ESBD_371873_1723662879759_Attachment M. TDLR D1 Current State Business Process - IHB.pdf

i

Texas Department of Licensing and

Regulation

Industrialized Housing & Buildings Program (IHB)

Business Process Mapping

Documentation

Deliverable 1

May 26th, 2023 ii

Table of Contents 1 Objective

2 Scope of Deliverable

3 Deliverable Approach

3.1 BPMN

4 Current-Business Processes IHM

4.1 LEVEL 1.0 IHM Certification Process Diagram

4.2 LEVEL 1.1 IHM – Application Submission Process Diagram

4.3 LEVEL 1.2 IHM – TDLR Registration Certification Process Diagram

4.4 LEVEL 1.2.2 IHM – TDLR Registration Certification Process Diagram

4.5 LEVEL 1.2.4 IHM – TDLR Registration Certification Process Diagram

4.6 LEVEL 1.2.5 IHM – TDLR Registration Certification Process Diagram

4.7 LEVEL 1.2.6 IHM – TDLR Registration Certification Process Diagram

4.8 LEVEL 1.6 IHM – IHB Application Review Process Diagram

4.9 LEVEL 1.6.1 IHM – IHB Application Review Process Diagram

4.10 LEVEL 1.11 IHM – IHB Certification Processing Process Diagram

4.11 LEVEL 1.11.2 IHM – IHB Billing Process Diagram

5 Current-Business Processes TPI

5.1 LEVEL 1.0 TPI Certification Process Diagram

5.2 LEVEL 1.1 TPI – Applicant’s Application Submission Process Diagram

5.3 LEVEL 1.2 TPI – TDLR Application Intake Process Diagram

5.4 LEVEL 1.2.2 TPI – TDLR Application Intake Process Diagram

5.5 LEVEL 1.2.4 TPI – TDLR Application Intake Process Diagram

5.6 LEVEL 1.3 TPI – IHB Application Review Process Diagram

5.7 LEVEL 1.6 TPI – TDLR Final Certification Process Diagram

5.8 Level 1.6.2 TPI – TDLR Final Certification Process Diagram

5.9 LEVEL 1.6.3 TPI – TDLR Final Certification Process Diagram

6 TDLR – IHB Renewals

6.1 Renewal Notice Generation

6.2 Renewal Application

7 Appendices

Document Review iii

Interviews and Planning

Table of Tables

TABLE 1: BPMN SYMBOLS

TABLE 2: IHM ACTORS’ DESCRIPTION

TABLE 3: TASK PROCESSES COLOR CODING GUIDE

TABLE 4: IHM LEVEL 1.0 CERTIFICATION PROCESS DESCRIPTION

TABLE 5: IHM LEVEL 1.1 APPLICATION SUBMISSION DESCRIPTION

TABLE 6: IHM LEVEL 1.2 TDLR REGISTRATION CERTIFICATION DESCRIPTION

TABLE 7: IHM LEVEL 1.2.2 TDLR REGISTRATION CERTIFICATION DESCRIPTION

TABLE 8: IHM LEVEL 1.2.4 TDLR REGISTRATION CERTIFICATION DESCRIPTION

TABLE 9: IHM LEVEL 1.2.5 TDLR REGISTRATION CERTIFICATION PROCESS DESCRIPTION

TABLE 9: IHM LEVEL 1.2.6 TDLR REGISTRATION CERTIFICATION PROCESS DESCRIPTION

TABLE 11: IHM LEVEL 1.6 IHB APPLICATION REVIEW DESCRIPTION

TABLE 12: IHM LEVEL 1.6.1 IHB APPLICATION REVIEW DESCRIPTION

TABLE 13: IHM LEVEL 1.11 IHB CERTIFICATION PROCESSING DESCRIPTION

TABLE 14: IHM LEVEL 1.11.2 IHB BILLING PROCESS DESCRIPTION

TABLE 15: TPI ACTORS’ DESCRIPTION

TABLE 16: TASK PROCESSES COLOR CODING

TABLE 17: TPI LEVEL 1.0 CERTIFICATION DESCRIPTION

TABLE 18: TPI LEVEL 1.1 APPLICATION SUBMISSION DESCRIPTION

TABLE 19: TPI LEVEL 1.2 TDLR APPLICATION INTAKE DESCRIPTION

TABLE 20: TPI LEVEL 1.2.2 TDLR APPLICATION INTAKE DESCRIPTION

TABLE 21: TPI LEVEL 1.2.4 TDLR APPLICATION INTAKE DESCRIPTION

TABLE 20: TPI LEVEL 1.3 IHB APPLICATION REVIEW DESCRIPTION

TABLE 23: TPI LEVEL 1.6 TDLR FINAL CERTIFICATION DESCRIPTION

TABLE 24: TPI LEVEL 1.6.2 TDLR FINAL CERTIFICATION PROCESS DESCRIPTION

TABLE 25: TPI LEVEL 1.6.3 TDLR FINAL CERTIFICATION PROCESS DESCRIPTION

TABLE 26: TDLR – IHB RENEWAL NOTICE GENERATION DESCRIPTION

TABLE 27: TDLR – IHB RENEWAL APPLICATION DESCRIPTION

Table of Figures

FIGURE 1: PROCESS MAP DRAFTING PROCESS

FIGURE 2: PROCESS MAP DRAFTING PROCESS

FIGURE 3: IHM LEVEL 1.0 CERTIFICATION PROCESS DIAGRAM

FIGURE 4: IHM LEVEL 1.1 IHM APPLICATION SUBMISSION DIAGRAM

FIGURE 5: IHM LEVEL 1.2 TDLR REGISTRATION CERTIFICATION DIAGRAM

FIGURE 6: IHM LEVEL 1.2.2 TDLR REGISTRATION CERTIFICATION DIAGRAM

FIGURE 7: IHM LEVEL 1.2.4 TDLR REGISTRATION CERTIFICATION DIAGRAM

FIGURE 8: IHM LEVEL 1.2.5 TDLR REGISTRATION CERTIFICATION PROCESS DIAGRAM

FIGURE 9: IHM LEVEL 1.2.6 TDLR REGISTRATION CERTIFICATION PROCESS DIAGRAM

FIGURE 10: IHM LEVEL 1.6 IHB APPLICATION REVIEW DIAGRAM

https://isfcom-my.sharepoint.com/personal/adavid_isf_com/Documents/Desktop/TDLR%20D1%20Current%20State%20Business%20Process%20Mapping%20Final%20V1.docx#_Toc135987337 https://isfcom-my.sharepoint.com/personal/adavid_isf_com/Documents/Desktop/TDLR%20D1%20Current%20State%20Business%20Process%20Mapping%20Final%20V1.docx#_Toc135987338 iv

FIGURE 11: IHM LEVEL 1.6.1 IHB APPLICATION REVIEW DIAGRAM

FIGURE 12: IHM LEVEL 1.11 IHB CERTIFICATION PROCESSING DIAGRAM

FIGURE 13: IHM LEVEL 1.11.2 IHB BILLING PROCESS DIAGRAM

FIGURE 14: TPI LEVEL 1.0 CERTIFICATION DIAGRAM

FIGURE 15: TPI LEVEL 1.1 APPLICATION SUBMISSION DIAGRAM

FIGURE 16: TPI LEVEL 1.2 TDLR APPLICATION INTAKE DIAGRAM

FIGURE 17: TPI LEVEL 1.2.2 TDLR APPLICATION INTAKE DIAGRAM

FIGURE 18: TPI LEVEL 1.2.4 TDLR APPLICATION INTAKE DIAGRAM

FIGURE 19: TPI LEVEL 1.3 IHB APPLICATION REVIEW DIAGRAM

FIGURE 20: TPI LEVEL 1.6 TDLR FINAL CERTIFICATION DIAGRAM

FIGURE 21: TPI LEVEL 1.6.2 TDLR FINAL CERTIFICATION PROCESS DIAGRAM

FIGURE 22: TPI LEVEL 1.6.3 TDLR FINAL CERTIFICATION PROCESS DIAGRAM

FIGURE 23: TDLR – IHB RENEWAL NOTICE GENERATION DIAGRAM

FIGURE 24: TDLR – IHB RENEWAL APPLICATION DIAGRAM

Revision History

Version Date Author Revision Notes

1.0 5/26/2023 ISF D1 Draft submitted to TDLR for review

Acronyms Acronym Definition

BPMN Business Process Modeling Notation CAPPS Central Accounting and Payroll Personnel System IHB Industrialized Housing & Buildings Program IHM Industrialized Housing & Buildings Certified Manufacturers RFI Request for information SOS Secretary of State TDLR Texas Department of Licensing and Regulations

TPI Third Party Inspector

TLPS Team Lead Project Specialist

1 Objective Texas Department of Licensing and Regulation (TDLR) leadership recognizes the need for technology and process modernization and is, therefore, actively pursuing the implementation of a standardized licensing platform. Updating its primary systems will improve TDLR’s ability to operate effectively and provide several business benefits. In addition, modernizing licensing systems can offer several benefits to organizations, such as the following:

• Enhanced Efficiency: Modernizing technology systems can streamline processes and automate manual tasks, increasing operational efficiency. With advanced licensing systems, organizations can automate license issuance, tracking, renewal, and compliance processes, reducing administrative burdens and improving productivity.

• Improved Accuracy and Data Integrity: Legacy processes may be prone to errors and data inconsistencies. Modernizing technology systems helps improve data accuracy and integrity by implementing robust validation and verification mechanisms. In addition, accurate licensing information enables organizations to make better-informed decisions.

• Enhanced User Experience: Outdated licensing systems can be cumbersome and challenging for administrators and end-users. Modernizing technology systems introduces user-friendly interfaces, intuitive workflows, and self-service options, enhancing the overall user experience. This, in turn, can improve customer satisfaction.

• Advanced Reporting and Analytics: Modern technology systems provide robust reporting and analytics capabilities, allowing organizations to extract meaningful insights from licensing data. By leveraging data analytics, organizations can identify trends, optimize licensing strategies, identify revenue opportunities, and make data-driven decisions to drive business growth.

• Compliance and Security: Modern licensing systems often incorporate enhanced security measures to protect sensitive data, prevent unauthorized access, and ensure compliance with data protection regulations. By modernizing technology systems, organizations can strengthen their data security posture and reduce the risk of data breaches or non-compliance penalties.

Before updating licensing systems, however, TDLR understands that it must clearly define current-state business steps to process each license type. Understanding the current-state will create a clear foundation for the organization’s future processes and will make it easier to evaluate success. This step is crucial because it allows one to identify bottlenecks, inefficiencies, and areas for improvement.

Without a clear understanding of the current state, it would be challenging to develop an effective "to be" process. Moreover, by documenting current processes, one can identify specific areas that need improvement and set measurable goals for enhancing efficiency, reducing costs, or improving customer satisfaction.

2 Scope of Deliverable ISF has been engaged to provide subject matter expertise and capabilities to conduct process mapping to help define business process current-state workflows for two licensing programs within TDLR.

Current-state business process diagrams illustrate the current process steps, involved roles of people and partner entities, and technology systems or assets used.

The scope of this business process mapping effort focused on the Industrialized Housing & Buildings Program (IHB) within TDLR. ISF's business process mapping effort has provided high-level mapping of the licensing lifecycle for two (2) license types within IHB, which are as follows:

• The Industrialized Housings and Buildings Certified Manufacturer (IHM)

• The Third-Party Inspector (TPI)

During the requirements gathering sessions, ISF was also able to identify the renewal and renewal notices processes that apply to both license types.

TDLR also anticipates that documenting the IHM process will demonstrate the relationship between IHMs and Design Review Agencies, and between TPIs and Third-Party Inspection Agency license types.

This would provide a foundation to expand the process mapping effort to additional license types.

3 Deliverable Approach This project followed a structured, proven methodology for conducting large-scale strategic planning.

The ISF project management methodology comprises five (5) stages: project initiation, project planning, execution, recommendations, and project close-out. In addition, ISF incorporated industry-leading practices for facilitating workgroups, information collection, and developing comprehensive and cohesive reports throughout this process.

Project kick-off Project Management Plan Business Process Mapping Documentation

Executive Presentation

Lessons Learned

The execute phase, the stage where business process requirements were gathered and maps developed, comprised the bulk of the project team's work and effort. The team began by understanding each license type's current business process, conducting work sessions for each license type, and requesting follow-up interviews, when necessary. Once each session was complete, ISF drafted a process map based on information gathered in the work session and then submitted it to the TDLR stakeholder for review. ISF mapped each workflow by business unit and conducted a detailed assessment of the business unit’s particular roles, data, integration points, outputs, and business practices. The draft and review process was iterative throughout the project, as described in the illustration below. The Appendices, Section 7 of this document, provides more detailed information on stakeholders that were interviewed by ISF.

3.1 BPMN

The business process mapping diagrams in the following sections were developed using Microsoft Visio.

Using Visio, the ISF team adhered to a standard modeling notation, Business Process Model and

ISF, interview IHB Stakeholder

ISF, submit draft map for IHB stakeholder review ISF incorporate feedback

Initiate Plan Execute Recommend Close

Project Management

FIGURE 2: PROCESS MAP DRAFTING PROCESS

FIGURE 1: PROCESS MAP DRAFTING PROCESS

Notation (BPMN), developed under the coordination of the Object Management Group as an international standard. This standard identifies the best practices of existing approaches to business process definition and combines them into a widely accepted language. Moreover, BPMN is a standard notation that promotes consistency and accuracy, resulting in less ambiguity, reduced risk of misinterpretation, and better analysis outcomes.

The basic components of ISF’s business process mapping framework are:

• Activities:

o Sub-processes o Tasks

• Connection of Objects:

o Sequence Flow o Message o Flow o Association

• Flow Objects:

o Activities o Gateways

• Participants

• Artifacts

Each component is represented by the standard symbols or shapes provided under the BPMN standard stencil within Microsoft Visio. Below is a table of BPMN symbols commonly used for diagramming components.

TABLE 1: BPMN SYMBOLS

BPMN Object Function Purpose

Swimlane Depicts the actors within the process

Sequence Specifies ordering of flow objects

Association Links artifacts to elements in business process diagrams

Communication flow Describes the flow of messages between participants represented in swim lanes

Collapsed subprocess Activities that can be expanded

Task: Abstract Traditional workflow task that involves user interaction

BPMN Object Function Purpose

Task send Event that transmits messages between participants’ activities or flow objects

Tasks receive Event that receives messages from participants’ activities or flow objects

Manual task Performed without the support of software systems

Task user Traditional workflow task that involves user interaction

Gateway Acts as either a join (many-to-1) or split (1-to-many) node; only one of two outgoing edges results

Parallel decision Acts as either a join (many-to-1) or split (1-to-many) node; parallel outputs

Database A database management system

Start event The logical start of the process

Start message Start with a message

End event The completion of the process

End message Ends with a message

Intermediate event An event that results from a flow object

Intermediate message event

Results from a flow message

End message compensation

Results from payment

4 Current-Business Processes IHM Certified manufacturers are those who are both registered and approved to construct modules or modular components in Texas. Modular construction is manufacturing multiple building sections in a facility for assembly at a remote building site. The building sections, called modules, will fit together once assembled on site, with plumbing, HVAC, and electrical connections running throughout.

Currently, there are 223 IHMs certified with TDLR.

According to Texas Administrative Code, an IHM certification inspection of industrialized housing and buildings is primarily an evaluation function, with purposes to (a) verify that the manufacturer can produce modules or modular components that comply with the law and the rules, mandatory building codes and approved design package, and to (b) verify that the manufacturer’s approved compliance control program will ensure compliance now and, in the future.

This section details the business process steps to becoming a certified IHM in Texas. Specifically, the following are included:

• Process diagrams developed using BPMN and organized according to the logical and hierarchical breakdown of the overall business process model of the TPI licensing core activities.

• Narrative description tables.

The below table lists the description of the actors involved in the IHM certification process:

TABLE 2: IHM ACTORS’ DESCRIPTION

Actor Description

DRA

According to Texas Administrative Code, Chapter 70, the DRA is an approved organization, private or public, determined by the Texas Industrialized Building Code Council to be qualified to review designs, plans, specifications, and building systems documentation, and to certify compliance to these sections.

Financial Services A department within TDLR that is responsible for monies received from the IHM Applicant and for comptroller deposits.

Financial Services – Administrative Team

A team within the Financial Services department that is in charge of receiving applications and financial data entry.

Financial Services – Revenue Team

A team within the Financial Services department that is in charge of incoming monies, returns, and deposits.

IHB

The department that supports IHM Certification. According to the Texas Administrative Code, a certification team is generally composed of two people: a team leader who must be a department employee, an engineer, or other qualified person and a qualified inspector.

IHB Admin The administrative personnel within IHB.

IHB Inspector The IHM inspector, which can also be the TLPS or a TPI.

IHM Applicant An applicant requesting IHM Certification.

Licensing The department within TDLR that is responsible for data entry, review, certification processing, and renewals.

TDLR

Licensing and Financial Services are within TDLR, therefore falling into the overall TDLR umbrella as a swim lane.

Team Lead Project Specialist (TLPS)

It is the IHB personnel who reviews applications and readies them for certification.

The table below describes the color-coding identification of the sub processes within the IHM business process maps within this section.

TABLE 3: TASK PROCESSES COLOR CODING GUIDE

Task Description

Blue

Blue task objects are traditional workflow tasks that involve user interaction. There is no further detail that emanates from this task.

Green

The green task object describes the IHM registration application submission process. Task 1.1 is the highest-level task within the level 1.0 map. It is expanded into further detail in map 1.1.

Purple

The purple task object describes the IHM’s application registration process. Task

1.2 is the highest-level task within the level 1.0 map. Task 1.2 is expanded into further detail in maps 1.2, 1.2.2, 1.2.4, 1.2.5, and 1.2.6.

Turquois

The turquois task object describes the IHM submittal review process by IHB. Task

1.6 is the highest-level task within the level 1.0 map. Task 1.6 is expanded into further detail in maps 1.6 and 1.6.1.

Grey

The grey task object describes the IHM’s final certification process. Task 1.11 is the highest-level task within the level 1.0 map. Task 1.11 is expanded into further detail in maps 1.11 and 1.11.2.

4.1 LEVEL 1.0 IHM Certification Process Diagram

The diagram below depicts the highest-level overview of the IHM certificate application process, level

0. Sub-processes are further expanded, referred to as level 1. Any further expansion will follow as level 2 sub-processes.

The first step in the process is to become registered with TDLR, receive a registration certificate, and then to become certified as an IHM with IHB.

IHM Level 1.0 D

RA

IH

B

IH

M A pp lic an t

TD

LR

START

1.3 Manufacturer

selects DRA for approval

1.2 Manufacturer

Registers

1.4 DRA approves

plan

1.6 Submittal

reviewed

1.8 Deviations

reported

1.11 Manufacturer

certified

1.9 Deviations addressed

1.1 Manufacturer

completes application

1.7 Inspection

performed

1.10 Plan updated

END

1.5 Receives

notification

CARBON

COPIED ON

EMAIL

FIGURE 3: IHM LEVEL 1.0 CERTIFICATION PROCESS DIAGRAM

TABLE 4: IHM LEVEL 1.0 CERTIFICATION PROCESS DESCRIPTION

Process Step

Name Description Actors

Start START IHM Applicant triggers the certification application process. IHM Applicant

1.1 Manufacturer completes application IHM Applicant completes IHM application. IHM Applicant

1.2 Manufacturer Registers

IHM Applicant submits application and becomes registered with TDLR. TDLR

1.3 Manufacturer selects DRA for approval Manufacturer selects DRA to review Plans. TDLR

1.4 DRA approves plan

DRA reviews and approves IHM Applicant's plans. DRA

1.5 Receives notification

The IHM Applicant receives notification approval and starts communicating with IHB on submittal. IHM Applicant

1.6 Submittal reviewed

IHB reviews IHM Applicant's submittal (e.g., plans, compliance forms, etc.) IHB

1.7 Inspection performed IHB Inspector performs inspection. IHB

Step

Name Description Actors

1.8 Deviations reported

IHB emails IHM Applicant to inform them of deviations between the submittal and inspection, and cc's DRA. IHB

1.9 Deviations addressed

IHM Applicant addresses deviations to become in compliance. The Applicant works with IHB by phone and email, in a communication loop, throughout this process to address deviations. IHM Applicant

1.10 Plan updated

IHM Applicant updates the plan and submits it to DRA for reapproval. DRA

1.11 Manufacturer certified

Once plans are updated, IHB obtains the finalized submittal and certifies the applicant. IHB

End END IHM Applicant receives notification/certificate checklist. IHM Applicant

4.2 LEVEL 1.1 IHM – Application Submission Process Diagram

The diagram below depicts the IHM Applicant’s application submission process, referred to as sub-process 1.1 (level 1).

IHM Applicant 1.1

IH

M

A pp lic an t

TD

LR

START 1.1

1.1.1 Retrieves

application from website

1.1.2 Completes

application

1.1.3 Mails

application to

TDLR

RETURN 1.0

FIGURE 4: IHM LEVEL 1.1 IHM APPLICATION SUBMISSION DIAGRAM

TABLE 5: IHM LEVEL 1.1 APPLICATION SUBMISSION DESCRIPTION

Step

Name Description Actors

Start START 1.1 IHM Applicant triggers the certification application process.

IHM

Applicant

1.1.1 Retrieves application from website

IHM Applicant downloads and prints IHM application from https://www.tdlr.texas.gov/.

IHM

Applicant

1.1.2 Completes application

IHM Applicant fills out IHM application and signs.

IHM

Applicant

1.1.3 Mails application to TDLR

IHM Applicant sends $750 and application to TDLR through USPS.

IHM

Applicant

End RETURN 1.0 IHM Application sent / return to level 1.0 map. TDLR

4.3 LEVEL 1.2 IHM – TDLR Registration Certification Process Diagram

The diagram below depicts TDLR’s IHM registration certification process, referred to as sub-process 1.2 (level 1). This process depicts the steps to becoming registered with TDLR before DRA and IHB review.

Financial Services and Licensing are within TDLR.

TDLR 1.2

Fi na nc ia l S er vi ce s Li ce ns in g

M

Ap pl ic an t

1.2.2 Application

sorted and filed

1.2.5 Registration

certificate created

1.2.1 Application

received

1.2.4 Application

determination made

RETURN 1.0

1.2.3 Receives

application

1.2.6 Monies

disbursed

APPROVEDApproved or Rejected

START1.2

REJECTED

FIGURE 5: IHM LEVEL 1.2 TDLR REGISTRATION CERTIFICATION DIAGRAM

TABLE 6: IHM LEVEL 1.2 TDLR REGISTRATION CERTIFICATION DESCRIPTION

Step

Name Description Actors

Start START 1.2 IHM Applicant triggers the certification application process.

IHM

Applicant

1.2.1 Application received

Application packets and monies are received from USPS by Financial Services.

Financial Services

1.2.2 Application sorted and filed Personnel sort and file application.

Financial Services

1.2.3 Receives application

Application sent to licensing for review. Licensing

1.2.4 Application determination made Application reviewed. Licensing

1.2.5 Registration certificate created

Registration certificate printed and mailed to the IHM Applicant. Licensing

1.2.6 Monies disbursed Financial Services releases monies.

Financial Services

End RETURN 1.0 Monies disbursed / Return to level

1.0 map.

Financial Services

4.4 LEVEL 1.2.2 IHM – TDLR Registration Certification Process Diagram

The diagram below depicts TDLR’s IHM registration certification process, referred to as sub-process 1.2.2 (level 2). This process depicts the lowest level step to becoming registered with

TDLR.

TDLR 1.2.2

na nc ia l S er vi ce s

Ad m in ist ra tiv e

Te am

M A pp lic an t

Fi na nc ia l S er vi ce s

Re ve nu e

1.2.2.3 Stamp

all money types

1.2.2.4 Application

financials data entry

1.2.2.5 Verify

data

1.2.2.6 Rectify

internally

NO ERROR

1.2.2.1 Application and monies

sorted

1.2.2.2 Application and monies

bundled

Error (Internal/ External)

INTERNAL

EXTERNAL

1.2.2.9 Send notice to Applicant with

monies

1.2.2.7 Files

monies

ERROR

Verified

(Error/No Error)

RETURN 1.2

APPROVED

QuickBooks

1.2.2.8 Develop

rejected notice

PDF

START 1.2.2 END

FIGURE 6: IHM LEVEL 1.2.2 TDLR REGISTRATION CERTIFICATION DIAGRAM

TABLE 7: IHM LEVEL 1.2.2 TDLR REGISTRATION CERTIFICATION DESCRIPTION

Step

Name Description Actors

Start START 1.2.2 Receiving application triggers activity. IHM Applicant

1.2.2.1 Application and monies received and sorted

Application packets and monies are sorted.

Financial Services – Admin Team

1.2.2.2 Application and monies bundled

Application packets and monies are bundled.

Financial Services – Admin Team

1.2.2.3 Stamp all money types

Stamp/Receipt is placed on all money types.

Financial Services – Admin Team

Name Description Actors

1.2.2.4 Application financials data entry

Application financial data is entered into QuickBooks.

Financial Services – Admin Team

1.2.2.5 Verify data

Ensure data in application is the same as QuickBooks and meets expectations of application type.

Financial Services – Revenue Team

1.2.2.6 Rectify internally

Admin Team resolves data entry issue.

Financial Services – Admin Team

1.2.2.7 Files monies

Files monies until application determination.

Financial Services – Revenue Team

1.2.2.8 Develop rejection notice

PDF

The rejection notice is developed in PDF format.

Financial Services – Revenue Team

1.2.2.9 Send notice to IHM Applicant with monies

Notify IHM Applicant of rejection through PDF justification document and return monies by USPS mail.

Financial Services – Revenue Team

End END / RETURN 1.2 END / Approved return to level 1.2 map.

Financial Services/IHM Applicant

4.5 LEVEL 1.2.4 IHM – TDLR Registration Certification Process Diagram

The diagram below depicts TDLR’s IHM registration certification process, referred to as subprocess

1.2.4 (level 2). This process depicts Licensing’s data entry and verification process.

TDLR 1.2.4

Lic en sin g Fi na nc ia l

Se rv ic es

START1.2.4

1.2.4.5 Check IHM

registrants list to see if already registered with same address

1.2.4.6 Notate

license record

1.2.4.1 Receive

invoice and application list

1.2.4.8 Update

Open Invoices as

"Rejected"

1.2.4.9 Download Open Invoice Excel file

Registered

YES/NO

1.2.4.4 Compare

and verify application data

1.2.4.3 Transfer

application data to

Master Log

1.2.4.2 Transfer

application data to

Open Invoices SharePoint

SharePoint

1.2.4.11 Add new

record data to

Database

IHB Access Database

YES

NO

1.2.4.10 Email file to

Financial Services to "Release" monies to

Applicant

Access

1.2.4.7 Update

Batch Log as "Rejected"

Verify TX Company

RETURN 1.2

YES

1.2.4.14 Check SOS

Direct, Comptrollers

State.tx.us site to verify if the entity is active/use.

NO

Verify entity registered with SOS

1.2.4.12 Mail/Email

RFI to register with

SOS

1.2.4.13 Applicant completes

requirements END 1.2.4

Active

YES/NO

APPROVED

1.2.4.15 Mail/Email

RFI to register with

SOS and/or CPA

NO

RETURN 1.2

YES

12 months

FIGURE 7: IHM LEVEL 1.2.4 TDLR REGISTRATION CERTIFICATION DIAGRAM

TABLE 8: IHM LEVEL 1.2.4 TDLR REGISTRATION CERTIFICATION DESCRIPTION

Step

Name Description Actors

Start START 1.2.4 Financial Services notification triggers process.

Financial Services

1.2.4.1 Receive invoice application list from Financial Services

Receive invoice, application data list from Financial Services (email and paper). Licensing

1.2.4.2 Transfer application data to Open Invoices

Transfer application data to Open Invoices. Update Excel file in SharePoint. Licensing

Name Description Actors

1.2.4.3 Transfer application data to Master Log

Transfer licensing application data to the Master Log (batch, invoice number, stamp dates, application types, and object-money codes). Update Excel file in SharePoint. Licensing

1.2.4.4 Compare and verify application data

Compare and verify data from the financial and licensing application list. Licensing

1.2.4.5

Check IHM registrants list to see if already registered with same address

Verify list of IHM registrants. If the registrant is registered with same address, then YES, if address is different, then NO. Licensing

1.2.4.6 Notate license record

Enter license record (date, receipt number, receipt date) to Access Database. Licensing

1.2.4.7 Update Batch Log as "Rejected"

Update Batch Log file with a "Rejected" status. Licensing

1.2.4.8 Update Open Invoices as "Rejected"

Update Open Invoice file with a "Rejected" status. Licensing

1.2.4.9 Download Open Invoice Excel file Download file in Excel format. Licensing

1.2.4.10

Email file to Financial Services to "Release" monies to IHM Applicant

Financial Services receives update for the "Release" of the monies. Licensing

1.2.4.11 Add new record data to Database Data entry in IHB Access Database. Licensing

1.2.4.12

Mail/email request for information on (RFI) to register with Secretary of State (SOS) Verify registration information. Licensing

1.2.4.13 Applicant completes requirements

The IHM Applicant must complete the requirements to continue the process within a 12-month period. Licensing

End END 1.2.4 End of process.

Licensing

1.2.4.14

Check SOS Direct, Comptroller’s State.tx.us site to verify if the entity is active/use Verify if entity is active/use. Licensing

1.2.4.15 Mail/email RFI to register with SOS and/or CPA Verify registration information. Licensing

End RETURN 1.2 Entity verification approved/rejected return to level 1.2. Licensing

4.6 LEVEL 1.2.5 IHM – TDLR Registration Certification Process Diagram

The diagram below depicts TDLR’s IHM registration certification process, referred to as sub-process

1.2.5 (level 2). This process represents the final steps to becoming registered with TDLR, where the registration certificate is finalized and sent.

TDLR 1.2.5

Li ce ns in g

IHB Access Database

START1.2.5

1.2.5.2 Create

IHM

registration certificate

1.2.5.3 Mail to

Applicant

1.2.5.4 Application is updated in the

Batch Tracker as “Released”

1.2.5.5 Application is updated in the

Invoice Tracker as "Released"

1.2.5.7 Email file to

Financial Services to "Release" monies to the Comptroller

1.2.5.6 Download

Invoice Tracker file

RETURN 1.2

1.2.5.1 Add

new record data to database

FIGURE 8: IHM LEVEL 1.2.5 TDLR REGISTRATION CERTIFICATION PROCESS DIAGRAM

TABLE 9: IHM LEVEL 1.2.5 TDLR REGISTRATION CERTIFICATION PROCESS DESCRIPTION

Step

Name Description Actors

Start START 1.2.5 Application approval triggers activity. Licensing

1.2.5.1 Add new record data to database

Add record data to IHB Access database (receipt number, app number, data issue, exp date). Licensing

1.2.5.2 Create IHM registration certificate

Licensing support prints the registration certificate developed in the IHB Access database. Licensing

1.2.5.3 Mail to IHM Applicant

The certificate is mailed to the IHM Applicant in envelope. Licensing

1.2.5.4 Application is updated in the Batch Tracker as “Released”

Once the license is mailed, the application is updated as “Released” from the Batch Tracker in Excel. Licensing

1.2.5.5 Application is updated in the Invoice Tracker as "Released"

Application data is updated as “Released” with object code-money code in Invoice Tracker in Excel. Licensing

Name Description Actors

1.2.5.6 Download Invoice Tracker file

The Invoice Tracker file is downloaded in an Excel format. Licensing

1.2.5.7

Email file to Financial Services to "Release" monies to the Comptroller

Financial Services is emailed to “Release” the money to the Comptroller. Licensing

End RETURN 1.2 Information is emailed/ return to level

1.2 map. Licensing

4.7 LEVEL 1.2.6 IHM – TDLR Registration Certification Process Diagram

The diagram below depicts TDLR’s IHM registration certification funds release process, referred to as sub-process 1.2.6 (level 2). This process describes the steps where monies submitted by the IHM Applicant are released.

TDLR 1.2.6

na nc ia l S er vi ce s

Re ve nu e

APPROVED 1.2.6.4 Develop deposit report

1.2.6.5 Prepare

Deposit for CAPPS

1.2.6.1 Determination

received from

Licensing

Approved or rejected

END

1.2.6.3 Mail to

Applicant and return monies

TX

Comptroller’s system

RETURN 1.0

START 1.2.6

1.2.6.2 PDF

notification document created

FIGURE 9: IHM LEVEL 1.2.6 TDLR REGISTRATION CERTIFICATION PROCESS DIAGRAM

TABLE 10: IHM LEVEL 1.2.6 TDLR REGISTRATION CERTIFICATION PROCESS DESCRIPTION

Step

Name Description Actors

Start START 1.2.6 Application determination triggers activity. Licensing

Name Description Actors

1.2.6.1 Determination received from Licensing

Financial Services receives email from Licensing once registration determination has been made.

Financial Services

– Revenue Team

1.2.6.2 PDF notification document created

Creates PDF with reason why monies are returned/registration rejected.

Financial Services

– Revenue Team

1.2.6.3 Mail to Applicant and return monies

IHM Applicant is notified of rejection through PDF justification document and returns monies by USPS mail.

Financial Services

– Revenue Team

1.2.6.4 Develop deposit report

Once approval is received, a report to deposit funds through Comptroller is developed on TX comptroller system.

Financial Services

– Revenue Team

1.2.6.5

Prepare Deposit for Central Accounting and Payroll Personnel System (CAPPS) Deposit awaits CAPPS collection.

Financial Services

– Revenue Team

End RETURN 1.2 Monies are returned or deposited/ return to 1.0 map. Financial Services

4.8 LEVEL 1.6 IHM – IHB Application Review Process Diagram

The diagram below depicts the IHM application review process by IHB, referred to as sub-process 1.6 (level 1). This process illustrates the IHM Applicant’s steps to pre-certification.

IHB 1.6

B

IH

M A pp lic an t

DR

A

1.6.1 Submittal

filed

1.6.2 Submittal

reviewed

Significant Deviations (Yes/No)

1.6.3 Receive

notification

YES

1.6.5 Plans

reapproved

1.6.8 Pre-

certification report drafted and sent

NO

1.6.7 Inspection

scheduled and tracked in Excel

1.6.4 Address

Deviations

START 1.6

CARBON COPIED

ON

NOTIFICATION

RETURN 1.0

1.6.6. REQUEST INSPECTION

BY EMAIL

FIGURE 10: IHM LEVEL 1.6 IHB APPLICATION REVIEW DIAGRAM

TABLE 11: IHM LEVEL 1.6 IHB APPLICATION REVIEW DESCRIPTION

Step

Name Description Actors

Start START 1.6 DRA plan approval triggers activity. DRA

1.6.1 Submittal filed

IHB personnel retrieves and files documents that were submitted for approval. IHB

1.6.2 Submittal reviewed

Submittal (plans, compliance manual, etc.) reviewed for any deviations or errors. IHB

1.6.3 Receive notification

If significant deviations were found in the documents submitted, IHB will contact the IHM Applicant by email and cc the

DRA.

IHM

Applicant

1.6.4 Address deviations

The IHM Applicant will then address the deviations.

IHM

Applicant

1.6.5 Plans reapproved

When deviations are addressed, the IHM Applicant will inform the DRA of updates.

DRA will then reapprove plans. DRA

1.6.6 Request inspection by email

Once plans are reviewed, the IHM Applicant can request to schedule an inspection through email.

IHM

Name Description Actors

1.6.7 Inspection scheduled and tracked in Excel

IHB schedules the inspection and updates inspection tracker in Excel. IHB

1.6.8 Pre-certification report drafted and sent

Pre-certification report drafted in a Word document and sent. IHB

End RETURN 1.0 Pre-certification received / return to 1.0 map.

IHM

4.9 LEVEL 1.6.1 IHM – IHB Application Review Process Diagram

The diagram below depicts the IHM application review sub-process by IHB, referred to as sub-process

1.6.1 (level 2). This process depicts how submittals from DRA are accessed by IHB.

IHB 1.6.1

B

A dm in

DR

A

IH

B In sp ec to r

GoAnywhere Transfer Portal

1.6.1.2 Submittal

transferred

Network Drive

START 1.6.1

RETURN 1.6

1.6.1.3 IHB

Personnel (inspector) selected

1.6.1.5 Submittal

saved on Network

1.6.1.1 Submittal

retrieved

SharePoint

1.6.1.4 Submittal

retrieved

FIGURE 11: IHM LEVEL 1.6.1 IHB APPLICATION REVIEW DIAGRAM

TABLE 12: IHM LEVEL 1.6.1 IHB APPLICATION REVIEW DESCRIPTION

Step

Name Description Actors

Start START 1.6.1 DRA informs IHB by email that submittal is ready for review. DRA

1.6.1.1 Submittal retrieved

IHB is notified by email that submittal is ready, then submittal is pulled from GoAnywhere transfer portal. IHB – Admin

1.6.1.2 Submittal transferred

Submittal saved to IHB SharePoint ‘Plans or QC’ folder. IHB - Admin

1.6.1.3 IHB Personnel (inspector) selected

IHB Personnel (inspector) is chosen to work on the inspection based on availability and other factors. IHB – Inspector

1.6.1.4 Submittal saved on Network

IHB Personnel /inspector saves submittal on TDLR Network. IHB – Inspector

End RETURN 1.6 Submittal ready / return to 1.6 map. IHB – Inspector

4.10 LEVEL 1.11 IHM – IHB Certification Processing Process Diagram

The diagram below depicts the final steps of the IHM certification process, referred to as subprocess

1.11 (level 1). This process depicts how the IHM Applicant is approved in the final stages and given their final certificate.

IHB 1.11

B

DR

A

IH

M A pp lic an t

1.11.1 Final

application review

1.11.3 Certification

procedural checklist and final report completed (Word doc)

1.11.2 Billing

statement paid

1.11.4 Certification

information updated

1.6.1 Submittal filed

Access

Database

1.11.5 Certification

procedural checklist mailed to applicant

START 1.11

END

FIGURE 12: IHM LEVEL 1.11 IHB CERTIFICATION PROCESSING DIAGRAM

TABLE 13: IHM LEVEL 1.11 IHB CERTIFICATION PROCESSING DESCRIPTION

Step

Name Description Actors

Start START 1.11 DRA reapproves plans, which triggers the process. DRA

1.6.1 Submittal filed Revert to map 1.6.1 for further details. IHB

1.11.1 Final application review Application is reviewed for the final time. IHB

1.11.2 Billing statement paid Bill sent to IHM Applicant and paid. IHB

1.11.3

Certification procedural checklist and final report completed (Word doc)

Certification procedural checklist and final report completed in a Word document. IHB

1.11.4 Certification information updated

Finalized certification information is updated in Access Database. IHB

1.11.5

Certification procedural checklist mailed to the IHM Applicant

Certification procedural checklist (Certificate) mailed to the IHM Applicant. IHB

Name Description Actors

End END Certificate received by IHM Applicant/ END IHM Applicant

4.11 LEVEL 1.11.2 IHM – IHB Billing Process Diagram

The diagram below depicts IHB’s billing process to complete certification, referred to as sub-process

1.11.2 (level 2). This process depicts how the final bill is created and paid by the IHM Applicant.

IHB 1.11.2

B

IH

M

A pp lic an t Fi na nc ia l

Se rv ic es

1.11.2.1 Billing

statement prepared in Excel

1.11.2.5 Monies

received

1.11.2.6 Payment

notification received

START 1.11.2

1.11.2.2 Bill

converted to to PDF

1.11.2.3 Bill

received

1.11.2.7 Payment

information updated

RETURN 1.11

1.11.2.4 Monies

prepared

FIGURE 13: IHM LEVEL 1.11.2 IHB BILLING PROCESS DIAGRAM

TABLE 14: IHM LEVEL 1.11.2 IHB BILLING PROCESS DESCRIPTION

Step

Name Description Actors

Start START 1.11.2 Inspection completion triggers the IHM billing process. IHB

1.11.2.1 Billing statement prepared in Excel Bill created in Excel based on review. IHB

1.11.2.2 Bill converted to PDF

Bill converted to a PDF document and sent. IHB

1.11.2.3 Bill received Bill received by IHM Applicant. IHM Applicant

Name Description Actors

1.11.2.4 Monies prepared

IHM Applicant prepares and sends monies. IHM Applicant

1.11.2.5 Monies received Financial Services receives monies. Financial Services

1.11.2.6 Payment notification received

IHB is notified by Financial Services that the bill has been paid. IHB

1.11.2.7 Payment information updated

Payment information in Excel tracker is updated. IHB

End RETURN 1.11 Billing complete / Return to map 1.11. IHB

5 Current-Business Processes TPI According to Texas Administrative Code, Chapter 70, a TPI is an approved person or agency, private or public, determined by the Texas Industrialized Building Code Council to be qualified to inspect industrialized housing, buildings for compliance with approved plans, documentation, compliance control, and applicable code. Currently, there are 68 TPIs registered with IHB.

This section details the business process steps to becoming a TPI. Specifically, the following are included:

• Process diagrams developed using BPMN, organized according to the logical and hierarchical breakdown of the overall business process model of the TPI licensing core activities.

• Narrative description tables.

The below table lists the description of the actors involved in the TPI application process.

TABLE 15: TPI ACTORS’ DESCRIPTION

Council The Texas Industrialized Building Code Council consists of members appointed by the Governor.

Financial Services A department within TDLR that is responsible for monies received from the TPI Applicant and for Comptroller deposits.

Financial Services – Administrative Team

A team within the Financial Services department that is in charge of receiving applications and conducting financial data entry.

Financial Services – Revenue Team

A team within the Financial Services department that is in charge of incoming monies, returns, and deposits.

IHB

The department within TDLR that supports TPI certification. The TLPS 7 is a role within IHB.

Licensing The department within TDLR that is responsible for data entry, review, certification processing, and renewals.

TDLR

Licensing and Financial Services are within TDLR, therefore falling into the overall TDLR umbrella as a swim lane.

TLPS 7

According to Texas Administrative Code, Chapter 70, the executive director recommends qualified third-party site inspectors to the Council for approval. The TLPS 7, within IHB, supports this function.

TPI Applicant An applicant requesting TPI certification.

The table below describes the color-coding identification of the sub processes within the TPI business process maps within this section.

TABLE 16: TASK PROCESSES COLOR CODING

Task Description

Blue

Blue task objects are traditional workflow tasks that involve user interaction. There is no further detail that emanates from this task.

Green

The green task object describes the TPI registration application submission process. Task 1.1 is the highest-level task within the level 1.0 map. It is expanded into further detail in map 1.1.

Purple

The purple task object describes TPI application processing. Task 1.2 is the highest-level task within the level 1.0 map. Task 1.2 is expanded into further detail in maps 1.2, 1.2.2, and 1.2.4.

Turquois

The turquois task object describes the TPI interim approval process. Task 1.3 is the highest-level task within the level 1.0 map. Task 1.3 is expanded into further detail in map 1.3.

Grey

The grey task object describes the final TPI certification step. Task 1.6 is the highest-level task within the level 1.0 map. Task 1.6 is expanded into further detail in maps 1.6, 1.6.2, and 1.6.3.

5.1 LEVEL 1.0 TPI Certification Process Diagram

The diagram below depicts the highest-level overview of the TPI certificate application process, referred to as level 0. Sub-processes are further expanded upon below, referred to level 1. Any further expansions will follow as level 2 sub-processes.

TPI Level 1.0

B

TP

I A pp lic an t Co un cil

TD

LR

START

1.2 Application

processed

1.3 Interim

approval granted

1.4 Application

determination made

1.1 Completes

application for certification

END

YESApproved

(YES/NO)

1.7 Notified to

rectify issue

NO

1.8 Rectifies issue

1.6 TPI is certified

1.5 Receives

approval

6 months - year

FIGURE 14: TPI LEVEL 1.0 CERTIFICATION DIAGRAM

TABLE 17: TPI LEVEL 1.0 CERTIFICATION DESCRIPTION

Step

Name Description Actors

Start START TPI Applicant triggers the certification application process. TPI Applicant

1.1 Completes application for certification

TPI Applicant completes TPI application and compiles supporting documentation. TPI Applicant

1.2 Application processed

TPI Applicant submits application and documents to become registered with TDLR, where the application is processed. TDLR

1.3 Interim approval granted

Interim approval is granted to work as a

TPI. IHB

1.4 Application determination made

The Council meets every six months to a year and will make the final decision on approving applicants as certified TPIs. Council

1.5 Receives approval

IHB receives email notification of TPI approval from the Council. IHB

1.6 TPI is certified

Once approved, TPI certification is created and provided. TDLR

1.7 Notified to rectify issue If there are issues, IHB is informed. IHB

Name Description Actors

1.8 Rectifies issue

The TPI Applicant will resolve the issue(s). TPI Applicant

End END TPI Applicant receives approval. TPI Applicant

5.2 LEVEL 1.1 TPI – Applicant’s Application Submission Process Diagram

The diagram below depicts the TPI Applicant’s application submission process, referred to as sub-process 1.1 (level 1).

TPI Applicant Level 1.1

TP

I A pp lic an t

TD

LR

START 1.1

1.1.1 Retrieves

application from website

1.1.2 Completes

application

1.1.3 Mails

application to

TDLR

FIGURE 15: TPI LEVEL 1.1 APPLICATION SUBMISSION DIAGRAM

TABLE 18: TPI LEVEL 1.1 APPLICATION SUBMISSION DESCRIPTION

Step

Name Description Actors

Start START 1.1 TPI Applicant triggers the certification process. TPI Applicant

1.1.1 Retrieves application from website

TPI Applicant downloads and prints TPI application from https://www.tdlr.texas.gov/. TPI Applicant

1.1.2 Completes application

TPI Applicant fills out application and signs. TPI Applicant

1.1.3 Mails application to TDLR

TPI Applicant sends $100, application and supporting documents to TDLR through USPS. TPI Applicant

End RETURN 1.0 Return to level 1.0 map. TDLR

5.3 LEVEL 1.2 TPI – TDLR Application Intake Process Diagram

The diagram below depicts TDLR’s TPI application intake process, referred to as sub-process 1.2 (level 1). This process depicts the initial steps to becoming registered with TDLR. Financial Services and Licensing are within TDLR.

TDLR Level 1.2 na nc ia l S er vic es

Lic en sin g

TP

I A pp lic an t

1.2.2 Application

packet sorted and filed

1.2.1 Application

packet received

1.2.4 Application

filed

RETURN 1.0

1.2.3 Receives

application

START1.2

FIGURE 16: TPI LEVEL 1.2 TDLR APPLICATION INTAKE DIAGRAM

TABLE 19: TPI LEVEL 1.2 TDLR APPLICATION INTAKE DESCRIPTION

Step

Name Description Actors

Start

START 1.1

TPI Applicant triggers the certification application process. TPI Applicant

1.2.1 Application packet received

Application packets and monies are received from USPS by Financial Services.

Financial Services

1.2.2 Application sorted and filed Personnel sort and file application.

Financial Services

1.2.3 Receives application

Application and supporting documents sent to licensing for review. Licensing

1.2.4 Application filed Application reviewed and filed. Licensing

End RETURN 1.0 Return to level 1.0 map. Licensing

5.4 LEVEL 1.2.2 TPI – TDLR Application Intake Process Diagram

The diagram below depicts TDLR’s TPI application intake process, referred to as level sub-process 1.2.2 (level 2). This process depicts the lowest level step to becoming registered with TDLR before IHB review.

TDLR 1.2.2

na nc ia l S er vi ce s

Ad m in ist ra tiv e

I A pp lic an t

Fi na nc ia l S er vi ce s

Re ve nu e

1.2.2.3 Stamp

all money types

1.2.2.4 Application

financials data entry

1.2.2.5 Verify

data

1.2.2.6 Rectify

internally

NO ERROR

1.2.2.1 Application and monies

sorted

1.2.2.2 Application and monies

bundled

Error (Internal/ External)

INTERNAL

EXTERNAL

1.2.2.9 Send notice to Applicant with

monies

1.2.2.7 Files

monies

ERROR

Verified

(Error/No Error)

RETURN 1.2

APPROVED

QuickBooks

1.2.2.8 Develop

rejected notice

PDF

START 1.2.2 END

FIGURE 17: TPI LEVEL 1.2.2 TDLR APPLICATION INTAKE DIAGRAM

TABLE 20: TPI LEVEL 1.2.2 TDLR APPLICATION INTAKE DESCRIPTION

Step

Name Description Actors

Start START 1.2.2 Receiving application triggers activity. Licensing

Name Description Actors

1.2.2.1 Application and monies received and sorted

Application packets and monies are sorted.

Financial Services – Admin Team

1.2.2.2 Application and monies bundled

Application packets and monies are bundled.

Financial Services – Admin Team

1.2.2.3 Stamp all money types

Stamp/Receipt is placed on all money types.

Financial Services – Admin Team

1.2.2.4 Application financial data entry

Application financial data is entered into QuickBooks.

Financial Services – Admin Team

1.2.2.5 Verify data

Ensure data in application is the same as QuickBooks and meets expectations of application type.

Financial Services – Revenue Team

1.2.2.6 Rectify internally

Financial Services resolves data entry issue.

Financial Services – Admin Team

1.2.2.7 Files Monies

Files monies until application determination

Financial Services – Revenue Team

1.2.2.8 Develop rejection notice PDF

The rejection notice is developed in PDF format.

Financial Services – Revenue Team

1.2.2.9 Send notice to TPI Applicant with monies

Notify TPI Applicant of rejection through PDF justification document and return monies by USPS mail.

Financial Services – Revenue Team

End END / RETURN 1.2 END / Return to level 1.2 map Financial Services – Revenue Team

5.5 LEVEL 1.2.4 TPI – TDLR Application Intake Process Diagram

The diagram below depicts TDLR’s TPI application intake process referred to as subprocess 1.2.4 (level 2). This process depicts Licensing’s data entry and verification process.

TDLR 1.2.4

en sin g

IH

B Fi na nc ia l

Se rv ic es

I A pp lic an t

START1.2.4

1.2.4.5 Check TPI

registrants list to see if already registered with same address

1.2.4.6 Notate

license record

1.2.4.1 Receive

invoice and application list

1.2.4.8 Update

Open Invoices as

"Rejected"

1.2.4.9 Download

Open Invoice Excel file

Registered

YES/NO

1.2.4.4 Compare and

verify application data

1.2.4.3 Transfer

application data to

Master Log

1.2.4.2 Transfer

application data to

Open Invoices SharePoint

SharePoint

1.2.4.14 Add new

record data to

Database

IHB Access Database

YES

NO

1.2.4.10 Email file to

Financial Services to

"Release" monies Applicant

Access

1.2.4.7 Update Batch

Log as "Rejected"

RETURN 1.2

YES

1.2.4.15 Notify IHB

of TPI Applicant

1.6.3.12 Notify applicant

of rejection by mail and return monies

END

1.6.3.11 Generate rejection pdf

FIGURE 18: TPI LEVEL 1.2.4 TDLR APPLICATION INTAKE DIAGRAM

TABLE 21: TPI LEVEL 1.2.4 TDLR APPLICATION INTAKE DESCRIPTION

Step

Name Description Actors

Start START 1.2.4 Financial Services notification triggers process.

Financial Services

1.2.4.1 Receive invoice application list

Receive invoice, application data list from Financial Services (email and paper). Licensing

1.2.4.2 Transfer application data to Open Invoices

Transfer Licensing application data to Open Invoices. Update Excel file in SharePoint. Licensing

1.2.4.3 Transfer application data to Master Log

Transfer licensing application data to the Master Log (batch, invoice number, stamp dates, application types, and object-money codes). Update Excel file in SharePoint. Licensing

1.2.4.4 Compare and verify application data

Compare and verify data from the financial and licensing application list. Licensing

1.2.4.5

Check TPI registrants list to see if already registered with same address Verify list of TPI registrants. Licensing

1.2.4.6 Notate license record

Enter license record (date, receipt number, receipt date) to Access Database. Licensing

1.2.4.7 Update Batch Log as "Rejected"

Update Batch Log file with a "Rejected" status. Licensing

1.2.4.8 Update Open Invoices as "Rejected"

Update Open Invoice file with a "Rejected" status. Licensing

1.2.4.9 Download Open Invoice Excel file Download file in Excel format. Licensing

1.2.4.10

Email file to Financial Services to "Release" monies to TPI Applicant

Financial Services receives update for the "Release" of the monies.