HomeMy WebLinkAbout09-05-2017 Agenda Packet
Tuesday, September 5, 2017
4:00 PM
REGULAR MEETING
Council Chamber
990 Palm Street
San Luis Obispo Page 1
CALL TO ORDER: Mayor Heidi Harmon
ROLL CALL: Council Members Carlyn Christianson, Aaron Gomez, Andy
Pease, Vice Mayor Dan Rivoire and Mayor Heidi Harmon
PUBLIC HEARING ITEMS AND BUSINESS ITEMS
1. INFORMATION TECHNOLOGY STRATEGIC PLAN AND ASSESSMENT
(JOHNSON / SCHMIDT – 60 MINUTES)
Recommendation:
Council review and adoption of the Information Technology Strategic Plan and Assessment.
ADJOURNED TO THE REGULAR MEETING OF SEPTEMBER 5, 2017
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San Luis Obispo City Council Agenda September 5, 2017 Page 2
6:00 PM
REGULAR MEETING
Council Chamber
990 Palm Street
CALL TO ORDER: Mayor Heidi Harmon
ROLL CALL: Council Members Carlyn Christianson, Aaron Gomez, Andy
Pease, Vice Mayor Dan Rivoire and Mayor Heidi Harmon
PLEDGE OF ALLEGIANCE: Council Member Aaron Gomez
PRESENTATIONS
2. REGIONAL TRANSIT AUTHORITY (RTA) PROPOSED FARE INCREASE
(RTA – GEOFF STRAW – 5 MINUTES)
PUBLIC COMMENT PERIOD FOR ITEMS NOT ON THE AGENDA (not to exceed 15
minutes total)
The Council welcomes your input. You may address the Council by completing a speaker slip
and giving it to the City Clerk prior to the meeting. At this time, you may address the Council
on items that are not on the agenda. Time limit is three minutes. State law does not allow the
Council to discuss or take action on issues not on the agenda, except that members of the
Council or staff may briefly respond to statements made or questions posed by persons
exercising their public testimony rights (gov. Code sec. 54954.2). Staff may be asked to
follow up on such items.
CONSENT AGENDA
Matters appearing on the Consent Calendar are expected to be non-controversial and will be
acted upon at one time. A member of the public may request the Council to pull an item for
discussion. Pulled items shall be heard at the close of the Consent Agenda unless a majority of
the Council chooses another time. The public may comment on any and all items on the
Consent Agenda within the three minute time limit.
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3. WAIVE READING IN FULL OF ALL RESOLUTIONS AND ORDINANCES
(GALLAGHER)
Recommendation:
Waive reading of all resolutions and ordinances as appropriate.
4. MINUTES OF JULY 5, 2017 (GALLAGHER)
Recommendation:
Approve the minutes of the City Council meeting of July 5, 2017.
5. STREETS SKIP LOADER REPLACEMENT, SPECIFICATION NO. 91594
(GRIGSBY / BOCHUM / SHUCK)
Recommendation:
1. Authorize the Finance Director to execute a purchase order with Quinn Caterpillar in the
amount of $122,296.25 for the purchase of one 2017 Caterpillar 415F2 Skip Loader; and
2. Authorize the surplus designation of Fleet Asset No. 0614, 1989 Case 480 Skip Loader
by sale, auction, trade-in or other method in accordance with the City’s policies and
procedures as prescribed in the Financial Management Manual Section 405-L and 480.
6. GRANT FUNDED CALLE JOAQUIN PARK & RIDE, SPECIFICATION NO. 91288
AWARD (GRIGSBY / RICE)
Recommendation:
1. Award a contract and authorize the City Manager to execute an agreement with Souza
Engineering Contracting, Inc. in the amount of $531,000 for the Calle Joaquin Park &
Ride Lot, Specification No. 91288; and
2. Approve a transfer of $85,993.32 from the Los Osos Valley Road Interchange Project
(99821) to the Calle Joaquin Park and Ride Lot project’s construction phase (91288).
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PUBLIC HEARING ITEMS AND BUSINESS ITEMS
7. PUBLIC HEARING - DOWNTOWN CONCEPT PLAN (CODRON / GERSHOW – 90
MINUTES)
Recommendation:
As recommended by the Planning Commission, adopt a resolution entitled “A Resolution of
the City Council of the City of San Luis Obispo, California, adopting the Downtown
Concept Plan supplement and poster as a long range vision and a guide for public and
private investment in the Downtown.”
8. PUBLIC HEARING - MISSION PLAZA CONCEPT PLAN (GRIGSBY / GUZMAN –
90 MINUTES)
Recommendation:
Receive a presentation regarding the Mission Plaza Concept Plan, provide input on des ign
features and authorize staff to proceed with preparation of a master plan document, as well
as fiscal and environmental study of Plan implementation.
COUNCIL LIAISON REPORTS AND COMMUNICATIONS
Not to exceed 15 minutes) Council Members report on conferences or other City activities. At
this time, any Council Member or the City Manager may ask a question for clarification, make
an announcement, or report briefly on his or her activities. In addition, subject to Council
Policies and Procedures, they ma y provide a reference to staff or other resources for factual
information, request staff to report back to the Council at a subsequent meeting concerning any
matter, or take action to direct staff to place a matter of business on a future agenda. (Gov.
Code Sec. 54954.2).
ADJOURNMENT
Adjourn to a Special City Council Meeting to be held on Wednesday, September 6, 2017 at 2:00
p.m. in the City Council Hearing Room, 990 Palm Street, San Luis Obispo, California, for
conducting a closed session.
The next Regular City Council Meeting is scheduled for Tuesday, September 19, 2017 at 4:00
p.m., and 6:00 p.m., in the Council Chamber, 990 Palm Street, San Luis Obispo, California.
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LISTENING ASSISTIVE DEVICES are available for the hearing impaired--please see City Clerk.
The City of San Luis Obispo wishes to make all of its public meetings accessible to the
public. Upon request, this agenda will be made available in appropriate alternative formats to
persons with disabilities. Any person with a disability who requires a modification or
accommodation in order to participate in a meeting should direct such request to the City
Clerk’s Office at (805) 781-7100 at least 48 hours before the meeting, if possible.
Telecommunications Device for the Deaf (805) 781-7107.
City Council regular meetings are televised live on Charter Channel 20. Agenda related
writings or documents provided to the City Council are available for public inspection in the
City Clerk’s Office located at 990 Palm Street, San Luis Obispo, California during normal
business hours, and on the City’s website www.slocity.org. Persons with questions concerning
any agenda item may call the City Clerk’s Office at (805) 781-7100.
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Meeting Date: 9/5/2017
FROM: Derek Johnson, Assistant City Manager
Prepared By: Steve Schmidt, Information Technology Manager
SUBJECT: INFORMATION TECHNOLOGY STRATEGIC PLAN AND ASSESSMENT
RECOMMENDATION
Council review and adoption of the Information Technology Strategic Plan and Assessment.
REPORT-IN-BRIEF
At its most basic level, technology reduces the costs associated with delivering services. At a
much higher level, when technology is fully leveraged across an organization, it has the potential
to significantly improve and enhance service delivery and organizational productivity.
Technology also has the potential of enhancing transparency and accessibility of City services to
the community. The Information Technology Strategic Plan (ITSP) guides the City’s use of
technology over the next five years with these objectives in mind. The technology planning
effort resulted in major recommendations in three key areas: governance; structure; and project
prioritization.
During the planning process, it became known that the City would be facing significant
budgetary challenges over the next few years that adversely impacted the initial plan to
implement and manage technology programs as well as other City initiatives. Thus, the original
ITSP was revamped to ensure the most critical items were addressed to ensure a robust, secure,
and reliable technology infrastructure. The remaining IT initiatives in the plan are documented
and would be initiated as funding and resources become available through the Financial Planning
process. Maintaining technology services operating efficiently is a top priority and ongoing
investments in hardware, software, and staffing will be required over time to meet the City’s
technology vision.
DISCUSSION
Background
In the 2009-11 Financial Plan, the Council authorized updating the existing ITSP. The City
issued an RFP, received proposals from several consulting firms, and after extensive evaluation,
selected NexLevel Information Technology, Inc., in May 2011 to perform an IT assessment
followed by the strategic plan. The plan was completed in August of 2012.
NexLevel Technology was selected because of its extensive knowledge about information
technology and its expertise in local government and public safety. NexLevel was selected once
again for the FY 2017-2018 IT Strategic Plan update because of their familiarity with the City’s
systems and staff, as well as the quality of work that NexLevel has performed for the City over
the past five years on many other technology projects.
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Purpose of the Strategic Plan
The purpose of the ITSP is to provide a roadmap to guide the City’s management and acquisition
of information technology, both hardware and software, over the next five years. The ITSP
identifies and makes recommendations regarding governance, structure, and specific projects that
will take the City’s technology from where it is today to where it needs to be to meet current and
future demands. The ITSP is a valuable tool to ensure technology is procured, implemented and
managed in a cost-effective approach that maximizes the benefits to the City and its citizens and
businesses.
To develop the ITSP, NexLevel and City staff participated in the following tasks:
▪ Assessment of the City’s current use of technology.
▪ Identification of new departmental technology projects that will improve customer service,
increase staff productivity or increase public access to information.
▪ Completion of Customer Satisfaction Survey.
▪ Prioritization and phasing of identified projects from a Citywide perspective.
Information Technology Assessment
A comprehensive understanding of the City’s current technology use provided the foundation
upon which the ITSP was built. NexLevel completed its Information Technology Assessment in
June, 2017 prior to completing the ITSP. The Assessment focused on how effectively the City
was leveraging technology to attain its stated mission and vision, and evaluated whether the
City’s Network Services infrastructure and support organization were prepared to support the
future needs of the City. This is consistent with the City’s organizational values to improve
services, be open to innovation, be flexible to change and use City resources wisely.
ITSP Recommendations
As mentioned above, the ITSP is intended to guide the City’s use of technology over a strategic
planning period. The ITSP’s major recommendations are broken down into three key areas:
governance; structure; and project prioritization.
1. Governance
IT Governance is generally defined as the leadership, reporting structure and, resource allocation
processes that ensure that the organization’s information technology sustains and extends the
City’s strategies and objectives.
Due to on-going budgetary constraints, the City faces a significant challenge over the next five
years to implement and manage new technology. As many organizations have come to realize,
the cost and risks of implementing technology can be significant. The ITSP recognizes this and
places a high level of importance on the IT Steering Committee to help manage and p rovide
oversight to technology implementations.
Currently, the City is using a sophisticated IT governance structure to guide the City’s IT
activities. The current IT Steering Committee (ITSC) is chaired by the Assistant City Manager
and includes department heads as voting members. The ITSC is responsible for establishing the
priority of technology projects, and ensuring the allocation of IT resources accordingly.
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For the ITSC to function as a policy making body, it is important to delegate the tech nical
aspects of projects and initiatives to the IT Division to perform a review and analysis of the
specific technical components. The Technical Advisory Committee (TAC) is charged with the
responsibility to review all technology requests prior to submittal to the ITSC for approval and
prioritization. The TAC helps ensures that the plan for the requested technology is compatible
with the existing infrastructure, aligns with the City’s technology standards, and ensures
adequate ongoing support and maintenance. Once approved by the TAC, the project will be
submitted to the ITSC for review and prioritization.
2. Structure
NexLevel completed a comprehensive assessment of the City’s use of technology that resulted in
a set of recommendations that are compatible with the City’s existing technical environment (i.e.,
IT Division staffing, infrastructure, network, supervisory control and data acquisition (SCADA),
applications, and technical standards and policies). Staffing recommendations are as follows.
Database Administration
NexLevel has indicated that a priority resource need for the City is to add an additional position
to the IT Division, that position is a second Database Administrator (DBA). Technology has
advanced very rapidly and has become dependent on databases and enterprise system
integrations. This, in addition to the increased Database Administrator workload with the
migration to a new Enterprise Resource Planning system (ERP) and the City’s growing need for
results tracking, and dashboards to present that information to the public has driven the need for
an additional DBA. As part of any future reorganization, a second DBA will be considered as a
priority to maintain and provide forward looking business services to the City.
Help Desk Function
There are approximately 241 help desk requests processed by the Help Desk each month. The
Help Desk also includes all Computer Technician duties. The current technology industry
standard is 175 - 200 computers per technician. The City has a total of 640 desktops, laptops,
tablets, mobile data computers, virtual desktop computers along with over 500 cellular devices.
The time required to process these requests ranges from quick ten minute fixes to multi-day
installations.
NexLevel indicates this level of support, desired staff service level, and the volume of equipment
supported would require the attention of staff based on industry standards. The ability to add
additional resources is not contemplated nor requested and Staff will be identifying cost effective
ways to maintain systems within allocated budgetary resources.
Project Prioritization
The projects addressed in the proposed ITSP were prioritized by City IT Management Staff and
the IT Steering Committee based on criteria such as financial impact, health and safety impact,
customer service impact, business operations impact, alignment to City goals, business vision
and mission, and technology obsolescence. In addition, the prioritization process considered the
limited resources available to implement and manage technology projects.
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The ITSP strives to set reasonable expectations as to when projects will be completed. However,
a project’s ultimate start date will be based on funding or budget approval as well as the capacity
of staff to successfully implement the project. It is the intent of the ITSP to support the City’s
annual capital planning and budgeting processes by providing direction and input necessary to
justify expenditures.
It is important to note that the ITSP does not include detailed specifications, requirements, or
recommended vendor solutions. When a project is initiated, the procurement of technology will
follow established project planning and management processes that would include detailed
requirements analysis, formal procurement and selection, and implementation processes. With
the rapid change in technology and vendor solutions, the City is best served by carefully
evaluating the market solutions available at the time a project is scheduled for procurement.
SUMMARY
The City’s current technology environment represents a complex system that consists of
numerous applications and infrastructure that supports a total of 568 employees. The breakdown
of employees is 384 FTEs, 10 Contract and 174 Part-time as of the 8/17 payroll period. As with
any complex system, the addition or modification of any component has the potential to impact
other parts of the system. The ITSP includes projects that are aimed at improving business
applications, technology infrastructure and governance. As projects are implemented, it will take
careful coordination and planning to manage the change introduced and to ensure the projects do
not adversely impact other components within the City’s technology environment.
The City recognizes that technology is critical to performing many day-to-day business
functions. In addition, the City recognizes the importance of leveraging technology to meet its
growing business needs in the most cost effective manner. The ITSP is a valuable tool to ensure
technology is procured, implemented and managed in a cost-effective approach that maximizes
the benefits to the City and its customers.
CONCURRENCES
The IT Steering Committee (ITSC) concur with the strategic direction and recommendations
provided in the ITSP.
FISCAL IMPACT
It is important to stress that the ITSP is a plan; it is not a budget. The ITSP identifies and
prioritizes major Information Technology projects, but does not allocate budget resources.
Current and future IT projects will compete for limited funding resources and scheduling
prioritization. Project costs should include funding for possible contract services and project
management. The IT Steering Committee will determine the priority for all City IT projects.
Funding for the ITSP project were realized from the IT consultant services budget line item.
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ALTERNATIVES
1. Do not adopt the proposed ITSP. If the plan is not adopted, the City will not have a
roadmap for implementing future Information Technology initiatives and projects.
2. Refer the ITSP back to staff for further study. The Council can refer the plan back to
staff for further analysis. However, based on the extensive work throughout the organization
that has gone into preparing this plan, staff does not believe this is likely to result in an
improved plan unless Council has specific changes it desires to make. In this case, adoption
of the plan at this time with changes as directed by the Council is the preferred approach.
Attachments:
a - 2017 Information Technology Strategic Plan
b - IT Assessment Report 2017
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City of
San Luis Obispo
Information Technology
Strategic Plan
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TABLE OF CONTENTS
EXECUTIVE SUMMARY .................................................................................................................. 1
BUILDING BLOCKS ........................................................................................................................................................... 1
TECHNOLOGY ROADMAP ............................................................................................................................................... 1
1.0 INTRODUCTION ...................................................................................................................... 4
2.0 SALIENT POINTS OF THE CITY IT ASSESSMENT .................................................................. 5
2.1 “VOICE OF THE USER” SURVEY ............................................................................................................................... 5
2.2 MEASURE OF BEST PRACTICE CONFORMANCE ..................................................................................................... 6
2.3 IT ASSESSMENT RECOMMENDATIONS ................................................................................................................... 9
3.0 STRATEGIC IT TRENDS THAT COULD IMPACT THE CITY .................................................. 12
3.1 “SMART CITY” TECHNOLOGIES ............................................................................................................................ 14
Internet of Things (IoT) ..................................................................................................................................... 14
Business Intelligence and Business Analytics (BI/BA) ............................................................................ 15
Digital Government ............................................................................................................................................ 16
3.2 ORGANIZATIONAL AGILITY ................................................................................................................................... 17
3.3 ORGANIZATIONAL CHANGE MANAGEMENT (OCM) ....................................................................................... 17
3.4 CYBERSECURITY ...................................................................................................................................................... 18
3.5 ENTERPRISE CONTENT/DOCUMENT MANAGEMENT (ECM) ........................................................................... 19
3.6 MOBILITY ................................................................................................................................................................ 20
3.7 STRATEGIC SOURCING AND CLOUD SERVICES ................................................................................................... 21
4.0 ROADMAP ............................................................................................................................. 23
4.1 METHODOLOGY ..................................................................................................................................................... 23
4.2 PROJECT PORTFOLIO ............................................................................................................................................. 23
5.0 CONCLUSION ......................................................................................................................... 33
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Executive Summary
In today’s digital world, information is expected to be available anytime, anywhere, via any type
of device. To achieve this objective over time, organizations must proactively plan their
purchase, implementation, and management of technology.
In setting the foundation for this IT Strategic Plan, the City of San Luis Obispo, working in
concert with NexLevel, developed a number of key building blocks that provide the foundation
for the ITSP.
Building Blocks
To empower the City to provide excellent service to the community
To connect people to information and technology solutions
1) Innovation, 2) Integration, 3) Information
Technology Roadmap
With the building blocks set, NexLevel worked with the City to complete an IT Assessment. The
IT Assessment was developed using information that resulted from a survey of users regarding
their satisfaction with the City’s IT environment, their future needs, interviews with key user
stakeholders, interviews with the IT Manager and ITD staff, and an IT best practices review. This
process provided a detailed picture of the City’s current information technology environment,
user expectations, current unmet needs, and future requirements.
Upon completion of the IT Assessment, NexLevel worked with the City to complete this IT
Strategic Plan (ITSP), which identifies strategic IT trends that could impact the City,
recommendations specific to those trends, and projects to be completed. The ITSP will enable
the City to better allocate its information technology resources and obtain greater benefits for
its investments in information technology.
During the planning effort, due to City budget constraints, the original technology project
roadmap has been placed on hold. Those projects will be continually evaluated by the IT
Steering Committee, and when resources and funds become available, they will be initiated.
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At this time, the focus is on the Capital Improvement Plan (CIP) projects approved as part of the
City’s two-year Financial Plan. The CIP technology projects are summarized in Table 1 below.
Table 1 – CIP Technology Projects
Project Name
South Hills Radio Site Upgrade and Radio Enhancements
SQL Server Cluster
Motion Enterprise Resource Planning (ERP) Implementation
Police Department (PD) Storage Area Network (SAN) Controller Replacement
Voice Over Internet Protocol (VoIP) Telephone System Replacement/Upgrade
Radio Handheld and Mobile Device Replacement
Storage Capacity Replacement
Universal Power Supply (UPS) Battery Backup System Replacement
Emergency Communication Center (ECC) Blade Computer Replacement
ECC Equipment Replacement
Tait Radio System Backend Upgrade
Irrigation Software (RainMaster/RainBird) Automation
Fleet Management Software Upgrade
Microsoft Office 365 Migration
Firewall Replacement
Network Security Upgrade
Virtual Private Network (VPN) Replacement
Dispatch Radio Console Replacement
Audio Recording System Replacement
Server Operating System Software Upgrade
Wireless System Citywide Upgrade
Public Surveillance Cameras Upgrade/Replacement
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1.0 Introduction
This IT Strategic Plan (ITSP) was prepared for the City of San
Luis Obispo (City) by NexLevel IT, Inc. (NexLevel) as the
culmination of an extensive process of information gathering,
analysis, and collaboration with key members of the City’s
management team to identify and prioritize strategic
technology projects.
The goal of the ITSP is to enable the City to better allocate its
technology resources and to obtain greater benefits for its
investments in technology. The ITSP does not attempt to
predict the future; but rather, enable the City to more
effectively respond to new and/or changing requirements by
proactively adapting processes, organization, people, and
infrastructure to meet ever-changing technology needs and
priorities.
To avoid confusion, concepts and observations in this
document regarding the use of IT in general are abbreviated
as “IT,” while “ITD” is used to reference to the City’s IT
Division.
The remainder of this document consists of the following
sections:
2.0 - Salient Points of the City IT Assessment –
summarizes the key findings and recommendations as
a result of the IT Assessment
3.0 - Strategic IT Trends that Could Impact the City
– identifies and describes technology trends that
could impact the City and that align with the City’s IT
vision
4.0 - Roadmap – describes the open and
collaborative process used to develop the ITSP and
resulting project roadmap
5.0 - Conclusion – provides general thoughts and
observations for the City’s consideration
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2.0 Salient Points of the City’s
IT Assessment
As the first step in the development of the City’s ITSP,
NexLevel completed an IT assessment and published an
Assessment Report.
The following are two of the main components of the
Assessment Report, the results of which are summarized in
the following sections:
Voice of the User Survey
Measure of Best Practice Conformance
Note that the following presents a summary of the IT
Assessment. For additional information, please refer to the
actual IT Assessment document.
2.1 “Voice of the User” Survey
NexLevel administered an online user survey focused on
technology use, support, and needs. Of the approximately
540 City employees invited to take the survey, 191
participated (35%), which based on NexLevel’s experience is
above average participation. The summary level results from
the survey follow below.
For Network Services, which is responsible for ensuring the
City’s information technology resources are effectively
managed and used as key organizational tools:
Regarding the time it takes to solve/correct their
problem, 97% indicated they were satisfied with ITD
performance
Regarding satisfaction with the communications on
issue resolution, 94% indicated they were satisfied
with ITD performance
Regarding the timeliness and completeness of follow-
up/check back on the service provided, 93% indicated
they were satisfied with ITD performance
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Regarding training provided for the business applications
used in a department, 78% indicated they were
satisfied with ITD performance
Regarding the reasons City staff contacted them for
assistance included:
o Software Applications – 73%
o Hardware – 68%
o Enterprise Applications – 30%
For Information Services:
Regarding satisfaction with understanding or their
needs, 88% indicated they were satisfied with ITD
performance
Regarding satisfaction with the time to respond to
their request for service, 86% indicated they were
satisfied with ITD performance
Regarding satisfaction with their ability to
communicate clearly, 86% indicated they were
satisfied with ITD performance
NexLevel tends to be cautious in drawing conclusions from
the user survey alone. The survey results are often driven by
current perceptions of the users and these tend to be isolated
rather than holistic and reflect recent experiences rather than
looking at service levels over time. However, the survey does
provide a point of view that was considered in the IT
Assessment.
2.2 Measure of Best Practice
Conformance
NexLevel’s IT Assessment Methodology uses a
comprehensive list of best practices categorized into six
dimensions that evaluate the organization’s compliance with
best practices. NexLevel assessed the degree to which the
City conforms to these best practices based on numerous
sources of input including the survey, interviews with City’s
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user stakeholders, interviews with ITD staff, and the results of
the IT Best Practices self-assessment completed by ITD.
Figure 1 identifies the assessment findings for each
dimension.
The results were plotted and points connected with a dotted
line to provide a perspective of the City’s overall
conformance.
Figure 1 – City Conformance to IT Best Practices
Ownership is identified as being IT owned, enterprise owned
(City), or shared (between departments).
Each of the rings represents a level of conformance to IT best
practices. The characteristics of each level are:
Frontier Level (red): Organizations at this level have
fewer than 20% of their processes in compliance with
best practices. This level of maturity is characteristic of
new and/or re-organized IT organizations.
Business Technology Applications - 64%(Shared)Serv
i
ce
De
l
ive
ry
-
72%(Sha
red
)
IT Governance - 74%
(Enterprise Ownership)Secu
r
i
ty
-
57%
(Sha
red
)Infrastructure - 73%(Shared)Administration - 63%
(IT Ownership)
111111 111111
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Reactive Level (orange): Organizations at this level
generally have well developed procedures including
formalized procures for incident reporting and
tracking and are committed to customer service, but
spend a disproportionate amount of their time and
resources “fighting fires.”
Proactive Level (tan): Organizations at this level have
many of the same attributes as organizations at the
Reactive Level, but with the key difference that they
continually seek to improve service delivery by finding
long-term solutions to common problems such as
improving user competency, self-reliance, and training
so that they do not need to call IT for support as
often.
Service/Value Level (green): Organizations at this level
have more than 80% conformance to IT best practices.
They continue the trend towards value and generally
derive much higher returns for their investments in
information technology, although at greater expense.
NexLevel views organizations having less than 50%
conformance to IT best practices as being reactive, while
organizations having more than 50% conformance as being
proactive. The latter indicates an organization is better
positioned to ensure a reliable, robust, and secure IT
environment.
Organizations that are more proactive are better able to
obtain greater benefits for their investments in IT than those
that are not, and while reactive organizations often spend
less on IT (and thus have a lower total cost of ownership for
IT) they realize less in return and are generally unable to
effectively respond to new requirements.
Overall, the City’s Conformance to IT Best Practices is 67%,
which is well within the proactive band and is considered
outstanding when compared to municipal IT organizations in
California, of similar size and scope to the City, for which
NexLevel has worked. To put these results in perspective,
between 2014 and this year, NexLevel performed more than
fourteen IT assessments for cities of similar size and scope to
that of the City of San Luis Obispo. The City scored higher
than the average city score in all dimensions.
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Another method used to evaluate the City’s technology
performance was a Strengths, Weaknesses, Opportunities,
and Threats (SWOT) Analysis as shown in Figure 2. This
analysis is based on IT best practices assessment, but
provides a slightly different perspective by summarizing ITD’s
strengths and weaknesses and the opportunities and threats
facing the City as a whole in its use of IT.
It should be noted that there is a close relationship between
these items since the City’s ability to realize the potential
opportunities and mitigate the potential threats is dependent
on its ability to leverage its strengths (particularly the recent
organizational and staff changes with ITD) while addressing
the weaknesses (Assessment recommendations).
Figure 2 – SWOT Analysis
Overall, the City is effectively managing and deploying
technology to meet business needs. The City and ITD must
now strive to build on their success, expand service offerings,
and lead the transformation of information technology from
a back-office productivity tool to a strategic enabler for the
delivery of information and services to City departments and
the public.
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2.3 IT Assessment
Recommendations
NexLevel developed the IT Assessment recommendations
based on our experience in working with local government
agencies and with an emphasis on identification of activities
that have high value. Some of these can be accomplished
with existing resources, while others will require
augmentation of City resources.
NexLevel understands that it is much easier to prescribe
change than to implement it, and that no public or private
sector organization has sufficient resources to embrace all
possible IT governance and delivery best practices.
Consequently, these recommendations are pragmatic and
conditioned by real-world considerations.
As shown in Table 2, these recommendations (which are
actionable, achievable, and have measurable outcomes) will
help the City realize improvements in how it governs,
manages, and delivers IT services.
Table 2 – Recommendations and Objectives
Recommendation Objectives
1. Take steps to
ensure the
security and
sustainability of
the City’s IT
environment
Provide a secure framework for the on-
going operation of the City’s technology
infrastructure by developing formal plans
and processes for:
▪ Cybersecurity Planning
▪ Disaster Recovery
▪ Penetration Testing
▪ Application Impact Analysis
▪ Single points of failure
▪ Root Cause Analysis
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Recommendation Objectives
2. Adopt
additional IT Best
Practices
Create and adopt the following processes to
improve core delivery of technology
services to City departments:
▪ Project Guidelines and Management
▪ Resource Management
▪ Succession Planning
▪ ITD Service Catalog and Service Level
Agreements
▪ Service Support Management
▪ Policies and Procedures
3. Expand ITD to
improve its ability
to support current
and emerging
user requirements
Structure the City’s IT Division to be more
customer focused and equipped to meet
increased demand through adoption of:
▪ Resource management plans
▪ Near-term ITD Organization
▪ Long-term ITD Organization
4. Develop a
Business
Application
Portfolio
Enable ITD to better track the business
applications to ensure the City obtains the
highest possible return on its investments
through application re-use and the sharing
of business processes and information
across departments
5. Take steps to
improve its
collaboration/
communication
with City
departments
Improve internal and external
communication between ITD and City
departments, vendors, external agencies,
and the public
6. Develop an
Enterprise Data
Architecture
Create a City-wide blueprint, supporting
standards, and resources to create
uniformity in databases, information
gathering, and reporting
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3.0 Strategic IT Trends that
Could Impact the City
Organizations seeking to develop effective IT strategic plans
need to consider a number of different factors including
internal user needs, public expectations, and trends in IT to
better allocate funds and resources in support of their
business objectives and priorities. In particular, the ways in
which organizations use IT are changing as are the
expectations of internal and external stakeholders for access
to information and services.
While public sector organizations must also become more
customer-centric and innovative, they also must find ways to
control their IT total cost of ownership (TCO) and
demonstrate that they are obtaining the greatest possible
value for their investments, commonly measured as return on
investment (ROI).
Similarly, the technologies, methodologies, and tool sets used
to develop and support automation, as well as the ways in
which organizations use IT, have evolved considerably with
the emergence of web-based (“cloud”) services, the
consumerization of IT, and mobility.
The continued introduction and rapid evolution of IT
products and services could impact the City of San Luis
Obispo in a number of ways including:
The need to respond to increased public expectations
for access to information and services is forcing a shift
in the allocation of IT resources from internal uses to
public-facing uses
The growing adoption of mobile workforces and
mobile computing as the solution of choice for
remote access to internal applications and
repositories of information coupled with the desire of
users to have the same “desktop environment” on a
remote device as they have in the office will drive the
creation of new policies, support models, and security
models
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In the face of a highly diverse and evolving market of
new IT products and services and the demand for
their use, organizations will be increasingly challenged
to effectively allocate limited local IT resources
Based on our knowledge and experience, NexLevel has
identified seven IT trends, as identified in Figure 3, that are
changing how local governments invest in IT.
Ultimately, organizations need to find a balance between
investing their limited resources to better leverage existing
information assets versus investing in innovative technologies
that have the potential to radically transform how services
and information are delivered to the public. Figure 3 includes
a number of acronyms defined as follows:
ROI (Return on Investment)
ECM (Electronic Content Management)
OCM (Organizational Change Management)
IoT (Internet of Things)
BI/BA (Business Intelligence/Business Analytics)
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Figure 3 – Enterprise Information Technology Trends
In the following sections, we describe these technologies.
3.1 “Smart City” Technologies
“Smart City” is unusual in that this trend is not a single
technology, per-se, but rather an integrated approach to the
utilization of emerging information technologies and
technology trends that enable local governments to more
effectively identify trends (such as incidents, traffic, power
demand, parking space availability, etc.), to re-allocate or
reprogram City resources in response to these trends, and to
support programs such as Smart Building, autonomous
vehicles, Smart Payment, and Smart Street Lights.
Smart City capabilities also enable members of the
community and visitors to obtain information through
smartphone apps regarding employment services, public
safety, healthcare, social services, transit and driving route
information, parking and event information.
Innovation (Value)Innovation (Value)Leverage (ROI)Leverage (ROI)High Leverage
Less Innovative
MobilityCyber-
security
Strategic
Sourcing
OCM
“Smart City”
Technologies
High Leverage
Highly Innovative
Low Leverage
Less Innovative
Low Leverage
Highly Innovative
▪ IoT
▪ BI / BA
▪ Digital Gov’t
AgilityECM
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Below, we address the following Smart City technologies:
Internet of Things (IoT)
Business Intelligence/Business Analytics (BI/BA)
Digital Government
Internet of Things (IoT)
The Internet of Things (IoT) provides the foundation for many
Smart City initiatives. Although some local governments look
at Smart City in very tactical terms (involving highly-
specialized and isolated IoT applications such as “Smart
Intersections” and “Smart Corridors,”) the effective
implementation and continued use of smart technologies
requires a broader approach that includes:
The development and implementation of open and
collaborative processes to develop the visions for the
implementation and governance of Smart
Technologies
The implementation of secure, resilient, and
ubiquitous wireless services that enable access to
smart services from any device, anywhere, and
anytime and that can scale to meet expected surges in
demand
The development and management of public/private
partnerships and regional partnerships (including
regional transportation) including plans for regional
collaboration and information exchange
The development and implementation of the
processes required to support continuing
communication and collaboration with members of
the community, as well as those to leverage the
information produced by smart devices, including
business intelligence and business analytics
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In regards to IoT, as discussed in IT Assessment
Recommendation #1, NexLevel recommends the City take
steps to ensure the security of its IT environment. The existing
Wireless System Citywide Upgrade and the Network Security
Upgrade projects will help support/address IoT.
Business Intelligence/Business Analytics
(BI/BA)
There has been considerable progress in the development of
tools that enable organizations to consume a growing body
of information for either tactical/reactive purposes (business
intelligence) or for strategic/proactive purposes (business
analytics).
The development and maintenance of the “enterprise data
architecture” required to support the use of BI/BA tools is one
of the hidden costs of implementing Smart City technologies.
This includes:
Processes and staff to support the architecture,
including processes for its governance, support, and
evolution
Standards and policies to ensure that business
applications will be able to exchange information with
other business applications and support the
integration and compilation of information
Organizations without an enterprise data architecture,
supporting standards, and staff to support it, often attempt
to support decision-makers through a cumbersome
combination of ad-hoc applications, databases, and
spreadsheets. These tools often use data inconsistently, are
seldom well documented or able to quickly meet new
requirements, and eventually become a drain on
organizational resources. This can quickly become a worst-
case scenario as the total cost of ownership for these ad-hoc
processes quickly mounts while the return on the
organization’s investment decreases.
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In regards to BI/BA, as discussed in IT Assessment
Recommendation #6, NexLevel recommends the City develop
an Enterprise Data Architecture that will support the use of
BI/BA tools. The City is currently in the process of procuring
an Enterprise Resource Planning system (Motion Project) that
may influence the overall data architecture. Progress on this
recommendation will be made after ERP selection.
Digital Government
Digital government is a comprehensive approach to the use
of the Internet and mobile technologies as conduits for
providing information to the public and to enable them to
conduct business. The development and maintenance of a
digital government strategy has become more complex due
to the rapid multiplication of the number of channels for
communicating with the public, as well as the continued
evolution of mobile devices.
The Federal Government has adopted a digital government
strategy that is built on four principles that could be adapted
for the use of other government agencies:
An “Information-Centric” approach – Moves us from
managing “documents” to managing discrete pieces
of open data and content that can be tagged, shared,
secured, mashed up, and presented in the way that is
most useful for the consumer of that information
A “Shared Platform” approach – Helps us work
together, both within and across agencies, to reduce
costs, streamline development, apply consistent
standards, and ensure consistency in how we create
and deliver information
A “Customer-Centric” approach – Influences how we
create, manage, and present data through websites,
mobile applications, raw data sets, and other modes
of delivery, and allows customers to shape, share and
consume information, whenever and however they
want it
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A platform of “Security and Privacy” – Ensures this
innovation happens in a way that ensures the safe and
secure delivery and use of digital services to protect
information and privacy
In regards to Digital Government, as discussed in IT
Assessment Recommendation #5, NexLevel recommends the
City take steps to improve its collaboration/communication
with City departments, vendors, external agencies, and the
public.
3.2 Organizational Agility
Agility is both a trend and an outcome of the significant
changes that have taken place in how local governments (and
other organizations) respond to both new information
technologies and how those information technologies are
used by the public. The ability to agilely respond to both
changes in IT and changes in user and public expectations
rests largely on the ability of an organization to identify and
prioritize requirements and to allocate and/or reallocate both
IT and user resources accordingly. Effective planning and IT
governance are key components of organizational agility.
Planning documents often speak to the need to align
technology plans and directions with business or operational
needs and priorities. Generally, this implies a two-step
process in which operational plans are developed and then
technology plans are crafted to support them. NexLevel
believes that this process is not as effective as it could be
since the transformative impact of technology should be
considered in the course of developing business plans, not
afterwards.
IT Governance is used as the catalyst to ensure the alignment
between an organization’s business goals and priorities and
how it allocates its IT resources and assets. In the absence of
effective alignment of business and IT direction, scarce
resources can be allocated for IT projects that may be
interesting, but fail to deliver real benefits to the
organization.
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In regards to Organizational Agility, as discussed in IT
Assessment Recommendation #3, NexLevel recommends the
City expand ITD staffing to improve its ability to support both
current and emerging user requirements.
3.3 Organizational Change
Management (OCM)
The introduction of new business applications and/or
modifications to existing business applications often involves
changes to existing business processes and organizational
structure. These changes, as well as the effort required to
implement the business application, have the potential to
significantly disrupt operations.
Additionally, organizations have found that resistance to
change can limit their ability to realize the intended benefits
of business applications and prolong implementation
projects, sometimes to the point that project success is in
jeopardy.
Organizational Change Management (OCM) provides a
methodological framework for managing the organizational
impact of the implementation of new automation including
changes in business processes, changes in organizational
structure, and changes in culture by focusing on improving
communication, setting expectations, and working to
minimize the impact of misinformation.
OCM is also dependent on performance management since it
provides an objective and factual assessment as to whether
the organization is obtaining the desired outcomes from
changes to business processes, structure, and resourcing and
the effectiveness of any subsequent steps that may be
needed to overcome obstacles.
In regards to Organizational Change Management, as
discussed in IT Assessment Recommendation #2, NexLevel
recommends the City adopt additional best practices,
including, among others, Project Guidelines and
Management, as this will help ensure OCM is considered for
every project.
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3.4 Cybersecurity
While the need to secure information systems is not new, the
increased focus and importance of cybersecurity is a direct
result of the increased utilization of the web for the delivery
of information and services and the related rise of the use of
mobile and personal devices.
The shift toward mobility and cloud services is placing a
greater security burden on endpoints and mobile devices that
in some cases may never even touch the corporate network.
The fact is that mobile devices introduce security risk when
they are used to access company resources; they easily
connect with third-party cloud services and computers with
security postures that are potentially unknown and outside of
the enterprise’s control. In addition, mobile malware is
growing rapidly, which further increases risk.
Organizations can be crippled not just by attacks which result
in the disclosure, modification, and destruction of
information, but also by attacks that takeover or disable
critical infrastructure components, or impede the ability of
legitimate users to access information and services.
The nature of cybersecurity threats is continually evolving due
to the growing sophistication of hackers, the resources
available to them, and an increase in the range of motivations
from mischief and activism to profit. As a result, the
community of hackers has expanded to include criminal
enterprises that profit through extortion as well as through
the theft of digital assets.
As a result, organizations must adopt and implement
systematic approaches to protect their information assets
from cyber threats including the ability to detect and defeat
these threats, limit the impact of potential intrusions, recover
from them, and adapt processes to better manage similar
attacks in the future. The National Institute of Standards and
Technology (NIST) has developed a cybersecurity framework
that enables organizations to progressively implement
procedures to safeguard against cyber threats.
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In regards to Cybersecurity, as discussed in IT Assessment
Recommendation #1 NexLevel recommends the City take
steps to ensure the security of its IT environment. The existing
Firewall Replacement and Network Security Upgrade projects,
as well as on-going user training, will help address/support
Cybersecurity.
3.5 Enterprise Content/Document
Management (ECM)
The management of enterprise content, including documents,
audio, video, and images is not a new trend. However, due to
the increasing amount of content (particularly video),
organizations are adopting enhanced ECM strategies and
capabilities in order to:
Better organize and catalog documents and digital
content so that they are more readily available across
the organization and to ensure that users have access
to the most current versions
Improve the ability to collaborate with internal and
external users (including the ability to annotate)
Control access to documents, including permissions
to add, read, copy, modify, and delete
Conform to records management requirements
Search documents and content in conformance with
public records requests
Support users working from remote locations
More recently, organizations have also realized that the
absence of a document and content management framework
limits the usefulness of field mobility since this depends on
the ready availability of content. Consuming bandwidth and
time to search for documents is frustrating for end-users and
increases organizational costs for mobility.
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In regards to ECM as discussed in IT Assessment
Recommendation #6, NexLevel recommends the City develop
an Enterprise Data Architecture. The existing Motion
Enterprise Resource Planning (ERP) project could be
leveraged to support ECM, as ERP solutions typically include
such functionality.
3.6 Mobility
Mobility refers to the use of personal devices to obtain access
to organizational services and information and represents a
significant opportunity for government to improve the
effectiveness and timeliness of service to the public. However,
mobility is also vexing for enterprise IT planners since:
The proliferation of devices is a challenge for support
organizations as users attempt to obtain connectivity
to secured wireless networks and utilize applications
User access to enterprise information and services
from mobile/wireless devices potentially exposes
them to cyber attacks
Public-facing solutions need to be both open and
adaptive to optimize the user experience from a
universe of devices that is continually evolving
“Follow me” mobility fundamentally changes the
paradigm of the standard desktop computing model
where the computer, the operating system, the
applications, and the user’s data and preferences are
integrated into a single platform
Despite these challenges, mobility is a “game changer” in the
public sector enabling users to move as needed and to enter
or update information on a real-time basis. In addition,
mobility enables access to information where/when it is most
needed (i.e., in responding to incidents and emergencies).
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In regards to Mobility as discussed in IT Assessment
Recommendation #1 NexLevel recommends the City take
steps to ensure the security of its IT environment. The existing
Radio Handheld and Mobile Device Replacement, Virtual
Private Network (VPN) replacement, and Wireless System
Citywide Upgrade projects will help address/support Mobility.
3.7 Strategic Sourcing and Cloud
Services
Strategic sourcing is based on the concept of using the most
effective service provider to respond to user needs, thus
enabling permanent IT staff members to focus on high-
priority, high-value tasks and technologies.
For many organizations in both the public and private sector
who have aging IT facilities and infrastructures, the use of
“cloud” based services including Infrastructure as a Service
(IaaS), Desktop as a Service (DaaS), and Software as a Service
(SaaS) offer an alternative to initial capital expenditures, the
recruitment of additional staff members, or the procurement
of traditional staff-supplementation services (contractors).
An additional benefit for many organizations is that using
SaaS simplifies their disaster recovery and business continuity
planning since they can quickly resume operations from a
facility that has connection to the internet.
Common strategies for cloud-based services include:
Public Cloud – Public Cloud services are generally
shared (thus “public”) with users sharing a common
code base, but with their data maintained separately
Private Cloud – is similar to a Public Cloud, but in a
COTS/SaaS environment the private cloud is based on
a separate code base and database for each
organization (although multiple organizations may
share a virtualized computing environment)
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Hybrid Cloud – a combination of private and public
cloud services, potentially from different service
providers, this permits organizations to use more
expensive private cloud services for mission-critical
applications and confidential information, while
leveraging the public cloud for less critical
applications and information
Key benefits of sourcing include:
The ability to obtain services under the terms of a
service level agreement
The ability to obtain service coverage for extended
hours of operation including 24x7
The ability to defer, or avoid, capital costs for the
acquisition of IT infrastructure assets
The ability to more readily scale the IT environment to
meet demand
Reduced dependence on local staff resources,
including training and planning for staff succession
Less risk since the applications are hosted in a remote
data center
Nonetheless, organizations seeking to use external services
(cloud-based or not) need to carefully consider:
The cost of implementation
The continuing costs for utilization
The provisions for the availability and security of
information that is stored off-site
Data ownership and location
The costs and effort related to potentially exiting the
sourcing arrangement in the future
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In regards to Strategic Sourcing and Cloud Services, as
discussed in IT Assessment Recommendation #1, #2 and #6,
NexLevel recommends the City take steps to ensure the
security and sustainability of its IT environment, adopt
additional IT best practices, and develop an Enterprise Data
Architecture respectively.
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4.0 Roadmap
Strategic planning enables organizations to find a balance
between immediate and long-term needs. It follows that the
process for the development of an IT strategic plan needs to
take the same considerations into account.
4.1 Methodology
Without an IT strategic plan to serve as a baseline to manage
and respond to change, organizations tend to become
reactive rather than proactive and, as a result, spend more,
fail to leverage technology assets, and overall, obtain reduced
benefits for their investments in IT.
Strategic projects were identified based on operational needs
and priorities identified in the course of the interviews with
the City’s user stakeholders, IT needs and priorities, and the
recommendations that NexLevel identified for the City.
The resulting project list was reviewed with the City’s
management team and refined considering both the user and
IT resources that would be required to implement the
projects and information regarding information technology
trends.
The refined project list was to serve as the foundation for the
planning and prioritization workshop. However, due to a City
resource shortage and budgetary constraints, these
technology projects have been placed on hold. Only
technology projects approved as part of the annual CIP
budget have been included in the plan. The majority of these
projects are infrastructure improvements and do not address
replacement of user equipment.
4.2 Project Portfolio
The following figures summarize the projects in the portfolio,
as well as the projects that have been placed on hold:
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Table 3 - CIP IT Project Names and Descriptions
Figure 4 - Prioritized CIP IT Projects (provided as
separate attachment)
Table 4 - CIP IT Project Funding and Timeline
Table 5 - List of IT Projects On Hold (non-funded,
non-prioritized, and sorted by department)
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Table 3 - CIP IT Project Names and Descriptions
Project Name Sponsor Description
South Hills Radio
Site Upgrade and
Radio
Enhancements
City-wide Replacement of South Hills Radio shelter and addition of 100' tower.
This is needed to increase radio coverage Citywide.
SQL Server Cluster IT Clustering of SQL servers to provide real-time redundancies for critical
database applications.
Motion Enterprise
Resource Planning
(ERP)
Implementation
Finance The City is embarking on the implementation of an Enterprise Resource
Planning system that includes financials, procurement, human resources,
payroll, and other related functions. The project will align city business
processes to the new ERP system environment and provide interfaces to
other core business applications currently deployed throughout the City.
Police Department
(PD) Storage Area
Network (SAN)
Controller
Replacement
Police & IT The City’s Storage Area Network Controllers have a 5-year lifespan
before beginning to have frequent failures. Controllers are critical for
users to be able to search for and assess stored data. It is not
recommended to push the equipment beyond the recommended 5 years.
Voice Over Internet
Protocol (VoIP)
Telephone System
Replacement/
Upgrade
City-wide The ShoreTel System was installed in 2008 and is the City’s main internal
and external telephone system. At the time of installation, it was
estimated that the life of the VoIP system would be 10 years. Staff will
be seeking approval to release an RFP in 2017 to replace/upgrade end
user and back-end ShoreTel equipment.
Radio Handheld &
Mobile Device
Replacement
Police &
Fire
All City radio end user equipment (public safety and non-public safety)
are reaching end-of-support and/or end-of-life. Almost all of the City’s
radio handhelds and mobiles were replaced as part of the radio upgrade
project in 2010. This equipment is expected to have a 5-year life span.
The public safety portion of the equipment is heavily used and requires a
high degree of reliability. This equipment is the primary means of
communication with and between Fire and Police staff in the field.
It is also relied upon by the Utilities and Public Works Departments on a
daily basis as well as in the event of a natural disaster. Radios are also
used by Parks and Recreation for major events. Because of the different
radio frequencies that the City uses, Police and Fire radios are not
interchangeable. This means that the City must keep a variety of back-up
radios and only has a limited inventory of any one particular frequency
radio. Normal use results in these back-up radios being used while
others are in for repair.
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Project Name Sponsor Description
Storage Capacity
Replacement
IT Replacement of the City’s main Dell Compellent Storage system, which is
the primary storage system for 120 virtual servers, all the City’s
databases and the City’s network applications. This system consists of a
larger set of enterprise hard drives configured to provide resiliency in
case of failure. This system is replicated to another City facility for added
redundancy and security.
Universal Power
Supply (UPS)
Battery Backup
System
Replacement
IT These UPS’s maintain devices powered on during commercial power loss
and until the building’s electrical power generator comes on. It is vital
that UPSs be replaced to provide maximum power capacity so that City
systems such as servers, data and storage networks don’t experience
data loss or corruption.
Emergency
Communication
Center (ECC) Blade
Computer
Replacement
Police These computers are run 24/7/365 by our police and fire dispatchers.
These computers provide the Network, Spillman CAD, Radio and
Security interfaces and computing environments that are critical to the
day-to-day operations of Public Safety Dispatch Center. These
computers are kept “always on” so in case of a failure or an emergency,
all 9 dispatch consoles in the ECC are ready for immediate use. This
‘always on’ state shortens the working life of the equipment. Mission
critical public safety equipment must remain highly reliable so staff
recommends a 5-year replacement schedule to maintain the integrity of
the system.
ECC Equipment
Replacement
Police This equipment is utilized 24/7/365 by olice and fire dispatchers. This
project includes 2 large security monitors and supporting equipment. In
addition, the 36 heavy duty type batteries in the centers two Eaton UPS
systems will be replaced with a fresh set of batteries. These batteries are
maintained regularly and are regularly monitored for usability. The
batteries will reach life expectancy in 2018.
Tait Radio System
Backend Upgrade
City-wide The City’s simulcast Tait TB8100 radio system was installed in 2010, and
will be eight years old in 2018. This project will upgrade the existing
Tait radio system from Analog TB8100’s to Digital TB9100’s. This will
allow for simplified management, easier troubleshooting, and improved
error reporting. Additionally, this upgrade will eliminate three points of
failure in the system, and creates a distributed voting structure among
all sites, which significantly reduces the impact of a site loss while
improving radio coverage for the City’s Police and Fire personnel.
Irrigation Software
(RainMaster/
RainBird)
Automation
Public
Works
The aging City irrigation system (RainMaster/RainBird) will need to be
upgraded or replaced.
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Project Name Sponsor Description
Fleet Management
Software Upgrade
Public
Works
Upgrade of the Public Works Cartegraph fleet maintenance system. The
current version of fleet management software is no longer being
supported and does not provide the level of data management and
reporting the fleet operations require to provide services on a city-wide
basis.
Microsoft Office
365 Migration
IT The City currently moved to the yearly subscription based Microsoft
Office 365 Cloud version. This project is critical to maintaining this
subscription base model funded for the next several years. It is critical
that the City stay on this subscription based model to make sure that our
Office Productivity tools are always up to date.
Firewall
Replacement
IT City firewalls were last upgraded in 2014 which means that they are due
for replacement in 2019. Support for these devices will be limited to
next business day replacement parts support exposing the City to
prolonged outages if a failure is hardware related.
Network Security
Upgrade
IT The City network security equipment was last replaced in 2014 which
means that they are due for replacement in 2019. Support for these
devices will be limited to next business day replacement parts support
exposing the City to prolonged outages if failure is hardware related.
Virtual Private
Network (VPN)
Replacement
Police & IT The City VPN system equipment was last replaced in 2014 which means that it is due for
replacement in 2019. Support for these devices will be limited to next business day
replacement parts support exposing the City to prolonged outages if a failure is hardware
related.
Dispatch Radio
Console
Replacement
Police The Avtec Radio Consoles were last upgraded in 2015 and are run
24/7/365 by police and fire dispatchers. These consoles are the main
gateways between the backend radio equipment and the radio consoles
that the police and fire dispatchers use to communicate between public
safety personnel internal to the City as well as surrounding agencies. The
consoles also provide uniform access to the Fire Station ring down
system and to critical gates and doors that are monitored by dispatch.
The ‘always on’ state shortens the working life of the equipment.
Mission critical public safety equipment must remain highly reliable so
staff is recommending a five-year replacement schedule to maintain the
integrity of the system.
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Project Name Sponsor Description
Audio Recording
System
Replacement
Police The City’s audio recording system records and retains mission critical
phone and radio traffic used in the course of business. The City of San
Luis Obispo records radio channel traffic for the police and fire
departments, phone calls at the six main 9-1-1 consoles located at the
Emergency Communications Center, and all phone lines located within
the police department. These recordings are used in a variety of ways,
such as for evidence in criminal cases, training, investigations and review
for quality assurance. The recordings are kept for two years according to
the City’s Records Retention Policy unless retained as evidence or for
training purposes. The system was last upgraded in 2016 and as part of
the 911 System upgrade. It is critical that this system be maintained and
hardware be kept highly reliable so staff recommends a five-year
replacement schedule to maintain the integrity of the system.
Server Operating
System Software
Upgrade
IT The City is currently running on a Microsoft Windows Server Platform.
Failure to keep up with the Microsoft latest version of Server operating
systems could lead to security vulnerabilities and the inability to run
current applications.
Wireless System
Citywide Upgrade
City-wide The City’s wireless network infrastructure currently consists of 60 access
points and Meraki Cloud Based Networks wireless controllers. The
access points are used to support; Public safety in-car video system, fleet
maintenance systems, Emergency Operation Center’s audio/visual
controls, Channel 20 broadcast system’s control system, public wireless
access for the Council Chambers and Council Hearing room and the
Emergency Communications Center’s audio/visual control system. Each
of these systems has unique requirements that necessitate a wireless
network connection to meet their various specifications. Enterprise level
wireless controllers allow the combining of numerous access points to
create large wireless hot spots, manages conflicts between multiple
wireless networks and centralizes management, security and access
control for both the public and City staff. The City’s current Meraki
wireless system has been in place for over 4 years and will soon become
obsolete due to the manufacturer discontinuing future system upgrades
and security enhancements of the current wireless equipment. Staff is
recommending a full upgrade to maintain wireless service and Security.
Public Surveillance
Cameras Upgrade/
Replacement
City-wide The main objective of the public surveillance system is to record data
that may be used to investigate various events and/or crimes. The
public video system includes cameras, camera housings, mounts, servers,
storage and a control system. The current system has various
components that need replacement or updating. Public cameras are
located at the Golf Course, City Hall, and the City Pool facility.
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Table 4 - CIP IT Project Funding and Timeline
Project Title Budget Allocation of Cost By Fiscal Year
FY 2017/18 FY 2018/19 FY 2019/20 FY 2020/21 FY 2021/22
Motion Enterprise Resource
Planning (ERP) Implementation
$ 350,000 $ 350,000
South Hills Radio Site Upgrade
and Radio Enhancements
$ 437,837 $ 254,255 $ 183,582
SQL Server Cluster $ 100,000 $ 100,000
Storage Capacity Replacement $ 85,000 $ 85,000
Police Department (PD) Storage
Area Network (SAN) Controller
Replacement
$ 80,000 $ 80,000
Public Surveillance Cameras
Upgrade/Replacement
$ 26,500 $ 26,500
Fleet Management Software
Upgrade
$ 100,000 $ 100,000
Radio Handheld & Mobile Device
Replacement
$ 486,929 $ 180,000 $ 143,123 $ 14,100 $ 149,706
Irrigation Software
(RainMaster/RainBird)
Automation
$ 12,000 $ 12,000
Microsoft Office 365 Migration $ 125,350 $ 125,350
Tait Radio System Backend
Upgrade
$ 508,045 $ 508,045
Universal Power Supply (UPS)
Battery Backup System
Replacement
$ 42,706 $ 42,706
Emergency Communication Center
(ECC) Blade Computer
Replacement
$ 4,317 $ 4,317
ECC Equipment Replacement $ 35,000 $ 35,000
Firewall Replacement $ 154,863 $ 154,863
Network Security Upgrade $ 125,000 $ 125,000
Virtual Private Network (VPN)
Replacement
$ 102,014 $ 102,014
Server Operating System Software
Upgrade
$ 41,868 $ 41,868
Audio Recording System
Replacement
$ 120,000 $ 120,000
Dispatch Radio Console
Replacement
$ 375,000 $ 375,000
Wireless System Citywide Upgrade $ 50,217 $ 50,217
UPS Battery Backup System $ 42,706 $ 42,706
PD SAN Controllers $ 80,000 $ 80,000
Voice Over Internet Protocol
(VoIP) Telephone System
Replacement/Upgrade
$ 256,371 $ 256,371
Totals $ 3,741,723 $ 825,755 $ 1,261,000 $ 525,000 $ 550,968 $ 579,000
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Table 5 - List of IT Projects On Hold
(non-funded, non-prioritized, and sorted by department)
Project Title Owner/Sponsor
eDiscovery City Attorney
Litigation Management Application City Attorney
City Intranet Development Citywide
Contract Management Citywide
Document Scanners Citywide
Photo Management Citywide
Timecard System (IntelliTime) Citywide
EnerGov Community Development
EDCM Roadmap Clerk
CAFR and Financial Plan Database Automation Finance
Misc. Fee database Finance
Critical Community Connectivity Project Fire
EPCR (Electronic Patient Care Reporting) Fire
Fire Radio Receive Site at Fire Station #4 Fire
Fire Scheduling (Telestaff) Fire
Risk Management Application Human Resources
City Hall Data Center Relocation IT
City/County Parcel Project IT
Data Integration Roadmap IT
Enterprise Storage Growth IT
GIS Roadmap IT
Network Switching Infrastructure Equipment IT
Redundant Internet Connection IT
SAN Controllers - City IT
Sharelink Deployment IT
VDI - Phase II IT
VM Infrastructure IT
Graphics Tools Parks & Rec
Virtual Tour of City Facilities Parks & Rec
Volunteer Worker Tracking Software Parks & Rec
911 Phone System Police
ECC Audio Visual System Police
EOC AV System Police
Field Reporting/Citations Police
Interview Room Technology Upgrade Police
Police CAD Hardware Servers/storage Police
Police CAD/RMS Study Police
Shore Micro (Radio System Redundant Bypass Link) Police
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Project Title Owner/Sponsor
Stolen Vehicle Project Police
Streaming Video (Event mgt. for Dispatch) Police
Thinkstream CAD Police
Automated Vehicle Locater Police & Fire
Public Safety MDC's Police & Fire
Access Control (Automatic Gate Card System) Public Works
Asset Management Public Works
AutoCAD - Engineering Software Public Works
Signal & Light Management (Cartegraph) Public Works
Signs Management (Cartegraph) Public Works
Transit AVL System Public Works
Transit Fare Systems GFI Public Works
CityWorks Implementation at Whale Rock Utilities
Hach WIMS (Prev. OPS32) Utilities
iFix SCADA System - Controls wastewater alarms Utilities
MP2 Maintenance Software System Utilities
Utility Billing System Utilities
Water Telemetry HMIs Utilities
Whale Rock Wi-Fi Utilities
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5.0 Conclusion
The ITSP is a roadmap in that it charts the route to get from
where the City is today to where it needs to be.
Organizations that are working to transform their IT
environments (including the ways in which they strategically
govern IT, manage the delivery of IT services, and deliver
them) to a target state, and underscore the critical role that IT
governance, combined with a focused approach to
organizational change management and well-defined and
measurable objectives, plays in organizational transformation.
The City’s management team must continue to be committed
to maintaining and communicating the City’s IT vision,
mission, values, etc. adapting all as circumstances require
changes in priorities, and considering alternative approaches
to enable the City to attain its objectives.
Support of the ITSP will need to come in terms of priorities,
funding, policies and best practices. Successful
implementation may mean making compromises, and it will
mean exercising patience, taking an organization-wide
perspective, and maintaining a continued focus on revising
the plan as events take place. Finally, it will take cooperation,
communication and flexibility to adapt to changing needs,
technologies and resources.
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Prepared by:
October 2016
Revised November 2016
Revised April 2017
Revised June 2017
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Table of Contents
SECTION 1 – INTRODUCTION ..................................................................................................................................................................................................... 1
1.1 – SCOPE AND OBJECTIVES .................................................................................................................................................................................................................. 1
1.2 – DOCUMENT ORGANIZATION AND CONTENTS....................................................................................................................................................................................... 1
1.3 – ROLE OF IT ASSESSMENT REPORT ..................................................................................................................................................................................................... 1
SECTION 2 – IT ASSESSMENT ...................................................................................................................................................................................................... 3
2.1 – IT ASSESSMENT OVERVIEW ............................................................................................................................................................................................................. 3
2.2 – SUMMARY OF “VOICE OF THE USER” SURVEY ...................................................................................................................................................................................... 4
2.3 – USER STAKEHOLDER INTERVIEWS ...................................................................................................................................................................................................... 6
2.4 – IT INTERVIEWS ............................................................................................................................................................................................................................ 14
2.5 – CORE BUSINESS APPLICATIONS ....................................................................................................................................................................................................... 16
2.6 – IT BEST PRACTICES ASSESSMENT .................................................................................................................................................................................................... 20
2.7 – SWOT ANALYSIS......................................................................................................................................................................................................................... 28
SECTION 3 - STATUS OF 2011 IT ASSESSMENT RECOMMENDATIONS ....................................................................................................................................... 30
SECTION 4 – RECOMMENDATIONS .......................................................................................................................................................................................... 34
4.1 – THE CITY SHOULD TAKE STEPS TO ENSURE THE SECURITY AND SUSTAINABILITY OF ITS IT ENVIRONMENT ......................................................................................................... 37
4.2 – ITD SHOULD ADOPT ADDITIONAL IT BEST PRACTICES ........................................................................................................................................................................... 41
4.3 – THE CITY SHOULD EXPAND ITD TO IMPROVE ITS ABILITY TO SUPPORT CURRENT AND EMERGING USER REQUIREMENTS ..................................................................................... 47
4.4 - THE CITY SHOULD DEVELOP A BUSINESS APPLICATION PORTFOLIO .......................................................................................................................................................... 53
4.5 – ITD SHOULD TAKE STEPS TO IMPROVE ITS COLLABORATION/COMMUNICATION WITH THE CITY DEPARTMENTS ............................................................................................... 55
4.6 – THE CITY SHOULD DEVELOP AN ENTERPRISE DATA ARCHITECTURE ......................................................................................................................................................... 57
APPENDICES............................................................................................................................................................................................................................. 59
APPENDIX A – INVENTORY OF TECHNOLOGY POLICIES ............................................................................................................................................................ 60
APPENDIX B – IT BEST PRACTICES CHECKLIST ........................................................................................................................................................................... 62
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This Information Technology Assessment Report was developed for the
City of San Luis Obispo, by NexLevel Information Technology, Inc.
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Section 1 – Introduction
1.1 – Scope and Objectives
This Information Technology (IT) Assessment Report was developed for the
City of San Luis Obispo (City) by NexLevel Information Technology, Inc.
(NexLevel) to document how effectively the City governs, manages, and
delivers information technology services. The information provided in this
report was derived from:
▪ An online IT User Satisfaction Survey
▪ Interviews conducted with key user department stakeholders,
subject matter experts (SMEs), and policy advisers
▪ Interviews conducted with the City’s IT Manager and staff
▪ An Information Technology Best Practices Assessment that
provides an analysis of the City’s conformance to a set of
information technology best practices
▪ A review of the 2011 IT Assessment and progress made to date
Terminology
To avoid confusion, concepts and observations in this report regarding the
use of information technology in general are spelled out (“information
technology”) or abbreviated as “IT”, while “IT organization or ITD” are used
for references to the City’s Information Technology Division.
1.2 – Document Organization and Contents
This report contains the following sections:
1. Introduction (this section), which provides information regarding
the scope and objectives of this project and the relationship of
this report to the overall project scope, and role of the IT
Assessment in the overall process of developing an IT Strategic
Plan
2. IT Assessment, which provides a summary of the findings
resulting from each component of the assessment including the
interviews with key user stakeholders, interviews with the City’s IT
Manager and ITD staff, a status of the previous assessment, and a
current assessment of the degree to which the City’s practices
and procedures conform to information technology best
practices; and
3. Recommendations, which provides specific recommendations for
actions that should be taken by the City based on the findings of
the assessment, along with suggested steps that the City should
take to implement the recommendations.
1.3 – Role of IT Assessment Report
“Voice of the
User”
Survey
User Stakeholder
Interviews
ITD Best
Practices
Assessment
Documentation
Review
IT Assessment
Draft and Final
Survey
Reports
Draft and Final
IT Assessment
Reports
Prioritization
Workshop
Draft and Final
Project Portfolio
Strategic
Technology
Master Plan
Ø Citywide IT Projects
Ø ITD Specific Projects
Figure 1 – Information Technology Assessment and Strategic Plan (ITSP) Process
Figure 1, Information Technology Assessment and Strategic Plan (ITSP)
Process, depicts the major tasks and deliverables involved in the
development of the City’s IT Strategic Plan and the role of the IT
Assessment in the overall process. As shown, the IT Assessment provides
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the foundation for the development of the IT Strategic Plan by enabling
the development of a shared, City-wide vision of:
▪ Where the City is today with regard to the information technology
services provided by ITD including a detailed review of the City’s
information technology strengths, weaknesses, opportunities, and
threats
▪ A best practice review of key dimensions of IT operations and an
assessment as to the City’s compliance with technology service
delivery and commonly accepted guidelines
▪ Steps that the City should take to better govern, manage, and
deliver information technology services
An additional product of the work related to the development of the IT
Assessment, provided later, under separate cover, is the preliminary
portfolio of proposed IT projects which will provide the foundation for the
Prioritization Workshop that will help shape the City’s IT Strategic Plan.
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Section 2 – IT Assessment
2.1 – IT Assessment Overview
The IT Assessment provides a picture of how the City governs information
technology objectives and priorities, manages information technology, and
delivers information technology services to the City’s departments. The
assessment provides a baseline that defines where the City is today, where
it needs to be, and the gap between the two.
As depicted in Figure 2, Components of Information Technology
Assessment, NexLevel’s evaluation was developed based on information
from:
▪ The “Voice of the User” Survey and comparison to similar surveys
conducted by NexLevel for the City in 2011 and 2014
▪ A series of interviews with City decision-makers, stakeholders,
and subject matter experts
▪ A series of group and individual interviews with IT managers and
staff members
▪ An assessment of the City’s core business applications
▪ An assessment of the degree to which the City’s information
technology operations and practices conform to a set of best
practices
▪ A review of the 2011 IT Assessment conducted by NexLevel with a
progress report relative to the recommendations provided in that
assessment
Ø City-wide Priorities
Ø Common User Concerns and Needs
Ø Obstacles
Ø Opportunities
Ø Common Technology Concerns
Ø Obstacles
Ø Opportunities
Ø Projects in Progress
Ø Application Lifecycle
Ø Status of Core Business Applications
Ø Maturity Model
Ø City Conformance to IT Best Practices
Ø SWOT Analysis
Ø Recommendation Progress Review
Ø User Satisfaction with IT
Infrastructure, Applications, and
Services
Ø Comparison to 2011, 2014 Surveys
“Voice of the User”
Survey
User Stakeholder
Interviews
IT Staff Interviews
Core Business
Applications
IT Best Practices
Assessment
Review of 2011 IT
Assessment
Information
Technology
Assessment
Figure 2 – Components of Information Technology Assessment
The IT Assessment and the resulting recommendations are comprehensive
and are thus not driven by any single factor; but represent the consensus
of NexLevel’s consulting team based on the totality of the information
collected, along with the consultants’ cumulative experience in managing
IT organizations and conducting similar engagements. The experience of
the consulting team is particularly important in considering, reconciling,
and weighing the results obtained from each component of the IT
Assessment, which can sometimes vary as a result of the different
methodologies used to capture the information.
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For example, when there is a variance between the results of the “Voice of
the User” Survey and the interviews conducted with key user stakeholders,
the interviews are given greater weight since, unlike the survey, the
interviews are conducted face-to-face. The in-person approach of the
interviews enables the consultants to ask follow -up questions to better
assess whether the information being provided is consistent with
information obtained in prior interviews and represents an objective
assessment, from the users’ perspective, of how the organization governs,
manages, and delivers information technology services.
Regardless of the source of information, NexLevel’s approach is to validate
the concerns expressed by the user community, and to provide the City
with actionable recommendations designed to improve IT service delivery,
increase organizational efficiency, and enhance information security.
2.2 – Summary of “Voice of the User” Survey
Between September 20, 2016 and October 3, 2016, NexLevel conducted an
on-line survey of City employees to assess their satisfaction with the
support they receive from ITD and general observations concerning the
City’s use of technology. Of the approximately 540 City employees invited
to take the survey, 191 participated (35%).
Network Services:
▪ Of the 175 individuals who responded to the question regarding
their satisfaction with the time it takes Network Services to
solve/correct their problem, 145 (97%) indicated they were
satisfied to some degree (either very satisfied, satisfied, or
somewhat satisfied)
▪ Of the 169 individuals who responded to the question regarding
their satisfaction with the communications on issue resolution
from Network Services, 154 (94%) indicated they were satisfied to
some degree
▪ Of the 167 individuals who responded to the question regarding
the timeliness and completeness of Network Service’s follow-
up/check back on the service provided, 155 (93%) indicated they
were satisfied to some degree
▪ Of the 142 individuals who responded to the question regarding
training provided for the business applications used in a
department, 111 (78%) indicated they were satisfied to some
degree
▪ Reasons City staff contacted Network Services for assistance
included:
- Software Applications (Microsoft, Adobe, etc.) – 73%
- Hardware (PCs, Laptops, etc.) – 68%
- Enterprise Applications (Business software) – 30%
Survey respondents were asked to rate their satisfaction with core
business applications:
▪ 41% indicated a level of dissatisfaction with Finance/Community
PLUS (finance system)
▪ 41% indicated a level of dissatisfaction with EnerGov (land
management system)
▪ 39% indicated a level of dissatisfaction with IntelliTime (time
reporting)
▪ 28% indicated a level of dissatisfaction with Spillman (Police
CAD/RMS system)
▪ 25% indicated a level of dissatisfaction with MinuteTraq (agenda
management system)
▪ All other applications were rated at some level of satisfaction
When asked, “What does Network Services do well?” typical responses
included:
▪ Quickly responds to user issues
▪ Keep systems running
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▪ Great and helpful team
▪ Friendly, knowledgeable staff
When asked, “What can Network Services do better?” typical responses
included:
▪ Add staff
▪ Provide additional applications training
▪ Proactively identify problem areas and recommend solutions
Information Services:
▪ Of the 42 individuals who responded to the question regarding
their satisfaction with Information Services understanding or their
needs, 37 (88%) indicated they were satisfied to some degree
▪ Of the 42 individuals who responded to the question regarding
their satisfaction with Information Services time to respond to
their request for service, 36 (86%) indicated they were satisfied to
some degree
▪ Of the 42 individuals who responded to the question regarding
their satisfaction with Information Services ability to
communicate clearly, 36 (86%) indicated they were satisfied to
some degree
When asked, “What does Information Services do well?” typical responses
included:
▪ Responsive and accommodating
▪ Understanding needs and delivering on requests
▪ Very knowledgeable and helpful
When asked, “What can Information Services do better?” typical responses
included:
▪ Provide enterprise access (single log-on)
▪ Provide formal training
▪ Increased communication with GIS users and departments overall
to ensure needs are being met and that staff understands
solutions that are available
Network Services, Information Services and Database Administration
Combined:
Other observations made by City employees relative to the City’s overall
use of technology included:
▪ Not aware of data/information security policies; need awareness
▪ KBOX Help Desk software is not intuitive and can be confusing at
times
▪ KBOX email status updates can be difficult to read and specific
responses are buried under clutter
▪ I get locked out of VDI too often
▪ VDI is slow, problematic at times
▪ Poor radio communication in parts of the City
▪ VPN connections drop in certain areas of town
▪ Database administration (DBA) services does a great job with the
resources available to them
▪ DBA services need additional staffing
▪ Too much of the time, Database Services is not available and work
efforts are delayed
▪ Need better understanding of GIS and the overall picture
▪ The IT Steering Committee is a great idea with a lot of potential,
but it seems to be a “black box”
▪ Would like more City-wide communication of the IT Steering
Committee’s work and efforts
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The survey represents one of several data points that were evaluated to
determine how City staff view the services they receive from ITD and how
the City manages City-wide technology resources. NexLevel tends to be
cautious in drawing conclusions from the user survey alone. The survey
results are often driven by current perceptions of the users and these tend
to be isolated rather than holistic and reflect recent experiences rather
than looking at service levels over time.
2.3 – User Stakeholder Interviews
In the course of the IT Assessment, NexLevel conducted interviews with:
▪ Administration/City Manager
▪ City Attorney
▪ Community Development
▪ Finance
▪ Fire
▪ Human Resources
▪ Parks and Recreation
▪ Police
▪ Public Works
▪ Utilities
2.3.1 – Summary of User Concerns and Requirements
During the user interviews, the interviewees voiced the following concerns
and requirements:
▪ Some of the users expressed the concern that while IT does a
good job of responding to basic infrastructure issues that its
support of new and existing business applications is not as good.
Common issues regarding business applications included:
- A lack of depth in staffing and experience so that if a key
ITD staff member is out of the office there is no backup
for that person
- Problems with the application of software patches,
releases, and new versions, with some of the City’s
business applications being out of date
- A feeling that there is minimal focus on enterprise
applications’ and little vision or plan for the management
of business applications in general
▪ While Laserfiche has been implemented to support document
management, numerous departments do not use it
▪ The Payroll/Timesheet Reporting application (IntelliTime) is not
configured to support the City’s FLSA requirements which results
in nonexempt employees having to report days and hours worked
into IntelliTime that may be different than the actual schedule
worked
▪ Departments typically forego the implementation of application
upgrades due to the time and resources required, and because
the upgrades include functionality for which departments have
not been trained
▪ Users would like access to additional applications other than
those that are used within their department
▪ The users of specific applications are entering data into those
applications in different ways, which is causing data integrity
issues, and in turn, affecting the quality of reports
▪ While user training pertaining to specific applications occurs
around the time of implementation, that training is just enough to
“get started,” and as time moves forward, users tend to forget
much of what they learned, yet no additional training is provided
▪ With the focus on KPI’s, each department is interested in
implementing a dashboard, however, this will require a significant
time commitment from ITD Database Administration
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▪ Numerous applications have been implemented without
consideration as to whether:
- There might be other applications already in place in the
City that could fulfill the same need
- The applications should be integrated with existing
applications
- Work flow and improved business processes are often
overlooked
2.3.2 – Interview Summaries
Administration/City Manager
The City’s executive view for the use of technology is to “be cutting edge,
but not bleeding edge and stretch the City’s core competencies in terms of
technology and community services”. Specific areas for the application of
technology include:
▪ Citizen Access to Data: any device, to any data, from anywhere;
applications should be integrated, the data must be secure,
accessible and approachable, instructions on data usage must be
provided to meet ever increasing self-service public demands
▪ Technology Refreshment: technology must be current and
relevant; the City must find economical ways to stay fresh and
current with the use of technology
▪ Lessons Learned: the City should define a process to review
technology projects in order to learn from past successes and
mistakes
▪ Data Analytics: the City wants its data repository to be the
backbone to make decisions; implement the tools to mine, collect
and analyze data; establish uniform City-wide performance
measurements
▪ Sourcing: the City should continue to evaluate technology
sourcing options (SaaS, Managed Services, etc.) as it acquires new
applications to reduce infrastructure support or to perform
commodity services (e.g. Help Desk, Network Monitoring, etc.)
▪ Organizational Structure: so that IT is not thought of as the sole
innovator for advancing technologies to keep departments
current with technology
▪ Efficiency: doing the best job with the resources available:
▪ Replacing the Finance System with a City-wide ERP
▪ Exploring downtown public Wi-Fi
▪ Automating manual processes within all departments and
eliminating duplicate data entry where possible
▪ Using repeatable processes (i.e. checklist standards) for routine
tasks
City Attorney
The department’s use of technology is limited to basic Microsoft products
and most tasks are supported by manual processes. Several systems are
available (Houdini Esquire, Laserfiche), but these have been deemed too
complicated and are not being utilized.
The department has identified the following activities, which could expand
their use of technology or better utilize systems currently implemented
within the City:
▪ Data Retention: mechanism to ensure the City’s retention policies
are being followed
▪ Public Records Requests: track City’s responses to public requests,
and an application to support the location of information
▪ Document Management: initiative to effectively utilize Laserfiche
City-wide
▪ Contracts Management: implement a contract management
solution to improve the creation, routing/tracking, versioning, and
storage of contract materials
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▪ Access to other City systems: obtain access to information such as
GIS, Community Development applications, etc.
▪ Enterprise Systems: the Department indicated that the City should
more effectively utilize enterprise systems rather than
implementing standalone, department based applications (i.e.
Microsoft OneNote)
Community Development
The Community Development Department identified the following
technology needs and issues:
▪ Permitting and Land Management: EnerGov was implemented to
replace the obsolete Bonnie App. In consideration of lessons
learned, the department tried to make EnerGov work like the
Bonnie App instead of changing the business processes, which
limits the effectiveness of the application. Through continued
work with Tyler Technologies, an EnerGov maturity model has
been developed with a 6 to 18 month implementation plan. The
maturity model, along with hiring an applications specialist, will
support the desire to go paperless and increase the features
available in the customer self-service portal
▪ Plan Check: engineering customers have recommended Bluebeam
Software – need to plan for it in CIP
▪ Mobile Computing: both building and code enforcement staff use
iPads for access to EnerGov; need to set up work flow
▪ Retirement of Bonnie Apps: as mentioned, the department is still
using the land use inventory as it has large numbers of links for
document management and it is the easiest way to access those
documents; department is cutting and pasting information for
FEMA reporting
▪ GIS: the technology is in place, but has not been activated or
tested; staff have not been trained;
▪ Project Management: the department has not had good success
implementing IT projects in the past (e.g. it took 5 years for the
EnerGov implementation and 2 years for the data migration from
the Bonnie Apps) and has a need for project management services
▪ Document Management: Tyler Content Manager is used to attach
documents and Laserfiche is not used. Document management is
a City-wide need to clarify how/where documents should be
archived and avoid archiving documents in multiple places
▪ Council Agenda: currently using Accela MinuteTraq, but unsure if
the City is committed to using it. They have had it for a year, but
have had other products for many years that were discarded
▪ Neighborhood Information: neighborhood services specialists
follow the same work flow as code enforcement – they use
tablets in the field connected to EnerGov; static information is
available for citizens on website, but the desire is to move to
dashboards; active on social media – Instagram, Twitter and Next-
door; want citizens to select geographic areas of interest and then
specific announcements/bulletins
▪ Public Works and Utilities: the Public Works and Utilities
departments have implemented applications that Community
Development is not familiar with. Information in their applications
may be of value to Community Development, but an
understanding of what the applications can provide is needed
▪ Multiple Databases: an understanding of the City’s multiple
databases in needed in order to better utilize information that is
available, especially for GIS/maps
Finance
The Finance Department is highly dependent on technology, but is
somewhat in a transition period. Current and near future technology
solutions are centered on the following:
▪ Financial Management: the department currently uses the
SunGard Pentamation solution, but will be transitioning to a new
ERP system in the next three years (entitled Motion Project, of
which Finance is the Project Sponsor)
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▪ Budget: the department has been using Excel spreadsheets, but
has purchased and is currently implementing Questica. While
there is no integration planned between Questica and
Pentamation, the City should consider integration between
Questica and the new ERP system, unless the ERP has an
integrated Budget module that meets the City’s needs
▪ Document Management: the department has no document
management capabilities, but will need such functionality in the
future to support the Motion Project. SharePoint and Laserfiche
may be possible document management solutions.
▪ Other future Interfaces: the department indicated the need for
other future interfaces from the new ERP system to Springbrook
utility billing and Cityworks asset management
▪ Fees: the department indicated a need to re-calculate fees and
ensure they are reflected in accounting; they are interested in a
fees database which is currently under development within CDD.
▪ Business Process Re-engineering: the department feels that many
current processes can be made more efficient and are looking
forward to the upcoming business process re-engineering efforts
that will be completed as part of the Motion Project.
Fire
The Fire Department maintains a strong need for, and focus on, technology
to meet their needs and requirements. Specifically, the department is
focused on:
▪ Electronic Patient Care Reporting (EPCR): the department will be
implementing the ImageTrend EPC reporting component of
ImageTrend in October 2016; ImageTrend has a number of other
components/modules that could be beneficial for Fire, and as
such, they would like to investigate these further
▪ Inventory Management and Equipment Replacement: the
department would like to be able to track equipment inventory in
one system (except perhaps for vehicles), and have that system
provide automated alerts as to when specific equipment is to be
replaced; ideally, this system would feed into the City’s budgeting
process such that replacement costs are connected to budget
projections and submissions
▪ Reporting: the department anticipates that ImageTrend is going
to provide comprehensive reporting capabilities (including custom
reports), and would like to initiate a strong focus on reporting –
reporting that will allow them to be proactive instead of reactive;
the Fire Department would appreciate support from IT to help the
Fire staff develop reports in the ImageTrend database - Fire is
interested in being an active partner in developing these reports,
but consulting with an IT database expert would significantly
enhance their efforts
▪ Data Extraction: the department indicated a need for the
extensive retrieval and analysis of data from existing and/or
planned application systems for more effective management of
the department and to report metrics to City executives, including
from EnerGov, Spillman (dispatch software), and Questica
(finance software); a real-time database of meaningful metrics
would significantly enhance data-driven decision making
▪ Mobile Computing: field staff will soon have iPads that will allow
them to communicate directly to ImageTrend; the iPads will also
have an application that will allow them to communicate with
EnerGov, and the department would like to continue to expand
their use of the iPads to additional applications
▪ Value Propositions: the department would like the City to move
away from cul-de-sac solutions, and instead, have a keen focus on
enterprise solutions – ones that can meet various needs and
provide value across departments
▪ Communications Infrastructure: the department indicates that
their radio system is rudimentary and that it lacks redundancy;
would like to make sure someone is focused on this and the
changing legal issues (FCC) associated with it, as well as planning
for taking advantage of technological advancements
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▪ Leverage Neighboring Agencies: the department would like to
investigate the services and technologies used by neighboring
agencies to determine if they can be leveraged in any way.
Included in this is the sharing of unit status and geolocation
information among emergency response partners.
▪ Emergency Operations Center (EOC)/IT Training Room: the
department would like to see a more functional, large, turnkey
EOC. The current EOC is a training room too small for full EOC
activation; does not have dedicated computers; and requires time
and trained staff to set up for opening/operations. As the City
plans a new Police Headquarters it should include an EOC/IT
Training Room as a significant step forward for emergency
operations capabilities, security of EOC operations, and City
technology training resources.
▪ Strategic Champion: the department would like to have someone
in their department who could serve as a Strategic IT Champion –
one who would be responsible for attending meetings and being
involved in decisions; this would allow IT to represent technical
options and consequences, and charge the department with
making key operational decisions on programs/projects which the
operating departments are the primary users; this should be used
City-wide to avoid a repeat of “the EnerGov debacle” in which the
primary operating department(s) shifted strategic program
accountability and decision making to IT; a City-wide culture shift
needs to happen - as an example, last week, IT started receiving
questions and concerns about the new payroll software update,
and those questions should go primarily to Finance/Payroll, not IT;
the strategic plan should list and annually refresh the following:
- All the technology platforms being used by the City (in all
departments)
- The current version the City is using
- The current release version by the vendor
- The primary function (the “why”) for using this solution
to avoid inconsistent redundancy (which is this case isn’t
an oxymoron)
- The operating department Strategic Champion for that
solution by job title and name (due to turnover and
movement of personnel)
- Operating departments are responsible for partnering
with IT to submit their exhaustive list of technology
platforms, and any platform not formally captured would
be assumed to be unsanctioned by the IT Steering
Committee and unsupported by IT
- This list should be reviewed by the IT Steering Committee
as part of the bi-annual budget development process
Human Resources*
Issues identified based on a lack of sufficient technology:
▪ NeoGov, the online recruitment application, functions well for the
department and they are using more and more of its capabilities –
self scheduling interviews, screening, etc. However, there are
even more capabilities that would be more effective if the
department had an HRIS system to interface with NeoGov
▪ Work Flow: The department has been setting up some work flows
in NeoGov but it is time consuming because there is no HRIS for
NeoGov to “talk to” or draw from. Human Resources needs work
flow throughout its department as it currently requires filling out
paperwork, signing, interoffice mailing, etc. which is not as
efficient as the process could be. It should be noted that
Laserfiche is currently available to manage HR forms and
workflows.
▪ Human Resources Information System: manual processes and
workarounds are taxing the department and causing missed
deadlines, errors, etc. The department has received the approval
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to implement a Human Resource Information System (or related
modules) as part of the ERP system implementation
▪ Regulatory Compliance: in support of the Affordable Care Act, t he
department must track who was offered insurance, who
accepted/declined, and conduct an annual audit to determine if
employees are eligible and should now be offered insurance
▪ Fair Labor Standards Act: the department needs to complete an
audit that will require payroll to run side-by-side overtime
calculations every pay period and to determine how the FLSA
overtime compares to the MOUs
▪ Human Resources could not be scheduled for an in-person
interview. However, the department provided written
observations relative to technology use in the department.
Parks and Recreation
The Parks and Recreation department identified the following technology
issues and needs:
▪ Communication: department utilizes up to 150 temporary
employees and has no effective way to communicate with them
due to the volunteers not having access to the City network
▪ Volunteer Sign Ups: department utilizes up to 400 volunteers and
would like to implement a more efficient method for them to sign
up
▪ Wi-Fi: department would like to have the use of Wi-Fi expanded in
their offices, City parks, and schools
▪ Collaboration: the department issues the City’s special event
permits and directs applicants to receive approvals from
appropriate departments (i.e. traffic management, rubbish
containers and pickups); it would be helpful to have a special
event application to support multi-department event planning
and support
▪ Mobile Technology: staff have many iPads, but cannot use them
to access department directories/information; need additional
devices for 13 staff working at schools so they have access to
department directories/information
▪ Graphics: the department expressed a need for software and staff
training for graphics to support collateral development
▪ Mailings: the department has a difficult time obtaining addresses
for mailing labels to support public notifications; they rely on
Community Development or Public Works to provide assistance;
consideration should be given to using EnerGov for the creation of
mailing lists
▪ Time Reporting: the pay periods in IntelliTime do not support the
department’s work schedule which makes payroll time reporting
difficult
▪ Game Cameras: the ability to monitor wildlife activity in open
space areas using mounted and hidden video cameras is desired
Police
The Police Department indicated a wide variety of technology usage and
needs:
▪ Spillman: CAD and RMS are currently running on version 6.2 and
needs to be upgraded (current version is 6.5 and a newer one is
expected early 2017); need to review Spillman sometime in the
next five years to see if it makes sense to continue with it or
investigate other solutions
▪ Non-Video Evidence: the department expressed a great need for a
system to support the storage of non-video evidence (i.e.
photographs)
▪ Field Reporting: desire is to move to mobile field reporting, but
waiting for Spillman development - citations are to be supported
in a new version (about a year out)
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▪ Cellular Phones: approximately half of the officers still have flip
phones and the need is for more smart phones, as they support
easy testing, can serve as a recording device, provide a camera,
and can be used to share data, intelligence, send receive suspect
photos quickly, view IP cameras etc.
▪ Internal Affairs: department has implemented IAPro – this is
central for customer complaints, early warning, accident tracking
and internal affairs – training is scheduled in November and go
live in December
▪ Crime Analysis: the department has a strong focus on crime
analysis; the department feels it needs an IT analyst assigned to
department that will be focused on Crime Analysis. The
department is currently evaluating several different crime analysis
software applications to determine which will suit their needs
most effectively
▪ Mobile Data Computers (MDC) and Body Worn Cameras (BWC):
these will need to be replaced in about a year; technology
refreshment every five years should be planned and budgeted; it
is anticipated MDCs will be replaced in fiscal year 19-20, along
with BWCs, and at that time, the MDCs and BWCs will move
forward, together, on a five-year replacement rotation
▪ Body Cameras: the department is currently operating 10
WatchGuard body worn cameras and anticipates purchasing 33
more units within the next 30-45 days; cameras will be issued to
all patrol staff; IT is currently analyzing storage needs and is
assisting the department as they transition to increased digital
storage capacity; the next generation of WatchGuard cameras will
be Wi-Fi enabled and will integrate with the current WatchGuard
In-Car video cameras, and all video will download wirelessly
through the existing infrastructure
▪ Equipment Inventory Tracking: the department has demoed two
different systems and plans on purchasing the ITD approved
system
▪ Field Radios: there are locations in the City with poor coverage;
the department is currently replacing some units, need to
determine schedule for addressing these spots, and for planning
technology refreshment every five years
▪ Detective Interview Rooms: the department is considering
revamping the existing detective interview room and replacing
equipment with WatchGuard products that will integrate with the
other WatchGuard systems to create consistency and
software/storage compatibility
Public Works
Public Works identified the following technology needs and issues:
▪ Fleet Management: the department would like to implement a
new fleet management system sooner rather than later as
Cartegraph is not meeting the department’s needs
▪ Cityworks: building maintenance, street maintenance, parks
maintenance, and urban forest crews use Cityworks; staff usage is
uneven and usage depends on supervisor’s comfort level and
crew’s acceptance of it; a new City engineer is tasked to review
the system to evaluate the results of its use; reporting consistency
is also needed as performance measures do not seem to be
available as much of what the department would like to track
does not appear to be easily monitored and reported; other cities
have indicated they are using Cityworks extensively, but Public
Works does not feel they are maximizing its utilization which may
be a training issue or the department is not using some
components because they don’t work or because staff doesn’t
know the best way to maximize utilization; the department has
also found it difficult to track and obtain specific information (e.g.
money spent on specific sidewalk projects, their locations, etc.)
from the system
▪ CIP Ace: a formal procurement was completed last year and CIP
Ace was selected for CIP budgeting; additional vendor assistance
or follow-up may be needed to effectively use the product
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▪ Time Reporting: there are many complaints pertaining to
IntelliTime payroll time reporting
▪ IT Strategic Planning: the department would like to get a better
handle on their IT needs as there are 12 different programs
funded by different sources; would like to schedule a “summit”
with ITD once a year to discuss where they are and where they
need to go with IT
▪ GIS: the department has been a leader, but perhaps there are
more hidden gems to be uncovered; would like simple way to
show activities to the public
▪ Grants: would like simple way to track grants available, due dates,
applied for, and grants received
▪ Budget: the department has been given the responsibility of doing
the budget for CIP; need way to do this that is more efficient than
it has been done in the past
Utilities
The Utilities Department identified the following technology needs and
issues:
▪ Cityworks: Cityworks CMMS has been integrated to Springbrook
(service orders generated in Springbrook, interfaces to CMMS,
when service order is complete, CMMS sends data back to
Springbrook); department is very concerned about data being
entered into Cityworks - it goes across department lines, and yet,
there is no DBA assigned to it – the data is suspect; still on 2013
version – need to be updated; department is not sure how much
Public Works is utilizing Cityworks, but believe that staff in both
departments are doing the same tasks in different ways and using
fields in different ways – makes data, data searching, and reports
unusable; department thinks it might be beneficial for a Cityworks
representative to visit the City every quarter to determine if City is
maximizing the application and to provide additional training;
analytics module has never been implemented
▪ GIS: the department is operating in a self-taught manner, which
allows them to get by, but they believe they are misplacing
fundamental building blocks and this will be exposed as they
move further ahead with the application; a strategy for quality
and completeness is also needed
▪ Springbrook: the department has taken over utility billing
responsibilities from Finance; Springbrook is integrated to
Cityworks and GIS
▪ SCADA: new construction project for SCADA is pending; design is
in progress; would like it to trigger work orders automatically (e.g.
a pump should be maintained after a specific number of hours
and should automatically generate a work order)
▪ IntelliTime: department staff are frustrated with this application –
hours are spent trying to get data entered correctly – morale is
low; entry of hours on specific days limited based on definition of
work week – sometimes have to fool the system; application may
have been broken during implementation
▪ Application Integration: the department would like to determine
if there is a way to expand the integration between EnerGov,
Cityworks, Springbrook, and GIS
▪ Security: the department identified a number of data security
concerns: 1) When citizens sign up on website with SSN, how long
do we keep that data? 2) What is City’s liability for customer
credit card data kept in Springbrook if data is breached? 3) The
potential for a security breach into SCADA is a concern – pumps,
water treatment, etc.; believe the department heads should know
the threats and how to prevent them
▪ Dashboards: this is a great idea for managers and execs, but if the
data is bad, it will cause poor decisions
▪ Mobile Computing: field staff are dependent on laptop
computers, they struggle to send email, but expect them to know
and understand GIS; there has been a lot of change – staff needs
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PC training, application training, safety training, etc.; goal is to get
staff to do data entry in the field
▪ Application Upgrades: when updates are released for various
applications, it seems there is no specific City-wide strategy for
implementation; in fact, if staff (in any of the departments) is
uncomfortable with upgrading (training issues, difficulty adapting
to change, etc.), the upgrade is typically stymied; a version
upgrade policy needs to be established by the IT Steering
Committee
2.4 – IT Interviews
Information Services
Information Services identified the following technology needs and issues:
▪ GIS: 1) Need to know more about recent update to ArcGIS Server
(a.k.a. ArcGIS Enterprise) and how it will affect the Spillman,
Cityworks, and EnerGov; 2) connectivity for public parcel viewer is
critical for the next phase – Need to implement EnerGov’s Citizen
Self Service in addition to providing data through ArcGIS Online
and ArcGIS Portal
▪ Cityworks: some crews are using this application effectively, but
some hesitate, and others do not use it; the benefits of the
system cannot be realized if the staff are not using it and using it
correctly; some use paper instead of the application; the analytics
tool is not deployed, but regardless, it will not be effective if data
is not entered correctly
▪ EnerGov: this application has improved since Tyler purchased the
company - the application backend was rewritten and the system
speed has increased; this has changed how staff can use the
software; staff would like to use the system features more
effectively
▪ Spillman: this application is three versions behind and needs to be
upgraded; Spillman uses c-tree database instead of Microsoft SQL;
to obtain crime statistics – it requires data duplication and there is
a risk of bringing down CAD when the data is duplicated because
the interface can lock up and queries cannot be completed; crime
statistics are important for the Police Department
▪ Pulsepoint: this application supports the initiative to notify
someone trained in CPR when there is a heart attack victim
nearby to allow the trained person to get to the victim faster than
the Fire Department may be able to; Police and Fire want a
dashboard to measure activity and this may requirement a
Spillman upgrade
▪ Reporting: the management team’s ability to obtain accurate
reports will be at issue if data is not entered correctly; the data
entry requirements should be documented and staff trained to
ensure accuracy
▪ Document Management: there are no existing City policies (where
are documents stored, what is the document retention policy,
who is authorized to use them, etc.); plan file management needs
to be addressed – it was supported by a Bonnie App (FoxPro) -
Laserfiche was purchased to support document management but
it has not been implemented
Database Administration
▪ Reporting and KPI’s: Reporting seems to be overlooked when
discussing new applications; vendors typically indicate they can
provide all requested reports (which may or may not be the case)
but the City’s desire is for real time or near real time ad hoc
reporting. For example, Community Development had 15
measures of performance (KPI’s) in the City’s Financial Plan.
There is a need for EnerGov data and appropriate tools to support
this. ITD was asked to display information on the website, but
there was no plan on how to do it; data had to be dumped into a
data warehouse, manipulated using Microsoft SQL Server Analysis
models, and then reported using Excel. This process was labor
intensive and took two months of effort to complete the project.
Other examples include similar processes for Pentamation,
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Springbrook, and Cityworks were also labor intensive to meet the
reporting objectives all of which were not part of original project
scope of work. The new ERP system should include specific
toolsets to support reporting, without a plan it could fall back to
ITD. Recommendation:
- Embrace that reporting is not an optional activity
- City KPI reporting is enterprise wide just like the
objectives
- City departments should create reports as part of their
routine business and not be viewed as an ITD project
- Provide staff with ad hoc reporting tools and training
▪ Technical Project Oversight: There is little oversight for IT projects
and little consideration for how a project will affect others beyond
the originator. Example “setting new water meters”:
- Four departments, fifteen people, three applications
- Issue for 25 years
- 90% of existing business processes – no documentation;
no architectural leadership
- Recommendation:
▪ All projects be labeled “enterprise” unless
proven otherwise
▪ Train staff on how to do this
▪ Interpret into something actionable
▪ IT Roadmap: What is the ongoing role of information and
technology in the City; where is IT going; what are its guiding
principles? The resulting plan should include declarative
statements like those in City financial plans, general plans, and
strategic plans and should evaluate projects against guidelines
before going to IT Steering Committee. Recommendation:
- Elevate department concerns to same level of
importance as other policies
- Evaluate tasks at a broad, enterprise level
- Focus commitment to doing so as a “way of life”
Network Services
▪ The IT Steering Committee takes a leadership role and is effective.
However, a “project” is not clearly defined and can result in IT
resources supporting “informal projects” that are not visible to
the IT Steering Committee
▪ The addition of a dedicated Help Desk staff member has improved
staff productivity. Previously, the Network Administrators were
assigned to Help Desk support which took time away from
projects and ongoing support
▪ Two dedicated IT resources were added to support Utilities. The
staff are able to focus on plant requirements, security, upgrade of
the control systems, and related IT support for critical operations
▪ Application subject matter expertise (SME) with in-depth
knowledge of business requirements and an IT perspective is
needed to provide ongoing support after implementation (i.e.
Cityworks, EnerGov, Springbrook) to understand how change will
affect a department, improve business processes, and support
version upgrade testing and training
▪ Data base administration (DBA) is provided by one staff member.
This is a critical position and an additional DBA is needed to assist
with the workload, increase the knowledge base, and protect the
City in the event of an unplanned staff absence, vacation or
employee separation
▪ Change management processes are needed to ensure that
modifications are completed in a controlled and coordinated
manner including timely communication with users, effective
planning and management of risks associated with changes being
introduced, and creation of supporting documentation for future
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reference. The processes should ensure changes are well planned
and fully documented to include logs that record the who, what,
where, and when of changes made
▪ Staff are physically located in different areas of City Hall which
makes communication and collaboration challenging
▪ Current projects include:
- The Fire Department will be going live on ImageTrend
electronic patient care (ePCR)
- EnerGov phase 2 includes the roll out of 35 iPads for field
staff
- Virtual Desktop Infrastructure (VDI) is underway with 150
installations completed and 100 will be scheduled. The
project scope includes the procurement of new host
hardware and data storage
- Microsoft Exchange is being upgraded to Office 365
version 2016
- Wireless connectivity is being upgraded for all City
locations and will provide public access for guests
- Project planning for the implementation of body cameras
for Police is underway and 10 cameras are being piloted
- Partnership between the City and Cal Poly for the SLO
HotHouse to support business development
▪ New projects:
- Staff would like to relocate the servers and data storage
in City Hall to a data center for redundant power,
environmental controls (generator, fire suppression) and
security
- The Intranet is dated it will be replaced using Microsoft
SharePoint. However, the SharePoint administrator is
not identified
2.5 – Core Business Applications
In the course of the IT Assessment, NexLevel performed a review of the
City’s core business applications (software products that support City
operations excluding general office software such as word processing, e-
mail, and spreadsheets and 3rd party applications used for reference only).
Figure 3 – Business Application Lifecycle and Viability
Figure 3, Business Application Lifecycle and Viability, provides a
perspective of the lifecycle of an application from it being a prototype, to
its emergence as a product, through its maturity, and finally, to a phase
where the product is maintained but not enhanced. As an application
matures, it gains both functionality and viability as the vendor becomes
more adept in supporting the application and assisting organizations in its
implementation.
Eventually, many products reach a stage (“Maintenance”) where the
vendor continues to support it (such as correcting reported defects and
keeping the product compatible with current web-browsers) but seldom
adds new functionality or features. The maintenance stage may continue
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for some time; however, eventually a product reaches the point where
reductions in the user base reduce maintenance revenue so that it is
longer economically feasible to support it or technology advancements
require a rewrite. When this happens, the vendor may announce the end
of support for the product, contract support to a third-party, or sell
it. Since replacing a business application can be a complicated, multi-year
process, organizations with effective application portfolio management
processes usually begin planning for the replacement of business
applications early in the maintenance stage.
Using this model, NexLevel has prepared a recommended disposition of
each of the core business applications including:
▪ Assess – The City should assess emerging business applications to
identify and begin tracking promising solutions
▪ Retain – The City should continue to use the business application
▪ Evaluate – The City should perform an evaluation to determine
whether continued use of the business application is consistent
with the City’s business needs and priorities
▪ Enhance – The City should retain the business application, but plan
to enhance it by augmenting the business functionality provided
▪ Expand – The City should expand the use of the application
▪ Replace – The City should plan for the replacement of the business
application and begin setting aside funds for this purpose with the
objective of replacing it as soon as practicable
Table 1, Core Business Applications, provides a summary of NexLevel’s
findings. Information for each application includes:
▪ The business function provided by the application
▪ The name of the application, product or service
▪ The vendor responsible for the support of the business application
▪ The department(s) that sponsor the application (i.e., who are the
primary users of the application and who control the budget)
▪ Other users of the application
▪ The application’s disposition based on NexLevel’s assessment of its
continued viability and the viability of its supporting technology
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Table 1 – Business Application Matrix
Business Function Product or Service Vendor User Sponsor(s) Other Users Disposition
Agenda Management MinuteTraq Accela City Manager All City Departments Retain
Applicant Tracking NeoGov NeoGov HR Expand (1)
Asset Management Cityworks Cityworks Utilities Public Works, Utilities, Community Development Retain
Body and Car Video Mgt. WatchGuard WatchGuard Police
Budget Questica Budget Questica Finance All City Departments Evaluate (2)
Business License HDL Prime HDL Software Finance Evaluate (2)
CAD/RMS Spillman Spillman Police/Fire Assess (3)
CIP Management CIPAce CIPPlanner Corp Public Works
City Wireless Network Mgt. Meraki Systems Cisco ITD All City Departments
Control and Data System SCADA ITD Public Works, Utilities
CPR Alerts PulsePoint PulsePoint Foundation Fire Retain
Document Management Laserfiche Laserfiche City Manager Community Development Expand (4)
Email, Office Productivity Office 365 Microsoft ITD All City Departments
Financial Management Pentamation SunGard Finance All City Departments Replace (2)
Fire Alerting G2 USDD ITD All City Departments
Fleet Management Squarerigger Squarerigger Public Works
Fuel Management Gasboy Public Works Evaluate (5)
GIS ArcGIS ESRI ITD All City Department Retain
Incident Management Spillman Spillman Police Fire
Irrigation Management Rainmaster Irritrol Public Works Retain
Miscellaneous Database FoxPro Bonnie Apps ITD Com. Dev. (Land Use, Floodplain Mgt., Noticing) Replace (6)
Parking ParkMe ParkMe Public Works
Payroll/Time Reporting IntelliTime IntelliTime Finance All City Departments Evaluate (2)
Permitting and Land Mgt. EnerGov Tyler Technologies Com. Dev. Utilities, Fire Expand (7)
Recreation Registration Active.Net Active.Net Parks & Recreation Retain
Safety Training Target Safety Sol. Target Fire
Scheduling InTime InTime Police
Scheduling Kronos Workforce Telestaff Fire
Scheduling WhenToWork WhenToWork Parks & Recreation
Signal Management Cartegraph Cartegraph Public Works
Tee Time Scheduling GolfNow GolfNow Parks & Recreation
Tree Inventory Management ArborPro ArborPro USA Public Works
Utility Billing Accela Springbrook Utilities Evaluate (2)
Video Camera Management Milestone Milestone Utilities
Web Proxy & Mail Filtering McAfee SAA Intel ITD All City Departments
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Notes:
Please note that this list is not intended to be a comprehensive inventory. It was developed from the information provided by the City and supplemented
based on information developed in the course of the interviews with the user departments and ITD .
(1) NeoGov is currently being effectively used by Human Resources. Additional functionality is available within the product, and when time permits, the
department is testing and applying the additional features. In the future NeoGov may be expanded for other City department use, particularly as it relates
to work flow.
(2) The City is currently initiating an ERP project (Motion) for the replacement of the Pentamation finance system. During the process, a determination will be
made as to the modules included in the replacement software (Budget, Payroll, Timekeeping, Utility Billing, Business License, Human Resources, etc.). If
these modules are not included in the ERP replacement, new, stand-alone applications should be considered. At a minimum, interfaces between the new
ERP and existing applications will need to be developed.
(3) The Spillman CAD/RMS application will need continuous version updates. As the application continues to age, and new products enter the market, the
City should assess the viability of replacing the system.
(4) The City should develop an Enterprise Document Management System strategy and determine the long-term viability, or expandability, of the Laserfiche
application.
(5) The City will need to determine if GasBoy will continue to meet City needs and if it will integrate with the new ERP system and/or existing fleet
management system. If not, it may be necessary to acquire new software.
(6) As the City implements new business applications, old applications, created in FoxPro (Bonnie Apps.) should be migrated to the new core application and
the old software discontinued.
(7) Progress should continue on the EnerGov maturity model. Perhaps the application could be expanded to include additional functionality and be used by
more City departments.
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2.6 – IT Best Practices Assessment
As part of the development of the IT Assessment, I TD and NexLevel
performed an assessment of the degree to which the City and I TD conform
to a set of information technology best practices. This section of the report
provides a detailed review of that assessment. As noted earlier, the scope
of this IT Assessment is limited to the City-wide responsibilities for the
governance of information technology and ITD’s responsibilities for the
management and delivery of information technology services.
Components of the City’s IT environment that are entirely supported by
individual departments are not considered in this best practice
assessment.
Figure 4 – Levels of Best Practice Conformance
2.6.1 – Best Practices Maturity Model and Conformance
Figure 4, Levels of Best Practice Conformance, provides a conceptual
framework that NexLevel uses to depict IT best practices conformance
based on a maturity model. The model is based on five levels of maturity
ranging from “Frontier” (where the IT organization is largely unstructured)
to levels of progressively higher conformance to best practices as
organizations adopt well-defined and repeatable processes.
The characteristics of each of the levels in the maturity model are as
follows:
▪ Frontier Level: Organizations at the Frontier Level have fewer than
20% of their processes in compliance with best practices. This level
of maturity is characteristic of new and/or re-organized IT
organizations
▪ Reactive Level: Organizations at the Reactive Level generally have
well developed procedures including formalized procures for
incident reporting and tracking and are committed to customer
service but spend a disproportionate amount of their time and
resources “fighting fires.” Organizations at this level of maturity
tend to be primarily focused on managing the cost of information
technology rather than finding a balance between cost and value
▪ Proactive Level: Organizations at the Proactive Level have many of
the same attributes as organizations at the Reactive Level, but with
the key difference that they continually seek to improve service
delivery by finding long-term solutions to common problems such
as improving user competency, self-reliance, and training so that
they do not need to call IT for support as often. This is the “turning
point” for many organizations since they are better able to use
their IT resources for strategic purposes rather than reactively
responding to the same problems. These organizations are often
focused on the value that they obtain for their investments in
information technology
▪ Service and Value Level: Organizations at the Service and Value
Level have more than 80% conformance to IT best practices. They
continue the trend towards value and generally derive much higher
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returns for their investments in information technology, although
at greater expense. The Service and Value Level is not seen as
frequently in the public sector except where organizations provide
services (for a fee) to neighboring jurisdictions although some
organizations find that some components of the Service and Value
Level (particularly at the higher end, i.e., greater than 90%
conformance) are useful particularly with regard to community
engagement
The vertical dotted line between the Reactive and Proactive levels of the
model illustrates a key metric regarding IT best practice conformance.
Organizations with less than 50% conformance are generally reactive in
responding to user needs, while those with better than 50% conformance
are generally proactive and are better able to anticipate user needs.
NexLevel has observed that many organizations achieve between 40% to
60% conformance to the IT best practices and, as a result, often have some
of the characteristics of both the Reactive and Proactive levels of the
model.
NexLevel recommends that organizations work to achieve at least 50%
compliance with best practices (i.e., on the border between the Reactive
and Proactive levels), with 65% being a reasonable target considering both
the costs related to achieving this level of conformance and the value of
the benefits that are obtained.
Caveats Regarding Best Practices
Several cautions about IT best practice conformance are appropriate.
Although NexLevel attaches considerable importance to best practice
conformance as an essential building block for the effective delivery of IT
services, an IT organization need not meet or exceed every best practice in
order to provide effective customer service. A higher degree of conformity
to best practices, however, generally enables an IT organization to better
sustain service delivery levels over time and to more successfully cope with
external and internal factors that have the potential to disrupt the ability
to effectively deliver IT services.
NexLevel has noted that a high degree of conformance to the IT best
practices does not necessarily result in user satisfaction. NexLevel believes
that this is due to the difference between IT best practice conformance
and the ability of the IT organization to deliver services that are consistent
with user expectations.
Figure 5 – Factors Enabling IT Service Delivery
As depicted in Figure 5, Factors Enabling IT Service Delivery, the ability of
an IT organization to execute (i.e., to provide IT services that are
responsive, sustainable, and agile) is dependent not only on best practices
conformance but also on enabling factors such as organizational mission
and vision, organizational culture, as well as IT funding and IT organization
and staffing. Each is briefly discussed below:
▪ Organizational mission and vision: Organizations with well-
defined business plans including detailed statements of their
mission and vision are generally better prepared to align their
investments in information technology with their business
objectives and priorities
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▪ Organizational culture: Culture, especially with regard to an
organization’s continuing commitment to the strategic governance
of IT and to user ownership for information technology, also plays
a key role in the delivery of effective IT services
▪ IT funding: This is one of the most common limiting factors.
Funding plays a key role in ensuring that the IT organization has the
resources needed to keep business applications and the
infrastructure supporting them on current versions / releases and
that patches are applied in a timely manner
▪ IT organization and staffing: IT staffing (which is often related to
funding) has a significant impact on service delivery. The best
practices are heavily weighted toward the development and use of
formalized procedures and supporting documentation since these
provide the basis for sustaining and improving services and service
levels
Procedures and documentation enable IT staff to be more
productive but are not a substitute for sufficient IT staff
(considering the number, experience, and qualifications of the staff
members). Similarly, if the procedures and documentation are out
of date because there are insufficient resources to keep them
current, best practice conformance does not necessarily translate
into improved service delivery
Organizational structure also plays a key role in determining the
effectiveness of IT services, since IT organizations that are
structured and staffed to support infrastructure are not necessarily
well equipped to support end-users
If we were to compare two organizations, each needing similar IT services
and service levels and each having the same degree of conformance to the
IT best practices, the organization with the most enabling factors
(especially with regard to IT funding, organization, and staffing) will obtain
greater benefits.
2.6.2 – Dimensions of IT Best Practices
Figure 6 – IT Best Practices Model
As depicted in Figure 6, IT Best Practices Model, NexLevel uses a
comprehensive list of best practices that are categorized into six separate
dimensions to evaluate the organization’s compliance with best practices.
The dimensions are separated into three categories and include:
▪ City Leadership / Management Team: The organization’s
leadership / management team is responsible for conformance to
the IT best practices for IT Governance, particularly the alignment
of the information technology spending and priorities with the
organization’s overall objectives and priorities
▪ City Leadership / Management Team and IT Organization(s):
Those dimensions where the City’s leadership / management
team (and sometimes the user community as well) share
ownership for IT best practices conformance with the IT
organization(s) involved.
These dimensions include:
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- Service Delivery – Practices related to coordinating the
processes involved in providing customer support including
training, help desk, service delivery management, and the
establishment of service level agreements (SLAs) and tracking
conformance to them
- Business Technology Applications – Practices related to the
management and support of the application information
systems supporting business operations
- Infrastructure – Practices related to the acquisition,
utilization, and maintenance of equipment (such as servers
and storage devices), operating systems, support software,
and network services
- Security / Information Protection – Practices related to the
effective use of policies and standards, user conduct,
software tools (filtering, monitoring, etc.), and audits to
validate that material and software resources are used only
for their intended purposes
▪ IT Organization(s): The IT organizations supporting the user
community are primarily responsible for best practices
conformance in the dimension of IT Administration which includes
practices related to the management of technology budgets,
maintenance agreements, software licenses, and the
development and maintenance of current and accurate
documentation on all technology activities
2.6.3 – Assessment of the City’s Conformance to the IT Best
Practices
NexLevel assessed the degree to which the City conforms to the IT best
practices in each of these dimensions based on the interviews with the
City’s user stakeholders, interviews with ITD staff, and the results of the IT
Best Practices self-assessment completed by ITD. The results of this
analysis are provided below and the detailed self-assessment completed
by the City is provided in Appendix B.
The calculation of best practice conformance is based on a multi-step
process that included:
▪ NexLevel asked ITD to provide an assessment as to whether the IT
best practice factor was applicable or not (inapplicable factors are
not considered in the assessment), and then whether ITD was of
the opinion that it was fully in conformance with the best practice
(“Y”), partially in conformance (“O”), or not in conformance (“N”)
▪ A score was developed based on the City’s assessment of its
conformance to the IT best practices. Items reported as being in
full conformance (“Y”) were given a score of 3, items reported as
being partially conformant where scored 1 or 2 indicating whether
the City is substantially or minimally conformant with the IT best
practice, and non - conformant items (“N”) were given a score of 0
▪ NexLevel reviewed ITD’s self-assessment and made adjustments
based on information obtained through the user interviews and
the interviews with ITD staff
▪ The percentage of conformance was then calculated based on the
total score for the assessment factors in each of the best practice
dimensions divided by the maximum score in the dimension
Table 2, City’s Conformance to IT Best Practices by Dimension, provides the
findings of the assessment for each dimension of IT best practices. The
results were then plotted by dimension and level of organizational
maturity in Figure 7, IT Best Practices Conformance.
Table 2 – City’s Conformance to IT Best Practices by Dimension
Dimension Factors in
Dimension
Max
Score
City
Score
City
Pct.
IT Governance 31 93 69 74%
Service Delivery 36 108 78 72%
Business Tech. Applications 25 75 48 64%
Infrastructure 44 132 97 73%
Security / Info Protection 33 99 56 57%
IT Administration 25 75 47 63%
* TOTAL* 194 67%
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i
ce
De
l
ive
ry
-
72%(Sha
red
)
IT Governance - 74%
(Enterprise Ownership)Secu
r
i
ty
-
57%
(Sha
red
)Infrastructure - 73%(Shared)Administration - 63%
(IT Ownership)
111111 111111
Figure 7, IT Best Practices Conformance
Each of the rings in Figure 7 represents a level in the IT best practice
maturity model, with the outer most (red) ring representing the Frontier
Level of organizational maturity (the lowest level of conformity to best
practices) and the core of the diagram representing the Service and Value
Levels (the highest degree of conformity to best practices). In between,
the orange band represents the Reactive Level of the maturity model and
the yellow band represents the Proactive Level of the maturity model.
The width of the bands is proportional, with the bands representing the
Reactive and Proactive levels being the widest since they represent a range
of 60% compliance with best practices. NexLevel has plotted the results of
the assessment for each of the best practice dimensions within the rings
(the target points) and then connected them together to depict where the
City is from an overall perspective in relationship to the maturity model.
As depicted, the City’s conformance to the IT best practices all fall within
the Proactive Level. NexLevel considers this as outstanding performance
and a goal most California municipalities are still striving to obtain.
Overall, the City is approximately 67% conformant to the IT best practices
which again puts the City at the level NexLevel generally targets for
municipal IT organizations. That being said, there is room for improvement
within Business Technology Application, Security, and Administration.
When implemented, the recommendations presented in Section 3 of this
report will improve performance in those areas and move the City to a
higher level of return on its technology investment.
Table 3, Comparative Conformance to IT Best Practices, places these
results in perspective. Between 2014 and this year, NexLevel performed
fourteen similar IT assessments. The City of San Luis Obispo scored higher
than the average city score in all dimensions and exceeded the previous
high score for one dimension (IT Governance). The City scored close to the
high score for all other dimensions (Service Delivery, Applications,
Infrastructure, and Administration). Only one dimension was significantly
lower than the high score (Security).
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Table 3 – Comparative Conformance to IT Best Practices
Best Practice Dimension Best Practice Conformance San Luis
Obispo Low Average High
IT Governance 10% 36% 51% 74%
Service Delivery 30% 45% 73% 72%
Business Tech. Applications 20% 37% 63% 64%
Infrastructure 15% 53% 74% 73%
Security / Info Protection 35% 54% 81% 57%
IT Administration 20% 44% 67% 63%
Overall Conformance 26% 45% 61% 67%
The factors contributing to the assessment within each of the dimensions
are discussed in detail below, including:
▪ An indication of where the City’s conformance to the IT best
practices falls
▪ A summary of the assessment findings
▪ A discussion of IT best practice strengths and weaknesses
Information Technology Governance
Status: Excellent
Summary of IT Best Practice Conformance:
The City is 74% conformant to the IT best practices for IT Governance
and this corresponds to the upper border of the Proactive level of the
Maturity Model. The average conformance in the dimension is 36% and
the previous highest rating was 51%, so this is an area of strength for
the City.
Best Practice Strengths:
- An effective, well-structured, and active IT Steering Committee
which is supported by a Technical Advisory Committee for detailed
technical analysis of proposed projects
- The development and maintenance of a Business Strategic Plan for
the City that includes specific objectives and measurements and
that is periodically updated as well as a detailed Financial Plan
- The delivery of information and services to the public through its
web site and community forums
- An approved IT Strategic Plan which has been effectively used to
improve technology service delivery and implement new business
applications
Best Practice Weaknesses:
- The lack of formal IT project and resource management
- The lack of adequate ITD staff
- Internal and external communication process to keep ITD staff and
user departments informed as to project status, infrastructure
updates, and technology priorities
- It is possible for a department to approach ITD with requests that
should be defined as a “project” but are not clearly stated in order
to circumvent the IT Steering Committee’s approval process
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Service Delivery
Status: Excellent
Summary of IT Best Practice Conformance:
The City is 72% conformant to the IT best practices for service delivery
and this corresponds to the upper border of the Proactive level of the
Maturity Model. The average conformance in the dimension is 45% and
the previous highest rating was 73%, so this is an area of strength for
the City.
Best Practice Strengths:
- ITD operates a Help Desk that provides a single point of contact (via
telephone or e-mail) for users
- The services currently being provided by the Help Desk are
appreciated by the user departments and have played a significant
role in changing user satisfaction with ITD’s services
- ITD has remote access tools and to the extent possible, schedules
maintenance activities so as to not impact the user community
- ITD has formal processes for the monitoring of system and network
performance
Best Practice Weaknesses:
- ITD has not developed a service catalog, or service level agreements
with all City departments and technology vendors
- ITD does not conduct detailed analysis of Help Desk tickets to
determine root causes, training opportunities, hardware failures, or
staff resource utilization
- ITD has not deployed self-help features for user departments via a
knowledge base or through published “tips”, short-cuts, or “things
to try” documentation
- ITD does not have formal change management and escalation
procedures
Business Technology Applications
Status: Very Good
Summary of IT Best Practice Conformance:
The City is 64% conformant to the IT best practices in this dimension and
this corresponds to the mid-point of Proactive Level of the Maturity
Model. The average for conformance in this dimension is 37% and the
high is 63%. The City is at the level for high performers in this
dimension. By updating current version levels and creating application
standards, the City can improve this rating.
Best Practice Strengths:
- The City’s enterprise applications are generally centralized and
supported by ITD (i.e., SunGard, Laserfiche, ESRI, etc.) along with
mission-critical applications (SCADA, Police and Fire CAD/RMS)
- ITD provides oversight for departmental applications or services
that are supported by vendors
- The City’s governance process is effective by ensuring technology
solutions are acquired and/or supported in conformance with City
standards
Best Practice Weaknesses:
- The City does not have a formal enterprise architecture including
standards for City-wide process and information sharing
- The City has not fully defined departmental requirements for the
availability / recovery of business applications
- ITD does not have a formal resource management plan to allocate
resources to these applications, but staff member assignments
ensure minimum coverage
- ITD does not maintain an Applications Portfolio for the City
including tracking the status of vendors and products
- The City does not have a formal process for evaluating and
approving the use of cloud-based services
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Infrastructure
Status: Excellent
Summary of IT Best Practice Conformance:
The City is 73% conformant to the IT best practices in this dimension and
this corresponds to the upper border of the Proactive level of the
Maturity Model. The average conformance in this dimension is 5 3% and
the high is 74%, so this is an area of strength for the City.
Best Practice Strengths:
- The City’s wired and wireless networks are generally well
supported. ITD maintains documentation for the networks and
monitors system performance through the use of industry standard
tools
- ITD provides secure remote network access with VPN and
GoToMyPC which are governed by a City approved access policy
- Servers are virtualized and use appropriate centralized storage
- Server backups are well-designed and use replication devices off
site.
- Technology equipment refreshment plans are in place
Best Practice Weaknesses:
- Remote vendor access policies and administration are informal and
need to be monitored, and enforced
- Server software standards should be defined and routinely audited
- Physical improvements within the ITD server room are needed to
ensure operation during power failure or an emergency
- Expanded and regularly updated documentation of servers, routers,
switches, and cabling are needed
Security / Information Protection
Status: Slightly Above Average
Summary of IT Best Practice Conformance:
The City is 57% conformant to the IT best practices in this dimension and
this corresponds to the border between the Reactive and Proactive
levels of the Maturity Model. The average conformance in this
dimension is 54% and the high is 81%. This is an area the City can
improve and the recommendations presented in Section 3 of this
document will assist in improving the rating of this ever-increasing and
critical dimension.
Best Practice Strengths:
- ITD performs system backups on a routine basis which includes
applications information, and ITD documentation
- The City has an EOC and conducts regular drills to ensure that the
EOC can function as needed. ITD is included in practice drills
- The City has a Business Continuity Plan that is regularly updated
Best Practice Weaknesses:
- ITD does not have a formal plan for the identification and
remediation of single points of failure in the City’s IT environment
- ITD does not have an independent entity perform perimeter or
other testing of the City’s network to ensure that is secure and to
identify and remediate possible security threats
- City-wide policies concerning security (passwords, data sensitivity,
encryption, etc.) are either obsolete or non-existent
- ITD does not have a current Disaster Recovery Plan
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IT Administration
Status: Very Good
Summary of IT Best Practice Conformance:
The City is 63% conformant to the best practices in this dimension and
this corresponds to the mid-point of the Proactive Level of the maturity
model. The average conformance in this dimension is 44% and the high
is 67%. By updating technology policies/procedures and completing “in-
progress” administrative tasks, the City can easily improve this
dimension rating.
Best Practice Strengths:
- As resources permit, the City plans to create a stand-alone IT
department
- ITD generally reviews the procurement of IT equipment and services
and the IT Steering Committee approves and establishes priorities
for all technology projects
- ITD meets with external vendors as needed to ensure conformance
with City policies and procedures and has positive vendor
relationships
Best Practice Weaknesses:
- ITD does not have a resource management plan nor does it track
the amount of time staff members work on specific projects. ITD
does not have a tactical work plan to ensure that staff members
know what their priorities are and what progress is being made in
completing these assignments
- ITD has not developed staff succession plans to ensure that critical
skills and competencies are maintained
- ITD has not created a training/certification plan for staff
development
- Technology policies/procedures are not current
2.7 – SWOT Analysis
Ø Knowledgeable, motivated ITD staff
Ø Effective, rapid ITD support
Ø Customer service focus
Ø Effective IT governance structure
Ø Addition of a help desk analyst has improved staff
productivity
Ø Dedicated IT staff to support Utilities Department
technology
Ø Data integrity
Ø Reporting capabilities and lack of analytics
Ø Aging business application portfolio
Ø Unwillingness to change business practices
during application implementation
Ø City-wide ERP implementation
Ø Application subject matter expertise (SME) for
continued improvement after go-live
Ø Leverage and share with community
Ø Siloed databases with no City-wide
architecture
Ø City Hall server room environment
Ø Future technology demand may exceed
resources
Ø DBA services provided by single staff member
Ø Retention of talented ITD staff
Strengths Weaknesses
Opportunities Threats
Figure 8 – SWOT Analysis
Figure 8, SWOT Analysis, provides a summary of the strengths,
weaknesses, opportunities, and threats identified in the course of the IT
Assessment. There is a close relationship between these items since the
City’s ability to realize the potential opportunities and mitigate the
potential threats is dependent on its ability to leverage its strengths
(particularly the recent organizational and staff changes with ITD) while
addressing the weaknesses (IT Assessment recommendations).
With regard to information technology:
▪ The ITD staff has seen a significant turnover in the past few years
resulting in a very knowledgeable, motivated team which has
improved customer service and is providing rapid, effective
support to City departments. In addition, the City has created a
permanent Help Desk position to support Tier 1-2 user requests
thereby freeing the Network Analysts to focus on infrastructure
projects. The City has implemented an effective IT Governance
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Structure which is supported by a Technology Advisory
Committee which evaluates projects for technology standards
compliance and infrastructure compatibility
▪ The weaknesses identified are directly related to the core
business applications either currently used or planned in the near
future. The City must take advantage of this new functionality and
be willing to modify its business processes to make the most
effective use of the products. This attitude, along with an agreed -
to City-wide data architecture, will position the City to take full
advantage of its technology investment
▪ As the City leverages its strengths and mitigates its weaknesses, it
will be in a position to realize significant opportunities to expand
its delivery of services and increase the return on its investments
in information technology. Of particular note is the planned
implementation of an ERP system that will provide new, expanded
financial functionality to all departments. In addition, as new
applications are implemented, the City should take advantage of
its public and private community relationships in order to meet
government transparency goals and improve citizen access to
data
▪ The City may encounter threats to its ability to sustain the
delivery of IT services if the recommendations for improvement as
presented in this IT Assessment are not considered, the physical
limitations of the existing server room are not remediated, and
personnel resources are not deployed and expanded to sustain
the ever-increasing workload
Overall, the City is effectively managing and deploying technology to meet
business needs. The City and ITD must now strive to build on their success,
expand service offerings, and lead the transformation of information
technology from a back-office productivity tool to a strategic enabler for
the delivery of information and services to City departments and the
public.
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Section 3 - Status of 2011 IT Assessment
Recommendations
The 2011 IT Assessment, conducted as part of the 2012 Technology Plan
project, made 44 recommendations for the improvement of technology
service within the City. As of today, 28 have been completed, 15 are in
progress, and 1 is on hold pending City funding. Table 4, Status of 2011
Recommendations, provides additional information. It should be noted
that some “In Progress” recommendations have been carried forward into
the 2016 recommendations described in Section 4.
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Table 4 – Status of 2011 Recommendations
2011 Recommendation Dimension 2016 Status Comment
Re-organize the IT organization structure to recognize a Tier I and Tier II
help desk role, allowing more experienced resources to focus on more
complex and higher value work requests
Governance Complete
Current Tier 1 resource is only funded
through FY17
Re-organize the IT Division into three components; infrastructure,
application, and customer service Governance Complete
Reorganized into Information Services
(GIS & DBA), Support Services and
Network Services
Implement a formal IT Governance structure that includes re-orienting
the current IT Steering Committee to align with best practices of IT
Governance
Governance Complete
Implement formal Project Management framework, processes, and tools
that will work in concert with the IT Governance structure, thus ensuring
projects are implemented as authorized by the IT Governance process
Governance In Progress
Expanded in 2016 Recommendations
(3.3.2)
Consider implementation of a formal training room Service Delivery Complete Outsourced majority of training to local
vendor
Implement Help Desk reporting structure to improve communication,
prioritization, and interaction with departments Service Delivery In Progress Expanded in 2016 Recommendations
(3.3.5)
Evaluate alternative (off-hour) system maintenance to minimize impact
to users Service Delivery Complete
Implement basic IT infrastructure change management processes Service Delivery In Progress
Leverage SolarWinds to monitor system performance Service Delivery Complete Implemented LogicMonitor
Perform root cause analysis to evaluate system anomalies and assist in
future problem resolution Service Delivery Complete Expanded in 2016 Recommendations
(3.3.1)
Centralize system log files to retain full event history Service Delivery Complete
Establish application upgrade policy to keep applications current Service Delivery In Progress Expanded in 2016 Recommendations
(3.3.4)
Continue to keep effective applications current in terms of releases and
patches Applications In Progress Expanded in 2016 Recommendations
(3.3.4)
Continue implementation of Class and CMMS Applications Complete
Consider migration of SquareRigger to CMMS or EnerGov Applications Complete
Plan Pentamation replacement Applications In Progress Current project is MOTION
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2011 Recommendation Dimension 2016 Status Comment
Implement new website based on proven CMS technology Applications Complete
Continue migration of Bonnie Apps to COTS solutions Applications In Progress
Implement test environments to support core applications Applications Complete
Establish long-term support structure for the existing and future SCADA
(application and associated PLCs) and determine the organization best
able to provide this support
Applications Complete
SCADA support moved to Network
Services FY17
Evaluate the implementation of department collaboration tools (i.e.
Intranet, SharePoint, etc.) to help improve inter and intra department
communication and cross department project coordination
Infrastructure In Progress
Complete a Business Continuity Plan and update the Disaster Recovery
Plan to include a business impact analysis to help guide recovery
strategies and expectations
Infrastructure In Progress
Expanded in 2016 Recommendations
(3.3.1)
Relocate the City Hall data center/server room (located outside the
Finance department in the public hallway) to a more secure and suitable
location. Make the existing City Hall data center a fiber switching closet
Infrastructure In Progress
Relocation of server room equipment
to Digital West and/or ECC
Install adequate emergency power generator to sustain City Hall data
center operations for a limited time and allow for orderly shutdown Infrastructure Hold Funding was not approved
Add additional web filtering categories for more effective Internet usage Infrastructure Complete
Evaluate policies and procedures for remote computer access Infrastructure Complete
Reduce equipment refreshment cycles back to best practice ranges as
budget permits Infrastructure In Progress
Upgrade Cat 3 and Cat 5 wiring with current standards Infrastructure In Progress On-going with office remodeling or
relocations
Contract to have a network vulnerability analysis and penetration test
performed and remediate identified issues Security In Progress
Expanded in 2016 Recommendations
(3.3.1); however initial penetration
testing was conducted in April 2017
Consider removing desktop administrative rights for users to prevent
unauthorized software installation Security In Progress
Implement processes/tools to regularly scan desktops to identify
recently added software and review results Security Complete
Implement disk-to-tape backups with off-site storage Security Complete
Continue strong antivirus/antispyware practices Security Complete
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2011 Recommendation Dimension 2016 Status Comment
Implement a patch management approach and application Security Complete
Implement an Intrusion Detection System (IDS) Security Complete Implemented Juniper Firewall System
Establish a budgetary amount for hardware refreshment in each budget
cycle Administration Complete
Have the IT Steering Committee, with input from the IT Division, enforce
software and hardware procurement policies Administration Complete
Conduct an annual review of technology contracts to ensure the terms
reflect the current needs of the environment Administration Complete
Routinely inventory all software and compare to original license
agreements for compliance Administration In Progress Inventory is complete but comparisons
to license agreements is on-going
Routinely inventory technology hardware to support the hardware
refreshment budget Administration Complete
Create technical documentation for all aspects of the IT Division’s day -
to-day operation and store in central repository Administration In Progress
Add documentation requirements to IT job descriptions Administration Complete
Update the IT Policies and Procedures Manual Administration Complete Expanded in 2016 Recommendations
(3.3.2)
Develop new technology polices Administration Complete Expanded in 2016 Recommendations
(3.3.2)
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Section 4 – Recommendations
NexLevel’s approach is to help our clients maximize the use of resources to
feasibly reduce the most common and probable obstacles faced by
agencies in the effective use of information technology. The
recommendations provided in this report were developed by NexLevel
based on our experience in working with local government agencies and
with an emphasis on identification of activities that have high value. Some
of these can be accomplished with existing resources, while others will
require augmentation of City resources. NexLevel understands that it is
much easier to prescribe change than to implement it, and that no public
or private sector organization has sufficient resources to take on all
possible information technology governance and delivery best practices.
Consequently, these recommendations are pragmatic and conditioned by
real-world considerations.
As depicted in Figure 9, Process for Implementation of Recommendations,
NexLevel believes that communication with all internal and external
stakeholders is central to the effective delivery of technology services. All
other factors being equal, organizations that foster communication and
collaboration (including change management) perform better than those
that do not. Planning and measurement also play key roles: planning
provides the baseline for performance; and measurement provides vital
feedback to improve future planning, procurement, and implementation.
This commitment to continuous improvement enables organizations to
progress to higher levels of maturity and performance.
Figure 9 – Process for Implementation of Recommendations
The successful implementation of organizational and procedural changes
must take into account behavioral and organizational culture factors as
well. Change, even change that is ultimately beneficial, is subject to
resistance, and skepticism. Research has shown that the changes that
prevail are those that:
▪ Have engaged executive sponsors who develop and communicate
their vision for the future to the organization
▪ Have immediate and tangible benefits
▪ Become anchored in the culture of the organization
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Figure 10, Recommendation Framework, illustrates the model used by
NexLevel in the development and evaluation of assessment
recommendations, looking for items that have high impact and, ideally,
that can be implemented with a reasonable degree of difficulty (i.e., cost
and risk). Nonetheless, organizations need to be strategic in their
implementation of any long-term recommendation. For example, there
may be times when projects that have low impact and low risk should be
evaluated in light of available new technologies and/or implementation
approaches which, will be very effective and offer little risk to the
organization.
Figure 10 – Recommendation Framework
The specific recommendations contained within this Assessment, have
been developed to enable the City to realize improvements in how it
governs, manages, and delivers information technology services, with
emphasis on recommendations that are actionable, achievable, and have
measurable outcomes. The recommendations include:
▪ 4.1 - The City should take steps to ensure the security and
sustainability of its IT environment
▪ 4.2 - ITD should adopt additional IT Best Practices
▪ 4.3 - The City should expand ITD to improve its ability to support
current and emerging user requirements
▪ 4.4 - The City should develop a Business Application Portfolio
▪ 4.5 - ITD should take steps to improve its
collaboration/communication with the City Departments
▪ 4.6 – The City should develop an Enterprise Data Architecture
The recommendations are, in turn, placed into a frame of reference by
Table 5, Summary of Recommendations, which provides the objective(s),
the potential difficulty (cost / risk) to implement, the potential business
impact, and the resulting priority.
Each of the recommendations is then discussed in further detail, including:
▪ A discussion of the rationale(s) for the recommendation and the
intended objectives
▪ The potential benefits (particularly with regard to reducing total
costs of ownership and improving return on investment)
▪ The high-level activities required to implement the
recommendation
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Table 5 – Summary of 2016 Recommendations
Recommendations Objective(s) Difficulty (Cost /
Risk) Business Impact Priority
4.1 - The City should take steps to ensure the
security and sustainability of its IT
environment
Provide a secure framework for the on-going operation
of the City’s technology infrastructure by developing
formal plans and processes for:
▪ Cybersecurity
▪ Disaster Recovery
▪ Penetration Testing
▪ Application Impact Analysis
▪ Single points of failure
▪ Root Cause Analysis
High High High
4.2 - ITD Should Adopt Additional IT Best
Practices
Create and adopt the following processes to improve
core delivery of technology services to City departments:
▪ Project Guidelines and Management
▪ Resource Management
▪ Succession Planning
▪ ITD Service Catalog and Service Level Agreements
▪ Service Support Management
▪ Policies and Procedures
Medium High Medium
4.3 - The City should expand ITD to improve its
ability to support current and emerging
user requirements
Structure the City’s IT Department to be more customer
focused and equipped to meet increased demand
through adoption of:
▪ Resource Planning and Management
▪ Creating an interim ITD organization
▪ Planning a long-term target ITD organization
Medium High High
4.4 - The City Should Develop a Business
Application Portfolio
Enable ITD to better track the business applications being
used to ensure that the City obtains the highest possible
return on its investments in information technology
through application re-use and the sharing of business
processes and information across departments
Medium High High
4.5 - ITD should take steps to improve its
Collaboration/Communication with the City
departments
Improve internal and external communication between
ITD and City departments, vendors, external agencies,
and the public
Medium High Medium
4.6 - The City should develop an Enterprise Data
Architecture
Create a city-side blueprint, supporting standards, and
resources to create uniformity in databases, information
gathering, and reporting
High High Medium
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4.1 – The City should take steps to ensure the
security and sustainability of its IT
environment
4.1.1 Cybersecurity
The City does not have a formal cybersecurity plan that addresses all
phases of cybersecurity including planning and implementing preventative
measures, monitoring network activity to detect intrusion attempts and
suspicious network activity, the implementation of procedures to mitigate
cyberthreats and to recover from them, as well as processes to review the
cyberattack and adapt the City processes to better meet similar threats in
the future.
The National Institute of Standards and Technology (NIST) has developed a
framework for cybersecurity planning that outlines the steps to be taken to
monitor the network for suspicious activity and to remediate the
situation.1 The NIST framework for cybersecurity planning is
comprehensive and built around discrete cybersecurity functions including:
▪ Identify (Asset Management, Business Environment, Governance,
Risk Assessment, and Risk Management Strategy)
▪ Protect (Access Control, Awareness and Training, Data Security,
Information Protection Processes and Procedures, Maintenance,
and Protective Technology
▪ Detect (Anomalies and Events, Security Continuous Monitoring,
and Detection Processes)
▪ Respond (Response Planning, Communications, Analysis,
Mitigation, and Improvements
1 NIST developed a detailed cybersecurity framework in conformance to US Executive Order
13636, Improving Critical Infrastructure Cybersecurity, which was issued in February 2013.
Details of the cybersecurity framework are provided at:
http://www.nist.gov/cyberframework/index.cfm
▪ Recover (Recovery Planning, Improvements, and Communication
It would be prudent for the City to take a comprehensive and proactive
approach to cybersecurity. Security programs typically involve a multi -step
process including:
▪ Contracting with an independent, certified, firm to conduct a
threat assessment to identify security gaps and identify areas for
improvement
▪ Developing a security plan to remediate the identified
vulnerabilities and to provide a continuing approach to security
management including periodic threat assessments and the
development of plans to detect and respond to security breaches
including the potential implementation of next generation firewall
(NGF) technology
▪ Educating users, especially those using mobile devices, regarding
security risks, safe networking practices, and their responsibility
to protect City information and assets
Cybersecurity plans also include provisions to protect City information
from unauthorized access, modification, and destruction by:
▪ Securing the City (to the extent possible) against external threats
including hacking attempts, malware, and viruses, with the
understanding that it is impossible to achieve 100% protection
against these incidents. Typically, this involves multiple layers of
protection so that, for example, even if a hacker is able to defeat
the firewall, their access to City information is limited
▪ Securing the City against internal threats (such as disgruntled
employees) by carefully granting access to confidential
information to only those users who have a legitimate need to do
so and logging all access attempts and actions
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▪ The implementation of procedures and monitoring to detect
incidents and alert ITD staff
▪ The development of procedures to respond to security incidents
▪ Encrypting communications
▪ Educating users, especially those who use mobile devices, about
security threats, and the protection of their devices (“Securing the
human”)
▪ Conducting periodic exercises to verify that procedures are
working as intended and to identify potential vulnerabilities.
The complexity of these processes is driven in large part by the increased
“online footprint/presence” that organizations and their staff members
have (including social media), the growing use of mobile devices, and the
increased sophistication of cyber criminals, many of whom are adept at
exploiting weaknesses (or “exploits”) in personal computer operating
systems and installed software products. Palo Alto Networks has noted
that, “Cybercriminals have evolved… into bona fide cybercriminals, often
motivated by significant financial gain and sponsored by nation-states,
criminal organizations, or radical political groups”. Compared to the
hackers of the past, Palo Alto Networks warns that today’s attacker has
more resources available to facilitate an attack, has greater technical depth
and focus, is well funded and better organized.
Implementation
▪ The City should develop a NIST conformant cybersecurity plan to
provide a continuing approach to security management including
periodic threat assessments and the development of plans to
detect and respond to security breaches
▪ The City should adopt a City-wide security policy which requires
annual employee review and signatures
▪ The City and ITD should acquire/develop a program to educate
users, especially those using mobile devices, regarding security
risks, safe networking practices, and their responsibility to protect
City information and asset
4.1.2 Disaster Recovery
While ITD ensures all servers are routinely “backed-up” and copies are
retained at an off-site facility, the City does not have a comprehensive,
well-tested, disaster recovery plan to cover emergency operational
scenarios. NexLevel recommends the City develop a comprehensive
Disaster Recovery Plan that would establish the priorities for restoring
technology services and ensures adequate processes, procedures, and
resources would be available to support an orderly recovery of the City’s
applications within the defined timeframe and in priorities as deemed by
the City departments.
Once the Disaster Recovery plan has been completed, ITD should exercise
the plan to validate that the servers, operating systems, application
software, and databases can be brought into service from the recovery site
within the specified timelines, that the applications will function as
expected, that network connectivity can be successfully established, and
that system performance is acceptable. Provisioning physical systems for
recovery, configuring these systems, and recovering applications can be
time consuming; as a result, recovery may take from several hours to
several days for each system. Successive recovery drills are needed to
refine processes to reduce the time required to restore critical information
systems
The following best-practice considerations should also be evaluated in the
development and maintenance of plans for business continuity and
disaster recovery for the City:
▪ The plans must be relatively agile since the support for business
operations and user expectations for support evolve continually
whereas disaster recovery and business continuity plans are
updated less frequently
▪ The restoration of complex applications is highly dependent on
resources with specialized skills and experience who might not be
available in the event of an emergency
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▪ Provisioning physical systems for recovery, configuring these
systems, and recovering applications can be time consuming; as a
result, recovery may take from several hours to several days for
each system. Successive recovery drills are needed to refine
processes to reduce the time required to restore critical
information systems
▪ Organizations need to be realistic in planning for disasters. Full-
scale exercises, even when conducted on weekends, etc., can be
very expensive and disruptive to business operations. Load
testing is useful, but cannot ensure the performance and
reliability of applications hosted from recovery centers
▪ Organizations often overlook single points of failure in their
technology environments, especially where connectivity is
concerned. It is not sufficient to simply restore systems and
applications in an alternative location, connectivity to the users
must also be provided
▪ The effort to develop, maintain, and refine these plans is
significant, thus organizations need to prioritize their recovery
needs based on a thorough risk and business-impact analysis
▪ The specialized knowledge and experience required to support
the City’s applications. Planners commonly think of business
continuity in terms of having the necessary facilities and resources
to maintain service levels in the event of a natural disaster, public
disturbance, emergency, or other event; however, if key
personnel are unavailable, this can ultimately be as detrimental to
sustaining service levels as is damage to a facility or the loss of a
network link
NIST has published a Disaster Recovery Contingency Planning Guide for
Information Technology Systems as well as a template for the
development of a Business Impact Analysis (please refer to
http://nvlpubs.nist.gov/nistpubs).
Implementation
▪ ITD should create, at a minimum, an IT Disaster Recovery Plan for
City “mission critical” business applications
▪ ITD should test and modify the IT Disaster Recovery Plan on an
annual basis
▪ ITD should participate in mock City disaster preparedness drills
and other EOC planning activities in order to exercise the ITD
Disaster Recovery and City’s Business Continuity Plans
4.1.3 Penetration Testing
The City should plan to contract with a specialized firm to conduct network
penetration testing and vulnerability assessments for the WAN, LAN, and
wireless networks. These tests should be conducted on an on-going,
regular basis (preferably annual) and upon completion, ITD should
establish an aggressive plan to remediate identified vulnerabilities. It
should be noted that the first such penetration tests were conducted in
April 2017.
Implementation
▪ ITD should contract with an independent, certified, firm to
conduct an internal and external network vulnerability scan and
penetration test to identify security gaps and develop an action
plan for remediation of security weaknesses
4.1.4 Application Impact Analysis
The City should direct user departments to prepare a business impact
analysis that identifies each mission critical business application and the
potential impacts to the City if the application is not available, the steps
that can be taken to sustain operations without automation, and the
maximum amount of time that the department can sustain operations
without the application being available.
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Implementation
▪ The Technology Steering Committee should conduct an analysis of
core business applications and determine the business impact,
recovery strategy, and restoration priority for each system
4.1.5 Single Points of Failure
ITD should formally identify single-points-of-failure and establish a
plan/budget to eliminate findings. Absent preparations for business
continuity, an incident such as the failure of a power feed or air
conditioning unit can be as disruptive to information services as a natural
disaster. Generally, the servers and storage devices typically used for
enterprise applications are built for high-availability and fault-tolerance, so
the most significant threats to business continuity are often related to
infrastructure components (power lines, data lines, air conditioners, etc.)
that have no backup and are thus single points of failure.
Implementation
▪ ITD should identify single-points-of-failure within the City’s
technology infrastructure and establish a plan and budget for
remediation
4.1.6 Root Cause Analysis
A Root Cause Analysis is a method of problem solving used for identifying
the actual or root causes of faults or problems. Typically, multiple factors
are involved in an incident or outage, including both casual factors (factors
that may contribute to the problem, but are not the underlying cause) and
root factors. A factor is considered a root cause if its removal from the
“problem-fault” sequence prevents the final undesirable event from
occurring. Root cause analysis is essentially a proactive activity since the
elimination of root causes (such as a lack of user training) can prevent or
largely minimize future incidents.
A root cause analysis is usually performed in a structured manner similar to
a peer review where multiple individuals, each with specific expertise,
review the chain of events that lead to the incident, analyze the chain of
events and identify the root cause(s), and develop a plan to mitigate or
eliminate future incidents by correcting the root cause(s).
Implementation
▪ ITD should create a standard, well-documented root cause
analysis process for incident identification, remediation,
avoidance, and historical reference
Recommendation Benefits
Benefits Impact
Improved information technology resilience / security Direct
Increased staff productivity Indirect
Improved service delivery / operations Direct
Reduced cost of information technology ownership Direct
Improved return on investment for information technology Indirect
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4.2 – ITD should adopt additional IT best
practices
The further adoption of best practices by ITD would benefit the City by
improving the ability of ITD to support the City’s departments and enable
ITD to focus on higher-value activities (i.e., shifting from reactive to
proactive activities). NexLevel sees several areas where ITD could modify
its approaches to the management and delivery of IT services to benefit
both the user community and ITD. These include:
▪ Project Guidelines and Management
▪ Resource Management
▪ Succession Planning
▪ ITD Service Catalog and Service Level Agreements (SLAs)
▪ Service Support Management
▪ Polices & Procedures
4.2.1 Project Guidelines and Management
Project management is the discipline of planning, organizing, securing and
managing resources to achieve specific goals. Ineffective project
management can result in extended timelines, budget overrun, and project
failure.
The City does not utilize a formal project management methodology during
the implementation of major technology projects either managed by ITD or
a City department. Since most projects are initiated without formal
processes, it is difficult to determine if projects have been completed on-
schedule, on-budget, and whether they met original expectations.
Recent major projects such as EnerGov and Motion have been planned
around a more formal structure; however, the City does not have the
resources to implement a best in class project management framework.
With that being said, basic project processes such as charters, formal
meetings, roles and responsibilities, and status reporting can result in better
use of resources and improve overall delivery success for all technology
projects regardless of size or complexity.
Once a project is initiated, the City should have standardized templates for
the project manager (or designee) to track and report on project progress.
Clarifying project components at the outset of a project helps ensure
project success by setting expectations for the resources and level of effort
required for the activities (that external software providers often leave to
the client) including data conversion (including cleaning up information in
the legacy system and reviewing the results of data conversion runs),
preparation of test cases and acceptance testing, training, and revising
internal processes and procedures to ensure that the features and
functionality of the new application can be used as effectively as possible.
Implementation
▪ At a minimum, project managers should complete the following
templates throughout all future technology projects:
- Charter
- Timeline
- Project Team
- Project Leadership / Decision Making
- Issue Management
- Risk Management
- Project Schedule and Resource Tracking
- Budget Tracking
- Status Reporting
4.2.2 Resource Management
Although many organizations develop detailed project schedules and
project management plans for the implementation of key enterprise
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business applications, these projects still take longer than planned, often
these delays are a result of not having sufficient resources available. User
resources also play significant roles in the business application projects,
beginning with the definition of requirements through application
selection, product configuration, data conversion, testing, and acceptance.
While IT resources can usually be supplemented by external services,
finding additional user personnel who are familiar with the organization’s
business processes and objectives is more difficult. Faced with the
competing needs to support both existing operations and implementation
activities, organizations often make a concerted attempt to “get it done,”
by reducing the amount of time and resources for data clean -up, user
training and testing.
Although organizations frequently plan to catch up on training and the
implementation of any remaining functions in future phases following
implementation, they seldom do so as the focus shifts to “getting work
done.” The net of this is that:
▪ Applications are often implemented without sufficient testing or
without having all functions available, resulting in the need for
costly “workarounds”
▪ The users are often unable to make full use of application features
and functionality, or to use the new application with confidence
▪ Users can become fatigued and demoralized, and their emphasis
can shift from “doing things better” to “getting by”
▪ These factors combine to limit the organization’s ability to fully
realize the intended benefits of new business applications, thus
reducing the return on their investment
Implementation
▪ The City should develop formal work plans that detail the tasks
assigned to each staff member (ITD and City departments), the
duration of the tasks, and the anticipated start and completion
dates
▪ The resource management plan should provide the ability to track
hours to tasks, determine how personnel resources are being
used, analyze trends in user demand for ITD services, and
ascertain ITD’s ability to meet future needs demands
4.2.3 Succession Planning
The lack of a comprehensive succession plan for the ITD staff has the
potential to be a significant issue for the City in the next several years.
Much of the technical knowledge and expertise is held by staff with only
informal documentation relative to the server room, application interfaces,
databases, and network configurations.
Cross-training can also mitigate the impact of attrition, but without
sufficient resources to maintain service levels, the time and effort required
for cross-training will impact the ability of ITD to maintain service levels.
While cross-training and bringing back retired staff members as
contractors are effective, short-term, solutions; the long-term solutions
are to: (a) allocate time to the development of a knowledge base, even at
the expense of slowing non-critical tasks, (b) develop a cross-training plan
that assigns a backup for every staff member and allocates time for cross
training and periodic briefings, (c) adopt highly-standardized procedures so
that staff members can readily move from one assignment to another, and
(d) take advantage of annual leave, etc., to verify the cross-training
procedures and that the backups are prepared to take over as needed.
Implementation
▪ The City needs to allocate sufficient time or resources for ITD staff
to create comprehensive documentation that clearly identifies the
network design, equipment configuration, and relationships
between the infrastructure components, applications and data
repositories. As ITD staffing changes occur, this documentation
will provide a foundation from which new employees, or outside
vendors, can begin an effective process of support
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▪ ITD should partner with Human Resources staff to create a
succession plan for each employee identifying backup personal
and career advancement plans
▪ ITD should include the succession plan in the employee’s annual
performance evaluation
4.2.4 ITD Service Catalog and Service Level Agreements
The service catalog defines the services that an IT organization provides,
the respective responsibilities of the users and the IT organization, and the
metrics used to measure the effectiveness of service delivery. Services are
often described in terms of levels, i.e.:
▪ Level 1 – These are usually actions that the user, or a “super
user,” can take to resolve common problems, with password
resets being a common item often handled as Level 1 services.
More complex services can also be performed (at least initially) by
users who have access to a knowledge base or other self-help
facilities
▪ Level 2 – These services are typically performed by the Help Desk,
often with the use of software that enables them to remotely
access a user’s desktop
▪ Level 3 – These services are typically performed by a specialist
within the IT organization (such as database administrators or
server administrators), or by an external service provider
Level 2 and Level 3 activities are usually covered by an escalation
procedure (which is also defined in the service catalog) where the priority
of a request can increase as it ages, and it can be escalated to IT
management.
SLAs provide the foundation for the management of the delivery of IT
services and user expectations. The old adage that “you can’t manage (or
for that matter, improve) what you don’t measure” directly applies to
tracking service metrics for IT organizations. Service metrics are used to
drive improvements and help focus staff and resources on what’s
important, but also support organizational priorities and provide a window
on performance, culture and productivity.
Service metrics can be used to effectively:
▪ Drive the mission of the IT organization by focusing it on the
delivery of services to the users
▪ Provide a foundation for the discussion of the scope of services
provided by the IT organization, along with user expectations
▪ Make informed decisions regarding the allocation of resources
▪ Monitor and reward performance
▪ Continually improve both IT services and their delivery
Implementation
▪ ITD should prepare a service catalog that reflects the demarcation
of technology support responsibilities between ITD and City
departments
▪ Service levels should be negotiated with the users and then
reviewed and approved by executive management (particularly
where increased service level expectations may require the
allocation of additional resources)
▪ Service level agreements should also be developed and included
in contracts with external service providers including items such
as: specified level of service, support options, enforcement or
penalty provisions for services not provided, a guaranteed level of
system performance as relates to downtime or uptime, a specified
level of customer support and what software or hardware will be
provided and for what fee
4.2.5 Service Support Management
ITD does not utilize a formal approach to change management, acceptance
testing, and quality management. This can be problematic since change,
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and the need to effectively and quickly respond to change, is a constant
factor in technology projects:
▪ Requirements often change as a result of external factors (such as
statutory or regulatory changes), but also as a result of the users
obtaining greater experience in how technology can best be used
to improve operations. Changes in requirements can also lead to
changes in policies and procedures and expectations, particularly
regarding the availability, timeliness, and accuracy of information
▪ The availability of staff resources (and as a result, the project
schedule) can change as a result of many factors including
unforeseen priorities, contingencies, and human resource factors
such as illness, resignations, retirements, etc.
▪ The scope and objectives of a project may change as a result of
budgetary or other factors
As a result, IT organizations must be able to manage change and ensure
that completed projects conform to user specifications (acceptance
testing), and that services are delivered in a manner consistent with ITD’s
standards and user expectations (quality management).
▪ Change Management: Change management is the process
that is used to identify, analyze, track, and reconcile these,
and other, changes that may occur over the lifetime of a
project. It can be used for multiple purposes including the
management of:
- The organizational, procedural, and cultural changes that
often accompany transformational activities such as the
introduction of an enterprise information system
- Project changes that need to be made to the scope,
organization, and other components of the implementation
plans for information systems
- Infrastructure and system configuration changes
- Issues, since these typically relate to items such as scope,
requirements, schedule and resources
▪ Acceptance Testing: ITD does not appear to have a universal
approach that has department buy-in for the testing of
applications and the steps that must be completed prior to
placing a new application version, or an upgrade to an existing
version, in production. The absence of consistent test cases and
test data (that have been prepared in consultation with the users)
makes it difficult to perform meaningful acceptance and
regression testing to ensure that new applications or
modifications to existing applications perform as expected before
placing them in production.
Best practices for testing generally call for the creation of a
requirements traceability matrix to track user requirements from
the point they are defined, through the development of
specifications, development, and successive stages of testing
including:
- Unit and string testing by developers during the build phase
- System testing (including integration and performance testing
where appropriate)
- Acceptance testing for activities such as data conversion
- Acceptance testing for completed components of the system.
▪ Quality Management: NexLevel looks at quality management as a
set of processes that ensure IT services are delivered in a manner
that meets service levels, supports the City’s business operations,
and meets user’s expectations, i.e., focusing on the correction of
the root causes of problems rather than quick fixes, or providing
documentation that is incomplete or inaccurate for the sake of
meeting a deadline.
Implementation
▪ Change management doesn’t have to be complex to be effective
and, if fact, ITD has implemented some components of automated
change tracking. ITD should ensure it is able to implement and
use change management with a standardized form to request
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changes, a repository to record the change and its status, and a
set of procedures to govern how change requests are managed
and tracked (including a defined escalation path)
▪ ITD should have a policy to ensure that adequate acceptance
testing is normally performed. ITD should set a minimum
expectation that when acceptance testing is conducted that
errors are documented and reviewed, and then tracked (possibly
by creating a ticket in the Help Desk system) through the time
that the test is finally successfully completed. Documenting error
conditions in the Help Desk system would enable the
dissemination and tracking of the error report and provide the
ability to generate a report for the users to indicate that all errors
have been resolved prior to placing a system in production
▪ ITD must be prepared and committed to organizational
quality by:
- Managing quality from the top down in a consistent manner
- Define meaningful quality goals and measures that relate to
customer satisfaction
- Identify and prioritize ITD quality issues from an end-to-end
perspective, rather than looking for quick fixes that are often
demanded by the departments (except in urgent situations)
- Assign issues to owners for the entire life-cycle of the ticket
(from reporting to resolution), drive root cause analysis, and
track results.
- Promote knowledge sharing of best practices relative to
quality management in IT
- Drive preventive defect activities so that quality does not
become an afterthought
4.2.6 Policies and Procedures
A core component of technology best practices is the establishment and
enforcement of policies and procedures. Effective policies and procedures
guide the use of technology to ensure a secure, reliable, and supportable
environment. It is important that the City adopt and routinely maintain
technology policies and enforce their consistent use. The enforcement
role should be an important tenet of the Technology Steering Committee.
ITD has developed a comprehensive portfolio of technology policies and
procedures as shown in Appendix A, Inventory of Technology Policies,
many of which should be updated and expanded to reflect the current
operational environment and technology standards. Some policies should
be entirely rewritten and new ones added to support existing operations.
In general core technology policies should include:
▪ Acceptable Use of Technology: Guidelines for the use of
computers, telephones, cell phones, BYOD (Bring Your Own
Device), portable storage devices, internet, email, and voicemail.
Social networking usage guidelines and use of online file storage
services not controlled by the City (e.g. Drop Box, iCloud, Google,
SkyDrive, iTunes, other online backup services) should be included
▪ Security: Guidelines for passwords, levels of access to the
network, virus/spyware protection, confidentiality, usage of data
and data encryption
▪ Standards: Guidelines to determine the type of software,
hardware, and systems will be purchased and used within the
City, including those that are prohibited (for example, instant
messaging or music download software)
▪ Network Set up: Guidelines regarding how the network is
configured, how to on-board/off-board employees to the
network, and permission levels for employees
Policies that should be considered and developed as appropriate include:
▪ IT Steering Committee and Technical Advisory Committee
▪ Storage
▪ Document Retention
▪ VDI
▪ Cloud
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▪ Public Information Requests
▪ Equipment Sanitation/Disposal
▪ Software Licensing
▪ Green IT
▪ Administrative Rights
▪ Change Control - Freezes & Risk Evaluation
▪ Desktop Move/Add/Change
▪ Inventory (Hardware and Software)
▪ Mobile Device Acceptable Use (radios/phones)
▪ Patch Management
▪ Removable Media Acceptable Use
▪ Wireless Access Points
Implementation
▪ ITD should create and/or update its core technology policies and
procedures and submit them for IT Steering Committee approval
▪ The City should adopt the approved core technology policies and
inform all City staff
▪ The City should monitor and enforce technology policies as
appropriate
▪ As time permits, ITD should create and/or update technology
policies to include those not considered “core” policy
Recommendation Benefits
Benefits Impact
Improved information technology resilience/security Direct
Increased staff productivity Direct
Improved service delivery/operations Direct
Reduced cost of information technology ownership Indirect
Improved return on investment for information technology Indirect
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4.3 – The City should expand ITD to improve
its ability to support current and emerging
user requirements
The changes in the capabilities (and complexity) of information technology
and how organizations use information have been profound. Within a
relatively short timeframe, developments including reliance on the
Internet, mobile computing, mobile applications, etc., have transformed
information technology from a back-office productivity tool to a strategic
enabler for the delivery of information and services to the public.
Users increasingly expect to have information, and the tools needed to
analyze it, readily available to them to assess organization performance
and the impact of policy decisions on staffing and operations. In addition,
users are now dependent on an organization’s IT infrastructure, business
applications, and the support for them to perform their jobs. In the past
users had manual workarounds; today they do not. When, for example,
business applications are not available, are slow, or have functional
defects, the impact on an organization is immediate and often evident to
the public.
Accordingly, these factors necessitate changes in how IT organizations are
structured, managed, and staffed. Whereas IT organizations were
previously responsible for implementing and maintaining an organization’s
infrastructure and centralized business applications, they must now be
service managers and service brokers in addition to service providers. In
the past, network, systems, and programmers were the core of IT support
organizations. Today, business analysts and project managers are needed
to support user communities that rely on hybrid information technology
environments that include centralized, departmental, and cloud -based
applications.
Current ITD Organization
The current organization structure, as depicted in Figure 11, Current ITD
Organization, has served the City well with staff delivering excellent service
to City departments as evidenced by this assessment and discussed in
Section 2.6 of this document.
Figure 11 – Current IT Organization
However, ITD, like most IT organizations, is being challenged to meet
increased user expectations. Specifically, our findings include:
▪ Support Services which provides first-level response to user
questions, issues, and requests, does not have adequate staff to
handle the current volume or to provide sufficient coverage for
the Help Desk throughout the day due to lunch, flex days, sick
time, training, vacations, etc. The IT Support Services Supervisor
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also has collateral responsibilities for fiscal management within
ITD, project management, and City-wide user training. As a result,
other IT staff members (including network administrators and GIS
specialists) are being called on to provide first-level support in
addition to their assigned duties with the result that highly-
trained staff members are being diverted from their primary
assignments to handle first-level support tasks. The recent
addition of a full-time Help Desk employee has significantly
improved the delivery of services.
▪ Information Services supports the City’s Geographic Information
System (GIS) and city-wide database administration. Increased
demand for user reports and for integrating GIS data with the
City’s other business applications (including Fire Analysis, Spillman
CAD/RMS, Cityworks, Springbrook, etc.) is reducing the time
available for GIS systems administration and maintenance.
▪ The single, Database Administrator, in addition to providing
second-level Help Desk support, is responsible for managing all
the City’s databases, supporting interfaces between the
databases, providing for the generation of reports, coordinating
the City’s project to implement a new ERP system, OpenGov,
Dashboards, and City-wide departmental performance
measurements. The responsibility for these critical tasks being
placed on one individual raises concerns such as: work overload,
backup, potential reduction in work quality, stress, and a singular
knowledge of data structures/processes.
As the City implements new technology and reconfigures ITD’s mission to
meet future business objectives, staffing considerations will be critical if
the City expects to maintain the high level of service currently provided. In
Figure 12, IT Trends and Analysis of Staffing Impact, NexLevel forecasts the
impact to the ITD organization and its ability to maintain service levels,
based on current technology trends. The red boxes indicate areas that will
be significantly impacted if staffing is not addressed.
Figure 12, IT Trends and Staffing
The columns across the top of the table represent the current divisions
within the ITD organization. For each column, the green boxes indicate
current staffing will most likely meet expectations for that trend, yellow
are questionable, and red boxes indicate ITD will not meet support
requirements given existing staffing configurations.
The column labeled Technology Trends represent the technology, services,
and business environment the City is either facing, or will face, over the
next 3-5 years. These Technology Trends are defined as:
• Ongoing Support Impact - Activities related to the continuing
support (including user support, training, maintenance,
enhancement, and refreshment) of the City’s technology
environment including infrastructure, business applications,
productivity tools, and data
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• Strategic Alignment - The implementation of processes to ensure
the continuous alignment of information technology spending and
resources with the City’s business priorities
• Complex Applications - The activities related to the acquisition,
implementation, and support of enterprise business applications
to improve business processes and to mitigate the use of siloed
business processes, business applications, and stand-alone
repositories of information
• Application Integration - Activities related to the design,
implementation, and support of processes to facilitate the
exchange of information between department business
applications
• Business Intelligence/Data Analytics - Activities related to the
collection and analysis of information to support traditional
reporting needs as well as the use of analytics to predict trends
• Strategic Sourcing/Managed Services/Cloud Services - Activities
related to the sourcing of information technology services to
externally-supported services including private, public, and hybrid
cloud services
• Contractor/Vendor Management - Activities related to the
management of the delivery of products and services by external
suppliers
• Digital Government - Activities related to the development and
implementation of policies, procedures, and solutions to enable
the public to obtain access to information and services using any
device, from any location, at any time
• Business and Digital Communication Strategies - Activities related
to the development and implementation of strategies to enable
the sharing of information with the public including the
acquisition and deployment of broad-band access to the internet
• Mobile Technology - Activities related to the acquisition and
deployment of mobile devices to enable remote, wireless access
to services and information as well as the management of the
devices themselves
• Cybersecurity - Activities related to the development and
deployment of standards, polices, and procedures to prevent
cyber-attacks and to recover from an attack
• Open Data/Data Transparency - Activities related to making
information readily available to the public
• Unfunded Mandates - Activities related to the acquisition,
deployment, and support of information technology services that
are mandated by governmental or regulatory authorities which
must be supported using existing funding sources
The column labeled “Organization Impact” shows when the City will need
to address the ITD organization based on the technology trends as they are
implemented within the City.
The last row of the table shows the probability of ITD to sustain service
levels given today’s operational requirements and staffing.
Near-term ITD Organization
Based on the organizational findings and in order to meet and sustain a
high-level of service delivery, NexLevel recommends the City consider
implementing a near-term ITD organization as depicted in Figure 13, Near-
term ITD Organization. It is to be noted that since the development of this
IT Assessment, the City has made some changes to the ITD organization to
accommodate staff retirements and ever-changing support needs. In
addition, the City has not been able to allocate additional funds to support
staffing recommendations, but plans to review IT staffing in upcoming
years.
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Information Technology
Manager
Network
Services
Supervisor
Network
Administrator GIS Specialist II
Information
Services
Supervisor
Database
Administrator
GIS Specialist II
Network
Administrator
IT Assistant/
Help DesK
Database
Administrator
IT Assistant/
Help Desk
Admin
Assistant I
(Shared w/ Finance)
IT Temp/
Help Desk
Part-Time
Control Systems
Administrator
Control Systems
Technician
Network
Administrator
Support
Services
Supervisor
GIS Temp/
Part-Time
New
Position
Application
System Specialist
EnerGov
Figure 13 – Near-term ITD Organization
Specifically, as funding allows, changes to the current organization include:
▪ Adding a second Information Technology Assistant will provide
better coverage for the first-level support issues and reduce the
number of first-level problems, questions, and requests that are
being handled by other ITD staff members. It should be noted that
one industry standard and a similar NexLevel observation of IT
organizations throughout California, is 1 Help Desk technician can
support between 175-200 devices (desktops and laptops). Based
on this metric, ITD should allocate between 2.7 and 3.0 FTEs to its
Help Desk function (535/200 and 535/175). In addition, a second
Information Technology Assistant provides backup and coverage
during breaks, vacations, and other absences
▪ Adding a second Database Administrator to provide expanded
coverage for database support and to provide a backup for the
City’s single Database Administrator. The work load on the
existing DBA has continued to increase over the past 5 years.
What were once data elements within application files; today
have become a complex network of databases attached to a
myriad of application systems. It is extremely challenging to
manage the City’s data, understand the architecture supporting
the databases, and create effective solutions to effectively extract
data and create meaningful reports for analysis and decision-
making. Having an additional set of hands to meet the database
workload appears to be critical. This is not to mention the “back-
up” provided by a second individual working as an “under-study”
to the City’s most experienced and knowledgeable DBA.
NexLevel is confident that the proposed Near-term ITD Organization will
better assist the City in realizing its vision for the use of information
technology, maintain a high-level of user satisfaction, and enable the City
to improve its return and protect its investment in information technology.
Long-term ITD Organization
Although the implementation of the Long-term ITD Organization is outside
the time-line of the Strategic Technology Master Plan, NexLevel anticipates
that as the City implements new technology and addresses dynamic
technology trends, the City will need to move to an IT organizational
structure as depicted in Figure 14, Long-term ITD Organization. As shown
and as budget and other resources become available, ITD will likely evolve
into an organization that is more of a service manager/service broker than
solitary service provider.
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Figure 14 – Long-term ITD Organization
Please note that this organization represents NexLevel’s recommendation
of how ITD could be organized assuming that:
(1) The Technology Trends described in Figure 12 become reality with
the City actively moving to implement many of the new
technologies and processes identified
(2) Cloud-based services will continue to mature, become more cost-
effective and ubiquitous than at present, and will provide viable
alternatives for the support of the City’s IT infrastructure
(hardware, networks, and applications) as well as for services such
as training and some user support functions
(3) The City’s user departmental staff will similarly continue to evolve
in terms of their abilities to make use of information technology
(particularly with regard to mobile and remote computing) with
less support from ITD than at present
(4) The City formally creates additional department-based Subject
Matter Experts for major business applications (Work Order,
Finance, Public Safety, etc.) thereby reducing the reliance on ITD
for application assistance
Compared to the current or Near-term ITD Organization, this Long-term
ITD Organization is structurally different and highly reliant on web-based
and managed services for applications support, network infrastructure
monitoring and support, user support (help desk), and training. The Long-
term ITD organization builds on the structure of the Near-term ITD
organization but replaces some of the, then, current in-house positions
with managed services personnel and adding new positions for a Security
Officer, and Project Management Officer. It also consolidates the IT
Support Supervisor and Network Support Supervisor into a single position.
The roles of these positions are defined as:
• Project Management Officer (could be a shared position with
other City departments) - the management of core, enterprise
projects, such as ERP, and additionally provide an internal
resource to assist other City staff members in managing
information technology projects, in conducting business process
reengineering efforts, and in providing for the development and
documentation of departmental business requirements. The
Project Management Officer would also provide project oversight
services and work with vendor project managers to ensure that
their activities are progressing to plan and that proposed project
changes are being appropriately identified, tracked, and resolved
• Security Officer – a dedicated position for the management of the
City’s security program including cybersecurity planning, ITD
disaster recovery planning, and City-wide business continuity
planning. In addition, this position is responsible for the City’s
security practices, policies & procedures, employee security
awareness training and EOC participation
• Infrastructure Supervisor – this position will oversee and manage
the remaining on-premise help desk and network administration
staff. Additionally, this position will co-ordinate the managed
services staff responsible for help desk, application training, and
remote network monitoring/management
• Subject Matter Experts - staff that are the focal point for how a
City department uses its business software applications,
determining the best method of applying the application to meet
departmental business needs, and overseeing the departmental
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use of enterprise-wide technology (document management, GIS,
ERP, etc.). In addition, the Subject Matter Experts would help
department users find new technical solutions, research software
and technology applications, and interface with ITD for the
implementation of technology tools and data integration
processes
• External Services – vendors under City contract to provide
services such as help desk, technical and user training, network
infrastructure monitoring, upgrading, operating, GIS technical
and/or planning support, project management, and application
training, problem resolution or vendor co-ordination
This staffing recommendation is conservative and the City should
continually review ITD’s staffing requirements as it gains more experience
with the use of managed services. NexLevel anticipates that the City’s need
for networking support and application support will diminish over time.
Temporary staff can always should the City need to procure new business
applications or take on additional networking responsibilities.
The use of external service providers can also provide other benefits
including greater availability at all times, flexibility to scale the service as
needed to accommodate demand, and the ability to have resources
available to support key users such as executives or specialized
technicians. Firms that provide dedicated IT services are also generally
better able to recruit and retain highly skilled professionals and are
motivated to keep their training current.
It is important to note that the City’s ability to migrate to the Long-term
ITD Organization will be dependent on the availability and maturity of
cloud-based services (including Software as a Service; Platform as a
Service; etc.), and the City’s willingness to adopt, and have the users
accept, an alternative service delivery model for ITD services.
To meet near-term and long-term staffing needs, the City may identify and
employ the following vehicles for augmenting resources including:
• Direct Hire
• Internal transfer
• Reassignment of responsibilities
• Temporary help
• Contracted personnel
• Managed services
Implementation
▪ The City should take steps to implement the Near-term ITD
organization by adding 2 new staff (Information Technology IT
Assistant and Database Administrator)
▪ In conjunction with the further implementation of IT best
practices, ITD should adopt and implement a rigorous process for
the allocation of staff resources and the tracking of the hours they
expend on projects and support tasks
▪ In the future, the City should plan for, and create, the Long-term
ITD Organization by adding a Project Management Officer,
Security Officer, department-based Subject Matter Experts, and
contracting with IT managed service providers as appropriate
Recommendation Benefits
Benefits Impact
Improved information technology resilience / security Direct
Increased IT staff productivity Direct
Improved IT service delivery / operations Direct
Reduced cost of information technology ownership n/a
Improved return on investment Direct
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4.4 - The City should develop a Business
Application Portfolio
The successful implementation of recommendations outlined in this
assessment and the deployment of new business applications, and their
supporting technologies, will depend on ITD’s ability to manage projects
and work effectively with external service providers (vendors). Industry
research confirms that the ability to effectively collaborate with vendors
and to facilitate the successful completion of projects must be a core
competency for IT organizations.
Application portfolios provide a repository of information about
applications (and their supporting technologies) so that the org anization’s
stakeholders, the IT organization, and end-users can make informed,
enterprise-level decisions about the allocation of scarce resources to the
maintenance, enhancement, and eventual replacement of applications in
systematic and holistic manner that considers organizational goals and
priorities rather than looking at each application in isolation and allocating
resources by default.
The application portfolio integrates information about applications that is
often maintained by different individuals and enables collaboration
between the IT organization and the user community. Forrester Research
has noted that application portfolios enable IT organizations to optimize
the use of “…limited resources while providing the maximum business
benefit… This is the world of IT portfolio management — balancing
resources, technology, business needs, and changing situations while
simultaneously maximizing returns and minimizing risk.”2
The development of an application portfolio will enable the City to
effectively manage its core business applications. The application portfolio
will provide the vehicle for the City to:
2 Defining IT Portfolio Management: Holistic IT Investment Planning, Forrester
Research, Sept. 2004
▪ Evaluate the impact of technology changes on the business
applications
▪ Conduct more-frequent periodic reviews of the application
portfolio
▪ Develop and defend informed decisions as to the ultimate
disposition of an application (retirement, replacement, technical
renovation, functional enhancement)
▪ Define service levels based on the impact of the application on
City operations / community impact
▪ Optimize ITD staff resource allocation
▪ Evaluate and prioritize decisions to source application support
(such as to “cloud” or software-as-a- service (SAAS) solutions).
Although there are products for application portfolio management, an
effective application portfolio can be maintained in a spreadsheet. Fields
typically contained in an application portfolio include:
▪ Application Acronym
▪ Detailed Budget Information (Run Rate, License Costs, etc.)
▪ Application Description
▪ FTE Support Requirements
▪ Executive Sponsor
▪ Additional FTE Requirements
▪ Current Status (i.e., production, development, etc.)
▪ Interfaces and Information Exchanges with other Applications
▪ Planned Status and Date
▪ Source Code Repository / Source Code Escrow
▪ Priority Classification
▪ Service Level Agreement Reference and Terms
▪ Support Profile
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▪ Supporting Technologies
▪ Purpose
▪ Disaster Recovery Provisions
▪ User Sponsor
▪ User Community
▪ Business Continuity Provisions
▪ Version and Status
Implementation
▪ ITD should work with the departments to develop an initial
application portfolio and then augment the information as time
and resources permit
▪ ITD should review the information in the Application Portfolio
with the objectives of identifying opportunities to consolidate
services and applications that may need to be replaced or
enhanced
▪ ITD should keep the information in the Application Portfolio
current and perform an annual review with the Technology
Steering Committee
Recommendation Benefits
Benefits Impact
Improved information technology r\esilience/security Direct
Increased staff productivity Indirect
Improved service delivery/operations Indirect
Reduced cost of information technology ownership Direct
Improved return on investment Direct
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4.5 – ITD should take steps to improve its
Collaboration/Communication with the City
departments
Although ITD has made remarkable progress in increasing the effectiveness
of the services it delivers to the City’s user departments, the performance
issue becomes one of sustainability and in increasing proactive technology
service delivery. The ability to communicate and collaborate within the IT
organization and between the IT organization and the user departments
has become increasingly vital to the successful delivery of information
technology services.
NexLevel considers that internal and external communication and
collaboration are the foundation for the effective delivery of IT services.
ITD must be able to maintain effective communication with a variety of
communities of interest including:
▪ Communication between ITD and vendors
▪ Communication within ITD
▪ Communication between ITD and City departments
▪ Communication with external agencies/municipalities
▪ Communication with the City’s customers and the public
IT organizations need to take the time and effort to preserve work plans,
procedures, and other technical information so that it is available as
needed. This should include the formal planning documents that guide the
day-to-day activities of the IT organization such as technology deployment
plans, procedures for the implementation and/or enhancement of
business applications, and the refreshment of hardware and system
software. Other proven approaches to improving communication and
collaboration include:
▪ Providing an online forum where users can collaborate with each
other and ITD regarding issues, questions, or pending upgrades,
obtain information regarding the status of a request, or obtain
immediate assistance from ITD without having to file a ticket and
then wait for a response
▪ Providing users with access to real-time information regarding
service levels, project and request status, and workload
▪ Publishing current compliance with service levels and
performance metrics which will demonstrate ITD’s commitment
to the users and ITD’s goal to continually improve service delivery
▪ Providing a knowledge base and self-help features to enable users
to diagnose and/or resolve common issues
▪ Reaching out to the user departments to review issues and
discuss (consult) new, or different, ways to use technology to
meet their business needs)
It should be noted that effective July 2017, ITD will become a separate
department within the organization structure of the City. The change should
help improve overall communication between ITD and City departments as
there will now be a direct link and commonality among department heads.
In the future, ITD must guard against communicating and collaborating with
user departments in an informal, undocumented manner. If this form of
communication/collaboration is unmanaged, the “institutional knowledge”
often diminishes over time, it becomes difficult to consistently share and
build on it, and it is not readily available to other staff members. This can be
particularly true for projects that involve multiple departments or the
participation of external service providers and/or contractors. Unfortunately,
any absence of transparency promotes the suspicion in the City departments
that ITD works on what it wants to, when it wants to, and with little regard to
user needs.
Implementation
▪ ITD should make on-going communications with user
departments a priority. By developing an effective
communications plan, ITD can bridge any gap of users not
knowing the status of projects, the progress on requests for
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services, and the need for technical advice/consultation on how
best to apply technology to meet business needs
▪ Explore and implement, where practical, expanded
communication tools to better inform user departments as to ITD
activities, up-coming maintenance activities, and technology
project status
Recommendation Benefits
Benefits Impact
Improved information technology resilience/security Indirect
Increased staff productivity Indirect
Improved service delivery/operations Direct
Reduced cost of information technology ownership Indirect
Improved return on investment for information technology Indirect
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4.6 – The City should develop an Enterprise
Data Architecture
The collection, aggregation, and analysis of information from disparate
business units across an enterprise is often referred to as “Big Data,” by the
information technology industry, Big Data provides the foundation for
business intelligence and business analytics. Despite the development and
continual improvement of the tools available, the collection of data from a
portfolio of business applications and operational applications in support of
regulatory reporting and management analytics can be difficult and
expensive to achieve on a continuing basis unless the organization has an
enterprise data architecture that predefines how the pieces fit together.
The use of information to effectively manage organizations is dependent on:
▪ An enterprise data architecture
▪ Processes and staff to support the architecture (including processes
for its governance, support, and evolution) since both the data
being collected and the organization’s use of the data will change
over time)
▪ Standards to ensure that business applications that are developed
or acquired by the City, or on its behalf by external service
providers, will be able to:
- Exchange information with other City business and
operational applications
- Support the integration and compilation of information
to support modeling, planning, performance
management, and analytics
Organizations without an enterprise data architecture, supporting standards,
and staff to support it, often attempt to support decision-makers through a
cumbersome combination of ad-hoc applications, databases, and
3 Improving State Government Operations Through Business Analytics, NASCIO Research
Brief, February 2010
spreadsheets. These tools often use data inconsistently, are seldom well
documented or able to quickly meet new requirements, and eventually
become a drain on organizational resources. This can quickly become a
worst-case scenario as the total cost of ownership (TCO) for these ad-hoc
processes quickly mounts while the return on the organization’s investment
(ROI) decreases.
The National Association of State Chief Information Officers (NASCIO) has
noted that:
“Information assets are highly valued enterprise assets. As such, this
resource must be properly managed through appropriate governance.
One of the major challenges in governance of this resource is dealing
with the continued growing volume of data, and how to sort out what
data is most valuable in delivering efficient, high quality government
services. The amount of data, the various media and types of data, and
the sources of data is continually proliferating… government needs the
means for managing this data in order to derive valuable information for
ensuring: government services operate efficiently and effectively; fraud,
waste, and abuse are detected and eliminated; government is able to
anticipate future demands and opportunities. Typically, government is
underinvested in business analytics capabilities.”3
An enterprise data architecture provides the foundation for the consumption
of information for strategic purposes, otherwise known as business analytics.
NASCIO notes that “Analytics is the extensive use of data, statistical and
quantitative analysis, explanatory and predictive models, and fact-based
management to drive decisions and actions… This includes the manipulation,
visualization, statistical analysis, trending, and correlation analysis that are
applied to data.”4
Implementation
▪ Develop a plan for the implementation of an enterprise data
architecture including obtaining executive sponsorship
4 Business Analytics, op. cit.
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▪ Engage a qualified data architect (may be an ITD staff member) to
work with the City’s departments and ITD to develop the
Enterprise Data Architecture
▪ Plan for the continuing maintenance of the Enterprise Data
Architecture
Recommendation Benefits
Benefits Impact
Improved information technology resilience/security Indirect
Increased staff productivity Direct
Improved service delivery/operations Direct
Reduced cost of information technology ownership Direct
Improved return on investment for information technology Direct
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Appendices
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Appendix A – Inventory of Technology Policies
No. Document Title Origination Date Revision Date
101 Information Technology Acquisition and Support 1/28/98 1/20/10
105 Fiber Optic Communication Network 5/21/96 N/A
120 Network Access and Use Policy 7/20/93 10/20/13
123 Email Policy 10/2/97 1/20/10
125 Internet Access and Use Policy 5/7/98 1/20/10
127 Telephone Use 11/1/96 1/20/10
130 Electronic Village Concept 3/1/94 N/A
132 Regional Network Consortium 10/17/95 N/A
137 Web Policy 2/19/98 1/20/10
160 Purchasing Computer Workstations, Laptops, and Mobile Data Computers 12/5/95 1/20/10
163 Disposing of Surplus Computer Equipment 10/21/97 1/20/10
167 Employee Loan Program 12/3/96 1/20/10
175 Video Monitoring Systems 4/18/06 1/20/10
205 Training Strategy 6/26/97 12/17/09
225 Hard Drive Installation and Support 12/9/97 12/17/09
230 Network Application Installation 12/9/97 12/17/09
231 Mobile Application Installation 12/17/09 N/A
280 Fax Maintenance and Operation 12/22/93 12/17/09
285 IT Disaster Recovery Plan 11/1999 N/A
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Appendix A – Inventory of Technology Policies (Cont.)
No. Document Title Origination Date Revision Date
301 Criteria for New Off-the-Radar Initiatives 12/15/04 12/17/09
305 General Computer Workstation Standards 1/31/96 12/17/09
307 Computer Laptop Standards 1/24/02 12/17/09
308 Mobile Data Computer Standards 12/17/09 N/A
310 CAD-GIS Workstation Standard 5/22/96 12/17/09
315 Application Server Standard 4/23/98 12/17/09
316 Virtual Server Standard 4/23/98 12/17/09
320 System Printer Standard 9/25/96 12/17/09
325 Color Printer Standard 5/29/97 12/17/09
330 Software Standards 2/28/96 12/17/09
340 Cellular Phones 2/24/97 12/17/09
350 Passwords 8/23/94 12/17/09
355 Data Storage for Recovery 1/28/09 12/17/09
360 Request for User Set-Up or Change N/A N/A
370 Voice Mail Greetings N/A N/A
372 Voice Mail Automated Attendant 10/4/04 12/17/09
380 Telemetry Standards 2/2/11 N/A
401 Committee and Group Members 4/2011 N/A
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Appendix B – IT Best Practices Checklist
The IT Best Practices Checklist provides a mechanism for ITD and NexLevel to conduct a dialog regarding IT best practices conformance. ITD initially completes
the checklist and it is then reviewed by NexLevel. For each of the assessment factors ITD is asked to determine if they are fully conformant (“Y”), somewhat or
minimally conformant (“O”) or non-conformant (“N”). Items that are fully conformant receive a score of 3, items that are substantially conformant receive a
score of 2, items that are minimally conformant receive a score of 1, and items for which ITD is non-conformant receive a score of 0. Comments are provided
in the right-most column. “SLO” are comments directly from ITD and “NL” are comments or observations from NexLevel.
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Client Name and Contact Information
Client Organization: CITY OF SAN LUIS OBISPO – INFORMATION DIVISION
Primary Person(s) Completing Assessment: STEVE SCHMIDT
Instructions
This self-assessment is intended to be completed by NexLevel clients. The assessment is broken out b y into six best practice categories including:
Technology Governance
Service Delivery
Business Technology Applications
Infrastructure
Security
Administration
For each assessment factor below please:
(1) Indicate whether your organization is in compliance with the best practice assessment factor by entering:
a. “Y” – if you believe your organization to be fully compliant with the best practice factor and enter “3” in the score column
b. “O” – if you believe that your organization is somewhat, but not fully, in conformant with the best practice factor. Please enter a “2” in the
Score column you believe that your organization is substantially in conformance or a “1” if you believe that your organization is at least
minimally conformant. Please provide a brief explanation in the comments field.
c. “N” – if you believe that your organization is not conformant with the best practice assessment factor.
(2) If there is documentation available (i.e., plans, standards documents, etc.) for this assessment factor, please check this bo x. Please do not send the
document(s), NexLevel will select a number of these items for follow -up and contact you to obtain copies (if needed); and
(3) Please provide any comments that would be help NexLevel understand how your organization conforms to the best practice factor.
Please note that in the tables below, “IT organization” refers to the unit(s) charged with providing information technology services to the user community,
whether the services are provided by an internal service provider or an external service provider.
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
SLO – IT Department
(NL = Comment from NexLevel)
Information Technology Governance
1 IT Oversight Does the City have a defined IT Governance
process?
Y 3 Y SLO - IT STEERING & TAC
NL – The governance structure used by SLO (IT Steering
Committee and Technical Advisory Committee) appears to
be effective and utilized by all departments
2 IT Oversight Does the IT organization report, directly or
indirectly, to an IT governance committee?
Y 3 Y SLO - IT Governance Plan
3 IT Oversight Does the IT governance process provide oversight
for all City applications and services?
Y 3 Y
4 IT Oversight Does the IT Governance Committee meet
regularly?
Y 3 Y SLO - MONTHLY
5 IT Oversight Does the City have formal procedures to ensure
that departmental applications or web services
conform to enterprise standards and best
practices?
Y 3 Y SLO - IT POLICY
6 IT Oversight Does the City have Steering Committees for
enterprise (City-wide) projects or applications?
Y 3 Y
7 IT Oversight Are the City’s policy makers and senior executives
involved in making technology decisions?
Y 3 Y NL – The governance process, committees, membership, and
roles should be documented and adopted as a City
technology policy
8 Strategic Business Plan Does the City have a strategic business plan? Y 3 Y
9 Strategic Business Plan Are the City's business goals and objectives
identified, tracked and measured?
Y 3 Y SLO - FINANCIAL PLAN
10 Strategic Business Plan Is the business plan updated on a regular basis?
If so, please indicate how often.
Y 3 Y SLO - 2 YEARS
11 eGovernment Strategy Does the City have a formal eGovernment /
Community Engagement (i.e., social media)
Strategy?
O 2 Y SLO - SOCIAL MEDIA POLICIES, OPEN GOV, COMMUNITY
FORUMS
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
SLO – IT Department
(NL = Comment from NexLevel)
Information Technology Governance
12 eGovernment Strategy Does the City’s web site provide citizen-facing
functions?
Y 3 Y SLO - SEE ABOVE, BILLING, DOCUMENTS, RECORDINGS,
HISTORICAL RECORDS, ETC
13 eGovernment Strategy Does the IT organization formally monitor and
manage the performance of external service
provider(s) used to support the web-site?
O 2 N SLO - RECEIVE MONTHLY PERFORMANCE REPORTS
14 Enterprise Project
Management
Does the IT organization have project
management processes and standards?
O 1 N SLO - PROJECT PLAN DOCUMENT ONLY
NL – See recommendation 3.3.2
15 Enterprise Project
Management
If so, does the IT organization have a separate
Project Management Office (PMO) function to
ensure project quality and conformance with
standards?
N NL – See recommendation 3.3.2
16 Enterprise Project
Management
Are user stakeholders involved in IT projects? Y 3 N SLO - ITSC PROJECT REQUEST FORMS
17 Enterprise Project
Management
Are project charters developed for each major
project? If so, is there a standard format or
checklist for project charters?
O 1 N NL – See recommendation 3.3.2
18 Enterprise Project
Management
Does the IT organization maintain an application
portfolio?
O 1 N NL – See recommendation 3.3.4
19 Enterprise Project
Management
Does the IT organization have formal procedures
for reporting project status to users?
O 1 N
20 Enterprise Project
Management
Does the IT organization have a high project
success rate? Does the IT organization have a
formal definition of what constitutes project
success?
Y 3 Y
21 Enterprise Project
Management
Does the IT organization maintain a list of
enterprise IT projects in progress and planned?
Y 3 Y SLO - DASHBOARD AND CURRENT/FUTURE PROJECT LIST
22 Enterprise Project
Management
Does the IT organization have adequate funding
and staffing to handle current enterprise projects?
O 1 Y SLO - DASHBOARD
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
SLO – IT Department
(NL = Comment from NexLevel)
Information Technology Governance
23 Enterprise Project
Management
Does the IT organization have adequate funding
and staffing to handle anticipated future
enterprise projects?
O 1 Y SLO - PROJECTS IDENTIFIED, NOT FUNDED
24 Internal and External
Communication
Does the IT organization have a formal process
for facilitating communication between functional
managers?
O 1 N SLO - IN PROCESS
NL – See recommendation 3.3.5
25 Internal and External
Communication
Does the IT organization have a formal process
for keeping its all staff members informed of
system and application updates, policy changes,
priorities, etc.?
O 1 N SLO – INFORMAL
NL – See #24
26 Internal and External
Communication
Does the IT organization keep the user
community informed of changes to information
technology environment?
O 2 N SLO – INFORMAL
NL – See #24
27 Internal and External
Communication
Does the IT organization have formal processes
for communicating with the user community?
O 2 N SLO – INFORMAL
NL – See #24
28 IT Strategic Plan Does the City have an IT Strategic Plan (ITSP)? Y 3 Y NL – The IT Strategic Plan developed in 2012 has been
effectively used by SLO to manage technology projects.
29 IT Strategic Plan Does the ITSP align with, and support, support
the City’s business plan?
O 2 Y
30 IT Strategic Plan Does the ITSP identify goals and objectives, and is
progress regularly tracked and measured?
Y 3 Y SLO - MONTHLY
31 IT Strategic Plan Is the ITSP updated on a regular basis? If so,
please indicate how often the ITSP is updated and
the date of the last update.
Y 3 Y SLO - EVERY 5 YEARS, INCEPTION 2012
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Service Delivery
32 Help Desk Does the IT organization provide a single point of
contact for user departments?
Y 3 Y
33 Help Desk Does the IT organization have a dedicated Help
Desk?
Y 3 Y NL – A Help Desk has been established with 1 FTE who is
funded through FY17. This position has been effective in
meeting department needs for support and reducing the
work load on the Network Administrators. See
recommendation 3.3.3 for additional organizational
suggestions
34 Help Desk Is the Help Desk organized along functional or
organizational lines?
O 2 N SLO - IN PROGRESS
35 Help Desk Does Help Desk staffing include subject matter
experts who can assist users with both application
usage and technology issues?
Y 3 N NL – Business application support is provided by ITD staff
other than the Help Desk. In the future, the City should
consider department based analysts to fill this support role.
See recommendation 3.3.3
36 Help Desk Does the Help Desk use an issue tracking system?
Is the system available to other staff members in
the IT organization? To users?
Y 3 Y
37 Help Desk Does the IT organization routinely analyze call
data for trends, volume and escalation?
Y 3 Y SLO - MONTHLY
38 Help Desk Does the Help Desk have specific service levels for
response to customers?
Y 3 Y SLO – SLA
NL – ITD should establish a service catalog so all City
departments understand the role of ITD and delivery
expectations. See recommendation 3.3.2
39 Help Desk Does the Help Desk have a formal methodology
to prioritize requests?
Y 3 Y
40 Help Desk Does the IT organization have a formal method
for assessing user satisfaction with the services
provided by the Help Desk?
O 2 Y SLO - USER SURVEY EVERY 2 YEARS
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Service Delivery
41 Help Desk Does the IT organization believe that the Help
Desk services provided to the user community are
effective?
Y 3 NL – The 2016 User Satisfaction Survey indicated a high-
level of satisfaction with Help Desk Services
42 Help Desk Does the IT organization have a formal escalation
procedure?
Y 3
43 Help Desk Does the IT organization have a formal process
and dedicated channels to handle requests from
VIPs?
Y 3
44 Help Desk Does the IT organization provide and support
remote access tools to take over user desktops to
diagnose and correct problems? If so, what tools
are used and how effective are they with regard
to:
Ease of use?
Ensuring that access is restricted to authorized
users?
Access management?
Y 3 SLO - GOTOASSIST AND GOTOMYPC
45 Help Desk Does the IT organization maintain a centralized
knowledge base (wiki or other repository)?
If yes, is the information contained in the
knowledge base considered to be
complete, current, and readily accessible?
If no, is the IT organization planning to develop
a knowledge base?
O 2 Y SLO - KACE AND CONFLUENCE
NL – A knowledge base will be important as ITD looks for
ways to expand “self-service” techniques to City
departments.
46 Help Desk Does the IT organization centrally develop and
manage desktop and mobile device images that
ensure appropriate “lock down” of desktops?
Y 3
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Service Delivery
47 Training Does the IT organization provide training for
users? If yes, please indicate whether:
Training is provided on a regular basis?
Does the IT organization have dedicated
training resources or does it source
training?
Does the IT organization have formal training
curriculums?
Does the IT organization perform user surveys
to assess the effectiveness of the training
provided?
Y 3 SLO - HELP DESK AND TRAINING VENDOR
• OFFERED AND PROVIDED
• OUTSOURCE
• CREATED BY CONTRACTOR
• YES
48 Hours of Service Does the IT organization provide Help Desk
services on a regularly scheduled basis and,
minimally, during prime shift / normal business
work hours?
Y 3 NL – ITD staff receive overtime pay for outside normal hours
activities
49 Hours of Service Does the Help Desk provide support for users
who may need extended support (such as public
safety)?
Y 3 Y SLO – SLA
NL – See #48
50 Hours of Service Does the IT organization provide after-hours
support for mission-critical systems?
If yes, who provides the support?
Y 3 Y SLO - SLA, STANDBY
51 Hours of Service Does the IT organization schedule routine and
ad-hoc system maintenance so as to minimize the
impact on internal users and the public?
Y 3 Y
52 Service Delivery
Management - Service
Levels
Does the IT organization have formal service level
agreements (SLAs) with the user community?
Y 3 Y SLO - COMMUNITY DEVELOPMENT, POLICE, FIRE, UTILITIES
NL – ITD indicated service agreements have been created,
but without a Service Catalog, it is difficult to ascertain if
they are being met. SLAs should be developed for all City
departments as well as external vendors.
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Service Delivery
53 Service Delivery
Management - Service
Levels
Does the IT organization have a service catalogue
that identifies what IT services are provided, the
service levels for each, and that is readily
accessible by users?
O 1 Y SLO - WORK IN PROGRESS
NL – See recommendation 3.3.2
54 Service Delivery
Management - Service
Levels
Does the IT organization have formal service
expectations for vendors?
Y 3 Y
55 Service Delivery
Management - Service
Levels
Does the IT organization report performance
against SLAs, to whom, and with what frequency?
Y 3 Y
56 Service Delivery
Management - Service
Levels
Have City departments defined their need for IT
systems availability?
O 2 Y SLO – SLA
NL – See recommendation 3.3.1
57 Service Delivery
Management - Service
Levels
Is the IT organization able to meet user needs
with current IT resources, staff and infrastructure?
O 2 Y SLO - HELP DESK & PROJECT ACTIVITY TRACKING (PAT)
HOURS
58 Service Delivery
Management - Change
Management
Does the IT organization have well-defined
change management procedures?
N NL – See recommendation 3.3.2
59 Service Delivery
Management - Change
Management
Are procedures in place to ensure conformance
with the change management procedures?
N SLO - KDEPLOY, SPACE, UNIDESK,
NL – See #58
60 Service Delivery
Management - Change
Management
Are proposed changes routinely reviewed with
the users?
N NL – See #58
61 Service Delivery
Management - Change
Management
Does the change management process specify
how proposed changes should be communicated
to the user community?
N NL – See #58
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Service Delivery
62 Service Delivery
Management - Change
Management
Does the change management process provide
escalation procedures?
N SLO - AD HOC
NL – See #58
63 Service Delivery
Management - Change
Management
Does the IT organization have an infrastructure
change management process?
N SLO - NOT CONSISTENT FOR SMALLER PROJECTS
NL – See #58
64 Service Delivery
Management - Capacity
Management
Does the IT organization routinely monitor the
performance, availability, and the capacity of the
network, servers, disk arrays, and other devices?
Y 3 N SLO - LOGICMONITOR
65 Service Delivery
Management - Capacity
Management
Does the IT organization utilize dedicated
appliances (SAN, NAS, etc.) for the storage of
shared enterprise data?
Y 3
66 Service Delivery
Management - Capacity
Management
Does the IT organization have a formal capacity
plan? Is it used for the annual budgeting process?
If not, what is used?
O 1 SLO - PROJECTION AT TIME OF PURCHASE
67 Service Delivery
Management - Root
Cause Analysis
Does the IT organization have a formal process
for identifying, analyzing, and correcting the root
cause of incidents?
N SLO - KNOWLEDGE BASE
NL – See recommendation 3.3.1
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Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Business Technology Applications
68 Application Support Are enterprise applications primarily centralized
and supported by the IT organization?
Y 3 Y
69 Application Support Does the IT organization have a formal resource
management plan to allocate resources to
applications?
N
70 Application Support Does the City have an enterprise IT architecture
and supporting standards?
O 1 NL – See recommendation 3.3.6
71 Application Support Has the IT organization been charged to provide
oversight for departmental applications or
services (potentially supported by vendors)?
Y 3 Y
72 Application Support If yes, are procedures in place to ensure that
applications that are acquired and/or supported
by departments conform to standards?
Y 3
73 Application Support Are there procedures in place to formally assess
requested exceptions to the standards?
O 1
74 Application Support Does the City have procedures in place that
require users to formally declare mission-critical
applications and data and their requirements for
availability as well as to periodically review the
declarations?
N NL – See recommendation 3.3.1
75 Application Support Does the City have procedures in place to ensure
the ownership, security, and integrity of
information that is stored in external applications
or services (such as Dropbox)?
N
76 Application Support If the IT organization supports any ad-hoc
applications based on products such as MS
Access or FileMaker Pro, are their procedures in
place to ensure their appropriate use?
N SLO - USERS ARE LOCAL ADMINS
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Business Technology Applications
77 Application Support Does the City have procedures to control the user
development of ad-hoc applications and
spreadsheets?
N
78 COTS Products Does the City have processes to ensure that
commercial-off-the-shelf (COTS) applications are
utilized largely as delivered with no or only
essential custom modifications?
O 1 SLO - NEED BETTER PROCESSES TO ENSURE
79 COTS Products Does the IT organization track the product
positioning for each COTS product?
O 1 SLO – INFORMALLY
NL – See recommendation 3.3.4
80 COTS Products If any of the COTS applications no longer
supported by the vendor, is IT working with the
user community to replace them?
O 1 SLO - ENTERPRISE LEVEL – YES
81 COTS Products Do application staff members and key users
attend and participate in vendor user groups and
conferences?
O 1
82 Cloud Solutions Does the City have standards for the use of web-
based (“cloud”) services such as software as a
service (SaaS), cloud-based IT infrastructure (IaaS),
etc.?
N NL – The City should develop “cloud” application standards.
This could be a part of the recommendation 3.3.2
(Policy/Procedures) or recommendation 3.3.6
83 Cloud Solutions Does the City have standards in place to ensure
the security and availability of the information
stored off-site?
N
84 Cloud Solutions Does the City or the IT organization have a formal
process for evaluating and approving the use of
cloud-based services?
N See # 82
85 Cloud Solutions Does the City have processes in place to fully
review agreements with cloud-service providers
to ensure that all logistical provisions and costs
(such as those related to exiting the service
agreement) are identified and considered?
O 1 SLO - REVIEW AGREEMENTS
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Business Technology Applications
86 Standards Does the IT organization regularly apply new
vendor releases and upgrades (production vs.
current release)?
O 2 SLO - LACKS TEST ENVIRONMENT
87 Standards Are test environments provided for each
application and are application updates formally
and routinely tested by the user community?
N See recommendation 3.3.2
88 Standards Does the IT organization have a defined system
development lifecycle?
N/A
89 Standards Does the IT organization have formal procedures
to ensure that all components of the City’s
information technology environment (i.e.,
hardware, system software, applications, etc.) are
running on supported versions?
O 1 See recommendation 3.3.4 and the development of current
equipment/software standards as shown in
recommendation 3.3.2
90 Standards Does the IT organization have application
development standards?
N/A
91 Application
Effectiveness
Does the IT organization routinely survey users to
measure and track their satisfaction with the
business application(s) they use?
Y 3 SLO - 2 YEAR SURVEY
92 Application
Effectiveness
Does the IT organization routinely assess the
degree to which applications conform to City
standards?
O 1
93 Application
Effectiveness
Does the IT organization routinely assess the
degree to which applications meet the users’
performance expectations?
Y 3 SLO - EVERY 2 YEARS
94 Application
Effectiveness
Does the IT organization routinely plan for the
functional enhancement, technical renovation or
replacement of applications?
O 1 SLO - ENTERPRISE ONLY
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Infrastructure
95 Network Does the IT organization maintain Open-Systems
Interconnection (OSI) conformant diagrams that
depict its topology as well as the configuration of
major nodes?
N SLO - LAYER 1 TOPOLOGY
96 Network Does the IT organization ensure that the network
is protected from intrusions by firewalls, DMZ, et
al?
O 2
97 Network If the City has a wireless network, is access to the
network restricted?
Y 3 Y
98 Network If the City provides wireless access for "guests" is
this provided on a separate wireless network or to
segregate "guest" traffic?
Y 3 Y
99 Network Does the IT organization have network
management tools (CiscoWorks, Openview, etc.)
and use them to routinely assess network usage,
performance, and track trends?
Y 3 Y
100 Network Does the IT organization routinely review all
telecomm circuits to ensure the adequacy of the
service as well as the continued need for the
circuits?
Y 3 Y SLO - COST ALLOCATION
101 Internet Access Does the City have an acceptable use policy that
is signed by all employees with internet access?
O 2 Y SLO - NOT SIGNED
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
102 Internet Access Does the IT organization actively monitor and
manage internet access including intrusion
attempts?
O 2 SLO - AUTOMATED INTRUSION DETECTION
103 Internet Access Does the City have software deployed to filter
content and report policy exceptions?
Y 3 Y SLO - USE POLICY
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Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Infrastructure
104 Intranet Access Does the City have tools (such as SharePoint) to
facilitate collaboration and to edit, approve, and
publish documents?
O 1 SLO - IN PROGRESS
105 Intranet Access Does the City have formal standards for the use
of collaboration tools?
O 1 SLO - OLD POLICY
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
106 Remote Access Does the City provide remote access for
employees? If so, is a structured and secured
method (i.e., VPN) used for remote access?
Y 3 SLO - VPN AND/OR GOTOMYPC
107 Remote Access Does the City have an acceptable use policy for
remote users?
Y 3 Y SLO - NETWORK ACCESS USE POLICY
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
108 Remote Access Are there procedures in place to ensure that
remote users are in conformance with the policy?
O 2
109 Remote Access Does the City have a formal policy governing
which users are eligible for remote access and
that defines the procedures for granting and
revoking access?
Y 3 SLO – NETWORK ACCESS USE POLICY
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
110 Remote Access If the City grants remote access to vendors:
Is there a formal process for granting and
monitoring remote access by vendors?
Does the IT organization routinely audit vendor
usage to ensure compliance with policy?
Do the grants automatically expire after a
specified period?
O 1 Y • SLO - NOT MONITORED
• SLO - NOT AUDITED
• SLO - NO EXPIRATION
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
111 Servers / Data Storage Does the IT organization have well-defined
hardware and software standards?
O 2 SLO - HARDWARE – YES
SLO - SOFTWARE – YES
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Infrastructure
112 Servers / Data Storage Does the IT organization perform periodic audits
to confirm compliance with the hardware and
software standards?
O 2 SLO - SOFTWARE - NO
113 Servers / Data Storage Does the IT organization have a formal process
for reviewing and approving exceptions to the
hardware and software standards?
Y 3 Y SLO - IT STEERING COMMITTEE
114 Servers / Data Storage Does the IT organization have formal policies for
the granting of administrative rights for physical
and virtual servers?
O 1 SLO - INFORMAL, IT ONLY
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
115 Servers / Data Storage Does the IT organization periodically review
grants of administrative rights?
N NL – Procedure should be developed
116 Servers / Data Storage Does the IT organization perform routine
performance monitoring to ensure that servers
can support business applications?
Y 3
117 Servers / Data Storage Does the IT organization virtualize servers? If so,
does it have formal processes for the creation of
instances and to periodically review their use?
Y 3 N
118 Servers / Data Storage Does the IT organization perform routine
performance monitoring to ensure that that all
servers (virtualized or not) are being used
effectively and that sufficient capacity is on-hand
to meet current and future requirements?
Y 3
119 Servers / Data Storage Does the IT organization perform routine
performance monitoring to ensure that that
centralized storage (NAS, SAN) is being used
effectively and that sufficient capacity is on-hand
to meet current and future requirements?
Y 3
120 Servers / Data Storage Has the City deployed file servers and storage
devices in departmental locations? If so, are they
located in appropriate and secure facilities?
N SLO - CENTRALIZED REDUNDANT STORAGE
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Infrastructure
121 Routers and Switches Are wiring / server closets neat and free of
extraneous materials / clutter?
Y 3 Y
122 Routers and Switches Does the IT organization have procedures for
cable management and labeling?
Y 3
123 Routers and Switches Are routers and switches located in secure
locations?
O 2
124 Desktops, Laptops and
Printers
Does the IT organization have formal standards
for desktops, laptops, printers, and other user
devices?
Y 3 Y NL – This and other security related polices should be
reviewed, updated, and adopted by the City
125 Desktops, Laptops and
Printers
Does the IT organization control the granting of
Administrator rights on desktops?
O 1 SLO - REQUIRED FOR SOME LEGACY APPLICATIONS
126 Data Center
Environment
Has the main server room been appropriately
sized for future expansion?
Y 3
127 Data Center
Environment
Is the general layout of the main server room
acceptable? Does the layout provide access to
both the front and rear of racks?
Y 3
128 Data Center
Environment
Has provision been made to prevent situations
such as flooding and fire?
O 1 SLO - WATER BASED FIRE SUPPRESSION AT MAIN DATA
CENTER
129 Data Center
Environment
Are server racks and equipment cabinets secured
front and rear with locking doors?
N SLO - LOCATED IN SECURE FACILITIES
130 Data Center
Environment
Does the IT organization control and monitor
access to facilities such as server rooms?
Y 3 Y
131 Data Center
Environment
Does the IT organization have automated
environmental controls to alert appropriate
personnel to HVAC issues and other facility
problems?
Y 3
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Infrastructure
132 Data Center
Environment
Does the data center have sufficient electrical
capacity and reliability / business continuity
features such as a UPS, stand-by generators, and
redundant power sources?
O 1 SLO - CITY HALL - UNDERSIZED GENERATOR, OVER
CAPACITY ELECTRICAL MAIN, NO BACKUP AC
133 Data Center
Environment
Does the City routinely test to ensure that
standby power facilities perform as expected and
that the capacity is sufficient?
Y 3
134 Data Center
Environment
Are server racks braced for seismic shock? O 2 Y
135 Data Center
Environment
Is the data center, server rooms, wiring closets,
generally clean and clear of clutter such as
decommissioned equipment or unboxed devices?
Y 3
136 Data Center
Environment
Are the cables well managed (i.e., orderly cable
runs, color-coded and labeled cables, etc.)?
O 2
137 Hardware Refreshment Does the IT organization have a formal
refreshment plan for desktops? Servers?
Y 3 Y
138 Hardware Refreshment Does the IT budget provide dedicated funds for
the refreshment / renovation of desktop PCs, etc.
per year?
Y 3 Y
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Security / Information Protection
139 Network Security Does the IT organization routinely perform
perimeter of other testing to ensure that
intrusions are blocked and reported? If so, when
was the last time that this testing was performed?
N NL – See recommendation 3.3.1
140 Network Security Does the IT organization have procedures in place
to control wireless access (such as MAC addresses
to access point, encrypted login stream, etc.)?
Y 3
141 Physical Security Does the IT organization monitor access to
sensitive IT and business areas?
Y 3
142 Data Protection Does the IT organization have procedures in place
to manage user passwords (such as requiring
strong passwords and periodic changing of
passwords)?
O 1 NL – This and other security related polices should be
reviewed, updated, and adopted by the City
143 Data Protection Does the City have a formal process to notify IT
when employees are terminated or out on
extended leave?
N SLO - NO FORMAL PROCESS OR ASSIGNMENT OF DUTY
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
144 Data Protection Does the City have a formal process for
requesting network and application access for
new users?
O 2 Y SLO - CITY STAFF NOT FOLLOWING PROCESS
CONSISTENTLY
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
145 Desktop Security Does the City have a formal user security policy
regarding data sensitivity, confidentiality, etc.?
O 1 SLO - IT REQUEST
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
146 Desktop Security Does the City have formal procedures in place to
ensure that all users are familiar with, and
conform to, the security policy?
N SLO - NO POLICY
NL – This and other security related polices should be
reviewed, updated, and adopted by the City
147 Desktop Security Does the City have formal procedures to ensure
the security of information on mobile and
portable systems (such as the encryption)?
O 1 NL – This and other security related polices should be
reviewed, updated, and adopted by the City
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Security / Information Protection
148 Data Backups Does the IT organization perform backups on a
regularly scheduled basis?
If yes, what is the schedule?
If yes, what is the process (i.e., disk to disk to
tape, etc.)?
Y 3 Y SLO - NIGHTLY DISK TO DISK, SNAPSHOT, TAPE
NL – The process used by ITD appears to meet best
practices and ensures effective backup(s) of data
149 Data Backups Does the IT organization have multiple backup
devices, e.g., mirroring, redundant servers,
removable media, etc.?)
Y 3 NL - See # 148
150 Data Backups Does the IT organization routinely backup critical
application information?
Y 3 NL - See # 148
151 Data Backups Does the backup include documentation,
configuration settings, and system software?
O 2 SLO – SLOIT
NL – See #148
152 Data Backups Does the IT organization routinely verify and test
backups?
O 1
153 Business Continuity and
Disaster Recovery
Does the City have a formal IT business continuity
plan that identifies mission critical applications,
their availability requirements, and the maximum
duration that the application can be down?
O 1 SLO - SLA DOES NOT COVER ALL MISSION CRITICAL
APPLICATIONS
NL – Could not determine if a Business Continuity Plan exists
from documentation provided by ITD.
154 Business Continuity and
Disaster Recovery
Has the IT organization systematically identified
all single points of failure and the actions required
to remediate them?
O 1 SLO - NOT DOCUMENTED, NOT ALL REMEDIATED
155 Business Continuity and
Disaster Recovery
Does the IT organization have the ability (people,
plans, processes, procedures, and other
resources) needed to react to a service
interruption and resume service in an acceptable
timeframe?
Y 3 Y SLO - ALSO HAVE AN EOC PLAN, CONSULTANTS ON
RETAINER
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Security / Information Protection
156 Business Continuity and
Disaster Recovery
Does the IT organization have a disaster recovery
plan?
If so, please indicate when the plan was last
updated?
O 1 SLO - LAST PLAN 1999
NL – See recommendation 3.3.1
157 Business Continuity and
Disaster Recovery
Does the IT organization conduct regular
exercises to validate the disaster recovery plan
and to ensure that systems and applications can
be recovered as planned?
If so, please provide the date of the most recent
exercise.
N NL – See #156
158 Emergency Operations
Center (EOC)
Does the City have an emergency operations
center?
Y 3 Y
159 Emergency Operations
Center (EOC)
Does the IT organization have personnel assigned
to support the EOC?
Y 3 Y
160 Emergency Operations
(EOC)
Does the City routinely conduct drills to ensure
that the EOC is fully functional and can be
brought online in a timely manner?
Y 3 Y
161 Emergency Operations
(EOC)
Does the City have plans for the activation of an
alternate EOC if needed?
Y 3 Y SLO - CORP YARD, UNTESTED
162 Virus/Spam Protection Does the IT organization deploy software to
control viruses, spyware, other malware, and e-
mail spam on user desktops?
If yes, please indicate in the comments section:
What vendors / products / versions are used?
Does the IT organization have enterprise
licenses for these products?
Y 3 Y SLO - ESET, MCAFEE PROXY SAAS, EMAIL SAAS
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
Security / Information Protection
163 Virus/Spam Protection Does the IT organization apply updates to this
software in an automated and timely manner?
Y 3 Y
164 Cybersecurity, Intrusion
Detection and
Management
Does the IT organization have a cybersecurity
plan in place for the detection, reporting,
management, and response to intrusions? Is the
plan conformant to recognized cybersecurity
frameworks such as NIST?
N
165 Cybersecurity, Intrusion
Detection and
Management
Does the IT organization routinely review logs to
identify incoming and outgoing traffic to
potentially suspicious or malicious sites?
O 1 SLO - RETROACTIVE ISP NOTIFICATION
166 Cybersecurity, Intrusion
Detection and
Management
Does the IT organization have an independent
testing organization routinely perform perimeter
and other testing to ensure the adequacy of
controls?
N SLO - NO INTERNAL PEN TEST, SOME PCI EXTERNAL SCAN
NL – See recommendation 3.3.1
167 Cybersecurity, Mobility If users access City information or services using
remote devices has the IT organization adopted
appropriate procedures (such as mobile device
management) to secure these devices from use
by unauthorized individuals?
O 1 SLO - AVAILABLE MDM, MERAKI & O365
168 Patch Management Is security patching up to date on all components
including servers, routers, switches, and desktops?
O 2 SLO - MOST SERVERS & DESKTOPS; SWITCHES & ROUTERS
ON VENDOR PROVIDED
169 Patch Management Is patching of the servers automated? O 2 SLO - NOT ON CRITICAL SERVERS
170 Patch Management Does the IT organization have formal (i.e.
documented), change management procedures
for infrastructure patches and upgrades?
N NL – See recommendation 3.3.2
171 Patch Management Does the IT organization apply patches and hot
fixes in a timely manner according to the severity
of the issue and as per vendor recommendations?
Y 3 N
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
IT Administration
172 IT Organization Is there an organization chart for the IT
organization?
Y 3 Y SLO - ORG CHART
173 IT Organization Are the functional responsibilities for each unit
and staff member clearly delineated?
Y 3 Y SLO - ORG CHART & JOB DESC
174 IT Organization Does the IT organization have a resource
management plan to ensure that it can continue
to meet user requirements in the future?
N NL – See recommendation 3.3.3
175 IT Organization Does the IT organization have formal job
descriptions for each position?
Y 3 Y SLO - HR JOB DESC
176 IT Organization Does the IT organization have a succession plan
for each position?
O 1 N SLO - INFORMAL REDUNDANCY & CROSS TRAINING
NL – See recommendation 3.3.3
177 IT Organization Does the IT Organization have a training /
development plan for each position?
O 1 SLO - INFORMAL AND BASED ON REQUEST
178 Procurement, Contracts
and Vendor
Management
Does the IT organization rely on contractors,
outside vendors or interns to assist with support?
If so, does it have procedures to ensure that their
work is documented and conforms to standards?
O 2 SLO - KBOX, NO STANDARDS
179 Procurement, Contracts
and Vendor
Management
Does the IT organization review all procurements
of IT goods and services?
Y 3 Y SLO - PURCHASING POLICY
180 Procurement, Contracts
and Vendor
Management
Are all IT contracts centralized and accessible by
IT?
Y 3 Y
181 Procurement, Contracts
and Vendor
Management
Does the IT organization have contracts tracking
and management process in place?
O 2 SLO - MONTHLY MEETINGS
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
IT Administration
182 Procurement, Contracts
and Vendor
Management
Does the IT organization regularly meet with IT
vendors?
Y 3
183 Procurement, Contracts
and Vendor
Management
Are SLAs specified in vendor contracts? Y 3 Y SLO - SLA TEMPLATE
NL – See recommendation 3.3.2
184 Procurement, Contracts
and Vendor
Management
Does the IT organization generally have positive
vendor relationships?
Y 3
185 Software License
Management
Does the IT organization have a central repository
for all IT licenses?
O 1
186 Software License
Management
Does the IT organization handle license renewals
on a timely basis?
O 2
187 Software License
Management
Does the IT organization have a formal license
management/auditing process?
N
188 Inventory Management Does the IT organization have a hardware and
software inventory control system?
O 2 SLO - KACE
189 Inventory Management Does the IT organization have a current inventory
of servers, desktops, printers, applications, etc.?
O 2 SLO - COST ALLOCATION, KACE
190 Budget Are all technology maintenance contracts
budgeted within the IT organization?
O 2
191 Budget Does the City have a formal process for
submitting items for the IT budget?
Y 3 Y
192 Technical
Documentation
Are operational procedures documented (i.e.
backups)?
O 1
193 Technical
Documentation
Does the IT organization maintain a master
vendor list with contact information?
O 2
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Best Practice
Conformance
Nbr Dimension / Category Best Practice Factor
Yes,
No,
Other
Score
(3,2,1)
Doc
Avail-
able?
Comments
(NL = Comment from NexLevel)
IT Administration
194 Policies and Procedures Does the IT organization plan have a process for
the periodic review and update of additional
policies and procedures?
O 1 SLO - OUT OF DATE
NL – See recommendation 3.3.2
195 IT Documentation Does the IT organization maintained detailed and
current technical documentation for the City's IT
infrastructure?
O 1 SLO - SPECIFIC SYSTEMS (RADIO SYSTEM)
196 Tactical Workplan Does the IT organization maintain a tactical work
plan that details the tasks assigned to each staff
member, the duration of the tasks, and the start
and completion dates?
N NL – ITD should develop a series of technical “blueprints” for
the daily operation and management of ITD (annual work
plans, network diagrams, configuration settings/pictures,
etc.)
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San Luis Obispo Page 1
Wednesday, July 5, 2017
Rescheduled Regular Meeting of the City Council
CALL TO ORDER
A Regular Meeting of the San Luis Obispo City Council was called to order on Wednesday, July
5, 2017 at 4:00 p.m. in the Council Chamber, located at 990 Palm Street, San Luis Obispo,
California, by Mayor Harmon.
ROLL CALL
Council Members
Present: Council Members Carlyn Christianson, Aaron Gomez, Andy Pease, Vice Mayor
Dan Rivoire, and Mayor Heidi Harmon.
Council Members
Absent: None
City Staff
Present: Katie Lichtig, City Manager; Christine Dietrick, City Attorney; Derek Johnson,
Assistant City Manager; and Carrie Gallagher, City Clerk; were present at Roll
Call. Other staff members presented reports or responded to questions as indicated
in the minutes.
PUBLIC HEARING ITEMS AND BUSINESS ITEMS
1. STORMWATER RESOURCE PLAN AND STORMWATER PROGRAM UPDATE
Assistant City Manager Johnson, Natural Resources Manager Hill and City Biologist Otte
provided an in-depth staff report with the use of a Power Point presentation and responded to
Council questions.
Public Comments:
None
---End of Public Comment---
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ACTION: MOTION BY COUNCIL MEMBER PEASE, SECOND BY COUNCIL
MEMBER GOMEZ CARRIED 5-0 to:
1. Adopt Resolution No 10819 (2017 Series) entitled “A Resolution of the City Council of
the City of San Luis Obispo, California, approving the San Luis Obispo Creek
Stormwater Resource Plan”; and
2. Receive an update presentation regarding the current status of the City’s Stormwater
Program and provide direction to staff regarding future opportunities and constraints.
RECESSED AT 5:37 P.M. TO THE RESCHEDULED REGULAR MEETING OF JULY
5, 2017 TO BEGIN AT 6:00 P.M.
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San Luis Obispo City Council Minutes of July 5, 2017 Page 3
CALL TO ORDER
A Rescheduled Regular Meeting of the San Luis Obispo City Council was called to order on
Wednesday, July 5, 2017 at 6:00 p.m. in the Council Chamber, located at 990 Palm Street, San
Luis Obispo, California, by Mayor Harmon.
ROLL CALL
Council Members
Present: Council Members Carlyn Christianson, Aaron Gomez, Andy Pease, Vice Mayor
Dan Rivoire, and Mayor Heidi Harmon.
Council Members
Absent: None
City Staff
Present: Katie Lichtig, City Manager; Christine Dietrick, City Attorney; Derek Johnson,
Assistant City Manager; and Carrie Gallagher, City Clerk; were present at Roll
Call. Other staff members presented reports or responded to questions as indicated
in the minutes.
PLEDGE OF ALLEGIANCE
Council Member Andy Pease led the Pledge of Allegiance.
PRESENTATIONS
2. PRESENTATION - POLICE DEPARTMENT COMMENDATIONS/AWARD
PINNING
Police Captain Staley provided a presentation recognizing Officers Caleb Kemp and Jeff
Middleton and Communications Technicians Kim Palmer and Kathy Righetti for their Life
Saving and Distinguished Service actions.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
Phil Clarkson
Norm Borin
Joe De Martini
John Salisbury
Maridel Salisbury
Donna Fiorauanti
Terry Mohan
---End of Public Comment---
Council Member Pease requested adding a future agenda item to consider the inclusion of an off-
leash dog friendly Open Space Area; item failed due to lack of support and consensus my
Council majority.
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CONSENT AGENDA
Council Member Christianson pulled Consent Item 7 for separate discussion and consideration.
ACTION: MOTION BY COUNCIL MEMBER CHRISTIANSON, SECOND BY
COUNCIL MEMBER GOMEZ, CARRIED 5-0 to approve Consent Calendar Items 3 thru 6 and
items 8 thru 11.
Council Member Pease recused herself from item 7 and departed the dais at 6:50 pm due to a
previous working relationship with architects involved in the project.
ACTION: MOTION BY VICE MAYOR RIVOIRE, SECOND BY COUNCIL MEMBER
GOMEZ, CARRIED 3-1 (CHRISTIANSON NO) (PEASE RECUSED), to approve Consent
Calendar Item 7.
3. WAIVE READING IN FULL OF ALL RESOLUTIONS AND ORDINANCES
CARRIED 5-0, to waive reading of all resolutions and ordinances as appropriate.
4. MINUTES OF THE CITY COUNCIL MEETINGS OF APRIL 18, MAY 2, MAY 30,
2017
CARRIED 5-0, to approve the minutes of the City Council meetings of April 18, May 2, and
May 30, 2017.
5. COLLECTION OF DELINQUENT SOLID WASTE COLLECTION AND DISPOSAL
ACCOUNTS
CARRIED 5-0, to adopt Resolution No. 10820 (2017 Series) entitled “A Resolution of the
City Council of the City of San Luis Obispo, California, authorizing the San Luis Obispo
County Assessor to assess amounts due on delinquent solid waste collection and disposal
accounts as liens against the properties pursuant to California Government Code Section
25828, ET SEQ.”
6. 2017-18 COMMUNITY PROMOTIONS PROGRAM – TOURISM BUSINESS
IMPROVEMENT DISTRICT (TBID) & PROMOTIONAL COORDINATING
COMMITTEE (PCC)
CARRIED 5-0, to:
1. Authorize the City Manager to enter into various contracts and program expenditures for
the (TBID) not to exceed the 2017-18 program budget of $1,340,345 based on the
recommendations by the (TBID) Board.
a. This includes the addendum to the first two-year extension of the contract with BCA
and Matchfire (formerly Studio Good) for marketing services in the amount of
$19,200; and
2. Authorize the City Manager to enter into contracts utilizing the (TBID) Fund un -
appropriated fund balance from the 2016-17 fiscal year, following the completion of the
City’s financial statements audit, for tourism marketing expenditures in 2017-18 based on
the recommendations by the (TBID) Board; and
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3. Authorize the City Manager to enter into contracts utilizing the (TBID) Fund Reserv e of
$100,000 for tourism marketing expenditures in 2017-18 based on the recommendations
by the (TBID) Board; and
4. Authorize the City Manager to enter into various contracts and program expenditures for
Community Promotions not to exceed the 2017-18 program budget of $404,688 based on
the recommendations by the (PCC).
a. This includes the 2017-18 Grants-in-Aid (GIA) allocations in the amount of $100,000
and authorization to execute individual agreements with each grant recipient.
b. This includes the second one-year term renewal of the contract with Solve (formerly
FreshBuzz) for promotional services in the amount of $30,000; and
5. Adopt the strategic planning report prepared by the (PCC) for implementation starting in
fiscal year 2017-18.
Public Comments:
Tom Mitchell
Consuelo Meux
---End of Public Comment---
Council Member Christianson pulled Consent Item 7 for separate discussion and consideration.
7. AUTHORIZE A REQUEST FOR PROPOSALS (RFP) FOR THE PREPARATION
OF AN ENVIRONMENTAL IMPACT REPORT (EIR) FOR THE PROPOSED
FROOM RANCH SPECIFIC PLAN AND RELATED ENTITLEMENTS (SPEC-0143-
2017; 12165 AND 12393 LOS OSOS VALLEY ROAD)
CARRIED 3-1 (CHRISTIANSON NO) (PEASE RECUSED), to:
1. Authorize the issuance of a Request for Proposals (RFP) for the preparation of an
Environmental Impact Report (EIR) for the proposed Froom Ranch Specific Plan and
related project entitlements; and
2. Authorize the City Manager to award a consultant services agreement with the consultant
that best responds to the RFP in terms of qualifications, cost, and approach to the project
analysis.
Public Comments:
Bill Waycott
---End of Public Comment---
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8. CONSIDERATION OF 2017-18 HUMAN RELATIONS COMMISSION (HRC)
GRANTS-IN-AID (GIA) FUNDING RECOMMENDATIONS
CARRIED 5-0, to:
1. As recommended by the Human Relations Commission, approve the 2017-18 Grants-in-
Aid funding allocations in the amount of $139,885; and
2. Authorize the Community Development Director to execute agreements with each grant
recipient.
Public Comments:
Sarah Reinhart
---End of Public Comment---
9. GRANT FUNDED CALLE JOAQUIN PARK & RIDE, SPECIFICATION NO. 91288
REQUEST FOR AUTHORIZATION TO ADVERTISE
CARRIED 5-0, to:
1. Approve the revised plans and specifications for the Calle Joaquin Park & Ride Lot,
Specification No. 91288; and
2. Authorize staff to advertise for bids, and authorize the City Manager to award the
contract if the lowest responsible bid is within the Engineer’s Estimate of $530,868.
10. SAN LUIS OBISPO DOWNTOWN ASSOCIATION PROPERTY-BASED BUSINESS
IMPROVEMENT DISTRICT FEASIBILITY STUDY GRANT
CARRIED 5-0, to:
1. Approve a grant of up to $75,000 from the City to San Luis Obispo Downtown
Association for a feasibility study regarding the formation of a Property-Based Business
Improvement District; and
2. Authorize the City Attorney to make modifications to the terms and conditions of the
Grant Agreement; and
3. Authorize the City Manager to execute the Grant Agreement.
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11. LOS OSOS VALLEY ROAD/US 101 INTERCHANGE IMPROVEMENT PROJECT,
SPECIFICATION NO. 99821 – PG&E EASEMENT)
CARRIED 5-0, to adopt Resolution No. 10821 (2017 Series) entitled “A Resolution of the
City Council of the City of San Luis Obispo, California, approving the real property
easement agreement with Pacific Gas & Electric for utility lines” and authorizing the Mayor
to execute the agreement to complete the PG&E utility relocation in support of the Los Osos
Valley Road/US 101 Interchange Improvement Project.
Council Member Pease returned and took her place on the dais at 6:58 pm.
PUBLIC HEARING ITEMS AND BUSINESS ITEMS
Council Member Pease noted having to recuse herself from this item due to a potential conflict
of interest relating to her prior working relationship with RRM Design Group; she exited the
dais at 6:59 p.m.
12. PUBLIC HEARING TO CONSIDER THE SAN LUIS RANCH PROJECT,
INCLUDING 1) RELATED ENTITLEMENTS AND 2) THE CERTIFICATION OF
THE FINAL ENVIRONMENTAL IMPACT REPORT (EIR). PROJECT
ENTITLEMENTS INCLUDE: 1) SPECIFIC PLAN, 2) GENERAL PLAN
AMENDMENT, 3) VESTING TENTATIVE TRACT MAP, AND 4) INITIATION OF
ANNEXATION FOR THE PROJECT SITE INCLUDING REVIEW OF A TERM
SHEET AS THE BASIS FOR A FUTURE DEVELOPMENT AGREEMENT.
DEVELOPMENT PLANS FOR THE SITE INCLUDE UP TO 580 RESIDENTIAL
UNITS; 200,000 SQUARE FEET OF COMMERCIAL DEVELOPMENT; 150,000
SQUARE FEET OF OFFICE DEVELOPMENT; A 200-ROOM HOTEL; AND
APPROXIMATELY 60.4 ACRES OF THE SITE TO REMAIN FOR AGRICULTURE
AND OPEN-SPACE.
Ex-Parte Communications
Council Member Rivoire reported having met with the applicant team to walk the site;
Council Member Christianson reported having met with the project applicants representatives
since July, 2013, she stated having participated in site walk throughs and receiving regular
updates and noted having received no new information that is not already on the public
record; Council Member Gomez reported having met with the applicants to do a walkthrough
of the site; Mayor Harmon reported having met the applicant to get an overview of the
project.
Council Member Pease noted having to recuse herself on this item due to a potential conflict
of interest relating to her prior working relationship with RRM Design Group; she exited the
dais at 6:59 p.m.
Assistant City Manager Johnson, Community Development Director Codron, Transportation
Manger Hudson, and Contract Planner Rickenbach provided an in-depth staff report and
responded to Council questions.
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San Luis Obispo City Council Minutes of July 5, 2017 Page 8
RECESS
Council recessed at 8:00 p.m. and reconvened at 8:12 p.m. all Council Members were present
with the exception to Council Member Pease who previously recused herself from item 12.
Public Comments:
Applicant, Marshall Ochylski
Applicant Representative, Environmental Planner Rachel Kovesei
Applicant, Gary Grossman
Melissa Angel
Brooke Shepard
Robin Rader
David Juhnke
Chenin Otto
Robert Kinports
Erin Layers
Jeffrey Wetter
Jennifer McIntire
Kari Applegate
Dianna Beck
Chris Gardner
Stanley Yucikas
Brad Brechwold
Celeste Goyer
John McKenzie
Mike Manchak
Carl Dudley
Kevin Hauber
Ed Kurtz
John Smigelski
Steve DelMartini
Aaron Steed
Erik P. Justesen
Jamie Magon
Zoya Dixon
Charlene Rosales
John Evans
Dee Trent
Dorothy Sundbye
Mike Bennett
Theo Jones
Michael Sullivan
Rob Davidson
James Lopes
Brett Cross
Donna Lewis
David Brodie
Carolyn Smith
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San Luis Obispo City Council Minutes of July 5, 2017 Page 9
Sandra Lakeman
Anne Wyatt
Sarah Flickinger
Cheryl Wakefield
Lea Brooks
Mila Vujovich–Le Barre
Paul Rys
---End of Public Comment---
Assistant City Manager Johnson summarized Council consensus to have staff return with revised
term sheet with added priorities.
ACTION: MOTION BY VICE MAYOR RIVOIRE, SECOND BY COUNCIL MEMBER
CHRISTIANSON, CARRIED 4-0, (PEASE RECUSED) to continue the Public Hearing to an
Adjourned Regular meeting to be held on July 18, 2017 at 6:00 p.m. in the Council Chamber.
Council Member Pease returned and took her place on the dais at 10:51 pm.
COUNCIL COMMUNICATIONS AND LIAISON REPORTS
Mayor Harmon reported on having toured and attended the opening of HASLO Housing for
Veterans; the League Executive Forum in Monterey, she reminded the audience of her
neighborhood walking program and provided contact information; additionally, she noted having
toured the San Luis Obispo Creek tunnel known as the deep dark.
ADJOURNMENT
A Council Workshop will be held on Tuesday, July 11, 2017 at 6:00 p.m., at the Ludwick
Community Center, 864 Santa Rosa Street, San Luis Obispo, California, on Housing Law and
Policy.
Meeting adjourned at 10:53 pm to the next Regular City Council Meeting scheduled for
Tuesday, July 18, 2017 at 6:00 p.m., in the Council Chamber, 990 Palm Street, San Luis Obispo,
California.
__________________________
Carrie Gallagher
City Clerk
APPROVED BY COUNCIL: XX/XX/2017
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blank.
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Meeting Date: 9/5/2017
FROM: Daryl R. Grigsby, Director of Public Works
Prepared By: Timothy S. Bochum, Deputy Director of Public Works
Isaac Shuck, Fleet Maintenance Supervisor
SUBJECT: STREETS SKIP LOADER REPLACEMENT, SPECIFICATION NO. 91594
RECOMMENDATION
1. Authorize the Finance Director to execute a purchase order to Quinn Caterpillar in the amount
of $122,296.25 for the purchase of one 2017 Caterpillar 415F2 Skip Loader; and
2. Authorize the surplus designation of Fleet Asset No. 0614, 1989 Case 480 Skip Loader by
sale, auction, trade-in or other method in accordance with the City’s policies and procedures
as prescribed in the Financial Management Manual Section 405-L and 480.
DISCUSSION
Background
The replacement of Fleet asset no. 0614, 1989 Case 480 Skip Loader used by the Streets
Division was approved for replacement in the 2017-19 Financial Plan (FY 2017-18). This skip
loader is used daily for streets maintenance and paving operations. This piece of equipment is
twenty-eight (28) years old and is beyond its useful life.
Cooperative Purchase versus Local Purchase
Staff recommends a purchase to Quinn Caterpillar of Santa Maria in the amount of $122,296.25
for a 2017 Caterpillar 415F2 Skip Loader. The Caterpillar loader was selected due to their
excellent reputation and durability, local parts, service, close location for warranty support in
Santa Maria and cooperative contract pricing availability. The acquisition of this vehicle
continues the movement towards standardized operator controls matching other Caterpillar
equipment in the City fleet and will assist in minimizing parts and equipment needed for multiple
vehicle makes.
Pursuant to City purchasing guidelines, staff explored use of a multi-year cooperative purchasing
agreement with the National Joint Powers Association (NJPA) Contract No. 032515-CAT, to
purchase a skip loader. This resulted in a quote in the amount of $122,296.25 through its approved
dealer, Quinn Caterpillar of Santa Maria, for a skip loader that met City specifications. There is no
local dealer within the City limits for comparative pricing.
CONCURRENCES
Streets and Fleet management concur with the equipment recommendation made in this report.
Packet Pg. 151
5
FISCAL IMPACT
The replacement of 0614 skip loader was approved in the 2017-19 Financial Capital
Improvement Plan for FY 2017-18 (pg. E2-66). The purchase cost is within the approved budget.
Project Detail Adopted Budget Purchase Cost Project Balance
2017 CAT 415F2 Skip Loader $133,000 $122,296.25 10,703.75
ALTERNATIVES
Deny Funding and Purchase. The City Council could choose to deny or defer the above skip
loader replacement and purchase. Staff does not recommend this option as the replacement was
approved as part of the 2017-19 Financial Plan. Denying or deferring the purchase could result in
costly maintenance and repairs due to the age and poor condition of this loader. Additionally, the
current skip loader is negatively impacting the City’s compliance average for the CARB diesel
off road program.
Attachments:
a - Skip Loader Quote
b - Disposing of Surplus Units - Section 405-L Procedures
c - Surplus Personal and Unclaimed Property Policy - Section 480-A
d - Auction Firm Services - Section 480-B
Packet Pg. 152
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Page 1 of 5
Quote 120923-01
July 25, 2017
CITY OF SAN LUIS OBISPO
ATTN ACCOUNTS PAYABLE
25 PRADO RD
SAN LUIS OBISPO
California
93401-7314
Attention: Isaac Shuck
Dear Sir,
We would like to thank you for your interest in our company and our products, and are pleased to quote the following
for your consideration.
CATERPILLAR INC. Model: 415F2 IL SKIPLOADER
STOCK NUMBER: NS0007255 SERIAL NUMBER: 0PF400518 YEAR: 2017
We wish to thank you for the opportunity of quoting on your equipment needs. This quotation is valid for 2017, after
which time we reserve the right to re-quote. If there are any questions, please do not hesitate to contact me at
805-310-9296 or dneedelman@quinncompany.com.
Sincerely,
Dave Needelman
Machine Sales Representative
Packet Pg. 153
5
Quinn Group Quote 120923-01
Page 2 of 5
CATERPILLAR INC. Model: 415F2 IL SKIPLOADER
STANDARD EQUIPMENT
POWERTRAIN
Cat C3.4B, 55KW (Net 68HP/51kW) Differential lock
- Direct Injection Turbo Charged Engine, Drive-line parking brake
- with ACERT technology. Torque converter
- US EPA Tier4 Final Emissions Compliant Transmission-four speed synchro mesh inc
Water separator - power shuttle
Thermal starting aid system - neutral safety switch
A dry type axial seal air cleaner with Spin-on filters for
- integral precleaner - fuel
- automatic dust ejection system - engine oil
- filter condition indicator - transmission oil
Hydraulically boosted multi-plate wet Outboard Planetary Rear Axles
disk brake with Diesel Particulate Filter
- dual pedals and interlock
HYDRAULICS
Load sensing, variable flow system with Caterpillar XT-3 hose
- 35 gpm axial piston pump Hydraulic oil cooler
6 micron hydraulic filter Flow-Sharing Hydraulic Valves
O-ring face seal hydraulic fittings Hydraulic suction strainer
ELECTRICAL
12 volt electrical start Stop and tail lights
150 ampere alternator Audible system fault alarm
Horn Key start/stop system
Backup alarm 880 CCA maintenance free battery
Hazard flashers/turn signals Battery disconnect switch
Halogen head lights (2) External Power Receptacle (12v)
Halogen rear flood lights (2) Remote jump start connector
OPERATOR ENVIRONMENT
Lighted gauge group 3-inch retractable seat belt
Interior rearview mirror Hand and foot throttle
Rear fenders Coat Strap
ROPS canopy
FLUIDS
Antifreeze - Extended Life Coolant -30C (-20F)
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Quinn Group Quote 120923-01
Page 3 of 5
OTHER STANDARD EQUIPMENT
Hydrostatic power steering Bumper
Standard Storage Box CD-ROM Parts Manual
Transport tie-down points Backhoe Safety Manual
Ground line fill fuel tank with Operations and Maintenance Manual
- 44 gallon capacity Lockable hood
Rubber impact strips on radiator guards Tire Valve Stem Protection
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5
Quinn Group Quote 120923-01
Page 4 of 5
MACHINE SPECIFICATIONS
Description Reference No
415F2IL BHL ST(C3.4)TIER 4 HRC 462-5265
LANE 3 ORDER 0P-9003
HYDRAULICS, MP, 3FCN/5BNK 462-5274
CANOPY 462-5275
SEAT BELT, 3'' SUSPENSION 206-1748
TIRES,12.5 80/16.9-24, GY/TI 464-9639
BUCKET-MP, 1.3 CYD 337-7436
CUTTING EDGE, TWO PIECE 9R-5321
INSTRUCTIONS ANSI 462-7172
SERIALIZED TECHNICAL MEDIA KIT 421-8926
FAN, STANDARD CAB/ CANOPY 454-6610
PRODUCT LINK, SATELLITE,PL631E 447-0048
BATTERY, HEAVY DUTY 457-2797
PACK, DOMESTIC TRUCK 0P-0210
SHIPPING/STORAGE PROTECTION 461-6839
RUST PREVENTATIVE APPLICATOR 462-1033
COUNTERWEIGHT, 530 LBS 337-9695
COUNTERWEIGHT, 198 LBS 463-6939
BOX, BLADE/SCARIFIER 461-9717
HITCH 3 POINT 462-5281
WORKLIGHTS (4) HALOGEN LAMPS 491-6733
RIDE CONTROL 398-2680
KIT, HYD QUICK DISCONNECTS 202-9147
BRACKET, MOUNTING 394-4922
LINES, CONNECTOR 399-6964
H80E S HAMMER 457-0158
KIT, DUAL TILT CYLINDER 470-5247
TOOL, CROSS CUT CHISEL H80E 511-0252
SERVICE KIT INCLUDES FILTERS, CUTTING EDGES, HAMMER TOOL, SERVICE
MANUAL and OMM MISC
CATERPILLAR ELECTRONIC TECHNICIAN and SIS WEB BASE SYSTEM MISC
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Quinn Group Quote 120923-01
Page 5 of 5
Manufacture Suggested Selling Price $142,300.00
Less NJPA Discount on Contract #032515-CAT Included
Net Balance Due $113,500.00
San Luis City Tax (0.5%) $567.50
State Sales Tax (7.25%) $8,228.75
After Tax Balance $122,296.25
WARRANTY
Standard Warranty: 12 Months Full Machine
Extended Warranty: 72 Month 2,500 Hour Powertrain & Hydraulics
F.O.B/TERMS
Delivered to the City Yard
ADDITIONAL CONSIDERATIONS
2017/2018 FISCAL BUDGET PRICING
Accepted by _________________________________________ on _____________________
_____________________________________________________________ Signature
Packet Pg. 157
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405-17
Section 405-L: Procedures
DISPOSING OF SURPLUS UNITS
1. When a unit is replaced or otherwise permanently removed from service, report to
Accounting that it is surplus and available for sale.
2. Include in each such report the following information for each unit reported:
City identification number (e.g., 9901)
Vehicle identification number (VIN)
License number
Model year (e.g.,2005), make (e.g., Ford), and model (e.g., F-350)
Description (e.g., one-ton truck)
Assigned department (e.g., Public Works)
Assigned program (e.g., Signal and Light Maintenance)
Acquisition year (e.g., 2004-05)
Estimated surplus value
Basis of estimated surplus value (e.g., blue book, previous auction proceeds)
Current odometer or hourmeter reading
Justification for replacement
Current location
Authorization to surplus (e.g., budget document that authorized replacement or
other Council authorization to replace or dispose of the unit)
3.Finance Division will dispose of surplus vehicles in accordance Section 480 of the
Finance Management manual.
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480-10
Section 480-B
AUCTION FIRM SERVICES
OVERVIEW
To reduce staff time in the sale and disposal of property, to reduce the amount of space being
used to store surplus and unclaimed property, to improve the process of estimating the value of
surplus property, and to maximize the value of return on surplus property, the Department of
Finance & IT is authorized to contract with an auction firm to assist staff in the sale and disposal
of personal property, consumable supplies and unclaimed property on an "as available basis"
after authorization is given by the Council or the Director of Finance & IT to sell or dispose of
City property.
The policies and procedures provided below in conjunction with the City's auction firm will
provide the staff with the opportunity to systematize the sale and disposal of this property.
AUCTION FIRM RESPONSIBILITIES
The following responsibilities will normally be assigned to the City's auction firm by Agreement
between the City and the firm selected:
A. The auction firm will be required to pickup any and all "marketable" surplus property by
consignment and deliver this property to their premises where it shall be inventoried,
sorted, identified, and catalogued. An auction will be conducted within 30 days of
receipt of property and supplies.
B. The auction firm will make the necessary arrangements for offering the property for sale
by auction to the most qualified buyers to obtain the highest return possible. The auction
firm will advertise the auction in a manner that will obtain the maximum participation by
the public in at least one newspaper of general circulation in the City of San Luis Obispo
for a minimum of five days prior to a scheduled auction.
C. The property consigned to the auction firm will remain the property of the City until sold
or disposed in accordance with these procedures.
D. Property not sold at auction will be disposed by on of the following methods:
1. Consignment to a sub-contractor specializing in unique or special equipment and
material for which there is no local market.
2. Direct sale to a buyer of unique or special equipment and material for which there
is no local market.
3. By sale as salvage to a local dealer or any recycling firm.
4. By destruction at an appropriate landfill site and certification thereto.
5. Returned to the City.
E. The material and equipment not sold at auction will be disposed of by one of the methods
described above within 15 days from the date offered at auction. For the purpose of these
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Section 480-A
SURPLUS PERSONAL AND UNCLAIMED PROPERTY POLICY
OVERVIEW
This policy addresses the procedures for the disposal of surplus personal property, unclaimed
property, consumable supplies, and junk. The policies and procedures for the disposal or sale of
surplus real property, abandoned property and resale inventory are provided in other policy
documents.
In preparing this policy, not all issues or exceptions could be anticipated. Accordingly, the
guidance given in this policy does not relieve Staff from exercising good judgment in their
stewardship of the City's property resources. Whenever there is a question or doubt between the
guidance provided in this policy and the good judgment expected of a prudent person, good
judgment should always be the prevailing standard, with this policy as a minimum standard.
LEGISLATIVE POLICY
A. Surplus Property
Section 906 of the City Charter provides that the Council must approve the sale of
surplus property (real or personal) with an estimated value greater than $1,000.
B. Unclaimed Property
1. Chapter 3.32 of the City Municipal Code provides for the disposal of unclaimed
property by the Chief of Police. This property must be held for a minimum of
four months and notice of sale must be given at least five days prior to sale by
publication in a newspaper of general circulation. Property not sold may be
destroyed by the Police Department after public auction.
2. Sections 2080.4 and 2080.6 of the Civil Code requires any person finding
property valued at $10.00 or more to turn the property over to the Police
Department within a reasonable time, stating when and where the property was
found and providing a description of the property. If the property was saved, a
statement is required from the "finder" describing:
a.From what and how it was saved.
b. Whether the owner of the property is known to the "finder".
c.That the property has not been secreted, withheld, or partially disposed.
480-1 Packet Pg. 160
5
Surplus Personal and Unclaimed Property Policy
ADMINISTRATIVE POLICY
A. The Director of Finance & Information Technology (IT) is authorized to declare as
surplus those items of personal property and consumable supplies estimated to be less
than $1,000 in value; Council approval is required to declare personal and consumable
supplies as surplus with a value of $1,000.
B. Department Heads are authorized to approve the disposal of property that is essentially
without value due to technical obsolescence or its unrepairable (or economically
unrepairable) condition. Department Heads may dispose of such junk property in the
manner they deem most appropriate, consistent with other rules, regulations, and the
City's ethics policy.
C. Generally, estimating the value of surplus property is made by the Department Head or
designated representative. In unique and unusual cases, Finance will assist Departments
in estimating the value of property by using the City's auction firm to provide a
professional estimate. However, in all cases, the Department Head must approve in
writing the estimated value of the property to be sold or otherwise disposed.
D. The Director of Finance & IT is authorized to sell, transfer, trade, or otherwise dispose of
surplus personal property, consumable supplies, or unclaimed property in the most cost
effective manner. Normally the sale of this property will be at auction with a firm
contracted to provide the following services:
1. Sell and dispose of personal property, consumable supplies and unclaimed
property at auction.
2. Provide professional estimates as to the value of personal property and
consumable supplies when required.
3. Assist in the sale of unique or special property and consumable supplies that
requires the use of a "specialty house" to sell or dispose of the property.
4. Dispose of unsaleable property, supplies and equipment at an approved disposal
site.
E. The Director of Finance & IT may dispose of surplus property and supplies by transfer to
another local government agency or non-profit organization based on the
recommendation of a Department Head. Although there may be circumstances where it
is appropriate to make such transfer without compensation, cash or in-kind services
should generally be received in an amount equal to or greater than the estimated value
provided by the City's auction firm or the Department Head. In the case of vehicles, "low
blue book value" may also be considered.
F. When it is a normal business practice, trade value should be obtained to determine the
most cost effective method of disposal and as a standard by which to evaluate the
services of the City's auction firm. There may be circumstances when trade value of
480-2
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Surplus Personal and Unclaimed Property Policy
property may exceed auction value, in which case the Director of Finance & IT may
authorize the trade of surplus property versus sale at auction based on the
recommendation of the appropriate Department head.
G. Advertising the sale of the City's property and unclaimed property will be made by the
City's auction firm in accordance with these procedures, the Auction Services
Agreement, and legislative policy. Accordingly, the advertising must disclose that the
property for sale at auction is either the surplus property of the City of San Luis Obispo
or is unclaimed property in the possession of the City and it must state the date and time
of sale. Property sold at auction will be advertised at least five days in a newspaper of
general circulation in the City of San Luis Obispo.
H. Property determined to be unclaimed by the Chief of Police may be sold at public auction
in accordance with these policies and procedures under the following conditions:
1. It is a thing which is commonly the subject of sale.
2. The owner cannot (with reasonable diligence) be found.
3. The owner, if identified, refuses to pay the reasonable charges incurred by the
City for storing and safeguarding of the property.
PROCEDURES
A. Surplus Personal Property and Consumable Supplies
1. Department Heads will identify personal property and supplies that are surplus to
their needs and notify the Director of Finance & IT by Memorandum to sell or
dispose of property identified, in accordance with City policy and procedures.
The property to be declared surplus will be listed and include the City Asset
Number (if applicable), a descriptive name of the property, quantity, pickup
location, estimated value, and name of the contract person with their extension
number. Separate memorandums must be prepared for property estimated to
exceed $1,000 in value and for property estimated to be less than $1,000 in value.
The memorandum (or listing) must indicate why the property is no longer
required.
2. Department Heads may request that Finance assist them in estimating the value of
personal property and consumable supplies. In such instances, Finance may
request the services of the City's auction firm in estimating these values.
However, these services are limited and should not be used except for unique and
unusual property.
3. Special handling will be required for the disposal of toxic and hazardous
materials, and should be coordinated with the City's Fire Department.
480-3
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Surplus Personal and Unclaimed Property Policy
I. After receipt of a request to dispose of personal property and consumable supplies
from a Department Head, Finance will circulate the list of property to other City
Departments as an advisory memorandum. The property listed may be claimed
by other Departments on a first come first serve basis. After 10 days from the
date of the advisory memorandum, this listing will be forwarded to the Housing
Authority, San Luis Coastal Unified School District, and United Way for their
information. If none of these agencies expresses interest in the remaining
property items within 10 days of receiving the listing, then the property will be
consigned to the City's auction firm for sale or other method of disposal as
determined by the Director of Finance & IT. Except in unusual circumstances,
surplus property will generally remain on site pending its final disposition. This
means that it is the responsibility of the interested party to make arrangements
with the disposing department to view the property, discuss its condition, and
coordinate any terms of transfer such as price, timing, and transportation.
J. For property with a value of $1,000 or more, the Director of Finance & IT will
prepare an Agenda Report for Council approval to declare the property as surplus
after review by the operating departments as described above and prior to the
consignment of property to the City's auction firm.
B. Evidence
The provisions of this policy do not address the disposal of property which is classified
as evidence. Evidence is governed by the provisions of the penal code and must be dealt
with accordingly. For example, evidence may be returned to the owner, subjected to lien,
or classed as contraband and accordingly destroyed. However, evidence may also be
determined by the Chief of Police to be unclaimed property and, in that event, will be
processed in accordance with the policies and procedures provided below.
C. Unclaimed Property
Unclaimed property received by the City will be processed as follows:
1. The Police Department is required to receive, hold, and safekeep all property
valued at more than $10 that is found within the City limits and turned in to the
Police Department for safekeeping. The owner will be notified as to where the
property may be claimed if the owner's identity can reasonably be determined.
2.If the owner appears within 120 days after receipt of the property by the Police
Department, proves ownership, and pays all reasonable charges, the Police
Department will return the property to the owner.
3.If the reported value of the property is fifty dollars or more (and no owner appears
and proves ownership within 120 days), the Police Department will publish a
notice, at least once, in a newspaper of general circulation. After seven days
following the first published notice the following actions will be taken if no
owner appears and proves ownership of the property;
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Surplus Personal and Unclaimed Property Policy
G. If the property was found in the course of employment by a City employee, the
property shall be sold at public auction.
H. The title shall vest in the person who found the property if he or she is
willing to pay the cost of the publication.
I. If the reported value of the property is less than $50 and no owner appears
and proves ownership of the property within 120 days, the title shall vest
in the person who found the property, unless the property was found in the
course of employment by a City employee, in which case the property
shall be sold at public auction.
J. Generally, the sale of unclaimed property will be made by the City's
auction firm; however, in unique circumstances, the Chief of Police may
request that Police Department staff conduct the auction. When the City's
auction firm is used, the firm must be notified in writing with a list of
property to be sold. This list does not require a statement of estimated
values. The letter will give the name of the contact person and extension
number, a short title property description, a pickup location, and a pickup
time.
K. Prior to sale, a listing of unclaimed property shall be provided to the
Director of Finance & IT, who will circulate this list as an advisory
memorandum to other City Departments. The property listed may be
claimed by other Departments on a first come first serve basis. After a 15
day period from the date of the advisory memorandum, the unclaimed
property will be available for sale at public auction according to policy.
L. The unclaimed property to be sold by the City's auction firm will be
transferred on consignment in accordance with the surplus property
policies.
M. Any property remaining unsold after being offered at public auction may
be destroyed or otherwise disposed of by the City's auction firm.
Approved by the City Manager on March 1, 1990; revised on January 14, 1994.
480-5 Packet Pg. 164
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Section 480-B
AUCTION FIRM SERVICES
OVERVIEW
To reduce staff time in the sale and disposal of property, to reduce the amount of space being
used to store surplus and unclaimed property, to improve the process of estimating the value of
surplus property, and to maximize the value of return on surplus property, the Department of
Finance & IT is authorized to contract with an auction firm to assist staff in the sale and disposal
of personal property, consumable supplies and unclaimed property on an "as available basis"
after authorization is given by the Council or the Director of Finance & IT to sell or dispose of
City property.
The policies and procedures provided below in conjunction with the City's auction firm will
provide the staff with the opportunity to systematize the sale and disposal of this property.
AUCTION FIRM RESPONSIBILITIES
The following responsibilities will normally be assigned to the City's auction firm by Agreement
between the City and the firm selected:
A.The auction firm will be required to pickup any and all "marketable" surplus property by
consignment and deliver this property to their premises where it shall be inventoried,
sorted, identified, and catalogued. An auction will be conducted within 30 days of
receipt of property and supplies.
B.The auction firm will make the necessary arrangements for offering the property for sale
by auction to the most qualified buyers to obtain the highest return possible. The auction
firm will advertise the auction in a manner that will obtain the maximum participation by
the public in at least one newspaper of general circulation in the City of San Luis Obispo
for a minimum of five days prior to a scheduled auction.
C.The property consigned to the auction firm will remain the property of the City until sold
or disposed in accordance with these procedures.
D.Property not sold at auction will be disposed by on of the following methods:
1. Consignment to a sub-contractor specializing in unique or special equipment and
material for which there is no local market.
2. Direct sale to a buyer of unique or special equipment and material for which there
is no local market.
3. By sale as salvage to a local dealer or any recycling firm.
4. By destruction at an appropriate landfill site and certification thereto.
5. Returned to the City.
E.The material and equipment not sold at auction will be disposed of by one of the methods
described above within 15 days from the date offered at auction. For the purpose of these
480-10
Auction Firm Services Packet Pg. 165
5
instructions, the City will give approval as to the disposal method based on the
recommendation of the auction firm and the method that is in the best interests of the
City.
F.The auction firm will provide the Department of Finance & IT with a list of consigned
property with a check for the net proceeds from the auction or specialty sale within 60
days of receipt of consigned material and equipment providing the following information:
1. City Asset number (if available)
2. Short title description of the property
3. Date of sale or disposal
4. Purchaser or the disposal site
5. Total purchase price
6. Auction fee
7. Net to City
8. Method of disposal (sale at auction, transfer to a specialty house for sale, direct
sale as salvage, transfer to an appropriate landfill or disposal site, return to City)
480-11
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Meeting Date: 9/5/2017
FROM: Daryl Grigsby, Public Works Director
Prepared By: Jennifer Rice, Transportation Planner/Engineer
SUBJECT: GRANT FUNDED CALLE JOAQUIN PARK & RIDE, SPECIFICATION NO.
91288 AWARD
RECOMMENDATION
1.Award a contract and authorize the City Manager to execute an agreement with Souza
Engineering Contracting, Inc. in the amount of $531,000 for the Calle Joaquin Park &
Ride Lot, Specification No. 91288; and
2.Approve a transfer of $85,993.32 from the Los Osos Valley Road Interchange Project
(99821) to the Calle Joaquin Park and Ride Lot project’s construction phase (91288).
DISCUSSION
On July 5, 2017, the City Council approved plans and specifications to re -bid the Calle Joaquin
Park and Ride Lot, Spec. 91288 and the City Manager to award the contract if the bids were within
the Engineer’s Estimate of $530,868. The low bid was received from Souza Engineering
Contracting, Inc in the amount of $531,000. With the bid being slightly higher than the
Engineer’s Estimate, Council approval of the award of the construction contract is required.
There are no special award circumstances. See attached Bid Summary, Attachment A.
The need for a Park & Ride Lot on Calle Joaquin was identified by SLOCOG in their adopted
2015 Park & Ride Lot study and SLOCOG subsequently allocated a combination of State
Highway Account (SHA) and Congestion Management & Air Quality (CMAQ) grant funding to
the City for design and construction of the facility. This new Park & Ride Lot will both
accommodate existing needs and increase the use of car pooling which has various economic and
environmental benefits for the community. The City is the lead on the construction of the
facility and will be responsible for maintenance when completed. Construction is estimated to be
complete by early 2018, depending on how much rain is received this winter. The project
received authorization for construction from Caltrans on September 20, 2016 and is expected to
begin reimbursable work.
CONCURRENCES
Caltrans & SLOCOG are a part of the project team and concur with this recommendation.
ENVIRONMENTAL REVIEW
Caltrans has issued this project a Categorical Exclusion pursuant to Federal Regulations Title 23
part 771.117(c) (13) Ridesharing activities.
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FISCAL IMPACT
There is currently $498,106.68 in the Calle Joaquin Park and Ride Lot project account. Due to
unforeseen circumstances, such as a change in economic climate and costs incurred to the project
due to a contract termination, the total cost of the project exceeds the available budget. Staff is
recommending that $85,993.32 be transferred from the LOVR Interchange project budget for use
in completing the park and ride project.
The Los Osos Valley Road/US 101 project is nearing completion and there are funds remaining
in the debt fund account for the project that can be used for public improvements being
constructed by the Park and Ride project. These improvements include the completion of the
road terminus along old Calle Joaquin, storm drain tie ins, and work reconstructing the Park and
Ride/Hampton Inn driveway to the realigned new Calle Joaquin. Because the work on Calle
Joaquin is an overlapping component of both this project and the LOVR Interchange, a
proportion of the LOVR Interchange funding is eligible for use on this project. There is sufficient
funding remaining in Los Osos Valley Road Interchange project to fund the Calle Joaquin Park
and Ride Lot project.
Approximately 65% of the Calle Joaquin Park & Ride Lot is grant funded.
Overall Project Fiscal Summary
Project Account Available Balance
Project Budget from 15-16 CIP Carry Forward (Grant Funds) $316,435.91
LOVR Sub Area $34,518.11
LOVR Interchange Project $147,152.66
Total Available Budget $498,106.68
Construction $531,000
Contingency $53,100
Total for Construction $591,600
Additional Funding Needed $85,993.32
ALTERNATIVES
Deny approval to award. The City Council could choose to deny or defer the approval to award
this project. Staff does not recommend this option. Caltrans has authorized this project for
construction, thus the project must be completed by July 30, 2018 or federal funding will be
jeopardized. Additionally, construction, material and labor costs may continue to rise and
additional funds will be required.
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Attachments:
a - 91288 Bid Summary
b - Council Authorization to Advertise
c - Agreement with Souza
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Item # Item Code Item DescriptionQuantity Unit of Measure Unit Price Item Total Unit Price Item Total Unit Price Item Total Unit Price Item Total Unit Price Item Total Unit Price Item Total Unit Price Item Total1 MOBILIZATION1 LS$32,000.00 $32,000.00 $15,725.00 $15,725.00 $33,000.00 $33,000.00 $6,500.00 $6,500.00 $68,000.00 $68,000.00 $60,332.00 $60,332.00 $21,049.00 $21,049.00 2 CLEARING & GRUBBING1 LS$16,000.00 $16,000.00 $11,270.00 $11,270.00 $31,650.00 $31,650.00 $8,510.00 $8,510.00 $10,000.00 $10,000.00 $60,000.00 $60,000.00 $22,705.00 $22,705.00 3 REMOVE CONC. (CURB & GUTTER)66 LF$20.00 $1,320.00 $12.00 $792.00 $30.00 $1,980.00 $16.00 $1,056.00 $20.00 $1,320.00 $50.00 $3,300.00 $26.75 $1,765.50 4 REMOVE CONCRETE SIDEWALK1,730 SF$2.50 $4,325.00 $1.70 $2,941.00 $1.50 $2,595.00 $1.90 $3,287.00 $2.00 $3,460.00 $3.00 $5,190.00 $2.40 $4,152.00 5 REMOVE CONCRETE (MOW STRIP)204 LF$10.00 $2,040.00 $4.00 $816.00 $5.00 $1,020.00 $5.20 $1,060.80 $6.00 $1,224.00 $20.00 $4,080.00 $8.50 $1,734.00 6 REMOVE IRRIGATION1 LS$2,000.00 $2,000.00 $1,650.00 $1,650.00 $1,800.00 $1,800.00 $1,685.00 $1,685.00 $1,200.00 $1,200.00 $1,500.00 $1,500.00 $3,450.00 $3,450.00 7 EXCAVATION 1,000 CY$55.00 $55,000.00 $40.00 $40,000.00 $50.00 $50,000.00 $50.05 $50,050.00 $75.00 $75,000.00 $50.00 $50,000.00 $94.15 $94,150.00 8 CLASS 2 AGGREGATE BASE560 CY$75.00 $42,000.00 $88.00 $49,280.00 $66.00 $36,960.00 $71.95 $40,292.00 $80.00 $44,800.00 $80.00 $44,800.00 $82.30 $46,088.00 9 N/A CLASS 3 PERMEABLE BASE69 CY$75.00 $5,175.00 $85.00 $5,865.00 $75.00 $5,175.00 $137.10 $9,459.90 $80.00 $5,520.00 $145.00 $10,005.00 $109.00 $7,521.00 10 CLASS 4 AGGREGATE BASE461 CY$75.00 $34,575.00 $80.00 $36,880.00 $73.00 $33,653.00 $82.83 $38,184.63 $60.00 $27,660.00 $85.00 $39,185.00 $67.50 $31,117.50 11 GEOTEXTILE FABRIC4,680 SF$1.00 $4,680.00 $0.75 $3,510.00 $1.00 $4,680.00 $0.85 $3,978.00 $0.50 $2,340.00 $1.00 $4,680.00 $1.00 $4,680.00 12 N/A HOT MIX ASPHALT, TYPE B309 TN$120.00 $37,080.00 $123.00 $38,007.00 $115.00 $35,535.00 $140.22 $43,327.98 $124.00 $38,316.00 $155.00 $47,895.00 $167.00 $51,603.00 13 PERMEABLE INTERLOCKING CONCRETE 4,680 SF$9.00 $42,120.00 $9.90 $46,332.00 $9.50 $44,460.00 $9.66 $45,208.80 $10.00 $46,800.00 $14.50 $67,860.00 $21.50 $100,620.00 14 OBSERVATION WELL2 EA$750.00 $1,500.00 $1,400.00 $2,800.00 $1,000.00 $2,000.00 $286.00 $572.00 $350.00 $700.00 $450.00 $900.00 $1,665.00 $3,330.00 15 MINOR CONCRETE (CURB)950 LF$30.00 $28,500.00 $34.00 $32,300.00 $28.00 $26,600.00 $74.90 $71,155.00 $33.00 $31,350.00 $29.00 $27,550.00 $32.00 $30,400.00 16 MINOR CONCRETE (RETAINING CURB)17 LF$35.00 $595.00 $60.00 $1,020.00 $38.00 $646.00 $101.47 $1,724.99 $70.00 $1,190.00 $190.00 $3,230.00 $67.00 $1,139.00 17 MINOR CONCRETE (BARRIER CURB)295 LF$30.00 $8,850.00 $61.00 $17,995.00 $38.00 $11,210.00 $50.60 $14,927.00 $75.00 $22,125.00 $30.00 $8,850.00 $40.00 $11,800.00 18 HDPE PLASTIC EDGING330 LF$10.00 $3,300.00 $3.60 $1,188.00 $9.00 $2,970.00 $10.65 $3,514.50 $4.00 $1,320.00 $6.00 $1,980.00 $4.30 $1,419.00 19 MINOR CONCRETE (CURB & GUTTER)162 LF$28.00 $4,536.00 $50.00 $8,100.00 $38.00 $6,156.00 $65.66 $10,636.92 $66.00 $10,692.00 $35.00 $5,670.00 $34.50 $5,589.00 20 MINOR CONCRETE (SIDEWALK)3,200 SF$8.00 $25,600.00 $8.00 $25,600.00 $8.00 $25,600.00 $9.12 $29,184.00 $14.00 $44,800.00 $7.00 $22,400.00 $7.00 $22,400.00 21 MINOR CONCRETE (DRIVEWAY)400 SF$11.00 $4,400.00 $20.00 $8,000.00 $15.00 $6,000.00 $17.99 $7,196.00 $16.00 $6,400.00 $15.00 $6,000.00 $14.35 $5,740.00 22 MINOR CONCRETE (BUS PAD)1,030 SF$11.00 $11,330.00 $17.00 $17,510.00 $17.00 $17,510.00 $10.30 $10,609.00 $20.00 $20,600.00 $23.00 $23,690.00 $17.40 $17,922.00 23 MINOR CONCRETE (MOTORCYCLE PARKING) 62 SF$9.00 $558.00 $49.00 $3,038.00 $25.00 $1,550.00 $16.62 $1,030.44 $34.00 $2,108.00 $55.00 $3,410.00 $8.00 $496.00 24 WHEEL STOP2 EA$200.00 $400.00 $60.00 $120.00 $300.00 $600.00 $112.00 $224.00 $50.00 $100.00 $80.00 $160.00 $115.00 $230.00 25 AREA DRAIN INLET6EA$1,000.00 $6,000.00 $1,300.00 $7,800.00 $700.00 $4,200.00 $1,354.00 $8,124.00 $800.00 $4,800.00 $125.00 $750.00 $1,447.00 $8,682.00 26 CURB DRAIN INLET1 EA$8,000.00 $8,000.00 $9,900.00 $9,900.00 $4,000.00 $4,000.00 $7,563.00 $7,563.00 $4,500.00 $4,500.00 $4,200.00 $4,200.00 $5,207.00 $5,207.00 27 STORM DRAIN PIPE (12" HDPE)362 LF$50.00 $18,100.00 $36.00 $13,032.00 $30.00 $10,860.00 $16.05 $5,810.10 $41.00 $14,842.00 $55.00 $19,910.00 $64.00 $23,168.00 28 STORM DRAIN PIPE (18" RCP)98 LF$85.00 $8,330.00 $109.00 $10,682.00 $90.00 $8,820.00 $261.19 $25,596.62 $70.00 $6,860.00 $120.00 $11,760.00 $128.00 $12,544.00 29 STORM DRAIN MANHOLE1 EA$9,000.00 $9,000.00 $10,200.00 $10,200.00 $8,000.00 $8,000.00 $3,242.00 $3,242.00 $3,500.00 $3,500.00 $5,500.00 $5,500.00 $5,958.00 $5,958.00 30 PAVEMENT MARKINGS610 LS$5.50 $3,355.00 $3,300.00 $3,300.00 $4,300.00 $4,300.00 $3,895.00 $3,895.00 $5,000.00 $5,000.00 $6,000.00 $6,000.00 $2,300.00 $2,300.00 31 SIGN, SINGLE POST9 EA$375.00 $3,375.00 $275.00 $2,475.00 $330.00 $2,970.00 $437.00 $3,933.00 $400.00 $3,600.00 $250.00 $2,250.00 $447.00 $4,023.00 32 LIGHTING 1 LS$35,000.00 $35,000.00 $40,400.00 $40,400.00 $34,300.00 $34,300.00 $43,771.00 $43,771.00 $42,000.00 $42,000.00 $32,000.00 $32,000.00 $39,287.00 $39,287.00 33 LANDSCAPING 1 LS$28,000.00 $28,000.00 $22,700.00 $22,700.00 $33,400.00 $33,400.00 $34,060.00 $34,060.00 $27,500.00 $27,500.00 $30,500.00 $30,500.00 $28,671.00 $28,671.00 34 IRRIGATION 5,478 LS$8.00 $43,824.00 $39,772.00 $39,772.00 $48,000.00 $48,000.00 $52,152.00 $52,152.00 $40,000.00 $40,000.00 $47,000.00 $47,000.00 $49,560.00 $49,560.00 $530,868.00 $531,000.00 $542,200.00 $591,520.68 $619,627.00 $662,537.00 $670,500.00 Total Bid AmountJJ FISHER CONSTRUCTION, Calle Joaquin Park and Ride Project, Specification No. 91288Bid Opening: 08/08/17* marks an allowanceEngineer's Estimate Souza Construction R. Burke Corporation Sansone Company Inc Raminha Construction Inc. Granite Construction ‐ Packet Pg. 1706
Meeting Date: 7/5/2017
FROM: Daryl Grigsby, Public Works Director
Prepared By: Jennifer Rice, Transportation Planner/Engineer
SUBJECT: GRANT FUNDED CALLE JOAQUIN PARK & RIDE, SPECIFICATION NO.
91288 REQUEST FOR AUTHORIZATION TO ADVERTISE
RECOMMENDATION
1. Approve the revised plans and specifications for the Calle Joaquin Park & Ride Lot,
Specification No. 91288; and
2. Authorize staff to advertise for bids, and authorize the City Manager to award the
contract if the lowest responsible bid is within the Engineer’s Estimate of $530,868.
DISCUSSION
On October 18, 2016, the City Council approved plans and specifications for the Calle Joaquin
Park and Ride Lot, Spec. 91288. Bids were solicited and the project was subsequently awarded
by Council on January 17, 2017 to RDZ Contractors for a construction contract total of
$500,000. On April 25, 2017, the contract with RDZ Contractors was terminated (Attachment
A). Since all other bidders were above the contract cost estimate, staff has reassessed the project
and adjusted the scope.
Even with the revised project plans and specifications current estimates are above the previous
approved amount of $500,000. The increase is primarily due to the active construction market
and limited contractor availability. The engineers estimate has been updated to reflect the
current economic climate; including cost increases for materials and labor costs consistent with
the current market. The updated engineers estimate is $530,868 (Attachment B).
This location on Calle Joaquin has been identified by SLOCOG in their adopted 2015 Park &
Ride Lot study and SLOCOG subsequently allocated a combination of State Highway Account
(SHA) and Congestion Management & Air Quality (CMAQ) grant funding to the City for design
and construction of the facility. The City is the lead on the construction of the facility and will be
responsible for maintenance when completed. Construction is estimated to be complete by
December of 2017.
The project received authorization for construction from Caltrans on September 20, 2016 and is
expected to begin reimbursable work.
CONCURRENCES
Caltrans & SLOCOG are a part of the project team and concur with this recommendation.
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ENVIRONMENTAL REVIEW
Caltrans has issued this project a Categorical Exclusion pursuant to Federal Regulations Title 23
part 771.117(c) (13) Ridesharing activities.
FISCAL IMPACT
The Council accepted and appropriated $365,000 for this project at its February 18th, 2014
meeting and the money became available in September 2016, per Caltrans authorization. As the
economic climate has changed since the start of this project, costs have increased for materials
and labor. In response to this, the Council approved $550,000 for this project at its January 7,
2017 meeting (in the 2015-17 budget). With the most recent increase to the engineer’s estimate
and a 10% construction contingency amount for unforeseen conditions, the project requires an
additional $33,955. Claims from RDZ Contractors have resulted in a $40,481.89 expense to the
project. These claims have gone through the process and final payments are in process. These
two amounts require an additional $74,436.89 for the project
Staff proposes to fund the project shortfall from the Los Osos Valley Road/US 101 project. This
project is nearing completion and there are funds remaining in the debt fund account for the
project that can be used for public improvements being constructed by the Park and Ride project.
These improvements include the completion of the road terminus along old Calle Joaquin, storm
drain tie ins, and work reconstructing the Park and Ride/Hampton Inn driveway to the realigned
new Calle Joaquin. Because the work on Calle Joaquin is an overlapping component of both this
project and the LOVR Interchange a proportion of the LOVR Interchange funding is eligible for
use on this project. Staff is recommending that an additional $74,436.89 of these funds be
transferred from the LOVR Interchange budget for use in completing the park and ride project.
There is sufficient funding remaining in Los Osos Valley Road Interchange to fund the project.
Overall Project Fiscal Summary
Project Budget from 15-16 CIP Carry Forward $318,778
LOVR Sub Area $75,000
LOVR Interchange Project $158,251.41
Tree Removal ($1,750)
Advertising ($134.56)
Printing ($144.85)
Cost Associated with RDZ Claim ($40,481.89)
Available $509,518.11
Construction $530,868
Contingency $53,087
Total for Construction $583,955
Additional Funding Needed $74,436.89
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ALTERNATIVES
Deny authorization to advertise. The City Council could choose to deny or defer the
advertisement of this project. Staff does not recommend this option. Caltrans has authorized this
project for construction, thus the project must be completed by July 30, 2018 or federal funding
will be jeopardized.
Attachments:
a - 91288 Calle Joaquin Park & Ride Lot CM Report-RDZ Contract Termination
b - 91288 Calle Joaquin Park & Ride Lot Engineer's Estimate
c - Council Reading File-91288 Calle Joaquin Park & Ride Plan Set
d - Council Reading File-91288 Calle Joaquin Park & Ride Lot Specifications
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AGREEMENT
THIS AGREEMENT, made on this day of , 2017, by and between the City of San Luis
Obispo, a municipal corporation and charter city, San Luis Obispo County, California (hereinafter called the
Owner) and SOUZA ENGINEERING CONTRACTING, INC. DBA SOUZA CONSTRUCTION, INC.,
(hereinafter called the Contractor).
WITNESSETH:
That the Owner and the Contractor for the consideration stated herein agree as follows:
ARTICLE 1, SCOPE OF WORK: The Contractor shall perform everything required to be performed, shall
provide and furnish all of the labor, materials, necessary tools, expendable equipment, and all utility and
transportation services required to complete all the work of construction of
CALLE JOAQUIN PARK AND RIDE, SPEC NO. 91288
in strict compliance with the plans and specifications therefor, including any and all Addenda, adopted by the
Owner, in strict compliance with the Contract Documents hereinafter enumerated.
It is agreed that said labor, materials, tools, equipment, and services shall be furnished and said work performed
and completed under the direction and supervision and subject to the approval of the Owner or its authorized
representatives.
ARTICLE II, CONTRACT PRICE: The Owner shall pay the Contractor as full consideration for the faithful
performance of this Contract, subject to any additions or deductions as provided in the Contract Documents,
the contract prices as follows:
Item Item Unit of Estimated Item Price Total
No. Description Measure Quantity (in figures) (in figures)
1 MOBILIZATION LS 1 $15,725.00 $15,725.00
2 CLEARING & GRUBBING LS 1 $11,270.00 $11,270.00
3 REMOVE CONC. (CURB &
GUTTER)
LF 66 $12.00 $792.00
4 REMOVE CONCRETE
SIDEWALK
SF 1,730 $1.70 $2,941.00
5 REMOVE CONCRETE (MOW
STRIP)
LF 204 $4.00 $816.00
6 REMOVE IRRIGATION LS 1 $1,650.00 $1,650.00
7 EXCAVATION CY 1,000 $40.00 $40,000.00
8 CLASS 2 AGGREGATE BASE CY 560 $88.00 $49,280.00
9 CLASS 3 PERMEABLE BASE CY 69 $85.00 $5,865.00
10 CLASS 4 AGGREGATE BASE CY 461 $80.00 $36,880.00
11 GEOTEXTILE FABRIC SF 4,680 $0.75 $3,510.00
12 HOT MIX ASPHALT, TYPE B TN 309 $123.00 $38,007.00
13 PERMEABLE INTERLOCKING
CONCRETE PAVERS
SF 4,680 $9.90 $46,332.00
14 OBSERVATION WELL EA 2 $1,400.00 $2,800.00
15 MINOR CONCRETE (CURB) LF 950 $34.00 $32,300.00
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Item Item Unit of Estimated Item Price Total
No. Description Measure Quantity (in figures) (in figures)
16 MINOR CONCRETE
(RETAINING CURB)
LF 17 $60.00 $1,020.00
17 MINOR CONCRETE (BARRIER
CURB)
LF 295 $61.00 $17,995.00
18 HDPE PLASTIC EDGING LF 330 $3.60 $1,188.00
19 MINOR CONCRETE (CURB &
GUTTER)
LF 162 $50.00 $8,100.00
20 MINOR CONCRETE
(SIDEWALK)
SF 3,200 $8.00 $25,600.00
21 MINOR CONCRETE
(DRIVEWAY)
SF 400 $20.00 $8,000.00
22 MINOR CONCRETE (BUS PAD) SF 1,030 $17.00 $17,510.00
23 MINOR CONCRETE
(MOTORCYCLE PARKING)
SF 62 $49.00 $3,038.00
24 WHEEL STOP EA 2 $60.00 $120.00
25 AREA DRAIN INLET EA 6 $1,300.00 $7,800.00
26 CURB DRAIN INLET EA 1 $9,900.00 $9,900.00
27 STORM DRAIN PIPE (12"
HDPE)
LF 362 $36.00 $13,032.00
28 STORM DRAIN PIPE (18" RCP) LF 98 $109.00 $10,682.00
29 STORM DRAIN MANHOLE EA 1 $10,200.00 $10,200.00
30 PAVEMENT MARKINGS LS 610 $3,300.00 $3,300.00
31 SIGN, SINGLE POST EA 9 $275.00 $2,475.00
32 LIGHTING LS 1 $40,400.00 $40,400.00
33 LANDSCAPING LS 1 $22,700.00 $22,700.00
34 IRRIGATION LS 5,478 $39,772.00 $39,772.00
BID TOTAL: $531,000.00
Payments are to be made to the Contractor in compliance with and subject to the provisions embodied in the
documents made a part of this Contract.
Should any dispute arise respecting the true value of any work omitted, or of any extra work which the
Contractor may be required to do, or respecting the size of any payment to the Contractor, during the
performance of this Contract, said dispute shall be decided by the Owner and its decision shall be final, and
conclusive.
ARTICLE III, COMPONENT PARTS OF THIS CONTRACT: The Contract consists of the following
documents, all of which are as fully a part thereof as if herein set out in full, and if not attached, as if hereto
attached:
1. Notice to Bidders and information for bidders.
2. Standard Specifications, Engineering Standards, Special Provisions, and any Addenda.
3. Plans.
4. Caltrans Standard Specifications and Standard Plans 2010.
5. Accepted Bid.
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6.List of Subcontractors.
7.Equal Employment Opportunity Certification.
8.Public Contract Code Section 10285.1 Statement.
9.Public Contract Code Section 10162 Questionnaire.
10.Public Contract Code Section 10232 Statement.
11.Labor Code Section 1725.5 Statements.
12.Bidder Acknowledgements.
13.Qualifications.
14.Attach Bidders Bond to Accompany Bid.
15.Non-collusion Declaration.
16.Debarment and Suspension Certification.
17.Non-lobbying Certification for Federal-Aid Contracts.
18.Disclosure of Lobbying Activities.
19.Agreement and Bonds.
20.Insurance Requirements and Forms.
ARTICLE IV, INDEMNIFICATION: Hold Harmless and Indemnification. The Contractor agrees to defend,
indemnify, protect and hold the City and its agents, officers and employees harmless from and against any
and all claims asserted or liability established for damages or injuries to any person or property, including
injury to the Contractor's employees, agents or officers that arise from or are connected with or are caused or
claimed to be caused by the acts or omissions of the Contractor, and its agents, officers or employees, in
performing the work or services herein, and all expenses of investigating and defending against same;
provided, however, that the Contractor's duty to indemnify and hold harmless shall not include any claims or
liability arising from the established sole negligence or willful misconduct of the City, its agents, officers or
employees. In the event of conflict with any other indemnification or hold harmless provisions of this
Agreement, the provision that provides the most protection to the City shall apply.
ARTICLE V, REQUIRED FEDERAL CONTRACT PROVISIONS:
FHWA-1273 -- Revised May 1, 2012
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General
II. Nondiscrimination
III. Nonsegregated Facilities
IV.Davis-Bacon and Related Act Provisions
V. Contract Work Hours and Safety Standards
Act Provisions
VI.Subletting or Assigning the Contract
VII.Safety: Accident Prevention
VIII.False Statements Concerning Highway
Projects
IX.Implementation of Clean Air Act and Federal
Water Pollution Control Act
X. Compliance with Governmentwide
Suspension and Debarment Requirements
XI.Certification Regarding Use of Contract
Funds for Lobbying
ATTACHMENTS
A. Employment and Materials Preference for
Appalachian Development Highway System or
Appalachian Local Access Road Contracts (included
in Appalachian contracts only)
I. GENERAL
1. Form FHWA-1273 must be physically
incorporated in each construction contract funded
under Title 23 (excluding emergency contracts solely
intended for debris removal). The contractor (or
subcontractor) must insert this form in each
subcontract and further require its inclusion in all
lower tier subcontracts (excluding purchase orders,
rental agreements and other agreements for supplies
or services).
The applicable requirements of Form FHWA-1273 are
incorporated by reference for work done under any
purchase order, rental agreement or agreement for
other services. The prime contractor shall be
responsible for compliance by any subcontractor,
lower-tier subcontractor or service provider.
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Form FHWA-1273 must be included in all Federal-aid
design-build contracts, in all subcontracts and in lower
tier subcontracts (excluding subcontracts for design
services, purchase orders, rental agreements and
other agreements for supplies or services). The
design-builder shall be responsible for compliance by
any subcontractor, lower-tier subcontractor or service
provider.
Contracting agencies may reference Form FHWA-
1273 in bid proposal or request for proposal
documents, however, the Form FHWA-1273 must be
physically incorporated (not referenced) in all
contracts, subcontracts and lower-tier subcontracts
(excluding purchase orders, rental agreements and
other agreements for supplies or services related to a
construction contract).
2. Subject to the applicability criteria noted in the
following sections, these contract provisions shall
apply to all work performed on the contract by the
contractor's own organization and with the assistance
of workers under the contractor's immediate
superintendence and to all work performed on the
contract by piecework, station work, or by
subcontract.
3. A breach of any of the stipulations contained in
these Required Contract Provisions may be sufficient
grounds for withholding of progress payments,
withholding of final payment, termination of the
contract, suspension / debarment or any other action
determined to be appropriate by the contracting
agency and FHWA.
4. Selection of Labor: During the performance of this
contract, the contractor shall not use convict labor for
any purpose within the limits of a construction project
on a Federal-aid highway unless it is labor performed
by convicts who are on parole, supervised release, or
probation. The term Federal-aid highway does not
include roadways functionally classified as local roads
or rural minor collectors.
II. NONDISCRIMINATION
The provisions of this section related to 23 CFR Part
230 are applicable to all Federal-aid construction
contracts and to all related construction subcontracts
of $10,000 or more. The provisions of 23 CFR Part
230 are not applicable to material supply,
engineering, or architectural service contracts.
In addition, the contractor and all subcontractors must
comply with the following policies: Executive Order
11246, 41 CFR 60, 29 CFR 1625-1627, Title 23 USC
Section 140, the Rehabilitation Act of 1973, as
amended (29 USC 794), Title VI of the Civil Rights
Act of 1964, as amended, and related regulations
including 49 CFR Parts 21, 26 and 27; and 23 CFR
Parts 200, 230, and 633.
The contractor and all subcontractors must comply
with: the requirements of the Equal Opportunity
Clause in 41 CFR 60-1.4(b) and, for all construction
contracts exceeding $10,000, the Standard Federal
Equal Employment Opportunity Construction Contract
Specifications in 41 CFR 60-4.3.
Note: The U.S. Department of Labor has exclusive
authority to determine compliance with Executive
Order 11246 and the policies of the Secretary of
Labor including 41 CFR 60, and 29 CFR 1625-1627.
The contracting agency and the FHWA have the
authority and the responsibility to ensure compliance
with Title 23 USC Section 140, the Rehabilitation Act
of 1973, as amended (29 USC 794), and Title VI of
the Civil Rights Act of 1964, as amended, and related
regulations including 49 CFR Parts 21, 26 and 27;
and 23 CFR Parts 200, 230, and 633.
The following provision is adopted from 23 CFR 230,
Appendix A, with appropriate revisions to conform to
the U.S. Department of Labor (US DOL) and FHWA
requirements.
1. Equal Employment Opportunity: Equal
employment opportunity (EEO) requirements not to
discriminate and to take affirmative action to assure
equal opportunity as set forth under laws, executive
orders, rules, regulations (28 CFR 35, 29 CFR 1630,
29 CFR 1625-1627, 41 CFR 60 and 49 CFR 27) and
orders of the Secretary of Labor as modified by the
provisions prescribed herein, and imposed pursuant
to 23 U.S.C. 140 shall constitute the EEO and specific
affirmative action standards for the contractor's
project activities under this contract. The provisions of
the Americans with Disabilities Act of 1990 (42 U.S.C.
12101 et seq.) set forth under 28 CFR 35 and 29 CFR
1630 are incorporated by reference in this contract. In
the execution of this contract, the contractor agrees to
comply with the following minimum specific
requirement activities of EEO:
a. The contractor will work with the contracting
agency and the Federal Government to ensure that it
has made every good faith effort to provide equal
opportunity with respect to all of its terms and
conditions of employment and in their review of
activities under the contract.
b.The contractor will accept as its operating policy
the following statement:
"It is the policy of this Company to assure that
applicants are employed, and that employees are
treated during employment, without regard to their
race, religion, sex, color, national origin, age or
disability. Such action shall include: employment,
upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of
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pay or other forms of compensation; and selection for
training, including apprenticeship, pre-apprenticeship,
and/or on-the-job training."
2. EEO Officer: The contractor will designate and
make known to the contracting officers an EEO
Officer who will have the responsibility for and must
be capable of effectively administering and promoting
an active EEO program and who must be assigned
adequate authority and responsibility to do so
3. Dissemination of Policy: All members of the
contractor's staff who are authorized to hire,
supervise, promote, and discharge employees, or
who recommend such action, or who are substantially
involved in such action, will be made fully cognizant
of, and will implement, the contractor's EEO policy
and contractual responsibilities to provide EEO in
each grade and classification of employment. To
ensure that the above agreement will be met, the
following actions will be taken as a minimum:
a. Periodic meetings of supervisory and personnel
office employees will be conducted before the start of
work and then not less often than once every six
months, at which time the contractor's EEO policy and
its implementation will be reviewed and explained.
The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office
employees will be given a thorough indoctrination by
the EEO Officer, covering all major aspects of the
contractor's EEO obligations within thirty days
following their reporting for duty with the contractor.
c. All personnel who are engaged in direct
recruitment for the project will be instructed by the
EEO Officer in the contractor's procedures for locating
and hiring minorities and women.
d. Notices and posters setting forth the contractor's
EEO policy will be placed in areas readily accessible
to employees, applicants for employment and
potential employees.
e. The contractor's EEO policy and the procedures
to implement such policy will be brought to the
attention of employees by means of meetings,
employee handbooks, or other appropriate means.
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for
employees the notation: "An Equal Opportunity
Employer." All such advertisements will be placed in
publications having a large circulation among
minorities and women in the area from which the
project work force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining agreement, conduct systematic and direct
recruitment through public and private employee
referral sources likely to yield qualified minorities and
women. To meet this requirement, the contractor will
identify sources of potential minority group
employees, and establish with such identified sources
procedures whereby minority and women applicants
may be referred to the contractor for employment
consideration.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals,
the contractor is expected to observe the provisions of
that agreement to the extent that the system meets
the contractor's compliance with EEO contract
provisions. Where implementation of such an
agreement has the effect of discriminating against
minorities or women, or obligates the contractor to do
the same, such implementation violates Federal
nondiscrimination provisions.
c. The contractor will encourage its present
employees to refer minorities and women as
applicants for employment. Information and
procedures with regard to referring such applicants
will be discussed with employees.
5. Personnel Actions: Wages, working conditions,
and employee benefits shall be established and
administered, and personnel actions of every type,
including hiring, upgrading, promotion, transfer,
demotion, layoff, and termination, shall be taken
without regard to race, color, religion, sex, national
origin, age or disability. The following procedures
shall be followed:
a. The contractor will conduct periodic inspections
of project sites to insure that working conditions and
employee facilities do not indicate discriminatory
treatment of project site personnel.
b. The contractor will periodically evaluate the
spread of wages paid within each classification to
determine any evidence of discriminatory wage
practices.
c. The contractor will periodically review selected
personnel actions in depth to determine whether there
is evidence of discrimination. Where evidence is
found, the contractor will promptly take corrective
action. If the review indicates that the discrimination
may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all
complaints of alleged discrimination made to the
contractor in connection with its obligations under this
contract, will attempt to resolve such complaints, and
will take appropriate corrective action within a
reasonable time. If the investigation indicates that the
discrimination may affect persons other than the
complainant, such corrective action shall include such
other persons. Upon completion of each
investigation, the contractor will inform every
complainant of all of their avenues of appeal.
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6. Training and Promotion:
a.The contractor will assist in locating, qualifying,
and increasing the skills of minorities and women who
are applicants for employment or current employees.
Such efforts should be aimed at developing full
journey level status employees in the type of trade or
job classification involved.
b. Consistent with the contractor's work force
requirements and as permissible under Federal and
State regulations, the contractor shall make full use of
training programs, i.e., apprenticeship, and on-the-job
training programs for the geographical area of
contract performance. In the event a special
provision for training is provided under this contract,
this subparagraph will be superseded as indicated in
the special provision. The contracting agency may
reserve training positions for persons who receive
welfare assistance in accordance with 23 U.S.C.
140(a).
c.The contractor will advise employees and
applicants for employment of available training
programs and entrance requirements for each.
d. The contractor will periodically review the training
and promotion potential of employees who are
minorities and women and will encourage eligible
employees to apply for such training and promotion.
7. Unions: If the contractor relies in whole or in part
upon unions as a source of employees, the contractor
will use good faith efforts to obtain the cooperation of
such unions to increase opportunities for minorities
and women. Actions by the contractor, either directly
or through a contractor's association acting as agent,
will include the procedures set forth below:
a. The contractor will use good faith efforts to
develop, in cooperation with the unions, joint training
programs aimed toward qualifying more minorities
and women for membership in the unions and
increasing the skills of minorities and women so that
they may qualify for higher paying employment.
b.The contractor will use good faith efforts to
incorporate an EEO clause into each union
agreement to the end that such union will be
contractually bound to refer applicants without regard
to their race, color, religion, sex, national origin, age
or disability.
c. The contractor is to obtain information as to the
referral practices and policies of the labor union
except that to the extent such information is within the
exclusive possession of the labor union and such
labor union refuses to furnish such information to the
contractor, the contractor shall so certify to the
contracting agency and shall set forth what efforts
have been made to obtain such information.
d. In the event the union is unable to provide the
contractor with a reasonable flow of referrals within
the time limit set forth in the collective bargaining
agreement, the contractor will, through independent
recruitment efforts, fill the employment vacancies
without regard to race, color, religion, sex, national
origin, age or disability; making full efforts to obtain
qualified and/or qualifiable minorities and women.
The failure of a union to provide sufficient referrals
(even though it is obligated to provide exclusive
referrals under the terms of a collective bargaining
agreement) does not relieve the contractor from the
requirements of this paragraph. In the event the
union referral practice prevents the contractor from
meeting the obligations pursuant to Executive Order
11246, as amended, and these special provisions,
such contractor shall immediately notify the
contracting agency.
8. Reasonable Accommodation for Applicants /
Employees with Disabilities: The contractor must be
familiar with the requirements for and comply with the
Americans with Disabilities Act and all rules and
regulations established there under. Employers must
provide reasonable accommodation in all employment
activities unless to do so would cause an undue
hardship.
9. Selection of Subcontractors, Procurement of
Materials and Leasing of Equipment: The contractor
shall not discriminate on the grounds of race, color,
religion, sex, national origin, age or disability in the
selection and retention of subcontractors, including
procurement of materials and leases of equipment.
The contractor shall take all necessary and
reasonable steps to ensure nondiscrimination in the
administration of this contract.
a. The contractor shall notify all potential
subcontractors and suppliers and lessors of their EEO
obligations under this contract.
b. The contractor will use good faith efforts to
ensure subcontractor compliance with their EEO
obligations.
10.Assurance Required by 49 CFR 26.13(b):
a. The requirements of 49 CFR Part 26 and the
State DOT’s U.S. DOT-approved DBE program are
incorporated by reference.
b. The contractor or subcontractor shall not
discriminate on the basis of race, color, national
origin, or sex in the performance of this contract. The
contractor shall carry out applicable requirements of
49 CFR Part 26 in the award and administration of
DOT-assisted contracts. Failure by the contractor to
carry out these requirements is a material breach of
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this contract, which may result in the termination of
this contract or such other remedy as the contracting
agency deems appropriate.
11. Records and Reports: The contractor shall keep
such records as necessary to document compliance
with the EEO requirements. Such records shall be
retained for a period of three years following the date
of the final payment to the contractor for all contract
work and shall be available at reasonable times and
places for inspection by authorized representatives of
the contracting agency and the FHWA.
a. The records kept by the contractor shall
document the following:
(1) The number and work hours of minority and
non-minority group members and women employed in
each work classification on the project;
(2) The progress and efforts being made in
cooperation with unions, when applicable, to increase
employment opportunities for minorities and women;
and
(3) The progress and efforts being made in
locating, hiring, training, qualifying, and upgrading
minorities and women;
b. The contractors and subcontractors will submit an
annual report to the contracting agency each July for
the duration of the project, indicating the number of
minority, women, and non-minority group employees
currently engaged in each work classification required
by the contract work. This information is to be
reported on Form FHWA-1391. The staffing data
should represent the project work force on board in all
or any part of the last payroll period preceding the end
of July. If on-the-job training is being required by
special provision, the contractor will be required to
collect and report training data. The employment data
should reflect the work force on board during all or
any part of the last payroll period preceding the end of
July.
III. NONSEGREGATED FACILITIES
This provision is applicable to all Federal-aid
construction contracts and to all related construction
subcontracts of $10,000 or more.
The contractor must ensure that facilities provided for
employees are provided in such a manner that
segregation on the basis of race, color, religion, sex,
or national origin cannot result. The contractor may
neither require such segregated use by written or oral
policies nor tolerate such use by employee custom.
The contractor's obligation extends further to ensure
that its employees are not assigned to perform their
services at any location, under the contractor's
control, where the facilities are segregated. The term
"facilities" includes waiting rooms, work areas,
restaurants and other eating areas, time clocks,
restrooms, washrooms, locker rooms, and other
storage or dressing areas, parking lots, drinking
fountains, recreation or entertainment areas,
transportation, and housing provided for employees.
The contractor shall provide separate or single-user
restrooms and necessary dressing or sleeping areas
to assure privacy between sexes.
IV.DAVIS-BACON AND RELATED ACT
PROVISIONS
This section is applicable to all Federal-aid
construction projects exceeding $2,000 and to all
related subcontracts and lower-tier subcontracts
(regardless of subcontract size). The requirements
apply to all projects located within the right-of-way of
a roadway that is functionally classified as Federal-aid
highway. This excludes roadways functionally
classified as local roads or rural minor collectors,
which are exempt. Contracting agencies may elect to
apply these requirements to other projects.
The following provisions are from the U.S.
Department of Labor regulations in 29 CFR 5.5
“Contract provisions and related matters” with minor
revisions to conform to the FHWA-1273 format and
FHWA program requirements.
1. Minimum wages
a.All laborers and mechanics employed or working
upon the site of the work, will be paid unconditionally
and not less often than once a week, and without
subsequent deduction or rebate on any account
(except such payroll deductions as are permitted by
regulations issued by the Secretary of Labor under
the Copeland Act (29 CFR part 3)), the full amount of
wages and bona fide fringe benefits (or cash
equivalents thereof) due at time of payment computed
at rates not less than those contained in the wage
determination of the Secretary of Labor which is
attached hereto and made a part hereof, regardless of
any contractual relationship which may be alleged to
exist between the contractor and such laborers and
mechanics.
Contributions made or costs reasonably anticipated
for bona fide fringe benefits under section 1(b)(2) of
the Davis-Bacon Act on behalf of laborers or
mechanics are considered wages paid to such
laborers or mechanics, subject to the provisions of
paragraph 1.d. of this section; also, regular
contributions made or costs incurred for more than a
weekly period (but not less often than quarterly) under
plans, funds, or programs which cover the particular
weekly period, are deemed to be constructively made
or incurred during such weekly period. Such laborers
and mechanics shall be paid the appropriate wage
rate and fringe benefits on the wage determination for
the classification of work actually performed, without
regard to skill, except as provided in 29 CFR
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5.5(a)(4). Laborers or mechanics performing work in
more than one classification may be compensated at
the rate specified for each classification for the time
actually worked therein: Provided, That the
employer's payroll records accurately set forth the
time spent in each classification in which work is
performed. The wage determination (including any
additional classification and wage rates conformed
under paragraph 1.b. of this section) and the Davis-
Bacon poster (WH–1321) shall be posted at all times
by the contractor and its subcontractors at the site of
the work in a prominent and accessible place where it
can be easily seen by the workers.
b. (1) The contracting officer shall require that any
class of laborers or mechanics, including helpers,
which is not listed in the wage determination and
which is to be employed under the contract shall be
classified in conformance with the wage
determination. The contracting officer shall approve
an additional classification and wage rate and fringe
benefits therefore only when the following criteria
have been met:
(i) The work to be performed by the classification
requested is not performed by a classification in the
wage determination; and
(ii) The classification is utilized in the area by the
construction industry; and
(iii) The proposed wage rate, including any bona
fide fringe benefits, bears a reasonable relationship to
the wage rates contained in the wage determination.
(2) If the contractor and the laborers and
mechanics to be employed in the classification (if
known), or their representatives, and the contracting
officer agree on the classification and wage rate
(including the amount designated for fringe benefits
where appropriate), a report of the action taken shall
be sent by the contracting officer to the Administrator
of the Wage and Hour Division, Employment
Standards Administration, U.S. Department of Labor,
Washington, DC 20210. The Administrator, or an
authorized representative, will approve, modify, or
disapprove every additional classification action within
30 days of receipt and so advise the contracting
officer or will notify the contracting officer within the
30-day period that additional time is necessary.
(3) In the event the contractor, the laborers or
mechanics to be employed in the classification or their
representatives, and the contracting officer do not
agree on the proposed classification and wage rate
(including the amount designated for fringe benefits,
where appropriate), the contracting officer shall refer
the questions, including the views of all interested
parties and the recommendation of the contracting
officer, to the Wage and Hour Administrator for
determination. The Wage and Hour Administrator, or
an authorized representative, will issue a
determination within 30 days of receipt and so advise
the contracting officer or will notify the contracting
officer within the 30-day period that additional time is
necessary.
(4) The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraphs
1.b.(2) or 1.b.(3) of this section, shall be paid to all
workers performing work in the classification under
this contract from the first day on which work is
performed in the classification.
c. Whenever the minimum wage rate prescribed in
the contract for a class of laborers or mechanics
includes a fringe benefit which is not expressed as an
hourly rate, the contractor shall either pay the benefit
as stated in the wage determination or shall pay
another bona fide fringe benefit or an hourly cash
equivalent thereof.
d. If the contractor does not make payments to a
trustee or other third person, the contractor may
consider as part of the wages of any laborer or
mechanic the amount of any costs reasonably
anticipated in providing bona fide fringe benefits
under a plan or program, Provided, That the
Secretary of Labor has found, upon the written
request of the contractor, that the applicable
standards of the Davis-Bacon Act have been met.
The Secretary of Labor may require the contractor to
set aside in a separate account assets for the meeting
of obligations under the plan or program.
2. Withholding
The contracting agency shall upon its own action or
upon written request of an authorized representative
of the Department of Labor, withhold or cause to be
withheld from the contractor under this contract, or
any other Federal contract with the same prime
contractor, or any other federally-assisted contract
subject to Davis-Bacon prevailing wage requirements,
which is held by the same prime contractor, so much
of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers,
employed by the contractor or any subcontractor the
full amount of wages required by the contract. In the
event of failure to pay any laborer or mechanic,
including any apprentice, trainee, or helper, employed
or working on the site of the work, all or part of the
wages required by the contract, the contracting
agency may, after written notice to the contractor,
take such action as may be necessary to cause the
suspension of any further payment, advance, or
guarantee of funds until such violations have ceased.
3. Payrolls and basic records
a. Payrolls and basic records relating thereto shall
be maintained by the contractor during the course of
the work and preserved for a period of three years
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thereafter for all laborers and mechanics working at
the site of the work. Such records shall contain the
name, address, and social security number of each
such worker, his or her correct classification, hourly
rates of wages paid (including rates of contributions or
costs anticipated for bona fide fringe benefits or cash
equivalents thereof of the types described in section
1(b)(2)(B) of the Davis-Bacon Act), daily and weekly
number of hours worked, deductions made and actual
wages paid. Whenever the Secretary of Labor has
found under 29 CFR 5.5(a)(1)(iv) that the wages of
any laborer or mechanic include the amount of any
costs reasonably anticipated in providing benefits
under a plan or program described in section
1(b)(2)(B) of the Davis-Bacon Act, the contractor shall
maintain records which show that the commitment to
provide such benefits is enforceable, that the plan or
program is financially responsible, and that the plan or
program has been communicated in writing to the
laborers or mechanics affected, and records which
show the costs anticipated or the actual cost incurred
in providing such benefits. Contractors employing
apprentices or trainees under approved programs
shall maintain written evidence of the registration of
apprenticeship programs and certification of trainee
programs, the registration of the apprentices and
trainees, and the ratios and wage rates prescribed in
the applicable programs.
b. (1) The contractor shall submit weekly for each
week in which any contract work is performed a copy
of all payrolls to the contracting agency. The payrolls
submitted shall set out accurately and completely all
of the information required to be maintained under 29
CFR 5.5(a)(3)(i), except that full social security
numbers and home addresses shall not be included
on weekly transmittals. Instead the payrolls shall only
need to include an individually identifying number for
each employee ( e.g. , the last four digits of the
employee's social security number). The required
weekly payroll information may be submitted in any
form desired. Optional Form WH–347 is available for
this purpose from the Wage and Hour Division Web
site at
http://www.dol.gov/esa/whd/forms/wh347instr.htm or
its successor site. The prime contractor is responsible
for the submission of copies of payrolls by all
subcontractors. Contractors and subcontractors shall
maintain the full social security number and current
address of each covered worker, and shall provide
them upon request to the contracting agency for
transmission to the State DOT, the FHWA or the
Wage and Hour Division of the Department of Labor
for purposes of an investigation or audit of compliance
with prevailing wage requirements. It is not a violation
of this section for a prime contractor to require a
subcontractor to provide addresses and social
security numbers to the prime contractor for its own
records, without weekly submission to the contracting
agency
(2) Each payroll submitted shall be accompanied
by a “Statement of Compliance,” signed by the
contractor or subcontractor or his or her agent who
pays or supervises the payment of the persons
employed under the contract and shall certify the
following:
(i) That the payroll for the payroll period contains
the information required to be provided under §5.5
(a)(3)(ii) of Regulations, 29 CFR part 5, the
appropriate information is being maintained under
§5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that
such information is correct and complete;
(ii) That each laborer or mechanic (including each
helper, apprentice, and trainee) employed on the
contract during the payroll period has been paid the
full weekly wages earned, without rebate, either
directly or indirectly, and that no deductions have
been made either directly or indirectly from the full
wages earned, other than permissible deductions as
set forth in Regulations, 29 CFR part 3;
(iii) That each laborer or mechanic has been paid
not less than the applicable wage rates and fringe
benefits or cash equivalents for the classification of
work performed, as specified in the applicable wage
determination incorporated into the contract.
(3) The weekly submission of a properly executed
certification set forth on the reverse side of Optional
Form WH–347 shall satisfy the requirement for
submission of the “Statement of Compliance” required
by paragraph 3.b.(2) of this section.
(4) The falsification of any of the above
certifications may subject the contractor or
subcontractor to civil or criminal prosecution under
section 1001 of title 18 and section 231 of title 31 of
the United States Code.
c. The contractor or subcontractor shall make the
records required under paragraph 3.a. of this section
available for inspection, copying, or transcription by
authorized representatives of the contracting agency,
the State DOT, the FHWA, or the Department of
Labor, and shall permit such representatives to
interview employees during working hours on the job.
If the contractor or subcontractor fails to submit the
required records or to make them available, the
FHWA may, after written notice to the contractor, the
contracting agency or the State DOT, take such
action as may be necessary to cause the suspension
of any further payment, advance, or guarantee of
funds. Furthermore, failure to submit the required
records upon request or to make such records
available may be grounds for debarment action
pursuant to 29 CFR 5.12.
4. Apprentices and trainees
a. Apprentices (programs of the USDOL).
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Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when
they are employed pursuant to and individually
registered in a bona fide apprenticeship program
registered with the U.S. Department of Labor,
Employment and Training Administration, Office of
Apprenticeship Training, Employer and Labor
Services, or with a State Apprenticeship Agency
recognized by the Office, or if a person is employed in
his or her first 90 days of probationary employment as
an apprentice in such an apprenticeship program,
who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship
Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be
eligible for probationary employment as an
apprentice.
The allowable ratio of apprentices to journeymen on
the job site in any craft classification shall not be
greater than the ratio permitted to the contractor as to
the entire work force under the registered program.
Any worker listed on a payroll at an apprentice wage
rate, who is not registered or otherwise employed as
stated above, shall be paid not less than the
applicable wage rate on the wage determination for
the classification of work actually performed. In
addition, any apprentice performing work on the job
site in excess of the ratio permitted under the
registered program shall be paid not less than the
applicable wage rate on the wage determination for
the work actually performed. Where a contractor is
performing construction on a project in a locality other
than that in which its program is registered, the ratios
and wage rates (expressed in percentages of the
journeyman's hourly rate) specified in the contractor's
or subcontractor's registered program shall be
observed.
Every apprentice must be paid at not less than the
rate specified in the registered program for the
apprentice's level of progress, expressed as a
percentage of the journeymen hourly rate specified in
the applicable wage determination. Apprentices shall
be paid fringe benefits in accordance with the
provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe
benefits, apprentices must be paid the full amount of
fringe benefits listed on the wage determination for
the applicable classification. If the Administrator
determines that a different practice prevails for the
applicable apprentice classification, fringes shall be
paid in accordance with that determination.
In the event the Office of Apprenticeship Training,
Employer and Labor Services, or a State
Apprenticeship Agency recognized by the Office,
withdraws approval of an apprenticeship program, the
contractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined
rate for the work performed until an acceptable
program is approved.
b. Trainees (programs of the USDOL).
Except as provided in 29 CFR 5.16, trainees will not
be permitted to work at less than the predetermined
rate for the work performed unless they are employed
pursuant to and individually registered in a program
which has received prior approval, evidenced by
formal certification by the U.S. Department of Labor,
Employment and Training Administration.
The ratio of trainees to journeymen on the job site
shall not be greater than permitted under the plan
approved by the Employment and Training
Administration.
Every trainee must be paid at not less than the rate
specified in the approved program for the trainee's
level of progress, expressed as a percentage of the
journeyman hourly rate specified in the applicable
wage determination. Trainees shall be paid fringe
benefits in accordance with the provisions of the
trainee program. If the trainee program does not
mention fringe benefits, trainees shall be paid the full
amount of fringe benefits listed on the wage
determination unless the Administrator of the Wage
and Hour Division determines that there is an
apprenticeship program associated with the
corresponding journeyman wage rate on the wage
determination which provides for less than full fringe
benefits for apprentices. Any employee listed on the
payroll at a trainee rate who is not registered and
participating in a training plan approved by the
Employment and Training Administration shall be paid
not less than the applicable wage rate on the wage
determination for the classification of work actually
performed. In addition, any trainee performing work
on the job site in excess of the ratio permitted under
the registered program shall be paid not less than the
applicable wage rate on the wage determination for
the work actually performed.
In the event the Employment and Training
Administration withdraws approval of a training
program, the contractor will no longer be permitted to
utilize trainees at less than the applicable
predetermined rate for the work performed until an
acceptable program is approved.
c. Equal employment opportunity. The utilization of
apprentices, trainees and journeymen under this part
shall be in conformity with the equal employment
opportunity requirements of Executive Order 11246,
as amended, and 29 CFR part 30.
d. Apprentices and Trainees (programs of the U.S.
DOT).
Apprentices and trainees working under
apprenticeship and skill training programs which have
been certified by the Secretary of Transportation as
promoting EEO in connection with Federal-aid
highway construction programs are not subject to the
requirements of paragraph 4 of this Section IV. The
straight time hourly wage rates for apprentices and
trainees under such programs will be established by
the particular programs. The ratio of apprentices and
trainees to journeymen shall not be greater than
permitted by the terms of the particular program.
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5. Compliance with Copeland Act requirements.
The contractor shall comply with the requirements of
29 CFR part 3, which are incorporated by reference in
this contract.
6. Subcontracts. The contractor or subcontractor
shall insert Form FHWA-1273 in any subcontracts
and also require the subcontractors to include Form
FHWA-1273 in any lower tier subcontracts. The prime
contractor shall be responsible for the compliance by
any subcontractor or lower tier subcontractor with all
the contract clauses in 29 CFR 5.5.
7. Contract termination: debarment. A breach of the
contract clauses in 29 CFR 5.5 may be grounds for
termination of the contract, and for debarment as a
contractor and a subcontractor as provided in 29 CFR
5.12.
8. Compliance with Davis-Bacon and Related Act
requirements. All rulings and interpretations of the
Davis-Bacon and Related Acts contained in 29 CFR
parts 1, 3, and 5 are herein incorporated by reference
in this contract.
9. Disputes concerning labor standards. Disputes
arising out of the labor standards provisions of this
contract shall not be subject to the general disputes
clause of this contract. Such disputes shall be
resolved in accordance with the procedures of the
Department of Labor set forth in 29 CFR parts 5, 6,
and 7. Disputes within the meaning of this clause
include disputes between the contractor (or any of its
subcontractors) and the contracting agency, the U.S.
Department of Labor, or the employees or their
representatives.
10. Certification of eligibility.
a. By entering into this contract, the contractor
certifies that neither it (nor he or she) nor any person
or firm who has an interest in the contractor's firm is a
person or firm ineligible to be awarded Government
contracts by virtue of section 3(a) of the Davis-Bacon
Act or 29 CFR 5.12(a)(1).
b. No part of this contract shall be subcontracted to
any person or firm ineligible for award of a
Government contract by virtue of section 3(a) of the
Davis-Bacon Act or 29 CFR 5.12(a)(1).
c. The penalty for making false statements is
prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
V. CONTRACT WORK HOURS AND SAFETY
STANDARDS ACT
The following clauses apply to any Federal-aid
construction contract in an amount in excess of
$100,000 and subject to the overtime provisions of
the Contract Work Hours and Safety Standards Act.
These clauses shall be inserted in addition to the
clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As
used in this paragraph, the terms laborers and
mechanics include watchmen and guards.
1. Overtime requirements. No contractor or
subcontractor contracting for any part of the contract
work which may require or involve the employment of
laborers or mechanics shall require or permit any
such laborer or mechanic in any workweek in which
he or she is employed on such work to work in excess
of forty hours in such workweek unless such laborer
or mechanic receives compensation at a rate not less
than one and one-half times the basic rate of pay for
all hours worked in excess of forty hours in such
workweek.
2. Violation; liability for unpaid wages; liquidated
damages. In the event of any violation of the clause
set forth in paragraph (1.) of this section, the
contractor and any subcontractor responsible therefor
shall be liable for the unpaid wages. In addition, such
contractor and subcontractor shall be liable to the
United States (in the case of work done under
contract for the District of Columbia or a territory, to
such District or to such territory), for liquidated
damages. Such liquidated damages shall be
computed with respect to each individual laborer or
mechanic, including watchmen and guards, employed
in violation of the clause set forth in paragraph (1.) of
this section, in the sum of $10 for each calendar day
on which such individual was required or permitted to
work in excess of the standard workweek of forty
hours without payment of the overtime wages
required by the clause set forth in paragraph (1.) of
this section.
3. Withholding for unpaid wages and liquidated
damages. The FHWA or the contacting agency shall
upon its own action or upon written request of an
authorized representative of the Department of Labor
withhold or cause to be withheld, from any moneys
payable on account of work performed by the
contractor or subcontractor under any such contract
or any other Federal contract with the same prime
contractor, or any other federally-assisted contract
subject to the Contract Work Hours and Safety
Standards Act, which is held by the same prime
contractor, such sums as may be determined to be
necessary to satisfy any liabilities of such contractor
or subcontractor for unpaid wages and liquidated
damages as provided in the clause set forth in
paragraph (2.) of this section.
4. Subcontracts. The contractor or subcontractor
shall insert in any subcontracts the clauses set forth in
paragraph (1.) through (4.) of this section and also a
clause requiring the subcontractors to include these
clauses in any lower tier subcontracts. The prime
contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with the
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clauses set forth in paragraphs (1.) through (4.) of this
section.
VI. SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal-aid
construction contracts on the National Highway
System.
1. The contractor shall perform with its own
organization contract work amounting to not less than
30 percent (or a greater percentage if specified
elsewhere in the contract) of the total original contract
price, excluding any specialty items designated by the
contracting agency. Specialty items may be
performed by subcontract and the amount of any such
specialty items performed may be deducted from the
total original contract price before computing the
amount of work required to be performed by the
contractor's own organization (23 CFR 635.116).
a. The term “perform work with its own organization”
refers to workers employed or leased by the prime
contractor, and equipment owned or rented by the
prime contractor, with or without operators. Such
term does not include employees or equipment of a
subcontractor or lower tier subcontractor, agents of
the prime contractor, or any other assignees. The
term may include payments for the costs of hiring
leased employees from an employee leasing firm
meeting all relevant Federal and State regulatory
requirements. Leased employees may only be
included in this term if the prime contractor meets all
of the following conditions:
(1) the prime contractor maintains control over the
supervision of the day-to-day activities of the leased
employees;
(2) the prime contractor remains responsible for the
quality of the work of the leased employees;
(3) the prime contractor retains all power to accept
or exclude individual employees from work on the
project; and
(4) the prime contractor remains ultimately
responsible for the payment of predetermined
minimum wages, the submission of payrolls,
statements of compliance and all other Federal
regulatory requirements.
b. "Specialty Items" shall be construed to be limited
to work that requires highly specialized knowledge,
abilities, or equipment not ordinarily available in the
type of contracting organizations qualified and
expected to bid or propose on the contract as a whole
and in general are to be limited to minor components
of the overall contract.
2. The contract amount upon which the requirements
set forth in paragraph (1) of Section VI is computed
includes the cost of material and manufactured
products which are to be purchased or produced by
the contractor under the contract provisions.
3. The contractor shall furnish (a) a competent
superintendent or supervisor who is employed by the
firm, has full authority to direct performance of the
work in accordance with the contract requirements,
and is in charge of all construction operations
(regardless of who performs the work) and (b) such
other of its own organizational resources (supervision,
management, and engineering services) as the
contracting officer determines is necessary to assure
the performance of the contract.
4. No portion of the contract shall be sublet,
assigned or otherwise disposed of except with the
written consent of the contracting officer, or
authorized representative, and such consent when
given shall not be construed to relieve the contractor
of any responsibility for the fulfillment of the contract.
Written consent will be given only after the contracting
agency has assured that each subcontract is
evidenced in writing and that it contains all pertinent
provisions and requirements of the prime contract.
5. The 30% self-performance requirement of
paragraph (1) is not applicable to design-build
contracts; however, contracting agencies may
establish their own self-performance requirements.
VII. SAFETY: ACCIDENT PREVENTION
This provision is applicable to all Federal-aid
construction contracts and to all related subcontracts.
1. In the performance of this contract the contractor
shall comply with all applicable Federal, State, and
local laws governing safety, health, and sanitation (23
CFR 635). The contractor shall provide all
safeguards, safety devices and protective equipment
and take any other needed actions as it determines,
or as the contracting officer may determine, to be
reasonably necessary to protect the life and health of
employees on the job and the safety of the public and
to protect property in connection with the performance
of the work covered by the contract.
2.It is a condition of this contract, and shall be made
a condition of each subcontract, which the contractor
enters into pursuant to this contract, that the
contractor and any subcontractor shall not permit any
employee, in performance of the contract, to work in
surroundings or under conditions which are
unsanitary, hazardous or dangerous to his/her health
or safety, as determined under construction safety
and health standards (29 CFR 1926) promulgated by
the Secretary of Labor, in accordance with Section
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107 of the Contract Work Hours and Safety Standards
Act (40 U.S.C. 3704).
3. Pursuant to 29 CFR 1926.3, it is a condition of this
contract that the Secretary of Labor or authorized
representative thereof, shall have right of entry to any
site of contract performance to inspect or investigate
the matter of compliance with the construction safety
and health standards and to carry out the duties of the
Secretary under Section 107 of the Contract Work
Hours and Safety Standards Act (40 U.S.C.3704).
VIII. FALSE STATEMENTS CONCERNING
HIGHWAY PROJECTS
This provision is applicable to all Federal-aid
construction contracts and to all related subcontracts.
In order to assure high quality and durable
construction in conformity with approved plans and
specifications and a high degree of reliability on
statements and representations made by engineers,
contractors, suppliers, and workers on Federal-aid
highway projects, it is essential that all persons
concerned with the project perform their functions as
carefully, thoroughly, and honestly as possible. Willful
falsification, distortion, or misrepresentation with
respect to any facts related to the project is a violation
of Federal law. To prevent any misunderstanding
regarding the seriousness of these and similar acts,
Form FHWA-1022 shall be posted on each Federal-
aid highway project (23 CFR 635) in one or more
places where it is readily available to all persons
concerned with the project:
18 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee of
the United States, or of any State or Territory, or
whoever, whether a person, association, firm, or
corporation, knowingly makes any false statement,
false representation, or false report as to the
character, quality, quantity, or cost of the material
used or to be used, or the quantity or quality of the
work performed or to be performed, or the cost
thereof in connection with the submission of plans,
maps, specifications, contracts, or costs of
construction on any highway or related project
submitted for approval to the Secretary of
Transportation; or
Whoever knowingly makes any false statement,
false representation, false report or false claim with
respect to the character, quality, quantity, or cost of
any work performed or to be performed, or materials
furnished or to be furnished, in connection with the
construction of any highway or related project
approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or
false representation as to material fact in any
statement, certificate, or report submitted pursuant to
provisions of the Federal-aid Roads Act approved
July 1, 1916, (39 Stat. 355), as amended and
supplemented;
Shall be fined under this title or imprisoned not more
than 5 years or both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND
FEDERAL WATER POLLUTION CONTROL ACT
This provision is applicable to all Federal-aid
construction contracts and to all related subcontracts.
By submission of this bid/proposal or the execution of
this contract, or subcontract, as appropriate, the
bidder, proposer, Federal-aid construction contractor,
or subcontractor, as appropriate, will be deemed to
have stipulated as follows:
1. That any person who is or will be utilized in the
performance of this contract is not prohibited from
receiving an award due to a violation of Section 508
of the Clean Water Act or Section 306 of the Clean Air
Act.
2. That the contractor agrees to include or cause to
be included the requirements of paragraph (1) of this
Section X in every subcontract, and further agrees to
take such action as the contracting agency may direct
as a means of enforcing such requirements.
X. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
This provision is applicable to all Federal-aid
construction contracts, design-build contracts,
subcontracts, lower-tier subcontracts, purchase
orders, lease agreements, consultant contracts or any
other covered transaction requiring FHWA approval or
that is estimated to cost $25,000 or more – as
defined in 2 CFR Parts 180 and 1200.
1. Instructions for Certification – First Tier
Participants:
a. By signing and submitting this proposal, the
prospective first tier participant is providing the
certification set out below.
b. The inability of a person to provide the
certification set out below will not necessarily result in
denial of participation in this covered transaction. The
prospective first tier participant shall submit an
explanation of why it cannot provide the certification
set out below. The certification or explanation will be
considered in connection with the department or
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agency's determination whether to enter into this
transaction. However, failure of the prospective first
tier participant to furnish a certification or an
explanation shall disqualify such a person from
participation in this transaction.
c. The certification in this clause is a material
representation of fact upon which reliance was placed
when the contracting agency determined to enter into
this transaction. If it is later determined that the
prospective participant knowingly rendered an
erroneous certification, in addition to other remedies
available to the Federal Government, the contracting
agency may terminate this transaction for cause of
default.
d. The prospective first tier participant shall provide
immediate written notice to the contracting agency to
whom this proposal is submitted if any time the
prospective first tier participant learns that its
certification was erroneous when submitted or has
become erroneous by reason of changed
circumstances.
e. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person,"
"principal," and "voluntarily excluded," as used in this
clause, are defined in 2 CFR Parts 180 and 1200.
“First Tier Covered Transactions” refers to any
covered transaction between a grantee or subgrantee
of Federal funds and a participant (such as the prime
or general contract). “Lower Tier Covered
Transactions” refers to any covered transaction under
a First Tier Covered Transaction (such as
subcontracts). “First Tier Participant” refers to the
participant who has entered into a covered
transaction with a grantee or subgrantee of Federal
funds (such as the prime or general contractor).
“Lower Tier Participant” refers any participant who
has entered into a covered transaction with a First
Tier Participant or other Lower Tier Participants (such
as subcontractors and suppliers).
f. The prospective first tier participant agrees by
submitting this proposal that, should the proposed
covered transaction be entered into, it shall not
knowingly enter into any lower tier covered
transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded
from participation in this covered transaction, unless
authorized by the department or agency entering into
this transaction.
g. The prospective first tier participant further
agrees by submitting this proposal that it will include
the clause titled "Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion-
Lower Tier Covered Transactions," provided by the
department or contracting agency, entering into this
covered transaction, without modification, in all lower
tier covered transactions and in all solicitations for
lower tier covered transactions exceeding the $25,000
threshold.
h. A participant in a covered transaction may rely
upon a certification of a prospective participant in a
lower tier covered transaction that is not debarred,
suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the
certification is erroneous. A participant is responsible
for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in
covered transactions. To verify the eligibility of its
principals, as well as the eligibility of any lower tier
prospective participants, each participant may, but is
not required to, check the Excluded Parties List
System website (https://www.epls.gov/), which is
compiled by the General Services Administration.
i. Nothing contained in the foregoing shall be
construed to require the establishment of a system of
records in order to render in good faith the
certification required by this clause. The knowledge
and information of the prospective participant is not
required to exceed that which is normally possessed
by a prudent person in the ordinary course of
business dealings.
j. Except for transactions authorized under
paragraph (f) of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier
covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other
remedies available to the Federal Government, the
department or agency may terminate this transaction
for cause or default.
* * * * *
2. Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion – First Tier
Participants:
a. The prospective first tier participant certifies to
the best of its knowledge and belief, that it and its
principals:
(1) Are not presently debarred, suspended,
proposed for debarment, declared ineligible, or
voluntarily excluded from participating in covered
transactions by any Federal department or agency;
(2) Have not within a three-year period preceding
this proposal been convicted of or had a civil
judgment rendered against them for commission of
fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public
(Federal, State or local) transaction or contract under
a public transaction; violation of Federal or State
antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of
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records, making false statements, or receiving stolen
property;
(3) Are not presently indicted for or otherwise
criminally or civilly charged by a governmental entity
(Federal, State or local) with commission of any of the
offenses enumerated in paragraph (a)(2) of this
certification; and
(4) Have not within a three-year period preceding
this application/proposal had one or more public
transactions (Federal, State or local) terminated for
cause or default.
b. Where the prospective participant is unable to
certify to any of the statements in this certification,
such prospective participant shall attach an
explanation to this proposal.
1. Instructions for Certification - Lower Tier
Participants:
(Applicable to all subcontracts, purchase orders and
other lower tier transactions requiring prior FHWA
approval or estimated to cost $25,000 or more - 2
CFR Parts 180 and 1200)
a. By signing and submitting this proposal, the
prospective lower tier is providing the certification set
out below.
b. The certification in this clause is a material
representation of fact upon which reliance was placed
when this transaction was entered into. If it is later
determined that the prospective lower tier participant
knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal
Government, the department, or agency with which
this transaction originated may pursue available
remedies, including suspension and/or debarment.
c. The prospective lower tier participant shall
provide immediate written notice to the person to
which this proposal is submitted if at any time the
prospective lower tier participant learns that its
certification was erroneous by reason of changed
circumstances.
d. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person,"
"principal," and "voluntarily excluded," as used in this
clause, are defined in 2 CFR Parts 180 and 1200.
You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those
regulations. “First Tier Covered Transactions” refers
to any covered transaction between a grantee or
subgrantee of Federal funds and a participant (such
as the prime or general contract). “Lower Tier
Covered Transactions” refers to any covered
transaction under a First Tier Covered Transaction
(such as subcontracts). “First Tier Participant” refers
to the participant who has entered into a covered
transaction with a grantee or subgrantee of Federal
funds (such as the prime or general contractor).
“Lower Tier Participant” refers any participant who
has entered into a covered transaction with a First
Tier Participant or other Lower Tier Participants (such
as subcontractors and suppliers).
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed
covered transaction be entered into, it shall not
knowingly enter into any lower tier covered
transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded
from participation in this covered transaction, unless
authorized by the department or agency with which
this transaction originated.
f. The prospective lower tier participant further
agrees by submitting this proposal that it will include
this clause titled "Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion-
Lower Tier Covered Transaction," without
modification, in all lower tier covered transactions and
in all solicitations for lower tier covered transactions
exceeding the $25,000 threshold.
g. A participant in a covered transaction may rely
upon a certification of a prospective participant in a
lower tier covered transaction that is not debarred,
suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the
certification is erroneous. A participant is responsible
for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in
covered transactions. To verify the eligibility of its
principals, as well as the eligibility of any lower tier
prospective participants, each participant may, but is
not required to, check the Excluded Parties List
System website (https://www.epls.gov/), which is
compiled by the General Services Administration.
h. Nothing contained in the foregoing shall be
construed to require establishment of a system of
records in order to render in good faith the
certification required by this clause. The knowledge
and information of participant is not required to
exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
i. Except for transactions authorized under
paragraph e of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier
covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other
remedies available to the Federal Government, the
department or agency with which this transaction
originated may pursue available remedies, including
suspension and/or debarment.
* * * * *
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Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion--Lower Tier
Participants:
1. The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its
principals is presently debarred, suspended,
proposed for debarment, declared ineligible, or
voluntarily excluded from participating in covered
transactions by any Federal department or agency.
2. Where the prospective lower tier participant is
unable to certify to any of the statements in this
certification, such prospective participant shall attach
an explanation to this proposal.
* * * * *
XI. CERTIFICATION REGARDING USE OF
CONTRACT FUNDS FOR LOBBYING
This provision is applicable to all Federal-aid
construction contracts and to all related subcontracts
which exceed $100,000 (49 CFR 20).
1. The prospective participant certifies, by signing
and submitting this bid or proposal, to the best of his
or her knowledge and belief, that:
a. No Federal appropriated funds have been paid or
will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an
officer or employee of any Federal agency, a Member
of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection
with the awarding of any Federal contract, the making
of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and
the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or
cooperative agreement.
b. If any funds other than Federal appropriated
funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or
employee of any Federal agency, a Member of
Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection
with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
2. This certification is a material representation of
fact upon which reliance was placed when this
transaction was made or entered into. Submission of
this certification is a prerequisite for making or
entering into this transaction imposed by 31 U.S.C.
1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for
each such failure.
3. The prospective participant also agrees by
submitting its bid or proposal that the participant shall
require that the language of this certification be
included in all lower tier subcontracts, which exceed
$100,000 and that all such recipients shall certify and
disclose accordingly.
XII: CARGO PREFERENCE ACT
Use of United States –flag vessels:
The contractor agrees –
1. To utilize privately owned United State-flag
commercial vessels to ship at least 50 percent of the
gross tonnage (computed separately for dry bulk
carriers, dry cargo liners, and tankers) involved,
whenever shipping any equipment, material, or
commodities pursuant to this contract, to the extent
such vessels are available at fair and reasonable
rates for Unites States-flag commercial vessels.
2. To furnish within 20 days following the date of
loading for shipments originating within the United
States or within 30 working days following the date of
loading for shipments originating outside the United
States, a legible copy of a rated, ‘on-board’
commercial ocean bill-of-lading in English for each
shipment of cargo described in paragraph (1) of this
section to both the Contracting Officer (through the
prime contractor in the case of subcontractor bills-of
lading) and to the Division of National Cargo, Office of
Market Development, Maritime Administration,
Washington, DC 20590.
3. To insert the substance of the provisions of this
clause in all subcontracts issued pursuant to this
contract.
ARTICLE VI, TITLE VI ASSURANCES: During the performance of this Agreement, the contractor, for itself,
its assignees and successors in interest (hereinafter collectively referred to as Contractor) agrees as follows:
(1) Compliance with Regulations: CONTRACTOR shall comply with the regulations relative to
nondiscrimination in federally assisted programs of the Department of Transportation, Title
49, Code of Federal Regulations, Part 21, as they may be amended from time to time,
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(hereinafter referred to as the REGULATIONS), which are herein incorporated by reference
and made a part of this agreement.
(2) Nondiscrimination: CONTRACTOR, with regard to the work performed by it during the
AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin,
religion, age, or disability in the selection and retention of sub-applicants, including
procurements of materials and leases of equipment. CONTRACTOR shall not participate
either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations,
including employment practices when the agreement covers a program set forth in Appendix
B of the Regulations.
(3) Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by CONTRACTOR for work to
be performed under a Sub-agreement, including procurements of materials or leases of
equipment, each potential sub-applicant or supplier shall be notified by CONTRACTOR of the
CONTRACTOR’S obligations under this Agreement and the Regulations relative to
nondiscrimination on the grounds of race, color, or national origin.
(4) Information and Reports: CONTRACTOR shall provide all information and reports required by
the Regulations, or directives issued pursuant thereto, and shall permit access to its books,
records, accounts, other sources of information, and its facilities as may be d etermined by the
California Department of Transportation or FHWA to be pertinent to ascertain compliance
with such Regulations or directives. Where any information required of CONTRACTOR is in
the exclusive possession of another who fails or refuses to furnish this information,
CONTRACTOR shall so certify to the California Department of Transportation or the FHWA
as appropriate, and shall set forth what efforts CONTRACTOR has made to obtain the
information.
(5) Sanctions for Noncompliance: In the event of CONTRACTOR’s noncompliance with the
nondiscrimination provisions of this agreement, the California Department of Transportation
shall impose such agreement sanctions as it or the FHWA may determine to be appropriate,
including, but not limited to:
(a) withholding of payments to CONTRACTOR under the Agreement within a reasonable
period of time, not to exceed 90 days; and/or
(b) cancellation, termination or suspension of the Agreement, in whole or in part.
(6) Incorporation of Provisions: CONTRACTOR shall include the provisions of paragraphs (1)
through (6) in every sub-agreement, including procurements of materials and leases of
equipment, unless exempt by the Regulations, or directives issued pursuant thereto.
CONTRACTOR shall take such action with respect to any sub-agreement or procurement as the California
Department of Transportation or FHWA may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event CONTRACTOR becomes involved in, or
is threatened with, litigation with a sub-applicant or supplier as a result of such direction, CONTRACTOR may
request the California Department of Transportation enter into such litigation to protect the interests of the
State, and, in addition, CONTRACTOR may request the United States to enter into such litigation to protect
the interests of the United States.
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18 of 18
ARTICLE VII: It is further expressly agreed by and between the parties hereto that should there be any
conflict between the terms of this instrument and the bid of said Contractor, then this instrument shall control
and nothing herein shall be considered as an acceptance of the said terms of said bid conflicting herewith.
IN WITNESS WHEREOF, the parties to these presents have hereunto set their hands this year and date first
above written.
ATTEST: CITY OF SAN LUIS OBISPO
__________________________ By: _________________________
Carrie Gallagher Heidi Harmon
City Clerk City Mayor
APPROVED AS TO FORM: CONTRACTOR:
Souza Engineering Contracting, Inc. DBA Souza
Construction, Inc.
By: __________________________
J. Christine Dietrick Steve A. Souza
City Attorney Its: President
Rev. 12-28-09
Rev. 2 5/12/16 DMA
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Meeting Date: 9/5/2017
FROM: Michael Codron, Community Development Director
Prepared By: Rebecca Gershow, Associate Planner
SUBJECT: DOWNTOWN CONCEPT PLAN
RECOMMENDATION
As recommended by the Planning Commission, adopt by Resolution the Downtown Concept
Plan supplement and illustrative poster as a long range vision and guide for public and private
investment Downtown.
REPORT IN BRIEF
The recent update to the General Plan Land Use Element in 2014 included an implementation
objective to update the Downtown Concept Plan to address the significant changes in or affecting
the downtown since the original plan, and to include opportunities for meaningful public input
(LUE Program 4.24).
Work has been underway on the Downtown Concept Plan since December 2015. The public has
been actively engaged in a variety of ways, including three public workshops. The Council-
appointed Creative Vision Team (CVT) has met 13 times, providing important input and design
assistance. On July 12, 2017, the CVT unanimously endorsed the Final Public Draft of the
Downtown Concept Plan supplement and poster.
The City Council last provided input on the Downtown Concept Plan at a joint study session
with the Planning Commission on October 4, 2016. The Planning Commission’s responsibility
includes review and recommendation of the City’s long-range plans to the City Council; as such,
it reviewed the Downtown Concept Plan on April 26, 2017 and on July 26, 2017, and
recommend adoption (with two minor text changes) to the City Council for consideration. A
Draft Council Resolution is included as Attachment A; the Final Public Draft of the Downtown
Concept Plan supplement and poster are included as Attachment B and C.
DISCUSSION
The Downtown Concept Plan is the community’s long-range vision for San Luis Obispo’s
Downtown, providing a road map for future public projects and guidance for private
development. The project was split into four phases, as shown in Figure 1, Planning Process
Graphic. We are now at the end of the public hearing stage of Phase 4, nearing com pletion of the
project.
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Figure 1: Planning Process Graphic, August 2017
The attached Final Public Draft of the Downtown Concept Plan, which includes a plan
supplement and an illustrative plan poster, represents the work of residents, the general public,
stakeholders, the Creative Vision Team, staff, consultants and city advisory bodies.
Background
In late 1990, the City Council authorized the preparation of a Downtown Concept Plan and
authorized the City Manager to establish a committee of community design professionals who
would be willing to do the work on a voluntary basis. Chuck Crotser, Rodney Levin, Andrew
Merriam, Pierre Rademaker, and Kenneth Schwartz volunteered to be the design team for the
effort to develop a Conceptual Physical Plan for the City’s Center (Downtown Concept Plan or
Plan).
The City Council adopted the Downtown Concept Plan by resolution on May 4, 1993, and it has
served as a vision for the downtown ever since. The recent update to the General Plan Land Use
Element in 2014 included an implementation objective to update the Downtown Concept Plan to
address the significant changes in or affecting the downtown since that time, and also to include
opportunities for meaningful public input (LUE Program 4.24). As part of the 2015-2017
Financial Plan, the City Council allocated funding for both the Downtown Concept Plan and
Mission Plaza Concept Plan projects. The Community Development Department took the lead
on the update of the Downtown Concept Plan, while the Public Works Department took the lead
on the Mission Plaza Concept Plan effort.
On August 18, 2015, the City Council approved the scope of work and request for proposal for
consultant services associated with updating the Downtown Concept Plan. In addition, the City
Council adopted a resolution creating the project’s advisory body, the Creative Vision Team
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(CVT) and defined its term and charge. The City Council appointed ten community members to
serve on the CVT. The current roster includes: Chairperson Pierre Rademaker, Vice Chair Chuck
Stevenson, Chuck Crotser, Keith Gurnee, Jaime Hill, Eric Meyer, Melanie Mills, Matt Quaglino,
Annie Rendler, and Vicente del Rio. Ken Schwartz and Andrew Merriam also served for
approximately 10 months.
The Role of the CVT
The CVT has met 13 times. All meetings were open to the public and meeting information was
posted on the project webpage. As a group and as individuals, the CVT has been actively
engaged in the development of the Downtown Concept Plan. While most have backgrounds in
planning, design, or development, they are also downtown neighbors and business owners and
brought with them a wide a variety of interests and specialties. As outlined in the Council-
adopted guidelines, the CVT has an advisory role, and made recommendations to staff which
were considered in the development of the plan. In addition, CVT members provided pro bono
design work to help illustrate the plan; provided images, examples, and articles to inform the
plan development; reviewed and provided individual input on all plan drafts; and assisted with
all public engagement activities. They were critical in plan development.
Implementation
The original Downtown Concept Plan served as a vision for the downtown for almost 25 years,
and although not a regulatory document, it has been referred to over the years as guidance for
development projects and for public improvements downtown. The updated Downtown Concept
Plan will continue to serve this function.
The Downtown Concept Plan is one of many tools available to staff and stakeholders to
implement the General Plan. Staff will continue to review specific development applications in
the downtown for consistency with adopted regulatory documents, while using the Downtown
Concept Plan as guidance for the holistic vision for the downtown. As a visionary document, the
City will encourage general consistency with the Downtown Concept Plan and it will provide
decision makers with information on how each project can generally implement its concepts. In
addition, a prioritized list of public programs, projects, and actions needed for plan
implementation is included in Chapter 5. It will be referred to when updating other relevant City
planning documents, or developing Capital Improvement Program lists.
Public Engagement
In order to develop a true community vision for the downtown, public input was gathered early
in the project through a robust public engagement process, including stakeholder interviews, an
outdoor public open house with the Mission Plaza Master Plan team, an indoor public workshop,
an Open City Hall survey, and two neighborhood meetings with downtown residents. This input
was used to help develop the draft plan.
A wide-variety of input was also received at the joint meeting with the Planning Commission
and City Council on October 4, 2016. There was an interest in providing more detail on housing
options downtown and questions about whether pedestrian only or shared streets were more
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Participants at the third Downtown Concept Plan
workshop on February 4, 2017.
appropriate in some areas of downtown. Based on that input, additional examples of housing
types were included in the plan, and proposed street types were further analyzed and illustated.
After the joint meeting, staff and consultants drafted an internal Administrative Draft of the
Downtown Concept Plan and made it available for staff and the CVT to review. Updates to the
administrative draft were completed by the end of January, 2017 and a Public Draft Plan was
released before the February 4, 2017 public workshop.
Approximately 150 people attended the project’s
third workshop and provided input on all aspects
of the Draft Plan, which was displayed around
the room on project summary boards by topic
area, as well as through two presentations.
Workshop participants were asked to provide
input in a variety of ways: Sixty-two
questionnaires were completed; comments were
provided on post-it notes and flip charts; and
participnts helped prioritize the Draft
Implementation Action List for public projects in
Chapter 5, by using dots to “vote” for their top 5
priorities.
A summary of all project outreach activities and
results are included in the Downtown Concept
Plan supplement as Appendix 1.
Plan Format
The original Downtown Concept Plan included a plan poster with illustrations on the front and
text on the back. The updated Downtown Concept Plan includes a plan poster and a plan
supplement. While the plan poster can be used by itself, for the complete Downtown Concept
Plan, one must also refer to the supplement, which contains significant additional background
information (including vision statement, planning principles and goals), mobility
recommendations, and implementation strategies.
Draft Plan Review and Revisions
Following the third public workshop in February, 2017, staff presented the Draft Plan and
collected input from the following City Advisory Bodies:
✓ Mass Transportation Committee (March 8)
✓ Bicycle Advisory Committee (March 16)
✓ Cultural Heritage Committee (March 27)
✓ Parks and Recreation Commission (April 5)
✓ Architectural Review Commission (April 17)
✓ Planning Commission (April 26 and July 26)
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Overall, input was very positive. The most consistent type of feedback were questions about how
the plan describes height, which were often contradictory. On May 9th, the CVT reviewed the
public and advisory body input and provided staff direction. Following, in May and June, staff
and consultants refined the Draft Plan supplement and poster, incorporating input from citizens,
Advisory Body members, and the CVT. Below describes some of the key changes or additions:
1. Plan Supplement:
Chapter 1: Planning Context
• addition of a section discussing the plan’s compatabilty with the
Community Design Guidelines (page 1.4)
• addition of “The Changing Downtown” section (page 1.9) to discuss the
broader trends that were taken into consideration during plan development
Chapter 2: Vision, Principles and Goals
• updates to the Vision Statement, incorporating public and CVT input
• revisions to the plan goals to be consistent with General Plan height
language and to be more sensitive to height in the Downtown Historic
District (planning principle #7, goals 7.1 and 7.2 on page 2.4)
Chapter 3: Illustrative Downtown Concept Plan
• revisions to Table 3.1 Block Descriptions, particularly regarding height
and to describe changes to the illustrative plan noted below (pgs 3.6-3.10)
Chapter 4: Mobility and Streetscape
• updates to Figure 4.1 Street Types Diagram (p. 4.2), such as extending
Street Type B to the Marsh/Higuera Street intersection, and adjusting
locations of Street Type C to reflect input received
• updates to Figure 4.2 Bicycle Facilities Diagram (p. 4.14) to differentiate
proposed locations for a cycle track and buffered bike lane, and reflect
other input received
• development of additional cross sections to illustrate different street type
examples and refinements to better reflect architectural scale
Chapter 5: Implementation
• updates to the implementation list to reflect input received
2. Illustrative Plan (Figure 3.1): Many minor changes were made to clean up the
illustrative plan. The most significant changes include:
a. adding the Railroad Safety Trail adjacent to Pepper Street, and a bike bridge
across Monterey Street;
b. changing a portion of Morro St (from Higuera to Monterey Street) into a shared
street (Street Type D);
c. adding additional housing opportunities along Palm Alley (block 5);
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d. removing a previously proposed park on Higuera Street (block 24);
e. updating the design of the shopping center at Marsh Street and Johnson Avenue,
with an enhanced creek walk, plaza and additional commercial mixed use (block
49);
f. extending a paseo from Nipomo to Carmel Streets, through blocks 27 and 28;
g. adding a pedestrian bridge between blocks 26 and 39, to connect a proposed
parking structure with hotel and conference center facilities across Marsh Street;
and
h. incorporating the Draft Mission Plaza Concept Plan design (block 11).
3. Sketches and Plan Poster: CVT volunteers Chuck Crotser, Pierre Rademaker and Keith
Gurnee used their extensive design skills to illustrate a few of the plan highlights, which
are included in Chapter 3 of the plan supplement. Pierrre and Chuck’s sketches also help
illustrate the Downtown Concept Plan poster showing the vision for two of the plan’s
gateway areas, a shared street concept, and infill concepts for two key downtown blocks
(33 and 42). Subconsultant 10 Over Studio developed the illustrative plan, and formatted
the plan poster so that it can be referenced by itself or in concert with the plan
supplement.
On July 12, 2017, at their 13th meeting, the CVT unanimously endorsed the Final Public Draft of
the Downtown Concept Plan supplement and poster.
Planning Commission Recommendation
On July 26, 2017, the Final Public Draft of the Downtown Concept Plan supplement and poster
was brought to the Planning Commission, which unanimously recommended adoption to the
City Council with two amendments:
1. Reword Action 19 so that it reads, "Explore ways to bring history alive in the Cultural
District area, including physical and virtual interpretive information on the area’s
natural, built, and social history. Topics could include the Northern Chumash tribes,
Anza National Historic Trail, and El Camino Real/Indian trade route, among others
(page 5.4).” [Wording in italics is the proposed addition; exact wording was adjusted
after the meeting.]
2. Emphasize safe connectivity across Hwy 101 for bicyclists. After reviewing the plan
language, staff believes that proposed Action 48, as worded, serves that function:
“Seek to improve the safety of the bicycle and pedestrian connection from the Marsh
and Higuera intersection to the Madonna Inn Bike Path and the Cerro San Luis
trailhead across Highway 101 (page 5.6).”
Plan Highlights
Following are some of the highlights of the Downtown Concept Plan. It is meant to give a feel
for some of the themes in the plan; please see Attachment B to review the full plan supplement:
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• Downtown gains more legibility beyond its core: As downtown expands, its gateways
and entrances are better defined through design. Design elements unique to downtown
announce one’s arrival. There is an emphasis on signature buildings and public realm
improvements at downtown’s key entry points: A new roundabout at block 26 (the
Marsh/Higuera intersection); improvements to Santa Rosa Street, where Monterey,
Higuera and Marsh intersect; and an enlivened street front and new bike bridge adjacent
to the railroad trestle at Monterey and Pepper Streets.
• Downtown parking is located and designed strategically: While driving patterns are
changing, we still need to accommodate vehicle parking downtown-for now. Carried over
from the original plan, vehicles will primarily park in new structures outside of the
downtown core (accessed from Palm, Nipomo, Marsh and Toro Streets). In order for
building footprints and density to increase in downtown, and more street right-of-way
dedicated to bicycle and pedestrian uses, the plan assumes new parking districts in Upper
and Lower downtown. There are drop off/pick up locations on every block, and an
enhanced shuttle or trolley system. If new parking structures are built, they will be
flexible in design, acknowledging that in the future they may be repurposed for other
uses, and they will primarily be located behind or under other uses that are compatible
with a vibrant downtown street, such as ground floor retail or multi-story mixed use.
• Downtown embraces areas with different personalities and development patterns:
Central Downtown includes the Downtown Historic District with its traditional
development patterns and expanded, vibrant, and art-filled Cultural District; the Flex
Zone around Pacific and Archer Streets in Lower Downtown has a more industrial feel
and encourages adaptive reuse to accommodate a variety of different business types,
including incubator businesses, live/work opportunities, artist collectives or shared
marketplaces; and Upper Downtown along Monterey from Santa Rosa to Pepper St, is
envisioned as continuing to redevelop with multi-story commercial mixed use built to the
widened sidewalk.
• Downtown becomes an urban neighborhood, infused with housing and a diversity of
uses for residents first: Surface parking lots are in-filled with new development
becoming either vibrant mixed use opportunities, parks or plazas. Development patterns
are illustrated in the Plan with some specific uses in mind: opportunities for small local
businesses to cluster together on Block 42; a small house development at the end of Dana
Street on Block 9; larger-footprint mixed-use opportunities in the Flex Zone around
Block 51, and most importantly, the infusion of housing throughout all of downtown, not
just in residential zones, but included on upper levels wherever commercial and office
uses are shown.
• Downtown’s connections to nature are enhanced, and to San Luis Creek
specifically: Residents love San Luis Creek, but it needs to be nurtured. The Creek Walk
and its adjacent parks and plazas will be expanded and activated with positive uses.
These important downtown public spaces will be designed to respect the creek’s natural
habitat and adjacent neighbors alike; they will be clean, well-maintained and well-used,
and as a result, negative uses will decrease. Downtown will include a new creek-front
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park in the Cultural District and plaza in the heart of downtown (Block 19), and as
businesses redevelop they will face the creek with patios and outdoor dining
opportunities. The Creek Walk will also connect people to downtown’s historic adobes,
as it is expanded from the Hwy 101 interchange to Johnson Avenue
• Downtown is full of vibrant, safe public spaces and paseos: In addition to the Creek
Walk, new paseos (mid-block walkways) are added downtown, but not at the expense of
the vitality of the public streetscape. Paseos are mostly shown connecting public spaces
with the street, such as the paseos between blocks 27 and 28 that connect to the Jack
House and gardens; and a new diagonal paseo through Block 42 that creates new outdoor
plaza areas and improves connections to Emerson Park. Some of the other new public
spaces include converting the lawn of the County building to a garden area with seating
and public art (Block 14); incorporating the Old Gasworks Building into a mid-block
pocket park (Block 51); including green roofs/public spaces on portions of parking
structures or other tall buildings; and improving Emerson Park so it better serves
downtown residents (Block 54). Public spaces are activated with furnishings, activities
and interactive public art to create engaging places that enhance the downtown
experience.
• Downtown streets are for pedestrians first, and treated like urban parks. Streets are
an extension of the public realm; they are for gathering, socializing, and enjoying
downtown in addition to transporting people. Vehicles will be allowed on downtown
streets, but they are a lower priority than pedestrians, bicyclists and transit. Sidewalks are
widened (up to 24’ in some areas), passenger loading zones are plentiful, and Monterey
Street in Central Downtown becomes a shared street (Street Type D), where unique
paving patterns and green infrastructure improvements can differentiate it from other
streets, slow traffic, and encourage increased pedestrian activity (see p. 4.8).
• Downtown is more safe and welcoming for bicyclists: A combination of enhanced bike
boulevards on north/south streets and buffered bike lanes and cycle tracks on east/west
streets will allow families, seniors, and novice riders feel comfortable bicycling
downtown. Proposals include 1-way dedicated buffered bike lanes on Marsh and Higuera
Streets in the Upper and Lower Downtown planning areas, transitioning to a protected
cycle track between Nipomo and Santa Rosa Streets. Adding safe bicycle connections to
and from Marsh and Higuera Streets as well as ample and safe opportunities for bicycle
parking will also encourage more bicycle ridership downtown.
Next Steps
On September 5, 2017, the Final Public Draft of the Downtown Concept Plan will be presented
to the City Council with a summary of the Planning Commission’s input and recommendation,
for final review and adoption as is or with changes.
Following adoption, staff will incorporate requested changes into the plan and make final
formatting and consitency edits, then make the final plan available on the City’s project
webpage: www.slocity.org/downtown. The Plan supplement and poster will also be availble to
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purchase in print format. The illustrative plan was developed as a 3-D model in SketchUp, so it
may be updated as new development downtown occurrs.
CONCURRENCES
A staff team of representatives from throughout the City has been kept updated on the planning
process, and have met as needed, as a group or individually. Staff team members have had the
opportunity to review and provide input on all versions of the draft plan.
ENVIRONMENTAL REVIEW
The Downtown Concept Plan is categorically exempt from CEQA under Section 15262,
Feasibility and Planning Studies, as an advisory planning document which has no binding effect
on future activities. As a visionary planning document that is conceptual in nature, without
regulatory authority or entitlement of projects which can be implemented directly which would
have a physical effect on the environment, the project is also exempt under the General Rule,
Section 15061 (b)(3) since it can be seen with certainty that the Downtown Concept Plan will not
have a significant effect on the environment.
FISCAL IMPACT
As part of the 2015-2017 Financial Plan, the City Council allocated $100,000 for the update of
the Downtown Concept Plan. Due to expanded public outreach activities, CVT meetings, project
coordination and associated work effort, the cost of updating the Downtown Concept Plan
increased to $135,000. However, additional project costs were offset by cost savings in the
Community Development Department’s LUCE Implementation and Fee Update SOPC. The
additional cost and amended contract were approved via City Manager report following the City
purchasing policy upon receipt of amended scope of work from the consultant in March 2017.
The Downtown Concept Plan is not a regulatory document and therefore has no direct fiscal
impact, but supports ongoing economic diversity and vitality in the Downtown, which
contributes to the City’s fiscal sustainability. Funding for capital improvements will be
considered as part of future financial plans.
ALTERNATIVES
The City Council could request additional information from staff and consultants and request
time on the agenda at an upcoming meeting for further discussion prior to adoption. The City
Council could also request changes or clarification to the Final Public Draft of the Downtown
Concept Plan; this could include the plan supplement or plan poster.
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Attachments:
a - Draft Adoption Resolution
b - Council Reading File - July 2017 Downtown Concept Plan Supplement
c - Council Reading File - July 2017 Downtown Concept Plan Illustrative Poster
d - 03-08-2017 MTC Minutes
e - 03-16-2017 BAC Minutes
f - 03-27-2017 CHC Minutes
g - 04-05-17 PRC minutes
h - 04-17-2017 ARC Minutes
i - 04-26-2017 PC Minutes
j - 07-26-2017 PC Minutes Draft
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R ______
RESOLUTION NO. _____ (2017 SERIES)
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS
OBISPO, CALIFORNIA, ADOPTING THE DOWNTOWN CONCEPT
PLAN SUPPLEMENT AND POSTER AS A LONG RANGE VISION AND A
GUIDE FOR PUBLIC AND PRIVATE INVESTMENT IN THE
DOWNTOWN
WHEREAS, the City Council of the City of San Luis Obispo conducted a public hearing
in the Council Chamber of City Hall, 990 Palm Street, San Luis Obispo, California, on September
5, 2017, for the purpose of considering Planning File No. GENP-1622-2015, the Final Public Draft
of the Downtown Concept Plan; and
WHEREAS, the Planning Commission of the City of San Luis Obispo conducted a public
hearing in the Council Chamber of City Hall, 990 Palm Street, San Luis Obispo, California, on
July 26, 2017, for the purpose of formulating and forwarding recommendations to the City Council
of the City of San Luis Obispo regarding the Downtown Concept Plan; and
WHEREAS, the Downtown Concept Plan is an update of the Conceptual Physical Plan
for the City’s Center, adopted by Resolution No8165 on May 4, 1993; and
WHEREAS, the updated Downtown Concept Plan includes a supplement and poster; and
WHEREAS, the Downtown Concept Plan has been prepared and presented by City staff,
consultants, and the Council-appointed Creative Vision Team (CVT); and
WHEREAS, the decisions incorporated within the Downtown Concept Plan reflect
substantial public engagement and input. Since project initiation in December 2015, there were
focus groups with 48 stakeholders, one open house (75 participants signed in), two project
workshops (110 and 100 participants signed in), two neighborhood meetings (35 participants), an
on-line survey (393 responses), and 13 CVT meetings; and
WHEREAS, the Plan has also incorporated the input of City elected and appointed
officials, including the City Council; Planning Commission; Mass Transportation Committee,
Bicycle Advisory Committee, Cultural Heritage Committee, Parks and Recreation Commission,
and Architectural Review Commission in the development of the Downtown Concept plan; and
WHEREAS, the City’s General Plan Land Use Element contains a program directing the
City to update the Downtown Concept Plan to address significant changes in or affecting the
Downtown area and include meaningful public input (LUE Program 4.24); and
WHEREAS, the City’s General Plan Land Use Element also contains a program directing
the City to consider features of the Downtown Concept Plan in the approval of projects in the
downtown, recognizing that the plan is a concept and is intended to be flexible (LUE Program
4.25); and
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Resolution No. _____ (2017 Series) Page 2
R ______
WHEREAS, the City’s General Plan Land Use Element contains policies on encouraging
downtown residential, public gatherings, walking environment, street-level diversity, green space,
parking, sense of place, design principles, building height, sidewalk appeal and other related
concepts included in the proposed Downtown Concept Plan (LUE Section 4, Downtown); and
WHEREAS, the City’s General Plan Circulation Element also contains goals and policies
on encouraging better transportation habits, walking and pedestrian facilities, complete streets, and
modal priorities in the downtown, as included in the proposed Downtown Concept Plan (CE Goal
1.7.1, Section 5, Policy 6.1.1 and 6.1.3); and
WHEREAS, on July 12, 2017 the CVT unanimously endorsed the Final Public Draft of
the Downtown Concept Plan supplement and poster; and
WHEREAS, the City Council has duly considered all evidence, including information
presented by the CVT, public testimony, and the evaluation and recommendations by staff,
presented at said hearing,
NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis Obispo
as follows:
SECTION 1. Findings. Based upon all the evidence, the City Council makes the
following findings:
a.) The proposed Downtown Concept Plan implements General Plan Land Use Element
Program 4.24 because it updates the Conceptual Physical Plan for the City’s Center,
addresses changes in the downtown, and included the opportunity for meaningful
public input.
b.) The proposed Downtown Concept Plan sets the stage for implementation of General
Plan Land Use Element Program 4.25 because it directs staff to consider features of the
Downtown Concept Plan in the approval of projects in the Downtown, recognizing that
the plan is a concept and is intended to be flexible.
c.) The proposed Downtown Concept Plan supports the policies in the General Plan Land
Use Element Section 4, Downtown, because it defines the community’s long-range
vision for the downtown and includes planning principles, goals, concepts and
implementation actions that together provide guidance for future development projects
and public improvements to improve the downtown.
d.) The proposed Downtown Concept Plan supports policies in the General Plan
Circulation Element Sections 1, 5 and 6, because it encourages better transportation
habits, promotes walking, supports the development of complete streets, and prioritizes
pedestrians and bicycle improvements in the downtown.
e.) The proposed Downtown Concept Plan is one of many tools available to staff and
stakeholders to implement the General Plan. Staff will continue to review specific
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Resolution No. _____ (2017 Series) Page 3
R ______
development applications in the downtown for consistency with adopted regulatory
documents, while using the Downtown Concept Plan as guidance for the holistic vision
for downtown.
f.) The implementation plan in Chapter 5 includes a prioritized list of the public programs,
projects, and actions needed for implementation of the Downtown Concept Plan. It will
be referred to when updating other relevant planning documents, or developing Capital
Improvement Program lists.
SECTION 2. Environmental Determination. Based upon all the evidence, the City
Council makes the following findings, in concurrence with the CEQA Analysis for the Downtown
Concept Plan (Appendix 2):
a) The Downtown Concept Plan is categorically exempt from CEQA under Section
15262, Feasibility and Planning Studies, as an advisory planning document which has
no binding effect on future activities.
b) As a visionary planning document that is conceptual in nature, which does not provide
regulatory authority or grant any entitlement for projects which could have a physical
effect on the environment to be implemented directly, the proposed Downtown
Concept Plan is also exempt under the General Rule, Section 15061 (b)(3) since it can
be seen with certainty that the Downtown Concept Plan will not have a signific ant
effect on the environment.
c) As an implementation action of the City of San Luis Obispo’s General Plan, the
proposed Downtown Concept Plan is covered by the Council-certified EIR for the Land
Use and Circulation Elements (State Clearinghouse No. 2013121019) and none of the
conditions that require further environmental review have occurred.
SECTION 3. Action. The City Council hereby adopts the San Luis Obispo Downtown
Concept Plan supplement and illustrative poster, included as Exhibit A and B.
Upon motion of _______________________, seconded by _______________________,
and on the following roll call vote:
AYES:
NOES:
ABSENT:
The foregoing resolution was adopted this _____ day of _____________________ 2017.
____________________________________
Mayor Heidi Harmon
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Resolution No. _____ (2017 Series) Page 4
R ______
ATTEST:
____________________________________
Carrie Gallagher
City Clerk
APPROVED AS TO FORM:
_____________________________________
J. Christine Dietrick
City Attorney
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City
of San Luis Obispo, California, this ______ day of ______________, _________.
____________________________________
Carrie Gallagher
City Clerk
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Minutes - FINAL
MASS TRANSPORTATION COMMITTEE
Wednesday, March 8, 2017
Meeting of the Mass Transportation Committee
CALL TO ORDER
A Regular Meeting of the Mass Transportation Committee was called to order on Wednesday,
March 8, 2017 at 2:30 p.m. in the Council Hearing Room, located at 990 Palm Street, San Luis
Obispo, California, by Chair Thyne.
ROLL CALL
Present: Committee Members Elizabeth Thyne (Chair - Senior), John Osumi (Vice Chair –
Business), Cheryl Andrus (Cal Poly), Denise Martinez (Disabled), Louise Justice
Member at Large), James Thompson (Technical), Justin Frentzel (Student), David
Figueroa (Alternate), Diego-Christopher Lopez (Alternate)
Absent: None
Staff: Transit Manager Gamaliel Anguiano, Transit Assistant Megan Cutler, Recording
Secretary Lareina Gamboa
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
Andy Pease, Council Member, gives a personal introduction to staff and committee. She
expresses appreciation for the work of everyone on the committee, and is happy to be available
to help and support the committee.
ANNOUNCEMENTS
None.
MINUTES
Amendment to Minutes of the Mass Transportation Committee meeting on January 11, 2017 for
the following:
Agenda Item #2, page 3, last paragraph, correction of “amongst” to among
Discussion Item #4, page 4, second paragraph correction to Transit Assistant Cutler’s
name.
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FINAL Minutes – Mass Transportation Committee Meeting of March 8, 2017 Page 2
Discussion Item #4, page 4, last paragraph, correction of “following thorough inspection,
likely within the next couple weeks,” to following a thorough inspection, likely within the
next couple of weeks.
Discussion Item #4, page 4, correction to a few word tenses from present to past throughout
the five paragraphs.
ACTION: MOTION BY COMMITTEE MEMBER OSUMI, SECONDED BY COMMITTEE
MEMBER ANDRUS, CARRIED 7-0, to approve the Minutes of the Mass Transportation
Committee Meeting on January 11, 2017.
ACTION ITEMS
1.MTC Bylaw Changes
The Clerk’s office requests all committees to present any possible changes,
recommendations, substitutions, or improvements to Committee Bylaws 30 days prior to
their May 1 finalization date.
Committee Member Thyne suggests the following changes:
Article IV, Readings-A: “The committee will hold a regular meeting at least
quarterly”, change to “the committee will hold a meeting every other month, six
times a year.”
Article IV, Readings-C: “meetings will be open to the public and will be held at the
Community Development conference room, downstairs of City Hall or other
previously announced locations”, change to specify “the Council Hearing room”,
where the meetings are regularly held.
Article VI, Officers: “The officers will consist of a procured Chairperson and Vice
Chairperson who will be elected at the committee meeting in June”, clarification
on June to May as that is when the meeting is held.
Committee Member Lopez inquires about the Alternates’ title and place among the
committee. Can they be considered At Large members, and why are other committees
without Alternates? He is concerned for future Alternates and future committees informally
acknowledging the Alternates’ role and input. This leads to discussion and questions in
regards to representation across the community (finding representation for the pre-college
aged students, as well as the homeless). Further questioning includes: who will represent
them? Will students need to miss school for meetings? Will they need parent consent if
under 18 years old? If Alternates are transitioned will it throw off the quorum balance?
Should there be an alternate per represented group as to have someone knowledgeable
enough to step in when necessary? Will this result in an unmanageable committee?
Committee Member Thyne (as well as other committee members) voices the importance
of the Alternates’ input, and considers a terminology change.
Council Member Pease will research the history of the Alternate member, as well as the At
Large member specifics and will report back to the committee.
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Transit Manager Anguiano suggests that upon initiating new committee members, that the
new member receive a 31-day pass. This will allow any future committee members, who
may not be familiar with the San Luis Obispo Transit system, a first-hand experience.
ACTION: MOTION BY COMMITTEE MEMBER OSUMI, SECONDED BY
COMMITTEE MEMBER THOMPSON, CARRIED 6-1 WITH OPPOSITION FROM
COMMITTEE MEMBER FRENTZEL, to table the discussion about the committee make-
up until further information is presented, but to go forward with the other decisions that
can be made within their ability to do so presently and make formal recommendations (in
regards to Committee Member Thyne and Transit Manager Anguiano’s suggestions), as
well as schedule a special meeting, if necessary, for the committee make-up.
DISCUSSION ITEMS
1.Downtown Concept Plan (Presentation)
Rebecca Gershow, Associate Planner for the Community Development Department,
presents the Draft for the Downtown Concept Plan development. The overall Concept Plan
is to improve access for pedestrians, bicyclists, and transit riders, with emphasis on
pedestrians and bicyclists, while providing adequate parking structures. The core of the
changes are embodied by Mill (North side), Pismo (South side), Pepper, and Johnson (East
side), and Marsh, Higuera, and the 101 on ramp (West side).
The plans in correlation with transit involve the following:
The planning principles of enhanced mobility, which involves enhancing Downtown
walkability, and universal accessibility (this includes pedestrians who are rather immobile,
as well as bicyclists, and transit riders). Also, to promote a Downtown that is safe and
inclusive, and easy to navigate through for those using all modes of transportation.
The enhanced mobility principle, which involves collaboration on a new transit center
proposed location is the block surrounded by Higuera, Monterey, Santa Rosa, and Toro),
to meet the needs of Downtown employees, residents, and visitors.
There is discussion of keeping parking structures on the outskirts of Downtown to keep the
focus on pedestrians. This will help prevent Downtown through traffic, and allow closures
for events without too much displacement. With this, Committee Member Thyne brought
to attention that the delivery times for Downtown businesses occur all throughout the day
causing traffic to back up. Committee Member Thyne inquires about possible cut off times,
or specific days for deliveries.
Future parking structures are being planned with all modes of transportation in mind, such
as secure bike parking, as well as additional trolley stops. There will also be adequate
signage of information for new travelers to direct themon their downtown adventure. There
is also discussion about the feasibility of extending and expanding the trolley service along
Higuera and Monterey in addition to its existing Monterey circulation.
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Transit Manager Anguiano informs everyone that trolley stops will have an enhanced
waiting environment.
Committee Member Thompson voiced his concern in regards to finding a balance of
preserving older structures and the historical aspect of downtown, while also enhancing it
to appeal to new visitors and local businesses. He is also concerned about preservation
ordinances (preservation ordinances are in order, as well as advisory body input from the
Cultural Heritage Commission).
2.Transit Manager Updates
The stats report for ridership per route, and ridership by pass type will be available next
meeting, but ridership is consistently holding steady. The unveiling event for the new
busses will take place Thursday, March 9, 4:30 p.m. at Mission Plaza. Bus pass sales at
Laguna Middle School have increased. The Public Hearing for Transit Fares and
Advertising Rates is scheduled for April 4, at 4 p.m.
ADJOURNMENT
ACTION: MOTION BY COMMITTEE MEMBER LOPEZ, SECOND BY COMMITTEE
MEMBER ANDRUS, CARRIED 7-0, to adjourn the meeting at 4:20 p.m. until the Regular
Meeting of the Mass Transportation Committee, May 10, 2017 at 2:30 p.m.
Respectfully submitted,
Lareina Gamboa
Recording Secretary
Megan Cutler
Transit Assistant
APPROVED BY THE MASS TRANSPORTATION COMMITTEE: 05/10/2017
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Minutes
Bicycle Advisory Committee
Council Hearing Room, City Hall, 990 Palm St, San Luis Obispo
Thursday, March 16, 2017 at 6:00 p.m.
MISSION:
The purpose of the Bicycle Advisory Committee (BAC) is to provide oversight and policy
direction on matters related to bicycle transportation in San Luis Obispo and its relationship to
bicycling outside the City.
Catherine Riedstra (Vice Chair) called the meeting to order at 6:02 p.m.
ROLL CALL:
Present: Paula Huddleston (Chair)(arrived at 6:07), Catherine Riedstra (Vice Chair), Lea
Brooks, Ken Kienow, Jonathan Roberts, Howard Wiesenthal, and Jim Woolf
Absent: None
Staff: Active Transportation Manager Adam Fukushima, Recording Secretary Lareina Gamboa
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA:
No comments were made.
MINUTES: January 19, 2017
Action:
A correction to Shannon Otto’s name was made, the correct spelling is Chenin Otto.
CM Wiesenthal wanted to make sure that the balance of the minor bikeway improvements
budget of $100,000 was used for Madonna Road and Los Osos Valley Road (LOVR) was
reflected and noted in the Minutes. In addition, he wanted to note CM Brooks request for more
green bike lanes once the new budget cycle begins. CM Wolf motioned to approve the Minutes
with amendments. CM Roberts seconded the motion. The motion passed unanimously.
ACTION ITEMS
Agenda Item #1: Downtown Concept Plan Update
Rebecca Gershow, Associate Planner for the Community Development Department, presented
the Draft Downtown Concept Plan. The Concept Plan is to improve overall accessibility for
pedestrians, bicyclists, and transit riders, with emphasis on pedestrians, and bicyclists, while
providing adequate parking structures to accommodate motorists.
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CM Kienow wanted clarification on the buffered bike lanes that were discussed for the
downtown portion of the plan. (ienow stressed the importance of a physical barrier for new and
young riders. He preferred a barrier is to deter an automobile from hitting a cyclist.
CM Wiesenthal preferred no physical bike barrier along Higuera. He sees potential hazards
with this, such as a new rider hitting the barrier and overreacting to the correction in turn
causing an accident. Also, the possibility of getting stuck when wanting to make a left hand turn.
He is very happy about all the improvements planned and volunteered the BAC to help with
placing any new bike racks and locked parking for bikes downtown.
Wiesenthal is concerned about the Higuera and Chorro intersection, as there are a lot of busses
and traffic, and suggests that once the Transit Center is moved, perhaps the bus routes can be
moved off Chorro as well. He also, suggested this intersection become an “enhanced”
intersection to be a little friendlier for cyclists and pedestrians.
Time frames or limits for deliveries downtown was also suggested. Maybe designate deliveries
to the morning, or to one side of the road, or corrals for them to stop at and unload.
He has concern for Monterey Street turning into a Type B street, from Pepper to Santa Rosa,
because there is too much traffic.
A request that when additional benches are placed downtown, that they be placed
perpendicular to the street.
Wiesenthal would also like to see Toro Street and Broad as bike boulevards, and have them
connect to downtown rather than seeing them dead end in the plan.
He questioned if the new parking structures would have a time frame
And, Weisenthal preferred if Higuera and Marsh streets were turned into Type D streets to
increase pedestrian traffic (this would push all auto traffic through residential neighborhoods
though).
CM Woolf was favorable of the shared streets. He is concerned about the possibility of Morro
becoming a bike boulevard because it is too steep past Palm. He suggested to perhaps veer the
boulevard left on Monterey, then up Chorro.
Woolf also suggested that if for any reason Pepper Street doesn't work out for a bike boulevard,
Toro street can be a secondary option.
CM Brooks suggested openings to possible buffered bike lanes on Higuera, as well as
requesting creation of a design to be brought back to the BAC for review.
She wants to push for a connection of Marsh and Higuera to Madonna with the HWY 101
overcrossing that will connect to that intersection. Brooks stressed the importance of the
crossing being as close to Marsh Street as possible considering there is a creek walk planned,
as well as the importance of connecting Laguna Lake and Madonna to downtown.
Brooks is also for anything that will help calm traffic on Chorro street. She is concerned for door-
ing that occurs from drivers exiting their cars without looking for cyclists.
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She also likes that Torro and Pepper streets are being identified as bike boulevards in the plan,
especially since the Railroad Safety Trail will extend to Pepper Street. And, Brooks is also very
happy about bike shares as she had the privilege to enjoy them recently in another city.
She would like to see some clearly identified drop off spots for folks with mobility issues.
She requested the feasibility study through BAC for the development of an eventual bridge to
help connect an over crossing of Monterey street at Pepper street.
CM Roberts is on board with having a separated or buffered bike lane on Higuera Street to help
get new cyclists riding. He also inquired about eliminating vehicular parking spaces downtown.
Public Comment
Myron Amerine says the East/West Higuera and Marsh corridor meet standards, but bike lanes
are in door-ing zones. A North/South corridor is needed for Morro and Chorro. He also said that
directional signage for East/West traveling needs to be established for both locals and tourists
to find their way. He’s glad Broad street is being acknowledged as a bike boulevard. And,
Amerine also stressed the importance of having a continuous, no gap, set of bike facilities in the
plan.
Tim Jouet, resident, says a bike boulevard from Beach to Nipomo is a great idea as he bikes it
every day.
CM Riedstra motioned to take 10 minutes from the next agenda items to keep discussion
going. CM Huddleston seconded. The motion passed.
CM Kienow motioned to have some form of physical barrier to protect cyclists from cars. CM
Roberts seconded the motion. Motioned passed with one abstention from CM Huddleston.
Agenda Item #2: Consideration of Committee Expansion to Include Pedestrians
Active Transportation Manager Adam Fukushima gave a presentation on the development of
pedestrian planning in recent City policy and that the city will soon embark on the planning
process for establishing the City’s first Pedestrian Plan as part of a larger Active Transportation
Plan. Fukushima presented the benefits of expanding the mission of the BAC to include
pedestrians as an active transportation committee.
CM Brooks would like to see some models of the plans. She is concerned about adding more
work for the committee. She suggested adding an ADA member of such a group and a joint
subcommittee of the BAC and the MTC.
CM Kienow had concerns for the mechanics of expanding the mission. There are only a couple
of places where pedestrians and bicyclists coexists. He said since most of the infrastructure is
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not shared, pedestrians should have their own committee, and perhaps a subcommittee for both
to come together.
He stated there are no Class IV (shared lanes) established in the bicycle plans, even though
they cost less. He is also concerned about doubling or even tripling their load.
CM Riedstra was favorable of the idea. She said there are so many shared ideas and
opportunities. There are walkers, and joggers like herself, and this would enable the discussion
and opportunities for her to jog along her daughter bicycling.
She thinks it should be a wider perspective of active people and not limit a person as a cyclists
or a runner.
Riedstra also thinks that though in the past the committee has secluded itself while
simultaneously requesting to have shared facilities, this doesn't mean they shouldn’t move
forward with this new mindset. Also, sharing dialogue would be beneficial and productive since
the group is lacking the input and is left making assumptions and guesses on the other’s behalf.
CM Woolf, though in the past has felt differently, he likes this idea if challenges can be
overcome. He acknowledged the Railroad Safety Trail often has more walkers and runners than
cyclists. He sees that elders and fitness individuals are not being included in these trails. He
says that if everyone is included, trails can be improved, and well-rounded with better
environments, and the committee can be more successful.
CM Wiesenthal feels a plan is needed to help get people out of their cars more. He finds this
can be just as complicated and intricate, with just as many issues as biking. Wiesenthal likes the
system in Morro Bay by the Rock, where pedestrians are on one side and bikes on the other. In
comparison to the Railroad Safety Trail, where it is cluttered and compact, everyone on the
Morro Bay path coexists.
CM Roberts is concerned about the mechanics of how we design and implement bicycle and
pedestrian infrastructures of this city. He pointed out that the Railroad Safety Trail and the Class
I lane by Laguna Middle School are the only two paths that overlap pedestrians and bicyclist.
Because of this, he suggests separate committees and a joint subcommittee for certain projects
if need be.
CM Riedstra motioned to expand the current BAC to include pedestrians. CM Woolf seconded
the motion as well as CM Huddleston. The motion did not pass due to a 3 to 4 outcome.
Weisenthal, Brooks, Kienow, and Roberts voted against the motion.)
CM Wiesenthal motioned to investigate this in the future to see how it can be accomplished.
CM Roberts seconded the motion. The motion passed.
Public Comment
Eric Meyer, resident, likes the idea of an Active Transportation committee. He feels if the
committee limits itself to people who only share their same opinion then they will only get the
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one point of view. He also feels the arguing and disagreements among others will help create a
stronger and powerful policy while helping create a balanced path.
Myron Amerine, resident and bike advocate, suggested creating a separate pedestrian
committee.
David Figueroa, resident and BAC member, heavily supports that something is done to create a
pedestrian plan to integrate with biking and transit. Whether it is expanding the BAC or creating
a new group, or maybe even have every group meet quarterly.
INFORMATION ITEMS
Agenda Item #3: Update on Fiscal Year 2017-19 Budget Plan Process
Adam Fukushima gave an update on the Fiscal Year 2017-19 budget planning process
especially the results of the Budget Forum in January. He explained that the draft budget would
be available to view after April 18.
CM Brooks asked if the draft budget would be available before the city council budget meeting.
Public Comment
None.
DISCUSSION ITEMS
Agenda Item #4: Bicycle Riding on Sidewalk
Adam Fukushima gave information on current city policy on bicycle riding on sidewalks and
cited Municipal Code (Section) 10.72.100.
CM Kienow has tried to bring this discussion up in the past in regards to the code being refined,
removed, or limited to certain sections of town. He is concerned for minors getting to school, or
anywhere, safely and allowing them to ride on the sidewalk if needed. There are many
instances where he is riding with his kids and no pedestrians are found along certain stretches
of the sidewalk, but he still risks a violation. He is also fine with a responsible adult riding on the
sidewalk outside of downtown, but is also concerned for cyclists not slowing down at
intersections, driveways, or for pedestrians.
CM Brooks would like an officer to attend a meeting to inform the committee on when they
actually cite tickets. At what point will there be a citation? And, does the traffic safety study
include bicyclists hitting pedestrians on sidewalks?
CM Roberts thinks the code should be removed.
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CM Riedstra likes the idea of allowing minors, outside the business district, to ride on sidewalks
and thinks this is a great opportunity for a pedestrian joint committee.
CM Huddleston is torn on the matter as she partly rides to work on the sidewalk because she
does not like to cross in the middle of South Higuera street when automobile traffic is heaviest,
but also does not like when pedestrians step off the sidewalk into the street to allow a cyclist to
pass when the pedestrian has the right-of-way.
CM Woolf is not in favor of revising the code.
Public Comment
Myron Amerine, resident and bike advocate, is in favor of the current ordinance, as it is uniform
throughout the country. He begs the issue that we do not have sufficient and quality bike
facilities so we do not have to ride on the sidewalk. Also, as a pedestrian he's dodging bikes all
the time so he really wants to keep the ordinance.
There was not a majority consensus to pursue a revision of the current ordinance.
Agenda Item #5: Committee Items
Adopt-a-Trails Subcommittee
California Conservation Core Watershed Sewage program sponsored a Bob Jones bike trail
workday, between Prado and LOVR, on March 25. It was a wonderful partnership for the city
trails staff, Bike SLO county, and the friends of the Bob Jone’s Trail.
A section of Bob Jone’s Trail was requested for adoption by a member of the SLO Bicycle Club
but the group has not formally endorsed the idea
Agenda Item #6: Project Updates
Fukushima gave an update on several projects including:
Bishop’s Peak and Pacheco schools Safe Routes to school project including the latest
public meeting where staff recommendations were presented.
Green bike lanes on Monterey and California are half done. The city is waiting on traffic
control to do the inside of the intersection, which will happen at night and will be
combined with the Santa Rosa and Olive Street bike lanes.
The Broad Street bike boulevard meeting was March 23.
Next ATP cycle is next year and Fukushima is participating with the State ATP
Technical Advisory Committee
The Railroad Safety Trail extension is completed along Laurel Lane.
The bike bridge over Pepper Street is still in design.
CM Brooks pointed out the confusion that occurs at the Railroad Safety Trail.
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She also informed everyone about a traffic safety awareness campaign she learned about at the
League Bike Summit
CM Wiesenthal requested to add a presentation of the condition of bike lanes curbs and
gutters, to the next meeting’s agenda.
ADJOURN
CM Weisenthal motioned to adjourn the meeting at 8:45 p.m. to the next regular meeting of
May 18, 2017. CM Riedstra seconded the motion. The motion passed unanimously.
Respectfully submitted,
Lareina Gamboa
Recording Secretary
APPROVED BY THE BICYCLE ADVISORY COMMITTEE: 5/18/2017
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Minutes
CULTURAL HERITAGE COMMITTEE
Monday, March 27, 2017
Regular Meeting of the Cultural Heritage Committee
CALL TO ORDER
A Regular Meeting of the Cultural Heritage Committee was called to order on Monday,
March 27, 2017 at 5:30 p.m. in the Council Hearing Room, located at 990 Palm Street, San Luis
Obispo, California, by Chair Hill.
ROLL CALL
Present: Committee Members Sandy Baer, Craig Kincaid, James Papp, Vice Chair Thom
Brajkovich, and Chair Jaime Hill.
Absent: Committee Members Shannon Larrabee and Leah Walthert
Staff: Senior Planner Brian Leveille, Associate Planner Rebecca Gershow, and Recording
Secretary Monique Lomeli.
APPROVAL OF MINUTES
ACTION: MOTION BY COMMITTEE MEMBER KINCAID, SECOND BY COMMITTEE
MEMBER BAER, CARRIED BY CONSENSUS 5-0 to approve the minutes of the Cultural
Heritage Committee meeting of February 27, 2017 as amended:
Page 2, “Committee Member Papp on the reconfiguration of the stage area and provided
historical information on the area, stated he admires the outreach efforts extended to the
community; commented on the historical importance of the area and asked that its rich history be
incorporated into the plans for signage, sculpture, and other placemaking efforts.”
Page 3, Last paragraph of Item 2: “Committee Member Papp requested staff consider reducing
the Mills Act application fees. Senior Planner Leveille stated that such consideration is
underway.”
Page 4: “Chair Hill requested staff provide information on the height of building height
particularly from Church Street.”
Committee Member Papp commented on the design and stated…and the design guidelines for
the district cannot be elegantly applied to this building.”
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Page 5: “Chair Hill provided information regarding the potential uses of the space and invited
Buzz Kalkowski to provide input on behalf of Friends of La Loma.”
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
None.
End of Public Comment--
PUBLIC HEARINGS
1. Downtown Concept Plan. GENP-1622-2015: Conceptual review and discussion of
the Downtown Concept Plan; discussion of this item is not subject to CEQA; multiple
zones; City of San Luis Obispo, applicant.
Senior Planner Brian Leveille acknowledged the receipt and distribution of
correspondence from Kenneth Schwartz.
Associate Planner Rebecca Gershow presented an in-depth staff report with use of a
PowerPoint presentation and responded to Committee inquiries.
Public Comments:
None.
End of Public Comment--
COMMENTS AND DISCUSSION
Senior Planner Leveille provided an agenda forecast and information regarding eligibility for
Historic Preservation grants. Committee Member Papp provided an update on the status of the
Certified Local Government grant application which will be submitted to the State Historic
Preservation Office.
ADJOURNMENT
The meeting was adjourned at 6:40 p.m. The next Regular meeting of the Cultural Heritage
Committee is scheduled for Monday, April 24, 2017 at 5:30 p.m., in the Council Hearing Room,
990 Palm Street, San Luis Obispo, California.
APPROVED BY THE CULTURAL HERITAGE COMMITTEE: 05/22/2017
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Minutes - DRAFT
PARKS AND RECREATION COMMISSION
5 April 2017
Regular Meeting of the Advisory Body Committee Commission
CALL TO ORDER
A Regular Meeting of the Parks and Recreation Commission was called to order on the 5th day of April
2017 at 5:31 p.m. in the City Council Chambers located at 990 Palm Street, San Luis Obispo, California,
by Chair Whitener.
ROLL CALL
Present: Commissioners Greg Avakian, Suzan Ehdaie, Susan Olson, Keri Schwab, Douglas Single,
Rodney Thurman and Chair Jeff Whitener
Absent: None
Staff: Parks and Recreation Director Shelly Stanwyck, Recreation Supervisor Facilities Devin Hyfield,
Associate Planner Rebecca Gershow, Contract Planner David Watson
PRESENTATIONS INTRODUCTIONS APPOINTMENTS
1. Swear in of new Commissioner Suzan Ehdaie
City Clerk conducted the Oath of Office for Suzan Ehdaie, Parks and Recreation
Commissioner.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
None
CONSENT AGENDA AND CONSIDERATION OF MINUTES
ACTION: APPROVE THE REGULAR MEETING MINUTES OF MARCH 1, 2017 AS
AMENDED, MOTION BY COMMISSIONER SINGLE, SECOND BY
COMMISSIONER SCHWAB.
2. Consideration of Minutes
CARRIED 7:0:0:0 to approve the amended minutes of the Parks and Recreation Advisory Body
for the meeting of 3/1/2017.
AYES: AVAKIAN, EHDAIE, OLSON, SCHWAB, SINGLE, THURMAN, WHITENER
NOES: NONE
ABSTAIN: NONE
ABSENT: NONE
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Minutes – Parks and Recreation Commission Meeting of April 5, 2017 Page 2
PUBLIC HEARINGS AND BUSINESS ITEMS
3. Final Tract Map Review of the Linear and Creek Trail Park Proposals for the West
Creek Project (VTM#3038) in the Orcutt Area Special Plan.
David Watson, Contract Planner, presented to the Commission the Final Tract Map Review for
the West Creek Project, a subdivision of the Orcutt Area Specific Plan (OASP). This project,
approved in May 2016, includes 172 units and several park amenities. Staff Watson said that
pursuant to Condition #109 of the West Creek approval, the applicant is permitted, but not
obligated, to offer parklands that would be improved and maint ained by the project developer,
but that also would be open to public use. Under the conditions of approval, the application
could secure an OASP Parklands Improvement Fee credit of up to one half of the final cost of
construction of the publicly accessible park improvements. He added that West Creek has
proposed to construct a Creek Trail along the east fork of Orcutt Creek (.45 acres), a Park at the
Terminus of the Creek Trail at “A” Street (.14 acres) and two linear parks (1.01 acres) with this
project.
Public Comment
Eric Myer, SLO Resident, spoke about importance of the Orcutt Area creating connectivity
between neighborhoods and parks.
Commission Comments.
Commissioner Thurman said he liked the integration of the linear parks within the homes and
asked about parking.
Commissioner Single commented on the pricing of the homes and the access to public services
like schools and bike safety routes for children to school.
Commissioner Schwab commented on public parking for community members. Street parking
is available but no public lots are proposed. She added that there was a lack of lighting in the
parks and that pathway lighting is required.
Commissioner Ehdaie commented that she would like to see the linear parks connecting to the
creek park and access to the parks from adjacent housing developments. Currently there are no
plans for connecting second linear parks.
Commissioner Olson commented on the availability of sidewalks through the neighborhoods
and the proposed having an ADA accessible trail. She asked about bike friendly trails. The
applicant responded that the linear parks and creek trail will have some ADA accessibility and
will consist of decomposed granite.
Commissioner Avakian commented on lower area parking and the accessibility of the parks to
other members of the community, aside from the residents living next to the parks. He also
spoke about the use of artificial turf and the longevity of the use.
Chair Whitener commented on the cost estimates of the proposed parks, the connectivity of the
parks, and the parks being used as a public park amenity as opposed to a pocket residential
park. He added that the proposed grade change of the linear park is a concern for recreational
use. He was in support of fee credits for two out of the three parks proposed.
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ACTION: BY CONSENSUS PROVIDED INPUT ON THE PROPOSED PARK IMPROVEMENT
FEATURES AND DIRECTION TO THE APPLICANT FOR THE PREPARATION OF
FINAL DESIGN REVIEW MATERIALS TO BE PRESENTED TO THE COMMISSION
AT A FUTURE DATE.
THE COMMISSION RECOMMENDS COUNCIL APPROVE A CREDIT FOR COSTS
ASSOCIATED WITH ONE OF THE TWO LINEAR PARKS (THE ONE WHICH HAS
CREEK TRAIL CONNECTIVITY) AND FOR THE CREEK TRAIL PARK OF UP TO
50% CREDIT.
MOTION BY COMMISSIONER SINGLE, SECOND BY COMMISSIONER AVAKIAN
CARRIED 7:0:0:0 to recommend to Council a partial credit for the Creek Park and the one
connected Linear Park up to 50% credit.
AYES: AVAKIAN, EHDAIE, OLSON, SCHWAB, SINGLE, THURMAN, WHITENER
NOES: NONE
ABSTAIN: NONE
ABSENT: NONE
4. Presentation of Downtown Concept Plan
Rebecca Gershow, Associate Planner for Long Range Planning, presented the Commission
with an update of the draft Downtown Concept Plan. She provided the Commission with the
project background. Staff Gershow added that the project is being led by staff, consultants, and
the ten-member Creative Vision Team (CVT) appointed by the City Council. The Draft Plan
was released in January 2017, and a public workshop with approximately 150 attendees was
held on February 4. Staff is now collecting input from City Advisory Bodies. Staff Gershow
presented project Planning Principles and Goals that were most directly relate to the purview of
the Parks and Recreation Commission and asked for the Commission’ feedback. The Parks and
Recreation Commission was asked to provide input on the draft Downtown Concept Plan’s
goals, recommendations and implementation actions related to parks and park faciliti es in the
downtown. The Commission was asked to provide feedback on the following topics;
1. Is the Commission in support of how the draft Downtown Concept Plan envisions the
future use of the City’s current parks and recreation facilities?
2. Is the Commission in support of how the draft Downtown Concept Plan envisions the
location, amount, and use of future parks and recreation facilities?
3. Do Commissioners have any questions or concerns about the Draft Plan’s vision for
downtown?
Public Comment
Chuck Crotser, SLO Resident, spoke about new and existing parks that can be implemented
across from Art Museum) or updated (Jack House) through the Downtown Concept plan.
Eric Meyer, SLO Resident, spoke about the benefit of pocket parks and parklet proposals.
Commission Comments followed.
Commissioner Avakian commented on the accessible pathways and bike paths. He did not see
the need for outdoor fitness area in the downtown area as there are other locations in the City.
He inquired about the challenges of outdoor rooftop public gathering areas.
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Commissioner Olson commented on the potential of trees in the middle of the streets as trees
could assist in slowing down traffic.
Commissioner Ehdaie commented on the promotion of social activities within the
neighborhoods and asked about concession stands in parks.
Commissioner Schwab commented on activating additional activities at Emerson Park and
Cheng Park.
Commissioner Single commented on eliminating additional street parking areas in downtown to
maximize parking in the existing parking structures.
Commissioner Thurman commented on connectivity of the concept plan and concurred with
Commissioner Single’s comments on street parking. He offered suggestions regarding the
handling of stormwater. Commissioner Thurman added that streets with multiple purposes
could cause issues between pedestrians and cyclists. He was in support designated spaces for
food trucks.
Chair Whitener was in support of public parks, pocket parks, rooftop parks and the proposed
recommendations to activate the Ludwick Community Center as a way to stimulate the
downtown areas. He asked out the potential conflict between public and privately-owned plots
proposed for proposed updates in the concept plan.
The Parks and Recreation Commission was unanimous in its consensus support of the Draft
Downtown Concept Plan with respect to the parks and recreation elements proposed.
Review and Recommendation to Council to Adopt Recreation Fees as Proposed.
Director Stanwyck and Staff Hyfield provided the Commission with a brief update on the City-
wide Fee Study and proposed Parks and Recreation Fees. Staff Hyfield reiterated the
Commission’s input and support of the proposed fees at its public Study Session on February 1,
2017, the Jack House Committee meeting on February 8, 2017 and the City Council Study
Session on February 21, 2017.
Public Comment
None.
Commission Comments followed.
None.
ACTION: RECOMMEND COUNCIL ADOPT THE RECREATION FEES AS PROPOSED
INCLUSIVE OF THE CITY-WIDE COST OF SERVICES FEE STUDY.
MOTION BY COMMISSIONER SINGLE, SECOND BY COMMISSIONER OLSON.
CARRIED 7:0:0:0 to recommend to Council that is adopt the recreation fees as proposed in the
city-wide cost of services fee study.
AYES: AVAKIAN, EHDAIE, OLSON, SCHWAB, SINGLE, THURMAN, WHITENER
NOES: NONE
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ABSTAIN: NONE
ABSENT: NONE
COMMITTEE COMMUNICATIONS
5. Director’s Report
Director Stanwyck provided a brief update of current Parks and Recreation programming and
City updates.
Night Golf April 6th
Ranger Workday – April 8th at Reservoir Canyon
Egg Hunt at Golf Course – April 15th
Youth Services Spring Break Camp (Tiny Wonders) April 17-21st
SLO Triathlon Registration Opens April 22nd
MLBB Camp at Sinsheimer Stadium – April 22nd. Over 160+ registered
Work continues on Sinsheimer Park Playground and French Park Tennis/Pickleball
Court Striping
LIAISON REPORTS
6. Subcommittee Liaison Reports
Adult and Senior Programming: Commissioner Single had no report.
Bicycle Advisory Committee: Commissioner Olson had no report.
City Facilities (Damon Garcia, Golf, Pool & Joint Use Facilities): Commissioner
Avakian reported on Damon-Garcia closing May 1 and the implementation of Kikuya
grass on Field B. Golf is seeing high numbers and lots of activities at the golf course. Jr
Giants registration opens April 29.
Tree Committee: Commissioner Thurman said that the City had a wood-chip giveaway
and he recommended that woodchips could be used for the Laguna Lake dog off-leash
area to fill in holes.
Jack House Committee: This assignment is currently vacant. No report.
Youth Sports: Commissioner Schwab had no report.
Commission Communications
None. Staff provided a brief agenda forecast.
ADJOURNMENT
The meeting was adjourned at 8:05 p.m. to the regular Parks and Recreation Commission scheduled for
03, May 2017 at 5:30 p.m., in the City Council Chambers, 990 Palm Street, San Luis Obispo, California.
APPROVED BY THE PARKS AND RECREATION COMMISSION: 05/03/2017
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Minutes
ARCHITECTURAL REVIEW COMMISSION
Monday, April 17, 2017
Regular Meeting of the Architectural Review Commission
CALL TO ORDER
A Regular Meeting of the Architectural Review Commission was called to order on Monday,
April 17,2017 at 5:00 p.m. in the Council Hearing Room, located at 990 Palm Street, San Luis
Obispo, California, by Chair Wynn.
ELECTION OF CHAIR AND VICE-CHAIR
By a unanimous consensus, Chair Wynn was elected to serve as Chairperson and Commissioner
Soll was elected to serve as Vice-Chairperson.
ROLL CALL
Present: Commissioners Richard Beller, Greg Starzyk, Brian Rolph, Amy Nemcik, Allen Root,
Vice-Chair Angela Soll, and Chair Greg Wynn
Staff: Community Development Director Doug Davidson, Associate Planner Rebecca
Gershow. Other staff members presented reports or responded to questions as indicated
in the minutes.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
None.
CONSIDERATION OF MINUTES
ACTION: MOTION BY COMMISSIONER NEMCIK, SECOND BY COMMISSIONER
ROOT, CARRIED 7-0, to approve the minutes of the Architectural Review Commission meeting
of March 6, 2017.
PUBLIC HEARINGS
1. Downtown Concept Plan. GENP-1622-2015: Conceptual review and discussion of the
Downtown Concept Plan; discussion of this item is not subject to CEQA; multiple zones;
City of San Luis Obispo, applicant.
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Associate Planner Rebecca Gershow presented an in-depth staff report with use of a
PowerPoint presentation and responded to Commissioner inquiries.
Public Comments:
David Brodie, Save Our Downtown, urged the Commission to preserve the retail aspect
of the downtown area.
Allan Cooper, San Luis Obispo, expressed concerns regarding downtown building
heights and pedestrian access improvements.
James Lopes, San Luis Obispo, offered feedback regarding appropriate downtown
building height and street widths.
End of Public Comment--
Commissioner Beller recommended clarification of the language used to define
downtown and strengthen the presentation of human scale and design within the
Downtown Concept Plan.
Commissioner Rolph encouraged staff to be more specific on contentious items.
Vice-Chair Soll commented on the blocks in north downtown, suggesting more
specificity on design and better demonstration of height compatibility with the
Monterey Street view shed.
Commissioner Root suggested expressing the massing and compatibility in number of
feet versus floors; suggested plans include pick-up and drop-off areas; spoke in favor of
open space on top of parking structures.
Chair Wynn spoke in favor of the cultural district, closure of Monterey between Santa
Rosa Street and Nipomo Street; suggested staff implement a cul-de-sac on Nipomo at
Chorro Street, and flat decks in parking structures to encourage future repurpose.
COMMENT AND DISCUSSION
Deputy Director Davidson provided a brief agenda forecast.
ADJOURNMENT
The meeting was adjourned at 6:55 p.m. The next Regular meeting of the Architectural Review
Commission is scheduled for Monday, May 1, 2017 at 5:00 p.m., in the Council Hearing Room,
990 Palm Street, San Luis Obispo, California.
APPROVED BY THE ARCHITECTURAL REVIEW COMMISSION: 07/17/2017
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Minutes
PLANNING COMMISSION
Wednesday, April 26, 2017
Regular Meeting of the Planning Commission
CALL TO ORDER
A Regular Meeting of the Planning Commission was called to order on Wednesday,
April 26, 2017 at 6:00 p.m. in the Council Chambers, located at 990 Palm Street, San Luis
Obispo, California, by Chair Stevenson.
ELECTIONS
By consensus the Commission elected Commissioner Charles Stevenson to serve as Chairperson
and Commissioner John Fowler to serve as Vice-Chairperson.
ROLL CALL
Present: Commissioners Kim Bisheff, Hemalata Dandekar, Scott Mann, Ronald Malak,
Nicholas Osterbur, Vice-Chair John Fowler, and Chair Charles Stevenson.
Absent: None
Staff: Deputy Director of Community Development Xzandrea Fowler. Other staff members
presented reports or responded to questions as indicated in the minutes.
CONSIDERATION OF MINUTES
MOTION BY COMMISSIONER DANDEKAR, SECONDED BY VICE-CHAIR
FOWLER, CARRIED 7-0 to approve the minutes of the Planning Commission for the
meeting of February 22, 2017 as presented.
MOTION BY VICE-CHAIR FOWLER, SECONDED BY COMMISSIONER
BISHEFF, CARRIED 7-0 to approve the minutes of the Planning Commission for the
meeting of March 8, 2017 as presented.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
David Brodie, San Luis Obispo, expressed concerns regarding climate change.
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Minutes – Planning Commission Meeting of April 26, 2017 Page 2
BUSINESS ITEMS
1. 1545 and 1675 Calle Joaquin. GENP-0156-2017: General Plan Conformity
determination for property dedication from the City of San Luis Obispo to Caltrans as
part of the Los Osos Valley Road Interchange improvement project; discussion of this
item is not subject to CEQA; C-T and C/OS zones; City of San Luis Obispo, applicant.
Engineer Kyle Rowland presented a staff report.
Public Comment:
Chair Stevenson opened the public hearing.
None.
Chair Stevenson closed the public hearing.
ACTION: MOTION BY VICE-CHAIR FOWLER, SECOND BY COMMISSIONER
MALAK, CARRIED 7-0 to adopt the resolution which determines and reports to the
City Council, that the proposed relinquishment conforms to the General Plan.
2. Downtown Concept Plan. GENP-1622-2015: Update on the Downtown Concept Plan
project; discussion of this item is not subject to CEQA; multiple zones; City of San
Luis Obispo, applicant.
Associate Planner Rebecca Gershow presented a brief history and update on the
Downtown Concept Plan project; responded to Commission inquiries.
Public Comments:
Chair Stevenson opened the public hearing.
Alan Cooper, Save Our Downtown, expressed concerns regarding plan design
conformity.
David Brodie voiced concerns regarding height regulations, preservation of retail space,
and bicycle safety.
James Lopes, San Luis Obispo, spoke regarding inconsistencies in building height
regulations; read written correspondence aloud.
Leah Brooks, Bike SLO County, spoke in favor of the plan and suggested the City take
greater measures toward providing safe crossing of bicyclists at intersections.
Bob Jorgensen, San Luis Obispo, spoke in favor of the Downtown Concept plan and
offered suggestions for expansion.
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Chair Stevenson closed the public hearing.
Chair Stevenson acknowledged concerns regarding inconsistencies regarding height
within the Downtown Concept Plan (DTCP), LUCE, and City zoning regulation
policies; reminded the public that the DTCP is conceptual and not intended to be a
regulatory document.
Commissioner Malak would like to see an analysis of sun, shade, and wind relative to
buildings; suggested consideration for surrounding businesses to avoid creating
unnecessary competition for local businesses; stated he would like to see components
of the plan codified for the sake of consistency.
Commissioner Mann would like to see more cross-town multi-modal connectivity;
suggested slowing traffic down at intersections approaching the downtown area to
increase pedestrian safety; suggested modifying language that states “focus attention on
the downtown’s gateways” to “focus attention on the downtown’s multi-modal
gateways”; suggested referring to green infrastructure as “storm water management”
for clarity; stated he will submit additional written comments to staff.
Commissioner Osterbur spoke in favor of the plan and suggested shutting down
Monterey Street and limit access to pedestrian and bicyclists.
Commissioner Dandekar spoke in favor of the plan and suggested closely monitoring
the upcoming zoning regulation updates to ensure consistency; encouraged mixed-use.
Chair Stevenson expressed concerns regarding availability of affordable housing in the
downtown core and encouraged creative solutions to increase density.
COMMENTS AND DISCUSSION
Assistant City Attorney Jon Ansolabehere provided an update on City emails relative to the
Public Records Act; stated the City Attorney’s Office will be releasing a comprehensive memo
addressing the issue.
Chair Stevenson introduced newly appointed Commissioners Osterbur and Mann.
Deputy Director Fowler provided an agenda forecast.
ADJOURNMENT
The meeting was adjourned at 08:02 p.m. The next Regular meeting of the Planning Commission
is scheduled for Monday, May 10, 2017 at 6:00 p.m., in the Council Chambers, 990 Palm Street,
San Luis Obispo, California.
APPROVED BY THE PLANNING COMMISSION: 07/26/2017
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Minutes - DRAFT
PLANNING COMMISSION
Wednesday, July 26, 2017
Regular Meeting of the Planning Commission
CALL TO ORDER
A Regular Meeting of the Planning Commission was called to order on Wednesday,
July 26, 2017 at 6:00 p.m. in the Council Chambers, located at 990 Palm Street, San Luis
Obispo, California, by Chair Stevenson.
ROLL CALL
Present: Commissioners Kim Bisheff, Scott Mann, Ronald Malak, Nicholas Osterbur, Hemalata
Dandekar, Vice-Chair John Fowler, and Chair Charles Stevenson
Absent: None
Staff: Deputy Director of Community Development Doug Davidson, Assistant City Attorney
Jon Ansolabehere, Associate Planner Shawna Scott. Other staff members presented
reports or responded to questions as indicated in the minutes.
PLEDGE OF ALLEGIANCE
Chair Stevenson led the Pledge of Allegiance.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
None.
CONSENT AGENDA
ACTION: MOTION BY VICE CHAIR FOWLER, SECOND BY COMMISSIONER
BISHEFF, CARRIED 7-0 to reorder the agenda to hear Business Item 1 before Public Hearing
Item 1.
APPROVAL OF MINUTES
ACTION: MOTION BY COMMISSIONER DANDEKAR, SECOND BY VICE-CHAIR
FOWLER, CARRIED 7-0 to approve the April 26, 2017 Planning Commission meeting minutes
with one administrative correction to Vice-Chair Fowler’s title.
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DRAFT Minutes –Planning Commission Meeting of July 26, 2017 Page 2
ACTION: MOTION BY COMMISSIONER DANDEKAR, SECOND BY COMMISSIONER
BISHEFF, CARRIED 7-0 to approve the May 24, 2017 Planning Commission meeting minutes
as presented.
ACTION: MOTION BY COMMISSIONER DANDEKAR, SECOND BY VICE-CHAIR
FOWLER, CARRIED 7-0 to approve the May 25, 2017 Planning Commission meeting minutes
with one administrative correction to the Roll Call.
BUSINESS ITEM
1. Zoning Regulations Update. The Zoning Regulations Update is focused on implementing
the policies and programs of the Land Use and Circulation Elements (LUCE). This will be a
standing item on the Planning Commission agenda from June 14, 2017 through completion
of the Update of the Zoning Regulations, tentatively scheduled for completion in March,
2018. This will be an opportunity for staff to update the Commission on the status of the
Zoning Regulations Update and for the Commission to listen to ongoing public testimony
and discuss any such updates as they come forward. As a standing item, sometimes there will
be nothing to report; other times staff will give a brief update with limited discussion; and at
certain points, such as review of White Papers associated with the Zoning Regulations
Update, there will be more substantive discussion on the item. When materials are associated
with the Update, as with the White Papers, such information will be made available to the
public and Commission prior to the meeting.
Deputy Director Doug Davidson reported no updates and responded to Commission
inquiries.
Chair Stevenson encouraged members of the public to visit the City’s website and
become familiar with the scope of work.
Public Comments:
None.
PUBLIC HEARING ITEMS
1. 12165 and 12393 Los Osos Valley Road. SPEC-0143-2017: Review of the Froom
Ranch Specific Plan (Specific Plan Area 3 - Madonna on LOVR); public scoping meeting
to discuss the scope of the Environmental Impact Report being prepared for the Froom
Ranch Specific Plan; Specific Plan Area 3 – Madonna on LOVR; John Madonna,
applicant. (Shawna Scott)
Contract Planner Emily Creel presented an in-depth review of the project and
responded to Commission inquiries.
Assistant City Attorney Jon Ansolabehere provided clarification on the proposed
affordable and assisted living units, and future consideration of residential density.
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Applicant Representative Victor Montgomery responded to Commissioner inquiries.
Public Comments:
Vicente Del Rio, San Luis Obispo, spoke in support of the project and suggested the
City consider implementing the Buckley Road bypass to ease the traffic impacts.
Neil Havlick, California Native Plant Society, expressed concerns regarding the
development above 150-foot elevation and urged the Commission to consider the utility
demands the project will create; expressed concerns regarding the Froom Creek
alignment and the inappropriate allocation of acreage; noted the EIR should address
how the project would interrupt the groundwater flow regime and wetlands.
--End of Public Comment--
Commissioner Malak referenced written correspondence addressing flooding along
Calle Joaquin, stating he would like to see the issues addressed in the EIR; voiced
concerns regarding the single entrance and exit point.
Commissioner Mann disclosed ex-parte communications with the applicants; expressed
concerns with the utility connections being identified before the EIR scoping is
complete; requested information regarding the mix of housing; voiced concerns
regarding connectivity issues and expressed interest in seeing unique solutions; stated
he would like to increase the natural habitat and environments.
Vice-Chair Fowler stated the EIR list is comprehensive and includes all areas he would
be interested in reviewing; encouraged the applicant to address ground water flow and
to provide more than the traditional four alternatives.
Commissioner Dandekar commented on the aesthetics and view angle section and
encouraged staff to consider view angles from private commercial developments in
addition to the view and scenic corridors from public rights of way.
Commissioner Bisheff commented on the off-site drainage basin, and evaluation of its
proposed location and potential other locations in the EIR.
Chair Stevenson closed the Commission comment by recommending the secondary
emergency access remain open all the time, and that the EIR address cumulative
transportation/circulation impacts including expansion of Mountainbrook Church
operations.
The Commission recessed at 7:33 pm and reconvened at 7:41 p.m. with all
Commissioners present.
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2. Downtown Concept Plan. GENP-1622-2015: Final review of the July 2017 Draft of
the Downtown Concept Plan; receive a project update and recommend adoption of the
plan by the City Council on September 5, 2017; discussion of this item is not subject to
CEQA; multiple zones; City of San Luis Obispo, applicant. (Rebecca Gershow)
Deputy Director of Community Development Xzandrea Fowler introduced the
Downtown Concept Plan project, Associate Planner Rebecca Gershow and the Creative
Vision Team (CVT).
Associate Planner Rebecca Gershow began the PowerPoint presentation; she provided a
brief plan overview and identified the updates and revisions to the plan since the April
26 Planning Commission meeting.
Pierre Rademaker, CVT Chairperson, presented the Downtown Concept Plan Planning
Principles 1-3, Strong Identity, Plentiful and Safe Public Spaces, and Variety in Form
and Function including associated goals and plan highlights.
Eric Meyer, CVT Member, presented Planning Principles 4-5, Enhanced Mobility,
Street Types Diagram, and Universal Accessibility including associated goals and plan
highlights.
T. Keith Gurnee, CVT Member, presented Planning Principle 6, Art Culture and
History, including associated goals and plan highlights
Melanie Mills, CVT Member, presented the Planning Principles 7 and 8, Compatible
Design and Ecological Connections, including associated goals and plan highlights.
Lorelei Cappel, consultant from Michael Baker International, presented information
regarding project implementation and outlined the next steps in the process, inviting the
Commission and members of the public to provide input.
Public Comments:
James Papp, San Luis Obispo, spoke on behalf of Eva Fina and expressed appreciation
to the Creative Vision Team for the inclusion of cultural heritage; suggested verbiage to
include indigenous and non-indigenous people, specifically the “Tilhini.”
Kyle Weins, San Luis Obispo, expressed appreciation for the Creative Vision Team and
spoke in favor of the plan, especially its vision for Monterey Street and the Railroad
Safety Trail connection.
--End of Public Comment--
Following the discussion, Commissioner Mann stated he would like to see maintenance
measures and a security review with Police Department included in the plan; expressed
interest in the proposed bike connections; stated interest in receiving more information
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on state-mandated building height regulations; suggested a greater degree of clarity on
sustainability and feasibility; recommended greater efficiency of language.
ACTION: MOTION BY COMMISSIONER DANDEKAR, SECONDED BY
COMMISSIONER MALAK to recommend adoption to the City Council.
ACTION: MOTION AMENDED BY COMMISSIONER OSTERBUR, SECONDED
BY COMMISSIONER MALAK to include the following modification:
Table 5.1 Implementation Action 19: “…Topics could include the Anza National
Historic Trail, and El Camino Real historic bells, and Tilhini.”
ACTION: MOTION AMENDED BY COMMISSIONER MANN, SECONDED BY
COMMISSIONER BISHEFF to recommend emphasis on safe connectivity for
bicyclists across Highway 101.
MOTION CARRIED 7-0 on the following roll call vote:
AYES: Dandekar, Malak, Bisheff, Mann, Osterbur, Fowler, and Stevenson
NOES: None.
ABSTAIN: None.
COMMITTEE COMMUNICATIONS
Deputy Director Davidson provided an agenda forecast.
ADJOURNMENT
The meeting was adjourned at 9:25 p.m. The next Regular meeting of the Planning Commission
is scheduled for Wednesday, August 9, 2017 at 6:00 p.m., in the Council Chambers, 990 Palm
Street, San Luis Obispo, California.
APPROVED BY THE PLANNING COMMISSION: XX/XX/2017
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Meeting Date: 9/5/2017
FROM: Daryl R. Grigsby, Director of Public Works
Prepared By: Manny Guzman, Construction Engineering Manager
SUBJECT: MISSION PLAZA CONCEPT PLAN
RECOMMENDATION
Receive a presentation regarding the Mission Plaza Concept Plan, provide input on design
features and authorize staff to proceed with preparation of a master plan document, as well as
fiscal and environmental study of Plan implementation.
DISCUSSION
Background
Mission Plaza in downtown San Luis Obispo has a unique and special character that reflects our
community’s culture and history. Since, September 1, 1772, when Father Junipero Serra
conducted the founding mass at Mission San Luis Obispo de Tolosa, the Mission has become the
community’s geographical, cultural and recreational center.
The area in front of the church, the site of Mission Plaza, has been used for public gatherings of
various sorts, including bull fights, from its earliest days until about 1800. However, as the
community and the street network grew, the land in front of the Mission no longer functioned as
a public gathering space. Instead, Monterey Street and private land holdings made up the area
between the Mission and San Luis Creek. On November 22, 1970, almost 200 years after the
founding of the Mission, and 20 years after local citizens began planning for the rebirth of a
downtown gathering place; Mission Plaza was dedicated to the City.
Since the 1970’s the Mission Plaza has been used for numerous festivals and gatherings. In the
2013-15 Financial Plan, the City funded a project to solicit community input to review the
Mission Plaza’s present conditions and current uses. In addition, the City sought input relative to
the expansion of the Mission Plaza into the adjacent Broad and Monterey Streets through
permanent or temporary street closures.
The Process
During the past 24 months, the City’s consultant, RRM Design Group, has performed a series of
tasks to evaluate the Mission Plaza’s uses, existing infrastructure conditions, and the feasibility
of expanding the Mission Plaza into Broad and Monterey Streets. A summary of the meetings
and workshops held to gather feedback includes:
1. Individual interviews of 62 stakeholders
2. Two Mission Plaza Community Workshops (February 20th & June 29th)
3. Three Downtown Concept Plan Creative Vision Team meetings (July 12th, September 1st
& January 17th)
4. Two Chamber of Commerce meetings (October 8th & August 3rd)
5. Joint Study Session between City Council & Planning Commission (October 4th)
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6. Parks & Rec Commission Meeting (January 4th)
7. Cultural Heritage Commission Meeting (February 27th)
8. Architectural Review Commission Meeting (March 20th)
9. Planning Commission Meeting (May 10th)
Using the information gathered during the stakeholder and community meetings, RRM
developed the conceptual Mission Plaza Plan (Attachment A). The concept plan includes
features that were identified through the public engagement process as important to the
community. Proposed features include new public restrooms, lighting, directional signage,
public art, historic and educational information, enhanced storm water management features, and
improved ADA accessibility and multi-modal opportunities (modes of transport, walking,
cycling, automobile).
Figure 1: Mission Plaza Design Concept
The conceptual Mission Plaza Plan also includes design elements such as the two-way shared
street (which is being recommended for the “dogleg” at Broad to Monterey Streets). A shared
street is a design concept which transforms streets from car-centric space to shared space for
vehicles, bicycles and pedestrians. A visual example is included in the figure below.
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Figure 2: Shared Street design concept
In addition, the proposed Plan includes a sculpture garden, a café adjacent to the public
restrooms, and a new central plaza. The proposed central plaza will be replacing the
amphitheater.
On January 4, 2017, the Parks & Rec Committee (PRC) provided feedback on possible design
features and amenities of the plan. The PRC in general supported the plaza layout, and the
public arts sculpture garden. A few committee members, however, did express some concern
about the safety of the shared street design and intermingling vehicles and pedestrians/bicycle’s
on Broad and Monterey. A summary of the issues and comments heard during the Parks & Rec
Committee meeting are included in the attachments.
On February 27, 2017, the Cultural Heritage Committee (CHC) also provided feedback on the
plan. Again, a lot of the comments were in support of the design and layout, including the
replacement of the amphitheater. A few members, however, expressed concern with the
proposed location of the splash pad and requested educational art pieces throughout the plaza.
Feedback provided by the Architectural Review Committee (ARC) on March 20th also supported
the design and layout. Many comments in this forum supported the shared street design on
Broad and Monterey and the splash pad. However, a few committee members also expressed
their desire to move the splash to a different location.
On May 10, 2017, the Planning Commission (PC) provided feedback which was similar to that
heard by other committees. The PC in general supported the design and comments expressed
were to request more permanent sitting, relocation of the splash pad closer to the History Cent er
and to close Broad and Monterey to vehicles permanently.
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Next Steps
Upon conceptual adoption of the plan by Council, Staff will request funding at the next financial
plan, 2019-2021, to complete technical reports, generate a Master Plan (30% construction
documents), and evaluate the plan for environmental impacts (CEQA). Any environmental
impacts identified in the environmental documents, will be incorporated into the final project
documents.
The more detailed plans and project description elements will be included for environmental
review and for advisory body evaluation of the master development plan of the Mission Plaza.
ENVIRONMENTAL REVIEW
The conceptual review of the project is exempt from CEQA because the project involves only
the conceptual review for possible future actions which the City Council has not approved,
adopted, or funded which does not require the preparation of an EIR or Negative Declaration.
The conceptual review does constitute a project identified under §21065 because the activity
does not involve the issuance of a lease, permit, license, certificate, or other entitlement, at this
time.
FISCAL IMPACT
This project was identified in the 2013-15 Financial Plan and funded with $95,000. This amount
was anticipated as sufficient to complete a concept plan, environmental review and a project
phasing plan. However, as the Mission Plaza Project progressed, increased outreach, and
necessary coordination, technical reports, and level of detail necessary to complete all items of
work exceeded the project’s budget. Consequently, additional funding is needed to complete the
environmental review and project phasing work. An additional $200,000 is currently estimated
to complete these additional items of work and will be requested at the 2019-21 Financial Plan.
Attachments:
a - Draft Concept Plan
b - Notes from Interviews
c - Notes from Mission Plaza Community Workshop - February 20, 2016
d - Notes from Mission Plaza Community Workshop - June 29, 2016
e - Joint Study Session CC & PC Minutes
f - Parks & Rec Minutes
g - CHC Minutes
h -ARC Minutes
i -PC Minutes
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LIMIT OF MASTER PLAN AREAMISSION SAN LUIS OBISPO de TOLOSA
HISTORY
CENTER
MUSEUM
OF ART
Private Residence
BROAD STMONTEREY ST
MONTEREY ST
Luna Red
CHORRO STPALM ST
BROAD STSAN LUI
S
O
BI
S
P
O
C
R
E
E
K
Creeky Tiki
SLO Brew
The Network
Mission Mall
Celadon
Frog & PeachNovo
Warden Building
History Center
Future Expansion
Metro
Brewing
Company WARDEN BRIDGEMAIN PLAZACENTRAL PLAZA
SCULPTURE
GARDEN ADOBE PATIO
KEY to FEATURES
1. Scramble Crossing
2. Main Entrance
3. Performance Platform
4. Interactive Recirculating Water Feature (at-grade)
5. Trellis
6. Flag-Poles
7. Reconfigured Steps
8. Bear Fountain
9. Emergency Access
10. Bench, typical.
11. Murray Adobe Interpretive Center
12. Creek Overlook
13. Pedestrian Bridge
14. Picnic Table, typical.
15. Living Holiday Tree
16. Interactive Art Node - Native Animals
17. Cafe
18. Restroom
19. Maintenance Storage
20. Moon Tree Interpretive Exhibit
21. Elevated Boardwalk to Creek
22. Woonerf (with option for full street closure)
23. Bollard for Traffic Control
24. Lawn
25. Bike Racks
26. Interpretive Exhibits
27. Potential Future Creek-Walk Connection
Underneath Broad Street Bridge
28. Relocated El Camino Real Bell
29. Bus Stop / Pedestrian Drop-Off
12456
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21
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3
NOTES
A. Museum of Art building shown reflects the
approved renovation/expansion design.
B. History Center complex shown
reflects a potential future expansion
vision, and not an approved design.
C. Vehicular access across Warden
Bridge will be preserved.
D. Lighting and electrical service (240V) will be
upgraded and distributed throughout plaza.
E. Murray Adobe will be rehabilitated
subject to further technical studies.
14
1126
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MISSION PLAZA
SAN LUIS OBISPO, CA
0’40’20’10’60’
AUGUST 1, 2017SCALE 1” = 20’DRAFT CONCEPT PLAN
Packet Pg. 239
8
Events Variety of Spaces
Children's Day in the Plaza
Stage could be next to Museum of Art
Stage could be in the Arbor Area
Don't compete with views
Graduation High School; Graduation Middle School; Wedding (mostly Saturday) Funerals during week; Mass;
Quinceaneras
Only a problem with amplified music; need to formalize an agreement between Mission and City for events.
Need to designate a corridor access in front of Mission steps
Could move music west toward Broad would be helpful
2,000 person events in Plaza; Jazz Festival
Cooking only allowed on dog leg
60 events/year
Police will be in area but handled through event coordinator; a bit of control in place; events end by 9:00; not a
lot complaints; events are fenced off
Location of restrooms - need to consider neighbors
Love concerts in the Plaza and movies; concerts in the Plaza need more work
Space to spread out- want to expand toward Broad Street and maybe close off dog leg during events; could
bring back Taste of SLO
Constraints for events - need to understand
Annual graduation for Mission Prep; annual dinner and auction for Mission Prep; Love SLO- community-wide
day of service
Concern with noise; respect Mission sanctuary activities such as mass and weddings
Parking is an issue
Raise rate of space so it is utilized
Concerts and Santa; could be used for Taste of SLO; Via dei Colori chalk painting
Need entrance element at Museums of Art entrance
Greek Festival- 7th year- sharing food, culture, music. Music is part of the festival and there can be conflicts with
church (2 days); Bring in a porta potty
Villa de Colori- chalk; surface needs to be smooth; design that integrates access so we can minimize number
of….
Need a place for banners; power; access to Historic Museum parking lot limits length of area of dogleg
Concerts in the Plaza- More flat surfaces; stairs make it difficult to use; 1,500-2,500 people; Could use a wider
paved area; more open-less chopped; get complaints from residents all the way down Dana street about noise
Jazz festival- S1100 Stage; main entrance near Mission; 11-13 security guards; planter by Mission slopes should
be removed; 1,600-2,000 capacity
Chalk festival- paved, smooth surface
Cleaning- have to vacuum and minimize run off to storm drainage creek
Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
Packet Pg. 240
8
Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
Security- Fri thru Sun
Saturday night- dog leg bollard off but cars run through it; more permanent bollards would be helpful
Circulation/
Dogleg Close Monterey from Plaza to Nipomo Street.
Want the community to decide
Concerned with traffic implications
Like - removable bollards or self retracting
Like- need to close it up to Historic Center Parking
One way could be a phased approach
Open air market
Remain open one way - dominant direction of traffic
Carefully consider impacts to traffic
Opportunity for roundabout at corner of Broad and Monterey near Museum of Art
Maintain 2 ways from Broad to Nipomo
Not a bad idea, too close
Need to have an agreement to clean up any overflow trash
Need to retain access to parking lot by museum
Bus zone
Need free access
Would love to see it permanently closed
Just need fire truck clearance; if closed, then need to close all of dogleg
Don't use bulb-outs like at Broad and Monterey they don't function well
Temporary closure but not permanent; use bollards to be able to attractively closed off
If you closed Monterey to Chorro then would need a round-about over parking lot; could make street and
sidewalk all one elevation - more like walking street
Drug sales behind restroom
Don't close dog leg; major thoroughfare; closing would give transients more area to hang out unobserved
If closed then it would attract homeless; no activity
Need to expand to Broad not up side of Mission
If closed; Broad street good for pedestrians
Add greenery; open to closing of dog leg
Don’t want to lose parking
Traffic- the less traffic the better time
In favor of expansion of Mission Plaza + Cultural District
Confuses tourists
Walkability desired
City staff who clean restroom. Park at dog leg.
Dangerous for pedestrians crosswalk - not respected by cars
Ambivalent on complete closure but need a good reason to do it. Need a traffic surveyPacket Pg. 241
8
Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
See a lot of trucks on Monterey
Who uses it for traffic where are they going?
Could be a phased approach
As a parent, like the closure
Issue is with parking; people who work at the event are not allowed to park or leave car overnight
Have to leave sidewalks open even when street is being used for pedestrians only - would love to see
Would need to be able to unload for events if closed dog leg
Get rid of Broad St/dog leg to create ambiance
Would love to see it permanently closed
Restrooms The more the merrier
Can we integrate into SLO Museum of Art as Phase I?
Need to relocate- not at Termino
Don't like location
Need restrooms
Could we put new restrooms in History Center?
Many people use the restrooms inside the Mission
Needs more storage; get cleaned between 11-3am
Lighting yellow
Not enough
Pay restroom; self cleaning
Need lighting; inadequate size; dark and dreary more open air
May be part of Museum of Art
Had locking bathrooms downtown and it attracted homeless and drug issues
Like Laguna Lake bathrooms
Currently put porta pottys at corner of Mission and dumpster
Veterans Pasadena restrooms are awesome; clean and architecturally appealing
No workable doors; vandal resistant, need to be inviting to public
First question to Chamber- "Where is the Mission" , then where is the restroom? "Bubblegum Alley"?
Close restrooms after bars close
History Center gets restroom overflow because of transient and homeless
Self-sanitizing - charge for restroom
Analyze other spaces
Need major upgrade - clean
Stopped using because not clean or safe
Horrifying
Transient population; uninviting
No soap
Packet Pg. 242
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Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
Amphitheater Underutilized
Need to be bigger
Community movie events - May
Rotary Club built the Amphitheater
Useful
Have not seen much use. Could there be improvements?
Good plan for amplified music to not conflict
Like grass- can lose some of it; movies; booths block
3 times a tear. 75-100 plus bike
Ducky Derby
Never see it get used
Needs a rethinking; slope is too steep; could be bigger; be sensitive to planting too much grass; use drought
tolerant planting
Use for kids in Plaza Event
Should be used by field trips and summer camps
Show movies
Face to downtown instead of neighborhood; raise grade
Only used by transients
Don’t use it; some people sit there and eat
Ramp up for quality for bigger events
Kids climb up art structure
Bring up elevation so it is more useable. Make all grass and raise
Security Get rid of grass to help minimize the homeless
5 Cities Security come through - the security hired by church
Crosswalk at Broad Dog leg not safe
Homeless; thefts; amphitheater not so much loitering of homeless in arbor; bike test patrol; keep fire clearance
through plaza will not walk at night; line of sight issues; shadows; needs lighting; homeless congregate where
there is less visibility
May be discussion of public cameras
More lights on creek would help
Safety an issue
Crosswalk at Broad Dog leg not safe - duplicate?
Raised crosswalk; speed bump might help
Need more police patrol; surveillance and lighting
Feels not safe
Not being enjoyed by residents
Packet Pg. 243
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Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
Adobe Educational component
Could start docent-lead tour
Like coffee shop idea
Concession at Achievement House for food and beverages
Used for Downtown Association and recreation support
It is a waste, underutilized
A lot of visitors in Mission so the Adobe could be used for: visitor center; police substation; café
Gets used for storage at events; hot spot for drugs
Could put a display about Walter Murray
Has exposed brick that needs protection
Concession opportunity
Charge too much for renting it
Used for storage overnight; not used during festival; door to homeless
Arbor Area Underutilized
Heavy trellis; light is not good
Coffee shop; or vendors; outdoor kiosk
Underutilized; bring up to grade; eliminate
Need to create a gathering space all through different times of the day
Dead zone; use for VIP furniture
Used for art vendors
Signage/
Amenities Better Signage
Not an issue per se; small sign at corner of Mission
Need wayfinding signs; history walk signs; interpretive sign on Broad St.
Use balloon for events flyers; need a place to hang banner
Need for place for banner to advertise event and sponsors
Outdoor theatre 500 people
Motion lights might be helpful for portico
More lights and motion lighting
Sitting areas, relaxing areas
Liked the previous design where walkway line of sight terminus was at the History Museum
Need more lighting; lighting in the trees
Lighting would help
Sensor lights
Santa Barbara- constant control has helped
Had lighting but gets behind Warden Building
Lighting is key
Strong LED lighting
Don’t light too much like car dealership; light the trees
Railings need retrofitting for safety Packet Pg. 244
8
Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
Miscellaneous Park and event location
Didn't realize how long the plaza is
Preserve traditions
Vast changes will not go over well with people
Community with Mission
Bridges - Architects Bridges
Art Museum
Trolley- Consider a stop here
Public Art at center of intersection
Standards for Mission should be applied to east side of bridge
Taxi service drop off and pick up areas
Is there ways to formalize the use agreements about uses in the Plaza and Events?
Mission Portico can become a camping space
Wall- people like to climb on it
Food Trucks- policy to allow on Broad Street
Grass- events in plaza has to put down plywood which can be an issue
Creek walk should be part of Mission Plaza and great opportunity
Parking - 18 public spaces
Outdoor pavilion - i.e., Pike Place Market with concessions
Splash pad enclosed so kids can go in - Thousand Oaks
Information Desk- Chamber
Plant rose bushes and cactus
Policy - noise ordinance
Trees- eucalyptus trees - are reaching their lifespan
Grass under eucalyptus trees a problem
Could make entry longer
Electric outlets- get used for cell phones; should get locked and only open for events
Hazardous traffic cueing at intersection of Chorro and Monterey
May be need for flashing crosswalk
Landscape design key to line of sight safety; keep trees trimmed up
Novo pedestrian bridge connection - align with door of History Museum
Art Museum- timing at 3 million need a total of 5 million; 15 months building process; will load on Broad Street
for art museum
Art Museum future design will open up onto Plaza
Would like to see a sculpture garden that connects Art Museum to the Bear Fountain not pop art
Like the Bear Fountain
Take care of existing conditions, i.e., flatness of tile, stairs uneven walkways, transients
Southside of creek needs to be included in planning
Homeless in Plaza and near Monterey
Deliveries on Broad - park and wheel Packet Pg. 245
8
Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
Parking behind Warden Building- 3-4 cars, 7 days a week; 7:00 am- 5:00 pm
They (Downtown Association) let them know when there will be an event
SLO Brew will activate creek/plaza
People congregate
Families moving downtown; need places for kids to play
The more families that are in the plaza the better
Treehouse
Pull Mission theme over creek and into surrounding business and building
Materials - durable
Vegetation in creek - keep access for kids
Homeless and drugs
Southside of creek needs to be included
Area behind Mission Mall - City owns to creek
Bridge- can be slippery
Brooks are in need of repair - dark and moist
Homeless/migrant vagrant- free camping area (16-24 years old)
Lighting would help under bridge
More police
Any nook and corner is abused by homeless
Concern with flow of traffic on Broad St.
Concerned with Monterey, Palm can't support that traffic if dog leg closes
Noise level concerns
Need sidewalk access properly
Easement- City used easement but doesn’t keep up the City's side of the bargain; maintaining landscape
Pedestrian easement does not make sense
City needs to maintain
Need to expand exhibit to show . . .
Put fence up on roof to keep homeless out- homeless camp on roof
Ambient music to drive away camping
Love events in Plaza
La Fiesta- was one of the best community events
New yellow signs
Find location for Holiday Tree
Bridges could be treated as works of art
Bathrooms could include art
Art should be included
Bridges are different to walk on and unwelcoming; incline is different
Utilize for students
Art - "Interactive" artwork Packet Pg. 246
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Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
SF market near Jewish museum has interactive chairs- great example of interactive art
Vision- what should this space be?
Park with greenery
Everyone loves eucalyptus trees
Love the wisterias on Mission
Park with events capacity
Welcome and safe - balance aesthetics and lighting
Grassy knoll next to Arbor not easy to work with
Want area near adobe to be family-oriented during concerts
Chorro and Monterey - change of parking at intersection
Strategically located hook-ups near events; water bottle filler
Need to look at both sides of Creek
Get all business along Creek to do a Public/Private partnership
Outlets: need a 220 outlet where events are located; avoid cords across plaza
Need to keep Farmers Market on Higuera
Paving: Want smooth pavement for chalk painting but don’t want this to drive
Don’t want it to be slippery
Could integrate art
Integrate Museum of Art
Place for people to interact for all ages
Place for kids
Seating for lunch
Art in Public Places Master Plan- "Should be reviewed"
Consider no curbs- so people can roll in a piano during events
Space for pop-up entertainment; permitted entertainers
Old Mission School- uses church; for ceremony
Plaza is uneven paving so impacts auction event
Expanding plaza
Paving under trees, will kill trees next to Mission, it will make unstable
Homes on Broad
Palm Street residents are against closure
Interview Linnea Phillips- part of the City when Plaza opened
Historic Center- remove grass
Park as Plaza- Issue as Park designation
Could have big screen to watch World Cup
Parks permit events - maybe revise policies about who maintains it
Millennials need places to go after hours that are not alcohol-oriented
Adverting space - with children and families
Neighbors need to be informed well in advance
Crosswalks - no respect for pedestrians in crosswalks Packet Pg. 247
8
Mission Plaza Master Plan Project
February 18th, 2016
Stakeholder Meetings - Feedback
Varied pavement and rise in grade
Ashland Oregon - Creek development
Think sewer main has been removed
Don’t plant trees or build structures over utility lines
Steelhead trout in creek so fine sediment and steep slopes need to be revegetated
Shade over creek is good
Invasive species- Tree of Hewn or stink tree or Somark - can push up sidewalk
Ongoing water quality
Opportunity to do nature vegetation education- botanical signage
CA Nature Plant Society, Cal Poly, Cal Conservation Core, Planting Palette, erosion control
Grass is a maintenance issue, grass attracts social issue when not visible, grass is well liked
Eucalyptus - are fine and part of ambiance
There is an add-hock committee for looking at creek vegetation
Power- need more
Parking - 18 public spaces
Vending- need power; extra trash, dumpsters, place for vendors
Packet Pg. 248
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IDEAS & AREAS FOR IMPROVEMENT
Mission Plaza Master Plan Project
Open House/Workshop in Mission Plaza
February 20th, 2016
Comments from Walking Tour Site Map Hand Outs
Restroom Bathrooms
Eliminate Restrooms at Monterey and Broad St.
Get rid of restrooms
Like the current restrooms, they're in a good area and the building compliments the Mission
More public restrooms
Move restrooms to less prominent location- closer to museum. Put in museum parking lot
Newer or better restrooms somewhere else
Put restroom into design of ART center and/or history center. Make ADA compliant. Current restroom
should be turned into a drop off area/ circular drive or an extended seating area for historic adobe
Quasi public- within a open café or such in order to monitor users
Re-do restroom area
Remove and locate new restrooms in expanded history center. Open (Chorro St. entrance) up to street
Restroom major problem. Close and relocate. The area is not supervised after hours. A modern facility
with changing tables for infants
Restroom upgrade, keep central location. Increase capacity and security
Restrooms
Restrooms- needed; there is a design solution (I don’t know what it is). Keep reasonably central
Update restrooms/ clean leave here, but remodel
Signage/
Amenities "…?" tables and places for families and pedestrians
Add more seating options
Add Wi-Fi
Art Installations
Better lighting for drama and highlight trees and mission
Change to drought tolerant landscape
Get rid of the grass!
Improve Lighting
Kids activities
More benches
More benches and seating
More benches and tables (in shade)
More electricity/ Outlets
More people to sit but not transients
More tree lighting- ambiance and safety
Plants- keep lawn as visual rest and cooling
Provide Bicycle parking at Mission Plaza and at Museum
Remove some grass- not all
Walking lights not too bright- soft lighting Packet Pg. 249
8
IDEAS & AREAS FOR IMPROVEMENT
Mission Plaza Master Plan Project
Open House/Workshop in Mission Plaza
February 20th, 2016
Comments from Walking Tour Site Map Hand Outs
Events Better stage
More events when Palm and Monterey are closed
Rise the Lawn(?) for tents and concessions
Stage for Concerts (where arbor is today)
Amphitheater Amphitheater under utilized
Amphitheater: See what Grand Performances has done in DTLA www.grandperformances.org. SLO's
amphitheater is was under used.
Amphitheatre- Enlarge
Downward Amphitheater
Improve amphitheater
Make amphitheater bigger (a few more rows of seats)
Make amphitheater bigger and revised for bigger acts- like plays
Partially enclosed amphitheater- Cooperative effort with SLOLT
Upward rising amphitheater
Wheelchair access to amphitheater and to Arbor
Adobe Adobe - Coffee shop with table and chairs and/or café with Museum of Art
Adobe brick was vital to the SW US indigenous cultures, etc. Olvera Street in DTLA has a section with
recreated displays and actors etc.
Adobe bldg.: turn into a living museum recreating what life was like during the time it was built.
Adobe could be info center for visitors
Adobe- For this building, engage history center to use it for exhibit space- possibly a tea house
Adobe lighting
Adobe needs more activity, not sure what- tourist info center, less grass and less places for transients to
loiter. Good idea have bike police officers; lose the trellis
Adobe- repurpose with History related materials, tourist information center
Adobe- tie to history center
Improve overall lighting
Make adobe a tourist info center
Move Chamber of Commerce
Murray adobe added to history museum
Murray Adobe for history exhibit
Police bicycle office
Provide ADA ramp from the dogleg behind (east of) Murray Adobe
Reduce grass
Remove wall on west side of Adobe, provide lighting, remove grass, provide open access, sign no camping
etc.; city code so has to be enforceable
Reprise Adobe for Homeless outreach. Destroy the Magnolia at Arbor
Volunteers could be docents at Adobe
Packet Pg. 250
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IDEAS & AREAS FOR IMPROVEMENT
Mission Plaza Master Plan Project
Open House/Workshop in Mission Plaza
February 20th, 2016
Comments from Walking Tour Site Map Hand Outs
Arbor Area Arbor area is well- used on Fridays
Open up Naman Property (Arbor) for plaza activity uses.
Raise plaza area and open to Vista of Mission
Raise the arbor, add seating
Remove bushes in front of Arbor area. Open up the area
Remove steps (one set) and install a ADA ramp in center
Reuse Arbor to street level
The Arbor- has a potential to be a great space, perhaps a seating area or space for extra seating (for the
amphitheater)
Miscellaneous Align visual entrance with Monterey (Thanks Lief)
Art museum doesn’t feel part of the plaza
Balance water hungry grass with places for people to sit/lie down. Some grass but strategic for use.
Better connection to restaurants and businesses on east side- active elements
Better control of panhandlers
Better flow around Plaza, not just through
Build new design of "Iconic Mission Plaza Elements" Adelaide Stone Walls, "Bear Fountain", Mission
Façade, Eucalyptus Trees
Don’t object to carefully sited tall building but views from plaza to hill very important.
Expand walking path further down Broad and/or Monterey (around SLOMA and History Center
How can we connect the creek walk under Broad St
Keep buildings 1-2 stories. Not 3!
Keep historical feel of mission
Keep trees and green aspects of plaza- not all concrete
Less cars. I love more walking/ biking thoroughfares so we have less reliance on cars downtown, make it
easier to get around on bike/ by foot. Similar to a town such as Burlington, UT. Lots of lights at night.
Mission theme good
More flowers or gardening
Native trees
New trees- spend the money for nature at the beginning
Open up views/paths to creek
Preserve sky and town views from plaza
Respect for the Mission and its primary purpose as a church
Shops/food
Take down wall near historic adobe- Open up for marriage ceremony, memorials, or? With a little elbow
grease that area can be significantly improved.
Visual impact of new museum- removal of trees? Constricts views
Packet Pg. 251
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Packet Pg. 252
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Packet Pg. 253
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Council Minutes
City Hall, 990 Palm Street, San Luis Obispo
Tuesday, October 4, 2016
Regular Meeting of the City Council
CALL TO ORDER
A Regular Meeting of the San Luis
CouOncil
Heariispo
n Room,
ll was called
located at
990to
order on
Palm Street, San Luys
October 4, 2016 at 4:30 p.m. in theg
Obispo, California, by Mayor Marx.
ROLL CALL
Council Members
Present: Council Members John Ashbaugh, Carlyn Christianson, Dan Rivoire, Vice Mayor
Dan Carpenter, and Mayor Jan Marx.
Council Members
Absent: None
City Staff
Present: Katie Lichtig, City Manager; Christine Dietrick, City Attorney; Derek Johnson, Assistant City Manager; and Carrie Gallagher, City Clerk; were present at Roll
Call.
PUBLIC COMMENT ON CLOSED SESSION ITEMS
Stewart Jenkins spoke regarding the Rental Housing Inspection Ordinance.
End of Public Comment ---
CLOSED SESSION
A. CONFERENCE WITH LEGAL COUNSEL — ANTICIPATED LITIGATION
Significant exposure to litigation pursuant to paragraph (4) of subdivision (d) of
Government Code § 54956.9: No. of potential cases: One.
B. CONFERENCE WITH LEGAL COUNSEL — ANTICIPATED LITIGATION
Significant exposure to litigation pursuant to paragraph (2) of subdivision (d) of
Government Code § 54956.9: No. of potential cases: One.
A point has been reached where, in the opinion of the legislative body of the local agencyon the advice of its legal counsel, based on existing facts and circumstances, there is a
significant exposure to litigation against the local agency. These facts and circumstances
that might result in litigation, the local agency believes are not yet known to a potential
plaintiff or plaintiffs. (Government Code § 54956.9 (e)(1))
Page 1
San Luis Obispo
Packet Pg. 254
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San Luis Obis o City Council Minutes of October 4 2Ulfi Pae 2
C. CONFERENCE WITH LABOR NEGOTIATORS
Pursuant to Government Code § 54957.6
Agency Negotiators: Monica Irons, Katie Lichtig, Derek Johnson,
Greg Zocher, J. Christine Dietrick, Jon
Ansolabehere, Garret Olson, Rick Bolanos
Represented Employee Organization: International Association of Firefighters
Local 3523
D. CONFERENCE WITH LEGAL COUNSEL —EXISTING LITIGATION
Paragraph (1) of subdivision (d) of Govei iment Code § 54956.9; Name of case: San Luis
Obispo Police Officers Association v. City of San Luis Obispo; State of California Public
Employment Relations Hoard Case No. LA -C E -729-M
E. CONFERENCE WITH LEGAL COUNSEL — ANTICIPATED LITIGATION
Initiation of litigation pursuant to paragraph (4) of subdivision (d) of Section 54956.9:
One case.
RECESSED AT 5:30 P.M. TO REGULAR MEETING OF OCTOBER 4, 2016 TO BEGIN
AT 6:00 P.M.
Packet Pg. 255
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San Luis Obispo City Council Minutes of October 4, 2016 Pa 7e 3
CALL TO ORDER
A Regular Meeting of the San Luis Obispo City Council was called to order on Tuesday,
October 4, 2016 at 6:00 p.m. in the Council Chamber, located at 990 Palm Street, San Luis
Obispo, California, by Mayor Marx.
ROLL, CALL
Council Members
Present: Council Members John Ashbaugh, Carlyn Christianson, Dan Rivoire, Vice Mayor
Dan Carpenter, and Mayor Jan Marx.
Council Members
Absent: None
City Staff
Present: Katie Lichtig, City Manager; Christine Dietrick, City Attorney; Derek Johnson,
Assistant City Manager; and Carrie Gallagher, City Clerk; were present at Roll
Call.
PLEDGE OF ALLEGIANCE
Vice Mayor Dan Carpenter led the Pledge of Allegiance.
CITY ATTORNEY REPORT ON CLOSED SESSION
City Attorney Dietrick stated that there was no reportable action for Closed Session Items A
through E.
INTRODUCTIONS
1. SHMA SCOTT - ASSOCIATE PLANNER AND STEVEN SHEATS - CODE
ENFORCEMENT OFFICER
Community Development Director Codron introduced Shawna Scott as a new Associate
Planner and Steven Sheats as a new Code Enforcement Officer.
PRESENTATIONS
2. PRESENTATION BY PETER WILLIAMSON REPRESENTING SAN LUIS
OBISPO COUNCIL OF GOVERNMENTS SLOCOG REGARDING PLEDGE TO
MAKE A SMART COMMUTE CHOICE DURING RIDESHARE WEEK
OCTOBER 3-7 2016
Peter Williamson representing; San Luis Obispo Council of Governments (SLOCOG)
provided a presentation regarding their pledge to make a smart commute choice during
Rideshare Week, October 3-7, 2016.
Packet Pg. 256
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San Luis Obis o City Council Minutes of October 4 20 10 Pa e 4
3. PROCLAMATION - DENTAL HYGIENE MONTH
Mayor Marx presented a Proclamation to Chantel Arnold, Julie Dodson, Kristina Mankins,
Brittany Soto, Maureen Titus and Melanie Water, declaring October as "National Dental
Hygiene Month."
4. PROCLAMATION - COMMUNITY PLANNING MONTH
Mayor Marx presented a Proclamation to Community Development Director Michael
Codron, declaring October as "Community Planning Month."
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
Dia Hurd, San Luis Obispo spoke regarding a lack of community outreach and noticing of City
Council and Planning Commission agenda items.
David Brodie, San Luis Obispo stated that Council regularly ignores Community Design
Guideline recommendations provided to them by the different Advisory Bodies.
Eric Meyer, San Luis Obispo mentioned Ridesliare Week, he noted that electric bikes are
extremely popular and are currently not allo n°cd on City busses; he asked that C minci l reconsider
this restriction.
Camille Small, San Luis Obispo stated her belief that the Architecture Review Commission's
approval of a lighted flashy marquee sign does not fit the downtown area it is intended for.
End of Public Comment ---
CONSENT AGENDA
ACTION: MOTION BY COUNCIL MEMBER ASHBAUGH, SECOND BY COUNCIL
MEMBER CHRISTIANSON, CARRIED 5-0, to approve the Consent Calendar Items 5-6.
5. WAIVE READING IN FULL OF ALL RESOLUTIONS AND ORDINANCES
CARRIED 5-0, to waive reading of all resolutions and ordinances as appropriate.
6. JENNIFER STREET SEWER LINE REPLACEMENT PROJECT AWARD
SPECIFICATION NO. 91185
CARRIED 5-0, to:
Award a contract to Specialty Construction, Inc. in the amount of $1,493, 870 for the
Jennifer Street Sewer Line Replacement Project, Specification No. 91185; and
2. Approve a transfer of $756,870 from Sewer Fund working capital to the project account.
RECESSED AT 6:29 PM TO THE JOINT CITY COUNCIL AND PLANNING
COMMISSION MEETING.
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San Luis Obis o City Council Minutes of October 4 2016 Pa e 5
JOINT CITY COUNCIL AND PLANNING COMMISSION MEETING
CALL TO ORDER: Mayor Marx
ROLL CALL: Council Members John Ashbaugh, Carlyn Christianson, Dan
Rivoire, Vice Mayor Dan Carpenter, and Mayor Jan Marx
Planning Commissioners Hemalata Dandekar, Daniel Knight, John
Larson, and Chairperson Charles Stevenson
ABSENT: Planning Commissioner Ronald Malak and Vice Chairperson John Fowler
STUDY SESSION
7. DOWNTOWN CONCEPT PLAN UPDATE
Community Development Director Codron and Associate Planner Gershow reviewed the
contents of the report. Loreli Cappel of Michael Baker International, provided the
PowerPoint presentation and responded to City Council and Planning Commission inquiries.
Public Comment:
Ken Schwartz, San Luis Obispo stated his belief that the voice of the people is buried and
that the presentation provided tonight was not easily understood.
David Brodie, San Luis Obispo speaking on behalf of Save our Downtown noted findings of
an online survey and at recent workshops.
Anne Wyatt, representing Bike SLO County noted her appreciation of the current plan,
thanked the Council for their work and stated that Bike SLO County members feel " heard"
by the Council.
Eric Meyer, San Luis Obispo County Planning Commissioner speaking as a private citizen
requested careful consideration for future planning for the last 20% of available building
space in the City.
Karen Kile, San Luis Obispo, Executive Director of the San Luis Obispo Museum of Art
sliolce on change coming to the area and asked Council to listen to the voice of the people in
regards to comments provided in recent workshops.
Keith Gurnee, San Luis Obispo noted providing feedback to Council in writing, he stated
liking many aspects of the proposed plan however added that he has many concerns.
Kyle Wiens, San Luis Obispo resident and local business owner speaking on behalf of his
employees noted the need for a parking structure on the North side of town.
Paul Rys, San Luis Obispo spoke regarding the need to provide proper noticing to residents
affected by proposed projects; he rejects the idea of channeling traffic.
End of Public Comment---
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By consensus, the City Council and Planning Commission received the report and provided
input to staff regarding the working draft of the Downtown Concept Plan and accompanying
mobility diagrams.
Mayor Marx called for a recess at 9:03 p.m.
The City Council and Planning Commission returned to the dais at 9: 18 p.m.
8. MISSION PLAZA A5SESSMENT AND MASTER PLAN DEVELOPMENT
Senior Civil Engineer Guzman reviewed the contents of the report. City consultant's Debbie
Rudd and Leif McKay with RRM Design provided the PowerPoint presentation and
responded to City Council and Planning Commission inquiries.
Public Comment:
Ken Schwartz, San Luis Obispo stated his confusion of the process used by Council; noted
that he asked that the progress be tied together with landscape in order to breed artistic
efforts; wants an open space free of anything with wheels.
David Brodie, San Luis Obispo spoke on behalf of Save Our Downtown; read a proposal
that was included in the Council agenda packet; voiced the importance of the creek and
asked for Council to not rush into a decision.
Dominic Tartaglia, San Luis Obispo Executive Director of the Downtown District spoke
regarding the significance of the amphitheater and its uses, he feels the Council needs to
consider the implication these plans have on the future of the City.
Keith Gurnee, San Luis Obispo felt the consultants provided a good range of choices for the
public, he noted his involvement in the public input process.
End of Public Comment ---
By consensus, the City Council and Planning Commission received the report and providedinputtostafftoproceedwiththedevelopmentofapreferredplanusing; elements from
Concept Plans A and B and other sources.
MAYOR MARX ADJOURNED THE JOINT CITY COUNCIL AND PLANING
COMMISSION MEETING AT 10:55 P.M.
RECONVENE AT 10:56 P.M. TO THE REGULAR CITY COUNCIL MEETING.
ACTION: MOTION BY COUNCIL MEMBER ASHBAUGH, SECOND BY COUNCIL
MEMBER RIVOIRE, CARRIED 5-0 by consensus, to continue the meeting past 11:00 p.m.
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STUDY SESSION
9. WASTEWATER COLLECTION SYSTEM CAPACITY CONSTRAINTS
Utilities Director Mattingly and Utilities Wastewater Deputy Director Hix provided a
PowerPoint presentation and responded to City Council inquiries.
Public Comment:
Paul Rys, San Luis Obispo believes in preventative maintenance, spoke on clogged sewer
lines.
Todd Katz, San Luis Obispo noted that much clarity is needed regarding this proposal; he
mentioned additional services available to deal with roots intruding into sewer lines and
believes that residents will not obtain permits if required.
End of Public Comments ---
By consensus, the City Council received and filed the Wastewater Collection System
Capacity Constraints Report.
COUNCIL LIAISON REPORTS
Written Council Liaison Reports were received from Council Member Christianson and Mayor
Marx.
COUNCIL COMMUNICATIONS
None
ADJOURNMENT
The meeting was adjourned at 11:17 p.m. The next Regular City Council Meeting is scheduled
for Tuesday, October 18, 2016 at 4:00 p.m., in the Council Chamber, 990 Palm Street, San Luis
Obispo, California.
Carrie Gatagher
City Clerk
APPROVED BY COUNCIL: 12/13/2016
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Minutes
PARKS AND RECREATION COMMISSION
4 January 2017
Regular Meeting of the Advisory Body Committee Commission
CALL TO ORDER
A Regular Meeting of the Parks and Recreation Commission was called to order on the 4th day of January,
2017 at 5:31 p.m. in the City Council Chambers located at 990 Palm Street, San Luis Obispo, California,
by Chair Whitener.
ROLL CALL
Present: Commissioners Greg Avakian, Susan Olson, Keri Schwab, Douglas Single, Rodney Thurman,
Vice Chair Susan Updegrove and Chair Jeff Whitener
Absent: Commissioner Schwab, Commissioner Single, Vice Chair Updegrove
Staff: Parks and Recreation Director Shelly Stanwyck, Recreation Manager Melissa Mudgett, Senior
Civil Engineer Manny Guzman, Consultant RRM Design Group Leif McKay, Consultant JFR
Consulting John Rickenbach.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
None
PRESENTATIONS, INTRODUCTIONS, APPOINTMENTS
None
CONSENT AGENDA AND CONSIDERATION OF MINUTES
ACTION: APPROVE THE REGULAR MEETING MINUTES OF DECEMBER 7, 2016 AS
AMENDED, MOTION BY AVAKIAN, SECOND BY COMMISSIONER THURMAN.
1. Consideration of Minutes
CARRIED 4:0:0:3 to approve the minutes of the Parks and Recreation Advisory Body for the
meetings of 12/07/16.
AYES: AVAKIAN, OLSON, THURMAN, WHITENER
NOES: NONE
ABSTAIN: NONE
ABSENT: SCHWAB, SINGLE, UPDEGROVE,
PUBLIC HEARINGS AND BUSINESS ITEMS
2. Presentation of the Preferred Mission Plaza Concept Plan
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Senior Civil Engineer, Manny Guzman, and design consultant (Leif McKay of RRM Design
Group) presented to the Commission the preferred conceptual design of the Mission Plaza
Master Plan. Staff Guzman said the Mission Plaza Master Plan was developed based on
community, business, and City feedback which included a year of public review and input
through various community workshops, which was used to develop the preferred design
concept. Mr. McKay shared that RRM Design Group also evaluated the Mission Plaza’s uses,
existing infrastructure conditions, and the feasibility of expanding the Mission Plaza into Broad
and Monterey streets. Mr. McKay added that the Mission Plaza Master Plan design as
presented to the Commission balances both the active and passive recreational needs, presents
options for activating the space to improve safety and encourage positive uses, improves
connectivity within, and to, the Mission Plaza, and creates more flexible and functional spaces.
Mr. McKay presented the main features of the preferred design Mission Plaza concept, which
include the following elements:
Main Plaza with a formal entrance
Raised platform for special event staging
Water feature in Main Plaza
ADA accessible pedestrian bridge crossing the creek
Central Plaza with outdoor café and patio
Historic Adobe retrofitted as an interpretive building
Remodel of public restrooms
Amphitheater renovated to improve functionality and accessibility
Sculpture Garden adjacent to the SLO Museum of Art with pathway to accessible
bridge crossing
Dog-leg” section of Broad Street converted as an extension of the plaza to encourage a
more pedestrian and bicycle friendly street (parking preserved and opportunity for a
new bus stop location)
Mr. McKay added that the Mission Plaza Master Plan preferred concept improves ADA and
Emergency Vehicle accessibility to the Plaza. The project could be phased-in over the next
decade as funding becomes available.
Public Comment
None
Commission Comments followed.
Commissioner Avakian asked about the size of the stage areas. Mr. McKay responded that it
was similar to a performance platform which would be approximately 18” high; allowing
flexibility for multiple uses. Commissioner Avakian asked if there were historic trees at the
plaza that would need to be removed as a result of this design concept. Mr. McKay responded
that all heritage trees would be preserved and in accordance with City adopted arboriculture
practices. Commissioner Avakian stated he was in support of the multi-functional use of the
Mission Plaza. Commissioner Avakian also asked if plaza elements would be added to deter
skateboarding.
Commissioner Olson was in support of modifying the current amphitheater to a more functional
space. Commissioner Olson asked if the Sculpture Garden would include both temporary and
permanent public artworks. Mr. McKay responded that the Sculpture Garden is still in the
concept stage and would be fully explored at a later date through the City’s Public Art Program.
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Commissioner Thurman stated he was in support of the water feature but recommended
consideration of an alternative location other than the main entrance to the plaza.
Commissioner Thurman asked if there were vehicle barriers proposed for the “Dog-Leg” to
limit the interaction between vehicles and pedestrian/bicycles. Mr. McKay responded that the
design is conducive to vehicles slowing down but would not completely limit vehicle access.
He added that the concept would require further review and study by the City’s Traffic
Engineering program. Commissioner Thurman asked about use of permeable paving materials
in the construction of the plaza to capture stormwater and he encouraged the use of drought
tolerant turf.
Chair Whitener asked about if bicycle racks would be added to the Mission Plaza and if
complete closure of the “Dog-Leg” was considered. Mr. McKay responded that the City is
required to provide street and parking access to the residents located on this “Dog-Leg”. Chair
Whitener read a question aloud from Vice Chair Updegrove regarding the location of the
restrooms in which Mr. McKay responded that the restroom location is conceptual.
The Parks and Recreation Commission is asked to comment on all design features and
amenities of the draft Master Plan, including but not limited to the following:
1) Is the Commission in support of the overall Mission Plaza design style
which includes the Woonerf design concept for the “dogleg” (Broad to
Monterey Street), outdoor café, public restroom location and replacement
of the amphitheater with a flat surface plaza?
The Commission was in support of the preferred Mission Plaza design
concept as presented.
2) Does the Commission have any significant concerns regarding the general
site layout, plaza design, proposed recreational facilities or use?
The Commission expressed some concern about the safety of the “Dog-
Leg” with the proposed Woonerf design and intermingling of vehicles and
pedestrian/bicycle traffic but recommend approval with further review and
study by the City’s Traffic Engineering program.
3) What other types of active or passive recreation would the Commission
like to see incorporated on-site?
No additional recreation types were recommended by the Commission.
4) Is the Commission in support of the proposed “sculpture garden?
The Commission was in support of the proposed public art sculpture
garden.
3. Review and Determination of Avila Ranch’s Parks General Plan Policy Conformity;
Review of Parks in Construction Phases One through Three; and Feedback on Parks
Construction Phases Four through Five.
John Rickenbach, JFR Consulting, provided background on the Avila Ranch Development
plan. The applicant team received the Commission’s prior feedback in September and
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November 2015 and have responded with a modified proposal that is consistent with the
General Plan Park and Recreation. The applicant is seeking the Commission’s approval of 18
acres of parks, which include detailed park plans for Parks A through E, and conceptual designs
for Parks F through I.
Stephen Peck, Avila Ranch Project Applicant, said that specific effort was made to incorporate the
Commission’s feedback into a modified design to include many design features and elements that
the Commission had earlier expressed was absent in the original design. He added that the
proposed Community Facilities District would provide dedicated funding through the assessment
of property tax and for the maintenance of the project’s parks, open space trails and facilities
within this development through a restricted fund.
Melanie Mills, Landscape Architect for the project, shared with the Commission park design
features and how the landscape celebrates the existing characteristics of the site. She added that
the park landscape will focus on drought resistant native species, neighborhood turf areas, use of
recycled water, bioretention integration areas that would receive and integrate stormwater, and low
impact development bioretention areas for use of recycled water. Ms. Mills provided a review of
the proposed parks within the Avila Ranch Development phases 1 through 5.
The Commission was asked to provide feedback on the proposed park plans and recommend
the City Council’s approval for the following recommendations:
1. Recommend to the City Council that the project parks proposal is consistent with
the Parks & Recreation Element of the General Plan.
2. Approve detailed park plans for proposed Parks A through E.
3. Review and provide recommendations on conceptual designs for Parks F through I
Public Comment
Jean Hyduchak, Ambassador for National Pickleball Association and SLO Pickleball Club,
spoke about the popularity of pickleball and asked the Commission to recommend that the
applicant consider changing the proposal to add pickleball courts to Neighborhood Park G.
Commission Comments followed.
Commissioner Thurman thanked the project applicant for their thoughtful use of landscape and
bioretention in the modified design. He added that the turf could be removed from Park B and
that trees planted in decomposed granite typically fail to thrive. Commissioner Thurman
expressed concern about the level of water and care needed for an orchard to produce. He added
his support for a separate dog park and recommended permanent concrete seating for the
farmer’s market area. Commission Thurman was also in support of dedicated pickleball courts.
Commissioners Olson and Avakian were in support of the turf area in Park B. Commissioner
Olson was in support of the proposed dog park and asked for separate consideration for larger
and smaller dogs. Commissioner Olson asked if water would be a cost issue for the community
gardens. Director Stanwyck responded that the proposed gardens would most likely use
recycled water. Commissioner Olson was in support of dedicated pickleball courts in Park G.
Commissioner Avakian asked about the density of the R2 development. Applicant Steven Peck
said R2 is low density and is typically 4 to 6 housing units. He added that Park A could be
considered as a potential location to add a basketball half-court. Commissioner Avakian asked
about BBQ areas and Ms. Mills responded that the neighborhood park does include some BBQ
areas. Commissioner Avakian asked if there was a standard size for the community gardens.
Director Stanwyck responded that the typical size is a 10x10 raised garden bed and that
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construction would be responsive to the surrounding housing. Commissioner Avakian was in
support of dedicated pickleball courts for Park G.
Chair Whitener asked if the bioretention areas are calculated into the open space requirement
for park acreage. Director Stanwyck added that the applicant has provided a comprehensive
proposal for parks. Chair Whitener expressed concern about maintenance and safety of the
proposed orchard. Chair Whitener added his support for additional soccer turf fields in Park G.
ACTION: RECOMMEND CITY COUNCIL TO ADOPT THE AVILA RANCH DEVELOPMENT
PROPOSED PARK PLANS FOR PARKS A THROUGH I, AS CONSISTENT WITH
THE PARKS AND RECREATION ELEMENT OF THE GENERAL PLAN, MOTION
BY COMMISSIONER THURMAN, SECOND BY COMMISSIONER AVAKIAN.
CARRIED 4:0:0:3 to recommend Council Adoption.
AYES: AVAKIAN, OLSON, THURMAN, WHITENER
NOES: NONE
ABSTAIN: NONE
ABSENT: SCHWAB, SINGLE, UPDEGROVE,
4. Review and Recommend to Council Adoption of the Proposed Recreation Agreement
between the City and San Luis Obispo County YMCA
Director Stanwyck provided an overview of the proposed recreation agreement between the
City and the YMCA. The Parks and Recreation Department and the YMCA desire to continue
to collaboratively offer programming together and avoid duplication of programs and efforts by
memorializing their partnership via this proposed agreement. Director Stanwyck noted that for
the past year, staff from both parties have met to develop this recreational partnership
agreement that memorializes the longstanding relationship between the City and the YMCA.
Public Comment
Monica Grant, Chief Executive Officer of the SLO County YMCA, thanked the Commission
and Parks and Recreation staff for their support in seeking creative partnership opportunities
with the City to continue to offer affordable recreational opportunities for the community.
Commission Comments followed.
The Commission thanked Parks and Recreation staff and the YCMA for their joint efforts in
providing affordable and accessible recreational opportunities.
Commissioner Thurman asked for background information about the Ken Hampian hockey
rink.
Commissioner Avakian asked about the fiscal impact of the agreement, how the fees were
calculated and how they will be collected. Staff Mudgett explained the methodology and the
tiered-payment recommendation for the 4-year term of the Agreement.
ACTION: RECOMMEND CITY COUNCIL ADOPTION OF THE PROPOSED RECREATION
AGREEMENT BETWEEN THE CITY AND THE SAN LUIS OBISPO COUNTY
Y.M.C.A. MOTION BY COMMISSIONER AVAKIAN, SECOND BY COMMISSIONER
OLSON.
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CARRIED 4:0:0:3 to recommend Council Adoption.
AYES: AVAKIAN, OLSON, THURMAN, WHITENER
NOES: NONE
ABSTAIN: NONE
ABSENT: SCHWAB, SINGLE, UPDEGROVE,
COMMITTEE COMMUNICATIONS
5. Director’s Report
Director Stanwyck provided a brief update of current Parks and Recreation programming and City
updates:
Community Forum on January 10th at 6:30pm at the Ludwick Community Center. She
added that Advisory Body goals have been forwarded to the City Council and encouraged
Commissioners to attend the Forum.
City Council Goal Setting will be held on January 28th at the Library Community Room.
Sinsheimer Playground project will begin construction after January 23, 2017 and
completion is anticipated by Summer 2017.
LIAISON REPORTS
6. Subcommittee Liaison Reports
Adult and Senior Programming: Commissioner Single was absent. No report.
Bicycle Advisory Committee: Commissioner Olson said there was no meeting. No report.
City Facilities (Damon Garcia, Golf, Pool & Joint Use Facilities): Commissioner
Avakian reported the planting of nine trees at the Course and field closures due to rain.
Tree Committee: Commissioner Thurman said there was no meeting. No report.
Jack House Committee: Vice Chair Updegrove was absent. No report.
Youth Sports: Commissioner Schwab was absent. No report.
Commission Communications
ADJOURNMENT
The meeting was adjourned at 8:17 p.m. to the regular Parks and Recreation Commission scheduled for
01, February, 2017 at 5:30 p.m., in the City Council Chambers, 990 Palm Street, San Luis Obispo,
California.
APPROVED BY THE PARKS AND RECREATION COMMISSION: 02/01/2017
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Minutes
CULTURAL HERITAGE COMMITTEE
Monday, February 27, 2017
Regular Meeting of the Cultural Heritage Committee
CALL TO ORDER
A Regular Meeting of the Cultural Heritage Committee was called to order on Monday,
February 27, 2017 at 5:30 p.m. in the Council Hearing Room, located at 990 Palm Street,
San Luis Obispo, California, by Chair Hill.
ROLL CALL
Present: Committee Members Sandy Baer, Craig Kincaid, Shannon Larrabee, James Papp, Leah
Walthert, Vice-Chair Thom Brajkovich, and Chair Jaime Hill
Absent: None
Staff: Senior Planner Brian Leveille and Recording Secretary Monique Lomeli. Other staff
members presented reports or responded to questions as indicated in the minutes.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
None.
End of Public Comment--
APPROVAL OF MINUTES
ACTION: MOTION BY VICE CHAIR BRAJKOVICH, SECOND BY COMMITTEE
MEMBER KINCAID, CARRIED BY CONSENSUS 7-0 to approve the minutes of the Cultural
Heritage Committee meeting of January 23, 2017 as amended:
Page 1: Correct Roll Call section to reflect Committee Member Baer’s absence.
Page 2: Add Committee Member Kincaid’s question on review of the tree removals
PUBLIC HEARINGS
1. Mission Plaza Concept Plan. OTHR-0172-2017: Conceptual review and discussion of
the Mission Plaza Concept Plan within the Downtown Historic District; discussion of this
item is not subject to CEQA; C-D-H zone; City of San Luis Obispo, applicant.
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Debbie Rudd, RRM Design Group, narrated a PowerPoint presentation providing
background information and an overview of the Mission Plaza Concept Plan.
Senior Planner Leveille provided information on the next steps for review of the
Mission Plaza Concept Plan.
Ms. Rudd responded to Committee inquiries and requests for clarification.
In response to inquiry by Chair Hill, Manny Guzman, Senior Civil Engineer, stated the
conceptual nature of the Mission Plaza Concept Plan does not currently include design
detail, noting that once funding is obtained, design details will be developed and
reviewed.
In response to inquiry by Committee Member Papp, Ms. Rudd clarified the two existing
pedestrian bridges are not accessible to the handicapped and clarified the intent and
accessibility of the proposed new bridge.
Public Comments:
Chair Hill opened the public comment.
Saro Rizzo, suggested incorporation of a simple play area to offer an amenity for
children and parents using the area.
End of Public Comment--
Committee Member Larrabee voiced support for the concept and stated she especially
appreciated the effort put into making the area handicap accessible.
Committee Member Baer stated she enjoys the amphitheater and is unsure of whether
she would like to see it changed but is otherwise pleased with the concept.
Chair Hill stated the current design is not functional for families with small children
and stated she would like to see more turf in southeast portion of the plan and voiced
concern regarding the splash pad at the entrance of the plaza dissuading locals from
doing business in the area.
Committee Member Papp stated he admires the outreach efforts extended to the
community; commented on the historical importance of the area and asked that its rich
history be incorporated into the plans for signage, sculpture, and other placemaking
efforts.
Committee Member Brajkovich stated he thought the concept was thorough and
incorporated the feedback from the community. He suggested the plan include a play
area for children and recommended closing off Broad Street to accommodate the
increase in pedestrian traffic.
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2. 116 Chorro Street. HIST 4114-2016: Review of a Historical Preservation Agreement
Mills Act Contract) for the Master List Historic Michael C. Halpin House, with a
categorical exemption from environmental review; R-1 zone; Robert and Shawn Harper,
applicants.
Assistant Planner Walter Oetzell presented the staff report with use of a PowerPoint
presentation.
Public Comments:
Chair Hill opened the public hearing.
Buzz Kalkowski, inquired about the process monitoring maintenance of Mills Act
properties.
In response to Mr. Kalkowski, Chair Hill and Senior Planner Leveille provided
information on the City’s process to review Mills Act improvements.
Shawn Harper, applicant, inquired about the City’s purview for improvements or
renovations to historical homes.
End of Public Comment--
Chair Hill responded to the home owner’s question, stating each property has a unique
agreement but generally, for private residences, the City’s concern is related to the
exterior design.
In response to Committee Member Papp, Senior Planner Leveille stated the intent of
the Mills Act contract is to enhance and present the historic character of the property.
Committee Member Papp requested staff consider reducing the Mills Act application
fees. Senior Planner Leveille stated that such consideration is underway.
ACTION: MOTION BY COMMITTEE MEMBER PAPP, SECOND BY
COMMITTEE MEMBER LARRABEE, CARRIED BY CONSENSUS 7-0 to forward
a recommendation to City Council to approve the applicant’s request to be a part of the
Mills Act Preservation Program.
3. 1020 Railroad Avenue. ARCH 2769-2016 & USE-2770-2016: Review of the
installation of a new wireless telecommunications facility, including two new “chimney
cupola” screening elements to be constructed on a Contributing List Resource within the
Railroad Historic District with a categorical exemption from environmental review; C-R-
S-H zone; Verizon Wireless, applicant.
Chair Hill acknowledged receipt of correspondence from John Grady prior to the
meeting.
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Assistant Planner Walter Oetzell presented the staff report with use of a PowerPoint
presentation.
In response to inquiry by Committee Member Papp, Assistant Planner Oetzell stated the
City does not allow uncovered wireless telecommunications facilities.
Public Comments:
Chair Hill opened the public hearing.
Applicant Representative, Robert McCormick, explained the current proposed design and
responded to Committee inquiries regarding the necessity of the design, location and size
of the antennas.
Saro Rizzo, Building Owner, provided background information for the building and
requested constructive feedback if a redesign is required.
Chair Hill closed the Public Comment Period.
End of Public Comment--
Vice-Chair Brajkovich suggested an architectural redesign.
Chair Hill requested staff provide information on the building height, particularly from
Church Street.
Committee Member Papp commented on the design and stated the building does not fit in
with the essence of the railroad district and the design guidelines for the district cannot be
elegantly applied to this building.
Committee discussion ensued regarding the project’s consistency with historic
preservation guidelines.
ACTION: MOTION BY COMMITTEE MEMBER PAPP, SECOND BY CHAIR
HILL, CARRIED BY CONSENSUS 7-0 to continue the item to a date uncertain with
direction to simplify the screening enclosure.
Chair Hill left the room at 7:22 p.m. and returned at 7:24 p.m.
LIAISON REPORTS
Senior Planner Leveille presented a Memorandum of Understanding (included in the agenda
packet) between the City and the Friends of the La Loma Adobe and responded to Committee
inquiries.
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Chair Hill provided information regarding the potential uses of the space and invited Buzz
Kalkowski to provide input on behalf of Friends of La Loma.
Mr. Kalkowski provided background information on the property.
Senior Planner Leveille provided an agenda forecast and information regarding training
opportunities.
Committee Member Papp requested the Committee agendize discussion regarding community
outreach and cultural heritage education.
ADJOURNMENT
The meeting adjourned at 7:39 p.m. The next Regular Meeting of the Cultural Heritage
Committee is scheduled for Monday, March 27, 2017 at 5:30 p.m., in the Council Hearing
Room, 990 Palm Street, San Luis Obispo, California.
APPROVED BY THE CULTURAL HERITAGE COMMITTEE: 03/27/2017
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ARCHITECTURAL REVIEW COMMISION
Monday, March 20, 2017
Regular Meeting of the Architectural Review Commission
CALL TO ORDER
A Regular Meeting of the Architectural Review Commission was called to order on Monday,
March 20, 2017 at 5:00 p.m. in the Council Hearing Room, located at 990 Palm Street, San Luis
Obispo, California, by Chair Wynn.
ROLL CALL
Present: Commissioners Amy Nemcik, Allen Root, Angela Soll, Vice Chair Suzan Ehdaie
arrived at 5:05 p.m.), and Chair Wynn
Absent: Commissioner Brian Rolph
Staff: Community Development Deputy Director Doug Davidson, Associate Planner Kyle
Bell, and Recording Secretary Monique Lomeli. Other staff members presented reports
or responded to questions as indicated in the minutes.
PUBLIC COMMENT ON ITEMS NOT ON THE AGENDA
None.
APPROVAL OF MINUTES
ACTION: MOTION BY COMMISSIONER NEMCIK, SECOND BY COMMISSIONER
SOLL, CARRIED BY CONSENSUS 4-0-2 to approve the Minutes of the Architectural Review
Commission meetings of January 9, 2017 and January 30, 2017 as presented.
PUBLIC HEARINGS
1. 135 Ferrini Road. ARCH-2451-2015: Continued review of a three story multi-family
residential project that includes five residential units, with a categorical exemption from
environmental review; R-4 zone; Zac Missler, applicant.
Associate Planner Kyle Bell presented the staff report with use of a PowerPoint presentation
and responded to Commissioner inquiries.
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As requested by Chair Wynn, Associate Planner Bell provided a brief overview of the traffic
impacts associated with the project.
Applicant Truitt Vance expressed appreciation for the consideration showed by the
Commission and responded to Commission inquiries.
Public Comment:
Ed Hazencamp requested information regarding the barrier between the project and his
property.
End of Public Comment--
Associate Planner Bell confirmed the barrier between Mr. Hazencamp’s property and the
project will be a 6 -foot wooden fence.
Commission discussion followed.
Applicant Truitt Vance responded to Commission comments regarding the revised color
palette, stating the palette is not as mute as it appears in the presentation and that another
project in the neighborhood used a similar palette with positive feedback from the
community.
Chair Wynn requested paint samples be provided on future color boards.
ACTION: MOTION BY COMMISSIONER ROOT, SECOND BY
COMMISSIONER SOLL, CARRIED BY CONSENSUS 5-0-1 to approve the project
as presented in the staff report with the following amendment to condition #4:
4. The applicant shall work with staff to revise and refine the colors and materials to provide
lighter colors and consider utilizing wood siding on the upper levels. The applicant shall
note the use of smooth finish stucco on the building plans to the satisfaction of the
Community Development Director.
2. Mission Plaza Concept Plan. OTHR-0172-2017: Conceptual review and discussion of the
Mission Plaza Concept Plan within the Downtown Historic District; discussion of this item
is not subject to CEQA; C-D-H zone; City of San Luis Obispo, applicant.
Debbie Rudd, RRM Design Group, presented an in-depth review of the conceptual plan
with use of a PowerPoint presentation and responded to Commission inquiries.
Public Comments:
Chuck Crotser, San Luis Obispo, provided feedback on various elements of the concept
plan and suggested future collaboration with the Downtown Concept Plan Creative
Vision Team.
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Ken Schwartz spoke in favor of the project, provided background information on the
concept, and suggested incorporating a cultural center.
Dean Miller provided background information on the plaza and feedback on the current
concept plan, and suggested the intersection at Chorro and Monterey Street become part
of the plaza concept.
End of Public Comment--
Commissioner Root spoke in favor of the concept; stated an archway at the entrance
would create a sense of confinement and he would prefer to see an alternative to that
archway; expressed interest in Chorro and Monterey Streets becoming part of the
concept.
Commissioner Soll spoke in favor of the concept; stated she would like to see the
splashpad relocated closer to the children’s museum and is not in favor of the archway
entrance.
Vice-Chair Ehdaie spoke in favor of the wheel-free space and expressed interest in
more information about connectivity from the creek-side path to the other side of the
bridge.
Commissioner Nemcik spoke in favor of the concept and voiced support for the
removal of the amphitheater; stated she would like to see the adobe repurposed as a
living museum.
Chair Wynn spoke in favor of the concept and agreed with previous comments
regarding the archways, relocation of the splash pad, and possible expansion of the
project to include Chorro and Monterey; stated he would like to see a reduced number
of switchbacks.
COMMENTS AND DISCUSSION
Deputy Director Davidson provided an agenda forecast. There was a brief discussion regarding
the future appointment of two new members and the end of Vice-Chair Ehdaie’s term on the
ARC.
ADJOURNMENT
The meeting was adjourned at 6:52 p.m. The next Regular meeting of the Architectural Review
Commission is scheduled for Monday, April 3, 2017 at 5:00 p.m., in the Council Hearing Room,
990 Palm Street, San Luis Obispo, California.
APPROVED BY THE ARCHITECTURAL REVIEW COMMISSION: 05/15/2017
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Minutes
PLANNING COMMISSION
Wednesday, May 10, 2017
Regular Meeting of the Planning Commission
CALL TO ORDER
A Regular Meeting of the Planning Commission was called to order on Wednesday,
May 10, 2017 at 6:00 p.m. in the Council Chambers, located at 990 Palm Street, San Luis
Obispo, California, by Chair Stevenson.
ROLL CALL
Present: Commissioners Kim Bisheff, Scott Mann, Nicholas Osterbur, Hemalata Dandekar, and
Chair Charles Stevenson.
Absent: Commissioner Ronald Malak and Vice-Chair John Fowler.
Staff: Assistant City Attorney Jon Ansolabehere, Community Development Deputy Director
Xzandrea Fowler, Recording Secretary Monique Lomeli. Other staff members
presented reports or responded to questions as indicated in the minutes.
PLEDGE OF ALLEGIANCE
Chair Stevenson led the Pledge of Allegiance.
APPROVAL OF MINUTES
ACTION: MOTION BY COMMISSIONER MANN, SECOND BY COMMISSIONER
DANDEKAR, CARRIED 5-0-2 to approve the minutes of the Joint Council and Planning
Commission meeting of April 12, 2017 as amended:
Commissioner Dandekar requested mixed-housing options in the downtown area with a greater
consideration to affordability.
Commissioner Mann referenced his written correspondence, suggesting softening intersections
to slow traffic as it approaches the downtown core.
Chair Stevenson recommended removal of the Cannabis Regulation and Climate Action Plan
Implementation white papers to be replaced with categories focused on healthy communities and
incentive-driven housing programs.”
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Minutes – Planning Commission Meeting of May 10, 2017 Page 2
BUSINESS ITEM
1. 609 Palm Street. USE-0388-2017/EID-0349-2017: Conceptual review of the proposed
Palm/Nipomo Parking Garage project that includes commercial space and the San Luis
Obispo Little Theatre and the public scoping meeting to discuss the work-scope of the
Environmental Impact Report (EIR) being prepared for the project; O-H & R-3 zones;
City of San Luis Obispo, applicant.
Parking Manager Scott Lee provided a brief history of the proposed project.
Contract Environmental Planner Shauna Callery, Rincon Consultants, Inc., presented an
in-depth staff report.
Deputy Director of Public Works Tim Bochum responded to Commission inquiries.
Public Comments:
David Brodie, San Luis Obispo, read from written correspondence submitted by Allan
Cooper.
Dave Hannings, San Luis Obispo, spoke in favor of the project and expressed concerns
regarding noise impacts.
Babak Naficy, San Luis Obispo, expressed opposition to the project and submitted
written correspondence.
Rachel Drake, San Luis Obispo, spoke in favor of the project and voiced concerns
regarding environmental impacts.
Ken Schwartz, San Luis Obispo, commented on the cultural significance of the site.
End of Public Comment--
Commission discussion followed, with direction to staff to include an additional study
regarding greenhouse gas emissions and to modify the EIR scope as follows:
1. Include a rooftop public access space.
2. Consider the adverse impact to a scenic vista a potentially significant impact versus
a less than significant impact.
Commission recessed at 7:27 p.m. and reconvened at 7:35 p.m., with all Commissioners present.
2. Mission Plaza Concept Plan. OTHR-0172-2017: Conceptual review and discussion
of the Mission Plaza Concept Plan within the Downtown Historic District; discussion
of this item is not subject to CEQA; C-D-H zone; City of San Luis Obispo, applicant.
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Minutes – Planning Commission Meeting of May 10, 2017 Page 3
Engineer Manny Guzman briefly introduced the project consultant and invited the
Commission to provide feedback on the conceptual design.
Design Consultant Leif McKay, RRM Design Group, presented an overview of the
Mission Plaza Concept Plan, identifying areas to be revised with the intent to
incorporate public feedback, and responded to Commission inquiries.
Public Comment:
Ken Schwartz, San Luis Obispo, voiced disagreement with the boundaries of the
conceptual design urged the Commission to recommend expanding the vision of the
plaza.
David Drake, San Luis Obispo, echoed the sentiments of Mr. Schwartz and suggested
integrating more cultural emphasis.
Rachel Drake, San Luis Obispo, spoke in favor of the plan and suggested possible
expansion of boundaries.
Dave Hannings, San Luis Obispo, spoke in favor of the conceptual plan and suggested
expanding the plan.
End of Public Comment--
Commission discussion followed with the following recommendations:
1. Include additional permanent seating near the amphitheater.
2. Incorporate opportunities to encourage appropriate use of space.
3. Provide greater consideration to safety within multimodal areas.
COMMENTS AND DISCUSSION
Deputy Director Fowler provided an agenda forecast.
ADJOURNMENT
The meeting was adjourned at 9:07 p.m. The next Regular meeting of the Planning Commission
is scheduled for Wednesday, May 24, 2017 at 6:00 p.m., in the Council Chambers, 990 Palm
Street, San Luis Obispo, California.
APPROVED BY THE PLANNING COMMISSION: 06/28/2017
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