ESBD_371873_1723662937092_Attachment O - TDLR Compiled Documents ISF.pdf

Texas Department of Licensing and

Regulation

Business Process Mapping

May 5, 2023

IHM Requirements Gathering Session Licensing

Strategy | Process | Technology

Agenda 1. Background and Scope

2. Requirements Gathering Topics & Questions

Background and Scope

ISF has been engaged by TDLR IHB to provide subject matter expertise and capabilities to conduct detailed process mapping to help define current-state licensing workflows. This review will help to uncover process gaps and deficiencies, which will enable the comprehensive development of future-state workflows and the implementation of a standardized licensing platform. Furthermore, updating its primary systems will improve TDLR’s ability to operate efficiently.

ISF’s business process mapping effort will focus on two (2) license types:

• The Industrialized Housings and Buildings Certified Manufacturers (IHM)

• The Third-Party Inspector (TPI)

Background & Scope

Source: Microsoft Office

Example Process Map

Requirements Gathering

Licensing processes renewal applications for Manufacturers:

✓ Money - processed in Quick Books

✓ Applications - processed in IHB Access Database

PROCESS TOPICS FOR DISCUSSION

Licensing staff manually generate renewal notices from the IHB database 60-65 days prior to the expiration of licenses for all IHB license types.

Licensing processes initial applications for Manufacturers:

✓ Money - processed in Quick Books

✓ Applications - processed in IHB Access Database

Role

Process Steps

Work Effort

• When walking through each step:

• Can you note if it is manual, or paper based?

• What system is used (e.g., Access, Outlook, Etc.)

• What is the timeline for each process?

• Does the system/data interface with other internal or external systems?

• What is your role and responsibility?

• Are there others that work with you who also perform your function?

• Are there any legal documents that guide your work (e.g., SOP, etc.)?

• What is your work effort for each application (hours spent)?

• What is the overall timeline for each application?

• What are the pain points/bottlenecks/issues of the current-state process, including system functionalities or the lack of?

TOPIC QUESTION

Thank you!

Texas Department of Licensing and

Regulation

Business Process Mapping

May 5, 2023

IHM Requirements Gathering Session

IHB

Strategy | Process | Technology

Agenda 1. Background and Scope

2. Requirements Gathering Topics & Questions

ISF has been engaged by TDLR IHB to provide subject matter expertise and capabilities to conduct detailed process mapping to help define current-state licensing workflows. This review will help to uncover process gaps and deficiencies, which will enable the comprehensive development of future-state workflows and the implementation of a standardized licensing platform. Furthermore, updating its primary systems will improve TDLR’s ability to operate efficiently.

ISF’s business process mapping effort will focus on two (2) license types:

• The Industrialized Housings and Buildings Certified Manufacturers (IHM)

• The Third-Party Inspector (TPI)

Background & Scope

Background

Industrialized Housing and Building Manufacturer Certification Process (IHM)

IH

B

IH

M D es ig n Re vi ew

Ag en cy

(D

RA

Start Select TPIA and DRA for Council approval

DRA reviews documents

Stop

IHM submits documents for

Council approval

DRA submits approval documents to IHB and IHM

IHB Processes and stores documents

IHM request plant certification from

(IHB)

IHB department reviews documents

IHB schedules certification inspection

IHM addresses deviation report

IHB processes and uploads to SharePoint

DRA notifies manufacturer of uncorrected deviations

IHB issues certification checklist and final report

IHB notifies DRA of deviations if any

No

DRA reviews and approves certification

Yes

Role

Process Steps

Renewal vs Initial Note: We must map both processes

Work Effort

• When walking through each step:

• Can you note if it is manual, or paper based?

• What system is used (e.g., Access, Outlook, Etc.)

• What is the timeline for each process?

• Does the system/data interface with other internal or external systems?

• What is your role and responsibility?

• Are there others that work with you who also perform your function?

• Are there any legal documents that guide your work (e.g., SOP, etc.)?

• What is your work effort for each application (hours spent)?

• What are the pain points/bottlenecks/issues of the current-state process, including system functionalities or the lack of?

• Please note the differences in processes when referring to an initial or renewal application.

• What is the overall timeline for each application (initial vs. renewal)?

TOPIC QUESTION

Thank you!

TEXAS DEPARTMENT OF LICENSING AND REGULATION

REGULATORY PROGRAM MANAGEMENT – INDUSTRIALIZED HOUSING AND BUILDINGS

P.O. Box 12157 Austin, Texas 78711 (512 )539-5735 (800 )803-9202 FAX (512) 539-5736 ihbtech@tdlr.texas.gov www.tdlr.texas.gov

Manufacturer registers with the Department and a certificate of registration is issued.

Manufacturer selects an approved design review agency (DRA) and submits plans and manual to DRA for approval

DRA approves plans and manual and forwards 1 copy to TDLR, 1 copy to the mfg, and keeps 1 copy for their files.

Manufacturer sends written request for certification inspection to TDLR

Manufacturer is ready for certification inspection

Inspection is scheduled, TDLR performs pre-certification review, submits report to mfg and DRA

Inspection is performed.

Manufacturer is certified?

Deviation report is issued to manufacturer.

NO

Deviations corrected?

Manufacturer is not certified

NO

Manufacturer is certified and added to certified list

YES

Manufacturer is eligible to purchase Texas decals

YES

Steps to Becoming a Certified IHB Manufacturer

Texas Department of Licensing and Regulation PO Box 12157, Austin, TX 78711 (512) 463-7353 [(800) 803-9202 - In Texas Only] FAX: (512) 475-4364

Internet address: www.tdlr.texas.gov email address: IHBTech@tdlr.texas.gov

INDUSTRIALIZED HOUSING AND BUILDINGS

MANUFACTURER’S PRE-CERTIFICATION REQUIREMENTS

REFERENCE REQUIREMENT COMPLIANCE

(Yes or No)

Rule 70.20 Rule 70.80(a)

The manufacturer has registered with the Department and paid the appropriate fee. A registration number has been assigned.

Registration #IHM-_____

Rule 70.70(a)(1) Rule 70.61(c)

The manufacturer chooses a design review agency (DRA) and a third party inspection agency (TPIA) from the approved lists. The choice is made in writing to the Department.

DRA Registration #IHDRA-_____ TPIA Registration #IHIA-_____

Rule 70.70 Manufacturer submits design package to DRA for review and approval.

Rule 70.70(a)(4) Certification inspection procedures

The DRA approves design package and applies Council stamp to each page. A copy of the manufacturer's approved design package is in the Department office a minimum of two business weeks prior to the start of the inspection, or the inspection shall be rescheduled to the next available inspection date.

Rule 70.60 The manufacturer requests a certification inspection from the Department. The request must be in writing a minimum of 2 weeks prior to the desired start date. Certification inspections are generally scheduled to begin on a Monday afternoon or Tuesday morning.

When possible, the Department will schedule the certification inspection for the requested start date. Inspections are scheduled on a first come, first served basis.

Desired Start Date of Inspection: __________

TDLR a019ihb 09/19

QUICKBOOK ONLINE VERIFICATION

Area: Revenue Title: QuickBooks Verification

Issued: 12/16/2021 Revised: 4/13/2023

Purpose: To verify items received in QB and distribute them to the correct areas.

Procedures:

1. Support Staff will place the QB invoices in the QB basket above the Tulip Cabinet. At this time retrieve the black crate with all the QB checks (stored in the mailroom).

2. Browse through the paperwork given to you by the Support Staff Team. Separate the DR’s and place them to the side. The DR’s will have a pink slip attached (Direct Return Form) to the paperwork.

**To process DR’s please review the QB Direct Return Procedures.

SOP – INDUSTRIALIZED HOUSING & BUILDINGS

INITIAL APPLICATIONS

Licensing processes IHB Builder, Manufacturer, REF Builder, Third Party Inspector, Third Party Inspection Agencies (TPIA) and Design Review Agencies (DRA) applications

✓ Money - processed in Quick Books

✓ Applications - processed in IHB Access Database

REQUIREMENTS

• Completed application

• Application fee

• TPIA/TIP/DRA: RPM review & approval of application required

BEFORE PROCESSING

1. SEARCH FOR EXISTING COMPANY

• Check the Texas Registrants List online to see if the company currently has a registration under the same license type.

• Click the corresponding link, based on the license type selected on the application o If a registration exists with the same physical address, process as a renewal o If a registration exists with a different physical address, a new record is created https://www.tdlr.texas.gov/ihb/ihblists.htm

*Note RE: Texas Corporations: Use the Secretary of State (SOS) Direct on the Secretary of State website to verify the company. Search by name, FEIN or Tax Id number. Name-based search is best. Also, search Texas Comptroller’s website by name or tax id number.

Taxable Entity Search (state.tx.us)

BUILDER APPLICATIONS

2. CREATE A NEW RECORD

• Click BUILDERS https://mycpa.cpa.state.tx.us/coa/

• At bottom of the page, click the last record button (arrow with a bar)

**Screen goes to the last record**

• The IHB number shown is the last IHB license # issued (IHB-2132 seen in example)

• Click Add New Record, to assign the next IHB license # in sequence (ie IHB-2133)

• Type the information from application:

o Receipt = # stamped/written on the right of the application o Original Reg date = TDLR Mail Room stamp date – mmddyy format (slashes not required) o Employer ID (Federal or Tax Id number) – **For Texas Corporations, verify on the

Secretary of State and Texas Comptroller websites** o Business Type – Corporation, LLC, Partnership, Sole Proprietor

▪ If business type on app does not match SOS or CPA what happens?

o Email address = on application o App Date = TDLR Mail Room Stamp date– mmddyy format (slashes not required) o Exp Date = one year from date process is completed o Date Issued = Date certificate is printed/process is completed– mmddyy format (slashes not required) **NO ENTRY in Notify Date, Exp Notice, or Reissue Date** o DBA/Name = Company name and/or DBA (if applicable) DBA NOTE: Company name is always typed here. If a DBA is provided the DBA is also typed in.

Ex1. Company shows HOME EC INC DBA CONNECT HOMES on application. The entire name is typed in DBA/Name field.

Ex2. Company shows HOME EC INC (no DBA), type HOME EC INC in DBA/Name field o Company Name = Only the DBA name (if provided); If no dba provided, leave blank o Location Address = Physical Address Street # & street name o Location City = Physical location of City o Location State = Physical location of State o Location Zip Code = Physical location of Zip Code o County = Physical location of County o Phone = phone # provided o Fax = if applicable o Mailing Address = As verified on USPS site o CEO Contact First Name (if no CEO listed use president) o CEO Contact Last Name (if no CEO listed use president) o Contact = Contact person listed on application o Other officers – Type all officers or partners names and titles, followed by the % owned, and separated by a semi-colon(“;”). Include the CEO/President

▪ For Corporations-Renewals can only be signed by officer of corporation

▪ For Partnerships-Renewals can only be signed by a partner

▪ For LLC-Renewals can only be signed by partners or officers depending on how the LLC was originally set up

▪ Sole Proprietor-Renewals must be signed by sole proprietor o Notes Licensing

▪ Date application is processed

▪ RFI Information (if applicable)

▪ Receipt/Invoice # assigned

▪ TDLR Stamp Date

▪ “RFI mailed/emailed” (if applicable)

▪ Initials of processor

EX. 04/08/23: NEED name, sign & date on application. Rcpt 2345678 dated

03/12/23. YL

• Click SAVE icon **NOTE: Data is not saved or updated if this step is skipped**

3. GENERATE THE CERTIFICATE

• Verify all entered information is correct

• Verify information is SAVED

• Certificate is printed from each file

• Click PREVIEW CERTIFICATE

**If prompt appears advising “The section width is greater than…pages may be blank…” click OK**

• Confirm print date in upper right is current date

• Click PRINT

• Change Printer Name: to Microsoft Print to PDF

• Click OK

**If prompt reappears advising “The section width is greater than…pages may be blank…” click OK**

• Save to SharePoint folder IHB Licenses Ready to Print

NOTE: Licenses will be combined using Adobe Pro and emailed to Licensing Support to print/mail

• Use license # for file name (EX. IHB-2123)

• Include a copy of Bulletin # 10-001 Responsibilities of the Industrialized Builder for Site Construction and Inspections

After you click Preview Certificate, you’ll get the following message; Click OK

Print Certificate, then Close Print Preview

*Note: Make sure the application is signed and dated and the Criminal History Question on page 2 is answered.

*Cannot issue Certificate if left Blank.

*Use copy of certificate to print on beige certificate paper *Prep application for Imaging

Manufacturer or REF Builder Applications

1. SEARCH FOR EXISTING COMPANY

• Check the Registrants List to see if the Company is registered as a Manufacturer or REF o Click Certified Manufacturers - Alphabetical

*Note: Use the Secretary of State (SOS) Direct system on the Secretary of State website to verify Texas Corporations.

Search by name, FEIN or Tax Id number. Name-based search is best. Also, search Texas Comptroller’s website by name or tax id number.

*Note: Make sure the application is signed and dated and the Criminal History Question on page 2 is answered.

2. OPEN MANUFACTURERS DATABASE

• Click Manufacturers

• Click the “Last Record” button (bottom of screen)

The number listed in Mfg# is the last company that was registered

• Click Add New Record to create new registration (ie IHM-713)

• Type the following information from application:

o Receipt number o App Date (stamp date) o Exp Date (one year from application date) o Date Issued (date you are printing certificate) o Employer ID (If this is a Texas Corporation, verify with the Secretary of State and Texas

Comptroller) * o Business Type – Corporation, LLC, Partnership, Sole Proprietor

*No Entry in Notify Date, Exp Notice, or Reissue Date Name – Always put the company name in this field (if there is a DBA – enter DBA name in this field)

• Company Name – Only enter company name in this field if there is a DBA provided; If no dba is provided then leave this field blank

• Email address

• Contact person

• Location Address

• Location City

• Location State

• Location zip code

• County

• Mailing Address 1 – street or p o box (be sure to verify address with USPS)

• Mailing Address 2 – city, state and zip code

• Phone

• Fax

• Business Type

• Employer ID (Federal or Tax Id number If this is a Texas Corporation, verify with the Secretary of State and Texas Comptroller)*

• For Corporations - applications can only be signed by officers of corporation

• For Partnerships - applications can only be signed by a partner

• For LLC - applications can only be signed by partners or officers depending on how the LLC was originally set up

• Sole Proprietor - applications must be signed by sole proprietor

• CEO Contact first and last name (if no CEO use president)

• Officers (include CEO or president in list of officers) After entering all information be sure to click on Save at the top of the page or all information will be lost.

• Certificate is printed from within each file – Click preview IHM for manufacturer and preview REF for REF Builder, verify information was saved correctly, click print button at the top of the page

After you click Review IHM; you’ll see the following message, click OK

Print Certificate them Close Print Preview

*Use copy of certificate to print on beige certificate paper

*Prep application for Imaging

3. Now that the DR’s are set aside, the remaining batches can be verified. Each Batch will have 2 copies of the Invoice Header. At this time, ensure both Invoice Sheets match. Use one of the Invoice sheets to verify the items listed below.

On the Invoice sheet verify: (Check off each item you verify on the batch sheet and initial the top right corner once verified)

• Bill To: Verify the Name and Address matches the check or in some cases the paperwork or envelope.

• Invoice #: Verify the Correct Receipt # is listed on the paperwork and on the payment (check/money order/cash receipt.)

• Total Due: Matches the amount on check and on paperwork

• CK/CH/MO/CC Number: Enter the Payment Method (check [CK]/money order

[MO]/cash receipt) with the last 4 digits of the check.

• Program: Verify the program code is correct

On the paperwork verify:

• The date received is stamped on all applications/ renewal forms/ legal forms, etc.

• The money amount and money type are listed on the 1st page of the paperwork.

• The receipt number is listed on all applications/ renewal forms/ legal forms, etc.

• The check is valid (i.e., not non-negotiable, written amount matches numerical amount, not post-dated or stale dated, bank is in the United States, etc.)

4. Once all batches are verified, the payment and paperwork can be separated. The check will be paper clipped to the invoice that has your initials. The paperwork will be stapled to the other invoice sheet.

5. File the checks in the QB crate in order by Invoice #.

6. Sort the Paperwork by the department it should be routed to. Below is a list of the different departments, that receives QB’s, along with the programs they work.

DEPARTMENTS PROGRAMS

LICENSING AB REG, AB VARIANCE, IHB REG, IHB DUP

ORDER, IHB RNWL, AB SPE-REG, AB COMP

PODIATRY POD HBO, POD N20, POD TEMP, POD RAD

TECH, POD RAD RNWL, POD TEMP RNWL

RPM-TAS/TAA TAA-REG, TAS/TAA ORDER

RPM-IHB IHB PERMIT, IHB TRAVEL, IHB INSIGNIA, IHB

DECAL

ENFORCEMENT NC: AB LEGAL, IHB LEGAL, (ANY LEGAL

DOCUMENTS OTHER THAN OPEN RECORDS

REQUEST)

GENERAL COUNSEL OPEN RECORDS (GC)

WEATHER MODIFICATION WMD APP, WMD PERMIT

ADMIN ANY OVERAGES/REASON SHOULD BE LISTED

EDUCATION OEP (OEP WORKSHOPS ONLY/OTHER OEP

ITEMS GO INTO VERSA. IF YOU FIND THEM

REMOVE AND TAKE TO STELLA OR HOA.)

BONDS

7. Log into QuickBooks QuickBooks (intuit.com). Select Texas Department of Licensing and Regulation.

8. In Quickbooks, click on Reports https://app.qbo.intuit.com/app/login?&useNeo=true

9. Click on “Open Invoices Today”

10. Click on “Customize”

11. Click on Filter

12. This will bring up the screen listed below. Ensure the Box next to “Due Date” is checked marked.

For the date range, enter the same due date on both boxes. To determine the Due date, count 30 days from the day the invoice was created, or you can look up the invoice number and the Due Date will be listed on the invoice. Example: If the Invoice Date is 12/8/21 the Due Date is 01/07/22.

13. Click Run Report

14. This will bring up the invoices for the current day being worked. Look over the list to confirm the correct report is being displayed.

15. Next, select the upload button.

16. Click Export to Excel

17. The file will show up top right of the screen. Click Open File. Then Select Enable Editing.

18. Delete/Change the following:

• Date listed on the Bottom of the List.

• Delete the Column H (Created By).

• Change All Font to Ariel Size 12

Save the file to your desktop as Open Invoices Date (the date being worked.) This can later be deleted or kept for your records.

Example: In this case It would be named QB Open Invoices 12.8.21

19. Each invoice listed should be highlighted (using the same color for each department). For Example, All the invoices going to the Licensing Department will be highlighted the same color.

Please see example below:

All the highlighted light pink goes to Licensing, All the highlighted yellow goes to RPB IHB (NC), and All the highlighted dark pink goes to Enforcement.

20. At this time, add the signatures to this Open Invoice Report. (The template for the signatures should have been emailed from your Manger, Team Lead or Trainer.) The screenshot below shows all the signatures listed on the template.

Please Note the Following:

• Licensing picks up the paperwork. Therefore, provide each one a copy of the Open Invoice Report to go along with the paperwork. Then place an additional Open Invoice Report on top of bundle. Licensing is the only one required to sign the top Open Invoice Report.

• AB Legal paperwork should be scanned and emailed to Money Mail Enforcement, Susie Perez, Lily Henderson, and Yvonne Lopez. Hard copy goes to Enforcement.

• RPM TAA-TAS, RPM IHB, E&E paperwork can be forwarded to the proper departments.

• GC and WMX are verified and sent to the proper departments. No email to Adam Foster

(WMX) or GC is necessary. Before sending the hard copy to its department a Log sheet must be completed. The checks for these departments will be deposited the following business day.

• ADMIN invoices will be verified and deposited the following business day. A log Sheet will be created. Keep the hard copy aside and this will go attached to the deposit packet.

Revenue Team is cc’s on all open invoices sent to any department

**Remember to change the date the Paperwork was forwarded. **

21. Once signatures have been added the report will look similar to the one show below. Using the Color Printer, print 1 copy of the Open Invoice Report for each Department. For Licensing and Podiatry 1 additional copy is needed so we can have both departments sign OUR copy of the Open Invoice Report.

For Example: In total 4 Open invoice reports should be printed for this report.

22. If there are any invoices for Weather Modification, General Counsel or ADMIN a separate Log Sheet will need to be created. (If you do not have this log please see Manager, Team Lead or Trainer.) If there are not any Weather Modifications, General Counsel or ADMIN then proceed to step 23.

Below is a sample of the 3 Logs and how they should be filled out. Once the Logs are filled out, print the Logs, pull the checks, and place them in the folder located inside the QB crate. Any item placed in this folder will be ready for release (deposit) the following business day.

General Counsel

• Enter your name on the Submitted by portion.

• Correct the date on top if needed.

• Enter the Receipt #

• Enter the Customer Name

• Enter the Amount of the payment

• The “X” should be placed under the Release Column

• Leave the AOBJ # as is.

Weather Modification

• Enter your name on the Submitted by portion.

• Correct the date on top if needed.

• Enter the Receipt #

• Enter the Customer Name

• Enter AOBJ (using the AOBJ Key towards the bottom of the Log Sheet confirm whether its AOBJ 3667 or 3668. This can also be determined by looking at the Application and at the amount of money submitted.)

• Enter the Amount of the payment

• The “X” should be placed under the Release Column

ADMIN (overage)

• Enter your name on the Submitted by portion.

• Correct the date on top if needed.

• Enter the Receipt #

• Enter the Customer Name

• Enter the Amount of the payment

• The “X” should be placed under the Release Column

• Enter the reason we are placing funds in overage.

• Leave the AOBJ # as is.

23. Each Department has a cover sheet The coversheets are available on the beige shelves up against the wall above where the Tulip deposits are filed (If we are out of a cover sheet you will need to get with your Manager, Team Lead, or Trainer). Take however many you need. These cover sheets are placed on top of each bundle being sent out. Now place each bundle in the appropriate areas. Licensing Bundles will be placed in a basket that is placed on the empty front desk by the Revenue Window. All others will go to the appropriate boxes in the mailroom.

These are the Cover Sheets by Department:

24. Email each department that had items being sent their way. (No Email needed for Weather Modification or GC). Attach the Open Invoice Report to the Emails.

• Subject Line for emails: QB Open Invoices [Date on Report]

Here are Examples of the Emails sent to each Department.

Licensing

LEGAL (AB Legal)

RPM TAS/TAA

RPM IHB

25. Once you have emailed each department regarding the open invoices you are now Finished.