Description: Tracks regulatory compliance responsibilities and field work for watershed-related assets.



3 Medium probability of failure. Meets current business needs, but will require modification to meet future requirements


3 Medium probability of failure. -Architecture is reliable, but will require modification to meet future requirements. New modules are being developed for this system to enhance the system. Possible integration with document management system would enhance this system.


3 Medium probability of failure. Meets current data and content management requirements and with some modifications, future requirements. A number of enhancements are currently planned for this system.

Capacity

2 Low probability of failure. .


Application Name: Surface Water Treatment Rule (SWTR) Vendor: In-house custom developed

Description: Collects SCADA data and triggers notifications to plant supervisors based on specific water treatment measurement parameters; generates water treatment monthly compliance reports.



4 High probability of failure. Requires some manual data entry and workarounds.





Capacity




C Application Name: Training Wizard Vendor: Coastal DuPont

Description: Tracks training activities. PoF Assessment Factor Score Description


3 Medium probability of failure. Not easy to use; planned to be replaced by Halogen.




3 Medium probability of failure. Some difficulty in accessing data and producing reports.

Capacity



Application Name: TRAK Vendor: TRAK Engineering, Inc.

Description: Stores fuel and mileage data for vehicles and equipment and nightly updates Maximo.



4 High probability of failure. Meets current business needs only inefficiently and ineffectively


5 Very high probability of failure. Operates on FoxPro 3.01.13, an obsolete platform.


4 High probability of failure. Current data and content management requirements are in jeopardy of not being achieved and future requirements cannot be achieved without major modifications.

Capacity




C Application Name: USGS Modflow Vendor: Third-party custom developed

(US Geological Survey)

Description: Groundwater flow model for Santa Clara, Llagas, and Coyote sub-basins. PoF Assessment Factor Score Description







Capacity



Application Name: Vertical Vendor: In-house custom developed

Description: Stores survey elevation data. PoF Assessment Factor Score Description


3 Medium probability of failure. Meets current business needs, but will require modification to meet future requirements


5 Very high probability of failure. ArcIMS architecture is near end-of-life.


3 Medium probability of failure. Meets current data and content management requirements. With some modifications, may also address future requirements.

Capacity

3 Medium probability of failure. Meets current capacity requirements, but is on the margin.



C Application Name: Water Supply Operations Excel

Model Vendor: In-house custom developed

Description: Water Supply Operations water accounting and tracking system. PoF Assessment Factor Score Description







Capacity



Application Name: Watershed AM Mobile

(Watersheds Field Inspection Model)

Vendor: ESRI, ActiveG, and Maximo

Description: Supports mobile condition assessment and inspection of watershed assets. PoF Assessment Factor Score Description







Capacity




C Application Name: Water Evaluation and Planning

(WEAP) Vendor: Stockholm Environment

Institute

Description: Long-term supply modeling tool. PoF Assessment Factor Score Description







Capacity



Application Name: WISKI Vendor: Kisters

Description: Primary hydrology database. PoF Assessment Factor Score Description




3 Medium probability of failure. Approach to reporting and interface with other systems need to be defined and enhanced.



Capacity

4 High probability of failure. Growing database size risks available capacity.



C Application Name: Watershed Revenue Appraisal

System (WRAS) Vendor: In-house custom developed

Description: Calculates the District's property tax revenue (defined by Benefit Assessment and Clean Safe Creek Programs), supports the Senior Exemption Program, and maintains all tax records for these two programs.





3 Medium probability of failure. - Architecture is reliable, but will require modification to meet future requirements (e.g., changes to the way the District provides parcel information, changes to the clean safe creek program).



Capacity



Application Name: Watershed Resource Information System (WRIS)

Vendor: Third-party custom developed (DCSE, Inc.)

Description: WRIS implements the processes related to the permitting, inspection, construction, and revenue collection from wells. It also includes the revenue collection processes related to raw and treated water deliveries. In addition, it includes processes related to water level and water quality data gathering.








Capacity




C Application Name: WSO System Optimization Model Vendor: Developed In-house

Description: Water supply and operations planning optimization model PoF Assessment Factor Score Description







Capacity





Appendix D: IT Staffing Analysis Detail


D In developing the information technology service delivery findings in chapter 2, PTI evaluated SCVWD’s information technology staffing levels across five IT functional areas (please note that this are different from and do not have a one-to-one correspondence with IMSD’s business units, which has similar organizational titles):

♦ Customer Support – labor related to directly helping end users utilize IT systems and services (e.g., help desk, tier 2 support)

♦ Technical Infrastructure Support – labor related to implementing and maintaining the organization’s computers, systems software, and connectivity (e.g., servers, networks)

♦ Application Support – labor related to developing custom applications, installing and configuring software packages, and otherwise maintaining the software needed to meet the operational, management, and reporting requirements of the organization

♦ IT Planning – labor related to technology planning and governance

♦ IT Administration – labor related to the oversight and administration of technology

The tables in this appendix reflect ongoing operations and maintenance (O&M) labor expressed as full time equivalent (FTE) effort. They do not include IT labor paid for by capital allocations.

District staff initially provided this data, and reviewed and validated it after PTI assembled and analyzed it.

IT Staffing Detail SCVWD has a total of 46.89 IT-titled FTEs24 – 6.16% of all FTEs district-wide – including 41.69 FTEs in IMSD and 5.20 FTEs in the business units. Additionally, 2.52 non IT-titled FTEs (i.e., shadow staff) across the business units support IT functions. The following table summarizes IT labor effort allocation across each of the five defined IT functional areas.

24 Note that all IT FTE figures represent IT labor effort (excluding work performed on non-IT functions and GIS data maintenance) as reported by the District and analyzed by PTI. They do not represent actual headcount or budgeted positions.


D

Staff Labor by IT Function

Note: Some totals may not match due to rounding errors.

The table below details the distribution of the District’s IT-titled staff in IMSD and the business units supporting application services. These numbers represent the IT labor effort devoted to supporting specific software within each application area.

Application Area Labor Effort25

Note: Some totals may not match due to rounding errors.

The tables on the following pages present summary labor data collected by PTI and validated by the District. Due to the nature and size of the data set, the full matrix and associated data cannot be effectively presented in this report.

Definitions for each of the IT functional areas and associated activities follow the summary tables.

25 Core support services include the management and maintenance of applications that are used to support internal administrative needs including help desk, legal support, board support, human resources/payroll, timekeeping, and management reporting.

IT FunctionsIMSD % Allocation Business Units % Allocation Shadow Staff % Allocation Districtw ide % Allocation

Customer Services 9.05 19.3% 0.20 0.4% 0.05 2.0% 9.30 18.8%Infrastructure Services 8.61 18.4% 0.70 1.5% 0.81 32.1% 10.12 20.5%Application Services 15.45 32.9% 2.50 5.3% 1.32 52.5% 19.27 39.0%IT Planning 1.79 3.8% 1.80 3.8% 0.30 11.9% 3.89 7.9%IT Administration 6.79 14.5% 0.00 0.0% 0.04 1.6% 6.83 13.8%

Total 41.69 88.9% 5.20 11.1% 2.52 100.0% 49.41 100.0%

Application Services IMSD % Allocation Business Units % Allocation Districtw ide % Allocation

Financial 0.95 6.1% 0.00 0.0% 0.95 5.3%Human Resources 1.35 8.7% 0.00 0.0% 1.35 7.5%Asset Management 5.05 32.7% 0.60 24.0% 5.65 31.5%Program Specific 2.10 13.6% 0.00 0.0% 2.10 11.7%Regulatory / District Act Compliance 0.85 5.5% 0.10 4.0% 0.95 5.3%Corporate Business Support 1.70 11.0% 0.00 0.0% 1.70 9.5%Risk Management 0.00 0.0% 0.00 0.0% 0.00 0.0%SCADA 0.10 0.6% 1.80 72.0% 1.90 10.6%Internet/intranet 2.70 17.5% 0.00 0.0% 2.70 15.0%IT Support Tools 0.65 4.2% 0.00 0.0% 0.65 3.6%

Total 15.45 100.0% 2.50 100.0% 17.95 100.0%


D

IT Services Labor Allocation (FTEs)

FT

E T

ota

lsC

usto

me

r Se

rvices

9.050.20

9.250.05

9.30H

elp Desk (Tier 1)

3.700.00

3.700.00

3.70T

ier 2 S

up

po

rt:5.15

0.005.15

0.055.20

Personal C

omputer S

upport2.05

0.002.05

0.052.10

Mobile D

evice Support

0.750.00

0.750.00

0.75P

ersonal Productivity Tool S

upport2.35

0.002.35

0.002.35

Business A

pplication Support

0.150.10

0.250.00

0.25Training

0.050.10

0.150.00

0.15In

frastru

cture

Se

rvices

8.610.70

9.310.81

10.12P

ersonal Com

puter Adm

inistration0.55

0.000.55

0.000.55

Database A

dministration

1.410.70

2.110.48

2.59S

ecurity Adm

inistration0.66

0.000.66

0.000.66

Data C

enter/Server R

oom O

perations0.43

0.000.43

0.000.43

Project M

anagement

0.780.00

0.780.13

0.91S

erve

r Ad

min

istratio

n:

2.020.00

2.020.20

2.22E

mail/C

alendaring Adm

inistration0.16

0.000.16

0.000.16

File/P

rint Adm

inistration0.30

0.000.30

0.000.30

Application S

erver Adm

inistration0.40

0.000.40

0.050.45

Database S

erver Adm

inistration0.28

0.000.28

0.000.28

Storage A

dministration

0.230.00

0.230.05

0.28O

ther Server A

dministration

0.650.00

0.650.10

0.75C

om

mu

nica

tion

Se

rvices:

2.760.00

2.760.00

2.76N

etwork A

dministration (W

AN

/LAN

/Wireless)

0.260.00

0.260.00

0.26R

adio Support

1.100.00

1.100.00

1.10Telecom

munications S

ystems S

upport0.30

0.000.30

0.000.30

Audio/V

isual Services

1.100.00

1.100.00

1.10B

usin

ess A

pp

licatio

n S

ervice

s15.45

2.5017.95

1.3219.27

Fin

an

cial:

0.950.00

0.950.00

0.95P

ackaged application support0.95

0.000.95

0.000.95

Custom

application support0.00

0.000.00

0.000.00

GIS

support0.00

0.000.00

0.000.00

Hu

ma

n R

eso

urce

s:1.35

0.001.35

0.001.35

Packaged application support

1.150.00

1.150.00

1.15C

ustom application support

0.100.00

0.100.00

0.10G

IS support

0.100.00

0.100.00

0.10A

sset M

an

ag

em

en

t:5.05

0.605.65

0.376.02


1.850.60

2.450.25

2.70C


1.650.00

1.650.12

1.77G

IS support

1.550.00

1.550.00

1.55P

rog

ram

Sp

ecific:

2.100.00

2.100.75

2.85P


0.000.05

0.200.25

Custom


0.001.80

0.552.35

GIS

support0.25

0.000.25

0.000.25

Re

gu

lato

ry/District A

ct Co

mp

lian

ce:

0.850.10

0.950.00

0.95P


0.000.40

0.000.40

Custom


0.100.40

0.000.40

GIS

support0.15

0.000.15

0.000.15

Co

rpo

rate

Bu

sine

ss Su

pp

ort:

1.700.00

1.700.00

1.70P


0.000.50

0.000.50

Custom


0.000.55

0.000.55

GIS

support0.65

0.000.65

0.000.65

Risk M

an

ag

em

en

t:0.00

0.000.00

0.000.00


0.000.00

0.000.00

0.00C


0.000.00

0.000.00

0.00G

IS support

0.000.00

0.000.00

0.00S

CA

DA

:0.10

1.801.90

0.001.90


0.101.80

1.900.00

1.90C


0.000.00

0.000.00

0.00G

IS support

0.000.00

0.000.00

0.00In

tern

et/In

tran

et:

2.700.00

2.700.20

2.90P


0.001.45

0.101.55

Custom


0.001.20

0.101.30

GIS

support0.05

0.000.05

0.000.05

IT S

up

po

rt To

ols:

0.650.00

0.650.00

0.65P


0.000.60

0.000.60

Custom


0.000.05

0.000.05

GIS

support0.00

0.000.00

0. 000.00

IT P

lan

nin

g1.79

1.803.59

0.303.89

Strategic P

lanning & G

overnance0.98

0.601.58

0.101.68

Research and D

evelopment

0.610.60

1.210.10

1.31D

isaster Recovery/P

lanning0.20

0.600.80

0.100.90

IT A

dm

inistra

tion

6.790.00

6.790.04

6.83A

sset Managem

ent0.48

0.000.48

0.000.48

IT Procurem

ent1.50

0.001.50

0.041.54

Standards and P

olicies Developm

ent0.56

0.000.56

0.000.56

Custom

er Account M

anagement

0.600.00

0.600.00

0.60A

dministrative S

upport0.65

0.000.65

0.000.65

Departm

ental Managem

ent3.00

0.003.00

0.003.00

Ge

og

rap

hic In

form

atio

n S

ystem

s0.30

0.000.30

0.000.31

GIS

Data M

aintenance0.31

0.000.31

0.000.31

Su

pp

lem

en

tary IM

SD

Se

rvices

0.100.10

0.10S

upplementary IM

SD

Labor0.10

0.100.10

Ca

pita

l IT P

roje

cts1.50

1.803.30

0.003.30

Capital IT P

roject Labor1.50

1.803.30

0.003.30

To

tals

(excluding GIS

data maintenance, supplem

entary IMS

D

services, and capital projects)41.69

5.2046.89

2.5249.41

FTE TOTAL

Shadow Staff

IT-T

itled

Sta

ff On

ly

Business Unit IT Staff

Central Org IT Staff

Inclu

sive o

f Sh

ad

ow

Sta

ff

FTE TOTAL


D

IT Services Personnel Cost Allocation

Co

st T

ota

lsC

usto

me

r Se

rvices

1,127,430$

6,600$

1,134,030$

6,761$

1,140,791$

Help D

esk (Tier 1)447,043

$ -

$ 447,043

$ -

$ 447,043

$ T

ier 2 S

up

po

rt:649,658

$ -

$ 649,658

$ 6,761

$ 656,419

$ P

ersonal Com

puter Support

239,667$

-$

239,667$

6,761$

246,429$

Mobile D

evice Support

123,328$

-$

123,328$

-$

123,328$

Personal P

roductivity Tool Support

286,662$

-$

286,662$

-$

286,662$

Business A

pplication Support

22,283$

3,300$

25,583$

-$

25,583$

Training8,446

$ 3,300

$ 11,746

$ -

$ 11,746

$ In

frastru

cture

Se

rvices

1,255,221$

23,100$

1,278,321$

113,855$

1,392,176$

Personal C

omputer A

dministration

74,436$

-$

74,436$

-$

74,436$

Database A

dministration

226,406$

23,100$

249,506$

67,069$

316,576$

Security A

dministration

107,028$

-$

107,028$

-$

107,028$

Data C

enter/Server R

oom O

perations60,446

$ -

$ 60,446

$ -

$ 60,446

$ P

roject Managem

ent136,623

$ -

$ 136,623

$ 19,741

$ 156,364

$ S

erve

r Ad

min

istratio

n:

288,687$

-$

288,687$

27,045$

315,732$

Em

ail/Calendaring A

dministration

22,964$

-$

22,964$

-$

22,964$

File/P

rint Adm

inistration42,180

$ -

$ 42,180

$ -

$ 42,180

$ A

pplication Server A

dministration

59,772$

-$

59,772$

6,761$

66,533$

Database S

erver Adm

inistration42,087

$ -

$ 42,087

$ -

$ 42,087

$ S

torage Adm

inistration34,050

$ -

$ 34,050

$ 6,761

$ 40,811

$ O

ther Server A

dministration

87,634$

-$

87,634$

13,522$

101,157$

Co

mm

un

icatio

n S

ervice

s:361,595

$ -

$ 361,595

$ -

$ 361,595

$ N

etwork A

dministration (W

AN

/LAN

/Wireless)

34,315$

-$

34,315$

-$

34,315$

Radio S

upport153,644

$ -

$ 153,644

$ -

$ 153,644

$ Telecom

munications S

ystems S

upport41,439

$ -

$ 41,439

$ -

$ 41,439

$ A

udio/Visual S

ervices132,197

$ -

$ 132,197

$ -

$ 132,197

$ B

usin

ess A

pp

licatio

n S

ervice

s2,375,111

$ 332,575

$ 2,707,686

$ 248,391

$ 2,956,078

$ F

ina

ncia

l:154,066

$ -

$ 154,066

$ -

$ 154,066

$ P

ackaged application support154,066

$ -

$ 154,066

$ -

$ 154,066

$ C


-$

-$

-$

-$

-$

GIS

support-

$ -

$ -

$ -

$ -

$ H

um

an

Re

sou

rces:

216,474$

-$

216,474$

-$

216,474$


185,433$

-$

185,433$

-$

185,433$

Custom

application support16,074

$ -

$ 16,074

$ -

$ 16,074

$ G

IS support

14,966$

-$

14,966$

-$

14,966$

Asse

t Ma

na

ge

me

nt:

750,808$

82,319$

833,127$

105,069$

938,196$


305,317$

82,319$

387,636$

68,781$

456,417$

Custom

application support264,072

$ -

$ 264,072

$ 36,288

$ 300,360

$ G

IS support

181,419$

-$

181,419$

-$

181,419$

Pro

gra

m S

pe

cific:315,923

$ -

$ 315,923

$ 111,955

$ 427,878

$ P


$ -

$ 8,446

$ 29,206

$ 37,652

$ C


271,373$

-$

271,373$

82,749$

354,122$

GIS

support36,104

$ -

$ 36,104

$ -

$ 36,104

$ R

eg

ula

tory/D

istrict Act C

om

plia

nce

:137,434

$ 3,300

$ 140,734

$ -

$ 140,734

$ P


$ -

$ 67,707

$ -

$ 67,707

$ C


47,832$

3,300$

51,132$

-$

51,132$

GIS

support21,895

$ -

$ 21,895

$ -

$ 21,895

$ C

orp

ora

te B

usin

ess S

up

po

rt:262,307

$ -

$ 262,307

$ -

$ 262,307

$ P


$ -

$ 63,142

$ -

$ 63,142

$ C


104,322$

-$

104,322$

-$

104,322$

GIS

support94,844

$ -

$ 94,844

$ -

$ 94,844

$ R

isk Ma

na

ge

me

nt:

-$

-$

-$

-$

-$


-$

-$

-$

-$

-$

Custom

application support-

$ -

$ -

$ -

$ -

$ G

IS support

-$

-$

-$

-$

-$

SC

AD

A:

15,299$

246,956$

262,256$

-$

262,256$


15,299$

246,956$

262,256$

-$

262,256$

Custom

application support-

$ -

$ -

$ -

$ -

$ G

IS support

-$

-$

-$

-$

-$

Inte

rne

t/Intra

ne

t:436,980

$ -

$ 436,980

$ 31,368

$ 468,347

$ P


$ -

$ 235,098

$ 15,684

$ 250,782

$ C


193,845$

-$

193,845$

15,684$

209,529$

GIS

support8,037

$ -

$ 8,037

$ -

$ 8,037

$ IT

Su

pp

ort T

oo

ls:85,819

$ -

$ 85,819

$ -

$ 85,819

$ P


$ -

$ 79,220

$ -

$ 79,220

$ C


6,599$

-$

6,599$

-$

6,599$

GIS

support-

$ -

$ -

$ -

$ -

$ IT

Pla

nn

ing

338,010$

246,956$

584,966$

47,052$

632,018$

Strategic P

lanning & G

overnance187,839

$ 82,319

$ 270,158

$ 15,684

$ 285,842

$ R

esearch and Developm

ent116,760

$ 82,319

$ 199,079

$ 15,684

$ 214,763

$ D

isaster Recovery/P

lanning33,411

$ 82,319

$ 115,730

$ 15,684

$ 131,414

$ IT

Ad

min

istratio

n1,267,818

$ -

$ 1,267,818

$ 12,000

$ 1,279,818

$ A

sset Managem

ent81,153

$ -

$ 81,153

$ -

$ 81,153

$ IT P

rocurement

232,282$

-$

232,282$

12,000$

244,282$

Standards and P

olicies Developm

ent105,583

$ -

$ 105,583

$ -

$ 105,583

$ C

ustomer A

ccount Managem

ent117,830

$ -

$ 117,830

$ -

$ 117,830

$ A

dministrative S

upport104,062

$ -

$ 104,062

$ -

$ 104,062

$ D

epartmental M

anagement

626,908$

-$

626,908$

-$

626,908$

Ge

og

rap

hic In

form

atio

n S

ystem

s49,543

$ -

$ 49,543

$ -

$ -

$ G

IS D

ata Maintenance

49,543$

-$

49,543$

-$

49,543$

Su

pp

lem

en

tary IS

MD

Se

rvices

-$

-$

-$

Supplem

entary IMS

D Labor

18,362$

18,362$

18,362$

Ca

pita

l IT P

roje

cts-

$ 246,956

$ 246,956

$ -

$ 246,956

$ C

apital IT Project Labor

271,872$

246,956$

518,829$

-$

518,829$

To

tals

(excluding GIS

data maintenance, supplem

entary IMS

D

services, and capital projects)6,363,590

$ 609,232

$ 6,972,822

$ 428,059

$ 7,400,881

$

Shadow Staff

Business Unit IT Staff

Inclu

sive o

f Sh

ad

ow

Sta

ffIT

-Title

d S

taff O

nly

Cost TOTAL

Cost TOTAL

Central Org IT Staff


D IT Functional Area and Activities Definitions

Customer Services Customer Services include those activities related to directly supporting users of IT systems and services (e.g., help desk).

Help Desk (Tier 1)

The activities related to providing a first point of contact for users to report problems and seek answers to questions related to their personal computers, network access, email, personal productivity software, and business application software. Includes initial problem resolution, triage, and problem escalation.

Tier 2 Support

The activities related to providing in-person assistance with the software and hardware that support user work functions, including PCs, handhelds and other mobile devices, peripherals, and specialized computing environments such as public kiosks.

Personal Computer Support The activities related to onsite support of the organization’s network applications (e.g., calendar, email, etc.), desktop computers, laptop computers, terminals, and attendant operating systems and peripherals.

Mobile Device Support The activities related to onsite support of personal digital assistants (PDAs), including troubleshooting syncing to desktop PCs, network connectivity, and their business-specific applications. The processes related to onsite support of the special purpose devices (beyond portable devices), such as kiosks, mobile data terminals (MDTs), etc., along with attendant peripherals.

Personal Productivity Tool Support The activities related to providing onsite end user support concerning the use of desktop applications such as word processing, spreadsheets, presentation tools, and other organizational office productivity tools.

Business Application Support

The activities related to providing end-user support (answering questions, etc.) regarding the use of business-specific software (e.g., financial management, permit management, etc.) beyond that which is provided by the first point of contact.


D Training

The activities related to providing technology-related instruction to staff aimed at enhancing their skills, knowledge, and performance. Includes training requirement analysis, course design and development, and training delivery.

Technical Infrastructure Services Technical Infrastructure Services include those activities related to implementing and maintaining the organization’s computers, systems software, and connectivity (servers, networks, etc.).

Personal Computer Administration

The activities related to the setup, configuration, original installation, and scheduled maintenance of end users’ desktop and laptop computers, end-user terminals, and related peripherals. Includes installation and configuration of PC operating systems and software, such as personal productivity tools and anti-virus applications. Includes the creation and maintenance of disk images, application of patches and updates, and all scheduled maintenance.

Database Administration

The activities related to planning, implementing, and administering the data structures required to support the organization’s applications portfolio, and to maintaining the data contained within the Organization’s defined data structures. Includes performance management and recovery.

Security Administration

The activities related to developing, maintaining, and administering the security plan for the organization’s host processors, servers, personal computers, communication devices and networks. Does not include installation of desktop security tools nor server account management – does include managing centrally managed server based security solutions.

Data Center/Server Room Operations

The activities related to the planning, administration, and operation of the facility that houses all centralized computing equipment, including backup/restore operations and storage management. It also includes operation and maintenance of the attendant systems, including fire suppression, backup electrical power, air conditioning, etc.

Project Management

The activities related to the oversight and coordination of major systems-related technology initiatives.

Server Administration

The activities related to implementing and maintaining servers, including both Intel-based and mid-range devices. These activities also include administration, account management, and operation of file,


D print, and application servers and other logical network devices; performance management; tuning; applying operating system patches and upgrades; and administering configuration data.

Email/Calendaring Administration The activities related to the administration of email and calendaring servers, including account set-up, backup administration, account restoration, etc.

File/Print Administration The activities related to the administration of file and print servers including account administration, print queue monitoring, back-up and optimization, etc.

Application Server Administration The activities related to the administration of servers used to house web or middle-tier software or deliver application software to end-users. Includes account administration, middle-tier software deployment, optimization of network connectivity, data backup, database restoration, etc. Covers ERP and departmental application hosting, as well as GIS, Web sites for eGovernment and/or Intranet, etc.

Database Server Administration The activities related to the maintenance of the hardware and network capabilities associated with the Organization's database servers. Examples include assessing and increasing storage capacity, improving data throughput, overseeing server access security, etc.

Storage Administration The activities related to the administration of SANS/NAS data storage, centralized archival storage systems and/or off site data storage. Activities would include performing scheduled backups, assessing storage capacity and growth demands, setting end-user storage quotas, monitoring data storage security and integrity, assisting with emergency planning and data recovery efforts, etc.

Other Server Administration The activities related to the administration of any other servers not accounted for in the prior categories. Examples may be dedicated proprietary SCADA servers, servers used for administration of MDTs or other secure communications services, video and webcasting servers, etc. NOTE: Web server administration is NOT in this category -- labor related to these should go under "Application Server Administration", above.

Communication Services

The activities related to the administration of the devices, services and vendors responsible for voice and data communication within and external to the organization. May include communication device installation and maintenance (phones, routers, etc.), and managing service agreements and relationships with vendors and/or contractors.


D Network Administration (LAN/WAN/Wireless) The activities related to implementing and maintaining the operational integrity of the organization’s local and wide-area networks, both wired and wireless, and video technology. Technologies include building wiring, fiber optic data circuits, and point-to-point technologies such as laser and microwave. These activities include responding to user requests for assistance, performance monitoring, coordinating with external network service providers, and taking appropriate corrective actions as needed.

Radio Support The activities related to maintaining a radio communication infrastructure inclusive of end-user radio support for both public safety and other government needs. May include direct technical support or oversight of independent contractors, and managing vendor relationships. Staff in this role may be involved in developing radio maintenance procedures and operational policies, communications protocols, and/or emergency response planning efforts.

Telecommunications Systems Support The activities related to the implementation, administration and management of analog and/or Voice over IP telephone services, including number assignment, phone moves, voice mail system management, connectivity, switch or gateway maintenance, etc.

Audio/Visual Services The activities related to managing and maintaining audio/visual equipment (e.g., video cameras, microphones, receivers, amplifiers).

Application Services Application Services include those activities related to developing, installing, configuring, and otherwise maintaining the software needed to meet the operational, management, and reporting requirements of the organization.

Financial

The activities related to the management and maintenance of the applications related to administering the organization's finances, including: accounts receivable, accounts payable, general ledger, purchase orders, etc.

Human Resources

The activities related to the management and maintenance of the applications related to supporting the organization's human capital management functions, including: timekeeping, leave management, training, learning management, benefits administration, etc.


D Asset Management

The activities related to the management and maintenance of the applications related to supporting the organization's facilities, fleet and other major physical assets, including: maintenance / work management, preventive maintenance scheduling, fuel management, etc.

Program Specific

The activities related to the management and maintenance of the applications related to the organization's business programs not included elsewhere.

Regulatory/District Act Compliance

The activities related to the management and maintenance of applications related to regulatory compliance.

Corporate Business Support

The activities related to the management and maintenance of the applications related to supporting administrative functions not included elsewhere (e.g., CIP development, reporting).

Risk Management

The activities related to the management and maintenance of the applications related to district insurance certificates or other risk systems.

SCADA

The activities related to the management and maintenance of the applications related to Supervisory Control And Data Acquisition.

Internet/intranet

The activities related to the management and maintenance of applications related to the internet and intranet including the design, maintenance, and development of web pages.

IT Support Tools

The activities related to the management and maintenance of the applications that are used to support internal IT needs including help desk, backup management, capacity management, IT security, etc.

IT Planning IT Planning includes those activities related to planning for the technology function at the organization.

Strategic Planning and Governance

The activities related to identifying and evaluating the future directions for IT application, networks, and hardware for the organization. Includes strategic planning, evaluating and prioritizing IT investments, technology research, participating in committees and task forces, and feasibility studies.


D Research and Development

The activities related to evaluation and testing of current and future IT products and services, and to the deployment of pilot projects to test the viability of these technologies for the organization. Includes dissemination of relevant information to appropriate parties.

Disaster Recovery/Planning

The activities related to developing, maintaining, updating, and testing the organization’s IT disaster recovery/business resumption plan, and to activating and managing the plan in the event of a disaster.

IT Administration IT Administration includes those activities related to the oversight and administration of the technology function at the organization.

Asset Management

The activities related to managing the IT properties of the organization, include tracking serial number, warranty, and inventory.

IT Procurement

The activities related to acquisition of goods and services in support of all IT functions; including the development of Requests for Proposals (RFPs), evaluation and selection of vendors, management of purchasing activities, receipt and inventory of goods, and tracking of warranty information and performance guarantees.

Standards and Policies Development

The activities related to the creation and updating of IT standards and policies related to hardware, software, procurement, security, and staffing.

Customer Account Management

The activities related to working in conjunction with departments or divisions guaranteeing that service level agreements are adhered to and customer needs are being met. Includes tracking and reporting service levels, business need assessments and service gap determination, and the collection and reporting of service measures (e.g., tier 1 and tier 2 response and resolution rates, customer satisfaction surveys). May also include directly managing vendor service contracts or assisting with vendor relationship management.

Administrative Support

The activities related to the provision of clerical, administrative, and related services required for the ongoing operation of the IT division.


D Departmental Management

The activities related to management and oversight of the organization’s technology functions: including staff evaluation, quality assurance, and budgeting.

Geographic Information Systems (GIS) GIS includes the integrated hardware, software, and data for capturing, managing, analyzing, and displaying all forms of geographically referenced information.

GIS Data Maintenance

The activities related to entering and maintaining GIS data (e.g., updating assets or infrastructure with as-builts), making maps based on existing GIS structures, and performing analysis on existing GIS structures. This labor effort is not included in the analysis as it is not considered a specialized IT discipline or function.

Supplementary IMSD Services Supplementary IMSD services include records management, research and library services, public records request response, mail and reprographic services, reception and switchboard services, and word processing and forms management.

Supplementary IMSD Labor

The activities related to managing District records, administering public records requests, and providing other services (e.g., research and library, mail, reprographic, receptionist, switchboard, word processing, forms management).

Capital IT Projects Capital IT projects include the expenditures for a physical improvement to an existing capital asset such as additions and major alterations that are intended to improve performance or increase useful life.

Capital IT Project Labor

The activities related to the physical improvements to existing capital assets (i.e., additions and major alterations) that are intended to improve performance or increase useful life. This labor effort is not included in the analysis as it is not operations and maintenance.


Information Systems Master PlanProgress

# Project Description Status NotesApplications

1 Enhance Water Use Efficiency Program Database

Completed Developed modules for Landscape Rebate Program, Residential Washer Program, WaterWise Water Conservation, Residential High-efficiency. Toilet Rebate.

2 Create a Unified Asset Registry

Completed Asset registries in place for Watershed, Water Utility and Administration.

3 Implement Fee & Easement System

Completed System implemented.

4 Enhance Customer Relationship Management Capabilities

In Progress Coordinated with District Communications Unit on internet redesign to secure funding for external site design. Software Services is also implementing self service applications (GIS) to be moved to the new site when ready.

5 PeopleSoft Upgrade Project

In Progress Software licenses purchased. Hardware and Storage being purchased. Technical project manager hired. Stakeholders workshops are being conducted. Upgrade Mission and Goals, and Roadmap being formed. Technical and implementation architectural design being initiated.

6 Expand the use of business intelligence for performance management

In Progress Purchased business intelligence software to inform performance management. Training of staff has begun.

7 1) Developed PeopleSoft / Maximo Timesheet interface2) Developed PeopleSoft / Maximo Invoice Cost Tracking interface3) Developed WUE Purchase Request Reconciliation Integration between Maximo, PeopleSoft and Quest PR system4) Completed Maximo / SMP System Reconciliation Assessment5) Completed CARA / ICAM System Stabilization project6) Deployed role-based user Start Centers and KPI's

7) Further functional improvements will available after the Maximo upgrade proposed for FY16.

8 Implement Future Funding Analysis Application

In Progress Vendor was selected. Target date is 7/2015 to complete installation and configuration of application.

Maximo Enhancements for asset management

In Progress

Attachment #2

Page 1 of 4


# Project Description Status NotesApplications

9 Ecological Monitoring Information Management. System

In Progress Completed Surface Water Quality Module. Users continue to load data into the new Surface Water module developed in FY14. The Environmental Mitigation and Monitoring Unit decided the next module will be Wildlife.

10 Mobile Inventory Inspection System

In Progress Mobile solution has been deployed in Watersheds and Water Utility. Currently working with Water Supply to determine if they can benefit from a mobile system.

11 Implement cross platform methods for emergency and other customer communications

Proposed Investigate mobile and emerging technologies.

12 Implement enterprise content management

Proposed Data Consolidation Project proposed in FY16-20 Capital Improvement Program.

13 Implement District wide Intranet Portal

Proposed Investigate MS Sharepoint /Oracle Portal /Open Source platform

14 Implement GIS-enabled bil k d

Proposed Dependent on proposed Maximo upgrade in FY16.

15 Implement enterprise case management

Proposed Proposed following Maximo upgrade.

16 Replace fuel management system

Proposed Project owner is Equipment Management Unit. Software Services Unit will lend technical support when project is underway.

17 Implement Maximo for Transportation for fleet management

Pending This project is dependent on the Maximo upgrade, which is budgeted for FY16.

18 Implement a water supply planning transactional database

Pending Investigation of concept with business unit partners delayed by higher priority projects.

19 Implement data and information architecture standards and policies

Pending Dependent on completion of A1, A5, A6 and A7

Attachment #2

Page 2 of 4


# Project Description Status NotesTechnical Infrastructure

1

Implement scheduled PC replacement

Completed Completed replacement of all district user primary PC's or laptops to current industry standard hardware and operating system. Replacements will occur on an ongoing basis.

2

Improve current disaster recovery plans to better link to the Districti's overall continuity of operations plan

In Progress Key systems data mapping and prioritization documented. A draft of business continuity plan is in progress.

3

Implement wireless for all major district locations

In Progress Completed installation of wireless network infrastructure at HQ, Admin, BHA, Crest, and Maintenance Shops. Installation of wireless networking for WQ lab, Maintenance, Maintenance Ready Room, and Admin Annex buildings planned for FY15.

4

Implement remote disaster recovery capabilities aligned with the updated disaster recovery plan

Proposed Scheduled after the IT Disaster Recovery Plan is completed in FY 2016.

IT Service Delivery

1 Realign district IT organizational structure

Completed There is clarity in the IT organizational structure, roles and service definitions after renaming of the Units. The new names are Infrastructure Services, Software Services and Records & Library Services. Security Services group has been removed from the organization chart and the function will be added under Infrastructure Services.

2 Structured IT Service Methodology

Completed Developed procedures and templates for project intake, project reporting, and service level agreements, developed Program Management web portal for tracking IMSD project.

3 Structured System Development Life Cycle Methodology

Completed Developed Microsoft Project SDLC Templates for Software Projects and Hardware Projects.

4 Long-term Application Development Platform

Completed Implemented decision on development platform for in-house developed applications.

5 Adopt Targeted Training Plan for IT Staff

Completed 5-year training plans developed for Administration, Infrastructure Services, Software Services, and Records & Library Services staff.

Attachment #2

Page 3 of 4


# Project Description Status Notes6 Adopt an IT succession

planProposed The office of the CTO will start work on a formal

succession plan in FY 16. IT anticipates a major turnover in staff in 4-7 years and the succession plan will address this turnover from a skill set perspective.

IT Decision Making

1 Implement Mobile Communication & Computing Strategy & Policies

Completed Policy for use of personal devices, stipend plan/procedures, and mobile device policy.

2 Refine IT governance structures, processes, and tools

In Progress Technology Planning Group has been formed to initiate IT outreach. Multiple Divisions and Units have come forward to discuss their technology needs and IT is working to find technical solutions for those needs.

3 GIS Master Plan Proposed Development of GIS Master Plan is proposed in the FY16 operating budget.

Attachment #2

Page 4 of 4

Information Systems Master PlanAshu/Sudhanshu Tikekar, Deputy Administrative Officer

Outline

Plan Findings & Recommendations

CIP R t f FY 16CIP Request for FY 16

2020 Road Map

|2 Information Systems Master Plan

Attachment #3 Page 1 of 6

Background

District operates and maintain a large infrastructure

Information Technology (IT) plays a key role

District’s lack of life cycle planning for IT

ISMP outcomes:

1 R d R d d

|

1. Reduce Redundancy

2. Reduce Complexity

3. Increase Integration

3 Information Systems Master Plan

ISMP Findings

1. Historically, the District has not treatedinformation technology as a critical asset.gy

2. IT infrastructure lacks a businesscontinuity plan to recover from a major disaster.

|

3. The IT application portfolio is complex,redundant, and not well integrated.



ISMP Findings

4. The District is not fully leveraging thecapabilities of its critical software systems.p y

5. Many technology infrastructurecomponents are aging or at end-of-life.

6. IT service delivery lacks sufficient

|

structure and is somewhat reactive.

7. Critical skill gaps exist within IT.


ISMP Recommendations

32 recommendations in 4 categories

1 Applications1. Applications

2. Technical Infrastructure

3. IT Service Delivery

4 IT Decision Making

|

4. IT Decision Making



ISMP Progress since 2012

Complete In Progress Proposed PendingApplications 3 7 6 3Technical Infrastructure 1 2 1 -Technical Infrastructure 1 2 1

IT Service Delivery 5 - 1 -

IT Decision Making 1 1 1 -


FY 16 CIP Requests

Software upgrade and Maintenance

$13 9 Million over 15 years ($925 000/Year)$13.9 Million over 15 years ($925,000/Year)

Data Consolidation

$1.1 Million over 4 years ($275,000/Year)



Software Upgrade and Maintenance

Master Plan recommended

COTS (Commercial Off-The-Shelf)COTS (Commercial Off The Shelf)software require regular maintenance

Regular upgrades improve security

New features leads to increased

|

productivity

Stay current with the times


Data Consolidation

Master Plan recommendation

Ease of access to information for the publicp

Reduced data footprint and complexity

Improve and automate records retention

Improve process flows

|

Eliminate data duplication

Consolidate our diverse applications portfolio


Attachment #3Page 5 of 6

Road Map for 2020

Modern technical infrastructure

Up-to-date software applicationsUp to date software applications

Enterprise Resource Planning System

Enterprise content management

Business Continuity Plan

|

Enhanced and interactive website

High speed network



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