CIS Department Review With Attachments

Six Key Areas 1. Management review of the

Department of Communication and Information Services

2. Examine all processes, procedures, and documentation of same

3. Review all positions, job descriptions/criteria, and each job incumbent looking at his/her qualifications, experience, job history and pay

4. Work projects will be delineated, analyzed, and measured for progress to plan and cost

5. Best practices of other large cities will be compiled

6. Review organizational structure /

methodology of providing IT support services for City of Dallas activities, including but not limited to privatization Source: July 20, 2011 Memorandum

Memorandum

CITY OF DALLAS TO: Mary K. Suhm, City Manager

FROM: Communication and Information Services Review Committee

DATE: December 9, 2011

The Communication and Information Services (CIS) Task Force Committee (Committee) has completed a CIS Management Review (Review) of the six key areas identified in the Memorandum dated July 20, 2011. During the first Committee meeting on July 25, 2011, the Committee members discussed the objectives of the Review and acknowledged that the six key areas could not be fully addressed within the requested 10 week review period. As a result, the Committee focused on the most critical tasks and developed the following agenda for completion:

• Survey CIS employees; • Conduct CIS employee focus groups; • Conduct internal customer focus groups; • Review CIS hiring practices; • Review CIS Position Description

questionnaires; and, • Review Information Technology (IT) best

practices.

While completing these critical tasks, the Committee was also able to address on a limited scale all of the six key areas. The Committee anticipates that as the City implements the recommendations resulting from the Review that these six key areas will be fully addressed and the broad scope anticipated for the Review completed. The results of the CIS employee survey, focus groups, review of CIS hiring practices, review of Position Description questionnaires, and research of IT Best Practices showed that improvements in: (1) CIS Communications; (2) IT Governance; (3) IT Strategic Planning; (4) IT Organization and Workforce Processes; (5) IT Budgeting and IT Cost Allocation; and, (6) CIS Management and Employee Training are needed to ensure the City’s funding and limited IT resources are being used in the most effective manner to provide services to citizens and internal customers. These improvements are outlined in the following recommendations for City management’s review and consideration:

“Dallas, The City That Works: Diverse, Vibrant and Progressive”

CIS Committee Report December 9, 2011 Page 2

Summary of Key Recommendations and Projected Timeline

Recommendations Projected Timeline

CIS Communications Improve communication throughout the department. Specifically:

1. Implement a CIS Employee Advisory Council (EAC) to receive employee recommendations and facilitate timely responses from management

2. Communicate ongoing projects and priorities within CIS and with internal customers

3. Publish the current Organizational Chart 4. Communicate management’s commitment to

transparency in the hiring process

2nd Quarter Fiscal Year 12

IT Governance Develop and implement an IT governance structure that creates a formal process for IT decision-making, establishes accountability for these decisions, and outlines how the results are to be measured and monitored. This IT decision-making process should also help to ensure the development, monitoring, and ongoing execution of:

1. IT decision priorities 2. IT Infrastructure Library (ITIL) 3. Control Objectives for Information and related

Technology (CoBIT) 4. IT related Administrative Directive(s) revisions to allow

for a more streamlined process to update IT procedures

5. IT Performance Measurement

2nd Quarter Fiscal Year 12 Ongoing Ongoing Ongoing 2nd Quarter Fiscal Year 13 Ongoing

IT Strategic Plan Develop an IT Strategic Plan to provide planning and guidance for the IT systems and services associated with the operation and support of City-wide services. As part of the IT Strategic Plan, develop:

1. Department-Level IT Strategic Plans 2. IT Infrastructure Plans 3. Rolling 5-year IT Financial Plans

3rd Quarter Fiscal Year 12

IT Organization and Workforce Processes



Recommendations Projected Timeline Revise the IT Organizational Structure and Workforce Processes to align with City business processes and services. To facilitate this revision and ensure workforce resources are optimized:

1. Align the CIS organizational structure with the IT

Strategic Plan to better reflect IT services 2. Compare and align IT job titles with the IT industry 3. Streamline IT job classifications 4. Conduct a compensation analysis of CIS positions (as

part of the Total Compensation Study) 5. Ensure CIS improves personnel management.

Specifically, CIS should: • Communicate CIS new hire and organizational

changes • Review periodically the mix of temporary

employees, contract personnel, and permanent employees to meet CIS’s needs

• Conduct 360 degree evaluations of CIS management periodically

• Develop succession plans

4th Quarter Fiscal Year 12 4th Quarter Fiscal Year 12 4th Quarter Fiscal Year 12 4th Quarter Fiscal Year 12 3rd Quarter Fiscal Year 12 Ongoing

IT Budgeting and IT Cost Allocation Re-evaluate the CIS budget and the associated IT cost allocation to:

1. Ensure costs associated with the rolling 5-year Financial Plans are considered for funding

2. Develop, measure, and assess planned versus actual Return on Investment and Total Cost of Ownership for major projects

If Minor Changes, Fiscal Years 12 and 13 If Major Changes, Fiscal Years 13 and 14

CIS Management and Employee Training Develop training programs reflecting individual employee training plans to improve management and employee knowledge. Specifically:

1. Revise hiring processes for temporary placement and full time employees, including a six month review

2. Develop CIS New Employee Orientation and ensure CIS employees review CIS policies and procedures

3. Develop and/or ensure CIS employees attend leadership training including communications, conflict management, and managing customer expectations

4. Evaluate CIS employee training needs and associated costs

3rd Quarter Fiscal Year 12 2nd Quarter Fiscal Year 12 2nd Quarter Fiscal Year 12 3rd and 4th Quarters of Fiscal Year 12 3rd Quarter of Fiscal Year 12

(See Attachments A – E for additional details)


CIS Committee Report December 9, 2011 Page 4 Committee Review Process: The first objective of the Committee was to survey CIS employees. The purpose of the survey was to gauge the CIS work environment and identify key problem areas. During the first two weeks of the Review, the Committee developed the survey questions and distributed the survey to CIS employees. Out of the 175 CIS employees, 140, or 80 percent, completed the survey. The survey results were provided to all CIS employees. As a result, the survey was not included in this report. Survey participants were asked scaled questions ranging from “strongly agree” to “strongly disagree.” The survey results were a mix of positive and negative. The following illustrates the key questions for which results were largely positive (employees agreed) and negative (employees disagreed):

Questions with the Highest Level of Agreement - Average Score 2.2 or less (Scale of 1 - 5)

Number

2.2

I support the goals of CIS?

2.16 I understand my specific job tasks?

2.17

I understand how my work is related to other jobs within CIS?

2.27 My work directly contributes to CIS’ ability to produce quality products/services?

2.47 My work gives me a feeling of personal accomplishment?

2.49 I seek out changes that will help me do my work better?

2.52 I really care about the future of CIS?

2.60 I enjoy my work in CIS?

2.69 The goals set for me are reasonably difficult or challenging but I feel that I can reach them?

2.70 I feel a great deal of loyalty towards the City?

2.81 Maintaining knowledge of developments in my field is my responsibility?

2.82 I do what is necessary to remain current in my field?

2.95 My supervisor trusts me?



Questions with the Highest Level of Disagreement - Average Score 3.7 or greater (Scale of 1-5)

Number

2.7

2.18

People from any level of CIS can get ideas accepted? The current structure of CIS helps work flow smoothly?

2.20 Divisions within CIS seem to have the right

number of employees for their assigned workload?

2.21 Our structure enables us to respond quickly to provide needed changes in our products/services?

2.32 The department provides good opportunities for employees to grow, develop, and be promoted?

2.43 Within CIS, a good balance exists between developing the skills of existing employees and hiring skilled individuals from the outside?

2.45 CIS rewards its employees in a variety of ways?

2.46 Within CIS, what you know is more important than who you know?

2.72 Communication is very effective from the "Top Down?"

2.83 New opportunities in CIS are communicated to all employees?

Following the survey, the Committee arranged for CIS employees to attend focus groups. Skot Welch with Global Bridgebuilders developed the curriculum for the focus groups and led the sessions in coordination with Senior IT Manager Earl Johnson. Twelve separate focus group sessions were held the week of August 24, 2011. Ninety-seven percent of CIS employees participated in the sessions. Following the CIS employee focus groups, internal customer focus group sessions were also held. Again, Skot Welch with Global Bridgebuilders, with input from the rest of the Committee members, developed the curriculum for the focus groups and led the sessions, held on September 8, 2011. The final report summarizing the results of the employee focus groups and the internal customer focus groups is Attachment A to this memo. In connection with the survey and focus groups and in order to streamline the Committee’s productivity, the CIS task force formed three sub-committees. One sub-committee reviewed the hiring practices of CIS, past and current. The second sub-committee reviewed Position Description Questionnaires (PDQs) to determine if employees with the same job title are


CIS Committee Report December 9, 2011 Page 6 performing the same or similar job duties. The third sub-committee reviewed IT best practices. The following is a summary of each sub-committee’s review and findings: CIS Review Sub-Committee on CIS Hiring Practices The sub-committee on CIS hiring practices consisted of Civil Service Director Patricia Marsolais, Human Resources Director Molly McCall Carroll, CIS Assistant Director Robbie Porter-Wooten, and Senior Assistant City Attorney Jennifer Carter Huggard. It is the sub-committee’s findings that procedures were in place to ensure fairness and competition in hiring practices, but were not followed uniformly. For many of the temporary hires in CIS who were the subject of recent media coverage, NeoGov requisitions existed for the position occupied by a temporary. Some of the hiring managers reported that a critical need existed that needed to be filled immediately, resulting in the temporary being brought in, instead of hiring a permanent employee. Another key problem discovered in the review is that a lack of documentation exists for interviews and hiring within CIS. In some cases, the sub-committee’s review revealed that only one candidate was interviewed for a position and/or that interview panels were not consistently diverse. The sub-committee identified the three most common situations in which the hiring of temporary employees is necessary: (1) for a limited duration project for which the hiring of a permanent employee is not practical; (2) when a permanent employee is on leave; or, (3) when an immediate need exists that cannot await the permanent hire process. For all three of the above situations, the sub-committee recommends that prior to any temporary placement, that the hiring manager be required to obtain approval from the administrative Assistant Director, to ensure that funds are available for the hiring. Following that, the sub-committee outlines key specific recommendations, depending upon the existing situation. A copy of the sub-committee’s findings and detailed recommendations is included as Attachment B to this memo. CIS Review Sub-Committee on PDQs The sub-committee on PDQs consisted of Human Resources Manager III Patsy P. Bethea, Human Resources Interim Assistant Director Margaret Wright Rogers, CIS Senior IT Manager Joe Thompson (Retired), and Civil Service Senior Human Resources Analyst Mildred (Millie) Laird. The goal of this review was to determine if employees with the same job title are performing the same or similar job duties. Based on the duties listed on the PDQs, those employees performing duties outside their identified classification are placed in a more appropriate job title. The review found the majority of the employees are functioning as described in the classification specification, with a few exceptions for which reclassifications have already been made. The sub-committee also studied Civil Service-certified register(s) to determine if employees in CIS were listed on a register of qualified candidates for the position they are currently assigned. For employees in CIS employed before 1993, this review could not be accomplished because the City did not have the mechanics in place to track this process prior to 1993. Other than executives who are excluded from Civil Service, out of the remaining CIS employees, there were only two employees whose names could not be located on the register of qualified candidates for the position to which they are currently assigned. This sub-committee’s report is included as Attachment C to this memo.


CIS Committee Report December 9, 2011 Page 7 CIS Review Sub-Committee on IT Best Practices This sub-committee consisted of Interim Chief Information Officer Bill Finch and Assistant City Auditor Carol Ann Smith (Advisory). The purpose of the sub-committee was to identify IT best practices and determine whether the City and CIS practices align with these IT best practices. The review showed that the City and CIS have not fully implemented the 13 IT best practices the sub-committee deemed most significant for City management to consider to improve the quality of IT services and to enhance accountability to customers. These 13 IT best practices and the associated recommendations were summarized into the following three main categories: (1) IT Governance & Controls; (2) Workforce Management (Development); and, (3) Tactical and Strategic Technology Planning. By implementing the recommendations associated with these 13 IT best practices, the City can realize the following improvements: (1) Service to the citizens; (2) Alignment between the City’s Six Key Focus areas (business objectives) and IT systems and services; (3) City-wide IT prioritization, coordination, and accountability; (4) IT staff productivity; (5) IT infrastructure reliability, stability, and security; and, (6) IT Service delivery and controls. A copy of the sub-committee’s detailed findings and recommendations is included as Attachment D to this memo.




The Committee members are available to discuss these recommendations in more detail or to answer any questions that City management may have after reading this memo. The Committee members appreciated the opportunity to participate on the Committee and look forward to the positive outcomes for IT services that may result from the Review.

CIS Task Force Committee

Jill Jordan, P.E., Assistant City Manager, (Team Leader) Patsy P. Bethea, Manager III, Human Resources

Trafton Bogert, Programmer/Analyst Project Manager

Molly McCall Carroll, Director, Human Resources Jennifer Carter Huggard Senior Assistant City Attorney

Earl Johnson, Senior IT Manager, CIS Mildred (Millie) Laird, Senior Human Resource Analyst, Civil Service

Patricia Marsolais, Director, Civil Service Robbie Porter-Wooten, Assistant Director, CIS Carol Smith, Assistant City Auditor, City Auditor’s Office (Advisory)

Joe Thompson, Senior IT Manager, CIS (Retired) Skot Welch, Consultant, Global Bridgebuilders Margaret Wright Rogers, Interim Assistant Director, Human Resources

Attachment A: Communication and Information Focus Group Meetings 1

Attachment A: Communication and Information

Focus Group Meetings

CIS FOCUS GROUP MEETINGS


City of Dallas has engaged Mr. Skot Welch of Global BridgeBuilders (GBB) to assess and facilitate separate focus group meetings with both CIS employees and External customers. The purpose was to invite feedback and suggestions on the operations/support of the CIS department to City entities. GBB was also engaged to develop an action plan to broaden and “open up” communication within the workplace and leverage the current employee diversity with a goal of intentional innovation and stronger employee and customer engagement activities. CIS Employee Focus Groups GGG conducted 12 (twelve) focus groups meetings with CIS staff and management employees on August 24 - 26, 2011. 97% of CIS employees participated in a focus group meeting. Each CIS employee focus group meeting asked the same set of questions:

• What are the greatest strengths of this department/division? • What are the greatest obstacles/challenges that prevent you from doing your

job? • What are the biggest threats to the strengths that you spoke about? • When conflict occurs, what generally is the cause of it? • Finally, after all of these questions, what do you want? What would you like to

see specifically take place? CIS Departmental Strengths, per staff Overall, CIS employees feel strongly that they do as good a job as can possibly be done under the constraints of many adverse conditions. Specific strengths of the department’s technical employees are:

• Work well under pressure; • Below the management level, strong and lengthy experience in government

service; • Dedicated, committed and hard working; • Strong team work; • Strong commitment to customer service; • Internally cohesive; • Nice people who are family-oriented; • Resourceful; • Deliver on big projects and respond well to emergencies.


CIS Departmental Challenges, per staff Morale Many employees perceive that the major factor in poor morale their accomplishments are not seen or understood and the importance of their work is unappreciated. Employees see themselves as an easy target, without any management support or champion who is there to defend them and better articulate their contributions. Lack of Resources and Staffing CIS employees perceive there is a lack of adequate resources to respond to the demands of other City departments. These complaints reference:

• the age of various systems; • lack of budget to purchase technology that supports technology already

purchased by other departments; • a general lack of staffing to accomplish an ever growing task list that overwhelms

current staff, compounded by the constant loss of knowledgeable and experienced technical people.

Perceived Management Challenges, per staff Employees frequently cited the following challenges with CIS Management:

• Departmental vision, goals and objectives. Management is frequently cited as reactive rather than proactive.

• Managerial hiring. Expertise or experience does not appear to be a strong consideration in the hiring process.

• A collaborative style of leadership. Employees report little encouragement or acknowledgement for successful work and that their input is not sought about managers’ performance.

• Retaliation. Some employees expressed a fear of possible retaliation for speaking out in a focus group meeting.

• Disrespectful behavior by managers. • Perceived poor communication by management as the source of most

problems, obstacles and conflict within the department. • Perceived problems in employee hiring, training, promotion, and retention.

Specifically: o Job descriptions are out-dated; o Lack of opportunity for advancement for current and long-term

employees; o Lack of defined career paths for dedicated long-term employees; o Knowledgeable employees are not retained and leave with all the

knowledge; o No training for new staff.

• A perceived organizational culture of blame. Employees in the department are scape-goated when CIS projects encounter problems.


Perceived CIS General Themes Workload: CIS Department employees feel strongly that CIS department management takes on every project on the wish list of City departments. There is no priority-setting that takes into account CIS resources, including people, equipment and budget. Strategic approach to technology: Some employees have the sense that their management does not have the skills to help the City set technology strategy, and business strategy related to technology. Meeting customer expectations: Some employees feel that CIS management agrees to every request presented to them, even in the absence of the necessary resources. Management Strategy: The widely held sentiment that management styles vary significantly from one manager to another. Conflict Management: Many employees feel that the workplace feels to be in constant chaos and conflict.

CIS Internal Customer Focus Groups GBB conducted 4 (four) focus groups meetings with CIS customers on September 8, 2011. There were two (2) meetings comprised of external customer managers and staff. There were two (2) meetings comprised of external customer executive management. Each CIS customer focus group meeting asked the same set of questions:

• What are the major IT challenges facing your department currently? • What are the greatest strengths of CIS? What do they really do well? • What are the biggest threats to those strengths? • Do you feel that CIS is organized appropriately to deliver IT services to your

department? CIS Departmental Strengths, per customers Strengths cited for CIS were:

• Desktop support since 2008; • Work on large projects, as contrasted with smaller ones; • IT services for the Sanitation Department.

Perceived CIS Departmental Challenges, per customers Customer Service from CIS The majority of customer’s complaints focused on:

• Understanding of department needs; • Communication; • Accountability; • Unwillingness to help (“a do it yourselves attitude”); • Asking questions to which customers do not know how to respond; • Continuity in supporting IT programs;


• Providing IT resources departments need (including software); • Obtaining departments input on equipment purchases; • Including a departments input in designing systems and purchasing equipment. • Giving departments some of the things that they need. Departments are

stonewalled and told that many things are a security issue; • CIS getting into the departments’ business. Customers want service, period.

Resources and Management An identified lack of investment in CIS as a larger part of the IT challenges their department faces. Specifically:

• CIS employees lack adequate training; • Customer frustration with the IT systems, most notably:

o System slowness; o Frequent downtime of some systems; o Outdated equipment.

• Unresponsiveness from CIS, most notably: o Slow response time on most projects; o Forgotten work tickets that have to be reopened when the work is not

done; o Lack of information about how to handle various IT issues; o Slow in setting up work stations for new employees.

Emerging Themes from Customer Focus Groups Norms for appropriate responses from CIS: Some of the comments from customers suggest that expectations for IT service from CIS may be unrealistic with their lack of skills and inattentiveness. Agreement on IT priorities throughout city government: The view that their departmental IT priorities as ones that should be, and are, top priorities for the entire city government. Communication around IT services: A range of difficulties in communicating with CIS employees. CIS does not speak the customer’s language and vice versa. Support for clients within city government to cope with budget frustrations: Customers are frustrated about the impact of budgetary constraints on their ability to meet their heightened customer service. Budget constraints directly impact services when these limitations create smaller IT budgets. Conflict management: CIS is unresponsive to departments needs in many different ways. Departments appear to be actively seeking ways to avoid CIS through self-help and outside contracting. GGB Conclusions and Recommendations for Further Improvement With the conclusion of the CIS employee and CIS Customer Focus Groups, some specific recommendations are given:


CIS Specific Recommendations:

1. Creation of a CIS Employee Advisory Council (EAC), with the emphasis on taking ideas forward and upward. Employee recommendations from the EAC must get a timely response from management;

2. Training needs to be conducted with all CIS staff to focus on the following areas: leadership, teamwork, problem solving and maximizing customer service and productivity;

3. Assess the technology and business management skills of managers. From this assessment, develop and implement a management training program that will include coaching, leadership skills and critical thinking;

4. Provide more training in technology for line staff; 5. Improve communication throughout CIS about on-going projects; 6. Implement a 360 evaluation process for managers; 7. Develop and use a new hire check sheet, and provide formal CIS orientation

training for new hires; 8. Establish guidelines for the placement of temporary hires, including the

methodology of determining how long temporary hires will remain in place. General Recommendations:

• Develop and implement strategic technology plan that supports the City’s overall strategic plan. CIS staff must be heavily involved. IT priorities have to be set. There has to be careful effort toward obtaining buy-in throughout the City departments for these priorities. City employees have to understand how their departmental priorities fit, or not, with the larger strategic vision for IT in City government. Customers readily assume that their priorities are the appropriate ones for the entire city, without an awareness of the complexity of the needs and interests of the entire City organization.

• Develop and communicate norms for appropriate responses from CIS to numerous types of client IT requests. CIS, using a collaborative team model as suggested by GBB, will work with City departments to develop reasonable expectations for any kind of IT response.

• Develop and implement conflict management program. The types of conflict that are affecting IT services to the city departments need to be assessed. It is anticipated that some of the conflict that is reported will be addressed through responses to the recommendations above, but that a conflict management program would provide skills training for all employees in the department beyond traditional communication skills, specifically in conflict management and negotiation skills.

Attachment B: Hiring Practices 1

Attachment B: Hiring Practices


Memorandum

CITY OF DALLAS TO: CIS Committee Members

FROM: CIS Sub-Committee on Hiring Practices

DATE: December 6, 2011

Four members of the CIS Committee formed by the City Manager were asked to review the hiring practices in CIS and make findings and recommendations for best hiring practices. The sub-committee consists of Civil Service Director Patricia Marsolais; Human Resources Director Molly McCall Carroll; CIS Assistant Director Robbie Porter-Wooten; and Senior Assistant City Attorney Jennifer Carter Huggard. Findings of Review:

• Most of the individuals identified by the media were hired directly by the City on a temporary basis and not through a staffing agency.

• It is unknown how the individuals learned of the opportunities at the City. • For many of the temporary hires, NeoGov requisitions existed for the

position occupied by a temporary. • Some of the hiring managers reported that a critical need existed that

needed to be filled immediately, resulting in the temporary being brought in instead of hiring a permanent employee.

• There exists little documentation of the interview and selection process. • Hiring managers reported that efforts were made to ensure that interview

panels, when convened, were diverse, although this was not consistently followed.

• For hiring managers that participated in interviews, they all reported that notes were taken during interviews; however, no notes could be located in responding to the open records requests or in response to our requests for copies. o One hiring manager reported that he may have purged them when he

moved offices. o One panel member reported that he was required to turn his notes into

the hiring manager at the conclusion of the interview and he does not know what happened to them after that.

It is the sub-committee’s findings that procedures were in place to ensure fairness and competition in the hiring practice. However, the procedures were not followed uniformly.


Recommendations:

1. Hiring managers and panel members should be trained on hiring process. 2. Hiring temporary employees: There are three common situations where

temporaries are hired: a. For a limited duration project for which the hiring of a permanent

employee is not practical; b. When a permanent employee is on leave; or c. When an immediate need exists that cannot await the permanent hire

process.

For all three of the above situations, the sub-committee recommends:

• Prior to any temporary placement, the hiring manager obtain approval from the administrative Assistant Director to ensure that funds are available for the hiring.

For the first and second situations listed above, the sub-committee recommends:

• The hiring manager notifies the administrative Assistant Director of the estimated time period that the temporary employee will remain employed. o Near or at the end of the estimated time period, the administrative

Assistant Director shall examine the status of the temporary employee and determine whether adequate justification or need exists to retain the temporary employee beyond the estimated time period.

For the third situation above, the sub-committee recommends:

• The City Manager, or her designee, approves appointments lasting more than twelve months. To receive this approval, the department must: o Provide detailed justification for retaining the temporary employee

for more than twelve months; o Provide documentation showing that a NeoGov requisition has

submitted to fill the position with a permanent, full-time employee; o Report the status of the interview and selection process for the

permanent hire; and, • If City Manager approval is not obtained, the temporary hire must be

separated from City employment. • To the fullest extent possible, competition for temporary placement

should be maintained by consideration of numerous candidates. o The CIS Human Resources generalist should verify that this

process is followed and that the interview panel for a temporary hire is diverse.

• To the fullest extent possible, for temporary hire placement without competition, the person who recommended the candidate for the position be prohibited from involvement in the placement process.








Attachment C: Position Description Questionnaires 1

Attachment C: Position Description

Questionnaires


CITY OF DALLAS

Memorandum

DATE: September 23, 2011

TO: Communication and Information Services (CIS) Review Committee

SUBJECT: CIS Review Sub-Committee Report — Position Description Questionnaires (PDQs)

The attached draft report presents the results of the CIS Review Sub-Committee on Position Description Questionnaires (PDQs). The goal of this review was to determine if employees with the same job title are performing the same or similar job duties. Based on the duties listed on the PDQ, those employees performing duties outside their identified classification are placed in a more appropriate job title.

The review found the majority of the positions are functioning as described in the classification specification. A few however, are performing duties outside the job classification they are assigned. These positions have been submitted for reclassification on the upcoming document submitted for Council approval.

While the overall process for reviewing PDQs do not require review of the employee’s qualification, a review of the Civil Service certified register(s) was conducted to determine if employees in CIS were listed on a register of qualified candidates for the position they are currently assigned. The results of the review are included. During the review, it was determined CIS, in conjunction with Human Resources, should review the information technology (IT) classifications (job titles) within the department to determine if: 1) the structure of the department is in line with the department’s strategic plans; 2) are the assigned titles in line with the IT industry; 3) a possible streamline of the job classifications within the department. The scope of this review could be accomplished within the timeframe of this committee. Consideration for this review by management can be conducted within the next 12 to 18 months.

Please feel free to contact me at 214-670-3596 or Margaret Wright at 214-670-3550 should you require any further information.

Committee Members: Patsy P. Bethea, Manager, Human Resources Margaret W. Roger, Assistant Director, Human Resources Joe Thompson, IT Manager, Retired Millie Larid, Human Resources Analyst, Civil Service

Fiscal Year 2011-12 Budget/Reclassification Position Classification Allocation

PM# UNIT

CURRENT CLASS CODE

CURRENT TITLE CURRENT GRADE ACTION

NEW CLASS CODE

NEW TITLE IF NOT THE SAME

NEW GRADE

PM000760 1675 36100 Departmental Technology Analyst

I RECLASS 30017 Coordinator III I

PM000821 1675 35547 GIS Analyst III J RECLASS 36504 Senior Information Technology Analyst

J


Attachment D: Information Technology Best Practices 1

Attachment D: Information Technology

Best Practices


The Communication and Information Services (CIS) Review Sub-Committee on Information Technology (IT) best practices compiled the following list of 13 (IT) best practices it deemed as most significant for City Executive Management to consider to improve the quality of service and enhance accountability to customers. The IT best practices are presented in a hierarchy. These IT best practices are inter-related and describe necessary elements of:

• IT Governance & Controls;

• Workforce Management (Development); and,

• Tactical and Strategic Technology Planning. If the City and CIS plan to adopt IT best practices and use accepted IT best practices benchmarks, such as the Control Objectives for Information and related Technology (CoBIT) Maturity Model (Model), or a comparable benchmark, timely implementation of these recommendations is encouraged.

Best Practice(s) Definition/Objective Recommendation Responsibility Implementation Time Frame

I. IT Governance Framework

Process by which decisions are made around IT investments. How decisions are made, who makes the decisions, who is held accountable, and how the results of decisions are measured and monitored.

Develop and implement a formal IT Governance Framework that is based on three major elements:

Structure - Who makes the decisions? What structural organizations will be created, who will take part in these organizations, and what responsibilities will they assume?

Process – How are IT investment decisions made? What are the decision-making processes for proposing investments, reviewing investments, approving investments, and prioritizing investments?

Communication – How will the results of these processes and decisions be monitored, measured, and communicated? What mechanisms will be used to communicate IT investment decisions to the City Council, executive management, IT management, employees, and citizens?

CIO/ City Manager/ Assistant City Managers


Source: IT Governance Framework by Craig Symons, 2005 Forrester Research, Inc., Pages 2 – 3



I.A IT Strategic Plan

IT Strategic Plan provides planning and guidance for the IT systems and services associated with the operation and support of City-wide services.

Develop a City-wide IT Strategic Plan that aligns with the City’s Six Key Focus areas and includes the following:

• Vision/Mission • Goals and Objectives • Long-term IT planning, including

resource planning (5- year plan) • Strengths, Opportunities, Weaknesses,

and Challenges

CIO / City Manager/ Assistant City Managers/


Source: Best Practices of IT Strategic Planning by Yesser, Version 1.0, 2007, Page 4, Pages 18 – 19

Texas Department of Information Resources, 2010-2014 State Strategic Plan for Information Resources Management, In-Brief Edition, Page 2

Federal Department of Homeland Security IT Strategic Plan FY 2009-2013, Pages 2 – 3

I.A.1 Department-Level IT Strategic Plans

Department-Level IT Strategic Plans provide important information that is needed in the IT Strategic Planning Process to provide enterprise and department-specific solutions. This information should result in more efficient expenditure of limited resources and more effective service delivery.

Develop Department-Level IT Plans that:

• Summarize key factors that will influence technology decisions over the next 5 years

• Align technology solutions with business needs and priorities

Department Directors/ CIS Management


Initial Department-Level Strategic Plans may require a shorter-term outlook to allow departments and CIS to align information needs.

Source: Texas Department of Information Resources, Agency Strategic Plans: Technology Resources Planning, Page 1



I.A.2 Technology Infrastructure Plan

A Technology Infrastructure Plan focuses on agility in responding to requirements, to provide reliable and consistent information, and to seamlessly integrate applications into business processes. The plan is regularly updated and encompasses aspects such as systems architecture, technological direction, acquisition plans, standards, migration strategies and contingency for the near-term and the long-term.

Create and maintain a technology infrastructure plan that is in accordance with the IT strategic and tactical plans. The plan should be based on the City’s technological direction and include contingency arrangements and direction for acquisition of technology resources. The Plan should consider changes in the environment, and improved operability of platforms and applications. The plan should also:

Evaluate IT resources and Employees - so that CIO can plan ahead to include in IT’s knowledge base. Roles that require local knowledge should be sourced internally; roles requiring specialized or external expertise are more likely outsourced;

Monitor Future Trends – to incorporate the consequences of these trends into the development of the Technology Infrastructure Plan; and

Create an Enterprise Architecture (EA) Group - that span multiple business units. The EA group should take a role in defining the architecture and strategy for multi-level projects.

CIO 3rd Quarter Fiscal Year 12

Source: IT Staffing Trends to Watch in 2010, Forrester, Page 2, Page 5, Page 11

Pros and Cons of Future IT Models, Forrester, 2010, Pages 2 - 4, Page 12

Control Objectives for Information and related Technology (CoBIT) 4.1 Framework Control Objectives, Management Guidelines, Maturity Models, Pages 37-38

TIBCO Service-Oriented IT Organizational Structure Best Practices: An Introduction, Pages 6 – 7



II. IT Organization chart

An output in a diagram or a chart that focuses on structure and the static part of the IT department. The diagram or the chart tends to be stable with minimal changes, defines hierarchical communication paths and reporting.

Structure and organize the IT department with a focus on City business processes and services and business integration.

Align the organizational diagram or chart with the IT Governance Framework and IT Strategic Plan and consider the objectives and goals that might affect the design of the organization.

CIO 4th Quarter Fiscal Year 12

Source: TIBCO Service-Oriented IT Organizational Structure Best Practices: An Introduction, Page 3

Best Practices of a IT Organization Design, Yesser, Version 1, Pages 6 - 7, Pages 11 – 12

II.A CIS Relationship Management

The IT relationship manager acts as go-between, communicating the implications of IT governance to the business units while articulating the needs of business units back to IT. The bulk of this work is carried out by IT teams organized at various levels based on specific objectives.

Establish IT teams that include executive or senior management from various business units with strong focus toward customer service delivery and issues.

Use inclusive IT teams if possible and apply a collaborative process to avoid Possibilities Gap, the Realization Gap or both.

CIO/ Designated Business Unit Executives

On-going

Source: Best Practices of a IT Governance Framework, Forrester Research, 2005, Page 11 - 13

DMG Consulting, Don’t just do it; Think IT: The IT Organization of the Future, Page 2



II.B Workforce Resource Management (IT Staffing)

The goal of Workforce resource management is to align and optimize supply with demand, taking into account resource acquisition and development, capacity, priority, allocation and the integration of internal and external resources.

Assess the existing workforce resources (employees), prioritize the roles required for service based IT organization, and devise strategies that are cost-effective and enhance the ability to provide services to the City departments.

Adopt workforce management strategies to invest in in-house capabilities and ensure appropriate succession planning.

CIO/ Assistant Directors

On-going

Source: Balancing IT Staff, Contractors, and Outsourcing in Government, Gartner, 2010, Pages 1 - 3, Page 6

Use the Enterprise IT Maturity Model to Invest in the Right Roles at the Right Time, Gartner, 2010, Page 1, Page 3, Page 10



III. Budgets and Allocation of IT Costs

A budget is a financial framework to manage the investment and cost of IT assets and services through:

(1) prioritization and maintenance of IT resources;

(2) evaluation of ongoing costs related to operating and maintaining the current infrastructure; and,

(3) Implementation of a cost management process comparing actual costs to budget.

Budgets are set and tracked continuously to evaluate IT’s cost-efficiency and its contribution to the business.

A system of allocation enables the business to make more informed decisions regarding the use of IT services.

Develop an IT budget and measure and assess actual business value against the budget forecast.

Complete an accurate assessment of IT costs by aligning charges to the quality and quantity of services provided, building an agreement on a complete cost model, and implementing changes as per the agreed-upon policy.

Develop a model in which City departments are motivated and held financially accountable for their utilization decisions. In addition, the model should consider future costs to build and/or maintain the City’s IT infrastructure.

City Manager /Assistant City Managers/ CIO/

CIS Assistant Directors/CIS Budget Manager/ Department Directors

If Minor Changes, Fiscal Years 12 and 13

If Major Changes, Fiscal Year 13 and 14

Source: Control Objectives for Information and related Technology (CoBIT) 4.1 Framework Control Objectives, Management Guidelines, Maturity Models, Pages 47 - 48, Page 121

Mainstream IT Service Delivery Strategies are Misaligned, Gartner, 2006, Page 8, Pages 11 – 12



IV. IT Service Management and the ITIL Framework

The IT department exists to provide services to its customers. These services vary in nature and importance, and they require different skill sets from its providers.

The IT Infrastructure Library (ITIL) is a series of documents that are used to aid the implementation of IT Service Management (ITSM). ITIL is organized around a Service Lifecycle, which includes Service Strategy, Service Design, Service Transition, Service Operation and Continual Service Improvement.

Identify and implement pertinent ITIL framework components in a comprehensive manner ensuring:

Integration of IT operational activities with the IT Strategic Plan and internal controls and incorporating feedback from these areas into the design of the CIS ITIL framework;

Scalability of ITIL framework components and their associated activities so that the CIS organization is flexible and versatile; and,

Consistency and efficiency in the execution of the CIS ITIL framework activities and tasks through comprehensive checklists tasks and procedures, and continual monitoring.

CIO/ CIS Assistant Directors

Ongoing

Source: Control Objectives for Information and related Technology (CoBIT), Mapping Overview of the International Guidance, 2nd Edition, Page 20

ITIL: The Basics: Compliance Process Partners, 2010, Pages 3 – 4



IV.A Project Management

Project management is the discipline of planning, organizing, securing, and managing resources to achieve specific goals. The Project Management Institute documented and standardized project management information and practices into PMBOK (Project Management Body of Knowledge). The PMBOK is based on five process groups and nine knowledge areas.

Continue with the existing project management methodology and expand the practice towards all IT projects to drive business value and alignment with the IT strategic plan.

Interim CIO/ Portfolio Managers / Business Analysts/ CIS Project Managers

Ongoing

Source: Wikipedia, A guide to Project Management Body of Knowledge, Page 1

Wikipedia, Project Management, Page 1

Project Management Institute, Page 1

Best Practices of an IT Organization Design, Yesser, 2007, Page 11, Page 24, Page 35



IV.B IT Audit and Controls Framework

The Control Objectives and related Information Technology (CoBIT) framework ties the business requirements for information and governance to the objective of IT services function. The framework enables IT activities and the resources that support them to be properly managed through a control based approach. CoBIT is often used in conjunction with other frameworks such as ITIL. The CoBIT model consists of four primary domains:

• Plan and Organize

• Acquire and Implement

• Deliver and Support

• Monitor and Evaluate

Align the CoBIT framework with the IT Governance framework, the IT Strategic Plan and the ITIL framework and incorporate internal controls to support each of the areas:

Plan and Organize – Insure that the requirement technology infrastructure and human capital are in place. Does everyone in the City understand the IT objectives? Are IT risks understood and being managed? Is the quality of IT systems appropriate for business needs?

Acquire and Implement – Manage the life cycle of existing systems through maintenance, enhancements, and retirements. Are new projects likely to deliver solutions that meet business needs? Will the new systems work properly when implemented? Will changes be made without upsetting current business operations? Deliver and Support – Consider services and support issues including performance, security and training. Are IT services being delivered in line with business priorities? Are IT costs optimized? Are adequate confidentiality, integrity and availability in place for information security? Monitor and Evaluate – Assess IT processes for their quality and compliance with internal controls. Is IT’s performance measured to detect problems before it is too late? Does management ensure that internal controls are effective and efficient? Can IT performance be linked back to business goals?

CIO/ CIS Assistant Directors

Ongoing

Source: Control Objectives for Information and related Technology (CoBIT 4.1) Excerpt, Executive Summary Framework, Page 13, Page 24

Best Practices, IT Governance Framework, Forrester Research, 2005, Pages 7 – 8, Page 10



IV.C Policies (Administrative Directives (AD), Standards, and Procedures

A policy is a document that records high-level principle or course of action that has been decided upon. A policy’s intended purpose is to influence and guide both present and future decision making to be in line with the philosophy, objectives and strategic plans established by the enterprise’s team. A procedure is a document containing steps that specify how to achieve an activity. Procedures are defined as part of processes.

Review existing documentation to establish, document and communicate IT policies and procedures to IT employees as well as other user departments that rely on the IT services. Policies should be defined in a manner that is readily understood by a non-technical reader. IT procedures should be sufficiently detailed to allow an IT employee to operate with minimal supervision.

CIO/ CIS Assistant Directors/IT Managers


Source: Control Objectives for Information and related Technology (CoBIT) 4.1 Framework Control Objectives, Management Guidelines, Maturity Models, Appendix VII, Page 192




IV.D Monitor and Evaluate

Key IT processes need to be regularly assessed over time to address performance management, monitoring of internal control, and IT governance. An assessment tool is used so that CIOs can identify their needs and plan the next steps in strengthening IT organizations.

Establish a monitoring process to detect problems before they arise, and ensure internal controls are effective and efficient. CIO should further develop a monitoring framework to consider:

• Performance targets • Define benchmarks • Periodic reviews • Root cause analysis • Remedial action

Use an assessment tool to identify the expectation and performance gaps, as well as strengths and weaknesses and build a performance improvement road map.

CIO Ongoing

Source: Control Objectives for Information and related Technology (CoBIT) 4.1 Framework Control Objectives, Management Guidelines, Maturity Models, Pages 13, Pages 153 - 156

Raising IT’s Credibility; The Gartner IT Management Competency Framework, 2007, Page 1

Use the Enterprise IT Maturity Model to Invest in the Right Roles at the Right Time, Gartner, 2010, Pages 1 - 2


Methodology The Department of Communication and Information Services (CIS) Review Sub-Committee for Information Technology (IT) Best Practices used the following methodology to gather information across key IT Best Practice areas:

• Reviewed reports related to CIS issued by the City of Dallas Office of the City Auditor (Office) to determine recommendations made in the past four years to improve CIS operations and controls

• Conducted a brainstorming exercise with IT specialists from Grant Thornton, LLP, representatives of the Office, and the CIS Interim Chief Information Officer (CIO) to identify known sources of IT best practices, such as the Information Technology Infrastructure Library (ITIL) and Control Objectives for Information and related Technology (CoBIT

• Researched IT best practices identified during the brainstorming exercise and others identified through available IT subscription services and the internet

• Researched the IT portions of the following City websites: Austin, Texas; Houston, Texas; San Antonio, Texas

• Researched the IT portion of the following websites: State of Texas, State of Iowa, U.S. General Accountability Office (GAO), and the U.S. Office of Electronic Government.

CIS Department Review With Attachments

Documents

estimated

implementation

administrative

similar job

position description

neogov requisitions

workforce

project management