City of Tacoma Service Level Agreements

ii

REVISION HISTORY Revision

No. Date Brief Description Approved

iii

REVISION SUMMARIES

This section contains transmittal memos that describe changes included in each numbered revision.

iv

TABLE OF CONTENTS Signature Page ............................................................................................. i Revision History ......................................................................................... ii Revision Summary ................................................................................... iii Introduction .................................................................................................... 1 General Requirements ............................................................................. 2

Appendices Service Level Agreements

Customer Service Finance Department Human Resources Department Information Technology Department Legal Department Permitting Services

1

Introduction The City of Tacoma Service Level Agreement (SLA) describes the services delivered by internal service departments as agreed upon by both the service delivery department and the operating (or “client” or “customer”) department. The internal service departments include Finance, Human Resources, Information Technology, and Legal. In addition, this document includes SLAs for Permitting Services and Customer Service. All prior SLAs have been reviewed and are incorporated into this current document, thus superseding any past SLAs. The SLA sets expectations for the delivery of internal services as well as the role both service provider and recipient play in delivering those services. The ultimate goal is to establish well understood, consistent internal services that facilitate the eventual delivery of high performing services to the citizens and ratepayers of the City of Tacoma. The City Manager and Utilities Director have created service level agreement principles that lay the foundation for how SLAs are to be developed, reviewed and maintained. This agreement upholds the following principles:

Operating and service delivery departments are strategic partners.

Effective service is the result of a partnership between the operating and service delivery departments, and the expectations and measures of performance of each must be agreed to and delivered upon.

All departments will be supported with an agreed upon consistent, core level of services that are effective and efficient.

If requested by an operating department, additional services or service levels must be negotiated separately and shall be paid for outside the cost allocation system.

Service level agreements will include performance measurements, which must be meaningful and mutually agreed between the department being served and the service provider.

Performance of the service providers will be regularly evaluated by the operating departments as part of the performance management process. Issues that require follow-up and additional resources shall be mutually agreed upon and subject to future performance measurements and reporting.

Operating departments will participate in development of relevant policies and selection of key personnel by the service delivery departments.

Operating and service delivery departments both play a role to ensure compliance with laws, regulations and policies.

2

Given the inseparable relationship between the provider and recipient of services, teams were assembled in each of the service areas to collaboratively address the following questions:

1. What are the services to be provided?

2. What are the expected levels of services that the service providers should provide and what responsibilities do the operating departments have in the provisioning of the services?

3. What is the current performance of both parties in the delivery of the services?

4. What plans do both parties have to correct any deficiencies in the delivery of the services?

5. How do the parties hold each other accountable for the delivery of services?

6. How do they report their performance?

The resulting SLAs for each service area are included as appendices to this document.

General Requirements Quarterly Review As described in the service level agreement principles, service delivery departments will meet with their client departments on a quarterly basis to review service level performance unless otherwise approved by the City Manager and Utilities Director. The purpose of this review is to recognize outstanding performance and to identify areas for improvement that will strengthen the provider/client partnership. The following elements comprise the quarterly reporting and accountability framework:

Quarterly reviews of the defined SLAs, the service, expected performance, current performance, and plans to reach expected performance will be done by the members of the respective SLA Teams. Senior Executives of the operating departments will be encouraged to attend the quarterly review meetings to share their experiences and perspectives with the SLA Teams.

Recognition of outstanding performance as well as identification of gaps in performance or “lessons learned” in the implementation of the SLA will be discussed. Strategies, processes, and timelines to address gaps will be defined at these quarterly meetings.

Discussion at the quarterly review meetings will include feedback from the service delivery department regarding the customer’s contributions to the transactions that are essential in meeting expected performance and in implementing plans to reach expected performance.

The information from the quarterly reports will be shared with the Joint Leadership Team and the TPU Management Team.

3

Annual Review Representatives from the service delivery departments and operating departments will jointly prepare an annual report in January of each year. The report will contain the following elements:

Discussion of operations and performance metrics, including areas of excellence as well as areas needing improvement from both a provider and client perspective.

A critique of the performance of the service delivery departments and operating departments during the previous year, focusing on the results of the plans for improvement.

If necessary, a plan outlining the steps to achieve performance expectations in those service areas where significant gaps exist.

Changes to SLAs Adjustments to SLAs will normally be considered on a quarterly basis. Adjustments or new SLAs that require new funding will normally be considered during the budget process. The time frames or other elements identified in the SLAs may be revised on a case-by-case basis upon documented mutual agreement between the operating and service delivery departments. In this way, the SLA is a “living document” that is intended to be a useful tool. The service delivery department responsible for the specific SLA will consult with the Deputy City Manager for the next sequential revision number and submit a transmittal memo with subject “SLA Revision No. ___” with the page(s) of the revised SLA attached. The cover memo will briefly describe each change and the page on which it can be found. For more information, contact the Deputy City Manager.

Issue Resolution Issue resolution is a responsibility of both operating and service delivery departments. The objectives of this process include:

Identify the problem and bring it to the attention of the service delivery or operating department;

Timely addressing of the issue of concern through open discussion between the parties involved;

Manage the issue at the level at which it is occurring. Bring issues to the next level of supervision and escalate to the Department Director or Superintendent level only when no resolution can be found;

Significant policy issues should be raised to the appropriate Director or Superintendent, the Deputy City Manager, or to the City Manager and/or Utilities Director for final resolution.

4

A collaborative problem solving approach provides opportunities to improve and build the relationship between the operating and service delivery department staff. Steps in the issue resolution process might include:

Develop a common understanding of the issue and problems to be solved

Identify and discuss the underlying needs of both parties

Obtain more information if needed

Explore options that meet the underlying needs of both parties

Evaluate options – how well do they meet the needs of each party based on

— impact on requirements (city, state, federal)

— addressing the service gap

— impact on the organization, people, policies, processes, standards, accepted practices, expectations and roles

— costs within service level agreements/budget

— consequences for each option

— consequences of making an exception

Select the preferred option

Communicate and implement the decision

Policy issues being escalated to the Director/Superintendent level and above should include a joint submission by operating and service delivery department staff to include:

Issue statement about current policy

Background

Options considered, recommended, rationale and implications of the decision

Other tools and arrangements to consider include:

Setting up regular meetings between operating and service delivery department representatives to enhance communications and mutual understanding of service needs and to be active on service delivery department activities and programs.

Utilizing “debriefs” to review what went well, lessons learned, and how each party can improve communication or approaches in the future.

Identifying customer service liaisons and providing client contact information and desired process for communication and problem resolution to both the service department staff and customer service liaisons for those service departments that have them.

SERVICE LEVEL AGREEMENTS

CUSTOMER SERVICE

Service Level Agreement

Customer Service

SERVICE AREA KEY SERVICES EXPECTED PERFORMANCE & MEASUREMENTS

CURRENT PERFORMANCE PLAN TO REACH EXPECTED PERFORMANCE

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Billing Preparing and managing billing Customer Service (CS) is responsible to provide accurate and timely utility billing of residential and commercial customers.

Accurate and timely utility bills are to be provided to all customers. CS will be the default location for all questions related to billing.

Customer Service will bill late charges and penalties on accounts, including when customers turn on their own power and water meters.

Measurement: Billing accuracy equal to or greater than industry average of .08%

It appears we are below industry standards for billing accuracy in aggregate and it is difficult to measure and monitor in the subgroups. It’s a manual process and we do not have industry data for the subgroups.

Log an iStar request and work with EASD staff to create new contact classes and actions codes for tracking, and request a new meter read code for when the reading is manually adjusted. Report on status in 1st Qtr. 2010

Develop refresher training on reading accuracy and working Implausibles in 1st Qtr, and provide training in the 2nd Qtr 2010.

Adjustment, Installment& back billing Billing adjustments and reversals are performed by CS Staff. Payment plans, regardless either current or back billing, should be setup by Customer Service staff.

When adjustment and reversals are done, CS will only reverse necessary billing documents (i.e., when reversing water billing documents there is no need to reverse power, solid waste, etc.)

When billing adjustments are made a SAP contact must be created on each account to explain the reason for adjustment.

CS will create installment plans for the payment period up to or equivalent to the time period over which the retroactive billing was applied.

The payment amount should be a

CS is inconsistent in the reversal of billing documents and practices related to refunds and waivers. On occasion CS will reverse bill documents that don’t need to be corrected.

CS staff is also inconsistent in documenting the information in the contact notes when bill documents and invoices are reversed.

Occasionally CS refunds more than the maximum allowed previous 3 years, and on occasion, refunds have been granted without the appropriate approval from the appropriate division

Customer Service will begin benchmarking in 1st Qtr 2010

CS will create a list of contact types to report on and begin sharing volumes in the 1st Qtr 2010

Standards and processes will be created for what constitutes an adjustment for a billing error, payments, and installments and be shared with the team in the 3rd Qtr 2010

Develop communication strategy for sharing new standards with CS staff in the 3rd Qtr 2010

After the baseline of billing reversal errors has been established the benefits of


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reasonable percentage or amount to ensure timely payment. The payment schedule should not exceed the number of months in retroactive period. Exceptions need approval of the appropriate Division

Any exceptions will be reviewed by the affected utilities before adjustments are made.

Measurement: Start tracking for a benchmark using

ZB_MDC Report Contacts created are audited and

shared with the team Create new standards (installments,

payments, and adjustments). Adherence to the new standard once

they are in place (installments, payments, and adjustments)

Evaluate the benefits of a process improvement plan and a timeline for reaching the benchmarks.

authority. There is no standard as to what

constitutes a billing error so adjustments are sometimes being done when there was no error.

establishing a process improvement team will be evaluated in 4th Qtr 2010.


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Environmental Services (ES) Billing CS will send verify read

notifications or check for leaks if high water consumption occurs during the winter months. Wastewater will be adjusted, when necessary, when a water leak adjusts is performed. Wastewater adjustments will be reviewed by Environmental Services staff.

Applicable wastewater information must be included for all water back bill or adjustment letters to customers.

CS will refer all billing issues involving wastewater sub meters to WWM CS staff for review.

CS will refer all customers with Solid Waste SD charges to Solid Waste staff.

CS must follow the ES retroactive billing policy. No refunds or utility waivers for Environmental Services utilities shall be applied unless approved by ES utility staff. Customer Service staff will not imply or indicate if a credit will or will not be applied by ES.

Adjustments on WQA must be discussed with WWM CS staff prior to making the correction. CS will not adjust a previous year’s WQA after a new WQA year has begun.

Wastewater adjustments will be reviewed by ES staff.

Wastewater information will be included in the back billing letters.

All City of Tacoma residents denied a water leak adjustment and the high water use was during the winter months, will be referred to Wastewater Management CS.

CS will correct flat charges on accounts at the time they perform the name change last read date. When BP changes are made, flat charges and WQA will be corrected.

CS to provide periodic tracking reports

Review of customer account data suggests that some data is incorrect including implausible water reads that impact sewer, missing contact notes, releasing wastewater sub‐meter reads that impacts hand billing procedure.

Billing adjustments have also exceeded the time allowed pursuant to the wastewater retroactive billing policy. CS is inconsistent in applying criteria used to create installment plans for retroactive billings. Wastewater information is not included in the CS back billing letter.

CS is inconsistent in adjusting flats when accounts are closed by using the last paid date. Also when BP changes are made the flats and WQA are often not corrected.

Making corrections on WQA in prior year after the new‐year calculation completed without discussing with ES or having them review the change.

TPU Commercial Services generally sends emails to ES & T&L when a new business occupies a premise. The information they obtain is general. For

Referral of Solid Waste customers with SD charges information will be included in CS Training Newsletter in 1st Qtr 2010.

CS will review the process of letters sent to customers and identify improvement opportunities and share this with Environmental Services in the 2nd Qtr 2010.

Investigate tracking mechanisms to begin tracking and reporting on status of BP and WQA adjustment errors in 2nd Qtr 2010.

Standards and processes will be created for what constitutes an adjustment for a billing error, payments, and installments and be shared with the team in the 3rd Qtr 2010

CS will coordinate training content to be shared in staff meetings, newsletters and classroom training with Environmental Services. Develop a training plan for rolling out the new standards in 3rd Qtr 2010.


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on status of refunds, number of, type of waivers, etc. CS will provide regular reporting that includes an accounting of waivers.

TPU CS will adjust wastewater when necessary while performing the water leak adjustment. If a water leak adjust is denied and the inadvertent water use occurred during the winter quarter, the customer will be referred to Wastewater Management.

Measurements: Set baseline using the ZB_MDC Report

to identify errors. Creation of new standards

(installments, payments, adjustments, misc postings, and waiver of fees)

Adherence to the new standard and any exceptions (installments, payments, adjustments, and waiver of fees) will be identified in the process improvement plan and a timeline for reaching the benchmarks.

billing purposes WWM relies on Commercial staff to obtain accurate billing information on every business entity so the correct wastewater strengths can be billed. Moreover, accurate billing information guides in recovery efforts when collection is necessary.


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Power Billing CS will provide timely and accurate billing adjustments with proper assessment of fees (Self cut‐in, damage assessments, etc).

There will be no blanket late fee waivers or late fee “blocks” within SAP without approval from Tacoma Power.

Billing refunds, or ratchet relief refunds that are not clearly related to incorrect billings, or that are not clearly identified within the Customer Service Policies require approval from Tacoma Power.

Measurements: Status report on development of new

standards Adherence to the new standard and

any exceptions (installments, payments, adjustments, and waiver of fees)

Sometimes CS forwards the waiver or refund request to Tacoma Power (or applicable utility) and sometimes they do not.

Standards and processes will be created for what constitutes an adjustment for a billing error, payments, and installments and be shared with the team in the 3rd Qtr 2010.

CS will coordinate training content to be shared in staff meetings, newsletters and classroom training. Develop a training plan for rolling out the new standards in the 3rd Qtr 2010.

Water Billing The commercial desk invoices

Simpson working directly with Resource Planning This effort is done by using a broadcast e‐mail from the WCC which includes daily reads (consumption). Staff at the commercial desk at the beginning of each month take the consumption total from the previous month and generate a monthly invoice.

The expectation for Simpson Kraft is that the water bill is timely (consistent time frame each month) and accurate, they provide Resource Planning with a copy, and that the invoice be prepared and sent in accordance with the current Simpson Kraft contract. We expect the commercial desk to contact Resource Planning whenever there are questions or concerns, or whenever Simpson Kraft is communicated with.

The expectation for wholesale water

The commercial desk is sending the monthly invoices consistently. There have been instances where communication between the commercial desk and customers in this class regarding payment arrangements occurred without Water Resource Planning knowledge at the time. We expect to know about these conversations for relationship management with these key customers.

CS will provide reminder to Commercial and AE CS staff working with Simpson Kraft and wholesale customers on how to handle these calls. This will be completed in the 1st Qtr.


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The commercial desk invoices water wholesale customers utilizing a manual process. They get the reads from SAP (AMR reads converted by the meter shop and recorded in SAP). Staff at the commercial desk at the beginning of each month take the consumption total for each customer from SAP and generate a monthly invoice.

accounts is that the bill is timely (consistent time frame each month) and accurate. Communication regarding any contact with wholesale customers must be shared with Resource Planning so we can manage wholesale customer expectations. We expect the commercial desk to contact Resource Planning whenever there are questions or concerns, or whenever any customer in the wholesale class is communicated with.

CS will handle all leak adjust requests per written guidelines provided by Water.

CS will request approval from the Water Permit Counter Supervisor before making any self cut‐in penalty waivers or billing refunds that are not related to clearly incorrect billings.

Measurements: 100% of the time CS will notify Water

Resource Planning regarding communication with Simpson Kraft.

100% of the time CS will notify Water Resource Planning regarding

The commercial desk is sending the water monthly invoice by the first or second of each month which is excellent. Rarely are there any errors.

Water is handling the customer interaction and CS is doing the adjustment to the bill. This has been going on since February when it was noted that the leak adjusts were not being done per the Water Customer Service Policy and there was no written guidance to support the current practice


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communications with wholesale customers.

Account Information (Residential and Commercial)

CS is responsible for maintaining current and accurate customer information for all utility accounts within SAP.

When a customer sets up a utility account they are required to give enough information to make a positive ID and to give a deposit if they do not have adequate credit history to hold the customer accountable for their utility bill.

CS will maintain accurate customer/account information within SAP for all customers, and make corrections to this information as required.

TPU Commercial Services will obtain business information including the specific type of business operating at the premise.

TPU Commercial Services is responsible for notifying ES CS & Tax and License when a new business moves into a premise. The information provided should include the specific type of business being conducted at the location.

Measurement: Customer Service will ask for updated information and check to see if using the “Standard Review of Account” 100% reviewed during the QA process.

Review of customer account data suggests that some data is incorrect or not kept current (i.e., duplicate business partners, missing or not current phone numbers, tenant vs. owner labels, drivers license, tax ID or Social Security number is missing.

Develop refresher training message on the use of “Standard Review of Accounts” for both residential and commercial accounts for staff meetings and training newsletter in 1st Qtr 2010.

Begin tracking QA process review results and report results 2nd Qtr 2010.

Develop a recommendation on guidelines for residential and commercial account information to share with this group on how to update records of customers (i.e., develop query of accounts without current contact and mail card asking them to update their information, buy data, use D/OMS data) and share with this team in the 3rd Qtr 2010.

The SLA team will review the existing workflow of notifications on new businesses by end of 2010.


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Policy and Procedure

Customer Service will follow the approved Policies and Procedures of CS Division, and applicable directives of Tacoma Power, Tacoma Water, and Environmental Services.

CS is expected to provide a consistent application of all policies and procedures including: Tacoma Power Service Policies, Tacoma Water Service Policies, CS Service Policies, and ordinances found within the COT Municipal Code and WAC.

CS will provide notification in advance of all CS policy changes and gain the approval of Tacoma Power, Tacoma Water, and Public Works Environmental Services.

The Divisions will provide Division Policies and Procedure documents to CS, and notify of all changes.

Measurement: New process document will be created to ensure 100% of the time Customer Service policies and procedure changes, or interpretation changes, will be vetted with each of the Divisions before implementing a change. Status report on team’s progress in updating policies and procedures.

Customer Service policies and procedures interpretations or proposed changes are not consistently coordinated with the Divisions.

Tacoma Power is following the current Customer Service Policy where Power is to provide service reconnections after 5 pm. This process is not cost effective using FI’s on voluntary OT or the Trouble Crews and may impact our ability to provide good customer service.

CS will take the lead on developing a process for including the SLA team in the development of updates to policy and procedural changes 1st Qtr 2010.

Develop recommendations on how to address additional work efforts related to training, reporting, and communication in 2nd Qtr 2010.

Change 2.3 and 2.4 Customer Service Division Procedure document relating to hours of operation and the role of Tacoma Power and Customer Service Division in 3rd Qtr 2010.

SLA team will evaluate the existing CS Policies and Procedures by then end of 2010.

Review, investigate and move forward with the turn on of services by CS staff after business hours by the end of 2010.

Change current policies to extend Customer Service and Field Operations hours of service dependant on union negotiations by the end of 2010.

Start discussions with affected bargaining units on working hour change for Field Investigators by the end of 2010.


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Customer Calls ‐ Switchboard

Take customer calls and determine when a call should be transferred to the corresponding department, transfer all customer calls to the appropriate utility group, and forward customer information to appropriate department when follow‐up or action is required.

The CS Switchboard will be the default phone center for all general calls. When transferring calls, CS staff will stay on the line to notify recipient of call and confirm that is the correct place to transfer them.

When transferring calls, stay on the line to notify recipient of call and confirm that is the correct place to transfer them.

Measurement: Establish baseline of the number of transfer calls from the switchboard to Energy Conservation Information Center that are transferred in error.

At times customers are being transferred to the wrong area resulting in frustration that they have to be transferred again.

Tacoma Power Conservation Resource Management will create a baseline for the misdirected calls they receive in 1st Qtr 2010.

Divisions will provide list of contacts or process for referring transferring calls to CS Training Manager in 1st Qtr 2010.

Customer Calls – Call Center

General Customer Service is responsible

for responding to general customer inquiries; move in/out of service; and billing questions and issues.

Create a contact note whenever Customer Service has contact with a customer.

Ask probing questions prior to transferring calls. The call center

Customer Service is expected to use the accurate up‐to‐date phone list for all call types provided by each Division.

When transferring calls, stay on the line to notify recipient of call and confirm that is the correct place to transfer them.

Provide customers answers to questions, manage move in/out of service, explain prorated bills, and attempt to complete the contact within

CS staff not reviewing the account or asking appropriate questions before transferring calls (related to ‘high bills’, power or water consumption, budget billing, late payment arrangements) which results in some unnecessary transfers.

Not consistently creating contacts. Tacoma Power’s call center is staffed

with T&D staff that may be better utilized in other areas of our operation

Divisions will provide list of contacts or process for referring or transferring calls to CS Training Manager in 1st Qtr 2010.

Divisions will create tracking system on calls transferred in error in 1st Qtr 2010.

Work collaboratively beginning in the 2nd Qtr 2010 to develop FAQs on how to handle calls and publish in Reference Library for CS and Division staff to access.

Standards and processes will be created for what constitutes an adjustment for a


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will attempt to handle the call within Customer Service.

Announce callers and give summary of the call prior to transferring to one of the divisions.

CS responds to all customer inquiries about utility bills on all five services including budget billing, “High Bill” complaints, general questions, WQA, solid waste services, and if necessary, dealing with late payments, delinquent bills, penalties, ‘self cut‐ins” and negotiation of all payment plans including Environmental Services back billed accounts.

Customer Service. It is expected that phone numbers will

be verified when ever speaking with the customer of record on the account.

Depending on the nature of the call, when appropriate create a notification for work to be done or refer the customer to the correct department.

Promptly notify the appropriate departments of possible issues related to a meter and or equipment.

When forwarding information for follow‐up, confirm the customer contact information and create a contact.

Customer Service will have knowledge of and be able to explain rates and how they are calculated when services are setup for new customers.

Customer Service will take a more active role in supporting emergency call center activities during outages.

If a service is being reclaimed, not just disconnected, the CSA needs to refer these customers to the Electrical Inspection Counter.

CSA will ensure WSDL/SS# for

during emergencies or storms, and it is possible to expand the number of phone lines to handle more calls. Since 2006 Customer Service has provided a ‘call out’ list of CS Division employees that can be used to staff the emergency call center after hours. There is a daytime outage management process using trouble tickets for those calls received in the call center

billing error, payments, and installments. Information will include field terms (i.e., weatherhead), possible job shadowing. The training content and plan documentation will begin in the 3rd Qtr 2010.

Develop a timeline for rolling out training for new standards with CS staff in the 3rd Qtr 2010

Mutually agree on an emergency call center strategy by the end of 2010.

Evaluate before the end of 2010 the use of CS call center staffing handling outages following the D/OMS system going live (2nd Qtr 2010).


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residential and tax id and UBI #'s for commercial/industrial are up to date

CSA will ensure “tenant” vs. “owner” labels are accurate.

After the D/OMS system goes live in 2010 evaluate the use of the Customer Service Call Center and Staff to handle customer outage calls.

Measurement: Baseline one month per quarter the

calls transferred to Water Distribution and Water Permit Counter, Energy Conservation Information Center, ES Customer Service Departments to determine the accuracy of transfer calls and contacts to set expectation on new standard to achieve.

100% CSA introduce caller to Division staff, if no staff is available the customer will be asked prior to transferring a call to voicemail.

Mutually agreement on an emergency Call Center strategy.

Environmental Service Referral CS will respond to general customer inquiries regarding wastewater,

Determine if caller is a customer of Environmental Services before transferring a call.

At times callers outside city limits are transferred to Public Works Sewer and Solid Waste numbers instead of being

Begin publishing seasonal training item in the CS Newsletter in the 1Qtr 2010.

Include training content in new employee


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surface water and solid waste; including how wastewater and surface water rates are determined, solid waste pick up day, and size of container.

CS will review water consumption when customers call regarding high sewer bills before transferring the customer

Measurement: Environmental Services information

included in 100% of new employee training 100% of the time.

Annually refresher training will be provided on general topics.

referred to other agencies. On occasion CS staff transfer high

water consumption bill complaints and adjustment reversals for water misreads to WWM CS staff.

Customer service is inconsistent in answer general questions for ES services.

Inconsistent knowledge of ES services.

training 1st Qtr 2010. Jointly identify training gaps areas and

include training, in staff meeting training topic or newsletter beginning in 3rd Qtr 2010.

Notifications service connections, disconnections, and reconnections

General notification When customers request new connections or reconnections of existing services, Customer Service will insure all the proper fees are charged and credited to the proper funds.

Customer Service will consistently create accurate notifications, following existing policy and procedures. No Solid Waste notifications are to be created by TPU Customer Service staff.

Lien amounts should be collected prior to creation of the notification.

Reduce manual errors when creating notification.

Reduce the number of notifications created prior to payment of lien.

Measurement: Water will research a sample of after business hour reconnect notifications to identify errors and set a baseline for tracking.

At times notifications are made by a CSA that should be handled within the department, or wrong information is given to the customer

There are inconsistencies in policy and procedures as it relates to reconnect and after‐hours turn‐on and charges related to the action. (Examples including Afterhours turn‐on with Day turn‐on charges, turn‐on during the day with Afterhours charges, etc.)

Often notifications are created on the wrong device and the field crew has to call into the office to have a new notification created on the correct device. Sometimes CSA’s make notifications for a later date that

Tacoma Water Distribution will track notifications cancelled due to error of attaching the wrong device to the service i.e. water notification to Power device in the 1st Qtr 2010 and assess the need to begin benchmarking.

Assess the need to develop tracking on accounts released before lien collected by the end of 2010.


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should be made with the current date. Notifications are being created

without collecting the statutory lien.

Power notification Customer Service will also verify all data on the accounts and notify the customer of existing issues such as holds for inspection that are associated with the account and route the customer to the proper departments.

If a service is being reclaimed the CSA needs to refer the customer to Electrical Inspection.

Check to see if a permit exists that has cut‐in or other service connection instructions that have been created by an inspector before sending out an FI to reconnect a service; even if an inspection hold has been released, (sometimes there is more than one reason a service is off or there may be service connection information for our crews that must be done before turning on service. Field Operations will contact Electric Inspection for direction if unsure of how to proceed.)

Perform and maintain meter installation disc doc’s, installation facts, and holds keeping them up‐to‐date as to not interfere with installations, removals and exchanges.

Measurement: An issue tracking spreadsheet from T&D Power will be reviewed at quarterly SLA

CSA or Field Operations doesn’t always coordinate with Electrical Inspections when closing or disconnecting accounts that have holds or issues that would require a hold. CSA or Field Operations does not always review account for permits or cut‐ins and sends an FI out to reconnect a service.

Power T&D will develop an issues tracking spreadsheet by the 2nd Qtr to be reviewed at quarterly SLA meeting.


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meeting.

Uncollectable Accounts

General When an account is past due CS

works the accounts so that the customer does not end up too far in arrears.

Actions will be taken to collect payment on both open active and closed assigned accounts.

Customers will be provided lien quotes and payments received will be applied statutory lien amounts.

CS is responsible for collecting the total lien amount due on all recorded liens filed with Pierce County for unpaid surface water fees.

CS will strive to keep all accounts current, and will provide tracking reports showing the level of past due accounts.

CS is responsible for collecting the statutory lien owed on utilities furnished at all premises in accordance to RCW 35.21.290/300 & 35.67.200 prior to connecting/reconnecting any services.

Money collected on closed assigned accounts to NCO will be consistently applied first on the statutory lien amount.

CS will ensure that all payments received for statutory liens will be account maintenance in accordance with the lien quote.

Statutory liens should be re‐quoted or backdate the name change to the date of the lien payment.

Accounts that are in arrears longer than

Accounts have been allowed to be in arrears, with past due balances that are beyond the dunning levels or the amount that customers can repay. Not all customers are treated consistently, or according to the appropriate customer service policies.

At this time payment for statutory liens are not being processed consistently to apply the payments to the correct charges.

On collection accounts CS applies the stator lien payment on interest and NCO fees first, instead of statutory lien amount. The process of the customer requesting a lien quote, paying that specific amount is implied to apply the payment to lien charges only. If this isn’t followed it can result in lost revenues to Power, Water and ES.

Review existing business practices in paying NCO and develop refresher training on applying payments in 2nd Qtr. 2010.

Review current performance of NCO in 3rd Qtr 2010.

Develop training on quoting and applying payments on lien amounts in 3rd Qtr 2010.

The team will provide input into a new RFP for collection services and incorporate identified performance expectations by the end of 2010.


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lien periods should be reviewed with the appropriate Divisions.

Customer Service staff will ensure that all statutory and filed lien amounts are collected on all applicable accounts prior to reconnection. They will ensure that delinquent bills are collected and name changes occur as of the date the bill was paid. Customer Service will make arrangements on all unpaid accounts they find for the BP at the time new services are initiated.

All CSAs should have the training to be able to quote a statutory lien and handle the customer at the first contact

When Escrow payments are processed they should be applied to the account and the refund handled at that time.

Measurement CS will keep collections and aged debt of utility consumption accounts to less than or equal to the industry standard of 4.08%.

Environmental Services Collections CS is responsible for collection efforts on all delinquent accounts (except

CS will be a liaison to NCO on items that are included as Add to Consumption sales order type on 1000 accounts for

CS is inconsistent in explaining what surface water is and how wastewater is calculated when the utilities are

A request will be made to have new contact class and actions created in SAP. Log an iStar request and work with EASD


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Solid Waste 3000 or SD accounts), including account maintenance of specific monies recovered for payment on statutory liens.

Solid Waste only. CS staff will contact Environmental

Service when speaking to a customer regarding recorded liens to obtain correct amount due including filing and release fees. When payments are received they will contact WWM so proper documentation can be filed and the flag released.

If Environmental Services re‐starts the Surface Water only contract the subsequent charges need to be included in the quote, in accordance with RCW.

Lien flags will not be removed by CS staff.

Measurement: Successful creation and implementation of new contact classes. 100% of accounts will not have the lien

flag removed. Tracking will be done by ES staff.

Development of the new process and training will be completed.

setup. (call center) Significant amount of liens are not

collected when new connects/reconnects are created by the call center and front line. Accounts are not being established from the date the lien was paid through but rather from the date the payment was made which creates lost revenue for all divisions and increases bad debt.

At times, CS does not collect the total lien charges and recording fees. CS is inconsistent in notifying Environmental Services when liens are paid on surface water, or removing lien flags which impacts follow up on lien tracking.

Delays in reconnection of service are occurring because quotes for statutory liens are being directed to the escrow desk.

Delays are occurring in refunding or applying escrow refunds beyond the RCW 60.80 timeframe.

staff to create new contact classes and actions codes for tracking. Report on status in 1st Qtr. 2010

Environmental Services staff will begin tracking lien flag status in 2nd Qtr 2010.

Standards and processes will be created for handling Environmental Services collections and be shared with the team in the 3rd Qtr 2010.

Develop a timeline for rolling out training for new standards with CS staff in the 4th Qtr 2010


Customer Service



12/03/2009 17

Training of Customer Service Staff

General CS staff is trained by their own trainers and they are provided documentation to help them after the training is complete.

CS will provide CSAs with accurate and timely training to meet the expectations of the operating departments to ensure correct procedures are followed at all times.

Trainers will spend time with each Division to ensure they have the most current information prior to training being provided to the new CSAs. This may include updating documentation with the Divisions.

Divisions will provide to CS Training Department information in advance of external customer notification.

In the cases where CMS is developing programs or initiatives the Operating Divisions will ensure that information is also provided to CS Training Department.

Measurement: Investigate creating a baseline on the

number of Interest Lock with no end date.

Status report on the training which has occurs in the areas identified in this SLA

CS processes are not performed in a consistent manner. Additional training and follow up is needed or the training model needs to be evaluated.

Training gaps appear in core activities discussed in this SLA.

Some inconsistencies include phone calls are not routed correctly, refunds and waivers are not processed in accordance with division policy, and there are inconsistencies with the move‐in and move‐out process in regard to the rental lighting program.

Customer Service Training Manager will be provided with adequate information regarding Tacoma Power, Tacoma Water and Environmental Services’ policies, conservation programs, and initiatives to enable them to provide appropriate referrals to Division staff. Current versions of these documents will be provided in the 1st Qtr 2010.

Develop a new training plan for rolling out of updated training requirements identified in the SLA document in the 3rd Qtr 2010.


Customer Service



12/03/2009 18

Environmental Services Specific Training

CS staff training should include ES training for new hires. The Training must include information on ES and how the services are billed, the types of liens, how to recognize liens, calculate liens and account maintenance of lien payments to appropriate charges.

Training shall also include information on the types of surface water only accounts, adjusting WQA when BP changes and when a name change last paid date is performed.

Upon request when space is available other Divisions may attend CS training. (move above)

Environmental Services staff requests to be included in all applicable training rolled out by CS Division staff.

Measurement: Training documentation is completed

and incorporated into training of new employees.

Testing is included in training to evaluate understanding of BP change, WQA fixes, and flats done correctly.

Development of a course for Senior

The training manual and program for new CS staff is lacking information pertaining to ES. The training does not include information regarding liens, account maintenance lien payments, WQA adjustments when BP changes, adjusting flats when changing BP or name change last read date.

The CS training is also lacking information on the two types of surface water only accounts. Accounts that are moved‐out and off versus vacant land with no other utility services on the parcel.

CS and Environmental Services staffs jointly develop training materials on WQA in 1st Qtr 2010.

Coordinate with Environmental Services staff to invite staff to training sessions on process changes that are occurring in Customer Service beginning in 1st Qtr 2010.

CS and Environmental Services staffs jointly develop training content on liens and rates and ES specific areas in 3rd Qtr 2010.


Customer Service



12/03/2009 19

CSAs on updating the installation facts for WQA and correcting flats on BP changes.

Assist Field Staff, and Associated Office Staff

Be available to assist office and field staff with questions regarding customer account activity and history.

Have someone available to answer the phone when office and field staffs call the office. Assist with questions and fixes on miscellaneous things such as disc docs, incorrect readings, switched meters and movement of meters for correction purposes. Return calls in a timely manner.

Exceptional situation that result in no coverage Customer Service will send an email to Power USRs and Water Control Center.

Measurement: Return 90% of calls within 10 minutes when leave a message

Sometimes when field crews or office staff calls the back line, there is no one available to take the call.

Messages are not always returned in a timely manner.

Communicate expectation to the Back Office CS staff that when the phone is unstaffed an email message will be sent to Water Control and to Power USR beginning 1st Qtr 2010.

Meter Reading Read meters correctly and on time.

Verify the meter being read corresponds with the Itron or MDSI notification. Enter accurate reads into system.

Meters should not be estimated when they should be read, when unusual

Meter numbers are not always verified, resulting in ongoing incorrect billing where meter information is incorrect.

Occasionally meters are read or entered into the system incorrectly, or

Develop a tracking approach on meter reading errors and share information with the SLA team in 2nd Qtr 2010.


Customer Service



12/03/2009 20

circumstances occur it should be referred to the appropriate division.

Departments will be given access to List Edit to view exceptions.

If system wide estimates are done on meters using a mass release of routes CS will notify Power, Water, and ES.

Measurement: Meter reading errors should be at or below the industry standard .08%

estimated when they should be read. Occasionally meter readings in SAP

appear to be actually read when they are estimated.

Field Investigation

General Field Services Turn off services when bills are in

default with limited extensions. Respond to requests for re‐reads

in a timely manner.

When a customer moves‐out and requests a turn off the meters should be turned off.

Accurately enter meter reading for all entries.

Improve communication between field staff obtaining reading and Division staff when issues occur.

When sent out to disconnect a service for non‐payment, the service should be disconnected unless there are extenuating circumstances.

Measurement: Adherence to the new standard once they are in place.

When bills are not paid and service supposed to be disconnected, extensions are given at times when they should be disconnected. to

Service are left on when customers move out, three day working window is problematic.

Standards and processes will be created in expected areas for field staff and share with CS field staff in 2nd Qtr 2010.

Standards and processes for call center will be created in expected areas and share with CS business office staff in 3rd Qtr 2010.


Customer Service



12/03/2009 21

Water Field Services Make sure water services are turned off when customers request a turn off/move‐out.

If this cannot be completed a notification is to be created and sent to the Water Division. Measurement: Adherence to the new standard once they are in place

At times it is unclear if a meter was actually turned off or not, when they were directed to disconnect the service via a physically turning off of the meter. Water meters are found on when the meter should be off.

Standards and processes will be created for CS field staff in expected areas and share with CS field staff in 3rd Qtr 2010.

Power Field Services Make sure power services are turned off when customers request a turn off/move out.

Services for Power must have a notification created and sent to Power for commercial/industrial customers.

Take appropriate steps to coordinate between Tacoma Power, AE, and Commercial group to make contact and make change.

Create the proper notification for disconnection of electric service. Service disconnections on a service with a multiplier above 10 require a pole or underground cut. Self contained 3 phase meters (device category E15 or E16) require a meter crew to pull the meter.

Measurement: Adherence to the new standard once they are in place

Proper notifications are not always created for the proper workgroup or work center.

Tacoma Power T&D will provide a list of notification type and appropriate action for the CS Dispatcher, Account Executives, or Senior CSA in the 1st Qtr 2010.

Standards and processes will be created for CS field staff, Account Executives, and Commercial staff in expected areas and share with appropriate staff in 3rd Qtr 2010.


Customer Service



12/03/2009 22

Rental Light (H2)

CS coordinates with Tacoma Power Rental Lighting (H2) Program Coordinator to track move in and move outs and bill H‐2 Lighting (rental lights). CS reports H2 lighting repair or change requests.

CS will create a customer contact upon Move in and Move out, in SAP so there is confirmation that the customers have been notified and agreed to the quantity, wattage and cost of the H2 Light. Document if customer wants light removed and notify or transfer customer to the H2 Coordinator.

Maintain regular communications with the rental light (H2) Program Coordinator to insure proper billing, notify coordinator of move‐in and move‐out of customers.

When a customer requests new H2 Light installation, an installation removal, or has questions on an existing installation, CS will route the customer to the H2 Coordinator.

Measurement: Begin tracking in spreadsheet to identify any training gaps.

H2 light accounts are closed or transferred without notification to the H2 Coordinator. This causes incorrect record retention, billing errors, and H2 lighting that is energized in the field without being paid for.

Customers are not always made aware of the existence and addition of the H‐2 lighting fee upon move‐in and the H‐2 private lighting coordinator is not always notified of changes to customers accounts, (i.e., name changes, move ins, move‐outs, etc.).

H2 Coordinator will start spreadsheet in 1st Qtr 2010 to track instances where customers are not notified of H2 billing.

CSA refresher information in Training newsletter in 1st Qtr 2010.

Conservation Water Conservation Customer Service receives a variety of telephone and walk‐up contacts from customers. We do not wish for Customer Service to attempt to respond to specific water conservation questions.

When questions regarding water conservation are received Tacoma Water Conservation expects CSAs to direct customers to Water Conservation. This should include commercial, industrial as well as residential customers. Measurement: 100% of calls regarding water conservation are forwarded to 502‐8723 and walk in

Walk‐up customers and callers are directed to Tacoma Water where information on water conservation is available (brochures, fixtures, etc.).

Water Conservation staff provides Customer Service with information in advance of any campaign or communication efforts to ensure they are aware of them in advance and are reminded of how to handle the calls

Customer Service Training team will provide a reminder to staff on how to handle these contacts. This will be completed in the 1st Qtr training newsletter.


Customer Service



12/03/2009 23

customers are directed to the Permit Counter.

and inquiries received. It seems to work fine.

Power Conservation CS staff will work with Conservation Resource Management to promote commercial and residential conservation programs and services.

Tacoma Power expects Customer Service staff to actively promote conservation programs to customers that call in to Customer Service. CSAs should refer Residential customers to the Energy Conservation Center for program and service details. Commercial and Industrial customers should be referred to Commercial Conservation Resource Management or the assigned Account Executive.

Measurement: After plan has been developed, measurements for the new services provided will be determined.

Periodically CSA’s do not appear to be aware of conservation programs and services available to commercial or residential power customers.

Information about conservation programs will be provided to the Customer Service Training Manager in 1st Qtr 2010.

A plan and timeframe for implementation of active promotion will jointly be developed by members of CRM & CS staff in 2nd Qtr 2010.

Evaluate what it will require for CSAs to actively “sell” conservation programs and services to customers in the 4th Qtr 2010.

FINANCE DEPARTMENT

Accounting and Reporting

Accounts Payable

Administration

Budget and Research

HUB (Historically Underutilized Business Program)

Payroll

Purchasing

Tax and License

Treasury


Finance Dept., Accounting & Reporting

SERVICE AREA KEY SERVICES EXPECTED PERFORMANCE & MEASUREMENT


1 Revised 11/19/2009

Accounting & Reporting

Reporting Prepare monthly, quarterly and annual financial and statistical statements according to published schedule. See Appendix A for detail of financial and statistical statements.

Finance Complete statements according to

published schedule. Compile and publish information in

accordance with all relevant accounting standards.

Prepare supporting schedules, notes and Management Discussion and Analysis.

Review collaboratively with divisions financial results before publication.

Financial statements are accurate with no significant audit adjustments.

Notify Budget analyst (MSO) of all pencil adjustments

Divisions Provide timely, complete, accurate

source financial and statistical information according to published schedule.

Review and assist with variance explanations and reports to TPU Board and City Council.

Measurement Meets Published Schedule

Finance Monthly and quarterly statements

have met the published schedule in 2009.

Pencil adjustments have been required in last 12 months, due to errors and omissions originating in the operating divisions and Finance.

Schedule occasionally resulted in rushed reviews by the operating divisions.

2008 annual statements did not meet published schedule and included significant audit adjustments.

Schedule has not been forwarded to operating divisions.

Finance 2010 schedule will be created and

distributed to Finance and operating divisions.

Divisions and MSO are being notified of pencil adjustments with an explanation. Remedial action is determined based on the source.

Several cross functional teams have been formed to address causes of audit adjustments.





2 Revised 11/19/2009

Does not include significant audit or Pencil adjustments

Collaboration with Divisions takes place and is effective

Improve accuracy Year‐Over‐Year


Reporting Prepare cash flow projections according to published schedule. See Appendix A for schedule.

Finance Complete reports according to

published schedule Compile and publish information in

manner suitable for use by target audience (e.g. projection reports, graphs, narrative discussion of variances.)

Review projections collaboratively with divisions before publication.

Divisions Provide timely, accurate information

that affects cash flow and assist with variance explanations.

Measurement Meets Published Schedule Departments and Finance are

collaborating effectively

Finance Cash projections have met the

published schedule in 2009. Schedule occasionally resulted in

limited or no opportunity to review final results by operating divisions.

Schedule has not been forwarded to operating divisions.

Variance explanations have not always been adequate for operating divisions.

Divisions Departments have been

collaborating effectively and sharing information in order to produce a consistent and accurate cash flow projection.

Capital expenditure projections are not as accurate as needed.

Finance 2010 Schedule will be created and

distributed to Finance and operating divisions.

Cash flow procedures have been standardized and implemented.

Fund accountants have been working collaboratively with the operating divisions to make sure both parties understand and agree with the results and explanations.

Divisions Continue to update Finance with timely

information and have open dialogue while cash projections are updated and reviewed accordingly.

Communication will be improved with project leads regarding capital expenditures.





3 Revised 11/19/2009


Reporting Prepare Comprehensive Annual Financial Report according to published schedule. See Appendix C for schedule.

Finance Compile and publish information in

accordance with all relevant accounting standards.

Prepare supporting schedules, notes and Management Discussion and Analysis.

Integrate information from auditors into final CAFR.

Divisions Provide source financial and statistical

information according to published schedule.

Measurement Meets Published Schedule Annual Statement Will Not Contain

Material or Significant Weaknesses

Finance 2008 CAFR did not meet service

requirement as a 30 day extension was required due to a delay in completion of the actuarial study for the City’s pension funds.

Finance An inventory of all the studies pertinent

to the CAFR will be compiled and the status of each study will be monitored as part of the year‐end process to ensure they are completed within the CAFR deadlines.


Reporting Meet all FERC accounting and reporting standards and requirements.

Finance Provide appropriate assistance in

setting up accounting information to provide sufficient detail to develop a detailed FERC trial balance with enough functional detail to allow divisions to

Finance Unable to meet service requirement. SAP implementation for T&D is not

adequate for use in rate setting cost of service calculations.

Finance Work collaboratively with IT, the Power

Division and their consultants to develop a plan. Establish a time table with Power Rates group.





4 Revised 11/19/2009

prepare appropriate cost studies to support ratemaking efforts as dictated by Utility Board policy. Ultimately reassume responsibility for preparing and publishing the reports.

IT Collaborate with Finance, Power, and

consultants to derive a workable solution.

Provide technical support. Power Collaborate with Finance and IT to

develop orders or other accounting information with sufficient detail to develop a FERC trial balance with sub account information necessary to develop rates and other regulatory driven reporting

Measurement FERC trial balance is available


Audit Ensure annual audit for Tacoma Public Utilities and General Government Utility Service Divisions is completed within prescribed

Internal Auditor Prepare engagement letter. Schedule entrance and exit

conferences.

Finance 2008 Audit did not meet the

published schedule. Report contained three significant

deficiencies as well as a number of

Finance Reorganized Fixed Asset group and

appointed lead. Fixed asset group developed procedures

and has provided training to operating





5 Revised 11/19/2009

deadlines and does not contain material or significant weaknesses. See Appendix B for schedule.

Finance Coordinate interim and final audit with

audit firm and operating divisions. Provide required schedules and

respond to other requests and inquiries by auditors as needed.

Review and investigate audit findings. Work collaboratively with Departments

to provide management responses to findings

Provide answers to internal control questions.

Provide explanations and feedback for audit findings.

IT Provide transactional data support for

auditor requests. Provide ad hoc report support for

auditor requests. Divisions Provide information for interim

transaction tests. Provide timely review and edits for

other issues which originated inFinance and the operating divisions.

General areas of concern include: o Completed Capital

Projects o Revenue Recognition o Account Reconciliations o Asset Disposals o Reclassification of

current portion of long term debt.

o OPEB adjustment

divisions on capital asset requirements. OPEB calculation contract was modified

to include interim years. Cross functional team was created with

Click! Participation in cross functional team

with the Water Division.





6 Revised 11/19/2009

cycle narratives. Provide timely accurate capital project

information. Provide timely information for MD&A

and superintendent reports. Work collaboratively with Finance to

provide management responses to findings.

Measurement Audit meets published schedule. Audit does not contain material or

significant findings and shows year over year improvement in other issues.

Responses are provided in a timely manner

Finance and operating divisions are working collaboratively.


Audit Ensure Department of Revenue audit is completed within prescribed deadlines. See Appendix B for schedule.

Finance Coordinate audit with auditor and

departments. Provide information and respond to

other requests and inquiries by auditors as needed.

Divisions

Finance DOR audits are done every four

years. The last one was done in 2004 and there are no known issues to be addressed.

Finance Respond in a timely manner to DOR

requests.





7 Revised 11/19/2009

Provide information and respond to other requests and inquiries by auditors as needed.

Measurement Responses are provided in a timely

enough manner in order to meet published schedule


Audit Ensure Single Audit is completed within prescribed deadlines with no findings. See Appendix B for schedule.




Divisions Provide information and respond to


Measurement Responses are provided in a timely


Finance The 2008 audit was completed

within the prescribed deadlines, however the City received a finding due to the lack of performing quarterly reconciliations on all grants to ensure estimated labor costs charged to grants did not exceed actual labor charges.

Finance Procedures and requirements for

completing quarterly reconciliations for all grants have been established.

Finance and IT staff have worked together to develop and implement an automated tool to assist with the reconciliation process.

The 2009 year‐end training will include coverage of the requirements related to Allowable Costs and Cost Principles related to grants to ensure all fund accountants are aware of the requirements.





8 Revised 11/19/2009


Audit Ensure audits of various grants are completed with prescribed deadlines with no findings. See Appendix B for schedule.




IT Work collaboratively with Finance and

Divisions to automate the labor reconciliation process.

Divisions Provide information and respond to


Measurement Responses are provided in a timely enough manner in order to meet published schedule

Finance Solutions to the labor issue need

FEMA approval.

Finance Establish a cross functional team to

review alternatives to the current labor activity rate method.


Audit Ensure annual audit by the State Auditor’s Office is completed within prescribed deadlines with no significant findings.

Internal AuditorPrepare engagement letter. Schedule entrance and exit conferences. Finance

Coordinate interim and final audit with

Finance 2008 annual audit by the SAO

did not meet service requirement as a 30 day extension was required due to a delay in completion of the

Finance An inventory of all the studies pertinent

to the CAFR will be compiled and the status of each study will be monitored as part of the year‐end process to ensure they are completed within the





9 Revised 11/19/2009

See Appendix C for schedule.

auditor and City departments. Provide schedules and respond to other

requests and inquiries by auditors as needed.

Review and investigate audit findings. Provide management responses to

findings IT Provide transactional data support for

auditor requests. Provide ad hoc report support for

auditor requests. Measurement Responses are provided in a timely


actuarial study for the City’s pension funds.

CAFR deadlines.


Grants Ensure grant application is submitted in compliance with all relevant policies and procedures.

Finance Review and approve fiscal note

attached to legislation. Report all applications and awards to

City Council. Divisions Prepare and submit grant applications

Finance Not currently meeting the service

requirement as the fund accountants do not always receive information about the grants before they are applied for nor do they receive the award letters.

Finance Monthly meetings are being established

with the departmental representatives responsible for providing information to Finance about grants to ensure that all relevant information is shared and communicated.





10 Revised 11/19/2009

for approval. Prepare resolution or ordinance as

applicable for grant award approval. Measurement Copy of grant application is provided to

the fund accountant Departments and Finance are



Grants Ensure funds that are available for disbursement are requested from the grantor as allowable on a periodic basis.

Finance Draw down funds as available and

allowable. Ensure that corrections are made

before final billing. Reconcile actual labor to estimated

labor and adjust on a quarterly basis. Prepare grant billings as appropriate. Divisions Ensure that all compliance

requirements have been met so reimbursement can be requested.

Ensure that charges to grants fall within parameters allowed by grant.

Prepare grant billings as appropriate. Measurement

Finance Not currently meeting the

service requirement as o Finance does not always

receive the information it needs in order to process the billing request .

o Requests for corrections to grants are not submitted to Finance on a timely basis

o Requests for corrections to grants are not processed by Finance on a timely basis

o Quarterly grant reconciliations were not

Finance Monthly meetings are being established

with the departmental representatives responsible for providing information to Finance about grants to ensure that all relevant information is shared and communicated.

Procedures and requirements for completing quarterly reconciliations for all grants have been established.





11 Revised 11/19/2009

Departments and Finance are collaborating effectively

Copy of grant award is provided to the fund accountant

Labor adjustments are made on a quarterly basis and reflected in quarterly reports

done consistently during 2009

o Progress payments have not been jointly reviewed by project leads and finance.

Divisions


Grants Ensure grant is set up properly in SAP.

FinanceIf the department does not have a PFS, Finance creates the accounting structure in SAP. Divisions Provide information regarding project

hierarchy. If Project Financial Specialist (PFS) is in

the department, PFS creates the accounting structure in SAP.

Measurement Departments and finance are collaborating effectively


requirement as Finance does not consistently get the WBS structure set up in a timely manner to allow for proper accounting for the grant.

Finance An assessment of the work‐load, duty

distribution and staffing capacity is currently underway to determine appropriate level of resources to apply to Grant Section within the Accounting Services Division. The plan will be developed on completion of this assessment which is expected to be done by Q1 2010.





12 Revised 11/19/2009


Grants Ensure monthly and quarterly financial reports are prepared and submitted in the format needed by the customer or grantor agency.

Finance Compile and publish monthly reports as

needed for the departments. In the cases where the departments are

not responsible for submitting quarterly reports to grantor agencies, Finance will compile and submit them.

Divisions Provide information regarding

reporting needs. In some cases, departments are

responsible for submitting quarterly reports to grantor agencies. In these cases, Finance provides assistance to compile and review the information.

Measurement Departments and finance are collaborating effectively


requirement as Finance does not consistently get the reports to the departments that they need.

Finance An assessment of the work‐load, duty

distribution and staffing capacity is currently underway to determine appropriate level of resources to apply to Grant Section within the Accounting Services Division. The plan will be developed on completion of this assessment which is expected to be done by Q1 2010.


Grants Prepare the Schedule of Expenditures of Federal Awards (SEFA).

FinancePrepare and submit the SEFA to the State Auditor. Divisions Notify Finance about all Federal awards

that have been received.

Finance 2008 SEFA did not meet this service

requirement as several Federal awards were discovered after the 2008 SEFA had been filed.

Finance The 2009 year‐end training will include

coverage of the requirements related to identifying all Federal Awards and accounting for them properly on the SEFA so that fund accountants are aware of the requirements.





13 Revised 11/19/2009

Ensure that all expenditures have been recorded correctly in SAP in the correct grant accounting.

Measurement Departments and Finance are

collaborating effectively All grants are accounted for on the

SEFA

Divisions Departments have not consistently

notified Finance about all Federal awards that have been received.

Monthly meetings are being established with the departmental representatives responsible for providing information to Finance about grants to ensure that all relevant information is shared and communicated.

Divisions Proactively notify Finance of all Federal

awards.


Transaction Processing Create required journal entries to capture accounting activity for timely, accurate reporting.

FinancePrepare and post journal entries in SAP Divisions Submit timely, accurate documentation to Finance supporting requests for miscellaneous journal entries Measurement Departments and Finance are

collaborating effectively Monthly recurring journal entries are

posted each month

Finance Currently meeting published

schedule for monthly closing. Incorrect journal entries are

occasionally being made as a result of errors and omissions in Finance and the operating divisions.

Significant errors not caught prior to closing result in pencil adjustments. Examples include:

o Revenue errors, reclassifications or adjustments

Finance Create and distribute closing schedule. Investigate errors and omissions to

identify root cause then establish corrective requirements.

Create cross functional teams for issues with multiple causes or divisions.





14 Revised 11/19/2009

Miscellaneous journal entries are posted correctly

o Missed or incorrect accruals.

o SDC coding errors o Timing problems with

entries


Transaction Processing Administer the City’s Petty Cash policy

Finance Ensure that departments are complying

with the policies and procedures. Perform periodic audits of the

department’s petty cash on hand. Divisions Submit requests for petty cash

reimbursements in compliance with the City’s policies and procedures.

Measurement Policies and procedures are being

followed No audit findings by State Auditor

Finance Currently meeting this service and

there have been no findings.

Finance Continue to monitor the process in

place.


Transaction Processing Review and approve accounting for purchase requisitions according to Finance policies and procedures

Finance Review SAP workflow on a daily basis

and review requisitions for proper funding and accounting and process for approval

Finance Currently meeting this service.

Finance Ensure a back‐up is trained for each

position.





15 Revised 11/19/2009

Divisions Enter purchase requisitions in SAP. Measurement 24 hour turnaround


Transaction Processing Prepare timely and accurate tax returns for: State Excise tax, B&O Tax, Gross Earnings tax, Leasehold tax, Franchise Fees to various Municipalities, and other miscellaneous taxes.

FinancePrepares and submits returns to appropriate agency. Stay current regarding tax requirements and communicate to Departments regarding changes. Divisions No direct responsibility. Measurement Returns are submitted within deadlines Returns are accurate



place.


Transaction Processing Ensure inventory counts are accurately reflected in the financial statements.

Finance Establish a schedule of recurring

inventory counts for every warehouse. Coordinate the schedule and inventory

counts with the departments and divisions

Finance Locations to be counted are

provided per the agreed upon schedule at the beginning of the year. Specific areas/items to be inventoried are sent a reminder

Finance Create and distribute 2010 schedule. Create a grading system to determine

significance of variances. Review inventory results and “grade”

variance for management follow‐up.





16 Revised 11/19/2009

Identify and highlight significant variances.

Divisions Maintain adequate controls over

inventory to ensure safeguarding of City’s assets.

Provide information to the Finance department to ensure inventory entries are adjusted as needed.

Review variances for process improvement opportunities.

Measurement Inventory variance measure to be

determined Schedule is established and updated

annually. Audits are performed within the

deadlines Reports are delivered within 10

business days of inventory count.

within 24 hours of the date 60% of the time.

Summary reports are typically distributed from 2 weeks to 2 months after the count is completed.

Need to determine a value judgment Double check distribution list for

results.

Deliver reports within 10 business days.


Transaction Processing Ensure warehouse overhead rate recovers actual warehouse costs

FinanceReview overhead rates with warehouse management and adjust as needed Divisions

Finance Clearing 2008 resulted in a credit to

users of the Power Warehouse of $121,000 in the 12th period and a debit of $98,000 in the 13th period.

Finance Year end process has been changed to

eliminate the timing differences for Power Warehouse users.

Overhead allocation is reviewed





17 Revised 11/19/2009

Review the quarterly expenditure reports with Finance to determine if overhead rate was sufficient to cover costs Measurement Departments and Finance are collaborating effectively.

Divisions might benefit from a summary of assessment dollars and activity levels. Would need to work with MSO to capture changes over the year.

monthly for potential adjustments.


Transaction Processing Ensure that central telephone and building costs for TPU are allocated accurately.

Finance Review allocation methods, receivers

and amounts for each biennium. Update allocation journal entry

annually. Post charges monthly. Divisions Work with Finance to ensure all costs are being captured and recovered correctly. Measurement Allocations methods, receivers and

amounts reviewed and updated by Year 2 of each biennium

Allocation journal entry revised annually

Finance The effort and time required to

establish 2009/2010 rent allocation did not meet expectations due to lack of assigned staff and documentation of the process. Implementation of 2009/2010 rates, once established, is meeting expectations.

Not currently meeting this service requirement for telephone allocations since last review date of method is unknown.

Finance Review rent allocation process for use in

the next biennium budget preparation. Establish telephone allocation process

for use in the next biennium budget preparation.

Document allocation processes and define appropriate roles.





18 Revised 11/19/2009


Transaction Processing Ensure assets are accurately reflected in the financial statements.

Finance Ensure assets are accurately reflected

in the financial statements. Develop policies and procedures to

ensure proper safeguarding of assets Finance will work collaboratively with

Divisions on Capital vs. expense determinations.

Divisions Maintain adequate controls over assets

to ensure they are safeguarded. Provide information to the Finance

department when assets are put into or removed from service.

Measurement No audit adjustments Departments and Finance are


Finance Timely transfer from CWIP to plant

and removal from plant for disposals has historically been a problem area.

Significant audit adjustments have been recorded in recent years.

Finance Reorganized asset group and appointed

a lead. Fixed asset group developed procedures

and has provided training to the divisions on capital asset requirements.

Create comprehensive asset training/procedure guidelines.


Financial Consultation Ensure funds have sufficient cash and appropriation at prescribed cut‐off deadlines.

Finance Review funds to ensure they will have

a positive cash balance at year‐end. Review funds to ensure they will have

sufficient appropriations at biennium‐end.

Finance Not all Utility Funds are being

reconciled regularly. Errors going back several years may still exist.

Financial Statements for RWSS cannot be produced due to

Finance Reconciliation Pilot currently being

worked in Power and Water. Reconciliations will be near completion by the year end audit for these funds. All funds will be completely reconciled





19 Revised 11/19/2009

See Appendix D for schedule. Work collaboratively with divisions to ensure funds will have sufficient cash and appropriations at prescribed cut‐off deadlines.

Ensure inter‐fund transfers are recorded accurately.

Divisions Monitor funds throughout the year to

anticipate cash flow sufficiency. Submit requests for budget

appropriations and adjustments within prescribed deadlines.

Communicate items that will negatively affect cash and fund balance to fund accountant.

Measurement Funds have positive cash balance and

are within appropriations at end of reporting periods.

All inter‐fund transfers were recorded accurately.

possible errors in inter‐fund transfers.

by 1st Quarter of 2010. Establish a cross‐functional team to

reconcile Fund 4600‐CUSTC. Work with Water department on cash

accounts to ensure RWSS statements will be produced by 1st Quarter 2010.


Financial Consultation Ensure work teams are staffed

Finance Ensure appropriate staff is identified,

assigned and participate on process


Examples include:

Finance Continue to identify opportunities to

form teams to address current problem





20 Revised 11/19/2009

appropriately to ensure optimal outcomes for process improvement.

improvement work teams. Divisions Ensure appropriate staff is identified,

assigned and participate on process improvement work teams.

o Cash projections work teams.

o Click! Revenue investigation team

o Water financial effectiveness team

Divisions

areas.


Financial Consultation Ensure projects are structured correctly in SAP

Finance Provide consultation and expertise to

ensure that projects are structured correctly in SAP to properly account for the resulting assets and that no project gets undertaken without the revenue source to fund it.

Divisions Provide information about projects so

Finance staff can provide advice about how best to structure it.





place.





21 Revised 11/19/2009


Financial Consultation Ensure requests for financial information are responded to in a timely and accurate manner.

Finance Work with the departments to ensure

complete understanding of the request. Work with the departments to come to

a mutually agreed upon deadline if possible.

Complete the work accurately, completely and within the agreed upon deadline.

Divisions Provide the request in a manner and

format appropriate to the request. Provide sufficient lead time for the

request to be fulfilled within the agreed upon deadline.

Measurement Departments and Finance are collaborating effectively.

Finance Not currently meeting this service

requirement as some departments perceive a lack of timeliness, responsiveness, and accuracy from their assigned fund accountants.

Finance Regular meetings will be established

with the departmental representatives to discuss concerns, brainstorm solutions and ensure follow‐up and resolution occurs.


Training Ensure training is provided for staff involved with year‐end processes.

Finance Develop and deliver training for year‐

end processes including relevant training materials.

Schedule varied training sessions at TMB and TPU to ensure sufficient

Finance Currently meeting this service as the

majority of evaluations turned in by attendees rate the training as good, very good or excellent.

Finance Continue to build on what works and

look for opportunities for continuing improvement.





22 Revised 11/19/2009

opportunities for departments and staff to attend and learn the processes.

Ensure there are resources for follow‐up questions.

Divisions Ensure appropriate staff attends training and understand their responsibilities related to the year‐end processes. Measurement Satisfaction with training opportunity, attendance and effectiveness


Training Ensure training is provided for staff involved with managing grants.

Finance Develop and deliver training related to

the Schedule 16 and Basic Cost Principles.

Schedule training sessions at TMB and TPU to ensure sufficient opportunities are provided for staff to attend.

Divisions Ensure appropriate staffs attend

training and understand their responsibilities related to managing grants.

Finance Requirement is not being met as no

training has been provided in this area.

Finance The 2009 year‐end training will include

coverage of the requirements related to Allowable Costs and Cost Principles related to grants to ensure all fund accountants are aware of the requirements.

The 2009 year‐end training will include coverage of the requirements related to identifying all Federal Awards and accounting for them properly on the SEFA so that fund accountants are aware of the requirements.

Procedures and requirements for





23 Revised 11/19/2009

Measurement Satisfaction with training opportunity,

attendance and effectiveness

completing quarterly reconciliations for all grants have been established and will be covered during the 2009 year‐end training.


Training Ensure training is provided for staff involved with recording and disposing of assets

Finance Develop and deliver training for

recording and disposing of assets. Schedule varied training sessions at

TMB and TPU to ensure sufficient opportunities for staff to attend.

Divisions Ensure appropriate staff attend training

and understand their responsibilities Measurement Satisfaction with training opportunity,

attendance and effectiveness

Finance Training is not delivered

consistently. Requirement is not being met.

Asset staff has begun training at Division staff meetings.

Finance Create comprehensive asset training

program and setup schedule for divisions to be completed by Qtr 3 2010.

Continue to offer training sequences at staff meetings.

Identify opportunities for individuals and divisions for training and recommend appropriate training.


SAP System Support Manage requests for financial master data element additions and revisions.

Finance Submit requests in accordance with

established policies and procedures using prescribed forms.

Respond to requests for information and clarification to process request.

Finance Requirement is not being met due to

shortage of staff.

Finance IT is assisting Finance with immediate

short‐term needs while an assessment is done of the longer‐term needs for the Accounting Services Division.

A new manager was hired in November





24 Revised 11/19/2009

See Finance website for policies and procedures.

Familiarize themselves with forms and instructions for new financial master data elements.

Review and approve requests for financial master data element additions and revisions.

Ensure master data elements are necessary and required. Ensure required data components are included in request.

Ensure master data requests are processed and input into SAP accurately and timely within 3 days.

Ensure forms and instructions are clear, updated as needed, and posted on the web.

Provide training on forms and instructions as needed.

Divisions Work collaboratively with fund

accountant to determine appropriate master data element for accounting need.


and as she comes up to speed she will be able to help absorb some of the work‐load.





25 Revised 11/19/2009

collaborating effectively Number of days to input master data

after request has been submitted to Accounting Services


SAP System Support Process daily work order and project settlements.

Finance Ensure settlement errors are

communicated to person responsible for work order or project for resolution.

Divisions Resolve settlement errors in a timely

manner.


Finance


SAP System Support Coordinate month‐end and year‐end closing

Finance Ensure month end closing occurs on

time and all notifications are submitted to stakeholders.

Provide training and schedules. IT Provide technical support for reports

that need to reflect periods 12‐14 in December results.

Divisions Familiarize themselves with their

Finance Currently meeting this service for

monthly closing. Yearend period 13 and 14 processes

created some complications and confusion.

Some reports do not accurately reflect periods 12‐14 in December.

Finance The period 13 reports have been

identified as an iSTAR request and are being worked.

The use of Periods 13 and 14 has been clarified for 2009 and will only be used for their identified purposes rather than the loose manner in which they were used in 2008.





26 Revised 11/19/2009

responsibilities for ensuring the year‐end processes are completed timely and accurately.

Attend required training. Respond to inquiries and information

requests timely Measurement Meets published schedule

JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV

Closing and Financial Report Preparation Responsible Due Date Due Date Due Date Due Date Due Date Due Date Due Date Due Date Due Date Due Date Due Date

Budget Staff - All 03/01/10 03/13/10 04/05/10 05/05/10 06/03/10 07/06/10 08/04/10 09/03/10 10/05/10 11/03/10 12/03/10

Journal Entries, ENTERED and APPROVED by NoonFund Accountants &

Supervisors03/02/10 03/16/10 04/06/10 05/06/10 06/04/10 07/07/10 08/05/10 09/06/10 10/06/10 11/04/10 12/06/10

Linda Parks / Mary Mansperger

03/03/10 03/17/10 04/07/10 05/07/10 06/07/10 07/08/10 08/06/10 09/07/10 10/07/10 11/05/10 12/07/10

Fund Accountants 04/14/10 05/12/10 06/11/10 07/14/10 08/12/10 09/13/09 10/12/10 11/10/10 12/13/10

Supervisor 04/16/10 05/14/10 06/14/10 07/16/10 08/16/10 09/14/10 10/14/10 11/11/10 12/14/10

Finance Manager 04/19/10 05/17/10 06/15/10 07/19/10 08/17/10 09/15/10 10/15/10 11/12/10 12/14/10

Division Operations 04/20/10 05/17/10 06/15/10 07/19/10 08/17/10 09/15/10 10/15/10 11/12/10 12/14/10

Director of Finance 04/21/10 05/17/10 06/15/10 07/20/10 08/17/10 09/15/10 10/18/10 11/15/10 12/14/10

Director of Utilities 04/21/10 05/18/10 06/17/10 07/20/10 08/18/10 09/16/10 10/19/10 11/16/10 12/14/10

Secretary 04/23/10 05/21/10 06/18/10 07/23/10 08/20/10 09/17/10 10/22/10Walk on 11/16/10

Walk on 12/14/10

Charleen 04/28/10 05/26/10 06/23/10 07/28/10 08/25/10 09/22/10 10/27/10 11/l7/10 12/15/10

Secretary 04/21/10 05/25/10 06/22/10 07/27/10 08/24/10 09/21/10 10/26/10 11/16/10 12/14/10

Fund Accountants 04/14/10 05/13/10 06/14/10 07/15/10 08/13/10 09/14/10 10/13/10 11/11/10 12/13/10

Supervisor 04/16/10 05/14/10 06/14/10 07/16/10 08/16/10 09/14/10 10/14/10 11/11/10 12/14/10

Finance Manager 04/19/10 05/17/10 06/15/10 07/19/10 08/17/10 09/15/10 10/15/10 11/12/10 12/14/10

Division Operations 04/20/10 05/17/10 06/15/10 07/19/10 08/17/10 09/15/10 10/15/10 11/12/10 12/14/10

Secretary 04/23/10 05/21/10 06/18/10 07/23/10 08/20/10 09/17/10 10/22/10 11/12/10 12/14/10

2010 Reporting SchedulePower, Water, Rail, Fleet, Self Insurance,

Solid Waste, Surface Water & Waste Water

Year End Audit

Year End Audit

Year End Audit

Year End Audit

Year End Audit

Year End Audit

Year End Audit

Year End Audit

Year End Audit

Year End Audit

Appendix A

Month-End Closed (Wait for Fin/Accounting's Email notification) generally 5th Work day

Financial Reports - Approvals

Submit Journal Entry Requests to Fund Accountant by Noon

Financial Reports - MD&A Required Quarterly 3 days non Qtr - 4 days Qtr

Financial Report Approvals

Year End Audit

Year End Audit


Cash Projections

Financial Reports - Post to Web

Cash Projections Preparation & Approval

Cash Projection Review and Approval

Cash Projections Approval

Cash Projections Approval

Year End Audit

Year End Audit




Cash Projections - to Charleen for PUB

Financial Reports, To Charleen for PUB

PUB Meeting

O:\DCM matters\SLAs\Finance\Acctg and Reporting Appendix A 12-7-09.xls Budget Calendar 12/10/2009 7:30 AM 1 of 1


Finance Dept., Accounts Payable



Revised 12/4/2009 JA Page 1 of 15

Accounts Payable

Invoice and Payment Processes Payment Processing

Invoices paid using purchase orders, procurement cards, construction contracts, miscellaneous invoice payments, stock, including credit memos entered and "discounts allowed."

A/P Date/time stamp documents upon

receipt.

Return problem documents to department for clarification within five business days.

Invoices will be entered into SAP within five business days.

PCard transactions approved in SAP will be paid at least weekly and at end of month.

Contact department for clarification regarding invoice charges not identified on purchase orders before processing payment.

Departments Original, correct invoice delivered to

AP, with PO number written on it, a minimum of five business days in advance of required payment date or discount payment date.

MIGO or SES entered against PO in






SAP.

Completed miscellaneous payment request form (using current version), including accounting and proper codes.

Provide Procurement and Payables Division manager with names of uncooperative vendors for follow up contact.

Measurement Look at exceptions; are there recurring

issues, unresolved problems, etc.?

Are identified issues resolved to satisfaction of both parties?

Is the number/frequency of exceptions minimal or declining?

Accounts Payable

Invoice and Payment Processes Forward or return problem invoices

A/PInvoices with missing information that can’t be processed (e.g., without a PO number or employee name and ID number) will be forwarded or returned to department for correction within five business days of receipt.

AP Invoices sent to wrong

departments SAP contract numbers are on

invoice‐ but stacks are stapled together and sent to department contact on top invoice; some departments notice some don’t

AP staff have access to look up

Departmental single point of contact will be provided to A/P






Departments

Include PO number on invoice.

If no PO number, full name and employee ID number of person making the purchase.

Provide full name and employee ID number to vendors when making will call purchases.





PO numbers Departments

POs not always generated Need process for dealing with

problem vendors

Accounts Payable

Invoice and Payment Processes Payment check runs

Payment check runs will be processed daily, including delivery to the mailroom on the appropriate payment date Measurement Look at exceptions; are there recurring


Are identified issues resolved to






satisfaction of both parties?


Accounts Payable

Invoice and Payment Processes Document Imaging

Scan legally allowed images into SAP. Measurement Look at exceptions; are there recurring




Accounts Payable

Invoice and Payment Processes TRIP (Employee Reimbursements)

A/P Review paperwork, block and unblock

payments, follow‐up on missing documents.

Process accurate and completed paperwork for payment within three business days.

Communicate problems (e.g., missing paperwork) within three business days.

Run bi‐weekly report for outstanding items.






Departments SAP printout, Travel Authorization

form, Itemized Expense Worksheet and detailed receipts.

TRIP approval by supervisor in SAP.

Appropriate completed paperwork, including supervisor’s signature, to AP in timely manner.

Where a travel advance was received, completed paperwork and any monies owed to the City must be submitted within 10 business days of return from travel.

Provide appropriate/adequate documentation as specified by current polices for all other reimbursements (tuition, cell phones, boot, tool and clothing, emergency meals, etc.)

Measurement Payments and communication are

made in a timely manner. Survey feedback.






Accounts Payable

Central Travel Procurement Card Processes Travel Approval for central travel PCard air fare activity

A/PPromptly process air fares paid by PCard. Departments Provide city approved travel agent traveler’s full, legal name, employee ID number and cost center.





Accounts Payable

Procurement Card Processes PCard

A/P Audit for inappropriate usage.

Assist with troubleshooting approval issues, and help desk for such things as changing accounting.

Departments Approve PCard transactions and corrections within five business days. (Auditing process is still being developed.)






Measurement

Track number and frequency of inappropriate charges.

Is the number/frequency of inappropriate charges minimal, or being reduced?

Accounts Payable

Vendor Maintenance and Reporting Vendor Master Data Maintenance (including setting up new vendors)

A/P

Set up new vendors within three business days.

Requests for vendor creation in emergency situations receive priority.

Departments Properly completed vendor request forms, including TIN or SSN. Measurement Look at exceptions; are there recurring









Accounts Payable

Vendor Maintenance and Reporting 1099 Reporting

A/P 1099 forms will be generated each

year and reported to the IRS as required.

Review PCard report indicating use of 1099 vendors.





Accounts Payable

Back End Processes Process returned checks and refund checks

A/PProcess returned checks and refund checks in a timely manner. Departments Timely response to requests for proper accounting.










Accounts Payable

Back End Processes Special check handling – attach remittance advices, check provided to department, call departments to pick up checks, etc.

A/P Remittance advices will be sent with

checks.

Checks will be returned to departments as requested.

Departments Communicate when special handling is

needed.

Copy of the paperwork to be mailed with the check.

Provide AP with department contact name and phone number for check ready/pick up notification purposes

Pick up checks in a timely manner, when appropriate.











Accounts Payable

Back End Processes Vendor Calls – payment status

A/P Payment status will be provided when

requested.

Act as liaison between department and vendor to resolve discrepancies.

Add an AP email folder to track responses from Departments on problem invoice/vendors

Departments

Provide AP with department contact for vendor issues

Communicate with AP by providing appropriate feedback on problem invoices and reasons for non‐payment as soon as possible




A/P Bullet three not currently being done; department request. Departments Request that AP send standardized "form letter" email to notify departments that an invoice or other payment/vendor issue is being sent to them by fax or inter‐office mail.








Accounts Payable

Back End Processes Statement Reconciliation

A/P Statements sent to Accounts Payable

by vendor will be reconciled.


Departments Assist with statement reconciliation as needed: Respond promptly and communicate

reasons for non‐payment Prompt payment of invoices delayed

(oversight) Measurement Look at exceptions; are there recurring




A/P Bullet two not currently being done; department request






Accounts Payable

Miscellaneous Accounts Payable Training ‐ Future

A/P Timely and accurate training materials,

documents and guidelines.

Develop training and training materials as new topics arise.

Provide training, as appropriate.

Identify backups when out of office Conduct surveys to get suggested

training topics. Departments Suggest training topics.

Send correct people to training. Follow‐up with problem staff.

Notify AP when department bill payers change.

Provide feedback regarding training documents, web links, etc.

Ensure the right people are doing the work.

Invite AP to department staff meetings.

A/PTraining and assistance provided upon request

A/PA survey will be developed to determine training needs and wants. Training materials will be developed and classes scheduled in 2010.






Call with questions before taking action.

Measurement Training attendance records.

Training evaluation sheets. Was training conducted?

Did appropriate client department staff attend training?

Was the training meaningful? Accounts Payable

Miscellaneous Communication is the key to success

A/P Keep out‐of‐office messages for email

and voice mail up‐to‐date, including alternate contact information.


Add list to AP website of department contacts

Departments

Keep out‐of‐office messages for email and voice mail up‐to‐date.

A/P Bullet two not currently being done; department request






Provide Accounts Payable with a single point‐of‐contact for each department.

Call with questions before taking action.

Contact Accounts Payable for payment issues.

Contact Purchasing with PR/PO and procurement questions.

Accounts Payable

Miscellaneous Review "open" purchase orders

A/PReview purchase orders that have not been "received" (via MIGO or SES), communicate status to departments. Departments Review "open" POs, and receive against them or close, as appropriate

A/PDue to staffing shortage, this review is not currently being done.

A/PDevelop a plan to administer this process.

Accounts Payable

Miscellaneous

Unclaimed Property

A/P Due diligence will be done on

Unclaimed Property checks. Lists will be sent to Departments (e.g.

Click! Customer refunds) Departments Research the list of outstanding checks

and respond to AP with results






MeasurementHow many unclaimed checks remain at end of reporting period?

Accounts Payable

Non‐Core Processes (Department Specific) Batch processing uploads (Click!, Library, Muni Court) will identify charges to client department

A/PProcess batch uploads in a timely manner. Departments

Notice to AP that an import is available. Timely response if correction is needed.

Accounts Payable

Non‐Core Processes (Department Specific) Power Management Invoice (power netting payments

A/PPower Management invoices will be paid. Departments Notification a month in advance of required payment dates , to include amounts

Measurement Track late payments.

Departments Late notifications by the department has caused payment problems

DepartmentsDiscuss process improvement to avoid late payments


Finance Dept., Finance Administration



1

Finance Administration

Financing Services Selection of Financial Advisor (FA)

Finance Prepare Request for Proposals and

circulate for approvals before publishing

Publish RFP and provide additional financial information as requested.

Evaluate responses with team, interview and recommend to PUB or CC

Negotiate contract with recommended respondent.

Departments Review the RFP and provide feedback Respond to inquiries about utility or

departmental operational matters Evaluate responses with team,

interview and recommend to PUB or CC

Negotiate contract with recommended respondent

Measurement RFP is ready to be published on agreed

upon date. RFP published at least six weeks

before the FA needs to be under contract.

Evaluation completed and

RFP is being prepared for GG with FA scheduled to be selected and approved by March 1, 2010. TPU FA has been selected and is under contract until 2011.





2

recommendation made within two weeks of RFP submittal deadline.

FA under contract at least 6 months before anticipated bond closing.


Financing Services Bond Issuance

Finance Participate as member of bond

issuance team. Note ‐ Financial Advisor (FA) prepares schedule.

Participate in selecting bond counsel. Meet with team to determine amount

of proceeds needed, description of projects, impacts to rates, structure and schedule.

Advise Treasurer’s Office of proposed new debt. Note ‐ Financial advisor helps to estimate reserve requirement, escrow and issuance cost. Prepares preliminary estimate of structure and debt service

Assist with evaluations of refunding candidates. Note ‐ Financial Advisor makes recommendations to team.

Participate in selection of underwriter for a negotiated sale. Note ‐ Financial Advisor develops RFP.

Review and comment on the bond ordinance prior to presenting it to the

Process used for 2009 Water bonds and 2009 LTGO Bonds.





3

PUB and CC for approval as needed. Prepare the ordinance request. Note ‐ Bond counsel or Financial Advisor drafts or updates ordinance and attends PUB or CC meetings as needed. Financial Advisor provides input on impacts of bond ordinance structure.

Participate in preparation of official statement by providing updated information on financial issues in a timely manner. Note ‐ Bond Counsel or Financial Advisor provides updated preliminary and final official statements. Financial advisor and underwriter will participate.

Participate in preparation of the rating presentation materials and meet with the rating agencies.

Note ‐ Financial Advisor participates in preparation, presentation and review.

Review the bids for most responsive per TIC evaluation for a competitive sale. Participate in pricing negotiations with the underwriter for a negotiated sale.

Assist in final size determination and





4

refunding evaluation for savings goal. Note ‐ Financial Advisor reviews bids or proposal and makes recommendation to City. Financial advisor participates in pricing call and make recommendation for a negotiated sale.

Assist in preparation of purchase resolution materials and presentation to the PUB and CC as required. Note ‐ Financial advisor makes recommendation after evaluating bids.

Prepare for closing and receipt of funds by determining the accounting required by SAP and record funds and liabilities at closing. Note ‐ Financial advisor prepares the closing memo. Bond Counsel participates. Underwriter transfers funds per the memo. If competitive sale then Financial Advisor provides closing instructions to proposer.

Departments Department assembles team after

identifying a need for financing.





5

Legal department initiates selection of bond counsel.

Staff evaluates rate models to measure impact of the issuance on rates. Documents projects and spending plan. Develops projections on the impacts causing rate increases. Participate in discussions concerning bond structure.

Discuss Financial Advisor recommendations with Finance staff.

Participate in the underwriter selection process.

Review and comment on the bond ordinance with regard to management, projects and operational issues. Attend PUB and CC meetings as needed.

Actively participate in the preparation and review of the official statement by updating appropriate utility or departmental sections.

Participate in preparing the rating presentation and meeting with the agencies.

Participate in the review of the bids or proposal and bond sizing.





6

Review the draft purchase resolution. Participate in presentations to the PUB and CC as required. Customer schedules special PUB meeting if required.

Work with Finance staff in the review of the bond accounting and closing memo.

Measurement Schedule is prepared and bond

issuance team is in place 1) at least 5 ½ months before anticipated bond closing or 2) as agreed upon in the schedule.

Bond counsel is selected and under contract at least 5 months before anticipated bond closing.

Bond projects and structure are set on or before the date in the bond issuance schedule.

Decision on refunding candidates made on or before the date in the bond issuance schedule.

Selection made on or before the date in the bond issuance schedule.

Bond ordinance is prepared, reviewed,





7

and approved at least one week prior to Board and/or Council meeting.

Preliminary official statement and the Official Statement are prepared, reviewed, and approved at least two days before publication date.

Rating agency materials are ready at least two days before the rating presentation. Presentation to rating agencies is made according to bond issuance schedule.

Decisions are made per bond issuance schedule.

Materials and recommendations are ready for presentation to PUB and/or City Council per bond issuance schedule.


Financing Services Short Term Financings

FinanceAssist in obtaining short term financings such as bank loans or State Revolving Fund loans. (Repeats many of the previous steps concerning legal authorization.) Note ‐ Bond Counsel is involved in drafting legal documents and the Financial Advisor is often involved to provide their advice. FA

Current process meets expectations





8

develops the schedule. Departments Assist Finance in obtaining financing by helping draft the request for ordinance and sale resolution, presenting information to CC committees or PUB and City Council. Measurement Proceeds from the short‐term financing are available according to the debt issuance schedule.


Financing Services Post Issuance & Support

Finance Prepare debt service schedules for the

issue and record cost of issuance history for amortization. Maintain bond debt issuance fact sheet of size, TIC, premium or discount, bond counsel, type of sale, etc. Note ‐ Financial advisor participates in the review process.

Update debt service schedules for refunding and review reserve fund adequacy each year. Note ‐ Financial Advisor participates in these processes.

Annually prepare and submit the

Current processes meet expectations. RFP for arbitrage calculation work is scheduled to be released October 30, 2009 with selection made by December 31, 2009. A firm has been retained to provide the necessary BAB reporting for interest subsidy for the 2009 Water bonds.





9

Continuing Disclosure requirements. Annually maintain cash balance

reporting required for arbitrage reporting calculation done every five years. Restrict funds required for arbitrage liability if any. Notify others of liability.

Contract with a firm to provide the arbitrage evaluation and prepare and submit the required IRS reporting if required. Note ‐ Bond Counsel‐Tax Counsel may participate if questions arise.

Periodically review special requirements associated with the issuance of ARRA bond issues such as BABS, CREBs etc.

Departments Review the debt service schedules for

the issue and combined debt service. Review cost of issuance and review fact sheet.

Meet with Finance staff to discuss the status of reserve funds and identification of refunding candidates.

Participate in the timely preparation of





10

continuing disclose by providing updated operational information.

Work with Finance staff to properly record project expenditures against correct bond accounts. Provide periodic spending plans. Actively manage spend down of bond proceeds to comply with arbitrage certificate representations.

Participate in selection process for arbitrage expert, meet and discuss.

Assist in periodic reviews of special requirements associated with ARRA bonds.


Financing Services Reporting

Finance Each year prepare individual and

consolidated debt service schedules for each customer.

Calculate and publish each year the current average interest rate on debt still outstanding. Note ‐ Financial advisor participates in review of potential refunding candidates.

Maintain a schedule of arbitrage calculation due dates for each issuance.

Prepare and participate in rating





11

agency updates with financial advisor and staff and provide follow‐up as requested. Note ‐ Financial Advisor initiates and participates.

Prepare quarterly and annual calculations of revenue bond coverage. Note ‐ Discuss with Financial Advisor.

Maintain and control records of bond transcripts. Note ‐ Bond Counsel provides transcripts.

Departments Review and discuss debt service

schedules with Finance staff. Discuss potential refunding

opportunities. Manage spend down of bond proceeds

to minimize the arbitrage liability. Participate in preparing explanations of

operating results impacts on financial results.

Review and discuss quarterly and annual calculations of revenue bond coverage with Finance staff. Understand difference between actual and plan.


Finance Dept., Budget & Research



1 Revised 11/19/2009

Budget & Research

Budget Preparation Support

Coordinate the budget preparation process

Budget & Research Involve departments in preparing the

budget calendar Provide instructions to IT surrounding

assessments and copy departments Advise departments of changes to their

budget requests Respond to questions that appear to be

outside the budget instructions Present status reports, financial reports

and issues to Budget Steering Committee

Coordinate the assessment process Oversee the Capital Facilities Program

(CFP) document preparation Produce Preliminary and Adopted

Budget Book(s) Departments Actively participate in budget calendar

development Raise questions to clarify budget

instructions Follow instructions and deadlines Prepare preliminary budget requests Raise issues that appear to be outside

of instructions

As expected





2 Revised 11/19/2009

Measurement Customer satisfaction survey at end of budget preparation period 85 % favorable rating

Budget & Research


Provide information to prepare budgets

Budget & Research Issue guidelines and instructions for

budget preparation Update the instructions as changes

occur Calculate benefits and produce labor

projection reports, according to the budget calendar, or on an “ad hoc” basis as requested by departments

Advise departments of service rates early in the budget process

Input fixed costs and advise departments of the amounts and cost centers input

Calculate and communicate labor benefits rates

Produce loaded labor rates for “Activity Pricing”

Annually update the “Assessment Overview” document and distribute

Provide CFP database and instructions

As expected





3 Revised 11/19/2009

to prepare the CFP Provide accurate and timely

information Departments Follow instructions and deadlines Respond to questions from the Budget

Office Ask questions for clarification or to

understand and implement instructions Provide accurate and timely

information Initiate requests for new Activity Pricing

rates HR provides updates on labor benefit

costs and collaborates to develop rates for the budget

Measurement Customer satisfaction survey at end of budget preparation period 85 % favorable rating





4 Revised 11/19/2009

Budget & Research


Maintain monthly copy process to update budgets in SAP

Budget & Research Coordinate w/ departments with any

budget changes to input into SAP Communicate ordinance‐driven

changes Review and input budget changes into

SAP Departments Document need for changes to the

budget & collaborate with Budget staff Request budget changes by 3rd week of

any month

As expected

Budget & Research

Collaborate on addressing issues & concerns

Partner with departments for procedural and system improvements

As expected

Budget & Research

Implement the new budget development software

Budget & Research Manage the Steering Committee

activities Advise departments of changes

expected or needed to implement the software

Assess concerns raised by departments and coordinate response from the Steering Committee

Provide training and Issue instructions to use the software

As expected





5 Revised 11/19/2009

Provide resolution for issues raised during use of the software & provide on‐going support and training.

Departments Participate in the Steering Committee,

if nominated Identify concerns and issues resulting

from roll‐out correspondence Collaborate with other departments

and Budget to solve concerns and issues

Follow instructions to use the software, raise any clarifying questions

Ensure the correct staff is trained. Measurement Customer satisfaction survey at end of budget preparation period 85 % favorable rating





6 Revised 11/19/2009

Process personnel requisitions, contract & award letters, fiscal impact memos, ordinances, project setup and other Master Data requests

Budget & Research All incoming documents will be

processed within 5 business days, or more quickly if specifically requested by the originator

Raise questions with departments and when explanations are provided promptly process requests

Departments Prepare requests to Budget according

to instructions Respond to any questions raised Clearly identify transactions that

require processing in less than 5 days HR requests fiscal impact memos at

least 3 weeks before ordinance preparation

As expected

Budget & Research

Reporting and Analysis Budget & Research Prepare monthly General Fund and Fund 3211 REET/Capital expenditure and revenue reports

Promptly communicate information affecting the budget to departments

Collaborate with departments in responding to requests for information

As expected





7 Revised 11/19/2009

Departments Promptly communicate information

affecting the budget to the Budget Office

Collaborate with the Budget Office in responding to requests for information

Review reports and notify Budget immediately of any concerns.


Finance Dept., HUB




HUB

Contracting Opportunities

HUB Provide employment, contractor and

subcontractor goals within five business days. Communicate with department if deadline will not be met.

Maintain list of HUB vendors on HUB website. *

Act in partnership with awarding department.

Meet with department staff as needed.

Serve as subject matter resource.

Use due diligence on projects (without HUB goals) to advance outreach efforts to HUB vendors. Review HUB vendor list for potential bidders/respondents

Departments

Supporting documentation; engineer's estimate, scope of work, fund source (e.g., grant or federal funding) five days in advance of desired response

* DISCUSSION ‐Will update when supplies and services regulations are implemented

Quarterly reports at Hub Advisory Committee meetings.

Will develop a process to recruit additional HUB contractors to increase competition and ensure pricing is more competitive.

Lack of back‐up staff delays establishment of HUB goal and bid evaluation. Also, makes scheduling of pre‐bid meetings difficult.


Finance Dept., HUB




date (to coincide with C&A Board).

Use due diligence on projects (without HUB goals) to advance outreach efforts to HUB vendors. Review HUB vendor list for potential bidders/respondents.


issues, unresolved problems, etc. Was the specification out on time? Are identified issues resolved to

satisfaction of both parties? HUB

Evaluate Bids / Validate Bidder Status

HUB Evaluation process completed within

four business days. HUB memo (evaluation results and

adjusted bid ranking, if applicable) sent to department within four business days (this is needed to complete C&A letter).

Departments Bid submittals and tabulations from project managers (keep two‐step process/two copies to Purchasing).

Documents are faxed, sent via interoffice mail or hand‐carried to departments, and Purchasing does not receive copy from HUB.

Scan HUB memos and email to departments, copy appropriate Purchasing staff member.


Finance Dept., HUB




Measurement Were timelines met? Dated memorandums, emails, letters

and phone calls as basis for review. Meet with the department/division/ section heads if needed.

HUB

Technical Assistance

HUB HUB staff serve as consultant, i.e.,

subject matter expert: a. Changes in requirements b. Interpret rules, regulations c. Compliance

Attend pre‐bid meetings, as required. Attend pre‐construction meetings, as

required. Departments Communicate their needs for

assistance. Send pre‐bid meeting invitation at

least one week in advance. Send pre‐construction meeting

invitation at least one week in advance.

Measurement Were department needs met?


Finance Dept., HUB




Did the department communicate its needs?

HUB

Conflict Resolution HUBResolve conflicts with contractors and subcontractors and departments. Departments Communicate when there is a problem and provide supporting documentation. Measurement Was HUB made aware of problem? Did department assist HUB with

contractor problem? Was conflict resolved? Was payment made

HUB

Agency Reports HUB Submits required info to agency by

deadline. Departments Supporting documentation and reports

(e.g., certified contractor payroll and funding source) in electronic format by deadline.

Provide Substantially Complete letter as trigger for projects with HUB


Finance Dept., HUB




contracting or federal funding. Payment not made to contractor until

all required forms are in place. Measurement Was the information provided to HUB

in time to meet required deadlines? Did HUB submit to agency by

deadline?

Department is not always notifying HUB when project is substantially complete.

Provide training and/materials.

HUB

Record Keeping (federal, mandatory) a. Payroll b. Track paperwork

HUB Communicate status within 10 days of

receipt of substantially complete letter, e.g., identify missing items.

Submits quarterly reports and required documents to agency by deadline.

Departments Supporting documentation and reports

(e.g., contractor payroll and funding source) received by deadline.

Project manager to send received documents to HUB within 10 days.

Payment not made to contractor until all required forms are in place ‐ HUB retainage affected.

Status is received by department within 10 days of providing substantially complete letter most of the time.

HUB to create standardized message (email or form) for reporting status, e.g., specific information is missing from contractor, or project is complete.


Finance Dept., HUB




Measurement Is checklist complete before payment

is made? Was the information provided to HUB

in time to meet required deadlines? Did HUB submit to agency by

deadline? HUB

Training / Outreach (internal)

HUB Citywide notifications when significant

changes occur. Provides one‐on‐one training for new

employees as requested by departments.

Provides refresher training and/or updates for current employees (usually one‐on‐one).

Provide group training when significant policy changes occur.

Be flexible to needs of department. Departments Communicate training needs and

suggest training topics. Department representative attend

purchasing focus group meetings. Send correct people to training.

Follow‐up with problem staff.


Finance Dept., HUB




Provide feedback regarding training documents, web links, etc.

Ensure the right people are doing the work.

Invite HUB to department staff meetings.

Communicate regarding barriers that prevent job from getting done.

Measurement Did the department send the right

people to the training class? Was training appropriate and effective

for the participants? Are fewer HUB related addendums

published? Performance evaluations collected at

end of group training sessions. HUB

Communication is the key to success Keep out‐of‐office messages for email and voice mail up‐to‐date, including alternate contact information.

HUB

Training / Outreach (external) HUB Attend workshops, tradeshows and

conferences promoting City of Tacoma.

Work with businesses and teach “How To Do Business with the City.”


Finance Dept., Payroll Division



1 Revised 11/12/2009

Payroll Time Data

PayrollTime will be processed nightly in the SAP Time Transfer and Evaluation processes

Departments Employees will enter their time into SAP using either ESS, CATS2, or paper timesheets by Wed 3:00 pm; Supervisors approve time by Thurs 3:00 pm of the Non‐Payroll week. For Fire dept time is uploaded through automated scheduling and Fleet system. Paper timecards for the remainder of the staff are processed by Friday of the non‐payroll week. For Water Distribution Operations field crews, the last of the daily time cards are entered on Monday of the Payroll week. Measurement Time not entered/Time not approved reports

All time is entered, released and approved by specified times.





2 Revised 11/12/2009

Payroll Direct Deposit Advices

PayrollDirect deposit advices are distributed to departments through timekeepers on Thursday or Friday of the payweek. Departments Employees should review each Direct Deposit Advice to verify accuracy of their gross pay, their deductions and their quota balances. Measurement One Direct deposit advice to each employee paid

One direct deposit advice to each employee paid with direct deposit

Payroll Direct Deposit to Bank account

PayrollAll employees will be paid biweekly on every other Friday. Employees will be paid on Thursday if a City holiday falls on a payday Friday. Employees will be paid on Wednesday if payday falls on the Friday of Thanksgiving week.

Departments New or changed enrollments for Direct Deposit should be submitted at least 10 days before pay period begin date.

Bank reject listing; Exceptions, recurring issues, unresolved problems should be exceptions noted





3 Revised 11/12/2009

Measurement Bank Reject list

Payroll Off Cycle Paycheck

PayrollRequests for off cycle corrections to payroll are approved by HR and produced by Payroll staff on Friday of the payweek or the Tuesday following Payday unless there are extenuating circumstances. A corrected check will be available for pickup by the department within 2 working days of approval. Departments Employees who detect an error

concerning their pay should report the discrepancy to their timekeeper for an additional check, a reissued check or a

Non payroll week Tuesday Off Cycle checks issued; Immediate feedback/review to timekeeper and department. Hold quarterly review meeting and peer review model. Exceptions, recurring issues, unresolved problems should be maintained as a record of exceptions.





4 Revised 11/12/2009

correction on the next payroll.

A reissued check that replaces a returned direct deposit will be replaced after Treasury receives verification that the funds were returned to the City's bank account (usually 3 to 5 working days). Lost, stolen, or destroyed paychecks will be reissued within 5 working days from the date that a request for replacement and a signed affidavit is received.

Measurement Non Payroll week Tuesday Off Cycles checks issued; Immediate feedback/review to timekeeper and dept

Payroll Pay Advice reissue Payroll Reissued pay advices will be issued

within 10 working days after Payroll receives a signed request from employee.

Departments Employees need to complete and sign

a form requesting a reissued pay

Requests for Pay Advice reissue are processed within stated times.





5 Revised 11/12/2009

advice.

Measurement Requests processed within stated times

Payroll W‐2 reissue

PayrollReplacement W‐2 forms will be reissued within 5 working days after Payroll receives a signed request from the employee.

Departments Employees need to complete and sign a form requesting a reissued W‐2. Measurement Requests processed within stated times

Requests for W‐2 reissues are processed within stated times.

Payroll Voluntary deductions and Federal Tax Withholding

PayrollDeductions and Federal Withholding changes will be entered into the payroll system effective the next production payroll provided that the signed requests are received in the Payroll Division by the second Friday of the pay period.

Departments

Hold quarterly review meetings and peer review model. Exceptions, recurring issues, unresolved problems are maintained as record of exceptions.





6 Revised 11/12/2009

Employees need to complete and sign forms requesting voluntary deduction changes and Federal Withholding changes. Measurement Requests processed within stated times

Payroll W‐2 Forms

PayrollW‐2 forms will be distributed each year from Payroll to the departments by the last work week of January.

Measurement 100% distributed.

100% distributed

Payroll Reporting and Payments

Payroll941 Federal Withholding Quarterly Reporting and payments; Unemployment Insurance Reporting and payments; Worker's Compensation Reporting and payments; Interface reporting and payments; Deferred Compensation reporting and payments

Measurement






7 Revised 11/12/2009

All reports submitted timely and accurately

Payroll Training

PayrollTimekeeper training and meeting organization; updates to Timekeeper handbook and policies


Payroll Responding to Inquiries PayrollInitial response to inquiries within a 24 hour period; Should a question necessitate more research, respond to the question which was received and that more research is needed to answer question Measurement Exception based; immediate feedback. 100% of responses within allotted time and issues/inquiries resolved

Exception based; immediate feedback


Finance Dept., Purchasing




Purchasing

Conduct Competitive Solicitations – Sealed/Formal Requests for Bids over $200K Construction/labor and complex material bids over $50K Requests for Proposals Requests for Qualifications

Purchasing Purchasing staff serve as professionals

with an understanding of client department needs; assist clients with purchasing processes.

Conduct entire competitive solicitation process (requests for bids, requests for proposals, and requests for qualifications) for purchases over informal bid threshold (currently $15,000) or at lower dollar levels, upon request, within mutually agreed upon timeframes.

Serve as contact for process related questions from prospective respondents (particularly in RFP situations).

Serve as liaison between department and respondents during solicitation process.

Serve as resource to client departments, including providing guidance regarding which solicitation type should be used and vendor sourcing.

Meet with the department staff as needed.

Departments

Advance bid notification does not consistently happen.

Purchasing

Add minimum five business days bid notification request to Purchasing policy






Departments Bid notification form provided in

advance of specification draft within a minimum of five days prior to bid advertisement.

Bid notification to include proposed time frame for advertising.

Potential vendor list, if known, at least five business days in advance of proposed advertising date.

If potential vendors are unknown, notify Purchasing so that vendor sourcing can be done.

If specific vendors are to be notified, provide list with email addresses.

Assist with researching returned emails (from bid invitations).

Technical and special requirements of the specification, the details of what is needed.

Staff follows federal and state laws, as well as municipal code and city policies.

Measurement Maintain a record of exceptions.

Vendor list frequently not provided at least five days in advance.

Incomplete vendor lists (e‐mail addresses missing) often provided. Five days provides Purchasing enough time to get emails out and/or research additional sourcing. Note: There is no vendor data base maintained so department input is useful (buying staff may keep informal lists of frequent vendors).

manual. Change instructions on notification form.






Look at exceptions; are there recurring issues, unresolved problems, etc.?



Meet quarterly to discuss the issues. Purchasing

Conduct Competitive Solicitations – Sealed/Formal Bid Preparation Determine which solicitation method is appropriate for a specific purchase.

Purchasing

Review specification documents submitted by client; make and track, or suggest, changes to clarify or improve document within five business days.

Include/insert most current required purchasing forms, e.g., terms and conditions, prevailing wage requirements, etc.

Communicate as needed with departments regarding timelines, specification drafts, progress, etc.

Departments

Other non‐standard requirements, to include ARRA (American Recovery &

Purchasing

On rare occasions the incorrect prevailing wage rates have been included in the specification. It is critical that current rates are posted.

Departments

Purchasing staff are not kept informed of status in establishment of HUB goals (when applicable).

Draft specifications are often submitted at last minute, with expectation of immediate review and posting by Purchasing.

Specification documents are sent in multiple formats (PDF, Word, etc.) and are not combined or complete.

Purchasing

Double check prevailing wage change dates (put language in notifications when changes are occurring, typically two times a year). Put change dates in task reminders on Outlook calendars.

Departments

Copy purchasing analysts on their emails/correspondence with HUB on discussion of HUB goals, and when final HUB goals are established.






Reinvestment Act) e.g., federal funding requirements.

Provide additional information, as requested.

Measurement

Maintain a record of exceptions.




Purchasing

Conduct Competitive Solicitations – Sealed/Formal Advertising/Posting Addenda issuance Pre‐bid meetings

Purchasing

Accurate bid advertisement and posting, including addenda, meeting mutually agreed upon timeframes.

Attend pre‐bid meetings, if requested.

Answer vendor questions regarding the bid process.

Departments

Early communication of anticipated

Departments

Departments frequently do not

Discuss issues at quarterly meetings and focus group meetings.






advertising date (via bid notification form and any additional communication).

Specification and addendums must be in final, ready to post form; approved by appropriate department management and submitted to Purchasing a minimum of two business days before advertising deadline.

Pre‐bid meeting invitation sent to purchasing analyst at least one week in advance.

Respond to vendor questions regarding technical issues within one business day

Measurement





provide enough notice.

Addendums are being sent to Repro NW for posting without Purchasing review and signature.

Pre‐bid meetings should be scheduled with sufficient time to respond to inquiries made during the meeting (minimum of five business days before opening; additional time if issuance of addenda is anticipated).






Purchasing

Conduct Competitive Solicitations – Sealed/Formal Bid opening

Purchasing

Provide original to department after bid opening (all revisions and notes to be on original document).

Maintain control copy (copy original with notes prior to sending to departments for review).

Post "apparent" results, as read at bid opening, to web.

Review submittals for responsiveness; consult with legal department as needed. For unusual circumstances, coordinate legal review with client department

Departments

Review submittals for responsibility (typically for construction projects).

Notify purchasing when an unusual circumstance arises during bid submittal review.

Measurement


Departments

For Public Works and Improvements solicitations, some departments would like Purchasing to conduct the bidder responsibility review (which would create additional time factors for Purchasing staff), while other departments prefer to continue to conduct the review themselves.

Departments and Purchasing Purchasing and affected client

departments need to conduct further discussion, to reach a consensus on bidder responsibility review.









Purchasing

Conduct Competitive Solicitations – Sealed/Formal Award Process C&A letters (Contracts and Awards)

Purchasing

Accurate work, meeting mutually agreed upon timeframes.

Coordinate C&A process. a. Notify other than low bidders of

their right to protest per policy and code requirements.

b. Coordinate C&A Board protest meetings.

c. Coordinate any letters of response to vendor protests (between legal, project manager and purchasing).

Coordinate council/board agendas with city clerk and TPU director's office.

Review draft C&A letter within one day of receipt.

Some departments have been confused about who takes the lead in response to bid protest. Departments C&A letters are often signed by dept manager before they have been reviewed

HUB evaluation memos to be scanned and emailed to department and purchasing analyst or assistant. (This has been added to HUB SLA section, page 29.) Purchasing Include instructions for draft review of C&A letter in purchasing policy manual.






Departments

Bid tabulation.

C&A letter draft sent to purchasing analyst for review/feedback at least one business day prior to submitting signed, final version.

Measurement





by Purchasing, which results in delays when errors are found.

Purchasing

Conduct Competitive Solicitations – Sealed/Formal Legal contract routing Construction (award letter, bond, contract, insurance‐ referred to as ABC documents by Purchasing staff.

Purchasing


Award/bond/contract (ABC) documents mailed to vendors within two days of Board/Council approval.

Initial review of insurance documents,






Supplies, if applicable

if applicable; notify department of potential problems.

Set up SAP contract, if applicable, prior to mailing award packet.

Send out copies of fully executed documents.

Departments

Provide info for SAP contract, if requested.

Legal contract signors sign, and then log the progress in the contract routing database before forwarding to next signor in a timely manner. The expectation is full routing will be completed within two weeks.

Measurement




Some legal contracts are delayed

during the signature routing process. A legal contract routing database (for tracking signature routing) is established, though it is not consistently updated by departments as contracts are routed for signatures. There is a perception that Purchasing staff have knowledge of where contracts are in their routing process, even when the database is not kept current.







Purchasing

Conduct Competitive Solicitations – Sealed/Formal Professional and personal services contracts (NOTE: Professional and personal services contracts may also result from pre‐authorized direct negotiation process, which is covered; see Non‐Competitive ??section).

Purchasing


Review legal contracts for appropriate signatures, dates, payment terms, restrictions, etc.

Set up SAP contract, when applicable.

Release SAP contracts within three business days once all authorizations and requirements are in place.

Departments

Reviews/verifies/maintains insurance, if applicable (Except for professional and personal services; not as a result of a bid)..

Provide info for SAP contract, if requested.

Measurement


Contract/project manager is

responsible for making sure contractor insurance is up to date. Insurance validity date is tracked by individual departments; it is not recorded in SAP.

Departments would like a standardized form for providing information to Purchasing for SAP contract set up.






Meet quarterly to discuss.




Purchasing

SAP Contract Creation and Maintenance for Non‐Competitive Awards (e.g., sole source, impractical to bid, emergency, direct negotiation, etc.)

Purchasing Serve as resource to client

departments; provide guidance and assistance.

Set up SAP contract, if applicable. Departments Send fully executed legal contract

(professional, personal or SOS) and/or approved waiver (emergency, sole source, impractical to bid, direct negotiation) in timely manner, e.g., right after document is signed, before services begin or goods are ordered.

Note: Ensure that "… entered into on this date ____" is completed on legal contract.

Also: a. Resolution number, if applicable.






b. Plant/storage locationc. Purchasing group d. Suggested material group e. Department point of contact f. "Order address" vendor number g. Whether taxable or non‐taxable

if non‐construction services h. Material ID, if applicable

Measurement Maintain a record of exceptions. Meet quarterly to discuss. Look at exceptions; are there recurring

issues, unresolved problems, etc.? Are identified issues resolved to

satisfaction of both parties? Is the number/frequency of exceptions

minimal or declining? Purchasing

Informal Solicitations (unsealed) Supplies $200K and under (use sealed process for complex solicitations) Construction bids $50K and under Services bids $50K and under (unless

Purchasing

Conduct the competitive solicitation process for purchases over informal bid threshold (currently $15,000), or at lower dollar levels, upon request.

Serve as resource to client departments, providing procurement process expertise, including vendor

Purchasing Sometimes, due to complexity, the process is not clear. Departments report there have been a few times bids have been approved and awarded, but the PO was not created until days afterward.

PurchasingThe purchasing policy manual will define process and thresholds.






using RFP or RFQ)

sourcing.

Determine which solicitation method is appropriate for a specific purchase.

Communicate as needed with department regarding timelines, specification drafts, progress, etc.

Tabulate bid results and send to departments for review, when applicable.

Set up SAP contract, if applicable.

Create and release purchase orders; issue to vendor when applicable.

Departments At least five days in advance of proposed "let" date provide the following:

Bid notification form or purchase requisition with SAP information to Purchasing.

Technical/special specifications and drawings, if applicable.

Potential vendor list, with email addresses, if known; or if unknown, notify Purchasing so that vendor

Departments Bid notification forms and PRs are not consistently being received within required five day time frame. Vendor lists/email addresses or report of no potential vendors are provided/communicated on time only 50% of the time. Department point of contact is not






sourcing can be done.

Department point of contact for the project, especially if different than the person creating the PR.

Suggested time frame for bid to be posted if other than the standard five business days.

Delivery time / duration of service.

Delivery location.

When requested, written notice indicating recommended award.

Additional info for SAP contract, as requested.

Measurement


Meet quarterly to discuss.




usually provided. The purchase requisition (PR) creator may know little detail about the project, other than what’s provided on the PR. Locating the appropriate department contact can delay the process (this also effects other departments, such as the power warehouse, who are responsible for receipt and routing of supplies). Delivery times and duration of service are not consistently provided. This is critical to how the solicitation is conducted and awarded.






Purchasing

Administer citywide contracts Purchasing Conduct competitive solicitations,

award and manage citywide contracts for variety of supplies and services needed by multiple city departments/divisions, both TPU and GG.

Manage citywide contracts, including implementing amendments (increases/extensions) before value is drawn down or term expires wherever possible.

Review purchases for citywide contracting opportunities. Seek input from stakeholders to use as guide for what may be needed or is possible.

Serve as resource for how/when to use citywide contracts.

Departments Reference appropriate citywide

contract on all purchase requisitions where the contract serves as the basis/authority for purchase.

Gather input from stakeholders and provide to Purchasing. Attend meetings regarding citywide contracts

Departments Citywide contracts are not referenced on PRs at least 25% of the time.






when requested by Purchasing. Communicate non‐routine usage of a

citywide contract, e.g., report large purchases against contracts, so that Purchasing has time to seek governing body authority to increase contract value.

Measurement Maintain a record of exceptions. Meet quarterly to discuss. Look at exceptions; are there recurring



minimal or declining?

Purchasing is not receiving sufficient advance notice of large purchases against citywide contracts, impacting their ability to increase contract value in a timely manner.

Purchasing

Waiver of competitive solicitation requests ‐ review/processing Sole source Impracticable to bid Emergency Direct negotiation of

professional/personal services

Purchasing Advise client departments whether

seeking a waiver is appropriate. Guide client departments through

appropriate waiver process. Coordinate C&A Board meeting for

waiver requests over $200,000. Declarations of emergency are given

priority. Create SAP contract and/or PO and, if






required, distribute to vendor (emergencies are given priority).

Route legal contract/bond for construction projects.

Serve as resource to client departments, including vendor sourcing.

Departments Discuss potential waiver with

purchasing analyst to determine if waiver process is appropriate.

Submit draft of waiver request to purchasing analyst for review and feedback before submitting signed copy (except emergency waivers).

Include documentation, such as vendor quote, vendor communication (e.g., 'sole authorized distributor,' etc.).

When finalized, submit signed waiver to purchasing analyst.

Early communication with Purchasing staff regarding “emergency” waivers.

Measurement Maintain a record of exceptions.






Meet quarterly to discuss. Look at exceptions; are there recurring




Purchase Requisition Processing and PO Creation PRs referencing contracts PRs not referencing contracts

Purchasing Accurate processing of fully complete

and released purchase requisitions, including providing POs to vendors, where required, meeting mutually agreed upon timeframes.

Serve as resource regarding SAP purchasing transactions.

Review ready‐to‐process PR list at least twice daily.

Communicate within two business days when PO or bidding process will be delayed, or problem is discovered with PR.

Departments For all PRs:

a. Instructions to Purchasing in PR header notes, e.g., internal use only; send PO to vendor;

Departments Information, including department contact person, is not entered into PR header notes more than 50% of the time.






department contact person; recommended vendors to receive bid invitation.

b. Descriptive short text (not the invoice number).

c. Additional information, as requested.

d. Adhere to city policies. For PRs not referencing a SAP contract:

a. Include back up documents or attachments when applicable, e.g., three written quotes.

b. If non‐construction services, whether taxable or non‐taxable.

Measurement Maintain a record of exceptions. Look at exceptions; are there recurring




Short text field is blank or inadequate Report that 25‐40% of the time.

Purchasing

Administer Procurement Card Program

Purchasing Process fully completed and properly

authorized new card applications and

Purchasing No recent problems Time frames for processing being

Purchasing Constant communication in training

sessions, newsletters and in individual






submit to bank within three business days.

Update card and user profiles within three business days subsequent to receipt of completed and properly authorized update form.

Lift MCC (Merchant Category Code) restrictions and execute one‐time card increases within three business days (emergencies are given priority).

Serve as help desk / subject matter expert. Industry knowledge.

Oversee XiBuy role assignments in SAP.

Provide p‐card and XiBuy training. Assist with disputes and fraud charges. Intervene/negotiate with problem

vendors. Communicate fraud alerts. Support department PCard approvers

in efforts to enforce compliance. Coordinate state audits and serve as

liaison with departments. Act as liaison with bank. Publish newsletter. Departments

met. Number of exception requests began

declining when MCC Groups were expanded; 2009 exception requests maintaining same levels for most of this year.

PCard and XiBuy training dates set up through 12‐2010; incorporated changes based on evaluations and input from participants as well as policy changes.

Large portion of time currently being spent assisting with dispute/ compromised card issues due to escalation of external fraud activity; working with cardholders, departments and the bank towards quick resolution; pre‐fraud card replacement strategy in effect; VISA daily file transmission issues and solutions.

Using training sessions to encourage opportunities to expand usage of Pcard; purchasing assistants referring PR to me that could be paid with Pcards.

Using decline reports, MCC and Limit

contacts (telephone and email) regarding core services, how to access; process; forms; contacts.

Continue sending Email confirmations regarding all requests, changes, card replacements, new cards; XiBuy and PCard updates plus phone communications.

Continue to Email notifications and updates regarding fraud

Order and update status and transaction reports; maintain card logs to track time frames for card orders and replacements.

Continue to utilize training evaluations for input and direction.

Include Pcard Approvers and Approving

Manages in all cardholder email exchanges relating to: o New card applications processed o Orientation, other training events

required to fulfill update requests (e.g. XiBuy; travel training required for BMENU roles or MCC group additions)

o MCC exceptions and limit requests






Submit required Pcard and XiBuy application and update forms. Don't leave fields blank. Applications and update requests must contain the appropriate authorizing signatures.

Respond within three business days to requests for additional information regarding exceptions, MCC lifts, temporary increase requests, application and update forms (unless it is an emergency, for which response should be immediate).

Follow process (from training sessions and documents on Purchasing website) for lifting MCC restrictions and requesting temporary increases.

Communicate cardholder problems. Communicate vendor problems. Provide input for training. Use p‐card appropriately, in

compliance with City policy. Identify and communicate

opportunities to expand the program. Measurement Maintain a record of exceptions. Meet quarterly to discuss.

increase requests to identify cardholders whose limits and or MCC groups should be increased/reduced and make recommendations to management.

Departments Departments have been cooperating

in a timely fashion to provide responses to requests for additional information/ documents to process applications and MCC/Limit increase requests (only one problem in the last three months).

Departments PCard approvers worked with me this last quarter regarding problem vendors; brought to successful resolution; getting vendors to adopt more appropriate MCC classifications.

and changeso Compliance issues o External fraud activity and

resolution o XiBuy Delegate requests,

confirmations or changes to user and card profiles

o Specialized training requests o Replacement card notifications o Transfers and name changes o Appreciation for good performance

on the part of cardholders and PCard approvers

Continue professional development to maintain and increase knowledge pertaining to industry standards; new opportunities through participation in public forums; regional training, Washington State Best Practices PCard stakeholder group and membership/ networking/international conference attendance (NAPCP).

Attend supplier forums where to present the positive side of supplier PCard acceptance (created supplier specific handouts).









Purchasing

Surplus Sales Purchasing

Purchasing staff serve as professionals with an understanding of client department's business to assist in getting better prices for surplus goods.

Conduct the surplus sale process per policy to include: sealed and unsealed competitive surplus solicitations, posting internally and externally for transfer/donation.

Coordinate bid award notification and receipt of payment.

Maintain records of surplus transactions.

Serve as resource to client departments, including providing guidance regarding the surplus process and vendor sourcing.






Departments

Completed Disposition of Surplus Property form with estimated value.

Technical information about item that can be used to attract buyers.

List of potential bidders, if known, with email addresses.

Measurement


Meet to discuss quarterly.




Purchasing

Training Purchasing Timely and accurate training materials,

documents and guidelines. Develop training and training materials

as new topics arise. Conduct training sessions with

Purchasing Year end training, procurement card, XiBuy and travel training currently performed on regular basis. Pocket guides produced and posted on

PurchasingShare with Focus Group as training sessions are developed; provide information to Newsline and Take 5; notify key department contacts through Purchasing's email lists.






input/suggestions from Focus Group:a. Purchasing b. Procurement Card and XiBuy c. Travel

Provide refresher training, e.g., year‐end processing.

Provide training, as appropriate. (Idea: Some training could be done at Focus Group meetings.) Departments Suggest training topics. Department representative attend

purchasing focus group meetings. Send correct people to training.

Follow‐up with problem staff. Provide feedback regarding training

documents, web links, etc. Ensure the right people are doing the

work. Invite Purchasing to department staff

meetings. Measurement Training attendance records. Training evaluation sheets. Was training conducted?

web site






Did appropriate client department staff attend training?

Was the training meaningful? Purchasing

Reporting PurchasingAccurate, on‐time reports:

a. GPFC (Government Performance Finance Committee)

b. Council and U‐Board c. ICMA (International City/County

Management Association) d. Others, as needed

Departments Accurate material group and short text entered into purchase requisition and/or purchase order. Measurement Maintain a record of exceptions. Look at exceptions; are there recurring




Departments Accurate material group and short text information is not currently being entered into PRs/POs. This makes pulling together information for required reporting a labor intensive (manual) process.

Purchasing

Miscellaneous Purchasing Coordinate state audits and serve as






liaison with departments Tacoma Municipal Code

review/revisions Terms and Conditions review/revisions Departments Assistance with gathering and providing information as requested. Measurement Maintain a record of exceptions. Look at exceptions; are there recurring




Communication is the key to success

Keep out‐of‐office messages for email and voice mail up‐to‐date, including alternate contact information.

Inform departments of changes in state and federal laws.

Inform departments of changes to municipal code, policies, etc.


Finance Dept., Tax & License

SERVICE AREA KEY SERVICES EXPECTED PERFORMANCE &

MEASUREMENTS CURRENT PERFORMANCE PLAN TO REACH EXPECTED PERFORMANCE

1

Environmental Services – Wastewater Survey

Enter Environmental Services (ES) wastewater survey data from business license renewal into SAP

At a 98% to 100% accuracy rate enter data received on the Annual Business License renewals by April 1st

This is a new process and has not been measured yet.

Meet after the data is entered and reviewed each year (May). Meet in August of each year to review any changes to survey questions.

Environmental Services – Wastewater Survey

Create queries in SAP for ES to review unanswered waste water survey questions and any other data required to be reviewed

Create requested queries for ES and send them to them by April 1st (electronic format).


Meet after surveys reviewed by ES (May). Meet in August of each year to review any changes to the established queries.

Tacoma Police Department – Chronic

Track Chronic Nuisance complaints Enter complaint notification into SAP within 2 business days of receiving it.


Discuss process at monthly or bi‐monthly Safe & Clean meeting.

Tacoma Police Department – Notice of Violation

Send Notice of Violation to property owner

Notice of Violation should contain information with all of the applicable code violations identified to the property. T&L to identify any other department code violations before sending out Notice of Violation.



Tacoma Police Department – Noise Complaints

Track Noise complaints from apartment buildings

Notify property owner by letter of the noise complaints within 5 days of receiving the information




Finance Dept., Treasury



1 Revised 11/12/2009

Treasury

Investing and Cash Flow Treasury Provide a reasonable return on

investments to funds earning investment returns

Investments will meet the legal requirements of State Statutes (RCW 35.39.030) and the City of Tacoma Investment Policy (available on the Treasurer Web Site).

The three principals of investing public monies will be followed to ensure a safe and reasonable return on City investments. They are first ‐ the safety of principal; second ‐ the need to provide fund liquidity to enable City Departments to conduct daily business activities; and third ‐ maximizing income in conjunction with the previous requirements.

Ensure there are adequate, though not excessive, cash resources to provide the City with sufficient funding to meet daily business/service objectives.

Departments Deposit all incoming funds received

directly by departments promptly to





2 Revised 11/12/2009

the City’s bank accounts as required by RCW 43.09.240 (basic standard is within 24 hours of receipt).

Notify Treasurer at least twenty‐four (24) hours in advance of any known incoming deposits or outgoing payments (outside of Accounts Payable processing) in excess of $1 million to enable proper planning for investment and cash liquidity purposes.

Measurement SAO Audit Daily Bank Balances and Bank non‐

sufficient fund Notices ‐ Coverage of outgoing payments and daily bank balances less than $10 million.

Treasury

Receipting and Bank Reconciliation TreasuryReceipting/processing of all electronic and individual payments directed to the Treasurer’s Office on a daily basis and ensuring that they are credited to the proper department in accordance with either documents received with the payment or documents from the responsible department.





3 Revised 11/12/2009

Department Deposit all incoming funds received

directly by departments promptly to the City’s bank accounts as required by RCW 43.09.240 (basic standard is within one business day of receipt).

Each major department in the City will provide one or more contact persons to assist in the timely identification (within 24 hours of notification) and proper posting necessary to distribute incoming payments to the appropriate City department/fund. This will allow funds to maximize investment returns by earning interest immediately upon receipt of payments.

Measurement Bank Reconciliation ‐ No open items upon posting of bank statements.

Treasury

Receipting and Bank Reconciliation Daily bank statement download

TreasuryThe Treasury Division will download daily bank statements to identify and reconcile all incoming/outgoing payments to ensure appropriate posting has occurred. All items not cleared within three working





4 Revised 11/12/2009

days of initial reconciliation attempts must be researched in conjunction with departments to identify and post proper documents to enable manual clearing of the non‐reconciled items. Departments Reconcile and properly close all SAP

cash desk, Revenue Collector, CSG (CLICK!), Municipal Court, Library, Fire, Police, and Solid Waste receipting stations and post/submit associated journal entries (if applicable) on a daily basis to create bank clearing documentation. Respond to clearing discrepancy inquires from the Treasurer within two workdays.

Departments and/or Fund Accountants will post SAP customer/grant receivable accounts for all billings/reimbursements sent out. Failure to do so may result in delays to proceeds being posted and available to related fund.

Upon mutual agreement with Treasury, the department or fund accountant may provide account





5 Revised 11/12/2009

coding for direct GL posting for one‐time deposits to clear reconciling issues.

Measurement Bank statements downloaded within three days and unreconciled items resolved and cleared within fifteen days after posting.

Treasury

Debt Service Treasury Record proceeds of all new debt

issued. Maintain and monitor debt service

schedules to ensure cash liquidity is available for payment on debt service dates.

Centrally pay all debt service interest and principal payments on the due date to prevent the possibility of default.

Departments Ensure that all city debt, to include

loans, leases, or bond issues, is legally approved and issued by appropriate City Council ordinances and/or resolutions.

Advise Treasurer’s Office of all proposed new debt prior to the issue





6 Revised 11/12/2009

date. Measurement All Debt Service proceeds recorded.

Fund balances posted on day of debt funding.

All Debt Service payments made as scheduled. No debt service defaults.

Treasury

Accounts Receivable Support 3000 series contract account receivables

TreasuryProvide collection support for 3000 series contract account receivables to include damage invoices, real property leases, fire alarm services; and Public Works, Power, and Water billable work orders for internal and external customers. Departments Complete billing of receivables within

sixty (60) days of work completion to enhance the likelihood of successful collection efforts.

For damages caused by vehicle accidents, request and review police accident report. Where no insurance company is identified file a request with the WA State Dept of Licensing for suspension of driver’s/owner’s





7 Revised 11/12/2009

driver’s license pending satisfaction of the claim. Must be filed within 180 days of the accident date. (RCW 49.29)

Customer service personnel within related departments are responsible for SAP 3000 series contract account receivables for Code Enforcement/Civil Infractions, Solid Waste, Waste Water, and Rail.

Customer service personnel within related departments are responsible for customer receivables maintained outside of SAP for CLICK!, Solid Waste Scales, Municipal Court, EMS, Tacoma Dome, Convention Center, and Library.

Measurement Timely feedback to appropriate office when account issues are surfaced.

Treasury

Accounts Receivable Support Power and Sewer Conservation Loans.

TreasuryProvide account maintenance and collection for all conservation loan accounts. Departments Provide initial billing and documents to establish the loans.





8 Revised 11/12/2009

MeasurementTimely feedback to appropriate office when account issues are surfaced.

Treasury

Accounts Receivable Support Downtown Business Improvement Area assessments (BIA).

TreasuryProvide account maintenance and collection for all BIA accounts. Departments Provide annual assessment values for application to assessment calculations. Measurement Timely feedback to appropriate office when account issues are surfaced.

Treasury

Accounts Receivable Support Local Improvement District (LID) assessments.

TreasuryProvide account maintenance and collection support for all LID accounts. Departments Provide preliminary assessments when LID providing ordinances are passed and close out for collection of assessments when LID construction is complete. Measurement Timely feedback to appropriate office when account issues are surfaced.





9 Revised 11/12/2009

Treasury

Customer Inquiries/Disputes Treasury Respond to initial customer inquiries

regarding general account information and invoice detail available on the invoice header/item text.

Provide claim information to insurance company when notified that insurance coverage exists.

Negotiate Payment Arrangements with customer, obtaining concurrence from relevant department prior to implementation. Payment arrangements must include a minimum $75.00 payment per month, be sufficient to pay the balance due plus interest in not more than 36 months and may not waive interest charges.

Void any payment agreement and process final collection letter if customer fails to follow agreed payment plan.

Departments Provide claim information to insurance

company when notified that insurance coverage exists.





10 Revised 11/12/2009

Within three business days respond to customer, provide documentation to resolve/adjudicate customer inquiry/dispute, or otherwise provide guidance to the Treasurer’s Office for preferred course of action.

Respond to requests for concurrence on payment arrangements within one business day of request. No response will imply concurrence. If payment arrangements are negotiated by the department, they must be for a minimum of $75.00 per month, be sufficient to pay the balance due plus interest in not more than 36 months, and may not waive interest charges. Notify Treasurer’s Accounts Receivable coordinator of any agreements negotiated.

Measurement Timely feedback to appropriate office when account issues are surfaced.

Treasury

Restitution Activity Submit request for court ordered restitution if notified of a pending court case involving a damage billing.

Shared responsibility depending on





11 Revised 11/12/2009

who receives the notification.

Treasury

Collection Actions TreasuryAfter accounts are more than 90 days past due, identify accounts for submission to the City’s collection agent or for initiation of property foreclosure action and take action to process accordingly through Legal and the AR review committees Departments General Government departments provide departmental position on sending accounts to collections within three business days of Accounts Receivable coordinator’s request. Measurement Timely feedback to appropriate office when account issues are surfaced.

Treasury

General Treasury/DepartmentsTo enable all stakeholders to get an accurate overview of actions taken, enter contact notes to customer accounts in SAP providing a detailed summary of all account/invoice modifications or agreements reached during customer contacts.

HUMAN RESOURCES DEPARTMENT


Human Resources

SERVICE AREA

KEY SERVICES EXPECTED PERFORMANCE & MEASUREMENTS CURRENT PERFORMANCE PLAN TO REACH EXPECTED PERFORMANCE

Human Resources SLA 12‐14‐2009 1

Benefits and Wellness

Customer Inquiries Acknowledge customer inquires and answer their questions.

Respond to customer inquiries by the next business day. If an answer is not available, HR will contact the customer and provide a timeline and status.

Some responses are not provided regularly by the end of the next business day and in a courteous manner. Customers have not always carried complaints to HR management for successful resolution. The Benefits phone line exists that is checked at least three times a day.

Review customer service expectations with HR staff and obtain staff ideas on effective techniques for responding to customer service challenges. Benefits manager will continue to track complaints received and resolve them. Customers will bring concerns directly to HR staff or HR management for resolution. Timeframe: Implement immediately.


Education & Communication Ensure employees are provided education, information and assistance to understand and enroll for available medical, dental and other benefit coverage such as life and disability insurance, as appropriate and eligible

Beneficiaries of the plan get needed information for open enrollment, health fairs, and wellness events when changes occur, in multiple formats (e‐mail, payroll stuffers)

The new benefits enrollment form is clear and helpful. Communication is ongoing. Communication plans are developed and reviewed weekly by the Benefits team.

Expected performance is currently being achieved. Timeframe: NA


Human Resources

SERVICE AREA




Health & Wellness Administer the Health and Wellness program; providing communication, education, health information, support, interactive tools, and presentations to all employees and their families. Provide outreach to employees, organize and plan Health Fairs, screenings, and other health and wellness promotional activities.

Effective events provided to employees on health and wellness activities. Regular information provided to employees, family members and retirees on healthy lifestyles and choices. Measurements: Employees express satisfaction, increased awareness of health risks, preventive screenings increase, lower claim numbers and costs. Family members and retirees utilize preventive screenings. Wellness Program topics focus on priority areas of health concerns for City of Tacoma employees, based on medical claims data trends.

Ongoing communication plan, internal quarterly newsletters, monthly educational lunch and learns at TPU and TMB, expanded outreach to off‐site locations, expanded health fairs for Library, Police Department, additional flu vaccine opportunities for 2009. Family members and retirees on health plans receive information, educational materials and contact information.

Continue to support a Health and Wellness Program. Expected performance is being met. Timeframe: Implement immediately Conduct an employee survey to get feedback on the Health and Wellness Program. Timeframe: First Quarter

HRMS

Organization Management Administer SAP organizational management for the City including position management, reporting relations, red hats, underfill/overfill/doublefills, and cost center allocations.

Requests for position or organization management changes will be acknowledged and completed within 2 business days.

Org management changes are processed during the pay period they are received.

Develop written procedures and notify customers. Timeframe: First Quarter Ensure HR staff back‐up contact information is communicated to customers. Timeframe: First Quarter


Human Resources

SERVICE AREA



HRMS Human Resource Manage‐ ment System

Personnel Actions Administer and oversee personnel actions for the City including hiring, rehiring, status changes, position changes, promotions, transfers, demotions, and apprenticeship progressions. P‐100 actions are handled by HR, unless agreed upon otherwise, including: Pay changes Leave of Absences Suspensions Separations

Personnel Action requests for hire, rehires and transfers will be input a week in advance of the start date, provided they are submitted within that agreed upon timeframe. Promotions, demotions, status and end old/start new appointment requests will be processed in the pay period in which the change takes effect. Consistent interpretation is provided on which action codes to input into SAP. Measurements: Timeline for response or completion is provided within 2 business days. Will communicate to customer when there is an exception to the 2 day response time. Customers: Designated Power, Water and Rail departments‘ data administrators will enter P‐100s in SAP, following defined standards.

Personnel Action requests for hire, rehires and transfers are input a week in advance of the start date, provided they are submitted within an agreed upon timeframe. Promotions, demotions, status and end old/start new appointment requests are processed in the pay period in which the change takes effect. Consistent interpretation is not always provided on which action codes to input into SAP. There are currently inconsistencies in how the data is being entered in SAP.

Training and documentation, and defined standards for creators of P‐100s will be created in 2010. Timeframe: Fourth Quarter Customers will be notified by HR for reoccurring errors. Timeframe: Fourth Quarter

HRMS

Customer requests for assistance or research Return customer inquiries with acknowledgement by the next business day. Process one‐time pays and quota management in the pay period they affect.

Completed within 2 business days of request. Will communicate to customer when there is an exception to the 2 day response time.

Requests that are received by the end of the business on Thursday are processed by the end of the business on the Friday before the pay period ends. Requests received after the end of business on Thursday are processed prior to payroll finalizing.

Implement the performance expectations. Timeframe: First Quarter


Human Resources

SERVICE AREA



HRMS

Data Administrators training and meetings Provide updates, share guidance and information. Facilitate discussion among data administrators citywide.

Provide consistent and clear information on procedures. Provide training and documentation for data administrators on a quarterly basis. Measurements: Respond to questions and inquiries within two business days and ensure communication is sent back to all data administrators.

The quarterly update is a new expectation for the HR Department. Previous updates were on an as‐needed basis (e.g., new data administrators). The data administrator meetings are often held in conjunction with the timekeepers’ meetings.

(Comment: suggestion made on HR’s plan to consider using the timekeepers’ meeting format and model, which is effective.) HR will define and implement a policy revision process that will result in meeting the expected performance. Timeframe: Fourth Quarter Creation of a data administrator’s handbook, similar to the timekeeper handbook. Timeframe: Fourth Quarter The HR web site will be utilized more frequently to provide guidance to managers and supervisors. Timeframe: First Quarter


Human Resources

SERVICE AREA



Recruit‐ ment

Post job announcements Post and finalize job announcements.

Acknowledge receipt of customer requests and provide projected timeframe for response within one business day. Secure qualified candidates to fill COT vacancies in a timely manner. Customer: Provide information in the recruitment strategy meeting. Measurements: HR: Hold and facilitate the recruitment strategy meeting with the hiring supervisor. Schedule meeting within 3 business days of Department contacting HR to initiate hiring process. If the posting is received by the HR Specialist prior to noon on Friday, it will be posted on Tuesday. If the posting is received prior to noon on Tuesday, it will be posted on Thursday. Customer: Provide required material to HR within 5 business days

Job announcements are posted within 3 business days of receiving the final draft from the customer. Recruitment strategy meeting between HR Analyst and hiring supervisor not consistently done citywide to review the “plan.”

Initiate all recruitment processes in the recruitment strategy meeting with the hiring supervisor and the HR Analyst. Timeframe: First Quarter


Human Resources

SERVICE AREA



Recruit‐ ment

Provide official eligible lists after the completion of the examination process. Notify unsuccessful candidates at the conclusion of the final examination step.

Open recruitments’ eligible lists established after final exam step: a) for recruitments of 1000 or more applicants within 9 business days; b) 500 or more applicants within 8 business days; c) 500 applicants or less, within 7 business days (1 day of content challenge and 5 days scoring challenge, TMC) Promotional recruitments’ eligible lists established after final exam step: Provided and established in 9 business days (3 days content challenge and 5 days scoring challenge, TMC) Send notification to unsuccessful applicants within 3 business days of the customer requesting such after the final examination step. Certified lists provided to hiring supervisor with approved requisition within 7 ‐9 business days of the examination process completion (see parameters in definitions). Timely collaboration on completing the steps in the recruitment process. Meet or exceed agreed upon timelines.

Not measured at this level of detail at this time. Eligible lists are not provided in a consistent timeframe.

Document the recruitment strategy meeting plan. Timeframe: First Quarter Provide training on the recruitment and hiring process and distribute the guidance document in 2010. Timeframe: Third Quarter A process will be developed to ensure consistency with the Tacoma Municipal Code. Timeframe: Fourth Quarter


Human Resources

SERVICE AREA



Hiring Process

Personnel Requisitions Approval of personnel requisitions. Certification/access to applications Provision of certified applications. Interview questions review Provide review and guidance on interview questions for legal and HR best practices and effectiveness for competencies sought. Background and reference checks Completed background and reference checks, including CDL verification (see Risk Management section, CDL verification).

Partner in the elements of the hiring process. Availability of interview questions database for the hiring supervisor from the HR Analyst. Personnel requisitions are approved and processed within 2 business days of receipt from budget and customer, provided all documentation is submitted. Certified applications are provided to the customer within 2 business days of customer request. Provide guidance and resources on interview questions. Customers: Provide draft questions 5 days before the scheduled date of interviews. HR: Respond to customers on draft questions within 2 business days of receiving draft interview questions from customers. Upon determination of final candidates by the hiring committee/manager, HR Analysts will complete background and reference checks on final candidate(s) within 3 business days, unless there are extraordinary circumstances. For Police and Fire Departments processes, work collaboratively with HR on completing background and reference checks. (Note: Different from today at TPU)

Recruitment strategy meeting between HR Analyst and hiring supervisor not consistently done citywide to review the “plan.” Interview questions are not consistently submitted for review by HR, and not required at this time. An interview questions resource bank and guidance is not available for hiring supervisors.

Provide training for HR Analysts. Timeframe: First Quarter Define city‐wide employment background check processes. Timeframe: Third Quarter Develop a resource bank of interview questions. Timeframe: Fourth Quarter Work with hiring supervisors and HR Analysts on new processes defined. Timeframe: Fourth Quarter Notify customers about new procedures and SLA expectations. Timeframe: Begin First Quarter


Human Resources

SERVICE AREA



Hiring Process Compensation Exceptions: Review and Approval Processes

Mutual accountability to ensure personnel rules are followed and any exceptions have appropriate documentation and justification for recruitment, retention or internal alignment business reasons. Roles and responsibilities of appointing authorities (decision‐makers) and those of the HR department (consultants and advisors) are understood and supported. Interim process of HR review and sign off are done within one to three business days of request. Customers: Discussions by phone on urgent actions will occur while submitting the compensation exception form.

The current review process adds additional time. The current Compensation Exception form is being used to address the language in the Tacoma Municipal Code. Classification and compensation guidelines do not currently exist to ensure consistent application of criteria for compensation exception documentation and justification.

Classification and Compensation Guidelines document will be created, with input from managers and supervisors. The change to the current process will occur at that time (early 2010). Timeframe: Fourth Quarter

Classifica‐ tion speci‐ fication updates

Maintain the City’s classification system. Ensure clear understanding of what the classification system is and how it works.

Clarity on the classification system and process exists where all affected parties are involved. Measurements: A citywide process understood by all, separate from recruitment, on updating classification descriptions. Class specifications on the HR website are updated within 5 business days of customer and HR Director approved revisions, and a copy sent to Risk Management.

The process on how the classification system works is not understood by all. Online classification specifications are not always the current version.

Develop a procedure on how classifications are updated and posted to meet expected performance. Timeframe: Fourth Quarter


Human Resources

SERVICE AREA



Progres‐ sive Corrective Action

Advice and guidance Provide advice and guidance on how to manage performance & behavior concerns, and incidences of misconduct.

HR: Provide initial advice and consultation in a timely manner, depending on the situation, within one business day, (Triage with the Department). HR: Responses to draft letters are provided within one or two business days before management‘s written response occurs. CUSTOMER: Meet with HR early when issues first arise. Provide HR with needed documents, action and input, and work collaboratively on the process and responses based on agreed upon timeframes. Preference is for face‐to‐face meetings or phone conversations.

HR drafts responses to operating management, or reviews draft responses from departments on mutually agreed upon timeframes. Meets and discusses action plan. Delays in holding timely, pre‐disciplinary hearings exist for a number of reasons.

HR and Customers: Ensure that triage between HR and Customers occurs on progressive corrective action as early in the process as possible. Customers need to contact HR when performance and behavior concerns first arise. Timeframe: First Quarter Review draft responses on a mutually agreed upon timeframe. Timeframe: First Quarter

Labor Relations

Letters and memoranda of Understanding/Agreement (LOU/LOA; MOU/MOA Agreements made between the unions and management, in‐between collective bargaining contract negotiations, consider the citywide perspective and impacts.

Complete mutually agreed upon draft letters of understanding/agreement within mutually agreed upon timeframes. Measurements: All LOU/LOAs are managed collaboratively between the LR office and the customer.

All letters of understanding/agreement do not follow a consistent process facilitated through HR citywide.

Labor Relations to communicate availability of services and SLA expectations to assist in drafting or considering MOU/MOA; LOU/LOA. Timeframe: First Quarter


Human Resources

SERVICE AREA



Labor Relations

Grievance responses Oversee and facilitate grievance and arbitration process.

Meet timelines of the grievance processes. Provide advice and consultation. Collaborate and ensure communication occurs between departments and the Labor Relations Team on all grievances. Measurements: HR: Draft responses to grievances to be provided at least 2 business days before management’s response is due to union. CUSTOMER: Inform Labor Relations Manager about any formal written grievances once received and work collaboratively with the assigned Labor Relations staff on the process and responses.

Labor Relations Office is not always made aware of formal written grievances and resolutions. Labor Relations staff draft responses to operating management, or review draft responses from departments for consistency.

Labor Relations to communicate availability of services and SLA expectations to assist in administering and responding to formal grievances. Timeframe: First quarter

Labor Relations

Communication Liaison, coordinate communications and serve as the primary contact for union business representatives. Spokesperson for management, Joint Labor Committee. Coordinate and facilitate citywide labor policy discussions.

Schedule regular, quarterly meetings with senior management and superintendents to review labor policy, strategy, initiatives, and issues of concern. Schedule advance preparation sessions with management members of the Joint Labor Committee.

Meetings occur with senior managers and supervisors on an ad hoc basis, depending on the issues. Quarterly, regular meetings with senior management and superintendents to review labor policy, strategy, initiatives and issues of concern are not currently being held.

Establish Labor Policy Group (Superintendents and key General Government Directors). Facilitate quarterly meetings to consider and recommend citywide labor policy. Schedule advance preparation sessions with management members of the Joint Labor Committee. Timeframe: First Quarter


Human Resources

SERVICE AREA



Labor Relations

Negotiations /preparation Organize, facilitate, train, and serve as the chief negotiator and spokesperson on behalf of the City in labor contract negotiations.

Schedule meetings with operating management to review contract language and/or operational concerns prior to negotiation sessions. Schedule advance preparation sessions with management members of Joint Labor Committee. Measurements: In advance of negotiations, hold meetings with Management that provide adequate preparation and deliberation. At least 1 week prior to Joint Labor meetings, provide an agenda or information to Management.

Advance negotiation preparation meetings are currently held, but not consistently. Agendas, materials and discussions are not always provided ahead of time. Advance preparation or notices are not occurring before the Joint Labor Committee meetings.

Establish performance expectations and standard procedures for Labor negotiators to:

1) Provide managers with advance copies of documents to be exchanged in negotiations;

2) Hold pre‐meetings to prepare for following negotiations.

Timeframe: First Quarter

Labor Relations

Ongoing negotiations Organize, facilitate, train, and serve as the chief negotiator and spokesperson on behalf of the City in labor contract negotiations.

Both HR and customers have a full understanding of the subjects for negotiations. Prior to delivering proposals, the articles are vetted and reviewed by HR and the customers. Measurements: Prior to union‐management negotiations, hold meetings that provide adequate preparation and deliberation.

Meetings to prepare for next negotiation sessions are normally held.

Establish performance expectations and standard procedures for Labor negotiators to:

1) Provide managers with advance copies of documents to be exchanged in negotiations;

2) Hold pre‐meetings to prepare for following negotiations.

Timeframe: First Quarter


Human Resources

SERVICE AREA



Training and Develop‐ ment

Training Records Maintain SAP records (catalog and rosters) for citywide events. For required training, run quarterly reports for training representatives on employees who need to take the mandatory training. Provide reports on “no shows” to training representatives who can bring to the supervisor’s attention. FUTURE: maintain citywide training requirements and individual development plans.

Measurements: Attendance rosters are entered within 3 days of receiving the paperwork. Quarterly reports on required training is provided. “No show” reports are provided to training representatives within 3 business days.

All processes are in place and working efficiently: Attendance rosters are entered within 3 days of receiving the paperwork. Quarterly reports on required training is provided. “No show” reports are provided to training representatives within 3 business days.

Current performance meets expected performance. FUTURE: Training profiles for individual employees are provided as requested (staffing issue) Timeframe: NA


Assist Department training representatives Provide direction and answer questions.

Meet with training representatives every 6 months.

Meetings are held with training representatives every 6 months.

Current performance meets expected performance. Timeframe: NA


Human Resources

SERVICE AREA




Strategic Planning Manage yearly planning process. Establish management advisory team (per TMC) by December 2009.

Develop a plan, schedule and administer general, core training that is consistent with general government and Tacoma Public Utilities customer needs. Attend to field staff needs (e.g., offer more than once a year and in the off‐season – not summer).

No strategic plan exists.

Annual training plan identified for citywide training that is then implemented, with classes offered citywide. Timeframe: First Quarter Draft process to develop a strategic training and development plan is being completed. Timeframe: First Quarter


Training Process Manage the training nomination process.

Develop and distribute training schedules. Confirm nominations. Have a course wait list process and notify those on wait list. Nominations to be enrolled in city sponsored training classes are entered into SAP. Ensure all citywide training follows the same process. Measurements: Confirmations are made 2 weeks in advance of the class (unless otherwise notified).

Processes are in place. Nominations to be enrolled in city sponsored training classes are entered into SAP. Nomination and confirmation processes are in place to develop and distribute training. Nominations to be enrolled in city sponsored training classes are entered into SAP. Some employees show up for courses when they are on a course wait list. Citywide safety training does not currently follow the same enrollment process.

Develop a course wait list process and notify those on wait list. Timeframe: First Quarter Safety training scheduling administration is in transition to move to the Training Division from Safety, Risk Management. Timeframe: First Quarter


Human Resources

SERVICE AREA



EEO

Complaint Investigation Conduct investigations into allegations of discrimination. Inform department directors of matters pertaining to inquires that do not rise to the level of a complaint.

Communicate with managers as appropriate on process and status of investigations. Support managers on communication plans with impacted employees. Measurements: Contact department head within 2 business days of receiving a complaint or inquiry and prior to beginning an investigation. Complete internal investigations within one month, unless there exists extraordinary circumstances. Provide status reports within 3 business days of a request for an update. Contact department director or superintendent and complainant within 3 business days of complaint resolution/findings, and send final letters to complainant and department director or superintendent within 10 business days of the completion of the investigation. Customers: Support EEO staff if the capacity to meet expectations cannot be met. Provide timely responses on needed information and actions as defined by the EEO officer.

Current roles and expectations of these service providers are not clear to all customers. Communication processes are in place and initial contacts are made by phone or e‐mail to the Department Directors or Superintendents. Responses to investigations have not always been communicated in a timely manner to customers and complainants. Internal investigations are completed on average within three months, as per previous expectations.

Consider the option of obtaining outside investigators if needed to achieve the expected performance. Timeframe: Implement immediately. Assess the maximum investigation load that can be handled with existing staff within the one month timeframe. Timeframe: Implement immediately. Establish timely communication on the status of investigations. Timeframe: Implement immediately.


Human Resources

SERVICE AREA



EEO

EEO plan and goals Provide up‐to‐date and regular training to managers and supervisors on the citywide and department EEO goals and the EEO Plan

Update and provide training to managers and supervisors on the City of Tacoma EEO plan, including expectations of managers/supervisors, available resources, and on employees and job candidates’ voluntary reporting. EEO officer provides data on goals and underutilization status to hiring supervisors, HR Analysts, department directors and superintendents on a quarterly basis. Coordinate with the HR Analysts who help manage recruitment with hiring supervisors to work toward achieving EEO goals. Customers Work toward developing and implementing a Department EEO plan, with assistance from the EEO Officer. (Further discussion needed) Articulate clear expectations to hiring supervisors about understanding the EEO plan and taking action to help achieve EEO goals.

Senior management and TPU Management Forum updates are provided. City Council Committee and Tacoma Public Utility Board members are provided updates. Annual meetings are offered with management teams citywide. Customers Clear expectations to hiring supervisors are not currently provided.

Schedule the training for managers and supervisors, and HR Analysts on the EEO plan and their roles within the EEO strategy. Timeframe: First quarter, 2010. Follow up with a Joint Leadership meeting regarding expectations and manager accountability measures. Timeframe: First quarter, 2010. Provide a template for a department‐specific EEO plan. Timeframe: First quarter, 2010.


Human Resources

SERVICE AREA



Risk Manage‐ ment

FMLA Administer the Family Medical Leave program, ensuring compliance and eligibility.

Acknowledge receipt of customer requests and provide projected timeframe. At the department’s request, provide education to managers and supervisors on the FMLA program. Customers Provide risk management with key department contacts for FMLA. Notify the Disability Manager about employee absences lasting more than three days. Measurements: HR Staff Notify department contact within 3 business days of FMLA requests and approvals. Provide monthly reports of employees on FMLA, hours used and remaining, by the 10th of the month to key department contacts. Customers Timekeepers must ensure accurate time is entered in the workbench promptly. Employees on leave of absence (P‐100s) need to be captured in SAP.

Customer requests are acknowledged as quickly as possible, with follow‐up letters sent out to employees’ timekeepers and supervisors.

Identify department contacts for FMLA (HR will contact those departments whose contacts are missing). Timeframe: Implement immediately. Communication will be sent out to HR staff and key department contacts regarding the SLA expected performance measures and reporting timelines. Timeframe: Implement immediately.


Human Resources

SERVICE AREA



Risk Manage‐ ment

Worker’s Comp Administer the City’s self insured Workers’ Compensation Program, assisting employees with their industrial insurance benefits related to medical treatment, lost time and return to work.

Ensure communications on the status of claims is provided to employees and managers. Ensure strong partnerships and accountability exists with Third Party Administrator and communicated to the customers. Manage the claims process effectively and efficiently. Provide education to managers and supervisors on the worker’s compensation process and return to work program, upon request. Customer Establish a strong and effective partnership with HR to implement a modified duty program to accomplish the goal of getting employees back to work as soon as is possible. The supervisor report of injury form is completed within 24 hours of a reported injury so that no penalties for the City of Tacoma are issued due to the 14‐day criteria. If there are performance‐related concerns, supervisors should contact the HR Assistant Director. Measurements Partnering with management and employees, bring injured employees back to work within 3 days upon doctro’s approval whenever possible. Provide quarterly updates of status of worker’s compensation claims are sent to Joint Leadership Team members and meetings established as requested. (NOTE: the monthly updates are provided to other people in the depts. today – continue these) Provide annual refreshers to Manager and Supervisors on Workers’ Compensation. Track trends and data regarding claims, time loss and costs, and provide information to key department contacts for action, focused on prevention and mitigation.

Action plan and monthly/quarterly meetings occur between risk management and the third party administrator. Roles and responsibilities of the customer for the modified duty program are not consistently adopted city‐wide. Claims are responded to within 14 days. Regular reports on claims are provided to Department contacts.

Work with departments who do not have a modified duty program to develop one. Timeframe: Implement immediately. Quarterly updates are provided to the Joint Leadership Team members. Timeframe: Implement immediately.


Human Resources

SERVICE AREA



Risk Manage‐ ment

Commercial Driver’s License (CDL)Verification Administer the program and ensure that all employees whose jobs require a CDL are in compliance, in partnership with the customers.

Conduct annual verification of all required CDL’s as required per federal legislation and resolve any discrepancies. Provide advice and guidance in situations where employees are involved in traffic violations that impact CDLs. Respond to inquiries about traffic violations and CDL job requirements with 8 hours of notification. Customer Maintain current list of employees whose jobs require a CDL.

Verification of all required CDLs has begun this year on all City classifications and individual jobs. Advice and guidance is provided in situations where employees’ CDLs are temporarily or otherwise revoked.

Complete the verification of all required CDLs. Timeframe: Implement immediately.


Human Resources

SERVICE AREA



Risk Manage‐ ment

Safety Program Administer the City’s safety program, providing regulatory interpretation, advice on safe work practices and equipment, safety assessments and trend analyses Provide guidance and support to managers and supervisors regarding city safety programs, accident and claim reporting requirements, and regulatory compliance. Support the City’s safety committees Administer the City’s medical monitoring program, material safety data sheets (MSDS), and the respiratory protection program

Support and oversee the City’s safety program, providing strategic direction and updated information on laws and best management practices. Provide data/trends to Management, ensuring that consistent indices and definitions are used citywide (e.g., preventable). Customer Provide inventories of chemicals by location with department contact information, for the MSDS program) Measurements Every quarter, send out reports on vehicle accidents. Provide annual report on the experience factor to department directors and superintendents.

Strong, active Safety Committees and the Citywide safety council meet regularly to collaborate and coordinate activities, review accident reports and share information. Safety training scheduling is in transition to move to the Training Division.

Clarify how safety training is administered and communicate the new processes to customers. Send out quarterly department reports on vehicle accidents to department directors and utility superintendents. Provide annual reports on the experience factor to department directors and superintendents. Contact departments citywide to obtain inventories of chemicals and department contact information. Timeframe: Implement immediately. Review Personnel Management Policy 716 (Vehicle Accident Review) and make needed revisions with the Safety Council and the Joint Leadership Team.


Human Resources

Human Resources Service Level Agreement Objectives and Commitments


Adjustments to SLAs will be considered on a quarterly, biennial or annual basis. Adjustments or new SLAs that require new funding will normally be considered during the budget process. This Service Level Agreement (SLA) identifies the Human Resources Department (HR) services of particular interest to HR’s customers, and expected performance and accountability measures, and recognizes the important partnership of operating and service departments. The time frames noted in this service level agreement may be revised on a case‐by‐case basis upon documented mutual agreement between the service provider and the customer. In this way, the SLA is a “living document” that is intended to be a useful tool. The objectives of this agreement are:

To create a mutual understanding of the services and service levels that will be provided by the staff in the HR Department, and to define the customer’s role in the transactions; Establish an issue resolution process; Define a regular reporting and accountability framework; Define a glossary of terms; Clarify the roles and responsibilities of the HR Department and HR’s customers.

In addition, the HR SLA Team discussed the following shared goals and commitments to each other:

Participate in dialogue and problem‐solving, including raising issues directly with each other about concerns and identifying solutions; Interact with the appropriate person when seeking resources, advice and problem resolution; Treat every individual with respect and professionalism; Be open to giving and receiving feedback; Acknowledge mutually the expertise, experience, and resources available in each Department, investing time in building the important partnerships in creating appropriate procedures, processes and plans; Take the time to listen and share information with each other in the issue identification and problem resolution process.

HR Staff are committed to:

Be the expert or most knowledgeable person on the HR issues being discussed; Communicate with customers when changes occur to mandated rules (federal, state, local); Involve managers and supervisors in the process for developing or changing policies and procedures, guidance documents, and be open to a collaborative approach; Provide HR advice, resources and expertise to support the objectives of the departments and the human resource structures and systems citywide; Keep up‐to‐date HR organization charts with information on the services each person provides. Use the HR website as a current and valuable resource that is user‐friendly to communicate with customers

“who does what” and when staff changes occur; Provide data reports for management that show trends and information valuable for decisions and strategic planning;


Human Resources

Human Resources Service Level Agreement Objectives and Commitments


Take the time to understand the business of the city’s departments and divisions; Provide education and training on HR issues; Make sure that processes are truly adding value (continuous process improvement); Develop and maintain a working understanding of the mission of departments served; build relationships with department managers; and help those managers work within the HR management system to

accomplish their mission; Provide face‐to‐face meeting time at the customer’s site location as requested.

HR Customers are committed to:

Be the expert or most knowledgeable person on the department issues being discussed; Actively assist in communications with staff about human resources issues, including arranging for dialogue to take place between managers, employees, and HR staff in staff or management team meetings; Participate in, collaboratively develop and contribute to HR policy development, City initiatives and committees that serve to advance our organization and its people; Collaborate with HR and Legal staff together, to ensure consistent and coordinated decisions from Management; Request, as desired, information, presentations, education and training, and conversations on HR topics; Set the bar high on managing HR issues and hold supervisors accountable for their roles and responsibilities; Be committed to develop and maintain a solid working knowledge of HR rules and policies, and demonstrate that to department staff by honoring those rules and policies, and help communicate the purpose

of having such HR systems; Request that the HR staff provider meet at an on‐site location or make arrangements for immediate assistance on urgent matters.

The services identified in this document are those services of particular importance to the Human Resources Department’s customers. The descriptions of “current performance” are intended to provide clarity to the specific performance expectations and outputs and in some cases, identifying desired service improvements. Some measures are those that are not within the HR Department provider’s total control but instead require managers and supervisors responsiveness in the transaction. Some performance measures connected to strategic initiatives have not yet been implemented by the HR Department. These situations have been identified in the document. The service level agreement is a tool to assist the City of Tacoma in reaching its mission and business goals. Customers want services to work at a specified level of performance and if they are not working, identify why and make appropriate corrections. The service level agreement will not be used in an accusatory manner to state or demonstrate that a department, division or individuals have failed. The tool is a part of the strategic planning and performance management system that is currently being developed citywide.


Human Resources

Human Resources Glossary of Terms


NOTE: use the same terms, if applicable, found in the Personnel Rules, Tacoma Municipal Code. For example, the term “same business day.”

ADA (Americans with Disabilities Act): The Americans with Disabilities Act (ADA) is a federal civil rights law protecting the rights of people with disabilities. The comprehensive law addresses access to employment; federal, state and local government programs and services; access to places of public accommodation such as businesses, transportation, and non‐profit services providers; and telecommunications.

CDL (Commercial Driver’s License): A Commercial Driver’s License (CDL) is required in the United States to operate any type of vehicle that has a gross vehicle weight rating of 26,001 pounds (11,793 kilograms) or over for commercial use; including tow trucks; tractor trailers; and buses that are designed to transport 16 or more people including the driver, or which is designated to carry hazardous materials. The primary intent of the Commercial Motor Vehicle Safety law is to improve highway safety by ensuring that truck drivers and drivers of tractor trailers and buses are qualified to drive commercial motor vehicles and to remove drivers that are unsafe from the roads.

Certified list: A “certified list” is a list of the names of applicants who are eligible for appointment to the class and positions in the Classified City Service for which certification is requested.

Eligible list: Per TMC 1.24.125, “Eligible list” shall mean a list of all persons who have qualified for appointment to positions within a certain class under the provisions of these Rules, and who have not yet been appointed to such class and who have not been removed from such list in accordance with these Rules.

FMLA (Family Medical Leave Act): The Family and Medical Leave Act (FMLA) is a federal labor law that allows an employee to take job‐protected leave due to a serious health condition that makes the employee unable to perform his or her job, to care for a sick family member, or to care for a new child (including by birth, adoption or foster care). The amendments to the FMLA in 2008, provides FMLA entitlements for military families eligible for “qualifying exigency leave” and “military caregiver leave.”

Formal written grievance: A written document alleging a violation of one or more express provisions of a labor contract (including MOA or LOA provisions) or alleging a departure from established past practice under the agreement. Formal grievances normally follow “informal” grievances, where the alleged violation may be raised verbally with the immediate supervisor.

Joint Labor Committee: The Joint Labor Committee of Tacoma is recognized by the City as the exclusive bargaining representative for issues and matters common to all member unions and their employee members including: 1) vacations, holidays, sick leave and other leaves; 2) health care plans, Group Term Life Insurance and Long Term Disability. The unions who comprise the Joint Labor Committee are: 1) County and City Employees, Local 120; 2) District Lodge 160 IAM and AW; 3) Firefighters Union Local 31; 4) International Brotherhood of Electrical Workers, Local 483; 5) International Federation of Professional and Technical Engineers, Local 17; 6) Teamsters Local 313; and 7) Teamsters Local 117.

Joint Leadership Team: The City Manager, Deputy City Manager, Assistant City Manager, and Department Directors in General Government, the Director/CEO of Tacoma Public Utilities, Deputy Utilities Director, and the Utilities Superintendents .


Human Resources

Human Resources Glossary of Terms


Letter of Agreement: A letter describing the agreement of parties to a labor contract to add to or modify labor contract provisions. Letters of agreement usually arise in the hiatus between normal periodic labor negotiations.

Letter of Understanding: A letter describing the shared understanding of parties to a labor agreement regarding how specified factual situations or events will be handled under a labor agreement. A letter of understanding (LOU) does not modify or amend the labor contract, but rather interprets or fills in the “gray areas” not explicitly addressed in a labor contract.

Memo of Agreement: A memorandum describing the agreement of parties to a labor contract to add to or modify labor contract provisions. Memoranda of agreement (MOA) usually arise in the hiatus between normal periodic labor negotiations. MOA’s are more formal versions of LOA’s, but share the same force and effect.

Memo of Understanding: A memorandum describing the shared understanding of parties to a labor agreement regarding how specified factual situations or events will be handled under a labor agreement. A memorandum of understanding (MOU) does not modify or amend the labor contract, but rather interprets or fills in the “gray areas” not explicitly addressed in a labor contract. MOU’s are usually slightly more formal than LOU’s, but share the same legal effect.

Rank: An applicant’s relative position or standing on the eligible list as determined by their final examination score.

“Set up” List: A list of employee names used to fill temporary vacancies or temporary assignments. Set up lists often borrow from civil service lists of employees qualified and eligible to fill regular vacancies, but set up lists may also be seniority lists.

Subject matter expert: A Subject Matter Expert (SME) is an individual in a hiring department who has specialized knowledge that enables them to evaluate applicants in a particular field of expertise, prior to placing applicants on an eligible list.

Reference Documents

HR Department Organization Chart Summary of Services Provided From the HR Department and corresponding PowerPoint presentation HR SLA Team Discussion document – Overarching Roles and Responsibilities of Human Resources, Managers and Supervisors, and Employees Notes from the HR SLA Meetings

INFORMATION TECHNOLOGY DEPARTMENT


Information Technology Department



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IT Infrastructure is the hardware, operating systems and software systems that provide for the platform on which data travels, files are stored and enterprise and business applications might run. ITD will provide and manage the corporate IT Infrastructure for employees, operations and business applications, in the following areas:

IT Infrastructure

Network Access to the Corporate Network, Internet and the Corporate Intranet is critical to conduct daily work.

Initial Request: Per agreed to schedule by requestor and IT.

Availability: Network, Internet and Intranet will be available for use at least 99.9% 24x7 365 not including scheduled outages/maintenance. . Outage details are recorded with specific date/time and cause. Outages outside the control of the IT Department are not calculated into the uptime stat. Link to outage stats: http://cityweb/Technology/ISDivision/Documents/IS_UptimeStats.xls

Though the system is built for 99.9% uptime, the IT Department, as a service provider who takes pride in their work and satisfaction in serving their customer beyond expectations, will strive for 100% availability.

Network issues and/or outages are promptly noted on the Network status indicator.

The network also needs to be responsive.

Repair: Immediate response and communication per general provisions (CIRT). http://ws‐

Current network availability goal is at 99.9%, which excludes scheduled outages/maintenance. Current performance is approximately 99.99%. Power experienced a network access issue when testing the back‐up load control center at the Cowlitz substation.

Develop plan for service request changes of: Tracking planned vs. actual minutes for

planned outages – Add field to template for planned outages to capture actual outage duration.

Track all planned outages on log sheet similar to unplanned outages log sheet to report out at quarterly SLA meeting (beginning January 2010).





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new/Technology/PSP/Documents/IT_Service_Outage_Incident_Response_Procedure.htm Ongoing maintenance: Test and apply patches/upgrades to network hardware as applicable to sustain security and performance.

Measurements: IT Infrastructure will be fully available

99.9% of the time. System availability calculations will

account for time periods that the system is partially available (degraded performance) and when the system is unavailable to users. See Uptime Status Report for more info.

IT infrastructure availability will be calculated on a monthly basis.

Planned outages will be tracked and reported in minutes (planned versus actual)

VPN Tunnels

Provide and manage access to/from the corporate network for employees and business applications via Virtual Private Network. Critical business applications rely on VPN to operate safely and efficiently.

Initial Request: The process for establishing new users is defined and they are able to use VPN within 7 working days of requesting access. Requestor shall follow process to make request and provide necessary information

We have had VPN connectivity issues; the use of Net Motion has resolved these issues in the field. We are still experiencing problems with Cisco for employees working from home.

A better defined process with tracking of requests is needed. Develop plan for service request changes of: Fulfilling request within 7 days – Once

request is complete, track request through a product such as iStar with protocol for 7





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for fulfilling the request, upon which the request will be fulfilled by the ITD within 7 working days. Link to VPN procedure: http://ws‐new/Technology/ISDivision/PSC/NetworkTransport/Pages/SecureIDKeyFOB.aspx Availability: VPN connections are active 99.9% of the time. Outages outside the control of the IT Department are not calculated into the uptime stat. Repair: Malfunctioning (broken) corporate VPN tunnels within the control of ITD, fixed within 2 hours of notification not to be confused with VPN access from employee owned connection points. Measurements: 100% of properly submitted requests for VPN access completed within 7 working days.

day turn‐around. (by 2Q10) Develop a plan for tracking baseline

performance to determine if outage stat is desired by customer. Report out 2Q10 meeting.

Fix within 2 hours of notification – Consider procurement of extra hardware to sit on the shelf. Make use of governance processes; requires business case with cost/risk, etc. see above





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IP Address management The assignment of permanent and non‐permanent IP addresses to individual workstations or servers shall be supported in all subnets. The assignment and recording of private addresses, given private address subnets cannot be duplicated among interconnected departments/divisions. A process to request, design and implement new interconnections, security measures, and approve address ranges and applications across defined interconnections.

For simple requests, such as the assignment of a static IP address to a device, the request shall be denied for cause or approved/assigned as soon as possible or within 7 working days. If IP address space is at 90% utilization, ITD shall schedule a meeting with the Operating Department affected to discuss needs. For complex requests, such as the allocation of additional IP addresses or establishment of a private subnet, ITD and the Operating Department shall meet and develop a plan within 30 calendar days to address needs. Measurement: Simple: 100% within 7 working days Complex: per agreed upon schedule

No standard for work request turnaround time.

Develop plan for service request changes of: Static IP address request denied or

approved/assigned in 7 days – Develop criteria for initial analysis of request to deny or approve/assign (by December 2009). Track request through a product such as iStar with protocol for maximum of 7 day turn‐around (by 2Q10).

Detection and notification of IP space at 90% capacity – Explore automated options for detecting percentage of utilization (by December 2009) Report IP address utilization semi‐annually at the appropriate quarterly meeting. ITD to work with Power, making use of the recent request as a test case, to develop a process to request, design and implement interconnections, security measures, and approve address ranges and applications across defined interconnections. (by December 2009) IP address plan within 30 days – For

complex requests, ITD and Operating Department to meet to develop a mutually agreeable plan to address needs; both parties to make use of project management principles to track tasks and ensure both parties are attentive to their individual responsibilities to meet the





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deadline.

Wi‐Fi Access Points Install as requested and maintain Wi‐Fi access points at various work sites.

Initial Request: Per agreed to schedule by requestor and ITD. Availability: Develop standards for wireless corporate network deployment. Availability, reliability, and useful coverage and information on where access to public/customer access and employee provided access points. Repair: Per agreed to resolution process Link to policy/procedure: http://ws‐new/Technology/ISDivision/PSC/NetworkTransport/Pages/WirelessAccessInstructions.aspx Wi‐FI list of access points

Some divisions are currently providing internally and would like this to be done in cooperation with IT Division to provide security standards and guidelines and consistency for Wi‐Fi access points. Some Operating Departments are not following current policy/procedure regarding disallowance of self installation. Currently there is not general knowledge of where Wi‐Fi access points are located and how to access them.

Develop plan to communicate current policy/procedure and current Wi‐Fi access points. (by 1Q10) Track request through a product such as iStar to share current list of requested Wi‐Fi spots. (by 2Q10) Install Wi‐Fi access points per agreed to schedule between requestor and ITD.





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http://ws‐new/Technology/ISDivision/PSC/NetworkTransport/Pages/WI‐FIAccessLocations.aspx

Enterprise Servers (File, Blackberry, Microsoft Exchange, Web Intranet Servers, External Facing Web Servers, SharePoint, Virus Protection) – Install, replace and maintain servers, including researching, testing, and applying operating system and firmware patches and upgrades. These servers provide critical services including file storage, supporting databases (Oracle/SQL), email capability, mobile communications, SAP, web hosting, network functionality, SCCM and SharePoint. (This does not preclude the Operating Departments from supporting servers to some third party systems and databases.)

Initial Request: Per agreed to schedule by requestor and IT. Availability: Greater than 99.9% uptime within each service provided. Agree with Divisions on definition of critical assets and communicate their maintenance, replacement, back up and when redundant servers are provided. Repair: Per incident response plan under general provisions ITD will provide a secure, environmentally controlled and monitored facility to house hardware equipment. This includes fire suppression.

System backup and recovery: ITD will be responsible for enterprise server data file backups and restores on a retention schedule agreeable to Operating Departments (according to applicable laws).

There are some sporadic problems. Not clear how mission critical is defined by ITD regarding redundancy. Need to understand the methodology for providing redundancy. We need to reach agreement with IT and such agreement will help manage expectations. SharePoint SharePoint infrastructure is not redundant, lacks robustness, and lacks enterprise functionality (requires enterprise level licensing).

Develop plan for service request changes of: Uptime stat on some systems is not

currently tracked, not provisioned to provide 99.9% uptime (Blackberry, SharePoint, Virus Protection, File Storage, Mobile Communications (NetMotion), SCCM) ‐ Develop a plan for tracking baseline performance for those systems to determine if outage stat is desired by customer. Report out 2Q10 meeting.

SharePoint Farm and 99.9% uptime ‐ Make use of governance processes/business case development with costs/risks for presentation at initial BPC meeting in December 2009. ITD to work with HR/T&D to establish ongoing SharePoint course offering (by 2Q10).

Operating Departments to determine training needs and sign staff up accordingly.





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Enterprise level software is defined as software which provides business logic support functionality for an enterprise, which aims to improve the enterprise's productivity and efficiency. Enterprise Software includes, but is not limited to the following: Microsoft Office Microsoft Windows SharePoint SAP Blackberry

ENTERPRISE SOFTWARE LICENSING

Licensing Maintain and administer proper licensing and records of licenses for all enterprise wide software on computers NOTE: This does not include business specific software licensing maintained by the operating divisions.

Ensure license agreements are up‐to‐date and within compliance. Establish and maintain staff knowledgeable in the area of available enterprise licensing and features. Link to policy: http://ws‐new/Technology/PSP/Documents/SWHW_Policy.htm Measurements: No violations due to Enterprise Software Licenses

Performance as required. Plan is in place

Communication Provide Operating Departments with planned updates and software available under enterprise license agreements, including products under enterprise license agreement, i.e., Adobe, Microsoft and any products

ITD has a duty to communicate to the users through policies, what the users are to follow. Standards available on ITD’s intranet site and up‐to‐date. Link to Polices, Standards, Procedures: http://cityweb/Technology/PSP/Pages/default.aspx

Some gaps exist in communicating the existing policies city‐wide.

Develop plan for service request changes of: Communication ‐ ITD and Operating

Departments, within the governance framework (ITAT, ITF) to revisit this topic and consider how to better disseminate the information out to the Operating Departments. (by 1Q10)





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covered under the SAP agreement.

Measurement: No specific measurement at this time.

Each Operating Department commits to membership and involvement in the existing technology forums. (by 1Q10)

Each member of the technology forums commit to sharing information with their department or division. (by 1Q10)

EXTERNAL FACING WEB

External Facing Web City‐owned External websites are defined as providing network and software, and managing operating system licensing that enable operational departments to develop and maintain web‐based applications to address business needs. ITD provides the platform for external facing web. Web Hosting Guidelines ITD provides guidelines, standards, and consulting for acquisition of external web sites.

Requests for establishing new webs are responded to within seven (7) working days of the request and completed per the plan as co‐developed by ITD and the Operating Department.

Requests for web repair (as they relate to network hardware and software) are responded to within two (2) hours of notification.

The platform for hosted websites is operational 99.9% of the time and can be updated in a timely manner.

Upgrades or new needs are included in IT Division plans.

Measurements: Provide and manage network, software and hardware for website hosting. Sites are operational 99.9% of the time.

Upgrades to Water’s secure site take several days and often multiple attempts. Electric Inspection built the site using Site Crafting outside the firewall and this needs to access SAP within the firewall. Limited support and changes are available for ISS, portal and web services for Customer Service.

Develop plan for service request changes of: New webs responded to within 7 days ‐

track request through a product such as iStar with protocol for 7 day turn‐around (by 2Q10)

ITD to investigate each issue under current performance and work with the specific customer to determine best path to resolve issue. (by 1Q10)

Consultants hired by Operating Departments shall follow City standards for application development and security.

ITD and Operating Departments to explore opportunity to upgrade to SAP ECC 6.0 for enhanced web services functionality (by 2Q10).

Enterprise resource planning (ERP) is defined as the corporate wide software system used to manage and coordinate all the resources, information, and functions of a business from shared data stores. This includes Information Systems Governance, SAP Maintenance, SAP Work Queue, SAP Roles, the BW/BI Reporting tool, SAP Portals, SAP Training and the Training Clients, the Mobile Solutions System, and SAP Professional Services.





9

Information Systems Governance

Participate and support governance model Decision Making BPC and governance

(Prioritization and resource utilization)

ITD supports projects championed by Operating Departments

Operating Department will support governance model.

Measurements: All parties adhere to governance model

The governance model is in process of being revised and is currently unclear.

Information Systems Governance Board and Executive Leadership to communicate revised governance processes and model. Governance structure charter will be signed by first week in December. Revised governance charter and processes to be reviewed by Rey Arellano with Bill Gaines and Eric Anderson by end of December. Business Process Committee to convene in December. Communication to be sent City‐wide from Bill and Eric to inform staff of revised governance model by December 31, 2009.

ERP – SAP ‐ Maintenance

Manage and maintain all Maintenance touch points, including:

1. Security 2. Maintenance 3. Data archiving 4. Hardware 5. Service packs 6. Upgrades 7. Programming 8. Operations 9. Disaster Recovery 10. Testing 11. Quality Assurance 12. Planning 13. Communication

ERP/SAP production is available 99.9%. Repair: Per incident response plan

under general provisions: Day‐to‐day maintenance and support is

at an agreed level. Establish a directory and information

source detailing report generation scheduling; to avoid conflict and system degradation

Establish, maintain and adhere to an agreed‐to schedule for updates, upgrades, service packs and support packs in accordance with the IS governance model.

Maintain and share blueprint process

Day to day performance on maintenance and support is meeting expectations. Comprehensive data archiving is not taking place.

Develop plan for service request changes of: Establish a directory of information ‐ ITD

to explore needs of Customer Services to determine the intent of their request for a report generation scheduling. (by February 2010)

Data Archiving ‐ ITD and Operating Departments to Convene a data archiving stakeholder group and make use of governance processes.

Share business process blueprints – ITD to develop a plan for making blueprint documents available. (by 1Q10)





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14. Performance

documentation. Measurements: Average on‐line transaction time for CCS processing: sub‐second.

SAP – Work Queue

Meeting existing business needs (i.e. work plan items)

Provide and manage communication plans for approved projects

Planning to support future business needs

Accomplish approved work in a timely manner and in an order determined by the Department

Support projects championed by Operating Departments

Operating Departments support governance model and promote positive results.

Measurements: All projects approved by the governance model are sufficiently resourced by ITD and Operating Departments to meet mutually agreed upon timelines. 100%

Inadequately resourced to get the work plan items completed.

Process is not set up well to realize the full potential of SAP.

Develop plan for service request changes of: Inadequate resources ‐ Explore

alternative resource options such as made available in the Sandbox service model.(by 1Q10)

SAP – Roles Manage and maintain all Role touch points, including:

Role assignments Security Maintenance

Initial request for access is provided within 7 working days from date of request

Assign and manage Role assignments appropriately and in a timely manner, while maintaining required security

Link to role assignment process: http://cityweb/Technology/EASD%20Home/ToolsandForms/Documents/Authorizationfo

Performing as agreed to Plan is in place.





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rm1.htm Measurements: Requests fulfilled within 7 working days.

SAP – BW/BI Provide WMS, CCS, and FMAS data for business needs

Populate BW/BI tool with all data needed for reporting and data extracts

Provide access to Strategy Manager and Business Objects (requires purchase and prioritization)

Use BW/BI repository to provide dashboards, KPI and metrics

There are missing objects and cubes in the areas of WMS, CCS, and FM that are impacting our business.

It’s not meeting the potential for reporting and metrics

Intentions for data expansion have not translated into actions. There does not appear to be a plan to make this data available.

Develop plan for service request changes of: Operating Department to make use of

information systems governance processes to establish business case and set priorities for each item and to align with business case for SAP Enterprise upgrade. (2Q10)

SAP – Portals ISS – TacomaServices.org ESS – Employee Self‐Service MSS – Manager Self‐Service

Accomplish approved work in a timely manner and in an order determined by the Department

Support projects championed by Operating Departments

Operating Departments support governance model and promote positive results.

Measurements: All projects approved by the governance model are sufficiently resourced by ITD and Operating Departments to meet mutually agreed upon timelines. 100%

Inadequately resourced to get the work plan items completed. Process is not set up well to realize the full potential of SAP. Planning in areas such as ISS is not clearly communicated.

Develop plan for service request changes of: ITD and Operating Departments make

use of information systems governance processes to request additional resources. Align with business case for SAP Enterprise upgrade. (by 2Q10)

Explore opportunities to apply Operating department resources such as made available in the Sandbox service model. (by 2Q10)





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SAP ‐ Training Provide general training and support departmental initiated training

SAP training meets specific baseline needs.

Stakeholder‐specific training is developed to meet specific needs

Performing as agreed to. Plan is in place. Continue the practice of Stakeholder experts to deliver SAP training.

SAP – Training Client/ Environment

A training environment is a system that represents the most current production that consists of existing and upgrade software that represents the most current Production functionality and a full representation of production data, and enables operational departments to conduct training activities, refresh skills and build competencies with SAP functions.

Provide department trainers with a more robust environment to train staff

Training Client populated with production data

Training environment is available 99.9%. Training client is available for use by

students to practice skills.

Access for training client is limited to classroom. Department Trainers are forced to train in the Production Client. Customer Service trainers using Training Client with limited data or making use of Production System for training new employees

Uptime is not currently tracked, nor is the client built to provide 9s of uptime – Operating Department to make use of governance processes for business case. Explore the opportunity to re‐establish Training Client for post‐classroom practice. )by 2Q10) Determine method and capacity requirements to provide Customer Service trainers access to copy of Production data (Dec 2009)

SAP – Mobile Solution

A mobile solution system allows the assignment of work and collection of results for work management activities that is directly interfaced to the SAP environment in support of the mobile workforce.

ITD Responsibility Network Support Center x2057 will

triage apparent Verizon/Sprint issues. Request for application modifications:

Per agreed to schedule and project management by requestor and ITD

Operating Departments Responsibilities Notify the Network Support Center at

x2057 if an interruption to service occurs.

Forward error messages and log to

Project is underway with go‐live scheduled March 1, 2010.

Project underway. Debrief lessons learned scheduled for after go‐live.





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IT/EASD Work Management staff for problem documentation.

Pay for the number of wireless connections and equipment needed. Maintain mobile equipment.

Assumptions: Ventyx will update their software

systems in such fashion that there will be no impacts to the City’s business operations.

Verizon/Sprint will maintain their network in such fashion that there will be no impacts to the City’s business operations.

There is an operational dependency between SAP, Business Connector and mobile solution systems in order to meet City operational needs.

There is an operational dependency between Verizon/Sprint wireless and Ventyx for the field crews to connect up to Ventyx from the field. A product called Net Motion enhances the connection state.

Measurements: 99.9% uptime of infrastructure under the control of ITD





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SAP – Professional Services

Facilitate acquisition of professional services

Projects approved by the governance model are sufficiently resourced by ITD and Operating Departments to meet mutually agreed upon timelines. Measurement: All consultants ITD resourcing approved by the governance model meets mutually agreed upon timelines. 100%

External consultant support is not always supported by the Operating Department or ITD

Operating Department make use of information systems governance processes to set priorities. Per plan as agreed to between Operating Department and ITD on a case by case basis.

Support Consultants Retained by Departments

Consultant Support Partner with and support Operating Departments in all aspects of IT‐related consultant activities in an agreed upon timely manner through the governance model. [Insert link to governance model when available]

All consultants ITD resourcing approved by the governance model meets mutually agreed upon timelines. Measurement: All consultants ITD resourcing approved by the governance model meets mutually agreed upon timelines. 100%

Support was not provided for Customer Service’s request. Services provider should have given an alternative staffing plan or reprioritize options that Customer Service could choose from to support the consultant. Governance model under development should improve ITD resourcing for IT related consultant activities.

Per plan as agreed to between Operating Department and ITD on a case by case basis.

Backup/ Recovery

Servers maintained by departments and divisions are backed up upon request.

The backup process will bypass files that are open or active (i.e., if a file is left open all night or over the weekend, it will not be backed up).

The backup entails one full backup of servers/files during the

ITD Responsibility Provide backup/recovery services for all

general purpose file servers maintained by ITD/IS staff.

Provide backup/recovery services for Operating Departments file servers upon request.

Coordinate and organize review of Operating Department resources backed up.

Performing as agreed to Plan is in place





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weekend. Daily incremental backups are performed Monday through Thursday, which will backup files that have changed since the last full or incremental backup. Backups are retained for 30 days unless business needs require an exception.

ITD/IS retains full and incremental backups.

Full backups of the messaging server are performed nightly with retention of seven days for disaster recovery purposes only.

Operating Department Responsibility Notify ITD/IS when a new server, share,

file, database or other data source that are to be backed up. Notification shall be through the ITD web; reference ‘Restore, Backup, Change Form’ at Backup‐Restore‐Change forms.

Ensure the “DOMAIN ADMINS” is added to the Directory Permission list when changing or setting up new servers and folders; the backup software will bypass those servers and folders that do not have this setting.

DEPARTMENT SPECIFIC SERVICES

Batch Processing: General

Batch processes are run by shift operators and functional staff in ITD per the job owner’s documented instruction, referred to here as ‘set‐up sheets’. All ‘set‐up sheets’ are contained within batch operations manual

The job owner is typically the functional analyst from EASD.

Set‐up sheets are maintained by

Batch processes or reports which have performance impacts to production response time will be discussed with appropriate staff to determine if alternative processing or scheduling options are available. ITD Responsibility Test sequence of batch jobs, identify

appropriate scheduling, work with shift operators to ensure appropriate process is followed and schedule is

Batch Processes have been more frequently run out of sequence causing alternative business processes to accommodate ad‐hoc scheduling.

Develop plan for service request changes of: ITD to run a baseline as to on time/as

scheduled and to establish expectation and processes for logging 99.99% (by 1Q10)

Communicate how batch scheduling process works by 2Q10





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the job owner. Updates will be provided and Operations notified of updates immediately in order to ensure accurate running of the jobs.

The batch processes consist of daily, weekly, monthly, annual and on‐request jobs. Schedules for any of these batch processes will not be modified without joint consultation.

implemented. Run shift operator batch jobs as

prescribed by the set‐up sheets and job owner.

Execute jobs in the correct order, as specified by the set‐up sheets or as agreed to by the parties involved.

Take any and all steps necessary to ensure that the batch process is correctly and accurately completed as scheduled.

Notify individuals of issues as prescribed by the set‐up sheet.

Measurement: Availability: Batch processing services production are run on time and as scheduled 99.9% of the time, during normal operations (excludes outages).

TPU – IVR ITD Responsibility Continue to support the SAP side

of the interface for planned changes within the IVR.

Troubleshoot issues in coordination with TPU.

TPU Inform ITD 30 days prior of

changes to established

Tacoma Power, Communications Shop, maintains the Siemens Periphonics equipment including any necessary upgrades to that equipment necessary to interface to SAP operations.

IVR uses the middleware maintained by Customer Services to interface with to Trust Commerce for purposes of validating credit card information.

IVR uses the middleware maintained by

Performing as agreed to





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operational procedures caused by changes to the existing IVR equipment, or replacement of the existing equipment.

Inform ITD 90 days prior of any planned changes to functionality within IVR that relies on SAP data or processes.

Maintain existing IVR software that enables credit card application, payment arrangements, etc.

Maintain custom middleware (.net application)

Troubleshoot issues in coordination with ITD.

Provide the ‘voice’ for recorded messages.

Customer Services to interface to SAP for purposes of account query and payment arrangements.

TPU ‐ Sandbox A Sandbox is a system that represents the most current Production functionality and a full representation of production data, and enables operational departments to independently or in association with service provider explore process improvements, develop business applications or modify existing applications. NOTE: Reference the Sandbox

Initiate phase II (chaperoned path) to provide for an automated migration path from the Sandbox to QA and Production environments Sandbox environment is available 99.9%. Complete automated migration process

that supports a promotion from sandbox to QA (Phase III)

Measurement:

Phase II was launched July 2009 which allowed departmental resources to be applied to backlog of work requests for their department. Phase II allows development work in the sandbox, coordination with ITD using full life‐cycle development practices and escorted access to the SAP production landscape (Dev/QA/Prod) which is the responsibility of ITD.

Develop plan for service request changes of: 99.9 % uptime – uptime is not tracked.

ITD to calculate a baseline to report out at 2Q10 SLA meeting and have further discussion with the customer as to uptime need. If desire of Operating Department is to invest to ensure 99.9%, Operating Department to make use of governance processes and cost/benefit analysis for approval.

ITD and TPU to conduct a debrief in 3Q10





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Working Document/Procedures Sandbox environment is available 99.9%. TBD – see plan

Some Divisions have limited access to the site. Efforts to provide escorted access from the Development client to QAS are improving. Operating Department (Power) is doing well in following standard practices to enter the Dev/QA/Prod environment for transport amongst planned ITD work items. Sandbox is in pilot, Phase II. Hardware and other constraints prevent moving to Phase III. Better communication with Water and Customer Service is still needed.

and make use of governance processes for a cost/benefit analysis on automated migration before proceeding to phase III.

Limited access and communication ‐ Owner of sandbox should communicate intended use and administer the environment to determine plan for extended use to other TPU departments.

Finance Treasury Department – Batch Processing: Retail Lockbox

Finance‐Treasury Department continues to negotiate and manage the contract for retail lock boxes. Finance Treasury Department Responsibility 90 days prior to any changes Finance Treasury Department initiates for the lock box contract or processes, notify ITD of the changes that could impact established operations.

ITD Responsibility Receive files daily between 1:00 p.m.

and 3:00 p.m. and reviews and approves. If file is not accurate or not available by 3:00 p.m., operator or SAP CCS staff contacts Retail Lockbox.

Batch Operations runs the files once received and no later than 5:00 p.m.

SAP CCS staff will contact Retail Lockbox if any problems occur during processing

to get a corrected file prior to 6:00 p.m. Notify City Treasurer and Customer






19

Services by 6:00 p.m. if the files are missing/incorrect/will not be processed that evening.

Informs City Treasurer and Customer Service within 90 days of any planned changes that ITD initiates for the lock box contract or processes that could impact established operations.

Server Administration

Administration of Operating Departmental owned servers at the request of the department. Initial Installation Hardware

Collaboration on determining appropriate hardware configuration based on technical requirements.

Assemble and test hardware. Load firmware; test/apply

firmware patches. Software

Load and configure Operating System and networking software.

Ongoing Administration Hardware: Collaborate with customer to plan

ITD labor provided to support and maintain the server hardware and operating system. Data center facility provided (power, rack space, HVAC, etc. Operating Department provides for M&O and capital for server hardware and software expenses. ITD will Recover downed systems during on‐site

hours within two hours of notification by the Operating Department.

Possesses expertise in server hardware and server network operating systems through training and experience and use of established “industry best practices”.

Establish and maintain security configuration.

Teaming, depth of knowledge, varied

Performing as agreed to Plan is in place.





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for future growth. Upgrade/replace hardware at the

request of customer. Software: Research/test/apply operating

system patches/upgrades. Test/apply software for virus

protection. System: Ensure proper configuration of

hardware/software for optimal performance levels.

Troubleshoot/research/apply fixes for system issues.

Coordinate with other groups to troubleshoot peripheral components/systems.

Provide and monitor comprehensive system backup processes and restore the system to operational status after failure.

experiences; primary and secondary staff for coverage during vacation/sick leave, etc.

24/7 proactive monitoring of system with automated paging of system technicians.

Customer Service – Cashiering System

ITD Responsibility DBA maintain and provide

administrative support for the iNovah database (does not include the data).

Troubleshoot issues when reported that are on the SAP side

Databases supporting the Cashiering System production are available 99.9%. Customer services to inform ITD of planned hardware additions to the network and to follow standard maintenance practices, including applying the latest patches to ensure the security of all resources

Preventative server maintenance has caused anomalous activity within the Revenue Collector servers.

Develop plan for service request changes of: Tracking uptime for departmental owned

servers incumbent upon Customer Services.

Customer Services to establish a test and





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of the interface. ITD/EASD –develops changes on

the web services used to access SAP as agreed to with Customer Services.

ITD/EASD conducts unit and system tests of the iNovah to SAP web services as agreed to with Customer Services.

Customer Service Responsibility As of Nov. 10, provide server

administration (hardware, OS) upon which the database and Revenue Collector application runs.

Provide instructions for preventative maintenance

Troubleshoot issues on the SI side of the interface.

Work within the governance structure to determine work plan priority.

Notify CSIS staff at least 30 days prior to any changes in contract conditions with SI.

Jointly plan upgrades to SI to coordinate time line, testing and implementation with EASD’s CCS FiCA team. Notify the CCS FiCA

connected to the network.Customer Services to request backups as appropriate to their business needs per the backup request process. Customer Services to resource the server admin service fully for self sufficiency, including ensuring personnel have knowledge of best practices, apply best practices and ensure high availability and redundancy.

QA environment and processes for their cashiering system to allow a full test of operating system patches prior to implementing in production.





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team of any changes. Maintain licensing for the

hardware and software for Customer Services owned Database Server and Application Server.

Customer Service – Trust Commerce

Credit card verification and reporting ITD Responsibility Maintains the VPN connection to

Trust Commerce. Updates ISS with a notice if there

is a service interruption. Informs Customer Services when

Trust Commerce seems to be down.

Troubleshoots SAP/Trust Commerce middleware and interface issues.

Informs Customer Service within 90 days of any planned changes to functionality that relies on the data or processes that SAP supports.

Customer Service Responsibility Shares information on Customer

Services initiated contract changes with IT.

Finance‐Treasury Department continues to negotiate and manage the contract with Trust Commerce. Trust Commerce will maintain their system in such fashion that there would be no impacts to the City’s business operations.

Successful functioning of credit card payment processing in ISS relies upon connection to Trust Commerce via the middleware maintained by IT/EASD.

Successful functioning of credit card payment processing in IVR, Revenue Collector, Paystations relies upon connection to Trust Commerce via the middleware maintained by Customer Services and VPN through the Internet. Measurements: Availability: Trust Commerce VPN production is available 99.9%. See VPN

Performing as expected





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Maintains custom middleware (.net application).

Informs IT/SAP CCS Functional group when Trust Commerce seems to be down.

Contacts City Treasurer about payment issues with Trust Commerce.

Troubleshoots Revenue Collector/Trust Commerce middleware and interface issues.

above.

Customer Service – Equifax

ITD Responsibility Maintain the VPN with Equifax. Once a disruption is identified,

notify Customer Services staff of issue.

Customer Service Responsibility Notify ITD/EASD CCS staff 90 days

prior to any changes in contract conditions with Equifax that could impact established operations.

Notify ITD/SAP CCS staff 10 days prior of any planned disruption of connection, or within 30 minutes of identification of unplanned disruption of connections between SAP and Equifax.

Customer Services continues to negotiate and manage the contract with Equifax. Equifax will maintain their system and interconnections with the City in such fashion that there will be no impacts to the City’s business operations.






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Customer Service – NCO

Customer Services continues to negotiate and manage the contract with NCO.

Customer Service staff are responsible for preparing and maintaining accounts sent to NCO for collection.

Interface to/from NCO shared by other business units using collection agency services.

File to/from NCO will be done on a weekly basis by IT Batch Operations.

ITD Responsibility Troubleshooting issues including data

issues, failure to transmit, or missed files will be done by ITD staff.

Changes to the program will be done by ITD staff at the request of Customer Services.

Updates will be made to the Operations Manual and Training documentation when changes occur.

Informs Customer Service within 90 days of any planned changes to functionality that relies on the data or processes that SAP supports.

Customer Service Responsibility Customer Services to notify IT/SAP CCS

staff of any contract changes 90 days prior to any changes to terms and conditions that may change the established process.


Customer Service – Batch Processing: Upload and Download of Meter Readings

Batch Processes: Upload/download of meter reading orders

EASD Responsibility If batch job fails set‐up sheet has call

out instructions for SAP CCS staff to troubleshoot and resolve if possible. If resolution is not possible an e‐mail notification is sent to Field Ops and CSIS.

Perform download by 6:00 a.m.;

Batch Processes: Upload/download of meter readings have been more frequently run out of sequence causing alternative business processes to accommodate ad‐hoc scheduling.

Develop plan for service request changes of: ITD to run a baseline as to on time/as

scheduled and to establish expectation and processes for logging 99.99% (by 1Q10)





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download is complete, accurate and as expected need to check?

Maintain the meter reading calendar. Customer Service Responsibility Perform upload by 6:00 p.m.; upload is

complete and accurate. Ensure access to MVRS system. Ensure access to the appropriate files at

the appropriate time. Check e‐mail daily for notification of

failed batch jobs. Provide annual meter read schedule by

Nov 30 of previous year. Measurement: Availability: Batch processing upload and download production are run on time and as scheduled 99.99% of the time.

Customer Service – Accepting Payments During SAP Outage

Use the SAP Shadow to accept/collect payments (but not process) during both planned and unplanned SAP outages. Approximately 50% of payments come through the various offsite payment venues such as the internet, pay stations, IVR, etc. Not accepting payments during SAP outages impacts the service to the customer and the bottom line.

The decision to use the Shadow for payments during an unplanned outage must be a cooperative decision between Customer Service and ITD. Once the decision is made, reconfiguring the RC and MW can be initiated and managed by Customer Service without any IT/BASIS involvement. Therefore, Customer Service should take the leadership role in initiating the discussion, making the "go/no go"






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decision, assigning Customer Service staff to make the change and reverse the change at the end of the outage.

Police Department – 800 MHz Trunked Radio Network

ITD provides for and manages the City’s 800 MHz trunked radio system, utilizing common technical standards; a common radio system platform linked with other regional public safety systems and use of dispatch centers linked to a common network.

Daily operational and interop capabilities with radio coverage in their areas using an established coverage measurement plan, common talkgroups and encrypted operations. Measurement Zero downtime. Maintaining communications within coverage area to established standards.


Fire Department – 800 MHz Trunked Radio Network


Daily operational and interop capabilities with radio coverage in their areas using an established coverage measurement plan, common talkgroups and encrypted operations. Providing dispatch interoperability and full backup capability to Tacoma Fire Communications. Measurement Zero downtime. Maintaining communications within coverage area to established standards.






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Public Works Department – 800 MHz Trunked Radio Network


MeasurementNo demand, but provided zero downtime as a result of TPD and TFD needs.



Information Technology

INFORMATION TECHNOLOGY GENERAL PROVISIONS

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ITD Hours of Operation 24x7x365 issue dispatch is provided via the Network Support Center. On‐site hours are defined as 7:00 a.m. through 5:30 p.m., Monday through Friday, excluding official City holidays. Service beyond these hours is provided via call center service after dialing 591‐2057. Reference ‘7x24 Operating Departments’ at 7x24CustomerService. Communication /Escalation For urgent issues, customers are encouraged to contact x2057 and seek dispatch of their issue to the appropriate group. Communication of other infrastructure issues or SAP issues can be accomplished in a number of ways. Phone (253) 591‐2057 e‐mail [email protected] Business Applications Escalation Kathy Palon ‐ office (253) 502‐2234/ home cell (253) 318‐0775 Alan Alvarez – office (253) 382‐2610/cell (253) 882‐9569 Bill Bogue – office (253) 573‐2358/home cell (253) 988‐9635 Michelle Lewis‐Hodges – office (253) 502‐2210/pager (253) 280‐0639/home (253) 539‐7200 Infrastructure Support Escalation Gary Cantu – office (253) 591‐5464/cell (253)‐606‐3060 Steve Taylor – office (253) 404‐3790/cell (253) 278‐0736 Bill Bogue – office (253) 573‐2358/home cell (253) 988‐9635 Michelle Lewis‐Hodges – office (253) 502‐2210/pager (253) 280‐0639/home (253) 539‐7200 (Names and phone numbers are current as of 9/28/09, and are subject to change.) Scheduled Maintenance ITD agrees to minimize scheduled maintenance as appropriate. All routine, scheduled maintenance for the infrastructure will take place within the established maintenance windows and that established procedure, which includes informing the customer, will be followed in preparing for maintenance. ITD is responsible for testing and applying patches/upgrades to network hardware as applicable to sustain security and performance. Reference procedure, ‘Planned and Emergency IT Infrastructure Outages Procedure’ at http://ws‐new/Technology/PSP/Documents/Planned_Outages.htm.




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Reference Outage Event Notification at: http://cityweb/Technology/ISDivision/Infrastructure/NSC/Pages/OutageandEventNotification.aspx Messaging Server (email) Maintenance Window (Exchange Servers, OWA Server, and the Blackberry Enterprise Server) ‐ Every Thursday 8:30pm‐Midnight ‐ To maintain a reliable messaging system, the Exchange servers will be down for weekly Preventative Maintenance (PM) on Thursdays starting at 8:30pm, and will be down anywhere from one to three hours. If this has a negative impact on your ability to do business, please respond so that we may reschedule to fit your business needs. TPU and TMB Fileserver Maintenance Window ‐ Every Thursday 8:30pm‐Midnight ‐ To maintain reliable file services, the fileservers will be down Thursday nights for weekly Preventive Maintenance (PM). The affected servers will be down anywhere from one to three hours. MDSI/Advantex Server/Application Maintenance ‐ Every Saturday 6:00pm to 10:00pm ‐ Maintenance will be performed on the server and application every Saturday between 6:00PM and 10:00PM. Users will not be able to use the MDSI Dispatch application during this time. MDSI Mobile users will have to switch to "Local" mode during this time and switch back to "Remote" after 10:00PM. SAP Maintenance Window ‐ Every Saturday 6:00pm to 10:00pm ‐ This is the scheduled maintenance window for the SAP System. When possible, planned outages will be scheduled for this time frame. Notification of outages will appear in the above categories Outages for a Specific Business Area or Enterprise‐wide Outages. Corporate Network Maintenance Window ‐ Every Sunday 8:00am to 10:00am ‐ This is the scheduled maintenance window for the City's corporate network and internet access. When possible, planned outages will be scheduled for this time frame. Notification of outages will appear in the above categories Outages for a Specific Business Area or Enterprise‐wide Outages. Notice of outages that will take advantage of the maintenance windows will be announced in the weekly outage notification e‐mailed to members of the outage list. Planned outages are announced two weeks prior to the event. Emergency outages are announced as needed. While efforts are made to communicate the impact of outages directly with the affected customers during the planning phase, it is the responsibility of Operating Departments to read the outage notification, consider the impact to service delivery and other systems maintained by Operating Departments, ask any pertinent questions and raise any issues providing ample time for modification to the outage plan. Network availability calculations will exclude scheduled outages. Scheduled outages that exceed the maintenance window will be included in the network availability calculations. Ticket System The EASD will use software called iStar to track reported items. Operating Departments may also access iStar to report items or track the status of a submitted issue, via Outlook. The iStar system will be used to report and track all EASD supported issues and projects. Operating Department issues will require an iStar ticket that is routed to a designated ITD Support Team member, who will also follow up with an e‐mail and a phone call if the issue is urgent. Reference http://cityweb/Technology/pmao/Pages/BusinessProcessCommittee.aspx for a list of KDC and BPC members. Incident Response/ Restoration For infrastructure system issues, ITD agrees to communicate during incidents per the incident response plan: http://ws‐new/Technology/PSP/Documents/IT_Service_Outage_Incident_Response_Procedure.htm




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Operating Departments agree to ensure they are a part of the ‘outage notifications’ list http://cityweb/technology/isdivision/infrastructure/nsc/pages/outageandeventnotification.aspx. Operating Departments agree to read their e‐mail to ensure they are informed and consider the impact of the outage to service delivery and other systems maintained by Operating Departments. ITD agrees to ensure Operating Departments are part of the voice mail distribution list for use when the e‐mail system is not available. Other IT related policies, standards and procedures can be found at http://cityweb/Technology/PSP/Pages/default.aspx. Some are under review by the ITAT (which is one of the information systems Governance bodies). Specifically one that relates to another portion of the SLA is here http://cityweb/Technology/PSP/Documents/SWHW_Policy.htm System Down Response Time ITD’s goal, for systems it maintains, is to recover downed systems during on‐site hours within two hours of notification. If the Service Level Agreement is not met, the Director will notify the Operating Department Directors with an update via e‐mail, or voice mail if the e‐mail system is not available. For network issues, ITD has staff on‐call and will respond within two (2) hours. Issue Resolution Process

Significant policy issues should be raised through the IT governance model for resolution or direction. Disaster Recovery Plan ITD will maintain a disaster recovery plan, which is available to the Operating Departments. At a minimum, ITD will maintain a Disaster Recovery site (hot or cold) for the SAP system. Operating Departments will be responsible for their business continuity plan. Disaster Recovery Rehearsal ITD will rehearse disaster recovery on an annual basis. Disaster recovery rehearsal will be initiated by the designated Liaisons and in conjunction with all other customers affected by the rehearsal. The Liaisons will ensure the timing is such that key ITD and Operating Departments’ personnel are available. The rehearsal will resemble as close as possible a true disaster in which one node of the cluster fails. Additional disaster recovery components will be added and tested on a yearly basis.




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IT SLA GLOSSARY OF TERMS Term Definition Business Applications Generally any software program that helps a business increase productivity.

CIRT Computer Incident Response Team. The link to the ITD policy and action plan.http://cityweb/Technology/PSP/Documents/IT_Service_Outage_Incident_Response_Procedure.htm

City Net The City of Tacoma institutional network which provides video, voice and data transport to government entities within the City and County.

EASD The Enterprise Applications Support Division of the IT Dept.

ERP ‐ (Enterprise Resource Planning) business software for running every aspect of a company including managing orders, inventory, accounting, and logistics.

GIS (Geographic Information System) captures, stores, analyzes, manages, and presents data that is linked to location.

Infrastructure Support Division

The Infrastructure Support Division in the IT Dept.

IP Address An address in four‐part numerical format that uniquely identifies a computer accessible over a TCP/IP‐based LAN or the Internet. For example, 127.0.0.10.

ITD Information Technology DepartmentLAN Local Area Network NCO Company that provides collection servicesOracle A powerful relational database management system that offers a large feature set. SCCM (System Center Configuration Manager), formerly Systems Management Server (SMS), is a systems

management software product by Microsoft for managing large groups of Windows‐based computer systems. Configuration Manager provides remote control, patch management, software distribution, operating system deployment, and hardware and software inventory.

SharePoint Microsoft's content management system. It allows groups to set up a centralized, password protected space for document sharing.




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SLA (Service Level Agreement) A contract between a service provider and a customer organization. SQL (Structured Query Language) is a database computer language designed for managing data in

relational database management systems TCP/IP (Transmission Control Protocol/Internet Protocol) A networking protocol designed for flexible, high‐

speed communications, used for LANs and the Internet. Topology Physical and logical layout of a networked systemURL (Universal Resource Locator) a string of text that specifies the location of an object accessible

through the Hypertext Transfer Protocol (HTTP), typically a World Wide Web address. VPN (Virtual Private Network) A means of providing secure, remote access into the corporate network. WAN (Wide Area Network) a network of computers sharing servers in multiple locations, such as the

different offices of a large company. See also LAN. Wi‐Fi (Wireless Fidelity) A local area network that uses high frequency radio signals to transmit and

receive data over distances of a few hundred feet; using Ethernet protocol.

LEGAL DEPARTMENT


Legal Department and Community and Economic Development Department

SERVICE AREA

KEY SERVICES EXPECTED PERFORMANCE & MEASUREMENT


1 | P a g e

Administration Leadership and Strategic Direction for Department Coordinate work priorities, policy process development, and consistency in interpretation and advice

Focus on good communication Set and adhere to deadlines

Immediate feedback if needs not met Quarterly review meetings – utilize

client feedback to modify performance if needed

Administration Legislative Process - City Council Agenda

Ensure appropriate procedures and processes are followed with ordinances and resolutions brought to the City Council for approval

Focus on good communication Set and adhere to deadlines CEDD and Legal staff will meet

to set review schedule for any legislation client identifies as complex



Administration Claims Handling and Contract Routing process

Ensure appropriate procedures and processes are followed in a timely manner in claims handling and contract routing

Focus on good communication Set and adhere to deadlines



CEDD and Legal staff will communicate regarding deadlines and workloads to identify “timely” response

Administration Departmental Performance

Appraisal System

Continued development of work plans/goals and utilization of client feedback

Staff will participate in providing feedback



Administration Audit Inquiries and Outside Counsel Contracts Ensure timely and accurate

response to audit inquiries Monitor outside counsel

contracts

Legal staff will provide quarterly status reports on outside counsel contracts





SERVICE AREA



2 | P a g e

Administration Departmental Budget

Maintain and provide budget and accounting information

N/A Immediate feedback if needs not met Quarterly review meetings – utilize


Civil Division Legal Advice and Opinions

Render legal advice and opinions for the City Council, Utility Board, City Manager, Director of Utilities, General Government departments, Department of Public Utilities divisions, and City boards and commissions

Provide a point of contact and back-up for this area of support

Staff will hold periodic meetings to review work programs of departments, boards, and commissions to identify upcoming policies/ decisions that may require Legal support

Identify Legal point of contact



Civil Division Litigation/Claims Represent the City’s legal position in matters which may ultimately be adjudicated by a court, board, or other tribunal

Staff will communicate on a regular basis regarding ongoing litigation/claim matters



Civil Division Training Identify and provide preventative legal services, including internal and external training

Staff will provide at least one training session per year or more often if necessary





SERVICE AREA



3 | P a g e

Civil Division Contract Negotiations, Drafting, and Review Participate in contract negotiations as needed

Draft contracts as needed Review and approve all contracts

Provide a point of contact and backup for this area of support

Identify primary point of contact Meet with staff early in project

negotiations to outline proposed deal structure; troubleshoot as necessary

Meet with staff early in agreement phase to outline scope/intent of agreement

Assist in the development and review of draft agreements



CEDD and Legal staff will coordinate scheduling and prioritization of projects to ensure staffing levels to meet expectations

Civil Division Legislative Drafting and Review Draft and/or finalize, review, and approve all resolutions and ordinances

CEDD and Legal staff will meet to set review schedule for any legislation client identifies as complex



CEDD and Legal staff will coordinate scheduling and prioritization of projects to ensure staffing levels to meet expectations

Civil Division Tacoma Municipal Code

Development and Review Assist in the drafting of new and revised sections of the TMC and review and identify revisions, if needed, to draft codes for consistency and compliance with state and federal laws

Legal staff will become involved in process early in the policy development phase. Legal staff will provide assistance in organization, structure, and language for Code development



Civil Division Community-Based Services Support community-based services as needed

Legal and CEDD staff will maintain communication of needs and expectations





SERVICE AREA



4 | P a g e

Civil Division Cross-Training and Subject Matter Expertise Maintain team-based subject matter structure, allowing for comprehensive coverage/cross training, development of expertise, and increased efficiency of attorney time



Clerk’s Office City Council Agenda Process

Prepare and distribute the City Council agenda and related documents

Staff will provide staff training as needed

Staff will provide notice for public hearings and serve as contact point for citizens providing comments



Training scope and schedule will be agreed upon between CEDD and Legal staff

Clerk’s Office City Council Processes

Prepare notice for public hearings and serve as contact point for citizens providing comment

Clerk’s Office staff will provide CEDD staff with copy of comments received within 24 hours of receipt

Clerk’s Office staff will make process on how and when to submit comments clear and transparent to citizens



Clerk’s Office Staffing of Meetings, Boards, and Commissions Staff City Council meetings, study sessions, and all Council committees, including posting of agendas, minutes, and backup documents on the internet

Staff will maintain communication on needs and expectations





SERVICE AREA



5 | P a g e

Clerk’s Office Tacoma Municipal Code Maintain the Tacoma Municipal Code

Staff will maintain an accurate record of revisions

Staff will keep record of Code as it evolved, e.g., copy of Code that existed before amendment so record of previous version is maintained

Staff will maintain consistency between ordinance as approved and as codified



Clerk’s Office Keyfile Database

Maintain Keyfile database and train new users

Staff will provide periodic training as necessary



Clerk’s Office Claim for Damage Forms,

Appeals, and Other Service of Process

Accept and process claim for damages forms and appeals resulting from the Nuisance Abatement program, and other service of process



Clerk’s Office Contract Processing and Maintenance Process and maintain formal contracts and related documents



Clerk’s Office Special Event Permit Requests

Process special event requests, including coordination with other departments that may be affected

Department representative will be member of event review team





SERVICE AREA



6 | P a g e

Clerk’s Office Public Disclosure Requests Receive and process public disclosure requests for General Government departments

Continue process as currently organized Provide feedback if response not received from CEDD



Clerk’s Office Records Management Administer the records management program for General Government departments



Clerk’s Office Civil Service and Retirement Boards Elections

Conduct Civil Service Board and Retirement Board elections for employee representatives



Clerk’s Office Pierce County Election Process Work in conjunction with Pierce County in the City Council election process



Clerk’s Office Historical Records Research Support City departments in researching historical records

Staff will provide assistance within 24 hours of request




Legal Department and Fire Department

SERVICE AREA



1 | P a g e









Ensure appropriate procedures and processes are followed in claims handling and contract routing



Administration Departmental Performance Appraisal System Continued development of work plans/goals and utilization of client feedback





contracts





SERVICE AREA



2 | P a g e
















Civil Division Contract Negotiations, Drafting, and Review

Participate in contract negotiations as needed

Draft contracts as needed Review and approve all





SERVICE AREA



3 | P a g e

contracts Provide a point of contact and backup for this area of support

Civil Division Legislative Drafting and

Review Draft and/or finalize, review, and approve all resolutions and ordinances






Civil Division Cross-Training and Subject

Matter Expertise Maintain team-based subject matter structure, allowing for comprehensive coverage/cross training, development of expertise, and increased efficiency of attorney time



Clerk’s Office City Council Agenda Process

Prepare and distribute the City Council agenda and related documents



Clerk’s Office Staffing of Meetings, Boards, and Commissions Staff City Council meetings, study sessions, and all Council committees, including posting of agendas, minutes, and backup





SERVICE AREA



4 | P a g e

documents on the internet









Appeals, and Other Service of Process Accept and process claim for damages forms and appeals resulting from the Nuisance Abatement program, and other service of process






Clerk’s Office Special Event Permit Requests Process special event requests, including coordination with other departments that may be affected



Clerk’s Office Public Disclosure Requests

Receive and process public disclosure requests for General





SERVICE AREA



5 | P a g e

Government departments




Clerk’s Office Civil Service and Retirement Boards Elections Conduct Civil Service Board and Retirement Board elections for employee representatives










Legal Department and General Government Departments

SERVICE AREA



1 | P a g e


Meets expectations at this time. Immediate feedback if needs not met Quarterly review meetings – utilize















contracts

Meet with Departments prior to considering retention of outside counsel to review budget impacts and discuss alternate options; involve Departments in creation of RFP, review of bid proposals, and selection of prevailing counsel.

Legal meets with and involves Department staff in preparation of RFP, bid review, and selection. Discussion of budget impacts and options is desirable.





SERVICE AREA



2 | P a g e








Service Requests –

Acknowledge, within one business day, receipt of service request (via phone or email) by return communication indicating with timeframe when request will be worked. Interpretation/Research –

Provide response within three business days. Legal Opinions –

Provide response within two weeks.


Majority of instances, staff communicates receipt of a request from Departments. Communication may or may not include timeframe. Performance is inconsistent. Interpretation/Research –

Staff completes requested research and provides interpretation within timeframe (no gap) Legal Opinions –

No recent requests on which to refer.











SERVICE AREA



3 | P a g e





Three-day turnaround on contracts or amendments based on Legal template.

One week turnaround on contracts or amendments based on contractor-provided template.

Majority of time staff returns completed contracts and amendments within requested timeframe.



Civil Division Legislative Drafting and Review

Draft and/or finalize, review, and approve all resolutions and ordinances







Matter Expertise

Maintain team-based subject matter structure, allowing for comprehensive coverage/cross training, development of expertise, and increased efficiency of attorney time



Clerk’s Office City Council Agenda Process Prepare and distribute the City Council agenda and related documents

Schedule and provide training on Council agenda process upon request; provide assistance (verbal or written) within two business days.

Staff responds timely to requests for training (no gap).

Staff provides assistance within timeframe requested (no gap).





SERVICE AREA



4 | P a g e





















SERVICE AREA



5 | P a g e








Schedule and provide annual training, covering changes to regulations and state guidelines for records retention and disposition to assist in proper management of records

Forward semi-annual reports for department review which indicate archived material that is scheduled for destruction.

Staff responds timely to requests for training, but is not conducted on a routine basis, nor is part of comprehensive records management program.

No archive reports are currently received from the Clerk’s Office.



Will provide requested semi-annual archive destruction reports beginning in January 2010

Will establish a comprehensive records management program









SERVICE AREA



6 | P a g e


Provide search results within two business days.

Staff typically provides research/documents within one day (no gap).




Legal Department and Information Technology Department

SERVICE AREA



1 | P a g e

















contracts

Meet with IT prior to considering retention of outside counsel to review budget impacts and discuss alternate options; involve IT in creation of RFP, review of bid proposals, and selection of prevailing counsel.

Legal meets with and involves IT staff in preparation of RFP, bid review, and selection. Discussion of budget impacts and options is desirable.





SERVICE AREA



2 | P a g e









Acknowledge, within one business day, receipt of service request (via phone or email) by return communication indicating with timeframe when request will be worked. Interpretation/Research –

Provide response within three business days. Legal Opinions –

Provide response within two weeks.


Majority of instances, staff communicates receipt of a request from IT. Communication may or may not include timeframe. Performance is inconsistent. Interpretation/Research –

Staff completes requested research and provides interpretation within timeframe (no gap) Legal Opinions –

No recent requests on which to refer.











SERVICE AREA



3 | P a g e





Three-day turnaround on contracts or amendments based on Legal template.

One week turnaround on contracts or amendments based on contractor-provided template.

Majority of time staff returns completed contracts and amendments within requested timeframe.



Civil Division Legislative Drafting and Review

Draft and/or finalize, review, and approve all resolutions and ordinances







Matter Expertise

Maintain team-based subject matter structure, allowing for comprehensive coverage/cross training, development of expertise, and increased efficiency of attorney time




Schedule and provide training on Council agenda process upon request; provide assistance (verbal or written) within two business days.

Staff responds timely to requests for training (no gap).

Staff provides assistance within timeframe requested (no gap).





SERVICE AREA



4 | P a g e





















SERVICE AREA



5 | P a g e








Schedule and provide annual training, covering changes to regulations and state guidelines for records retention and disposition to assist in proper management of records

Forward semi-annual reports for department review which indicate archived material that is scheduled for destruction.

Staff responds timely to requests for training, but is not conducted on a routine basis, nor is part of comprehensive records management program.

No archive reports are currently received from the Clerk’s Office.




Will establish a comprehensive records management program

Will work with Human Resources and









SERVICE AREA



6 | P a g e


Provide search results within two business days.

Staff typically provides research/documents within one day (no gap).




Legal Department and Police Department

SERVICE AREA



1 | P a g e










Timely notification of claim status through Chief’s Office and coordination with Internal Affairs.

Contracts reviewed as to form and returned for signature within one week of being received.



Claim Status: Monthly status reports will be provided to Chief of Police. The Chief can then disseminate to Internal Affairs as appropriate

Contracts: Legal will communicate expected completion date, volume, or complexity impacts within the one-week deadline

Administration Departmental Performance

Appraisal System Continued development of work plans/goals and utilization of client feedback

Review of proposed changes to internal Performance Management System

Advising on CBA implications and current trends in labor law



Chief will be advised within one week of assessment of need for outside counsel



SERVICE AREA



2 | P a g e



contracts

Advise and consult with the Chief of Police when conflicts of interest or other legal considerations make retaining outside counsel advisable.










Legal staff will acknowledge receipt of service request within one business day

Staff will communicate when the requested service will be needed to the Legal advisor, and every effort will be made to respond within that timeframe




Legal staff will keep Chief of Police informed of litigation/claim status and prepare personnel for depositions/testimony as needed



Monthly status reports will be provided Pre-deposition/trial meetings will be

held, as necessary



SERVICE AREA



3 | P a g e

Civil Division Training

Identify and provide preventative legal services, including internal and external training

Legal staff will address changes in case law through bulletins and turn-out trainings



Civil Division Contract Negotiations, Drafting, and Review Participate in contract negotiations as needed



Legal staff will keep management informed and updated on contract proposals

Legal staff will work with department representative to come to agreed-upon negotiation strategy



Civil Division Legislative Drafting and Review Draft and/or finalize, review, and approve all resolutions and ordinances







Matter Expertise Maintain team-based subject matter structure, allowing for comprehensive coverage/cross training, development of expertise, and increased efficiency of attorney time





SERVICE AREA



4 | P a g e




Clerk’s Office Staffing of Meetings, Boards, and Commissions

Staff City Council meetings, study sessions, and all Council committees, including posting of agendas, minutes, and backup documents on the internet



Clerk’s Office Tacoma Municipal Code

Maintain the Tacoma Municipal Code








Appeals, and Other Service of Process Accept and process claim for damages forms and appeals resulting from the Nuisance Abatement program, and other service of process








SERVICE AREA



5 | P a g e


Staff will work closely with Police Department Special Event Sergeant to ensure events are properly reviewed and permitted.







Staff will schedule and provide training covering changes to records management and/or retention

Staff will forward semi-annual reports for department review, indicating which archived materials are scheduled for destruction

No archive reports are currently received from the Clerk’s Office




Records training is underway









SERVICE AREA



6 | P a g e





Legal Department and Tacoma Public Utilities

SERVICE AREA



1 | P a g e

Civil Division/ TPU Office

Legal Advice and Opinions

Provide legal advice and opinions for the Utility Board, Director of Utilities, and Department of Public Utilities operating divisions

Accurate and timely legal advice provided in a format suitable to the expected audience

Advice will answer questions posed

Attorneys will provide advice in a professional and courteous manner

Attorneys will abide by all professional ethics and confidentiality rules when providing advice

Attorneys will be available on-site at the TPU buildings during normal business hours to provide advice

Expectations being met








Utility Board Draft all resolutions and

motions for regular and special board meetings and approve for form and legality

Attend all Board study sessions, regular and special meetings, and advise on all matters related to rules, procedures, and processes

Provide formal legal opinions regarding the legality of Utility Board actions

Utility Board legislation will be prepared accurately, timely, and in accordance with all applicable laws and rules

“Timely” means final version of all legislation shall be provided to the Board Clerk according to the Clerk’s schedule

Attorney shall attend all Board study sessions, regular meetings, and special meetings

Attorney shall be knowledgeable of the rules, procedures, and processes of the Utility Board

Attorney shall provide accurate and timely advice to the Board regarding its actions










SERVICE AREA



2 | P a g e


Litigation Representation Represent TPU in all claims,

suits, and actions filed against the Utility in any courts, tribunals, boards, etc.

Process, prosecute, and pursue collection of all claims in favor of TPU;

Monitor special legal counsel contracts

Attorney will formally appear and represent TPU in all claims, suits, or actions filed against the Utility

Attorney will zealously defend the Utility within the bounds of the professional code of ethics

Attorney will regularly communicate with and keep client informed of the status of litigation, including the preparation of a monthly status report to the Board of all TPU-related litigation

Attorney shall inform and obtain client approval on all significant matters related to the litigation, such as risk assessment, strategy, costs, and potential outcomes

Attorney shall monitor and act as liaison between TPU and all outside special legal counsel contracts, which also includes preparing RFPs and contracts, tracking expenditures, paying invoices, and reviewing work product










SERVICE AREA



3 | P a g e


Contracts Draft, review, and approve

contracts, bonds, franchises, insurance agreements, purchase and sale agreements, easements, and other instruments

Prepare standardized contracts and procedures that can be used by departments with minimal assistance by Legal staff


Routine requests for statement of services contracts, professional services contracts, and supply contracts should be drafted, reviewed, and/or approved within the timeframe requested by the client (or 5 business days of receipt of no timeframe requested)

Draft, review, and approval of non-standard contracts or vendor-provided forms should be completed within the timeframe requested (or approximately 10 business days of receipt if no timeframe requested)

Attorneys should be available to participate in contract negotiations as needed by the client

Contract request process should be accurate, timely, and efficient and meet the needs of both the client and the requirements of the law

Attorneys should provide contract services in a professional and courteous manner

Requests for contracts should be logged and tracked by Legal support staff





Expectations being met; however, improvements to the contracting processes are being made to allow clients greater ease in the use of standard forms (including pre-approved forms, drop-down boxes with client-specific choices, forms linked to client IDs, etc.)






SERVICE AREA



4 | P a g e


Bankruptcy

Represent TPU in all claims, suits, and actions filed in bankruptcy courts and defend TPU interests

Review, process, and pursue collection of all claims in favor of TPU

Manage special legal counsel contract required to pursue out-of-state claims

Attorneys and support staff will work with and train Customer Service staff regarding appropriate procedures for processing bankruptcy matters

Attorneys will communicate with Customer Service management regarding the costs and risks associated with processing and pursuing collection of outstanding claims in bankruptcy

See also expectations associated with litigation representation


Expectations being met; however, due to increasing volumes, it is unlikely that Legal will be able to maintain timeliness in this area without additional resources, or else it will impact all service areas





Claims Review Processing

Review and approve all

settlements and payments of claims against TPU

Prepare settlement and release of claims documents

Provide legal advice to claims manager

Legal staff shall log all claims submitted by the TPU claims manager for review by an attorney

Attorney should review the submitted claims within 5 business days of receipt and provide advice as to course of action

Attorney signature of approved settlements should occur within the following timetable: <$4,000 - Within 5 business days $4,000-$10,000 - Within 7 business days $10,000-$30,000 – Attorney memo draft to Director requesting approval created within 10 business days >$30,000 – Requires Board and Council approval, so variable

Same expectations for providing legal advice (accurate, timely, professional, courteous)









SERVICE AREA



5 | P a g e


Management Meetings

Attend Department and operating division management meetings

Attorneys should attend leadership meeting, management meetings, and operating division meetings upon request

Attorneys should provide accurate and timely legal advice






Director’s Office Clerical Support Provide backup clerical support for the Director’s administrative staff and the Board clerk

Provide backup clerical support for the Director’s administrative staff and the Board clerk on emergency/as-needed basis

Expectations being met Immediate feedback if needs not met Quarterly review meetings – utilize


PERMITTING SERVICES


Permitting Services



1

Administration Financial Management

The process of managing the financial resources, including accounting and financial reporting, budgeting, collecting accounts receivable, and risk management.

Activity Based Costing – Develop activity based cost model for permitting process to assess true cost of services. Measurement Annual reporting under ICMA code enforcement module, quarterly review under service level agreements

Aggregate budget ‐ Currently service providers operate from an aggregate budget and do not automatically know the costs of individual services. As such, information is not available on all of the expenditure that accrues to an activity, or the permitting process as a whole.

Develop activity based cost model for permitting process to assess true cost of services. Activity Based Costing is an accurate method of cost management, which traces rather than allocates costs to a particular output. Service providers are required to make a distinction between costs that are allocated as an overhead, and charges based on a customer usage. Usage charges are based on the user’s consumption and encourage the customer to make savings. Currently service providers operate from an aggregate budget and do not automatically know the costs of individual services. As such, information is not available on all of the expenditure that accrues to an activity, or the permitting process as a whole. Accurate cost management will facilitate policy refinement of pricing strategies. Pricing strategies depend on city policy and may vary between service providers. Some service providers may require full cost recovery. Others may require that subsidies are made transparent. Where there is flexibility, some service providers may elect


Permitting Services



2

charge premiums for priority service. Service Level Agreements will be used as a means to coordinate billing and payment for activity based costs and pricing strategies.

Administration Business Process Management Process management focused on aligning all aspects of service with the wants and needs of the customer. The customer broadly defined, in the permitting process, as inclusive of both the project proponent and community as a whole. Business process management promotes business effectiveness and efficiency while striving for innovation, flexibility, and integration with technology. Business process management attempts to improve processes continuously and change capability. Process Design encompasses both the identification of existing

Coordinated development services across multiple departments and divisions. Continue work on process design to improve business effectiveness, efficiency and change capability. Design process flow around Tacoma Municipal Code thresholds and review triggers. Continue to develop work flow diagrams, collaboration tools, content management, and process analytics. Near term – Continue work on implementation of electronic plan review process. Measurement Customer satisfaction survey, focus groups, technical advisory committee, quarterly review of service level agreements, annual reporting under ICMA

Traditional hierarchical management approach by division and department, rather than across process. Paper, largely sequential, document review process.

Coordinate cross functional effort, through service level agreements between BLUS and service providers, identified in Appendix A, to design and implement an electronic plan review process, that improves performance, facilitates remote collaboration, and improves customer access Work flow architecture based on Tacoma Municipal Code thresholds, triggers, and authorities. Electronic workflow developed through development of management methods for automation and optimization of existing interoperable software, including:

SAP ‐ business partner and financial transactions

GIS ‐ geographic information management

Liquid Office ‐ document creation and auto‐fill, management of data


Permitting Services



3

processes and the design of "to‐be" processes. Areas of focus include representation of the process flow, participants, alerts & notifications, escalations, Standard Operating Procedures and Service Level Agreements.

flow between review process and external data sources ( SAP and GIS), workflow routing, notifications, and measurement

AutoVue(or similar) ‐ remote collaboration and document markup

Meredio ‐ document ingestion, retrieval, version control, retention, and destruction.

Administration Management Information System Management Information System‐ A planned system of the collecting, processing, storing and disseminating data in the form of information needed to carry out the functions of permitting. A system of people, equipment, and procedures to gather, sort, analyze, evaluate, and distribute needed, timely, and accurate information to permitting decision makers

Continue the development of a management information system to support permitting decision makers, records management, and information management methods tied to process automation. Near term ‐ Electronic content management system – Standardized system to manage information and public records for permitting process, including: electronic form creation, data capture, routing; disclosure, retention and destruction of public records made or received in connection with the transaction of public business, in accordance with RCW 40.14). Work is closely related to the development of an

No planned system of collecting, processing, storing, and disseminating data in the form of information to carry out the functions of permitting decision making, documentation of activities planned and executed, or automation of routine processes. Current system largely consists of tracking business partner transactions through SAP and a Paper based document management system, distributed across multiple service providers. Current record retention system has no coordinated mechanism for automated record destruction or query. Long term

Coordinate cross functional effort, through service level agreements between BLUS and other service providers, to implement a Management Information System (MIS) to support collecting, processing, storing, and disseminating data in the form of information to carry out the functions of permitting decision. Near term focus on the implementation of an Electronic Content Management System (ECMS) for the code administration and enforcement process. Project scope includes:

Data capture during development review, permit review and inspection.

Form creation, version control,


Permitting Services



4

electronic plan review process. Measurement Quarterly review of service level agreements

archival of paper records occurs in off‐site facilities with no systematic means to distinguish records that have archival value from those that don’t. According to State Archivist, only 2‐5% of records typically have archival value, therefore, +95% of records currently archived off‐site may not be of archival value. Lack of standardized system for information management also complicates and adds costs in responding to public disclosure requests.

routing and notifications using Liquid Office

Record retention and destruction using Meredio

Work is closely related to development of an electronic plan review process under Business Process Management.

Administration Emergency Management Dealing with and avoiding risks. The effort involves preparing for disaster before it occurs, disaster response and supporting, and rebuilding of the community after a catastrophic event.

Emergency Management Plan (EMP) ‐Emergency Support Function 3, rapid assessment of structures after a catastrophic event. Continuity of Operations Plan (COOP) ‐ Established plan for the survival of development services in the case of a catastrophic event. Commercial Occupancy Resumption Program (CORP) ‐ Established program for the resumption of commercial occupancy (Commercial Occupancy Resumption Program) following a catastrophic event.

Emergency Management Plan (EMP), Emergency Support Function 3, rapid assessment of structures after a catastrophic event. No established plan for the survival of development services in the case of catastrophic events (Continuity of Operations Plan). No established program for commercial occupancy resumption following a catastrophic event.

Work with internal and external stakeholders to prepare plans providing for survival of development services in the case of catastrophic events (COOP) and a Commercial Occupancy Resumption Program (CORP) to allow Tacoma building owners to precertify private post‐earthquake inspection of their buildings by qualified engineers upon BLUS acceptance of a written inspection program. Design of COOP to be done utilizing FEMA resource documents and standards, CORP to be modeled after similar programs in San Francisco, Los Angles and elsewhere. Service Level Agreements will be used as a means to


Permitting Services



5

Measurement Quarterly review under service level agreements

coordinate the work and to specify roles, responsibilities, and shared arrangements.

Administration Program Management and Clerical Support Management and clerical support distributed across multiple areas providing direct program support. Includes management of in‐house and contract services and appeals through the Board of Building Appeals (Title 2), Hearing Examiner (Title 13) and Hearing Officer (Title 8).

Integrated management approach with establishment of specific service level goals across all service areas commensurate with available resources

Traditional hierarchical management approach by service area.

Continue to work with internal and external stakeholders to specify service levels across all service areas. Integrate, consolidate, align and streamline services through service level agreements and standard operating procedures.

Permits, Land Use, Plan Review

Code Development

A cross functional effort to provide support for new policies and regulations affecting the built environment, including:

In‐depth assessment of proposed code changes, including, conflict analysis and mitigation analysis for existing

Led by Departmental Sponsor, focused on legislative process, implementation and, code administration. Proactive, cross functional support, for conflict analysis and implementation planning, concurrent with legislative process. Continuing cross functional support for code implementation and refinement,

Led by Departmental Sponsor, focused onlegislative process and schedule. Reactive conflict analysis and implementation planning after legislative process is completed. Applies to all portions of Code Development in SLA ‐ No universally defined process for various code development processes which leads to

Coordinate cross functional effort, through service level agreements between BLUS and service providers identified in Appendix A, to support proactive code development, Service level agreements will be used as a means to specify roles, responsibilities, shared arrangements, and expected performance. The agreements will be reviewed quarterly and updated as necessary to reflect changes in the


Permitting Services



6

regulations, standards, processes and practices.

Implementation planning, including customer outreach and development of customer assistance documents and tools

Code implementation, including modification of existing standards, processes and practices to comply with new regulations and legislative intent.

Code refinement through the development of administrative policies and periodic code updates.

after code is adopted. some effected departments not receiving time to review or provide input often times resulting in conflicting code requirements.

legislative agenda and performance expectations. Specific areas of code development requiring cross functional support and coordination, include,

Comprehensive Policy Plan Development

Building Code (TMC Title 2) Fire Code (TMC Title 3) Land Use Regulatory Code (TMC

Title 13) Infrastructure Standards (below

ground, above ground, and surface; both private property and right‐of‐way)

Right of way standards Surface Water Management

Standards.


Development and Permit Review

Development Review: All reviews completed regardless

Concurrent review by cross functional teams, organized around business process. Continuous improvement supported through improvements in the management

Review by subject matter experts, organized by discipline. Traditional hierarchical management approach. Paper, largely sequential, document

Develop service level agreements to reorganize around the review process, rather than by discipline. Use service level agreements to promote cross functional


Permitting Services



7

of whether the development is permitted. For clarification, development review does not include permit review.

Permit Review: Administrative review of permit applications for compliance with Tacoma Municipal codes and ordinances and permit issuance.

of information and the business process. Near Term – Full implementation of Permit Center. Measurement Customer satisfaction survey, focus groups, technical advisory committee, quarterly review of service level agreements, annual reporting under ICMA

review process.

coordination and set service expectations. Effort includes creation of a Permit Center to:

Serve as a point of contact and administrative authority for development permitting

Act as a control point for all submittals

Establish better review protocols, and clearer standards for code application, including greater use of checklists and flow charts

Promote cross functional coordination through collocation of subject matter experts

Expand over the counter services through collocation and consolidation of review for issues like rights‐of‐way use and General Government utilities.

Service Level Agreements, between BLUS and service providers identified in Appendix A, will be used to consolidate, simplify and standardize business processes and develop shared service arrangements, particularly in handling routine transactions.


Permitting Services



8


Permit Inspection‐ Development ‐ Physical on‐site checking for compliance with development requirements, including, but not limited to, new subdivisions, minor subdivisions, major subdivisions, plats, off‐site improvements, protection of natural and cultural resources. Ministerial permitting – Physical on‐site inspection for compliance with a given permit category, including, but not limited to commercial, residential, tenant improvements, signs, electrical, plumbing, mechanical and demolition. Project phases – Physical on‐site inspection for compliance at various project phases, including, but not limited to, footings, foundations, , framing, heating, insulation, final interior, final exterior.

Continue efforts to promote cross functional expertise. Support Continuous improvement through improvements in the management of information and the business process. Measurement Customer satisfaction survey, quarterly review of service level agreements, annual reporting under ICMA

Subject matter experts organized by discipline.

Improved training to promote cross functional expertise, particularly in handling routine inspections. Establish better inspection protocols, and clearer standards for code application, including greater use of checklists and hand held mobile electronic devices for better information access in the field.


Permitting Services



9

Code Enforcement

Code Compliance Housing Code Violations – code violations falling under local housing ordinance (TMC Title 2). Typical violation areas include, but are not limited to structural deficiencies, unsanitary housing conditions, trash and debris problems, HVAC, minimal space, paint, weatherization, plumbing, electrical, etc. Dangerous Building Code Violations‐ Code violations that endanger the life, limb, health, morals, property, safety, or welfare of the general public. Additionally, the building or structures occupants may be required to repair, vacate, or demolish the buildings/structures. Zoning Code Violations – code violations falling under local zoning ordinance (Title 13) and codes regulating land use. Nuisance Violations – code violations falling under the local

Continue efforts to promote cross functional expertise. Support Continuous improvement through improvements in the management of information and the business process. Continue efforts to promote proactive inspection and community awareness to provide better protection of the environment. Measurement Customer satisfaction survey, focus groups, technical advisory committee, quarterly review of service level agreements, annual reporting under ICMA

Subject matter experts organized by discipline, complaint based process, focused on compliance versus protection.

Develop alternative process, with stakeholder input, to provide proactive inspection for greater protection of structures and prevent deterioration into such disrepair that tenants have to be evicted and structures demolished. Improved training to promote cross functional expertise, particularly in handling routine inspections. Establish better inspection protocols, and clearer standards for code application, including greater use of checklists and hand held mobile electronic devices for better information access in the field. Expand the use of post cards and proactive notices.


Permitting Services



10

nuisance ordinance (TMC Title 8). Violations include, but are not limited to, weed lots, junk lots, graffiti, and abandoned autos. Other violations – code violations not included in previous categories. Violations include, but are not limited to, tax and license code, fire code, sign code, dangerous sidewalks, etc.

Service Level Agreement Appendix A

Permitting Services

DEPT DIVISION SERVICE AREA KEY SERVICES DESCRIPTION EXPECTED

PERFORMANCE & MEASUREMENT*

CURRENT PERFORMANCE

PLAN TO REACH EXPECTED

PERFORMANCE*

TMC

Appendix A 1 *Unless otherwise noted, expected performance, measurement, and plan to reach expected performance, for individual services listed in Appendix A, are the same as those listed for the associated “Key Service” in the Permitting Service Level Agreement.

PW BLUS Administration Business Process Management

Realign the process to promote business effectiveness and efficiency, while also incorporating the wants and needs of the customer. Areas of focus include representation of the process flow, participants, alerts & notifications, escalations, Standard Operating Procedures and Service Level Agreements (Integrated Permit Management System Fund)

Work on process design to improve business effectiveness, efficiency, change capability and technology integration. Develop process flow around TMC code thresholds and review triggers. Use Service Level Agreements to manage and measure performance.

Traditional hierarchical management approach, with paper-based sequential document review process.

2.09.040

PW BLUS Permits, Land Use Plan, Review

Code Development

Board of Building Appeals. Advisory Board required to provide guidance to BLUS for the application of the Building, Plumbing, Mechanical, Energy and other codes. And, to hear appeals of interpretations.

Maintain current performance Acceptable 2.17, 2.02, 2.06, 2.07, 3.02, 2.11, 2.01


Code Development

Code Development - Building Code Develop code amendments to the adopted construction codes for the City of Tacoma. Work with local (Board of Building Code Appeals), state (State Building Code Council, SBCC), (Washington Association of Building Officials, WABO) and national code (International Code Council, ICC) code developers.

June 2010 update required under state law

Acceptable 2.02


Code Development

Code Development - Minimum Building Code. Changes to dangerous building code

June 2010 update Acceptable


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Total Building, Mechanical, Plumbing, Energy Code and other reviews required in TMC Title 2 and Includes Fire Review, Except for Fire Sprinklers and Alarms

68 days 75 days TMC Title 2


Complex Plan Review

Development Review - Binding Site Plan. Review and decision issuance for binding site plan.

30 days 30 days 13.04.088


Complex Plan Review

Development Review - Boundary Line Review. Review and decision issuance for minor alteration in the location of lot boundaries of an existing lot.

30 days 30 days 13.04.085


Complex Plan Review

Development Review - Conditional Use 120 days 120 days 13.08.640


Complex Plan Review

Development Review - Exemption 30 days 30 days 13.10.210


Complex Plan Review

Development Review - New Subdivision (major). Review and decision issuance for division of land into 5 or more lots (preliminary).

90 days 90 days 13.04.100


Complex Plan Review

Development Review - New Subdivision (major). Review and decision issuance for division of land into 5 or more lots (preliminary). Review and decision issuance for division of land into 5 or more lots (final plat).

45 days 45 days 13.04.100


Complex Plan Review

Development Review - New Subdivision (minor). Review and decision issuance for division of land into 4 or fewer lots

30 days 30 days 13.04.090


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Development Review - Project Scoping. Review of existing or new buildings, structures, and land improvements which may include information such as maps for topographic, traffic impact, utility services, storm drainage, common open space, parks, parkways, public uses, density, open areas around buildings and structures, and architectural, landscaping and design feathers. This is not an exhaustive list. Plans may also include stages of projects; along with agreements, provisions or covenants that govern the use, maintenance and continued protection of the development and any of its common open spaces. For clarification, this does not include review of materials for building permits.

Maintain current performance Acceptable


Complex Plan Review

Development Review - Revision 14 days 14 days 2.02


Complex Plan Review

Development Review - Shoreline Substantial Development

120 days 120 days 13.10.005


Complex Plan Review

Development Review - Shoreline Waiver 120 days 120 days 13.06.645


Complex Plan Review

Development Review - Shoreline Permit Extension

30 days 30 days 13.06.645


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Development Review - Site Approval 120 days 120 days 13.06.140


Complex Plan Review

Development Review - Special Development Permit

120 days 120 days 13.05.030


Complex Plan Review

Development Review - Variance 120 days 120 days 13.06.645


Complex Plan Review

Development Review - Wetlands Assessment Permit

30 days 120 days 13.11.300


Complex Plan Review

Development Review - Wetlands Delineation Verification

120 days 120 days 13.11.300


Complex Plan Review

Development Review - Zoning Change 120 days 120 days 13.06.650


Complex Plan Review

Permit Review - Mechanical Code. Plan review for the construction or alteration of an improvement for compliance with the International Mechanical Code and International Fuel Gas Codes, as amended by the State of Washington and the City of Tacoma.

10 days 10 days 2.07


Complex Plan Review

Permit Review - - Plumbing Code. Plan review for the construction or alteration of an improvement for compliance with the Uniform Plumbing Code, as amended by the State of Washington and the City of Tacoma.



Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review - Clearing Grading Code review 45 Days 52 Days 2.02.370


Complex Plan Review

Permit Review - Commercial Building Code. Plan review for the construction or alteration of an improvement for compliance with the International Building Code, as amended by the State of Washington and the City of Tacoma.

45 Days 52 Days 2.02


Complex Plan Review

Permit Review - Demolition 85% Over the Counter, 15% up to 21 Days

85% Over the Counter, 15% up to 21 Days

2.02


Complex Plan Review

Permit Review - Environmental Code. Plan review for the construction or alteration of an improvement for compliance with the Environmental Code. Ensure compliance with state environmental policy act (SEPA), proper public notice procedures, mitigation, and application of required mitigation. Administration and public information center.

45 days or follows other permit timeline

45 days or follows other permit timeline

13.05.030


Complex Plan Review

Permit Review - Flood Plain Code. Plan review for the construction or alteration of an improvement for compliance with the Flood Plain Ordinance. Mandatory program if flood insurance is to be available. Congress established the National Flood Insurance Program (NFIP) with the passage of the National Flood Ins Act



Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review - Residential Building Code. Plan review for the construction or alteration of an improvement for compliance with the International Residential Code, as amended by the State of Washington and the City of Tacoma.



Complex Plan Review

Permit Review - Waterfront Structures and Marinas Code



Complex Plan Review

Permit Review -Energy and Ventilation Code. Plan review for the construction or alteration of an improvement for compliance with the Washington State Energy Code and Ventilation and Indoor Air Quality Code, as amended by the City of Tacoma


PW BLUS Administration Emergency Management

Develop and maintina Emergency Management Plan (EMP), Continuity of Operations Plan (COOP) and Commercial Occupancy Resumption Program (CORP)



Flood Plain Management Maintain current performance Acceptable


System Management - Strong Motion Instrumentation Fund. Earthquake monitoring equipment on downtown buildings, earthquake preparedness activities. Funded thru a portion of permit proceeds of building permits. Funds .5 of Fire Dept. Safety Officer and some BLUS related staff time.

Maintain current performance Acceptable 2.02.1000 2.09.040.


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC


PW BLUS Administration Financial Management

Manage financial resources for cost centers associated with Service Order permitting review, including accounting and financial reporting, budgeting, collecting accounts receivable and risk management.

Manage costs based on activity based costing, refine pricing strategies based on cost model, manage performance via service level agreements.

Operating on aggregate budget.

1.06, 2.01, 2.09.040

PW BLUS Administration Financial Management

Manage financial resources for cost centers associated with code compliance Notifications. This includes creating Work Orders for reimbursable costs associated with these cases and managing civil penalty billings.

Manage performance via service level agreements; Work toward full cost recovery for code enforcement cases

Operating on aggregate budget; Work Orders created in SAP

1.06, 2.01, 2.09.040

PW BLUS Administration Management Information System

Standardized system that manages information and public records for permitting process. This includes administration and coordination for microfilming of electronic documents in E-Vault, as-builting, scanning and injestion of private Work Order, City projects permitting small documents, and facility drawings into E-Vault.

Support the implementation of the ECMS for code administration and enforcement process using electronic plan review, Liquid office and Meridio.

Current system is paper based and has no coordinated mechanism for automated record destruction or query of retained records.

PW BLUS Administration Management Information System

Development of a management information system related to code threshold requirements to support permitting decision makers.

Coordinate cross function effort through service level agreements to implement a management information system.

Current system largely consists of tracking business partner transactions through SAP and no planned system for processing, storing and disseminating data.


Permit Center Development Review - ADU. Plan review for code compliance for building and land use codes for accessory dwelling units

over the counter over the counter Permit Center will be fully functional in January 2010 and this is the expected performance.

13


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Center Development Review - Off-Site Improvement. Review Panel meeting with report issued to applicant

14 days 30 days Permit Center will be fully functional in January 2010 and this is the expected performance.

2.02.380


Permit Center Development Review - Project Scoping. Review of existing or new buildings, structures, and land improvements which may include information such as maps for topographic, traffic impact, utility services, storm drainage, common open space, parks, parkways, public uses, density, open areas around buildings and structures, and architectural, landscaping and design feathers. This is not an exhaustive list. Plans may also include stages of projects; along with agreements, provisions or covenants that govern the use, maintenance and continued protection of the development and any of its common open spaces. For clarification, this does not include review of materials for building permits.



Permit Center Permit Review - Post card notice preparation and distribution


13


Permit Center Development Review - Zoning Verification. Plan review for building and land use to determine compliance with zoning code with issuance of a letter


13


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Center Inspection and Development Review - Wetland Verification. Inspection and review to determine potential for development to affect critical areas


13


Permit Center Permit Review - Mechanical Code. Plan review for the construction or alteration of an improvement for compliance with the International Mechanical Code and International Fuel Gas Codes, as amended by the State of Washington and the City of Tacoma.


2.07


Permit Center Permit Review - - Plumbing Code. Plan review for the construction or alteration of an improvement for compliance with the Uniform Plumbing Code, as amended by the State of Washington and the City of Tacoma.


2.06


Permit Center Permit Review - Commercial Building Code. Plan review for the construction or alteration of an improvement for compliance with the International Building Code, as amended by the State of Washington and the City of Tacoma.


2.02


Permit Center Permit Review - Demolition over the counter over the counter Permit Center will be fully functional in January 2010 and this is the expected performance.

2.02


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Center Permit Review - Flood Plain Code. Plan review for the construction or alteration of an improvement for compliance with the Flood Plain Ordinance. Mandatory program if flood insurance is to be available. Congress established the National Flood Insurance Program (NFIP) with the passage of the National Flood Ins Act


2.12


Permit Center Permit Review - Growth Management. Administer procedure for all land use permits, revisions to permits. Follow established public notice procedures and adhere to established timelines. Includes decision making on certain discretionary permits.


13.05


Permit Center Permit Review - Historic Preservation Code 14 days + landmarks review 14 days + landmarks review

Permit Center will be fully functional in January 2010 and this is the expected performance.

13.07


Permit Center Permit Review - Noise Code Over the counter Over the counter Permit Center will be fully functional in January 2010 and this is the expected performance.

8.122.090


Permit Center Permit Review - Residential Building Code. Plan review for the construction or alteration of an improvement for compliance with the International Residential Code, as amended by the State of Washington and the City of Tacoma.


2.02


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Center Permit Review - Sign Code 14 days 14 days Permit Center will be fully functional in January 2010 and this is the expected performance.

13.06.520


Permit Center Permit Review - South Tacoma Groundwater Protection District


13.09.050


Permit Center Permit Review - Waterfront Structures and Marinas Code


2.13


Permit Center Permit Review - Zoning Code 14 days 14 days Permit Center will be fully functional in January 2010 and this is the expected performance.

13.06 & 13.06A


Permit Center Permit Review -Energy and Ventilation Code. Plan review for the construction or alteration of an improvement for compliance with the Washington State Energy Code and Ventilation and Indoor Air Quality Code, as amended by the City of Tacoma


2.11


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Counter Customer Service: Front line customer services - lobby, phone, internet. Greeting, routing, assistance - explain processes, look up case information, provide divisional information in line with levels of authority. Research customer and staff inquiries through various software and file systems. Standardize divisional communications through templates and standard practices. Approximately 1,100 lobby customer, 3,000 phone contacts, and thousands more email contacts monthly.

Over the counter Over the counter 1.06


Permit Counter Development Review fee collection - Land Use Applications

Over the counter Over the counter 2.09.170


Permit Counter Fee collection & permit issuance - Special Motor Vehicle Permit



Permit Counter Fee collection & permit issuance - Hazardous Sidewalk Replacement



Permit Counter Fee collection & permit issuance - Miscellaneous Trench



Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Counter Fee collection & permit issuance - Parking Lot Paving



Permit Counter Fee collection & permit issuance - Storm Sewer Over the counter Over the counter 10.22


Permit Counter Fee collection & permit issuance - Utility Over the counter Over the counter 10.22


Permit Counter Fee collection & permit issuance - Work Order Over the counter Over the counter 10


Permit Counter Fee collection & permit issuance -Banners/Streamers



Permit Counter Permit application and routing services Over the counter Over the counter 2, 3, 9, 10, 12 and 13


Permit Counter Permit customer assistance Over the counter Over the counter 2, 9, 10, 12, 13


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Counter Permit issuance & fee collection - Barricade Over the counter Over the counter 2.09.120


Permit Counter Permit issuance & fee collection - Billboards Over the counter Over the counter 2.09.110


Permit Counter Permit issuance & fee collection - Commercial Demolition

Over the counter Over the counter 2.09.050 Tbl 1


Permit Counter Permit issuance & fee collection - Commercial Grading & Filling



Permit Counter Permit issuance & fee collection - Driveways Over the counter Over the counter 2.09.120


Permit Counter Permit issuance & fee collection - Fire Protection



Permit Counter Permit issuance & fee collection - Mechanical Over the counter Over the counter 2.09.070


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Counter Permit issuance & fee collection - Move Building



Permit Counter Permit issuance & fee collection - Overtime Parking



Permit Counter Permit issuance & fee collection - Residential Plumbing



Permit Counter Permit issuance & fee collection - Sanitary Sewer Connection



Permit Counter Permit issuance & fee collection - Signs Over the counter Over the counter 2.09.090


Permit Counter Permit issuance & fee collection - Single Family Dwelling



Permit Counter Permit issuance & fee collection - Tree Planting Over the counter Over the counter 2.09.120


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Counter Permit issuance & fee collection - Water Service



Permit Counter Permit reporting. Reporting of permit activity to a number of agencies, including ICMA, US Census Bureau, CEDD, FEMA, Insurance Rating and other agencies and departments.

Monthly and upon request Monthly and upon request 2.09


Permit Counter Verification of City and State licensing for permitees. Permit Specialists verify licensing information prior to issuing permits. Verify every contractor has a current Sate of Washington Contractor's License and any special City of Tacoma Licenses prior to issuing permits.

Over the counter Over the counter 6B


Permit Counter Work Order and Permit bond management. Per Tax & License requirements, the permit specialist group collects and manages bonds for ROW permits. Manage Street Obstruction Bonds, Assignments In Lieu Of Street Obstruction Bonds. Verify that customers have required bonds before issuing permits.

over the counter Over the counter 6B


Permit Inspection

Grading & Filling 1 day after request 1 day after request


Permit Inspection

Move building 1 day after request 1 day after request


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

Accessory dwelling units 1 day after request 1 day after request


Permit Inspection

Demolition 1 day after request 1 day after request


Permit Inspection

Fee collection & permit issuance. Permit fees collected for all services included in fee code. 1-1/2 permit specialists are paid for by Environmental Services. Accurately calculate and collect fees for Building Permits, Land Use Permits, Construction Permits, Sewer Permits, Traffic Permits, Maps and Copies.

1 day after request 1 day after request 12


Permit Inspection

Groundwater protection district 1 day after request 1 day after request


Permit Inspection

Historic Preservation 1 day after request 1 day after request


Permit Inspection

Inspection - Adult family home inspections 1 day after request 1 day after request


Permit Inspection

Inspection - Critical Areas 5 days 5 days 13.11.130


Permit Inspection

Inspection - Critical Areas 30 days 30 days 13.11.130


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

Inspection - Energy and Ventilation. Inspection for compliance with the Washington State Energy Code and Ventilation and Indoor Air Quality Code, as amended by the City of Tacoma

1 day after request 1 day after request 2.11


Permit Inspection

Inspection - Flood Plain. Inspection for compliance with the Flood Plain Ordinance. Mandatory program if flood insurance is to be available. Congress established the National Flood Insurance Program (NFIP) with the passage of the National Flood Ins Act



Permit Inspection

Inspection - Mechanical. Inspection for compliance with the International Mechanical Code and International Fuel Gas Codes, as amended by the State of Washington and the City of Tacoma.



Permit Inspection

Inspection - Plumbing. Inspection for compliance with the Uniform Plumbing Code, as amended by the State of Washington and the City of Tacoma. 2008 Numbers: 7,988 Plumbing Inspections



Permit Inspection

Inspection - Waterfront Structures and Marinas 1 day after request 1 day after request 2.13


Permit Inspection

Landscaping 1 day after request 1 day after request


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

Permit Inspection - Building. Inspection for compliance with the International Building Code, as amended by the State of Washington and the City of Tacoma. 2008 Numbers: 3,142 Commercial Building Inspections



Permit Inspection

Permit Inspection - Residential Building Code. Inspection for compliance with the International Residential Code, as amended by the State of Washington and the City of Tacoma. 2008 Numbers: 9,062 Residential Building Inspections.



Permit Inspection

Sign Code 1 day after request 1 day after request


Permit Inspection

Zoning Code 1 day after request 1 day after request

PW BLUS Administration Program Management and Clerical Support

Management and clerical support distributed across multiple areas providing direct program support. Includes management of in-house and contract services and appeals through the Board of Building Appeals (Title 2), Hearing Examiner (Title 13) and Hearing Officer (Title 8).

Management and clerical support distributed across multiple areas providing direct program support. Includes management of in-house and contract services and appeals through the Board of Building Appeals (Title 2), Hearing Examiner (Title 13) and Hearing Officer (Title 8).

Integrated management approach with establishment of specific service level goals across all service areas commensurate with available resources

Traditional hierarchical management approach by service area.

2.09.040


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC


PW BLUS Code Enforcement

Code Compliance

Housing Code Violations – code violations falling under local housing ordinance (TMC Title 2). Typical violation areas include, but are not limited to structural deficiencies, unsanitary housing conditions, trash and debris problems, HVAC, minimal space, paint, weatherization, plumbing, electrical, etc.



Code Compliance

Dangerous Building Code Violations-Code violations that endanger the life, limb, health, morals, property, safety, or welfare of the general public. Additionally, the building or structures occupants may be required to repair, vacate, or demolish the buildings/structures.



Code Compliance

Zoning Code Violations – code violations falling under local zoning ordinance (Title 13) and codes regulating land use.



Code Compliance

Nuisance Violations – code violations falling under the local nuisance ordinance (TMC Title 8). Violations include, but are not limited to, weed lots, junk lots, graffiti, and abandoned autos.



Code Compliance

Other violations – code violations not included in previous categories. Violations include, but are not limited to, tax and license code, fire code, sign code, dangerous sidewalks, etc.

1 day after request 1 day after request 8.30, 8.23, 2.01, 13.05, 13.06, 6.01, 8.125, 8.122


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Code Compliance

Code Compliance - Graffiti Code 1 day after request 1 day after request


Code Compliance

Code Compliance - Noise code 1 day after request 1 day after request


Code Compliance

Code Compliance - Tax & License Code 1 day after request 1 day after request


Code Compliance

Code Compliance - Zoning Code. Inspection, case mgmt, code interpretation, sign enforcement, zoning enforcement, business license review, wetland and critical area enforcement, property owner education. Approximately 13 cases per year.

1 day after request 1 day after request 13.05, 13.06


Code Development

Code Development - Chronic nuisance 8.30A


Code Development

Code Development - Nuisance Code. Changes to appeal process Consideration for review of parking standards and repeat offenders

8.3


Code Development

Code Development - Tax and License. Changes to appeal process Consideration for overall changes related to a rental provisional license Consideration for review of parking standards and repeat offenders

6


Code Development

Consideration for review of parking standards and repeat offenders

6


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC


PW Construction Code Enforcement

Code Compliance

Sidewalk Abatement Abate property owners who refuse to replace unfit/unsafe sidewalk by following abatement process allowed by state and local law.

Review and Update Program Policy On 2-year Basis Inspect sidewalk within 7 days of notification. Notify Property Owners of Unsafe Sidewalk within 7 days of inspection Issue annual abatement sidewalk contract to replace unfit/unsafe sidewalk for properties that refuse to replace sidewalk.

Inspecting sidewalk when time allows Notifying Owners of Unsafe Sidewalks within 7 days of notification Issuing sidewalk abatement project every 2 years to replace unfit/unsafe sidewalk.

Increase inspection staff available to investigate sidewalk complaints Increase Public's Awareness of Sidewalk Policy & Program Pursue Additional Funding

RCW Chapter 35.68 and Chapter 35.69, TMC 1.06.710, TMC 10.18

PW Construction Permits, Land Use Plan, Review

Code Development

Sidewalk Program Maintain and Update Sidewalk Maintenance Program Policy

Review and Update Program Policy On 2-year Basis

Increase Public's Awareness of Sidewalk Policy & Program

TMC 1.06.710, TMC 9.17, TMC 10.20


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC


PW Construction Code Enforcement

Code Development

Sidewalk Program Investigate Sites of Notification of Unsafe & Unfit Sidewalks Reduce the No. of Unsafe Sidewalks

Inspect sidewalk within 7 days of notification. Notify Property Owners of Unsafe Sidewalk within 7 days of inspection Issue annual sidewalk contract to replace unfit/unsafe sidewalk

Inspecting sidewalk when time allows Notifying Owners of Unsafe Sidewalks within 7 days of notification Issuing annual sidewalk contract to replace unfit/unsafe sidewalk Issue annual sidewalk contract to replace unfit/unsafe sidewalk

Increase inspection staff available to investigate sidewalk complaints. Pursue Additional Funding

TMC 1.06.710, TMC 9.17, TMC 10.20


Code Development

Code Development - Standards Committee Maintain current performance Acceptable TMC 10.22


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Development Review - Attendance of Review Panel Committee

Maintain current performance Weekly attendance

Acceptable NA TMC 10.22 IBC CH 37 - TMC 2.02.380 TMC 2.01.020


Complex Plan Review

Permit Review - (ADA) curb Ramps - review for design and compliance with American Disabilities Act, ADA Standards for Accessible Design CFR 28, Part 36, (ADAAG), and the Public Right-of-way Accessible Guidelines, (PROWAG).

28 days for 1st Submittal once deemed a complete submittal; 14 days for each subsequent submittal

Acceptable Staff is currently operating at maximum work load capacity to maintain the expected performance measure due to current economic slow down. However with the staffing of the permit center and/or an increase in the flow of work due to an up turn in the economy level of service will be impacted

If work loads increases, additional resources will be required to maintain level of service. Up-date permit boiler plate language templates; proactively coordinate cross functional effort to re-evaluate & re-structure the permit routing process to streamline the routing process with stakeholders.

TMC 1.06.710; TMC 10.22 IBC CH 37 - TMC 2.02.380 TMC 2.01.020


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review - Connection Charge-in-lieu-of-Assessment


Acceptable NA


Complex Plan Review

Permit Review - Inspection/enforcement of Right of Way Restoration Policy Inspect for policy compliance.

Maintain current performance Review and update policy every 2 years Provide inspection of ROW within 24 hours of request. Provide inspection of restoration failures within 24 hours of complaint.

Acceptable Currently developing a work flow process to mitigate the anticipated increase of permit applications through better use of technology, (liquid office, SAP, GovMe). Provide inspection of ROW within 24 hours of request. Provide inspection of restoration failures within 24 hours of complaint.

If City desires a more proactive approach to implementation of ROW Restoration Policy, additional inspection staff will be required.

TMC 10.22


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review - Commercial Plan review for driveways




10.14.030


Complex Plan Review

Permit Review - Commercial Plan review for sidewalks




10.22.020


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review - Commercial Plan review for ROW excavation




10.18.010


Complex Plan Review

Permit Review - Review as necessary over the counter permits: curb & gutter, curb ramps, driveways, miscellaneous paving, planter strip work, side sewer connection, sidewalk, sidewalk roof drain connection, storm connection, sanitary sewer connection,

Maintain current performance Over the counter one day turnaround once submittal is deemed complete. *** If construction of curb ramps necessary, then MWO required (See WO performance measures)


Staff Develop permit center protocol and operational guide lines. Prepare 'quick reference' documents and on-call protocol for quick consultation procedures with subject matter experts Setting up permit work stations allowing staff to net work into their home work station and phones may help to minimize some of the anticipated impacts to existing section resources.

TMC 1.06.710 TMC 2.09.050 TMC 2.09 TMC 10.22


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review - review for design standards/policy compliance and alignment/grade approval for private utilities, franchised utilities, and enterprise utilities.

28 days for 1st Submittial once deemed a complete submittal;14 days for each subsequent submittal *** If construction of curb ramps necessary, then MWO required (See WO performance measures)


If work loads increases, additonal resources will be reqired to maintain level of service. Up-date permit boiler plate language templates; proactively coordinate cross functional effort to re-evaluate & re-structure the permit routing process to streamline the routing process with stakeholders.

TMC 1.06.710 TMC 2.09.050 TMC 2.09 TMC 10.22


Complex Plan Review

Permit Review - Utility Reimbursement Agreements Wastewater and Surface Water Utility Improvements.


Acceptable NA TMC 12.08.700


Complex Plan Review

Work Order - Process, review, & approve Bonds & Assignment of Funds in lieu of improvements.

28 days upon submittal of approved finalized bond estimate

Acceptable NA TMC 9.08.050 TMC 9.10.020 TMC 10.22 TMC 13.04


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Work Order assistance. Citizen request for information/services

Over the counter Over the counter TMC 10.22 IBC CH 37 - TMC 2.02.380 TMC 2.01.020


Complex Plan Review

Work Orders - Review plans for off-site/on-site improvements required by either the Hearings Examiner, Building Official, Land Use Administrator, and/or City Engineer. in conjunction with a proposed land use action and/or commercial & residential development. Plans are reviewed for City, State, and Federal regulations and policies. Offsite improvements may be required to mitigate a perceived impact noted in the State Environmental Policy Act, (SEPA).


Staff is currently operating at maximum work load capacity to maintain the expected performance measure due to current economic slow down. However with the staffing of the permit center and/or an increase in the flow of work due to an up turn in the economy level of service will be impacted

If work loads increases, additional resources will be required to maintain level of service.

TMC1.06.710TMC 10.22 TMC 2.01020TMC 2.02.380 TMC 13.06.640 TMC 13.07.020


Permit Inspection

barricades 1 day after request Acceptable NA TMC 10.22


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

driveways 1 day after request Acceptable NA TMC 10.22


Permit Inspection

miscellaneous trench 1 day after request Acceptable NA TMC 10.22


Permit Inspection

parking Lot 1 day after request Acceptable NA TMC 10.22


Permit Inspection

sanitary sewer connection 1 day after request Acceptable NA TMC 10.22


Permit Inspection

sidewalk 1 day after request Acceptable NA TMC 10.22


Permit Inspection

storm sewer 1 day after request Acceptable NA TMC 10.22


Permit Inspection

utility 1 day after request Acceptable NA TMC 10.22


Permit Inspection

work order 1 day after request Acceptable NA TMC 10.22


Permit Inspection

Permit Inspection - ADA curb ramp inspection Inspection for PROWAG compliance.

1 day after request Acceptable NA TMC 10.22


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

Permit Inspection - Field verification of line and grade for all projects upon the inspector's request.

Provide Survey services within 72 hours of request

Acceptable NA TMC 10.22


Permit Inspection

Permit Inspection - inspect for COT standards/policy compliance for private utilities, franchised utilities, and enterprise utilities.

1 day after request Acceptable NA TMC 1.06.710 TMC 2.09.050 TMC 2.09 TMC 10.22


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

Permit Inspection - Inspection of over the counter permits: curb & gutter, curb ramps, driveways, miscellaneous paving, planter strip work, side sewer connection, sidewalk, sidewalk roof drain connection, storm connection, sanitary sewer connection,

1 day after request Acceptable NA TMC 1.06.710 TMC 2.09.050 TMC 2.09 TMC 10.22


Permit Inspection

Permit Inspection - Preliminary Survey for design of and staking for over the counter permits for BLUS.


Acceptable TMC 10.22


Permit Inspection

Development Review - Survey of encroachments into public rights of Way for BLUS and Real Property Services.




Permit Inspection

Permit Inspection - Survey construction staking of Tacoma projects: Storm Sewer, Sanitary Sewer, Alley Improvements, Rail Road Track, Rail Road Crossings, Rail Road Trestles, Sidewalks, Retaining Walls, Residential and Arterial Street Improvements.




Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

System Management - Survey - Maintains data base of horizontal and vertical Survey Monumentation for public and internal use.

Maintain current performance Acceptable NA TMC 10.22


Permit Inspection

Work Order Inspection - Survey construction staking of Tacoma Work Order projects: Storm Sewer, Sanitary Sewer, Alley Improvements, Sidewalks, Residential and Arterial Street Improvements.



PW Director's Office

Permits, Land Use Plan, Review

Complex Plan Review

Development Review - LUA Determination 120 days 120 days 13

CEDD Engineering Permits, Land Use Plan, Review

Code Development

Code Development - Urban Forestry Element -Add a new element to the Comprehensive Plan to provide policy guidance for promoting the public benefits of planting, saving, maintaining, and managing trees and other vegetation. The new policies will provide direction for establishing regulations, standards, and guidelines using best available science and best management practices to attain a safe and healthy urban forest.

Participation by all affected parties to assess and develop mitigation plan for conflicts with existing codes, standards, practices, policies, processes, and procedures. Implementation plan for impact mitigation and code application in place prior to code adoption.

Focused on legislative process

PW Engineering Code Enforcement

Code Compliance

Code Enforcement - Abandoned Auto TMC 9,10 & 11.

PW Engineering Permits, Land Use Plan, Review

Code Development

Code Development - Long-Range Planning Support


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Code Development

Code Development - Traffic Engineering Policies and Regulations


Complex Plan Review

Development Review - Building Permit & Development Review, Construction Support


Complex Plan Review

Development Review - Traffic Engineering and Customer Support

TMC 1.06.710


Complex Plan Review

Permit Review - Application review for barricades

10.22.030


Complex Plan Review

Permit Review - Application review for overtime parking

11.05.160


Complex Plan Review

Permit Review - Building Permit & Development Review, Construction Support


Complex Plan Review

Permit Review - Street Restoration TMC 1.06.710


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review Special lighting 9.26.010


Complex Plan Review

Permit Review Trees 9.18.10


Complex Plan Review

Urban Forestry TMC 9.18, 9.19, 9.20, 13.11 & 1.06.710


Complex Plan Review

Work Order - Building Permit & Development Review, Construction Support


Permit Inspection

Tree planting

Fire Fire Prevention Permits, Land Use Plan, Review

Complex Plan Review

Permit Review - Fire Code 30 days 30 days 3.02

Fire Fire Prevention Permits, Land Use Plan, Review

Complex Plan Review

Permit Review - Fuel Tanks 3.09.035

Fire fire prevention Permits, Land Use Plan, Review

Permit Inspection

Fire protection


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC


CEDD Planning Permits, Land Use Plan, Review

Code Development

Code Development - Comprehensive Plan and Regulatory Code Clarifications and Refinements - Each year it is intended to bring forward minor adjustments to the Comprehensive Plan and/or Land Use Regulatory Code that are designed to correct errors, improve consistency among the Comprehensive Plan elements and sections of the code, assist in permitting and administration of the code, clarify intent, or address amendments to state law or other planning mandates.




Code Development

Code Development - Cultural Preservation Element - Add a new element to the Comprehensive Plan relating to historic preservation and cultural resources management in response to several requests from the community and City Council. The proposed amendment also will include revisions to the existing Culture and History Element, where gaps in policy exist.




Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Code Development

Code Development - Electric Vehicle Infrastructure Regulations - The Growth Management Act was amended this year to require communities along the I-5 corridor to revise their development regulations to allow electric vehicle recharging or battery exchange stations in all commercial and industrial zones.




Code Development

Code Development - Mobility Master Plan Element -Add a new element to the Comprehensive Plan to provide planning and policy guidance to achieve a safe, comfortable, and desirable pedestrian, bicycle and transit environment throughout Tacoma.




Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Code Development

Code Development - South Tacoma Mixed Use Center Evaluation - Three issues are under consideration: (a) an evaluation of the zoning for a small portion of the center that, although zoned for multifamily uses, is developed with many single-family homes; (b) expansion of the center boundary to the south; and (c) increasing the height limit in the commercial/industrial zoned area along South Washington Street to a maximum height of up to 185 ft.




Code Development

Code Development - Transfer of Development Rights - This amendment will establish the procedures and requirements to institute a TDR program so that the transfer of development rights could be used as one option in the mixed-use centers to achieve additional height. The amendment also will evaluate how TDR could be used for historic preservation in the downtown area.



TPU Power Permits, Land Use Plan, Review

Complex Plan Review

Development Review - Boundary Line Adjustments



Complex Plan Review

Development Review - Conditional Use 15 Days 15 Days 12.1


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Development Review - Major subdivisions 30 days 30 days 12.1


Complex Plan Review

Development Review - Minor subdivisions 15 Days 15 Days 12.1


Complex Plan Review

Permit Review - Commercial Building Code 12.1


Complex Plan Review

Permit Review - Electrical Code 30 days 30 days 2.04


Complex Plan Review

Permit Review - Franchise 60 Days 60 Days 12.1


Complex Plan Review

Permit Review - Off-site improvements 60 Days 60 Days 12.1


Complex Plan Review

Permit Review - Shoreline Permit 15 Days 15 Days 12.1


Complex Plan Review

Permit Review - Shoreline Permit 15 Days 15 Days 12.1


Complex Plan Review

Work Order - Review 15 Days 15 Days 12.1


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Permit Inspection

Permit Inspection 48 Hours after request 48 Hours after request

12.1


Permit Inspection

Permit Inspection - Electrical Code 60 Days 60 Days 2.04

PW Real Property Services


Management Information System

Systems Management - Maintain and Manage Database of Real Property and Real Estate Documents.

CM


Code Enforcement

Code Compliance

Code Enforcement - Ensuring, by boarding up, that there is no entry to homes considered derelict or condemned.



Complex Plan Review

Permit Application & Issuance - Process Street Vacations

9.22.010



Complex Plan Review

Permit Application & Issuance - Process, Manage and Enforce Street Occupancy Permits

9.08.020



Complex Plan Review

Permit Review - Manage and enforce GG and TPU ROW and TPU Property Encroachments

PW Science & Engineering


Code Development

Code Development - Implementation of the Capacity Management program to ensure the WW collection system is large enough for the current population and future growth


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC




Code Development

Code Development - NPDES MS4 Phase I Permit Administration



Complex Plan Review

Development Review - Customer service



Complex Plan Review

Permit Review - City NPDES Permit Compliance



Complex Plan Review

Permit Review - City NPDES Permit Compliance



Complex Plan Review

Permit Review - Foss Storm water Work plan



Complex Plan Review

Permit Review - NPDES MS4 Phase I Permit Administration



Complex Plan Review

Permit Review - Provide engineering review of private development improvements to wastewater system



Complex Plan Review

Permit Review - Review for discharges into sanitary sewer

12.08.140


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC




Complex Plan Review

Permit Review - Review for industrial discharges into sanitary sewer

12.08.140 (sanitary)



Complex Plan Review

Permit Review - Sanitary system extension 12.08.360 (sanitary)



Complex Plan Review

Permit Review - Underground Storage Tank Removal

5.47.030


Code Enforcement

Complex Plan Review

Review for discharges into storm sewer 12.08.090

PW Solid Waste Code Enforcement

Code Compliance

Code Enforcement - Blight Cleanup


Code Compliance

Code Enforcement - Call-2-Haul


Complex Plan Review

Permit Review - Container Management

PW Solid Waste Permits, Land Use Plan, Review

Complex Plan Review

Review of solid waste enclosures 12.09.110(F) (solid waste)

PW Streets & Grounds

Code Enforcement

Code Compliance

Code Enforcement - * Dangerous Tree Response


Code Enforcement

Code Compliance

Code Enforcement - Abatement Program TMC 8.30.030


Code Enforcement

Code Compliance

Code Enforcement - Community Service Work Crew


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Code Enforcement

Code Compliance

Code Enforcement -Rights of Way Mowing TMC 1.06.710 & 8.30.030

TPU Water Permits, Land Use Plan, Review

Complex Plan Review

Development Review - Boundary Line Adjustments

10 days 10 days Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Complex Plan Review

Development Review - Conditional Use 10-15 days depending on complexity

10-15 days depending on complexity

Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Complex Plan Review

Development Review - Major subdivisions 15 days 15 days Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Development Review - Minor subdivisions 10 days 10 days Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Complex Plan Review

Permit Review - Commercial Building Code 15 days 15 days Concurrent Review may be able to reduce the time to review however, for all Complex Plan Review, Water’s plan review consists of two reviews, domestic/commercial/fire service review and Water quality backflow/cross-connection

12.1


Complex Plan Review

Permit Review - Franchise 15 days 15 days Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Permit Review - Off-site improvements 10-15 days depending on complexity

10-15 days depending on complexity

Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Complex Plan Review

Permit Review - Shoreline Permit 10 days 10 days Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Complex Plan Review

Permit Review - Shoreline Permit 10 days 10 days Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time

12.1


Permitting Services



CURRENT PERFORMANCE


PERFORMANCE*

TMC



Complex Plan Review

Work Order - Review 15 days 15 days Tacoma Water typically does not have issue with any Permit/plan reviews with respect to timeliness and can complete them within the time allotted. Concurrent Review may be able to reduce the time.

12.1


Permit Inspection

Permit Inspection 1 day after request. Holds on C.O. will be maintained until Water Quality inspection occurs. Water staff will be afforded an opportunity to comment on all projects with respect to the need for back flow/cross connection/AMR. Public Works will follow the Department of Health requirements and Department of Ecology guidelines and require corrections to side sewers as necessary.

1 day after request. Sometimes, final C.O. is issued prior to Water Backflow/Cross Connection/AMR requirements being met. Water Quality Staff has implemented some workarounds with BLUS staff, but process needs better definition and checks and balances. Some inspections for backflow/cross connection are not recognized by BLUS when identified as needed and are missed prior to sign off. This is a Health and Safety issue which puts the water system at risk.

Inspection process and hand-off to Water Quality will be reviewed.

City of Tacoma Service Level Agreements

Documents

Transcript of City of Tacoma Service Level Agreements