· The Department"s information technology function can be characterized in the following manner: (a) inadequate use of the Internet for a broad range of planning applications, (b) insufficient coordination and interface with the Department of Building Inspection"s Permit Tracking System, (c) need for completion and documentation of the Parcel Information Database and other systems, and, (d) lack of sufficient management controls over input for certain key applications.

· The function of information dissemination to the public and other users of Departmental services is not a high priority of the Department, staff services are not accurately tracked and special fees are not adequately monitored and are not always collected on a timely basis. Users of the Department"s information systems do not have written guides or instructions, the system is not protected from internal misuse or abuse, and the possibility exists of crucial information systems development activity being curtailed.

Overview of Department"s Information Systems

Management of and support services for information technology in the Planning Department represents one-half of the Information Services division; the Public Information Center (PIC) accounts for the other half. Within the IS Section, OASIS,an acronym for the Office of Analysis and Information Systems, is the organizational sub-unit responsible for development and administration of all Departmental information systems. The Department"s Work Program budget for this function in FY 2001-02 is $1,158,000, covering 8.5 FTEs. This allocation applies primarily to personnel as the budgeted capital resources for information technology is $500,000. The primary functions of OASIS include providing maintenance for all of the systems in the Department, training staff in computer use, expanding the information and data flow as well as enhancing access to information, and developing custom computer applications.

OASIS is responsible for maintaining 161 network personal computers, as shown in Exhibit 11.1. The exhibit shows the distribution of personal computers by organizational unit and the number of personal computers with access to the Department of Building Inspection"s Permit Tracking System and the Internet.¹

Exhibit 11.1
Personal Computer Distribution by Division and
Access to Internet and DBI"s Permit Tracking System

The OASIS unit has responsibility for developing and administering the Department"s four primary applications: Parcel Information, Land Use, Time Accounting and Work Program, and Other Administrative. (Please refer to Exhibit 11.2, for schematic database diagrams). At the heart of the Department"s automated information capability is the Parcel Information Data System (PIDS), a user-defined system on a local area network (LAN).²An added program module, the Case Editing and Intake Program (CEIP), was rolled out during the management audit. These two applications are currently stand-alone modules as are the other three that should be, but are not, integrated. The Parcel Information Database, much like the overall system, is a work in progress -not fully realized or developed, and many of the data fields remain unpopulated.³

The OASIS Unit"s five-year plan is contained in a Department document entitled "Information Technology Present and Future Needs." It contains an abbreviated history of computer use and development in the Department, beginning with the Wang VS system, through the early 90s that saw installation of the first Local Area Network that ran DOS on IBM-compatible personal computers, and into the late 90s in which more powerful servers and personal computers were introduced along with the connection to DBI and the use of Windows and CCMail. The plan states that the Department is moving toward Web-based technologies today with that being the central way for navigating and operating PCs. Finally, the "plan" addresses future applications in the Department as well as perceived future needs and problems, including, but not limited to, new infrastructure, continuing training, security, additional technical expertise and new equipment. Unfortunately, the document lacks specificity regarding project task prioritization, implementation schedules and estimated costs. It should be updated to include these items.

Within the PIDS is the Enterprise Geographic Information System (GIS), a digitized aerial base map developed by the Department of Public Works that enables users to track or plot any parcel of land in the City and County of San Francisco with nothing more than Lot and Block numbers. Planning subscribes to this service at a cost of $20,000 annually.

Many of the disparate but heavily used applications in the Department"s automated information system were designed primarily to support Neighborhood Planning, including the time and materials tracking module that is used by the other Divisions and is part of the Time Accounting module. Some planners have devised their own tracking spreadsheets to capture in one place their own specific activity in the different types of cases they handle such as project planning, complaints, miscellaneous permit applications, letters of determination, etc.⁴ Just as some of the current applications were developed in response to user needs, the described tracking spreadsheets is another good idea that the OASIS staff could implement on a department-wide basis if given the directive, priority and resources. The importance of the project being done by OASIS is to ensure a uniform application for use by all staff, and the appropriate safeguards and interface with the existing databases.

The Case Editing and Intake Program, referenced above, represents an enormous addition of information management capability that is now on the desk of every planner. For example, projects soon can be tracked by case number as well as by address and lot and block. Moreover, this particular database includes information on hearings, activity dates, payments and balances due, activity history, permit(s) status, project usage details, and project contacts. Currently, all of this information for any given project or property is not available together electronically.

Prior to this audit, there was very little documentation of the system"s discrete databases or their linkages, either as user guides or for necessary technical support by OASIS staff. Most of the technical details of internally developed applications resided in the memory and working papers of the staff who developed them. There was no technical documentation for the technicians and no instructions for anyone on how to use the system. Work is now in progress on developing both sets of documentation. Similarly, OASIS has not yet focused on implementing technology applications for productivity improvements in planning, such as Internet access to application status or filing. Both of these remain areas of critically needed improvements.

Exhibit 11.2
Schematic of Planning Department Databases and Linkages,
Showing Functions of Databases

Issues Involving the Department of Building Inspection (DBI)

The Planning Department"s principal offices are co-located with the Department of Building Inspection (DBI), and Planning"s Public Information Center and DBI staff share physical working space. Of greater importance, the two staffs share access to the DBI Permit Tracking System, which is specifically for building permits. As shown in Exhibit 11.1 above, some planners have access to this system for carrying out their plan-check activities. Issues associated with this system are discussed below.

The Controller has recommended that the Planning Department collect certain special fees directly.⁵ To do this will require further system capacity expansion. Currently, the Planning Department has read-only access to the DBI Permit Tracking System that is used for building permit processing (and the corresponding fee collection). While the read-only aspect will not change with expansion, two-way read access would then be possible (it is one-way at this time).

Both DBI"s Permit Tracking System and the Planning Department"s Parcel Information System run on the Oracle Database platform. However, true and reciprocal interactivity, two-way read and write capability, is precluded because the systems currently run on different versions of the Oracle software: DBI = Version 8.17 and Planning Department = Version 8.15.

DBI"s Permit Tracking System is an internally developed system and, therefore, expansion and interconnectivity with Planning"s PIDS are not restricted because of licensing issues. The issue for DBI in this regard is security in light of the fact that every planner currently has access to the PIDS. The overarching issue is integration and management of the information pertaining to the overlapping permit functions, assuming that all of the technical concerns are satisfactorily resolved for both departments. Eventually, internet access to permit tracking will also require integration between the two departments" systems.

Specific Problem Areas

Funding

The Department had only $70,000 budgeted for information technology as recently as a year ago. It was not possible for the Department to acquire anywhere near the amount of needed equipment for upgrades, server storage capacity expansion, and application licenses on such a budget. Thus, obtaining an appropriation for $500,000 in the 2001-02 budget provided a significant increase for these purposes. At this time, however, $269,000 of the $500,000 was placed on reserve by the Board of Supervisors in FY 2001-02 pending the Department"s completion of permanent Industrial Protection Zone (IPZ) controls.

With the remaining $231,000 in the current-year budget, plans now include (a) upgrading another 20 personal computers and approach the goal of providing one upgraded PC for each professional employee in the Department (to replace outmoded equipment), and (b) increase the server"s total storage capacity to 500 gigabytes by March 2002, a move that will greatly enhance the system capabilities and facilitate increased staff utilization without the system failures previously experienced due to the lack of sufficient capacity. This set of important improvements addresses the Department"s immediate condition. However, it falls short of any future needs for advancing to an environment of Web-based technologies. Deficiencies of the Five-Year Plan are underscored by this situation. The plan must be elevated from its current state and, along with the level of specificity referenced above, include cost/benefit analyses of strategies and equipment purchases to ensure the availability of funds considered to be necessary for successful implementation.

Storage Capacity

The Citywide Policy Analysis Unit generates the highest demand for network support in the Department resulting in a need to increase the Department"s server storage capacity. This is attributable in part to this Division"s use of the GIS and presentation applications such as PowerPoint, and the volume of analytical work performed. The Citywide Policy & Analysis Unit is comprised of approximately 20 percent of the staff, but utilizes roughly 50 percent of the Department"s information system resources.

As a general standard, storage in excess of 80% of capacity increases the potential for a system failure. The server at 1660 Mission Street currently has 125 gigabytes (GB) of data within a storage capacity of 152 GB (82% utilization). Conversely, the newly replaced server at 30 Van Ness has 26 GB of data within 103 GB of storage (25% utilization). Thus, the Department"s system"s total current storage capacity is 255 GB with an overall utilization rate of 59%, a deceptively low rate when considering that it does not reveal the underlying problem of uneven distribution and utilization rates at the two separate locations. Until recently, significant amounts of staff time were expended on the repair of frequently occurring crashes that resulted from a lack of storage space.

Capacity problems similarly impacted the use of "ccmail" and, therefore, current plans also include upgrading the system to "Lotus Notes" by not later than the last week in May and the first week in June.

Internet Access

With emerging Web-based technologies, the Planning Department will be able to change the manner and level of service it provides. First, there is the provision of internal services for the Department"s staff through an Intranet. Telecommuting will become more of a possibility, meeting scheduling will be enhanced, Decision Document Generator⁶ activity can occur across units and Commission calendars set, procedures manuals can be stored and accessed as a series of web documents -all of these done electronically. The second level is Internet-style computing that accommodates access to the Department"s databases by property owners, real estate brokers, architects, contractors, other governmental agencies, neighborhood groups, environmentalists, academics, news media and consultants. Accessing forms online, now possible from the Department"s web site, would be easily overshadowed in terms of usage by the ability to file applications and track permits online. While many of these applications currently are in use in other jurisdictions, their development and implementation are slow in the Planning Department because the Department"s information technology plan lacks priorities and timetables and because Internet access must be coordinated through an outside agency.

The Planning Department is dependent on the Department of Telecommunications and Information Services (DTIS), which is responsible for the City"s overall information systems coordination-for interactive Internet access to serve planning customers.⁷ The Planning Department"s relationship with DTIS is viewed as promising in terms of technology. However, little has occurred to date in the way of delivered services except that connectivity on the large-capacity, high-speed T1 line works better now than before and especially at the 30 Van Ness location for Planning"s Major Environmental Analysis Division, also served by OASIS.

To realize the full potential of the Department"s information technology infrastructure and improve public access to planning information and services, Internet access is essential. Thus, the Department must ensure that it is fully prepared internally to implement the Internet connection, and then do whatever is necessary to see that DTIS prioritizes and carries out its part of the process. It is unclear at this time whether existing resources can be reallocated to cover any associated cost or to what extent additional resources may be required. OASIS is moving aggressively in the Web-based technologies area to be positioned for effective collaboration with DTIS whenever resources, both capital and technical, are made available. Once again, the importance of enhancing the 5-year information technology plan is brought into sharp focus. A crucial part of the document must be the strategic approach to IT implementation for meeting future planning service demand. This will help to define and clarify the roles of both departments, thereby maximizing opportunities for a harmonious and successful working relationship.

Management Controls

There are two specific uses of the Department"s automated information system that are cited here as illustrative of the scope of absent controls: The Parcel Information Database and Time Accounting.

The Parcel Information Database contains a broad range of specific information on each piece of property in the City, all of which is keyed to lot and block numbers. This is one of the major resources used by the entire planning staff and often used by members of the public. Staff members in the Neighborhood Planning unit make entries for this database including key dates and project milestones. However, there is no stipulation for management review or auditing of these entries. Key case tracking data, such as environmental review action dates, were found missing for numerous parcels, as discussed in Section 6 of this report.

The Time Accounting system is linked to payroll and it allows -indeed, calls for-individual planners to make their own timekeeping entries. Management reviews these entries after they are returned from the Controller"s Office (centralized City payroll), but no approval or validation occurs on the front end -there is no before-the-fact authorization of time charges.

These are two of the largest and heaviest-used applications in the Department. The absence of any system documentation, user guides or stipulations for management approval and quality assurance is a condition the Department can ill-afford to endure.

Specific Complaints

The OASIS Section has established an Information Services "help line" to provide technical assistance to Planning Department employees on an as-needed basis. Calls to the help line are reviewed and cleared daily. A "problem board" was created for use at the Major Environmental Analysis unit location (30 Van Ness Avenue) to identify IS problems for OASIS action. Also, the OASIS Manager meets regularly with Team Leaders to discuss specific IS needs and concerns. And, of course, the OASIS unit remains accessible for support by telephone, email and memorandum. Provided below are the current objectives for the OASIS organization as reported by the Manager.

· Ensure system satisfaction for all Planning Department users and the IS staff;

· For all service requests, immediately advise users of the nature of their problem, the proposed solution, and the time frame in which the solution will be accomplished;

· Provide improved document management services for the Planning Department;

· Obtain sufficient physical space;⁸

· Establish a web version of the Parcel Information Database;

· Upgrade all equipment and interconnectivity within the Department;

· Increase the IS budget to include licensing for 150 copies of a necessary system application (currently, only 50 licensed copies);

· Maintain updated security and virus protection; and

· Expand the Department"s use of Internet access.

Regarding OASIS"s awareness and handling of specific complaints, the audit team"s investigation uncovered examples that showed the unit to be generally responsive. However, the audit team also found that four of the six focus groups cited specific issues with the OASIS unit, none of which were complimentary. Among the issues cited were the often unworkable and difficult to access computers, ineffectual technical support, the need for greater access to the Permit Tracking System, poor maintenance of the large-capacity high-speed server line, and the abrasive personality and unresponsiveness of some OASIS staff members.

The views expressed by focus group participants stand in sharp contrast to the OASIS objective of prompt internal service and its intended level of responsiveness. However, those views also beg the question of communications between OASIS and the other units. The audit team found that while some of the concerns expressed by focus group participants are indeed technical in nature, the preponderance of concern appears related to the attitude of certain -not all-of the staff members in OASIS. This poses a serious challenge for the unit manager to overcome in order to effectively apply the unit"s technical expertise for improvements in the delivery of planning services.

Conclusion

The Department"s automated information systems has enormous technological capability that is not fully developed, it is not appropriately integrated with the DBI system, and it does not contain enough of the applications that would be considered useful to the planning staff such as user guides and application tracking. Most important, the Department is not currently using any interactive applications of its technology for public use or customer permit processing and tracking.

The Department is dependent upon the City"s Department of Telecommunications and Information Services for interactive Internet access to serve customers, although internal Web access is available for planning staff through the wide-area network using the Department"s web browser. On-line public access to planing and zoning information filing development applications and permit tracking would be the single most effective productivity improvement the Department can make at this time.

Planning"s information systems technology is in place for limited internal use in various applications, but there is none-to-little user documentation and even less in the way of management controls and oversight. OASIS has prepared "Information Technology Present and Future Needs," a document that delineates its near-term requirements, objectives and schedule, but needs more detailed information on each of these areas and further updating to reflect prioritized projects and needed resources.

Notwithstanding the deficiencies cited above, the Budget Analyst believes that the Department is en route to a breakthrough in technology applications that will enhance staff productivity and substantially improve planning service and information access to the public. These outcomes can be realized by implementing specific measures delineated below.

Recommendations

Based on the above findings, it is recommended that the Director of the Planning Department:

11.1 Continue with strong commitment to the information technology function and ensure an appropriate level of dedicated financial support based on an updated Five-Year Plan that:

11.2 Develop a timetable to accelerate the completion of all system documentation;

11.3 Prepare simplified user guides for staff and users of the Public PC;

11.4 Work with the Department of Building Inspection to ensure that compatibility of software versions and all issues of security are resolved so that interface with the Permit Tracking System is implemented before the end of this fiscal year;

11.5 Develop and install appropriate management and quality controls of Department applications to minimize erroneous content as well as system misuse and abuse;

11.6 Implement a schedule of training classes necessary to ensure the appropriate information technology proficiency for all levels of staff, including planners, support staff and IT staff; and,

11.7 Implement an annual staff customer satisfaction survey for the Information Services function and incorporate the results in the annual performance evaluation of the I. S. Manager.

Costs and Benefits

The resources necessary to implement the above short-term recommendations are believed to be contained within the Information Services Section budget. Future costs such as greater internet access will likely incur additional one-time costs. Prioritizing tasks and staff assignments will necessarily result in changes from the current course of action. Correspondingly, benefits are fully expected to include increased productivity and efficiency of staff, expanded public access, and greater overall customer satisfaction with the delivery of planning services.

¹ Exhibit 11.1 includes the distribution of 20 new replacement computers.

² The back end of PIDS is an Oracle database and the client application is a Delphi system.

³ In several instances where data was entered, there was no quality assurance mechanism or process in place to ensure its integrity as several discrepancies were discovered by the audit team.

⁴ Tracking the progress of applications is necessary because of deadlines established by statute and as Departmental performance measures.

⁵ Included among these special funds are Affordable Child Care, Citywide Affordable Housing, and the Downtown Park Fund. Another special fund is Transit Impact Development Fee, but it is unclear if the Controller wants this collected by Planning.

⁶ This is a program for staff report preparation and approvals.

⁷ Internal Web access is available for planning staff through the wide-area network using DCP"s web browser.

⁸ DCP"s Administration unit uses the IS Manager"s office to store materials and supplies!