HomeMy WebLinkAboutCAG2022-189 - Original - FileLocal - Service Level Agreement For Washington Multi-City Business License and Tax Portal Agency - 04/29/2022KENT
Agreement Routing Form
For Approvals, Signatures and Records Management -
Thls form combines & rep-laces the Request for Mayor's Signature and contract cover sheet forms'
(Print on pink or cheny colored paper)W^sHrNcToN
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oLcq
Originator:
Robert Goehring, CitY Auditor
Department:
Finance
Date Sent:
0412912022
Date Required:
0511312022
Authorized to Sign:
[f Director or Designee E MaYor
Date of Council APProval:
04l0612021
Budget Account Number:
N/A
Budget? EYes E No
Grant? EYes ENo
Type:
Category:
Contract
Vendor Name:
FileLocal
Sub-Category:
Original
Vendor Number:
N/A
project *,*",
M ; lill;ir9;Y"t"g5i ::ffii Agreement (Kent) - For The Washington
nnd tax Portal Agency (dba Filelocal)
ithWSILAannAthMtoctuthorizedaunayorgCo22026OnApriDetails:q1-Project \ALA 6l o2IS(c 2ofthofrvetheLAStnISUSclFiLocaeThISpurpose
Basis for Selection of Contractor: Othef - N/A
Terminarion Dare: 1213112022
Agreement Amount:
stat Date: 0311812021
Local Business? E Yes E No*
*lf meets requirements per KCC 3.70.100, ptease complete "Vendor Purchase-Local Exceptions" form on Cityspace'
Contract Number:Notice required prior to disclosure?
EYes EI No
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Date Received by CitY AttorneY:Comments:
Note from Finance: See attached e-mail
whereby Mayor authorized the Finance
Director to sign this Agreement on her
behalf.
Date Routed to the MaYor's Office:
Date Routed to the City Clerk's Office:l0
ad(w22373-l-20 Visit Documents.KentwA.gov to obtain copies of all agreements
CAG2022-189
FileLocol I
Your ona rtop for local bullnors
llconrlng and tax llllng
rpuw.fllelocal.oro
MEugen Glw $envlce Lrvel Aeneemeur (Kenrr) - FoR rne WesxlNGToN
Mulfl-crw Busrxess Lrcense nno Trx poirnl Aceucv (oan FruLocnl)
The objective of this document is to define the services provided by the Filelocal Agency
each participating member city and the responsibilities each participating member city to the
The service Level objectives outlined in this document support the Agency in meeting its overall strategic
Objectives of providing a reliable, usable and secure website to apply for and receive local business
licenses and file localgross receipt taxes'
This service LevelAgreement (sLA) provides a framework to describe the services and the measures by
which they are evaluated. The framework is outlined in the Service Level Standards section of this
document, and includes a hierarchy of Gritical success Factors (csF), services, service Level objectives
(SLO), and Msasures'
1. Period and Scooe of th9 Aoreement
2. Outllne of FileLocal Aoencv Relationshio with Partie$'
3. Deflnltlon of terms
4. Servlce Level Oblectives
5. Aoencv Resoonsibilities
6. Joint Resoonsibilitiss
7. Citv Resooltsib.ilitias
8. Chanoe Reouest Process for Svstem Uodates
9. Chanqe Order Process fof Servlco Levels
1 0. Suooorting Docqmentation
11. Aooroval and Acceotance
("Agency'') to
Agency.
Overview
Contents
Agreements
1. PrRtoo Rl'to Scope or rxe AcneEMENT
This Agreement will become effective when signed by the participating City and the Agency' This
Agreement shall have an initial term that will end on December 31,2022, (the "lnitial Term"), and
thereafter shall be perpetual, subject to the withdrawal and termination provisions in sections 17 and
2.
19 respectively of the washington Multi-city Business License and Tax Portal Agency lnterlocal
Agreement (lLA). Pursuant to the lLA, during the lnitial Term no city may withdraw from the ILA'
provided that a city may convert or be converted to subscriber status as provided in sections 8'a' 13'd
and 13.k, and may upon action of the Executive Board be terminated from participation in the ILA as
provided in Section 13.k.
OururuE oF FlLELocAu AcEncv Retlrtorusntps wlrH PARTIES
The Agency serves as the Product Manager of the Filelocal system. The Agency's purpose is to
manage the implementation and maintenance of the Filelocal tax portal which includes managing the
use of the system for business and city customers as well as the connections between Filelocal and
the systems of record for each participating city'
The city of seattle contracted with Ramware (dba e-Gov Systems) to provide the FileLocal tax portal
as software as a service (saas) solution. As part of contract 3122, Ramware has agreed to a service
level agreement which ouflines the service provided to the agency and the cities' The agency manages
that service on behalf of the cities. No participating ci$ shall manage the vendor service' The definition
of service provided by Ramware (hereby referred to as PortalVendor) is found in the contracl3122
Service Level Agreement.
The agency also contracted with KUBRA for the Fiblocal payment processing functionality. An sLA is
provided for KUBRA through the city of seattle's KUBRA Contract (FAS2995 WO#l)' There is a direct
line of communication between KUBRA's payment prooessor, Chase Paymentech' and the cities for
any communication on specific payments made by tax payers' General c'ommunications about the
payment process itself is managed by the Agenry. No participating ci$ shall manage the KUBM
contract (hereby referred to as Payment Vendor)'
currenfly there is a resolution (FL2014-06) in place allowing the city of seattle to maintain the Portal
and Payment vendor contracts until implementation is complete' Upon completion of the base
implementation, the contracts will be assigned from the city of seattle to the Agency' This sLA is
designed to be implemented prior to the contracts moving from the City of Seattle to the Agency as the
services described here, and the responsibility for those services, does not change during this time'
3. DertntnoN oF TERMS
Availability shall be measured as follows: (Total minutes of the month - minutes of scheduled service
- minutes of downtime) / (total minutes of the month - minutes of schedule service)
Software as a Service (SaaS): a software distribution model in which applications are hosted by a
vendor or service provider and made available to customers over a network, typically the lnternet'
critical success Factor (csF): the term for an element that is necessary for an organization or project
to achieve its mission and its Strategic Objectives'
Defect: an issue discovered with functionality post-vendor quality assurance (QA)'
Servlce Level obiective (SLO): the service levels that will be included in the SLAs with vendors and
member cities. These represent the goals of the services'
Page2 ol 10
Wde Area Network (WAN): is a network that covers a broad area (i'e', any telecommunications
network that links across metropolitan, regional, national or international boundaries) using leased
telecommunication lines'
4. SERVtcE LEvet Oa.lecrves
. Agency Customer Service SuPPort
r Agency Problem Management
o AgencyManagement
r Change Management
The cities are responsible for providing personnel and infrastructure for city specific functions as they
relate to the operation of FileLocal including:
r City Help Desk Customer Service Support
r Cit! Business Staff
. City TechnologY Staff
o Cit! Facility Provisioning and Maintenance
r Network Services
r City Systems of Record (SOR)
r City Tax Documentation
several of the services in the agreement require more than one of the parties of this agreement to
share responsibility for providint the services. The City, the Agency, and the Portal and Payment
Vendors share responsibilities for the following services:
r lncident RePorting
r Problem Analysis
. User Provisioning
o Network Services
. RelationshipManagement:Staffing
The slos are the levels at which services are expected to be performed. on a regular cadence the
actual service levels will be compared to the objectives in order to determine if the parties are meeting
the slos and ultimately the strategic objectives. The attached sLo matrlx (see suoportino
documentation l) contains the sl-A framework or more specifically a hierarchy of csFs, services, slos'
r".poniiUle parties, measurement methods, calculations, and reference documentiation'
As stated in the ILA the Agency has the responsibility and authority for overseeing the Portal and
payment vendor's contractual responsibilities to develop, own, operate, maintain and manage the
Portal, and for managing the operations of the Portal Agency'
The Agency is responsible for managing the implernentation, maintenance, and use of the Filelocal
tax portalforthe participating cities, businesses, and city customers. The sLA contains services specific
to the Agency'.s management of the use and maintenance of the portal including:
5. AcerucvResPoNslBlLlTlEs
Pege 3 of 10
The Agency will function as a single point of contact to work with information technology vendors and
service vendors on behalf of the cities. Specifically, the Agency is responsible for managing the
implementation, maintenance, and use of the Filelocal tax portal forthe participating cities' businesses'
and city customers.
AgenGv Manarement
The ILA ouilines that the Agency is responsible for managing portal releases, upgrades, rules for
access, use and maintenance, and expansion of the scope of Portal services with the approval by the
Executive Board.
The Agency will work with the Portal and Payment vendors to monitor the services in the SLA and
adiust the services when necessary.
ArencY Customer Servlce SuPPort
The Agency,s customer service support responsibilities are covered in the Help Desk support Plan
(for more information see suooortino documentatlon D). This plan willcoverthe key elements necessary
ior the function of a help desk and trace the support path through the system'
participating city Administrator questions such as requests for data research and escalation to problem
management are triaged through the Ramware help desk and routed to the Agency when appropriate
Monday through Friday from 8:00 a.m' to 5:00 p'm' (Pacific Time)'
Sfencv Problem Manasemant
The Agency will provide a single point of contact to respond to requests for research and will utilize the
Problem management pr*""r. Problem Management is the process by which problems identified
within the Filelocal system are governed and managed' The Problem Management responsibilities are
covered in the Problem Management Procest Suttary (for more information see ggg4dllg
documentarion E). The agency is responsible for developing and implementing the problem
management process. The cities are responsible for accepting and following the Problem Management
process.
Chanre Uanarement
As part of Problem Management, the Agency will manage a change Management process which shall
controlallchanges in syJem functionality. A completed Change Request Form (for more information
see suooortino docu;ontation B) must be submitted to the Agency lo request any system
enhancements or updates. Any city specific changes in system functionali$ will be paid for by the City
and agreed to as part of the Change Management process' For more detrails on the Change
Management Process see the Filelocal cnange Management Process summary (suooortino
doqlrmentation Q)
6. JotNrResPoNslBlLlrlEs
several of the services described below require more than one of the parties of this agreement to
share the responsibility for providing them. The services described below outline which parties will
share the resPonsibilities.
Page 4 of 10
The ci$ willwork cooperatively with the Agency to monitor system availability and report concerns as
appropriate to the Agency, fne Agency will assist the City with problems regarding system availability
and other problems however, the city is wholly responsible for the support, administration and
maintenance, and monitoring of the city's Locai Area Network (LAN) and soR. The city is also
responsible for providing and maintaining appropriate city end-users of the hosted application with all
of the necessary facilities to adequately access and utilize the hosted application' Furthermore' the city
is wholly responsible for providing up-to-date and accurate information to the Agency for tax related
subject matter. The city must notify the Agency via the Portal Vendor Help Desk of any changes to
"y"l"t interfaces and cooperate fully with the Agency to assist with the implementation' maintenance'
and use of the Filelocal tax portal for the participating cities, businesses, and city customers'
lncldent Reoortlnr
The City will report incidents as appropriate to the Portal Vendor Help Desk as prescribed in the Help
Desk support Plan (for more information see suopqltlng docgmentation D).
lncident reporting will include a short description of the issue and the number of users impacted'
Problem Analnsls
The Agency is responsible for providing analysis of incident trends as needed to assess requests for
change. city and business users should submit their issues through the PortalVendor Help Desk' who
willthen compile the issues and escalate them to the Agency Problem Manager'
The Agency will diagnosis and investigate problems, implement work-a-rounds, and submit Requests
for change as needed to the change Management Process. This process is outlined in the Problem
Management Proce$ Summary (for more information see suooorting documentation E)'
User Provldonlm
The city is responsible for requesting new city system administrato/s accounts' These accounts will
be created by the portal Venior within 1ve (5) days of the City's request. Shorter provisioning times
may be requested by the ci$ in emergency situations. The city and the PortalVendor will follow the
process outlined in the Operations Support Plan document (for more information see suOoortinq
documelrtation C).
city Administrators are responsible for provisioning city users per the process outlined in the city
Maintenance Master Document (for more information see suBportinq dpcq.mentation F)'
The Agency is responsible for provisioning city users in the Payment Vendor i-doxs Payment Manager
portal per the process outlined in the KUBM Account, Login, and User Provisioning Document (for
more information see suoportlns documgntation J)'
Network Services
The portalVendor is responsible for providing adequate network infrastructure to meet the performance
levels specified in the Ramware sLA (for more information see supportino documonts A). Each
participating city is responsible for providing adequate internal network infrastructure so as not to affect
Page 5 of 10
the Portal Vendo/s ability to meet those performance metrics. Each party is responsible for their own
networks for the support, maint€nance, and monitoring of their dedicated LAN and or (WAN)'
Neither the Portal or Payment Vendors nor the Agency bear any responsibility for performance and
availability problems on networks within the City's control or outside the City's control (business user
networks).
It should be noted that neither the cities nor Portal and Payment Vendor can control any lnternet
connectivity in between the networks, even if Virtual Private Networks (VPN) are used' Thus'
perforrnance over any internet links cannot be guaranteed end to end.
It is the direct responsibility of the city to notiff the Portal Vendor Help Desk of any outages as soon
as they are known.
Relationship Manaqgment; Stafflns
Cities will provide a single point of contact to the Agency. The City contact person willtriage issues to
city technical and business staff related to all aspects of the application for development and operational
matters.
The Agency wi1 maintain and share with the Portal Vendor a document identifying the City's points of
contact and their contiact information.
Page 6 of 10
7 Clw REsPoNslBltlrlEs
The abllity of Filelocal to meet its strategic objectives depends on the cities being an integral part of
the Filelocal operations and maintenance. As a party to this agreement the cities are responsible for
providing staff, technology, and access to their system of records'
Cltu Staff Help Derk Custpmer Servlce Supoort
Participating cities will make customer support staff available Monday through Friday from 8:00 a'm' to
5:00 p.m. (Pacific Time) to provide customer service support for all city processes related to taxes'
licensing, and payments. lt strould be noted that the first tier of support is the Portal vendorfor Filelocal
issues. The Portal vendor will transfer any city specific questions to the individual city for assistance to
the customer.
The cities, help desk responsibilities are covered in the Halp Desk support Plan (for more information
see suooortino documentatlon D). This plan will cover the key elements necessary for the function of a
help desk and trace tn" ruppott path through the system, such as ooverage and contact methods for
incoming issues, issue management process overview, escalation protocols and contact information'
and security protocols and procedures'
The Help Desk support plan addresses the customer support of the Filelocal Tax Portal for business
users and city administrators. For information about operations support of the system, please refer to
the Operations Support Plan (for more information see suoportino documentation Q)'
€ltv Euslness Staff
City business staff supports Filelocal processes, documentation, and training of other city staff' The
city shall provide one primary Filelocal resource who will be responsible for the implementation and
management of FileLocalwithin the city's license and tax environment.
The Cig and the Agency shail joinily determine the specific number of business staff who will interact
with the Agency to ettectively rnanage the business processes which support Filelocal' Once identified'
the City, via a Gusto*"i A.*rnt Registration Form (for more information see sg!pg4!!ll
documentation H), shall provide all necessary business staff contiact information to the Agency' i'e''
name, phone number, mobile phone number, pager number, email address, mailing address' and all
contact information for a secondary point of contact'
CltvTechnolorr Staff
Each participating city will monitor system availability and report concerns as appropriate through
previously identified system Administrators who will be responsible to the single Filelocal
representative. The ci$ and the Agency shall iointly determine the specific number of system
Administrators who will interact with the portalVendor to effectively manage the Portal Vendor services'
Once identified, the Gity, via a Customer Account Registration Form (for more information see
sUooortlno docUmentation H), shall provide all necessary System Administrator contact information to
the Agency, i.e., name,ffie number, mobile phone number, pager number, email address' mailing
address, and all contact information for a secondary point of contact'
Page 7 of '10
The Cig shall provide the necessary resources to assist with the effective deployment, maintenance,
and administration of the application services (e.g. assistance with the scheduling of planned system
maintenance activities)'
Citv Facllltv Provlsloninr and Malnte[ancc
Each participating city is responsible for provisioning and maintaining appropriate city end-users of the
hosted application with all of the necessary facilities to adequately access and utilize the hosted
application; including, but not limited to, a personal computer (PC) with sufficient processing' memory
and networking capabilities. A recommended minimum configuration would contain at least a 2 GHz
processor, 4 GB of Ram, 250 MB Hard Drive, 100/1000 Network card, and connection to the internet'
cities will purchase, install, and maintain everything necessary to provide and maintain security for the
web service transmissions'
Network Sewices
Each participating city is wholly responsible for the support, maintenance, security, and monitoring of
the city,s LAN. The portalVendor, at its discretion, will isolate perceived performance problems (e'9"
availaoitity; to the LAN and provide relevant data to the Gity; however, the Portal Vendor bears no
responsibility to correct defects located within the Ci$'s LAN'
Neither the cities nor the Agency can control any lnternet connectivity in between the networks, even if
VPNs are used. Thus, performance over any internet links cannot be guaranteed end to end'
Citv Svstems of RecofC (SORI
Each city is wholly responsible for the support, maintenance, and monitoring of their SOR with which
the FileLocal Portral interfaces'
The city soR is expected to meet the following service level objectives:
r Available, maintained, and monitored
. stores and retrains city data as the authoritative source of city data
. Data integrity is maintained
. Software is kept current, includes proper security, and patching us up-to-date'
r provide security processes for the application and associated data at or above the same tevel of
security as the FileLocal Security Policies adopted by the Executive Board via Resolution
FL2015-05 and the State of Waehinoton Securitv Policles'
o Datra lnterchange usage and support meets standards
r Business processes utilizing the Filelocal portal are functioning
r lf applicable, is connected to the Filelocal portal'
Any changes to system interfaces must be communicated and coordinated with the Agency who will
communicate to the portal and payment vendors. Neither the Agency nor any Portal or Payment
vendors bear any responsibility to correct interfaces for a city's system of record. The procedures for
Filelocal participating cities to inform and obtain approval for interface changes will be defined in the
Change Management Process Summary (for more details see suOnorting documentation G)'
Pag€ I of 10
Clh,Tax Documsntatlon
Each city is wholly responsible for providing up-to-date and accurate information to the Agency for
communication to the portal vendor for trax related subject matter. The Agency and Portal vendor bear
no responsibility for incorrect or out-of-date tax related subject matter'
Any changes to tax related subject matter must be communicated through the Ghange Management
process. The Agency will work with the participating cities to ensure information is updated in a timely
manner if the work involves the Portal Vendor making the change. The procedures for participating
cities to inform and obtain approval for updates to tax related information will be defined in the City
Mainlenance Master Document (for more information see guoportino documentation F) and the
FileLocal Change Management Process Summary'
Outreach to Burlnesres Rerardlnr Fllelocal
Each city is wholly responsible for adoption and acceptiance of FileLocal into their existing license and
tax processes for businesses and the outreach and communication to the taxpayer community on the
use of Filelocal for registering and filing via FileLocal. The Agency will provide assist'ance and
communication materials to each city'
8. CHANGE ORoen PRocEss roR SenvlcE LEVELS
The Agency will maintain the sLA with formal documentation denoting agreed upon changes. The city
and thl Agency will mainiain copies of all change orders. Any alteration to the SLA that causes an
increase or decrease in the time or cost required for the performance ol any part of this SLA shall not
become binding until both the City and the Agency have agreed upon an equitable adjustment and the
SLA has been modified in writing accordingly'
The C1y and the Agency must sign any proposed change orders. When this is accomplished, the
changeorderwillbeincorporatedasanofficialchangetotheservice'
A change order process shall control changes in the scope of the SLA' The Change Request Form
(see suooortinq documsntation B) must be used for all change order requests'
9. SupponlNc Docuruexrnroru
i
IT!r[
L
A. Ramware StA.pdf B. Change Request
Form.pdf
r
?
E. Problem
Management Proce!
E ,
F. City Maintenance
Master Document.Pr
C. Operations
Support Plan.Pdf
r[
J".
G. Change
Management Procer
D, HelPDesk
Support Plan.pdf
H, Customer
Accou nt Registratio'
Lat
l,t
Page 9 of 10
ru
?
l. City SLO
Matrix.pdf
@
J. KUBRAAccount
Login User Provisior
1 0. AppRovnl AND AccEPTANcE
we, the undersigned, have reviewed this document and are willing to accept this sLA' we
recommend the approval of its contents
4-29-22.//z\- /r\\l ,kevin Fitzpatrick
Prog ram Manager
Agency lnterim
4-29-22tonWendy T
Paula Pa I
Agency Project
Board
Member
Mana
City
Molly BartlemaYCity Treasurer
wslz2Robert GoehringCity Operating
Committee Member
q / \c1l)^Alexander
McDonald
City FileLocal
resentative
Mike CarringtonCity TechnologY
Officer or TechnologY
Director
Role Name Signature Date
Page 10 of 10
MEMBER CITY SERVICE LEVEL AGREEMENT (KENT - FOR THE WASHINGTON
MULTI-gITY BUSINES5 gCENSE AND TAx pCinrnl AGENCY (DBA FILELOCAL)
Section 9 - Supporting Documentation
Contents
A Ramware Seruice Level Agreement
B Change Request Form
C Operations SuPPort Plan
D HelPDesk SuPPort Plan
E Problem Management Process
F City Maintenance Master Document
G Change Management Process
H Customer Account Registration
I City Service Level Objective Matrix
J KUBM Account Logln User Provisior
Attachment B
SERVICE LEVEL AGREEMENT (SLA)
Gity of Seattle
CONTRACT FOR MULTI.CITY
BuslNEssLlcENsEANDTA)(PoRTALSoLUTIoN
CONTRAGT 3102
Contract #3'lO2
Attachment B - SLA
Page I of{3 201t
1. Period and Scope of the Agreement
The Vendor will provide to the Cig the application, infrastructure, and operational support for the
software applicaiion and functionalities listed in the table below:
Table t: Applicatlons/Functionality supported by the Vendor under this Agreement
Contract #3102
Attachment B - SLA
I Number of
Business license and tax portal
Minimum functionality will include the
following:r Allow taxPaYer to aPPIY for a
business license in MCBLTP
particiPating cities.
o Allow taxPaYer to renew a
business license.r Allow taxPaYer to comPlete and
submit a tax form to MCBLTP
particiPating cities.
e Allow taxPaYer to PaY for taxes
and fees associated with business
license and B&O traxes (and
additional taxes in the future).
r Accept and Process PaYments via
ACH debit (electronic check) and
crediUdebit cards. (Note: ability to
pay by Paper check will also be
configurable.)o Allow taxPaYer to make a single
payment for MCBLTP ParticiPating
cities. Portalwillthen sPlit and
process that PaYment into correct
amounts for each individual CitY-
. Communicate with CitY sYstems of
record (SORs) to validate taxpayer
information.o Provide data files for each CitY's
SOR to deliver business license
and tax information along with
appropriate payment information-
r Provide access to the MCBLTP
system for both taxPaYers and citY
users utilizing a commerciallY
appropriate transmission
encryption sYstem.
o Maintain data securitY for
taxpaYer-entered data, PaYments,
and communication with CitY
SORs through the use of database
SSL
One license issued to The license maY be
assigned as addressed in Section X'
Page 2 ol 13 2A13
a Provide multiple acoess levels for
a
taxpayer users. This includes
Standard users with full access to
all traxpayer information and "file-
only", "pay-only'', and "file-and-
pay" users with access to onlY file
and/or payment forms.
Provide multiple access levels for
City Users. This includes standard
users with fullaccess to the Ci$
ac@unt, "download{nlY" with
access limited to receiving forms,
"payment<nly" with accoss limited
to payment related functions' A
"research-only" user access level
altows a City user to research
taxpayers but not change anY CitY
settings or retrieve data files-
Allow taxpayers to uPdate or
modify user or business level
information related to their
account.
Provide contextual/guided help to
a
a
the taxpayer
Unless othenrise stated, this Agreement will become effective when the Contract is signed by
th" citft the vendoi, ino wilcontinue untilthe termination date specified in this Agreement.
AJplicition hosting ""ri""" are providad on a subscription basis, and e-Gov Systems will bill
inTCiV tor the sefuices covered'under the scope of this.Agreement. Billing and payment
schedule covered under Attachment C Payment schedule'
Contract # YA2
Attachment B - SLA
Service Definition lncluded
Hosting Facility Services Facilities and equiPment
to host the Portal
Yes
Staff to handle
Development and
Technical SuPPort for the
Portal
Yes
EpeEtiongMonitoring
Services
Web site monitoring for
system and aPPlication
failure
Yes
2. e-Gov System Services
The Vendor will provide the services listed and described below to the City in
support of this Agreement:
Page 3 of 13 2013
Contract #3142
Attachment B - SLA
lAp_ilAti-on Ad m i n istration
Services
Vendor services provided
in support of the Portal
Yes
YesSoftwareand
Upgrade Services
The u ng of the
Portalwith period code
corrections and aPProved
enhancements
Application Recovery
Services
Backup and Restoration
of web site or database
due to a criticalfailure.
Yes
Oataltnformation SecuritY
Services
Automated SQL
and Portal Site
Server
monitoring for securitY
threats.
Shared
bata Storage and Retention The definition of the
retention
Shared
Yes for the
technical asPects
of the portal for
customers. Tax
code and policY
questions will be
answered by the
Citv.
Problem
ManagemenVCustomer
Support Service
Persons resPonsible for
managing the resolution
of any problems
discovered in the Portal.
Hosting Facility Services
Vendor assumes all responsibility for the computing environment supporting the contracted
afplications. fneVenOdr must piovide commercially appropriate technology and procedures
in information secudty and enviionmental control. T-he'vendor hosting is provided 24x7x365
in a secured data center environment cunently hosted by Venyu, a
-certified.
TIER 4 data
""nt"i.
V"nyu offers full-time onsite security monitoring, video surveillance, biometric and
access card, bullet-resistant walls and glassl and man-trap access only to data center floor'
Environmental proteition is provideO viittr non-water based FM-200 fire suppression, truly
redundant power
"nd
air trandting systems, and fully redundant power with UPS circuits to
each rack. connecilritv "nJ
n"ttork infrastructure is multi-homed across geographically-
diverse Tier-1 int;;i providers, fully-redundant enterprise-class firewall and network
infrastructure, and full-time staffed network operations centers. This includes the underlying
hardware and software infrastructure, datiabase and server licenses, maintenance, and
database administration. Vendor may change hosts in the future but will continue to use a
secured data environment equal to or greater than the above specifications'
Staffing Services
Vendor assumes all responsibility for fully staffing the system including providing adequate
staffing levels for web support ani tecnniial development during the duration-oj th" contract'
Vendor will maintain staff to answer support calls from 7:00a.m. to 5 p.m. PST to assist the
C6y in reporting errofti and providing Rrsi-iine support in the,use and operation of the Software'
VenOor will also provide staff to monitor an email address for support during the same hours'
Page4ofl3 2013
Contract #3102
Attachment B - SLA
Vendor will provide reasonable advance notice to the MCBLTP Program Manager of any
changes to staffing levels which will impact the support of the system.
Operations / Monitorinq Services
Applications provided by Vendor are supported by a 24x7x365 automated monitoring and alert
w&"* that notifies sup'port teams in thi'event of an anything within the Vendor domain
i.-lrriti"g in the applicalibn matfunctioning or being unav-a.ilabie.(software, hardware, network,
environment incidents)r A notification plin showiig which parties are notified of specific
functional failures wifl 6e developed as part of the 5upport irlan presented within 30 days before
General Business License Go-Live.
Application Adminishation Services
Applications provided under this Agreement will be the responsibility of e-Gov Systems'
firl CitV wiil have * o*n"rchip rig"ht, other than City ow19d data in the portal and the
access to use tne afpiication wni6 the agreement is in effect. Vendor will own and
rJn"g" the application, related database management systems'supporting computing
hardware, and necessary operating systems.
Support services are provided to maintain application av.ailability and respond to City
inpui within the agreed-upon commitment levels. On-call personnel are provided by
Vendor to achieve these service levels specified in this agreement'
Softwarc Maintcnance and UpEFade Services
software maintenance and upgrade services are included in the scope of services
proviOeO by Vendor.-VenOorilill provide the City with all upgrades and associated
documentation that are provided as supplemental and stiandard releases to the
supported Software appiications as appiicable to the City' as part of the Hosted
Services. The vendor'wanants that any changes (and any released code errors) will not
conupt existing City data, nor impose new data defects. Updates include:
r Supplemental Release - Minor release of the softu/are that contains primarily
enor corrections to an existing Standard Release and may contain limited
improvementrs that do not afdct the overall structure of the softtrare, selected
by the Vendor. Depending on the City's specific configuration,.a S..upplemental
Release may not b! applidabb. Supplemental Releases are identified by the
third digit otine three-bigit release number, shown here as underlined:
"2013.1.1
o Standard Release - Release of the soflrrvare that contains product
enhancements and improvements, selected by the Vendor and released
approximately every oihe, month. Standard Releases are identified by year
and number 6t releise that year. The first Standard Release of year will be
shown as "2013.1.0". Allservices will be performed in accordance with a
mutuallY agreed upon schedule'
Vendor warrants that each Supplemental and Standard Release will be tested and will
p"tfo* according to Vendor specifications, will not corrupt existing city owned data nor
introduce new dala defects or security vulnerabilities, and is agreed upon by the City'
Page 5 of13 2013
Contract #3102
Aftachment B - SLA
Enors will be corrected as necessary so that the system will continue to meet the
,"qrii"r"nts of this SLA and the functionat and technical requirements including the
Vendor's responses to RFP #FAS-3102-
d$plication Rscoverv and Disaster RecoYety Services
Vendor provides the following standard Recovery services.
r production databases are backed up daily on a weekly retention schedule
r production web server is backed up twice per month with a monthly retention
schedulee Backups and recovery are facilitated through ArneriVault / RestartlT.
I Disaster Recovery is provided in conjunction with Venyu' our TIER 4 Data
Center, which troits a Business Coniinuity Center in the event of damage to
our offices.
ln the event the hosted system experiences problems, Vendor shall use all
commercially reasonablsefforts to meet or exceed the service leveltargets outlined
in Table 4 below.
Data Infomration Se$urity Services
Vendor manages the Application and associated city data at or above the same level
oisecurity asine C1y of'seattle data with the following the City's guidelines on:
o Security Planning.
o Application and database security
o Security of data on the system and end-user authority
o Automated securitY monitoring
o Access Control Lists for all computing systems
o Security problem determination and resolution
o Security audits and review of audit logs
o Evaluation and review of new security software
These guidelines can be found at
nttp ylirfrt*. seattle. gov/i nformationsecu rity/pdf/l SS P-Web. pdf as well as d i rect
contact with the Cifu of Seattle's Office of lnformation Security.
Problem Management/Customer Service
Vendor provides a support center which is available Monday through Friday from
Z:00 a.m. to 5:00 p.m. (eacinc Standard Time). Vendor provides problem
management supbort fir all application services covered by thls Agreement'. All
proLf"-rr encouniered with services provided byVendor should be directed to the
boint ot contact iOeniiReO as the primary contaci for all interaction with Vendor and
id C1y system. problems will be assigned a case manager to ensure the problem
Page 6 of 13 2013
Contract #3102
Attachment B - SLA
is actively managed through resolution and within this sLA. SLA performance levels
are base-d on the severity of the problem and the following criteria:
Table 3: Problem SeveritY Levels
lf any problems are not being resolved within agreed upon time periodsthe city may
contact the Vendor help desl and request that the logged case be escalated.
Et""l"tion procedures at the help deik will be followed to ensure timely resolution'
ff"p Ce"L standard pr".ti"" for severity level 1 and level 2 cases include notification of
ruliipr" personnel uion i"r" open and continued escalation every one-half (112)hour'
Up to 30 days before General Business License Go-Live, Vendor will present a Support
Fbn to in" City that documents the help desk support process, contains site access
information to iog cases with the Vendor Help Desk a1d_how to setup and us.e Vendor
On-Lin" Supportl This document will be reviewed with the City prior to transition of
support to tirb help desk. Prior to transition to the help desk, the City may contact the
aiiigneO project manager at the agreed upon contact information with support
questions.
3. Service Level Standards
The service Level standards in Table 4 apply to the services provided by the -Vendor'
The
Vendor shall use afl commercially reasonaUle ettorts to meet or exceed the following Service
System is not
such as a Central
an entire agencY is
theoccuwhenrsFailuremTotalSyste
rethe nois workaround;functio andning
ofworkflowthewhendownlsorServer
not function
Severity Level
I
to intermittenta
crucialawhenreoccurslucriticalFreailuCriticaprocess
ts notaorservlce functioningntthenelemekeySystem
and thereitsforintendedusablepurposenotmakingsystem
benotthisthatNotendmaywork-arousuitabletsnousually
Level
2
occurs when a system component is not functioning, but the
system is still useable for its intended purpose, or there is a
reasonable workaround.
lureI part or comPonentNon-Critical Failure -Non-CriticaSeverity Level
3
does not workflow
occurs wheninconvenienceceAnnconvenien
buttasksafethetndmtnorperformedawaycausesisruption
Severity Level
4
I'roblent
Scverity l,evel
Dt'scription
Page 7 of 13 2013
Level standards and submit a monthly performance metrics issues report to the MCBLTP
Program Manager:
Contract #3102
Attachment B - SLA
Measure Metric Standard
AvailabilitY System is
available for use
99.9% Avai
excluding scheduled
maintenance
lability is per
calendar month
Nine (9) hours of maintenance
per calendar quarter are
scheduled as follows:
r First SundaY of each
monthfrom3-6AM
PST or as mutuallY
Problem
Management
Severity Level 1
Problem Resolved
As fast as Possible
but no later than
100% resolved within
24 hours
Severity Level2
Problem Resolved
-Ai fast as Possible
but no later than
1007o resolved within
36 hours
Severity Level3
Problem Resolved
resolved within
5 working daYs.
100% resolved within
10 working days.
Severity Level4
Problem Resolved
807o resolved within
20 working daYs.
100% resolved within
45 workino daYs.
Vendor HelP
Desk
Help Desk call
waittime
Rtleast 99% of HelP
Desk calls are
answered in 2
minutes from the wait
time in the queue or
less during normal
business hours(a call
pick-up system maY
be used)
Help Desk call
busy signal
Less that 1 of calls
a
VenOor must resPond
back to CitY in 30
minutes or less from
the time the CitY
made the call
Support calls
for Severity
Level 1 and
Level 2
Support call
Severity Level 1
and Level 2
callback time
Data
Retention
Backup frequencY Production
databases will be
backed uP de!!Y-g!-
Page 8 of {3 2013
Contract #3102
Attachment B - SLA
a weeruy retention
schedule
Emeroency Contact
VJ'do'ffi;'""id-accesstoanemergencydesignatedsupportcontact(s)24hoursaday,
Monday through SundaY.
4. Joint ResPonsibilities
Problem Reporting
Thi, ,City trl111ep6t concems as appropriate to Vendor specified support contacts' City and
venooisr,jlljolnly determine the'number and type of city system administrators and/or end
uiers that wifi navb access to the Vendor Help Desk for problem reporting'
User Provlsionino
New system administrator's accounts will be created by the Vendor within 5 days of the Gity's
r"qr";t. City *ilt direct requests for new system administrators through Vendor designated
contac'ts. Shorter pr*i.l"ii"g times may be requested by the C1y in emergency situations'
Network.Services
Th6 Vendorls responsible for providing adequate netwg(ilfrTtructure to meet the
performance tevels specified in this agieement. Each MCBLTP participating city. is
iesponsiOfe tor proviiing adequate intimal network infrastructure so as to not affect the
Vendo/s ability to meet-those performance metrics. Each MCBLTP participating-gity is
responsible toi tne support, maintenance, and monitoring of the city's dedicated LAN and or
WAN. Vendor Uears-i6ieiponsibilityfor performance and availability problems on networks
*llnin tne City's control or outside the City's control (business user networks)'
Disaster Recovery Service - Disaster RecoveryService is a service provided
i"itt" City Ouring t[e term of this agreement in orderto provide functionality
*it-nin tne specided Service Level tiletrics for the applications covered by this
ngr""t".t followinga Disaster Decla.ration by the Cityr A1 annual test will be
cJnOucteO by the V6ndor and a report will be provided to the City and MCBLTP-
Downtime shall mean that the Application Services and or the application data
are unavailable to taxpayer or city internet users'
Application Availabiiity shall be measured as follows: (Total Minutes of the
rrrrbiitn - Minutes of Sch6ouled Service - Minutes of Downtime) / (Total Minutes of
the Month - Minutes of Scheduled Service)'
6. City ResPonsibilities
Serulce Admlnlstratlon
ffiingcitywillmonitorsystemavailabilityandreportconcerns
5. Definitions
a
a
a
Page 9 of 13 2013
as appropriate through a previously identified and approv,ed System Administrators'
in" UitV and the VeiOor inaltlointly determine the specific number of System
Administrators who will interacl witd tne Vendor to effectively manage the Vendor
services. once ioeniiireo, the Gity, via a Customer Registration Form (See Appendix
lfi, rn"ff pr*ide all n".".t"ry Syitem Administrator contact information to the
Vendor, i-e., name, phone number, mobile phone n.umber, pager nu.mber, email
"JOt"ii,
mailing address, and a secondary point of contact and their contact
information.
The city shall provide the necessary resources to assist with the effective
Oepfoyti'tent, maintenance and administration of the application services (e'g'
assistance with tne scheduling of planned system maintenance activities)'
Ussr Adminletration
ffipatingcityisresponsibleforprovisioningandmaintaining
apptopti"te City end-users of the hosted application with.allof the necessary
iddilitii" to adequateryLccess and utilize tni nosted application; including but not
limited to, a personartomfrt"r (PC) with sufficient processing, memory "ttg .
n"t*orfiig capaUtiiei. A'recommehdeO minimum configuration would contain at
least a 2 GHzprocessor, 4 GB of Ram, 250 MB Hard Drive, 100/1000 Network card'
and connection to the internet.
Network Services
ffiicipatingcityiswhollyrespon-sible.forthesupport,m.aintenance,
"nJ
ronitoring bttneLity'jlocalArea ltietworf (mN):. The Vendor, at its discretion'
wil isotate perieiveO p"ftott"n.e problems (e.g., availability) to the LAIJ 3.ld
JioulO" r"levant dataio the city; however, thd Vendor bears no responsibility to
correct defects located within city's LAN'
Gltv $wtemg of Record (99R1
r the support, maintenance and monitoring of the
soR with which tneijx portal interfaces.' Any changes to system interfaces must
be communicated to tftl MCBLTP Project Manager and to the Vendor. The Vendor
b;; no responsiOitity to correct interfaces for a city's system of record' The
pi*"Ori"rlbi rtfCeltF participating cities to inform and obtain approval for
interface changes will be defined in the MCBLTP Operation Guide'
Gltv Tax Documentatlon . . ,,-4^ ^-ffih-"1{ffi;lilEp*ribte for providing up-to-date and accurate information to
the Vendor for tax rJaieO subject matter. Any changes to tax related subject matter
must be communicateo to tne [,tcgLrP Project Manager and to the Vendor' The
MCBLTP lT Project Manager and the Vendor will work with the MCBLTP
pattfu-ipating cities to enstire information is updated in a timely manner if.the work
involves the Vendoimaking the change. The Vendor bears no responsibilityfor
incorrect or out-of-date tax-retated su6ject matter. The procedures for MCBLTP
participating cities io lntott and obtain approval for updates to tax related
Contract #3102
Aftachment B - SLA
Page 10 of 13 2013
7. Ghange Order Process
The Vendor will maintain the Service LevelAgreement with formal documentation
denoting agreed ,pon "n"ng.t fn" City anJ'the Vendor will maintain copies of all
Cn"ng"-Ot?"6. AnV
"ito"fion
to the Service Level Agreement that causes an increase
or decrease in the tiire or cost required for the performance of any part of this.Service
l"u"tngt"ement snatt not become binding..unt! both the City and the Ve.ndor have
agreed upon an
"quit"Ol"
adjustment and the Service LevelAgreement has been
modified in writing accordinglY-
The city and the Vendor must sign any proposed.change orders. when this is
accomplished, the.n"ng" order-will u6 incirporated aJan officialchange to the project'
A change order pr*"titnallcontrol changeb 4-:Pq" of the Service LevelAgreement'
The Change Order nequest form (Appen6ix I of this document) must be used for all
change order requests.
information will be defined in the MCBLTP Operation Guide.
Contract #3102
Attachment B - SLA
Page 1l of 13 2013
Contract #3102
Attachment B - SLA
Appendix I
Change Arder Form
CHANGE ORDER NO.-
Customer: CitY of Seattle
e-Gov Systems Contract No:
Original Contract Date:
Thjabove referenced contract is-imended by this Change Order.
1. Description of Change:
2. Equipment and Services Required:
3. The Contract Price will be adjusted as follows:
Original Contract Price:
Provious Change Order Amormts Nos' I through
-:Amount of this Change 0rder:
Adjusted Confi act Price:
4. Payment Schedule for this Change Order:
S. Th; Contract Completion Date will be adjusted as follows:
Effective Date:
$
$
$
6. Other Time Line Changes:
lf there are any inconsistencies between the provisions of this Change Order and the provisions
otifr" ngt""mLnt, tne proviiions ot this Change Ordel shall.prevail' Except as specifically
stated in this change order, the Agreement a-nd previous change orders are in all other
respects ratified, cinfirmed and wiii continue in fullforce and effect.
Origindly Scheduled Complotion Date:00/00/00
Revised Date:
Reviewed and APProved:Date:-
e-Gov Systems Project Manager
lN WITNESS WHEREOF the parties have executed this change order as of the above
Effective Date.
e-Gov Systems- CitY of Seaftle
By:
Name:
Title:
Date:
By:
Page {2 of 13 2013
Appendix II
Authority User Account Registration Form
Contract # 3102
Attachment B - SLA
Tax
Name
Contact
Phone 2Phone 1
Fax
Address ziState
Website
inator lD
Gontact lnformationUcer
D Download Return Batches OnlY I Payment Only Downloads
I Standard Administrator User il Research OnlYChoose Type
ofAccount
Last Name:First Name:
Fax:Phone:
Email:
below for Standard in istrator UserAdmeth
Mailing
Address:
c
State
Cou
Page 13 of 13 2013
Section L - Summary
ct
"ruB
tnitirtor complete section 1 and submit to change Manager for review
Section 4 - Cost
rilt"o out by the change Managers as part of costing and release planning
uest FormControl -#:Cha
delete other oPtions)
I Change, Display Change, Technical Support, Maintenance, New City
Other with nation
Reason for
New Featu
Change: (Bold aPPlicable reason,
re, Design Clarification, Functiona
(name, citY)
tu2l2o2r
Requestor
Name:
Date:
Change lmpact:based on eval in SectionPriority;
Wendy Thomaston, Filelocal PMApproved for
Analvsis:
(date)Need by Date:
{date}Costing
Provided:
{date}Requirements
Finalized:
RG.o ents,Paymsite,newalRe Print),LicenseNMaint,(Appotifications,CityChaAccounts.nge
USite Tax,MSecurerernts,Accou
Functional Area
affected:
Schedule
lmpact:
Total CostAA
Total
HourcBADevPMTitleCR
0 000000est FormChaRecR999
TotalTitleCR
5x.00uest FormcR999
and Release CostsTestiT&R
$xx.00TOTAL
Cost lmpact:
Release
Number:
Data lnterchange Impact
(ch eck all that
FAQ Impact
WSDL
PCS Data Name Change
PCS Schema
Affects All Cities
None
SCS Data Name Change
SCS Schema
CSV Files Structure
Ul Download XML
FileLocal ent API
KUBRA API
SIP alternative - ensure web
servlce eq uivalent for SIP
check all that a
None Edit Existins FAQ (AgencY Task)Create new FAa{AceryyE$)-
Tool Tip Impact
(check all that apply)
7r/2/2O2L Change Request Form1
None Edlt Existing tooltip (Final wordlng TBD
in spec process.)
Create new tool tiP (Final wording TBD in
spec process)
Action Log ImPact
all that
None Update existing action log event Create a new action los event
Section 6 -Assumptions:
To be confirmed/completed by vendor
r Ul changes-
r Batch changes -
r Print changes-
o Action Log changes -
. Support -
r Meetings -o Specifications -
Section 7 - Requirements
To be completed bY Agency
01 1
Size:8 Small J Med J Lorge A Must have ll Nice to hove n subiect to scoqe
(description)
r details
.02level1
Size: 8 Smoll D Med lJ Lorge D Must hove J Nice to hove Z Subiect to scoqe deferrat
(descriptionl
o details
999.03level 1
Stze: X Smatl Cl Med D D Must have J Nice to have O Subiect to scoPe d"fgttg!-
Description
r detail
2LLl2l2g2t Change Request Form
Wendv ThomastonAsency Change Manager
ChristY CatoVendor Cha M
Kevin FitzpatrickAgency Program Mana gcr,-
Role Approved Name ture DateMaProcess
Sectipn 3 - Assessment
Completed by Change Manager
The Change Manager will ensure that risk, security, and impact assessments, are completed by those stakeholders
required to assess the Change.
Risk Assessment fPrioritY)
changes are prioritized to establish ilie order in which they should be put forward for consideration' The Priority of RFCs
will be decided in collaboration with the Change lnitiator'
Security Assessment (Risk and Mitigation)
This document has been reviewed to assess security risks and provide mitigation, as follows
Section-Z - Final Approval
Completed by Change tvtanaier once the RFC is complete and accurate enough for assessment and evaluation'
Review RFC ApProval:
Impact Assessment (Categorization)
All members of the CAB should evaluate the change based on impact, urgency, risk, benefits and costs' ln order to
prepare for authorization decisions, change planning, scheduling, and remediation are also assessed'
3
ResponreCAB lnvolvementCrlterlalcvel
NoCAB review is not
required
A, ls the change defined as a Standard Change?
B. ls it on the Pre-aPProved list?
NoCAB review is
needed
Level 1
Level 2 B. Change follows normal timelines and is not escalated
A. Normal Change
NoCAB approval is
requiredLevel 3
A. Management CAB needed to approve a violation to the normal
timelines
Risk Assessment: Change Levels (choose one)
Data
Data
Wendy Thomaston
N/AN/A
Performed by Date
Datetr Risk Assessment
LLl2l2O2L Change Request Form
oA. High - sA. High - lmpacts multiple Cities, system owners
B. Med-3B. Med - lmpacts at least one City; some disruption
to services
C. Low-0C. Low- No impacts to Cities technology or
processes
1. lmpact to Cities
0A. High - 5A. High - Large proiect (> $foxl
B^ Med-3B. Med - Estimate for costs is low (<S10K)
C. Low-0C. Low - lncluded as part of base contracted
servtces
2. Cost of implementation
oA. High - 5A. High - Key functionality will be unavailable
B. Med-3B. Med - Some functions may not be available
C. Low-0C. Low-No or minor impacts to system
3. lmpact of not imPlementing
the Change
0A. High - 5A. High -Addresses major compliance or
concerns
B. Med*3B. Med - Minor compliance or regulatory impacts
C. Low-OC. Low - No comPliance impacts
4. Compliance / Regulatory
considerations
0A. High - 5A. High - 3 or more teams will need to be involved
B. Med*3B. Med - 2 teams will need to be involved
C. Low-0C. Low - l team will need to be involved
5. Technology teams required
to implement Change
0A. Hieh-4A. High - outside normal maintenance window
B. Med-2B. Med - during normal maintenance window
C. Low-OC. Low-no outage required
6. Scheduling requirements
Totals
A. lowr0-5
B. Medium:6- 10
C. High: >10
lmpact Assessment (choose one per category and total score at bottom)Score
m
L1.l2l2o2L Change Request Form4
Section 5 - CitYApprovals
fh" Ch"ne. Advisory
-A;ari
reviewed the RFC and authorizes and prioritizes the change'
Authorize RFC APProval:
Change Advisory Board approval is requ ired after costing, and only applies to the payor(sl'
Cost is for development ONLY. Additional costs for the Testing and Release will be included in o separote CR. That cost
will be allocoted between the and Cities tn the same release.
CAB
City Acceptance of Contents
to affected Cities.This roval is uired to and
KevinAgencv Program Manager
Troy LucasBellevue CAB Member
Beth Anne WroeDes Moines CAB Member
Everett CAB Member
BaKent CAB Member
Lindsey VaughnMemberCABParkkeLaForest
Kari RollerRenton CAB Member
Joseoh CunhaSeattle CAB Member
KimRickShoreline
Robert HamudSnoqualmie (subscriber)
Danielle LarsonTacoma CAB Member
roved by e-Signature (Via Date Cost
Role
oAgency
0Bellevue
0Des Moines
0Everett
0Kent
0Lake Forest Park
0Renton
oSeattle
0Shoreline (s)
0Snoqualmie (s)
0Tacoma
09l2oL90.0Average
Cities Who Ranked ltem Final Ranking Date
Troy [ucasBellevue
Beth Anne RoweDes Moines
Anna PankevichEverett
Molly BartlemaYKent
Aurora BelliLake Forest Park
Nate MaloneRenton
Jackie MitchellSeattle
N/AN/AAlly KimShoreline {subscrlber)N/AN/ARobert HamudSnoqualmie (subscriber)
Jenni BarrettTacoma
Role Accepted By e-Signature (Via)Da te
trl2l2o2t Change Request Form5
Decisions otes
6
Decision/Notes Originated bY AgreedlApproved bYDate
tLl2l2O2L Change Request Form
FileLocol 0
Operatlons Support & Maintenance Plan
Name of APPlication: Filelocal
Date Modlfied:lune 2015
Document Vsrclon: 1.5.6
DOCUMENT CONTROL
Document lnformation
Document Owner
Flle Name
DocumentHistory
Shawn Waliser
Operatlons SuPPort flan
First draft w/sl-A & sOW required com-ponents
Added comments/requirements under Planned
downtime
Adding Filelocal details per discussion with Paul T.
Added eGov suPPort information
Added eGov details and marked key areas that need to
be updated in the future
Proof read I UpdatesTOC
Review post-payments dev completion
Revised support processes wlthln scope (page 5l
Created Customer Registration Form from SLA as
Appendix C
Modified lntroductory Sections
Eegan gcqeral edit re-write
Integrated all changes
lntegrated changes
lntegrated AgencY Edits
Fleshed out Go Live stePs
Added Patch management
Changed cover page and footer dataformat
Minor editing to patch management section
Added technologY roadmaP section
Addgd patch process dlagram
Updated patch managementto linkto change
management plan
1.0
1.0
1.0
1.1
1".2
1.2
1.3
L.4
1.5
1.5.1
1.5.2
1.5.3
1.5.4
1.5.5
1.5.6
s126lL4
616lt4
Shawn W:liser
Shawn Waliser
Jamie Carnell
Ezra Hodge
Ezra Hodge
Masters/thomason
Paul Thomason
Paul Thomason
Tim Manley
Tim Manley
Tim Manley
Tim Manley
Tim Manley
Tim Manley
Tim ManleY
Tim ManleY
Tim Manley
Tim Manley
7lzsl?oL0
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6173l2o7s
!
I
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Version lssue Date Ch
Operations Support & Maintenance Plan Page2
APPROVALS & ACCEPTANCE
we, the underslgned program Adminlstrator, Project Manager have revlewed and accept this this document' we recommend the
approval of its contents.
Managsr
eGov CEO
e6-ov Systems VP over H€lP
Desk
Shawn Waliser
ezra HodgC
Troy Bourgeois
DaltApprovodNamoRolo
Operations SuPPort & Maintenance Plan Page 3
Table of Contents
Coordination with City System Administrators"""""""""" """"""""' 8
Transfer From Development to Operations & Production Support""""" """""""""""' 8
lntegrated lncident Management- Unplanned Downtime """"""""' """"""""""""""' 15
Scope ofThe Security lncident Response Plan""""-"""'
Security lncident Response Service Level Agreement ""
Leadership Commitment to Security and lncident Response """"""""'
Securitylncident Response Resources & Responsibilities""""""""' """"'22
72
L2
72
t2
15
15
L6
77
18
18
18
18
18
18
19
19
20
21"
22
23
27
Operations SuPPort & Maintenance Plan Page 4
Appendix B - Work Stream Requirements""""""""""
Appendix C- lncidence ResponseTeam Contact lnformation """"""'32
Appendix D - lncident Review Report Template """""""""" '"""-"""'32
27
27
27
27
27
28
28
29
30
30
30
Operations SuPPort & Maintenance Plan Page 5
INTRODUCTION
PuRPosE oF THls Docunneur
The purpose of this document is to define the operations support and Maintenance for the eGov supported Filelocal
system in production. This document is intended to satisfy tire "support Plan" required by the StA and describe how
eGov will meet or exceed the Servlce Level Objectivesl. This document must be presented to the FileLocal Program
Administrator within 30 days before Go-Live'2
suppoRr PRocEssEs wtrntru scops
The scope of the effort captured in this document includes planning and establishing the ongoing operations support,
system monitoring protocols, and maintenance of all ecov supported lT components of the eGov managed Filetocal
infrastructure. This includes keyfunctions related to:
t. Processes for regular support, monitoring and managing planned outages
2,lncidentmanagementofunplannedbutnon.securityrelatedoutages
3. Security-relatedincidentmanagement
OpERATIoNs Supponr OReln lznttot'ts
This section addresses requirement(s): 10, 14 (su 5lpg, gspro)3The following are
providingoperationssupportandMaintenanceforthevariouscomponentsof
the organizations responsible for
the FileLocal system.
I slA 53p7-8. ops Support and Maint Req 8'
2 SLA 52p5. Ops Support and Maint Req 2'
3 See Appendix B
Entlty Production Component Opentions SuPPort
Organization
eGov File[ocal APPlication Production Administration
eGov FileLocal database, hardware,
network
eGov lT Management
City of Seattle FileLocal Application and
KUBRA Payment Processing
lmplementation
Project Management,
administration and governance
Washington
Multi-City
Business license
and Tax Portal
Agency (dba
FileLocal)
Filelocal APPlication and
KUBRA Payment Processing
Product Management AgencY
Administration and
Governance
Seattle City of Seattle Statement of
Record data interchanges,
hardware, network
lT development and
maintenance, Network
Administration and SecuritY
Bellevue City of Bellevue SOR data
interchanges, hardware,
network
lT development and
malntenance, Network
Administration and SecuritY
Operations Support & Maintenance Plan Page 6
Tacoma City of Tacoma SOR data
interchanges, hardware,
network
lT development and
maintenance, Network
Administration and SecuritY
Everett City of Everett SOR data
interchanges, hardware,
network
lT development and
maintenance, Network
Administration and SecuritY
Kubra Payment Process APPlication Production Administration
Kubra Payment gatewaY and
network
Network Administration
Cowt vt u rulcerlNG CHANGEs AFTER LRut'tcH
This section addresses requirement(s): 17 (sLa seprola
Notifications of system changes will be initiated between the Filelocal agencY and individual cities via the operating
committee through FileLocal's Product Management process and the defined.slo' This will be defined in the
Filelocal change Management process as guided by the document: "Filelocal change Management Process
summa4y''. This process will also apply for change notifications between eGov Systems and KUBRA' However' eGov
and KUBRA will communicate withihe FileLocal Agency as a governance entity, rather than with individual cities'
Changes to system interfaces may be needed periodically and must be communicated between the supporting
entities via the Filelocal Change Management process. Tie fol6wing procedure will be followed to ensure timely and
accurate communication, apiloval, t"iting implementation, and acceptance of the change occurs'
eGov lT operations change Request Process: system changes will be handled through a formal change management
process as referenced wit'h the document above, with the ability to take one of four prioritization tracks:
CRITICAL: A CRITICAL change is one that, if not made,
(1) Resuhs in an unPlanned outage
(2)affects the integrity of taxpayer and/or city data
(2) poses significant and immediate legal liability to a stakeholder' or
(3) is deemed a hlrh'rlsk and exploltable securttv issua
cRlTlcAL changes will be reviewed and approved by the Agency through the Change Management process
in consultation with eGov and any other appropriate technology vendors' once this occurs' the change
process for a cRlTlcAL CHANGE requires prompt and immediate attention, with the tarSet of an impact
analysis and proposed remediation within 24-hours or less with completion of the change to occur within 4
business days per sLO. Any proposed remediation should be reviewed and signed-off on by Fiblocal within
one (2) business day after delivery of the issue assessment for work to commence according to the
remediation plan. critical itranges ttrat can be resolved in a timelier manner should be done so with the
agreement of the stakeholders. lf there is not enough time to assess financial implications of a CRITICAL
change, the work should commence as soon as pottibl" and the change order should be completed in
prrrli"ior, if done after the fact, must fol6w the existing conventions and agreements'
HIGH PRIORITY: A HIGH PRIORITY change is one that, if not made'
a See Appendix B
Operations SuPPort & Maintenance Plan PageT
(1) will eventually affect the integrity of taxpayer and/or city data,
(2) potentially poses significant legal liability to a stakeholder, or
(3) is deemed a potential security risk'
An impact analysis should be completed for a HIGH PRIORITY change within five (5) business days' A formal
change order should be submittei and approved before issue resolution commences according to plan' Plan
will comply with the SLO and FileLocal Change Managed Process'
sTANDARD: A STANDARD PRIORITY change is any change to the system, interface' or connection to the
iil"r a"rir"d by any stakeholder not deemed critical or high priority. An impact analysis must be
completed by appropriate stakeholders, and a change request needs approval by all parties before work can
commence.PlanwillcomplywiththesloandFilelocalChangeManagedProcess.
ROUTINE: A ROUTINE change is one that is commonly or cyclically made-for example, a rate
change/update, not deemed critical or high priority' ROUTINE changes should be aSreed to on an individual
or group/type basis as per what is reasonable for each change. The default is that, unless othenarise agreed
to by the parties, eGov requires 30 days to make ROUTINE system updates once details and a change
request is approved. An item normally falling into a ROUTINE update can be escalated to a HIGH PRIORITY
or CRITICAL change status.
CoonolrunrloN wlrH Ctrv Svsre u AotvttlttsrnRtoRs
This section addresses requirement(slt ll, !2,13 {sLA 56p9, SLA 56p10)s
Each FileLocal participating city will monitor system availability and an approved System Administrator will report
concerns through the Agency Project Manager'
Fileloml Admlnlstntor
Notificatlon of Chongesto o System Admlnlstrqtor
The Agency will manage the System Administrator list. ln order to change a system Administrator the Agency Project
Manager will contact the eGov helpdesk with their request'
Process for Communimtlng lssues Between City System Admtnistrotors & eGov Opera'ions SuPport
City administrators should contact the Agency. The Agency will then contact eGov helpdesk'
TnITSTEN FNOU DEVEIOPMENT TO OPERATIONS & PRODUCTION SUPPORT
Responsibility for Operations Support and Maintenance begins when hand'over of a new component is
acknowledged by eGov to be in a live operations status. ln this context, a component may be software, hardware,
configuration data, tax-related data, user detail - or anything system-related that is necessary to the proper
s See Appendix B
EmallCitySystem Mministrator Name
and Tltle
Phone (Ml and
(Dl
FileLocal Greg Kauper, Project Mana8er 206-51s-0493
206-396-53L2
G reg. Kauper-FLO@seattle.gov
Operations SuPPort & Maintenance Plan Page I
functioning of the FileLocal product. This section addresses the process for initiating live production support for the
FileLocal system,
Svstem Go lfue 3'Stane ProcSSs
Stage 1: Final Remediation and testing resolved and accepted and City readiness checklist complete
Approvers for final remediation resolved and accepted include all of the followinS:
. City Filelocal Program Manager
o FileLocal Project Manager(s) and City Project Managers
o Filelocal OPerating Committee
r eGov Filelocal Program Manager
o eGovCEO
o eGov Vice President of Services
o eGov Project Managers
o eGov lT Manager
stage 2; Night of deployment Readiness: Final client Approval of System Prior to Go live
NOTE: A backup representative must be identified and authorized by the city or Filelocal prior to
thenightofdeploymenttoinvokeapro,ryapprovalinlieuoftheprimaryapproverbeing
unavailable.
Approvers for Go-Live include all of the following:
r City Filelocal Program Manager
o Filelocal Project Manager(s)
o Filelocal Executive Board
r eGov Filelocal Program Manager
o eGovCEO
o eGov Vice President of Services
o eGov Project Mana8ers
o eGov lT Manager
Stage 3: Execution ofGo-Live
eGov lT operations will work in accordance with the Release Management Plan and the NoD SIS to
ensure operational readiness for go-live. All steps outlined in both documents will be followed for
go-live execution.
PRoDUCTION DETN CEruTCR ENVIRONMENT
The eGov Systems, hosting is provided 24x7x365 in a secured data center environment by Venyu, a certified TIER 4
data center. Venyu offers fulFtime, onsite:
r security monitoring,
r video surveillance,
r biometric and access card,
r bullet-resistant walls and glass, and
. man-trap access only to data center floor'
r Environmental protection is provided with non-water based FM-200 fire suppression,
. truly redundant power and air handling systems, and
e fully redundant power with UPS circuits to each rack'
r Connectivlty and network infrastructure is multFhomed across geographically-diverse Tier-l internet
providers,
Operations Support & Maintenance Plan Page 9
a
a
fully-redundant enterprise-class firewall and network infrastructure, and
full-time staffed network operations centers, This includes the underlying hardware and software
infrastructure, database and server licenses, maintenance, and database administration'
Svsteu Mot'tttoRtHc & ALERTS
This section addresses requirement(s): 1, 3, 15, 16 (SLA 52p5, SIA 56p10)5
24x7x365automated monitoring and alerts will be maintained and managed by Venyu hostinS services'
These include application and database servers, network routers and the data center itself as outlined in the attached
document.
eGov Operatlo$TeamThe network and egress to
the liltemet.
The tool that load
balances trafflc between
the web servers.
The clustered web servers
that serve ssthe'ftont'end
ofthe Fllelrcgl serulce'
The back-end clustered
SQL servers that are
connected to the web
seryers and support the
Filelocal service.
ServlGe Eown
Seruice Degraded
Bandwidth avallEble to
meet capaeltY
Device Down
SQrver Down
Olsk.spaee low
Certlflcate explred
Slte dou/n, Server UP
: Eackupfallure
Server ctpacltY
: Stomgecapaclty
Eata €enter Power
Servet Down
Disk spaee low
Backupfallure
Server caPacltY
Stprage capacity
Data Cdnter Power
eGor Operations Team
c6ov Operatlons Team
:
cGovOperationgTeEm
6 See Appendix B
Load Balancer
Network Service
Support TeamMonitored EventsMonitored Object Description
SQL Server 1
SQL Server 2
Web Server 1
Web Server 2
Operations Support & Maintenance Plan Page 10
PCS Web Service
Payment uveb service
Smartystreets web
service
Kubra web sentice
Bellevue SCS web service
Everett SCS web service
Seattle SCS web service
Tacoma SCS web seruice
The servlae endpolrit for
the ckles to call to Pull
data from the FlleLocal
system.
The servlce that submits
cardholder paYment
information to Kubra
The service that Performs
and returns a GlS look'uP
on the b$lness address.
The servlce that Kubra
utllizes to return Payment
information to FileLocal
The cW servlc€ that
csnnects urlth Fllelocal
The city service that
connects with FileLocal
The dry servlce that
connec$ wlth Fllelocal
The city service that
connects with FlleLocal
Servlce do$ln
Certlflcgte explred
Service down
Certificate exPlred
$ervlce down
Gertlflcate explred
Service down
Certiflcate exPired
Sewlcedown
Service down
Servlce down
Service down
e6ov Op6ratlsnsTeam
eGov OperationsTeam
ecov Operatlons Team
eGov Operatlons Team
Kubra SupportTeam
Fllelscal Proleet Manager
The ClVs lT SuPPortTeam
FileLocal ProJect Manager
The civs lTSupportTeam
Fllelocal Profect Manager
The CiVs lTSqPPortTeam
FileLocal Project Manager
The City's lT SuPPort Team
eGov recognizes that all lT organizations require a roadmap that matches the project's short-term and long-term
goals with specific technologjsolutions. creation of such a roadmap is out of scope for this document' However' the
technology roadmap may hlve direct impact on the operational support of the Filelocal service when such plans for
n"* or.h.ng"d technology materialize and become operational'
upon approval of a Technology Roadmap, and subsequent updates to it, this.operations support Plan will also be
updated as appropriate to "tiin
with the roadmap plan and will be submitted for review in a timely manner'
An unplanned outage detected and alerted becomes the starting point for an outage lncident to be managed
according the lntegrated lncident Management Process, below'
TTcHI,IOIOEY ROADMAP
0perations Support & Maintenance Plan Page 11
SUPPoRT AND MAINTENANCE - PIANNED DOWruIUE
rGov Svstenns & Veruvu
The following sections describe the processes for daily operational support and maintenance' Production support
includes planned downtime.
I lrurnlsrnucruRE oN Call CovrnRcr
This section addresses requirement{s): 4 {sLl Ezps}7
operations support for the eGov supported FileLocal infrastructure will be via the Help Desk during standard
coverage hours. standard coverage hours are from 7:00 AM - 5:00 PM Pacific Time (gam to 7pm central Time)'
Monday through Frlday during non-holid"y times. The Help Desk is closed during the below holidays'
New Year's DaY
Mardi Gras DaY
Good Frlday
Memorial Day
lndependence DaY
labor Day
Thanksgiving DaY
Day After Thanksgiving
Christmas Eve
Christmas Day
New Yea/s Eve
when the Help Desk is closed there will be on-call coverage through alternative contact methods' This method will
route communications from the monitoring system to an-on-call support engineer. All city lT issues are to be routed
through the Agency Proiect Manager.
RELEASE MNruICEUEruT
This section addresses requirement(sl: 5 (su Ezps)B
eGov will provide FileLocal with all upgrades and associated documentation that are provided as supplemental and
standard releases to the supported iolt*rt" applications as applicable to FileLocal and the cities as part of the
Hosted Services.
As negotiated with the Filelocal AgencY, the Portal will be taken down to release new features' enhancementt
updates, bug fixes, etc. Scheduled downtime will:
. Ne8otiated ahead of tlme with the FileLocal Agency'
.Takeplaceonlybetweenthehoursof5PMand6AMPacificTime'
rBepreceded24hoursinadvancebysitewarningtextontheloginpage:
o Example:
Unscheduled downtime due to a natural disaster will be addressed in the Disaster Recovery Plan'
I RNnunl TEsr - DtsRsrrR REcove nY
This section addresses requirement(s); 6 (sr.e ezpe)e
The scope ofthis procedure is to test annual disaster recovery
7 See Appendix B
I See Appendix B
e See Appendix B
Operations SuPPort & Maintenance Plan Page12
The production Administration team will perform all testing, collect the results, and present to the Agency in a
disaster recovery test report.
This test plan document for Filelocal supports the following objectives:
L. Outlines the testing approach that will be used'
2. ldentifies the items that should be targeted by the tests'
3. ldentifies the required resources by role and responsibility'
4. Lists the deliverable elements of the tests'
Test Plan APProoch
The purpose of this test plan is to test load balancing, backup, fail-over, and recovery contingencies on the production
instance of Filelocal. These testing procedures are intended to emulate typical points of failure in the production
infrastructure. The goal of these tests is to measure and evaluate the automatic response of systems to those failures
and subsequent recovery of those systems'
Test [oad Balancinn
Test Steps:
l.Confirmnormaloperationofinfrastructurebysimulatingtraffic:
a. lnitiate multiple sessions to web facing interface use totaling 20% of expected user base
b. Monitor asp'net sessions on each server
c. confirm equal distribution of web sessions between all web facing servers
2. Simulate a webserver fail-over/recovery:
a. Disable network interface of one web facing server
b.Confirmdetectionofofflineserverinloadbalancinginterface
c. Monitor arp.net sessions on all remaining load balanced servers to confirm equal distribution of web
sessions across remaining web servers'
d. confirm equal distribution on asp.net sessions between all remaining web facing servers
3. "Recove/'failed web facing server;
a. Re-enable the network interface of the failed" webserver
b. Confirm detection of availability by load balancer
c. confirm equal distribution of new asp.net sessions between all web servers.
Tes! SQL Fallover and Recoyerv
Test Steps:
1. Confirm normal oPeration:
a. Check to ensure all web front-end servers are connecting to primary SQL server
b. Confirm synchronous database mirrors are up to date
c. Simulate traffic of 500+ concurrent connections
2, "Fail" primary SQL server by disabling network interface of primary SQL server'
3. Confirm witness server detects server "failure" by ensuring all web servers are notified to use failover sQL
server,
1. confirm normal functionality of site in ,,fail-over state" by processing several transitions requiring database
queries, such as rate lookuPs.
2. ,,Recove/' primary sQL system by re-enabling network interface on primary sQL server'
3. Conflrm primary 5QL server receives updated transactions logged by failover svstem'
4, Confirm witness server detects availability of primary sQL system'
Operations SuPPort & Maintenance Plan Page 13
5. Confirm web front ends are notified by witness server to resume normal operation with primary sqL server'
6.ConfirmPrimaryserverisacceptinsconnectionsfromwebservers.
7. Repeat process for each SQL server in the system'
Test: DR Recoverv From Backup
1. Create new virtual recovery environment for restore:
a. Deploy new infrastructure from virtual template
b. Assign server names and lPs
2, Configure virtualized load balancer to point at new web servers'
3. Restore web files and database backups from offsite retention location'
4. Configure synchronous mirrorint between all SQL servers'
5. Update web server configurations to point to new SQL servers'
5. Confirm connectivity between systems (asp session and SQL sessionsl'
7. lnitiate small load testing using new public lP'
8. ln the event of an actual disaster scenario:
a. update public DNS to point "test'' URLs to public lP of new recovery environment
Operations Support & Maintenance Plan Page14
lmrenarso I HctoEtlt Mnruleenatrur - U nplqrun so Dowrunur
Scope or THts SrcttoH
This section addresses requirementlsf : 4 lsn Szpsllo
This section documents the plan for responding to unplanned outages/downtlme to minimize the impact to the
Filelocal, cities and the business community. This section includes response by anylall entities who may be involved
in identifoing the ouuge, determining the root cause, resolving the issug documenting the outa8e' andlor
.o]nrunL"ting details of the outageinternally or to the public. The entities involved in the incident management
may include eGov Systems, Venyu, COS/F|leLocal, and/or participating cities'
EMERGENCY COruTRCT
This section addresses requirement(s): 9 (sn ospglu
e6ov Operations Support operates with a daytime support staff and an off-hours support engineer' The off-hour
engineer has a dedicated cellular device that is synched with the monitorinS system so that monitoring alerts are
notifl"o on the phone as well as being able to have the support phone receive phone calls'
During business hours {as indicated above) any operations lncident is routed through the eGov Help Desk (contact
information is below).
During off-hours any operations lncidents are routed to the off-hours support phone carried by a dedicated support
engineer (contact information below).
eMail
10 See Appendix B
11 See Appendix B
225-2Ls-A052f ilelocal @e-govsvstems.comBusiness Hours OPs SuPPort
Off-Hours Ops SuPPort
Operations SuPPort & Maintenance Plan Page 15
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Operations Support & Maintenance Plan Page 15
REcoVERY SENVICCS
This section addresses requirement(sl: 5 (sn szpe) 12
ecov System, in conjunction with venyu, our TIER 4 Data center, provide comprehensive recovery services' These
processes are described in this section.
Eackups
production administration team handles backup configuration on the following schedule:
r SQL backups
o 4 differential backups daily to local storage
o l full backup daily to local storage
r Web file backuPs
o l full backuP dailY
r Daily all local backups are copied to "cloud" storage at end of day using Venyu's Restart-lT cloud backup
solution
Failover
Failover happens whenever any of the servers in the deployment become unavailable
. This can be caused by update releases, system errors, or data corruption.
o Though not due to hardware failure as this is a fault tolerant virtual environment
lf any server does not respond to the monitoring systems (the load balancer or the sQL witness server) all services are
distributed amongst all remaining servers.
Dimster Recovery
Production Administration team will invoke the DR plan
r Backups of all web files and databases copied to Venyu cloud backup
r ln a DR recovery situation new servers are deployed in v-cloud virtual environment
r Web files and databases are restored from cloud backups
r Public DNS are updated to point to new public lPs
r continue operations
12 See Appendix B
Operations SuPPort & Maintenance Plan PageLT
SEcu Rtry I ttclorrur ResPot'tsE
lrutnoouctlott
This section addresses requirement(s): 7, 19 (SlA $2p5, SOW 4'2'11)13
The Filelocal system is complex which increases the need for not only robust monitoring but also a comprehensive'
integrated response plan that ensure effective communication and triage. This security lncident Response Plan (SIRP)
pr*ia", an integrated plan for response to security-related incidents at any part of the Filelocal svstem'
A security incident is one that threatens confidentiatity, integrity or availability of corPorate, client and/or employee
information assets that reside within the care, custody, or control of eGov Systems, Venyu, the Filelocal Agency,
Filelocal participatlng cities andlor Kubra Systems {payment provider)' A system security threat is a malicious event
or action targeted at interrupting the integrity of corporate or personal computer systems' The motivation is to
compromise data for the purposes of exploitation. Data can be of the sensitive type; things like credit card
information, pasrwords or contact lists. And another type is information that miSht interest advertisert like your
lnternet browsing habits.
The SlRp defines the roles and responsibilities for incident response team members, defines incident severity levels,
outlines a process flow for incident management, and includes the processes for response activities'
ScopE oF THE SecuRtrv l}lctosrur Respottsg Pmru
ENTtnEs Wtrntru ScoPe
The SlRp covers security incidents that impact the Filelocal service. The Filelocal service communicates with
numerous entities.
L, eGov SYstems
2. The Filelocal Service or infrastructure
3,
4.
Any city connecting to eGov Systems through the SCS or PCS connections established for Filelocal, or
Kubra systems as the Payment Provider connecting to eGov Systems returninS payment confirmation'
Cotvtponenrs WlrHl N ScoPe
This plan covers security incidents at anv component of the FileLocal system including but not limited to networking'
databases, servers, or user access.
REsPoNsE Acttvtttes WlrHlN ScoPE
The Plan includes the lncident response procedures to:
a Open a Case for the incident and initiate communlcation to the response team according to the initial
estlmate of thd severlty level;
r Assess the severity ofthe security incident, and upgrade or downgrade the response ifappropriate;
r Assess the extent ofdamage;
r Develop and implement a response plan;
r ldentify the vulnerability created;
I Estimate what additional resources are required to mltlSate the incidenti
. Manage communications across the team, to FileLocal and cities per the s[A; and,
13 See Appendix B
Operations Support & Maintenance Plan Page 18
. Provide for post incident review and revision to policy/procedure as indicated
sEcuRrry lructoe rur Resporuse SEnvtcr Level Ae Ree nitgrut
The following Data lnformation Security services are required by the service Level Agreement:
Vendor manages the Application and associated city data at or above the same level of security as the City of
Seattle data with the following the Filelocal's guidelines and the State of Washington Security Policies
1.. Security Planning'
2. Application and database security
3. Security of data on the system and end-user authority
4. Automated security monitoring
5. Access Control Lists for all computing systems
5. Security problem determination and resolution
7. Security audits and review of audit logs
8. Evaluation and review of new security software
These guidelines reference the wA state, Seattle and FileLocal security policies.
This lncident Response Plan defines how the service level will be met for items 6 and 7'
LEADERSHIP COTVITUITUEUT TO SECURITY AND JruCIOEUT RESPONSE
A security breach of Customer proprietary lnformation (CPl) can have devastating impacts to public perception of the
Filelocal system and the resuhing impacts tothe Net Promoter Score, adoption rates, and revenue' Therefore'
significant resource has been expended to proactively mitigate vulnerabilities to the extent commercially practicable
prior to launch.
To the extent that vulnerabilities exist, and criminals continually discover and create new methods, any and all
reactive security incidents will require immediate response and full participation of personnel detailed in this plan' By
signing off on this plan, the Leadeiship of the participating entities commit their resources to respond according to
this Plan.
Operations SuPPort & Maintenance Plan Page 19
Secuntw lructoerut SrveRtw Lrveu
The incident management resource commitments and communication/escalation processes are based on severity
levels. The following severity levels will be used to manage security incidents. These severity level definitions are
different than used for unplanned outage incidents'
oefinitionSeverity
Normal system operations coupled with periodic and real time monitoring of the Filelocal systemNormal
Uncertainty a security incident has occurred - Early indications of a possible attack or intrusion
have been detected by the monitoring processes.
Or
The severity is low - Small numbers of system probes detected on internal systems or an isolated
vlrus that can be handled by anti-virus software. or, Small numbers of system probes detected on
an external system or new information on potential vulnerabilities to systems'
Low
A security incident has manifested itself
And
The severity is medium - Significant numbers of system probes detected, penetration or denial of
service attacks attempts with no impact on operations, or larger lnstances of known computer
viruses that can be handled by anti-virus software. This severity may also include isolated instances
of a new computer virus not handled by anti-virus software'
Medium
A security incident has manifested itself.
And
The severity is high - Penetration or denial of service attacks attempted with limited impact on
operations or larger widespread instances of a new computer virus not handled by anti-virus
software. This severity should be used if some risk of negative financial or public relations impact
may result.
High
Critical A security incident has manifested itself.
And
The severity is critical - Successful penetration or denial of service attacks detected with significant
impact on operations. This severity should be used if significant risk of negative financial or public
relations impact maY result.
Operations Support & Maintenance Plan PaEe20
SEcuRtw lructorrur Rrsporusr PRocrss
The following process flow diagrams display the response for each of the security incident severity levels and the
post-incident processes. rtre rotes and responsibilities of each of the teams involved in an incident response vary
with the particular escalation level active at any particular point in time. The roles and responsibilities are defined in
the next section.
Low
Medium
Highr
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R,l
cl
sG vps slRT PS Agenry
Open
Ostetmlne lnltlal defenslve actlon
vPs
ll lmmedlate corredlve actlon ldentlfied r{qulred lor usert communlcate doroll3 to Help Desk
necelv€ and track lnild.nt dsta
Analyre lncldent data €nd escElale to level 2 lt.pproprlste
ilorlfy PS ot ihe threat lf ePproPrlate
lnclude ln the normal ?eportr of PS approptlate.
Nottfv SIRT to resPond to the manlfestallon olthe
Recelve lnformatlon from Admlns
Forward lncldlnt detallt supportlng system audlt records, etc. to slRT
Start events tor Po3slble dlsclPllnary legal proceedlngs
employees are atfected,communlcate mesrage vla HelP Derk
lncldent ln normal perlod rePort to PS.
ld€ntlfy countermeasutes lor conlalnment otthe lncldent
Provlde feedback to VPS
Supporl SlRT
Convene Support Team
A$ume respontlblllty for dlrecting lnrldent handllng ectlvltles
Determlne aPptoPdate fu rther escrlatlon to the next level
Determlne It countetmeasurcs have reduced to an acceptable level
Take actloru ldrntltled bY Admln countermealures
lnform VPS, ofthe ofthe astlon taken
Contlnue monltorlng the Incldent end communlcate wlth the CEO
set up command center
vendols serylce ptovlda's at approptlale
Determlne ll the counterneasures haYe reduced the rlsks to an acceplable level
Contlnue monltorlng the lncldent
R€port contlnuouslY to exerutlvo management
Communlcate wlth CEO lf approprlate
lncludE lncldent ln lhe normal perlod reporG to PS
Continue countermeasure actlons
Conllnue reportlng ttatus to VPS
Continue to monltol event soulce!tor alerB/notltlcatlon of threats
Monltor ol countetmeasure ln reduclng
Prepare lncldent report
the threats
Operations Support & Maintenance Plan Page22
ROLES AND RESPONSIBILITIES BY ROLE
Presldent of Seruices (PSl
The ps will either involve or inform as the needs of the incident dictate. communication of information during an
incident will follow this flow to eliminate confusion and misinformation between groups'
The PS is responsible for executing or delegating the following:
r Defining the SlRT Core Team (Appendix-Bl'
r Managing and setting priorities with respect to the company's response to a computer security incident
rNotlfiingtheCEoofacomputersecurityincidentCriticalDeclaration
. Participating with VPS in forensic investiSation decisions
r Designating the Deputy or an alternate to cover the responsibilities of the PS role
r Owning of the vPys incident work plan(s)
r Notifying BA, as appropriate, for internal and external communications as well as employee issues'
o Chairing the post incident review
Vlce President of Sewices IVPSI
This position will update the pS on a regular basis during a critical incident. The VPS will obtain technical expertise
based on the incident declared.
The VPS is responsible for the following:
. Determining the incident Level
. Recommending to the Ps, if warranted, that the critical lncident be upgraded to a critical
r coordinating and managing; in conjunction with the PS and BA, the company's response to the computer
security incident in collaboration with the FileLocal Agency'
r Activating the SIRT and notifying the team of meeting locations and calFin telephone numbers
r ldentlfiing external personne/resources as needed
o coordinating internal communications regarding the incident in coniunction with BA
o coordinating any required notices of security breach to employees to clients with BA
o Maintaining communlcations between SIRT and the PS
r Reminding staff that communication is on a need to know basis or if the P5 has defined a'gzgorde(
informing team members of the nature of the ?a8'
r communicating to the Technology services Leadership Team that a critical incident has been declared and a
SIRT has been formed
r Beginning a case file for the incident. use to ensure information is properly collected and documented
r Developingcontainmentprocedures
rWorkingcloselywlththePsandCTduringforensicinvestigations
r Managing the incident work plan(s) and task assignments
o Raising dependency issues asthey arise
rDesignatingadeputvVPStocovertheresponsibilitiesthatspanmorethan12hours
r coordinating hand-off meetings between shifts, and developing work plans that address task completed
and outstanding
r Certifiing th.t ,il ,yrt"ts are returned to operational quality with the cause rectified
r The secure destructlon/retention of all materials at the end of an incident
o Coordinating a post incident review to determine the root cause and effect of the incident and to make
recommendations for the development of new or revisions to existing policies/procedures as indicated'
Securiry lncident Response Team (SIRT|
The p5 will asemble a team to assist ln the investigation and development of the company's response to the
computer security incident. Members will vary depending on the skill sets required to assist during an incident'
Operations Support & Maintenance Plan Page23
Teams will vary in size depending on the need. This team will remain active untilthe incident is resolved' This team
will be responsible for both response and recovery.
Resoonse phase. The response duties of the team are to conduct triage of the inciden! assist in containment of the
incident, collect evidence for the post mortem report and if requerted, conduct or assist in a forensic investigation'
. Assisting in the collection of evidence during an incident investigation
r Making recommendations to the P5 on remedial action on affected systems
r The SIRT may be called up 24 hours a day,7 days a week, 355 days a year during a critical incident
Recoverv phase. The recovery aspects ofthe team are centered on damage assessmen! return to normal operations'
rebuilding servers and systems, etc.
. Determining whether affected systems can be restored from backup tapes, or must be reinstalled
r Scrubbing all data before making it ready for reinstall
r Determining what data is lost and cannot be recovered or restored
r Reloading data on affected systems
. Restoring normal oPerations
Follow-uo phase. The final phase for the team concerns gathering all materials and documents for final reporting and
to r"" *n"t needs to be done to prevent such occurrences in the future'
r Sending final incident reports to parties with a need-to-know
r Discussing procedural changes and updates
r Discussing configuration issues
r Deciding whether to conduct an investigation to determine what the root cause and root effects of the
incident
r Discussing any tasks that were not completed
Dlrector of Business Affairs (BAl
This position will be responsible for coordination and communications with all outside entities, including law
enforcemenL clients, and press as well as internal matters as they relate to Human Resource issues'
r Assist in interviews when requested
r Coordinate with external law enforcement and other agencies as requested by the CI
r Providesexternalcommunications
r Responds to all external media inquiries
e Liaison to external public relation firms
r Ensure internal communications are consistent with external communications
o Advises PS on Personnel matters
o lnitiate employee related investigations along with CT
o participates in investigation interviews and furnishes legally permissible personal information as necessary
r Alerts the SIRT of any unusual employee behavior patterns during an investigation
. Manages internal rumors and fields internal guestions from the employee base that are not associated with
an incident
Controller (Cfl
This position acts as the legal and regulatory compliance liaison to the SIRT to look out for the company's legal
responsibilities and ramifications.
o provides guidance to the pS regarding legal and regulatory arpects of the incident and its public disclosure
r Advises BA regarding investigations involving employees'
r Advises the pS and/or VpS regarding decision to simply protect its operations or to pursue civil or crlminal
actions
. consults with the PS and/or VPS regarding involvement with law enforcement
r Advises the P5 and/or VPS regarding involvement with regulatory agencies
Operations Support & Maintenance Plan Page24
. Reviews communications drafted by BA as required
r Liaison to external counsel
r Notify insurer of security breach
Roles and bilities lncident Level
RerponslHlltleeTo!mlnddcnt
lcvd
Real time and periodic monitoring of all information assets for al€rG and notification of threats'ISystem/ Network
Admin (sG!
Normal
. Determine initial defensive actaon
. Notify vPs
r lf immediate corrective action identified and required for users, communi€at€ details to Help Desk
System/ Network
Admin (SG)
Low
Receive ?nd ttack incident data
Analyze incident data and escalate to Level z lf appropriate
Notifv Ps ofthe threat if appropriate
lnclude incident in the normal p€riod reports of PS ifapproPriate'
Notify SIRT to respond to the manifestation ofthe threat
Receive technical information from System/Network Admins
Forward incident details and supporting system logs, audit recotds, etc' to slRT
Start logging events for possible disciplinary / legal proceedings
lf employees are affected, communicate message via Help Desk
lnclude incldent in the nomal period report to Ps.
Low vPs
r ldentifvcountermeasuresforconteinmentoftheincident
r ProvidefeedbacktoVPS
. SuPPortslRT
Low Syst€m/ Network
Admin (sGl
o Convene lncident SupportTeam
. Assume responslbility for directing incident handling activities
. Determine appropriate further escalation to the next level
r Determine if count€rmeasures have reduced risk to an acceptable level
SIRTLow
Take actions identified by SYs/Network Admin countermeasures
lnform vPS, ofthe details ofthe action taken
SIRTMedium
continue monitoring the incident and communicate with the CEoPSHigh / Critical
r Set up command center
r Notify vendors / external service providers as appropriate
I Detetmlne ifthe countermeasures have redueed the risk to an acceptable level
SIRTHish / Critical
Operations Support & Maintenance Plan Page25
. Continue monitorin8the incident
. Report continuouslyto executive management
. communicate with CEo if approprlate
o lnclude incldent in the normal period teports to PS
vPsHi8h / Critlcal
Support SIRT
Continue countermeasure actions
Continue teporting status to VPs
continue to monitor €vent sources for alerts/notification of threats
Monitor effectlveness ofcountermeasure in reducing the threats
Hish / Critlcal Svstem/ Network
Admin lscl
For category 2 and 3 incidents, prepare lncident report for reviewed by PS and CEO' The report
should lnclude:
o lncident log lncl. findings of technical work that can be used as evidence'
O Estimate of damage / imPact
o Detalls ofactlon taken during the incldent
o Follow on efforts to ellminate/ mitlgate the vulnerdbilitv
O Ust of policies or procedures that require updating
o Detrils ofeffotts takento minimize liabilities or negative exposure
o Recommendations for legafdisclplinaryactlon against lntruders'
Document lessons leamed and take co?rective ection to prevent recurfence'
t
a
Post lncldent SIRT
Operations SuPPort & Maintenance Plan Page26
PATCH MANAGEMENT
It is the goal of this policy to outline how eGov lT/Operations will provide a secure network environment for the
Filelocal product. This policy will ensure all servers deployed to the Filelocal environment have proper virus
protection software, current virus definition libraries, and the most recent patches (operating system and securiul
installed.
EGov ITIOPERATIoNS Respotttst stLtrv
The eGov lT/Operations (ITOPS) team is responsible forthe overall patch management implementation' operationt
and procedures. lTops is the team that ensures all known and reasonable defenses are in place to reduce network
vulnerabilities while keeping the netrivork operating. This responsibility includes the tasks detailed below'
Morutrontxc
ITOpS will monitor security mailing lists, review vendor notifications and Web sites, and research specific public Web
sites for the release of new patches. Monitoring may include, but not be limited to, the followinS:
o Scanning the Filelocal network to identify known vulnerabilities'
r ldentiffing and communicating identified vulnerabilities and/or security breaches to eGoy's Vice President of
Services (VPS) and CEO.
r Monitorins CERf, notifications, and Web sites of all vendors that have hardware or software operating within the
FileLocal environment.
REvrEw Ano EvnluRrloH
Once alerted to a new patch, ITOPS will download and review the new patch by within two business days of its
release. lToPS will categorize the criticality of the patch according to the following:
r Emergency: an imminent threat to the Filelocal network
r Critical: targets a security vulnerability
r Not Critical: a standard patch release update
r Not applicable to the Filelocal environment
Regardless of platform or criticality, all patch releases will follow a defined process for patch deployment that
includes assessing the risk, testing, scheduling, installinE, and verifying'
Rrsx AssessMENT AND TEsttttc
ITOpS will assess the effect of a patch to the Filelocal infrastructure prior to its deployment'
lf IToPS categorizes a patch as an Emergency, the department considers it an imminent threat to the Filelocal
network. As such the patch will be fast tracied and not undergo a testing phase prior to implementation.
Patches deemed critical or Not critical will undergo testing for each affected platform before release for
implementation. lTopS will expedite testing for critical paiches. the team must complete validation against all
images prior to lmPlementation.
NottncnrtoN AND ScHeouttrue
lTopS, management and the Agency must approve the schedule prior to implementation. Re8ardless of criticality,
each patch release requires the creation and approval of a request for technical change {RTC} prior to releasing the
patch. This RTC goes to first to ecov management and then to the Agency for review and approval'
Operations Support & Maintenance Plan Page27
IMPLEMENTATION
lTopS wlll deploy Emergency patches within 1 business day post approval (total is 4 business days post patch release)'
As Emergency patches pose an imminent threat to the network, the release may proceed testing'
Patchlng Timellne
T+Zd T+2d
T+3d T+8d
+ d stands for buslness daYs
lTops will obtain authorization for implementing critical patches via an emergency RTC getting both eGov and the
Agenq/s approval. The department will implement Not Critical patches during regularly scheduled preventive
maintenance following Filelocal's standard Change Management Policy' Each patch will have an approved RTC'
Auotnrue, Assessue H,r, Aruo VeRlrlcATloN
Following the release of all patches, lTops staff will verify the successful installation of the patch and that there have
been no adverse effects'
Operations SuPPort & Maintenance Plan Page 28
Plrcl PRocEss DtRe RRut
A
A
€v.rt lo!8ed
rdon ulatr
wldrb a prtch
rppllc.bh?
FOPS
dMlord. pekh
f8t Prtchnotlis rGry
old t!$ ps?llo9s notllh9.Gd
ot .rltltsl p&h
set prch b be
dlphylnSdurlnt
$hcdulcd
Malntqane
csM notl06Alcn Y
PFFtt M.nt3s
t rcov csM notlfili
At ncyrcdlAlscy
Redd P.Lh
ecd& A€8ncl
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rOPS lmpl.Mts
P.t.i
Plie p.tdt on
rdrduleFollboct
lleed!d?
Roil arck Prkh, Lo8
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pudlilhr
lmltlS.ilon
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sll.€ftI?
lof All Wort ln
CMol Ch6t llsue
Operations Support & Maintenance Plan Page29
APperuorces
System Component
Disaster Recovery
Seruice
Web Service
SIRT
lncident
Dourntime
Term Definition
System SecuritY
Threat
Application
Avallability
APPENDIX A - DEFINITIONS
APPENDIX B - WORK STREAM RTqUINEUCNTS
This table presents the minimum requirements to be addressed by this work stream'
A collectlon of code or functlonallty that wlll be separately tracked as being ready for
production, prior to as part of a checkllst for the entire system being readY for
production dePloYment.
Disaster Recovery Service is a service provided to the City during the term of this
agreement in order to provide functionality within the specified service Level Metrics for
tf,e applications covered by this Agreement following a Disaster Declaration by the City'
An annual test wlll be conducted by the Vendor and a report will be provided to the City
and MCBLTP.
Downtime shall mean that the Application Services and or the applicatlon data are
unavailable to taxpayer or city internet users.
Application Availability shall be measured as follows: (Total Minutes of the Month -
Minrt", of scheduled Service - Minutes of Downtime) I {Total Minutes of the Month -
Minutes of Scheduled Service).
Any event whlch ls not part of the standard operatlon of a servlce and which causes, or
may cause, an interruption to, or a reduction in, the quality of that service'
All web services need to be defined.
Security lncldent ResPonse Team
Supporting GrouPs
Technology Services (those involved in lT support for the company)
A system security threat is a malicious event or action targeted at interrupting the integrity
of corporate or personal computer systems. The motivation is to compromise data for the
purposes of exPloitation.
Customer Proprietary lnformation
RcspondblcRcqulrumantRrq'
s
sovsl.A
Soctlon
e-Gov
lertnd5524x7x3monato.ingautomatedaree-Gov bVsupportedApplications tndomainthewithinresultinge-Govevetheofntmsteatnanythingnotifithatessupportsystem mentenvtronardware,network,hor(software,unavailabIebeingmalfunctioningtheppl icatio
sLA S2ps1
e-Govwithin 30 days before General Business LicenseThe IOperations] SuPPort Plan will be
Go-Live.sLA 92p5
Operations Support & Maintenance Plan Page 30
e-Gov
arewhichparties5howingwillnotificatlonPlanTheSupport andDeskissuefortrackln&communicatlon,the HelpfalluresofIincludingfunctionalspecific7SLA 92ps
e€ovtoCitylnputavailabilitYrespondtomaintainareSeiliCeSapplicationprovldedSupportachievetoe-GovbyareOn+alllevels.providedpersonnelcommltmentthewithinagreed-upon
thisthese servlce levels
sLA 52p54
e€ovthatareprovidedallassociatedthewithwille-Gov City upgradesprovlde theastoapplicabletheSoftwareapplicationstoreleasessupportedstandardandsupplementalthetodescribeprocesswillPlanSupporttheofServices,Hosted Operations[e-GovaspartCitV,stAexceeddoesnotstandardandreleaseloftoduesupplementaldowntimeapplicationen9ure
5 stA 92p5
e-Gov
sta
1.
2.
3.
4.
the means whichl e'Gov Provides the
Center,
Services.Recoveryndard
scheduleretentiononaredatabasesupbackedweeklydailyProduction scheduler€tentionawithmonthmonthlyisbackedpertwicewebProductlonsen e up
AmeriVault RestartlTIandfacilitatedarethroughrecoveryBackups whichDataTIERourwithVenyu,inprovided conjunctionDisasterRecovery
to ourofeventCenter
[fhe Ope.ations SuPPort Plan
5 sLA Szps
e€ov
the City of Seattle data wlth the following the city's guldelines on:
1.
2,
3.
4,
5.
5.
7.
8.
Security Planning.
Appllcation and database security
Security of data on th€ system and end-uset authority
Automated securitY monitoring
Access Control Lists for all computing systems
Security problem determlnation and resolution
same level of se€urity as
and review
assoclated city at or abovemanaSes
Securlty audits and revlew of audlt logs
srA g2p57
eGov
5l.A 93p7{
to meet or exceed the Sewice Levele-Gov use all
Standards [n SIATable 4] '
e-Govhours24aantodesignatedsupportacceSsemergencywille-Gov
tn the Planl.hewill Operatlons SupportdocumentedinfocontactSunday,throuSh lTheMondayIStA 03p9
Cities
the cit!/s dedicated LAN and or
the Operations SuPPort Planl.
monltotingtheformaintenanc€,support,lsTPcityMCSL lnbetodocumentedandcontactskey[TheseWAN.ploc$ses10stA 54p9,
96p10
CitiesconcernsandreportmonitorsystemcityMCBLTPEach
Admlnistlator3'lTheidentifiedandSystemaapprovedpreviouslyapproprlatethrouththeinbewilldocum€nted Operationscontactofcommunicationandmethodspointsmonitoring
11 SIA 96p9
cos & e-Gov
whoAdmlnistratorsofSystemnumberthedet€rminee-Govand shall jointlyAtency
3erutces,e-Gove-Govwith managetointeracteffectivelywillSLA 06p10t2
co5provide all necessarY system
Customer Reglstration Form (See SLA Appendix lll
Agency via acontact information toThe City
13 SLA $6p10
cos
of
effectivetheasslsttoresourcesnecessaryshallCity with theassistance schedulingle'e.servicestheapplicationofadministrationandmaintenancet4SlJq 06p10
e-Gov
stA 56p10
LAN.wlthin
how€ver,
to I.ANproblemsperformanceisolateperceivedwillitsate-Gov,defectscorrecttobea15noe-Gov responsibilitydatathetor€levant city;and provlde15
Cities
which the Tax Portal interfaces.
support,and monitoring of th€ soR withEach city is responsible for
SLA 55p1015
CitiesManaBer
approval for
MCBLTP
MCBTTP
thetomustinterfacestosystemlsoRlAny obtaininformtoandcitiesMCBLTPfore-Gov.to participatangTheandprocedures
Guide.thebewill Operationtndefinedinterfacechanges
oflorcorrecttorsbeano
t7 stA 96p10
Cities & e-Gov
procedures for MCBLTP participating cities to inform
related information will be defined
communicatinSanychangestotaxrelatedsUbjectmattertotheMCBLTPProjectManager
and to e-Gor,
Ho$, the McBLTP lT Project Manager and e.Gov will work with the McBLTP panicipating
citles to ensure information is updated in a tim€ly manner if the work involves e-Gov
making the change. ilt will note thatl e.Gov bears no responsibllity for incorrect or out-of-
[At a
date tax
... in the MCBLTP OperationItemsbe
and obtain approval for updates to tax
1.
2.
3.
stA 55p1018
Operations Support & Maintenance Plan Page 31
ls wholly resPonslble for accurateup-to-date4,note thatl
e-Gov for
eGov
sow4.2.11 [The Operations SuPport
breach event,
covering a securitymanaSementinclude
19
eGovthee-Gov,cities,criterlaandthewillPlanSupportoperatlons
theofforto systemdaydayoperatlonsaSsumeFileLocalandresponsibilitytolsow 4.2.1120
RAC|Role Entitv Name Title eMail Addresses
cEo eGov Ezra Hodge Chief Executive
Officer (CEO)
ezra@ e-G ovsystems.com
P5 eGov Rick Mekdessie President of
Products (PP)
rick@ e-Govsystems'com
PS eGov Ralph Melian President of
Services (PS)
rmelia n @e-govsystems.com
BA eGov Wendy Ogden
Bremer
Director of
Business Affairs &
HR (BA)
wogden @e-Govsystems.co m
VPS eGov Troy Bourgeois Vice President of
Services {VPS}
tbourgeois@e-
Gov$/stems.com
SIRT eGov Laura Thomas Vice President of
Sales (VPS)
Ithomas@e-Govsystems.co m
Agency File[ocal Jamie Carnell FileLocal
Administrator
Jamle,Carnell@seattle.sov
Appenorx c - lr,rctpe ncE REsPoNsE TEAM COrurnCr lnronrulrtoru
Appsr,totx D - luctosHT REVIEw Repont TrnnpmtE
Were controls applicable to the specific incident working properly?
What conditions allowed the incident to occur?
could more education of users or administrators have prevented the incident?
Were all of the people necessary to respond to the incident familiar with the incident response plan?
were any actions that required management approval clear to participants throughout the incident?
Preparation
7.
2.
3.
4.
5.
ldentlff cation/Detection
l.Howsoonaftertheincidentstarteddidtheorganizationdetectit?
Z, Could different or better logging have enabled the organization to detect the incident sooner?
3.Doestheorganizationevenknowexactlywhentheincidentstarted?
4'Howsmoothwastheprocessofinvokingtheincidentresponseplan?
5'Wereappropriateindividualsoutsideoftheincidentresponseteamnotified?
6, How well did the organization follow the plan?
Operations Support & Maintenance Plan Page32
T.Weretheappropriatepeopleavailablewhentheresponseteamwascalled?
8. Should there have been communication to inside and outside parties at this time; and if so, was it done?
9. Did all communication flow from the appropriate source?
Contalnment
1.
2.
3.
How well was the incident contained?
Did the available staff have sufficient skills to do an effective job of containment?
lf there were decisions on whether to disrupt service to internal or external customers, were they made
by the appropriate PeoPle?
Are there changes that could be made to the environment that would have made containment easier or
faster?
Did technical staff document all of their activities?
4.
5.
Removal and RecoverY
1, Was the recovery complete - was any data permanently lost?
2. lf the recovery involved multiple seryers, users, network, etc., how were decisions made on the relative
priorities, and did the decision process follow the incident response plan?
3. Were the technical processes used during these phases smooth?
4,Wasstaffavailablewiththenecessarybackgroundandskills?
Operations SuPPort & Maintenance Plan Page 33
APPENDIX E - CUSTOMER REGISTRATION FORM
Customer Registration Form
Tax Authorlty Contac{ lnfiormttlon
Authority Name
Agency
Key Contact
Phone 2Phone 1
Fax
Address
zipStateCity
Authority Email
Website
Originator lD
Uscr Contrctlnhrmdon
fl Standard Administrator User
il Download Return Batches OnlY
I Research OnlY
fl Payment OnlY Downloads
Choose Type
of Account
Last Name:First Name:
Fax:Phone:
Email:
Agency:
Complete the below for Standard Administrator User only
Mailing Address:
City:
State
0perations Support & Maintenance Plan Page 34
zip
Country
Operations SuPPort & Maint€nance Plan Page 35
FileLocol I
Help Desk & Gustomer support lmplementation Plan
Name of Application: FileLocal
Date ilodifled: June 20{5
Ilocument Venrlon: 1.5.7
DOCUMENT CONTROL
DOCUMENT INFORMATION
Document lD
Document Owner
File Name
DOCUMENT HISTORY
Shawn Waliser
HelpDeCk Support Plan V.1.5.6'docx
1.1
1.2
1.3
1.4
1.5.1
1.5.2
5119114
5n1n4
5n6,114
6F,t14
ffit2015
1t14t2015
Addlffonal contsnt inc. documont apprwera
Mditionsl contont hcotporatlng Jamie's commenF fton 4H14
Added requlremente
Added kubra suppon hfo frcm 5/28 KO mtg
dinput B & George
Generd Edits
Re-wote:r Purpoge of This DocutrPnt
r eGw Syotems'helpdesk PIan
r Tidcet Generatlon
Romoved:r Seruices Provid€d by 6cov S!,stsms' helpdesk
r Escalation Wlhin eGov SYateme
. Escalation to Fllelocal and/orClties
r Secudty- Gustomer Pdvate lnfometion (CPl)
r Security-City/FlleLocalStafiAccess
Addsd:r lssus Management Pmcess
r The Trouble Shoo0ng Gulde (TSG)
r Process Dlagram
r Prucess Dlsgrem Codo KsY
r Escaladon Ptotocols
r Secr.rrity Policiss and Proc€dul€o .
Updated:r Pmcesges Diagram
r Escalation Prctocols
r Contac't lnbrmationr Seo.rrity Pollcles and Prccedurcs
Ct€ated:r TSG Pmce88 Dlagram
Removed:. Eecalatlon to Fllelocal and/or Cities
r Staftng Levels
Changed:
cPl
Changed
rcmoving
Shawn Waliser
Strawn wittser
Shawn Waliser
ShawnWalisor
Tim Manley
Tlm Manley
Tlm Manley
Tim ManleY
2lP age
5g2a11t1
a to Pll
ilsrarctrlcal strucfurc, narmwed focus of doctmont by
seclion on what the Client CiUes do
Document lnformation
1t15t20',15
Rsmoved:
@8,:,c"gY
I CoordinaUon Betr*een eGw Systems, Filelocal And
Parlidpating Cltles (enff m section)
1.5.3 1nspo1s
ail2015
2n2015
1.5.4 uxt2al6
r..FQpo!{ng
Re.Woblr Holldaye
&pr{tls -Rslnetrnddocurpnt
Added:. ,Esralatlqn froP qJFn! qiJY
Genor{l Edlts
nemdwd:r lntroducton
Re-Wlote:r Purpose of this Documsnt
. Teehnology Stendards
r Prccess Dlagnm Code KaY
r The Trcuble Shooting Gulde (TSG)
. Ticket Mansgemsntr Escalation Potoools
r The Protocols. Covelager Holidayt
R€-wrob:. Purposeofthisdocwnentr Termindogystandardg. Houc dopenalbnr tlolldayso The trouH€shociling gulde
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r Escalating to clientolV
o Escalatbnfiom a clbntcl$
r Secr.rdty Policies atd Pllcedulss. Prccqs for hondling' stodng, and shadng pii
r Roporting
Added:r lncomlng lssueo
r lsar managementr The lssu€tr Roles and rssponsiblli$as
r Sevedty leveb
r Sla atandads Psr bsue
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Tim ManleY
Tlm Manley
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3lPage
e.Gov
Systems@
APPROVALS & ACCEPTANCE
we, the undersigned process owners, have reviewed and acceptthis document. we recommend
the approval of its contents-
Project Shawn Wallser
Manag€r
esov'CfO
iGov Sptems VP ovir-
helpdesk
Pld member Seattle
Ptc;rember eeiietue
Fic memtei-Tacoma
Frc membei Everett
Hodge
Troy Bourgeols
I
i
I
NanroRola Approvod Dala
4lPage
@g,:P"gY
Contents
Purpose of this Document... ---.."'
Defi nition of Terms.....
Helpdesk Contact lnformation.....
Filelocal Helpdesk Contact lnformation """""8
City Support Desk Contact lnformation'......-..-""" """"""""8
lncoming Helpdesk Cases .--..
Coverage
Houts of OPeration
10
6
6
I
Holidays
Helpdesk Case Management'..
Helpdesk Case Categories'..
Plr
10
10
12
13
13
14
16
16
16
18
19
24
25
Severity Levels
SLA Standards per helpdesk case '.........-
SLA Track - Response Time ....--..'.
Roles and Responsibilities "--....'
The Troubleshooting Guide...
Escalation Protocols....
The Protocols........................ 1 I
Escalation from a Client City.......21
..22Security Policies and Procedures ...........
23Reporting
Addressing Quality Concems ..
Support Process Diagram """"""25
Support Process Diagram Code Key """"'26
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@ft,n"sx
Punposr oF THls Docuruerur
The purpose of this document is to provide an overview of the customer service support
processes for the FileLocal system. To this end it will describe the function of the eGov helpdesk'
This document will also cover the responsibility of the city support desks and how they interface
with the eGov helpdesk in their support of the Filelocal system.
This plan will cover the key elements necessary for the function of a helpdesk and trace the
support path through the sYstem:
1. lncoming Helpdesk Cases
a. Coverage
b. Contact Methods
2. Helpdesk Case Management
3. Ticket Management
4. Troubleshooting Guide
5. Escalation Protocols
6. Security Policies and Procedures
7. Reporting
This document addresses the customer support of the Filelocat system for business users and
city administrators. For information about support operations of the system, please refer to the
Operations SuPPort Plan.
DeTIHITION OF TERMS
This document will use different terms in reference to the municipalities that are the taxing
authorities and the individuals that are attempting to use the system to register their businesses
and/or paytaxes.
Helpdesk is in reference to the eGov helpdesk. lt is the body that business users and city
administrators can call for support of the Filelocal system'
Business User refers to the business owner ortheir agent that is utilizing the FileLocal system to
file/pay taxes or register a business'
Glient Gity refers to the cities participating in the FileLocalservice'
Helpdesk Gase refers to requests for help sent to the helpdesk by Business Users, Client Cities,
or the FileLocal AgencY'
Filelocal Agency is the program managsment team that's supports the FileLocal servers from
the city side.
Helpdeek staff are the people that operate the helpdesk. They respond to incoming helpdesk
cases.
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subiect Matter Expert (sME) is a senior helpdesk staff and is refened to as a sME.
call center Manager (ccM) is the supervisor that manages the helpdesk and the helpdesk staff'
cllent Relations Manager (cRM) is the person who is responsible for engaging and reporting to
eGov clients and customers. They will be responsible for submitting the MBRs.
Monthly Business Report (MBR) is the report that is generated monthly to report on the state of
FileLocal support through the use of metrics and statistics'
Escatatlon is transferring the helpdesk case to the correct team/agenry in order to resolve the
helpdesk case.
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H elporsr GoNTAcr lrroRumolt
The Cities and business users may contact the eGov helpdesk by phone' e-mail' or via web forms
to report concerns and/or to request help. The helpdesk is staffed by a team experienced in
supporting all eGov products. They will respond courteously and professionally and will work with
each caller to determine the product and taxing authority the caller needs help with'
FneLocnl HrlpoEsr Corurncr IruroRrtlertoN
o Direct Line: 225-215-0052
. Toll Free Number: 1-877-693'4435
o Email: filelocal(@e-oovsvstems.cof!
' Department of Finance and Administrative Services
Ctrv SuppoRT DESK CorurRcr lNronuRrlor't
City of Seattle P.O. Box342l4
691600275
t206) 584-8484
tax@seattle.gov
http ://www.seattle'Sovfas/
Seattle wA 98124
Tax & license Dlvision
733 Market St Room 21 Tacoma WA 98402
For dlrect debit lts 1916001283
253-s9t-5252
2s3-591-s512
For license questions, licenseinfo@cityoftacoma'org
www.cityoft a coma.org/bus in essl icense
Tax Divislon
City of Bellevue Lockbox, P.O' Box !4372, Seattle, WA 98124-1372
425-452-683L
425-452-6t98
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Z980-Wetmore, Ssltc 1:A, EvctcttrWA 98901
busl nesstax@evcrettwt{oy
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lNcoMtNG HrtPoesx Cases
The most common incoming helPdesk
cases will be the business usertrying to
contact eitherthe client city's support desk
or the helpdesk for assistance. These can
involve questions regarding the use and
operations of the FileLocal site to filing,
licensing, or tax questions.
This document highlights incoming
helpdesk case to the system via the initial
contact methods that will be displayed on
the Filelocal site. lt will cover coverage
times and an overviewof the process.
CoveRneE
@,
lncoming
Helpdesk
Case
Helpdesk
case
€scalated
if needed
Houns oF OPERATIoN
The helpdesk is staffed at a level expected to support pojected call loads. support hours are
from 7:00 AM to 5:00 pM pacific Time (g:00 AM to 7:00 PM Central Time), Monday through
Friday. lf a support calt comes into the helpdesk outside of these support hours, they will have the
option to leave a voicemail'
Email and web form communication are only responded to within support hours'
Normal support processes dictate that all incoming helpdesk cases are handled in the order in
which they are received. During normal business hours voicemail is regularly checked to ensure
that all messages are responded to'
Hor-roRvs
The eGov office and the helpdesk will be closed for the below list of holidays:
NewYea/sDayMemorialDayThanksgivingDayChristmasDay
Mardi Gr,s Day lndependence Day Day After Thanksgiving New Yea/s Eve
Good Friday Labor Day Christmas Eve
lf a support request call comes into the helpdesk on a holiday, they will have the option to leave a
voicemail. once the staff is on site, voicemails are handled in the order in which they were
received, per normal support process€s. Email and web form communication sent on holidays will
be responded to once regulaiworking hourc are resumed. Once the staff is on site, email and
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@g;?.RY
web form @mmunication, are handled in the order in which they were received, per normal
support processes.
The two holidays, Mardis Gras day and Good Friday, are Ramware company holidays' However'
those two days are not Washington State holidays. ln order to support FileLocal the helpdesk will
be staffed on those two daYs.
11 lPage
@9,:?"*Y
Helpoesx Case MaTaGEMENT
Every helpdesk case that is presented to the helpdesk willfollow a managed process for support'
This is outlined in the diagram below. All helpdesk cases, regardless of origin point and cause' fit
within this process. These helpdesk cases are broadly categorized into the following groups'
Request for Change (RFC)
Functional helPdesk case (Fl)
Management Support helpdesk case (MSl)
Request for lnformation (RFl)
The action and management of each of these helpdesk cases are guided by the below support
Process Diagram-
Systems helPdesk case (Sl)
Tax/License/Filing helpdesk case (Tl)
User helpdesk case (Ul)
12lP age
-*;r-F'Frr
dlw
e.,,P,RY
Helpogsr GnsE CnreeontEs
The helpdesk cases are broken into broad categories to help with directing support and selecting
the appropriate suPPort Process.
oruseraebstumgthatc,aso8n tax form.a newforalnaludecanThlerequostfuncuon9.algotothehowchangecity FileLocalthetowithRelationengagethetoCllentManag6rCas6sescalatedar€HelpdeskSuch
lnto
Request for ChangeRFC
Request for helP regarding how the sits operat€s (not performance based)'
FI
The incoming holpdesk case comes from a clisnt
help in rcgards to a func{lon FileLocal service as
cltv or the Filslocal agency and is a request for
utilized by the cllent city or Fil€Loc8l agency'Support HelpdeskMSt
Requestthatrequiroseducation/informationonhowthetool/sitefunctions.RFI
Regarding the performance of the site'SI
Tax, licsnse, flling, or Filelocal paym€nt question'Tax Helpdesk CaseTI
siteFileLocal seillc€-orthewithCasssoperatingbuginq*s u89r HelpdeskhavingRegadlngulUser Helpdesk Case
Trcrer Mnruleruerur
Each eGov helpdesk team member will record every incoming.helpdesk case.into.the ticketing
system. The following il;il"l;n1s required when Lntering a nelpOesk case into the ticketing
system:
. Date call received - will be auto-populated with system date.
.Timecallreceived_willbeauto.populatedwithsystemtime.
. The Product. Helpdesk Case Category
. The user account information Caller name and caller contract information, including e-mail
address and phone number if available'
. ProducUtool/system/componentname' UseraccounUname
. Detailed description of problem or helpdesk case, including actions being attempted, enor
mossages, etc.. All detail that can be gathered from the user to fully describe what the helpdesk case is'
. lf a Trouble shootingbuide (TSG) exists for this helpdesk case that TSG is copied and
pasted into the diary of the ticket. lf one does not exist then that is indicated in the ticket
diary.. Allwork items performed to resolve the ticket'
. Any emaits or phone conversation summaries as part of the helpdesk case are copied into
the ticket diary.
13lPage
@9,,8*r
Pil
customer information, known as personally ldentifiable lnformation (Pll), is critical data that can
be used to distinguish or trace an individual's identity. Pll includes their Social security Number,
Date and place of Birth, Mothe/s Maiden Name and/or Biometric Records. lt is also any other
infonnation that is linked or linkable to an individual such as their Medical lnformation, Education
lnformation and Financial lnformation.
only authorized users and administrators of the FileLocalsystem willhave access to Pll data'
Due to the nature of their work, the Help Desk Staff, the Subject Matter Expert, Operations
Support Engineer, Operations Support Manager, and the Call Center Manager are authorized
users and administrators of the FileLocalsystem'
All authorized users of the system that have access to Pll must first undergo training that teaches
them the best practices for handling, storing, and sharing Pll. They will learn the different types of
Pll; guidelines for identiffing, collecting, and using Pll; and the fundamental actions to trake in the
event of a Pll breach.
when someone calls the helpdesk to enquire about an account there are a series of questions
that they must answer before any detail is given out to the caller. This is the process the helpdesk
staff follows to ensure that the caller either is the business owner or is authorized to work the
account on behalf of the business owner'
SeventrY LEvels
severity levels are indicators of the impact of a support helpdesk case. These levels apply to both
operational support issues that end up escalated to the operations support Team as well as
business user issues managed by the helpdesk'
The helpdesk team member, including the sME or the call center Manager, will be expected to
respond to helpdesk cases according to the order in which they are received, status' and the
assigned severity level. Team members may change the severity level as needed while adhering
to the below guidelines. critical requests will be given top severity level 1 &2tor immediate
support. Other requests will be addressed according to the assigned priority and the age of the
helpdesk case.
System-related incidents may cause business users to call for assistance. Additionally, any City
may report an unplanned ouiage to the eGov Systems Helpdesk- The following system-related
severity levels were pre-defined in the sLA. When reporting a system-related incident, the
"incidenf' classification should be used.
14 lPage
@gr',P"?.'Y
Total system Fallure - occur$ when the system ie not functloning and there ls
no workaround; such ae a Genhal server is down or when the workflow of an
entire agency is notfunctionlng.
critical Failure - critical process failure occurs when a crucial element in the
Systemorakeyservjceisnotfunctioningcorrectlymakingthesystemnot
uiaute for its intended purpose and there is usually no suitable work-around.
Note that this may not be applicable to intermiftent problems'
Non-Cdtical Failure - Non-Critical part or component failurc oocurs when a
system oomponent ie not funcdioning, but the system is still useable for lts
intended purpose, orthare ig a reasoneble workaround'
lnconvenience - An inconvenience occurs when System causes a minor
disruption in the way tasks are performed but does not stop workflow.
while the business users, the city or Filelocal may contact the helpdesk for a number of reasons
all helpdesk cases will fall into the broad categories indicated above and repeated below' Not all
severiiy levels apply to every category. For example, a business user that is having a connection
problem that is not related to site functionality is not a Sev-1 helpdesk case'
The below chart illustrates helpdesk case categories and the severity levels that a helpdesk case
within that category is able to reach. This is a guideline for incoming helpdesk cases' There may
be specific circumstances that would support a helpdesk case having a severity level outside of
the below scope. However, assessing a severity level outside of the below scope requires the
Call Center Manager's aPProval.
Sev-4
Sev-4
Sev-3, Sev-4
Sev-1, Sev-2, Sev-3, Sev-4
Sev4
Sev-3, Sev-4
15 | P a g e
e.Gov
Syslems
Severity Level4
Severity Level3
Severity Level2
Severity Level I
Descriptlon
Helpdesk Case
Severity Level
Helpdesk Gase Category
Request for lnformatlon
Systems Helpdesk Case
User Helpdesk Case
Tax Helpdesk Case
Management SuPPort
Case
Severity Levels
Request for Change
e
SLA STNNDARDS PER HELPDESK CASE
The below resolution requirements are from the sLA in regards to incidents and problems
regarding operations support. These are being used as a guideline for helpdesk case
management and resolution time. This table has been edited accordingly and is not an exact
copy from the SLA.
S6vqrlw:l6vel I
helpdesk cese Resolved
Severlty Level 2
helpdesk case Resolved
Sevqrlty tsvsl 3
helpderl erse Rerolved
ScvFrlty L€vel 4
helpdeshcale Resolved
tlelpdesk 98ll w.it tlme
Helpdesk call busY
signal
Snppottcall sev€rltl
L€v€l t and t3vdl 2
callback ttme
As lait,ts potslble but no l6tor recolved
wlthln.24 hours
As fast as possible but no |tte. than 1fl)% resolved
wlthln 35 hou6
8096 rosolvdd wlthln 5 workln8 dsfs,
100% resolved wlthin 10 working days.
8096 rsEplwd $tlthln 20 worklng days,
100% resolved wlthln 45 working days.
' At le8$t 9996 of Helpdssk calls are answered in 2
' rnlnot€s trom the wsll tlmo ln the qucue or lo33
' dutlng normal burlnex hours lr'crll plck'up syst*m
may.be employed lo mest thlt rqqulrem€nt durin8
hlgh cell,volumes)
Less thsn 196 of calls get a busy slgnal
' Vendor musl rupgnd bach td Glty ln 30 mlnutdt ol
less from the tlme the'GltY made'ths ull
Servlce Helpdesk
standardMelrlcMeasure
Support calls for
Severlty Level I
and Level 2
Call Center Staft
Response Tlme
TRncr - ResPoNsE TIME
Per the sLA, all calls to the eGov helpdesk are to be answered within a two minute wait time by
either helpdesk staff or a call pickup system for 99o/o of calls during normal business hours' The
eGov helpdesk will track call statistics monitoring sLA compliance and will report on same during
the monthly report cycle.
Roles AND REsPoNslBlLlrlEs
The business users may contact either the eGov helpdesk or one of the city support desks' Each
party of the support process has a role to play in regards to support of FileLocal' The below RACI
matrix highlights these areas and what responsibility each party holds.
The RACI model is a skaightforward tool used for identifying roles and responsibilities and
av;iding confusion over th-ose roles and responsibilities. The acronym 511qCI stands for:
16 lPage
@il,n-RY
a
a
a
Responsible: The position that does the work to achieve the task' They have
;;6;ribility for geiting the work done or decision made. More than one team or person
can be responsible.
Accountable: The position that is accountable for the conect and thorough completion
of the task. More than one person or position can be accountable.
Con"utt"O= fne posiiion if[i pt*iO"s information for the task and with whom there is
two-way communicatiln. fnid can take the form of email or a telephone call if the need
warrants. . ,. --- i
ini"iln"Ot The positions that are kept informed about progress and with whom there is
one-way communication.
RR AI
ffiffie.
R AI
ffiffiffi$ffi;
R c
ffiufi,ffiftt{h.€ffii
R AI
1. Noteveryfilingholpdeskcase will need this cooPeration-it does the cas€wlll be escalated to the CRM and then
2.
the Filelocal Agency will be engaged.
The Filelocal Program Manager is informed via ths monthly reports'
lTlPage
Escalate business users to appropriate support team
Respond to incoming issues from business users
e: Request for Change (RFC)
Support lssue: Systems HelPdesk Case (Sl)
Support lssue: Business User Helpdelk_Case {UI
{RFr}
irppott (r!_Support lssue: Functional HelPdesk Case (Fl)
Helpdesk Case {MSl)
lssue: Tax/License/Filing Helpdesk Case
Support lssue: Management SuPPort
Support lssu
Support lssue: Request for lnforrnation
d
o,
bo(!
trllt
Er!
ooo
4
t!tog
t!
tv.v=c.qns EE EE &A-Ltg*fl I Ef>? € s,?Lr-gE iI
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Txe TnouaLEsHoorlNG GutoE
One TSG per helPdesk case will
is researched in the TSG library
copied into the ticket diary. The
lf a TSG does not exist the
helpdesk staff involves the
SME (or CCM if necessary) in
resolving the helPdesk case.
Notes on helpdesk case
resolution are taken and a new
TSG is wriften forthat helPdesk
case.
The TSG process is a suF
segment of the Process
Diagram. lt has been called
out independentlY.
The ,,Troubleshooting Guide", or TSG, is a support document intemal to eGov support prooesses
These guides are used by the eGov helpdesk to support all eGov customers. Filelocal support
helpdesk cases will each have their own TSGs'
The TSG is critical to helpdesk case management. lt is the cook-bookdefining the step by step
methods to resolve each helpdesk case. TSG's are dynamic documents updated as new
information is discovered, or as methodologies are improved'
be created. when a helpdesk case is opened the reported issue
andwhentheappropriateTSGisfoundthetextofthatTSGis
steps in the T$G are followed to resolve the helpdesk case'
There are two steps for approval and submittal. The first is the sME. This step is the only
appruval step required to make edits. The second approval step is for the CCM' This step is
when a brand new TSG is being created.
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Escalertoru Pnotocot-s
There are numerous reasons and a number of avenues for escalation of individual helpdesk ,
cases. Each escalation iategory will have its own guiding protocol or process.to follow based
on the type and metnod oi eicaflation. The need tiescaladion will be dictated by process and
TSG. There are only five categories of escalation'
The escalation categories are:
r Escalate to the eGov HelPdesk
. Escalate to the CitY SuPPort Desk
e Escalate to the FileLocalAgencY
o Escalate to Subiect Matter Expert
r Escalate to the Call Genter Manager
r Escalate to the Customer Relations Manager
r Escalate to OPerations SuPPort
Each escalation avenue (as indicated above) willfollow an Escalation Protocol. When a
[apo"ri ""i" reacnes a point where_an.escalation is necessary (per TSG 9l taite! pe
process), tne appropiiate'Escalation Protocol is referenced and cdpied into the ticket diary, and
then executed Per instructions-
19lPage
TnE Fnorocols
All escalations beyond the subject Mafter Expert and call. cerrter Manager are reviewed' This
review could result lnine upoaiing of an *ir'frng TSG orthe Escalation Protocol, the creation of
r n"* TSG, or tt're moOinca:tion oian existing piocgss. Any modification to existing prooesses
"no
pto""oli"" or ttre Escalation Protocol w]li ue done with the involvement of the Customer
Relations Manager, tne VG F
"sident
of Services, and any other internal eGov stakeholder
deemed necessary bY either PartY.
For escalations to the sME or the Gall center Manager, ticket_ownership is transferred to them
from the Call Center !t*f. Wn." escalating to the Customer Relations Manager the ticket is
assigned and held by the Call Genter Manager'
For escalations to the Client City, the SME holds onto the ticket, closing it as escalation per
protocot once the Escalation Protocol is followed successfully.
Method of Escalation
fscalate to the City Support Deili-
Protocol
@ilP"RY
wlll,bo doseg ss lEscalabd
speclfic clhnt,clv'
to <authodtfr' wher€ <auhoity'' ls tho
When a business user calls one of th€ pa.ticipatlng client cites wlth a
question that is about Filelocal lh€ h€lpd€8k casg must be oscalated
to the eGov helpdesk. The citY support desk will lnform lhs buslness
ussr that they are going to fonrvard ttpm to the helpdesk. The city
informetlon wlth thesupport desk will
business user in
sher€ th€ appmpriate contacrt
case th€y b@ms dlsconnsct€d.Then theY wlll
th6n fonflErd ths call to the apptopdate number
hclpdesk.SubJoot
dudng
be:oBpqlaFd.
oa8e ls
or trainlng ofcall o€nter
it
sffi.
When a helpdesk case has to be escalated to the Call Center
M"nag"t iltb il"ket is r€assigned to the CCM- The SME and CCM
are verbally notlffed of thc escalallon.
When,an hslpdelk.aosc hel,tt bo oacrlqted to the CRM th€'{c'(€l
il.loasiffi;db th; CcM: the ccin and cRM are veloallv nollfied
of ri"-a-caiiuon. The OOM lracks thc hel$csk Gaso qnd hotds
onto tre incfiet oloeing it wtpn tho helpdeak cere ls resolved'
vVhen a helpdeek case has b be escalsted to Operatlons Support
an Ops Sudport tick6t l$ cteatod in the Ops SgPpottsystem ana
il; sbpoii ncket ls closed as 'escalated to opsrattons Supporf
EscRurtruc ro CLIENT ClrY
When a business user calls with a question about their taxes, licensing, or payments the helpdesk
case must be escalated to the appropriate municipality per the Escalation Protocol'
The eGov helpdesk will explain to the caller that
their helpdesk mse must be handled by the client
city and that they will be fonryarded to the
appropriate service desk. The helpdesk will share
the client city's service desk contact information in
case they become disconnected during the
forwarding process. The helpdesk then forwards
the callto the appropriate number. This willbe
recorded in the ticket and the ticket will be closed as
"Escalated to <authority>" where <authority> is the
specific client citY.
20 lPage
E.GOV
System$
Escalate to the Call Center
Escalale to the Gustomer
Escalata to OPerations
Relations
Manager
Matter Expertto
Desk toEscalatethe Gity
eGov Helpdesk.
tss ii a*alaled
Pet EPowr4na16
eslati$ lnd
€tutG lo ccs
ro lhe SME
Tu. LceM.
Paymil?
@
EscRt-RttoN FRoM n CltErur Clrv
When a business user calls one of the participating cities with a question that is about FileLocal
the helpdesk case must be escalated to the eGov helpdesk. The ci$ support desk will inform the
business user that they are going to forward them to the helpdesk. The city support desk will
share the appropriate contact information and then forward the call.
The city support desk is to instruct the customers to contact the eGov helpdesk via one of the
fol6wing methods: Dlrect Llne; 225-215-0052, Toll Free Number: 1'877'693'4435, Email:
fi lelopal@e-govsystems.com'
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Secunnv Poltctes nxo PnoceDuRES
All appropdate security protocols outlined in the below documents will be followed'
From the Offices of the Washington State CIO:
htbs://ocio.wa.oorr/ptticiesi|141-securino.information-technoloov.assets
From the City of Seattle:
The PDF: City of Seattle Security Requircments 'tSSP-Web
Also see the docume nt: opentions support PIan vI-\.Ofor specifics in managing security issues
and data breaches.
22lP age
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Reponrtne
In support of SLA Section 3, Service Level Standards, and the requirement"The Vendor shall use
all commerciatly reasonabte efforts to meet or exceed the foltowing seruice Level standads and
submit a monthty performance metics helpdeskcases rcpoft to the MCBLTP Prognm Managef'
the eGov helpdesk will generate monthly reports'
The eGov helpdesk will generate a Monthly Business Report (MBR) to be prepared by eGov
systems, helpdesk. This report will focus on the Filelocal specific help tickets created during the
pievious month. The MBR will be sent to the Filelocal Agency, specifically the Filelocal Program
Manager.
The eGov helpdesk supports a large number of clients and municipalities. The Filelocal MBR will
be focused speciflcally on FileLocal tickets and will not share general support data that would
include support of other clients.
The MBRwillrePorton:
. The number of Filelocal helpdesk cases in the month'
r Number of helpdesk cases per severity, category and input method'
o Callresponse time
r Resolution time Per helPdesk.
o Average Time to Close (TT-C) per month'
o Number of escalations to cities in the month'
Any additional reports on data-points not in the above list are outrside of scope of this plan and the
MBR and can be addressed with the CRM'
23 lPage
@s,:,G,gY
AooResslNe QualtrY CoruceRrus
ln the spidt of providing excellent customer service and continuous improvement' eGov's
helpdesk team willfoilJw a cyclic process for improving function and performance' The team will
follow a regular oPerations
review, lessonsleamed,
retrospective review that will be
performed once a quarter.
This willbe Provided via an
internal feedback looP that will
take into account Performance
measurements, SLA adherence
reports (metrics), and CitY/user
feedback. All escalations
outside of the helPdesk will be
reviewed and Problem helPdesk
cases along with ,or" r."ndom helpdesk cases will be selected forticket review. The action items
that come out of these reviews will be integrated into changes to improve helpdesk efficiencies-
24lP age
\
t I
@+-
eP,:gl.Y
Apperuorx Orue
Supponr Pnocess DtRennu
25lPage
@il9.RY
SuppoRr PRocess DlnoRRtvt Cooe KEv
Below is the description of the codes used in the process diagram above.
Codc DorcrlPllon lloleg
contlnuants.cc Cllent City
asas
collection and
p€rson
ccM Call Centor Manager
Customsts.andUserandthoHelpdesksupportsstef that operatesHelpdeskccsCall Center Staff
Th6 Customer has submitted a desire to change how the sits/bol functions.
RFC Request for Change
to the
the MBR.
anymanager
CRM
StatrthebetoHelpdeskfollowedbyescalationprocessesTheoutllningprotocolEscalation PlobcolEPO
casewllh beon
CustomerFIcase
manage the 6nd prccssses hecaSea
tool.MSI helpdesk case
site functions.
oncas6a
RFt lnlormatlon
An helpdesk case with ttre performance of the site has boen roported'
q|sesr
and support pRroess€8sfproduc'lsmostknowledgablYandstaffSeniorHelpdeskSubject Mattsr Exp€rtSME
llcense or
and will be esc€lated to the
byBomethingquesfion,e
Tax hslpdesk caseTI
hsve its o$rn TSG
oaSgca80.on ahThe
GuideTSG
The User ls having helpdesk cases using the system'User helpdesk caseUI
26 lPage
@gr:rt"qY
FileLocol I
subject: F[eLocnl PnosLEi, MRrueoeuErur Pnocess suutunnv
'1 . Scope
2. Ovsrvisw
3. Goals & ObJectivee
4. Benefits
5. Definitions
6. Koy Activities
7. Rolss & Rsspon8iblllties
8. Procese Flow
9. Proces3 Artlfacls
1. ScoPE
ln Scope
r Activlties required to dlagnose the root causs of lncidents
. Dete,minalion of t€solutions to problem8 related to the FileLocal product
. Escalatlon of proposed problEm rosolutions to change Managomont
Out of Scope
r Participating clty technology and equipment
r Vendor technology 8nd €quipm€nt
2.OvERvtEw
Probl.m t.nlgomort is lho procoss by which problems ldontifiod within to tho Filslocal
syst€maregovernadandmanaged.Oncegecalated,problem3areanalyzodfolrool.cause'
possible woik-a rounde and flxes are id€ntiflod and an impact analysls of ths proposed
aolution i3 devslopod. The Operating Committee (OC) reviewe the propoead lixEs and
approvad flxss are then submltfed through Ghange Managoment lor lmplsmontation'
All problems related to the FileLocal product musl be governed by Problem Managoment'
The Fllelocal Agoncy dirocts and manages the Problem Managomsnt process' working
wlth atakeholdeis, participants and vendore to analyze, assess and resolvo identilied
problems.
Topics
Summary of Processes
3. GOAIS & OBJECTIVES OF CHANGE MANAGEMENT
. ldentlfy the root cause of one or more incldents that have been identlfled as a potentlal
problem
. lniti?te actlons to resolve problems
. prevent future problems and resulting incldents from happening
r €llminate recurrlng incidents
. Mlnimize the imPact of incldents
4. BENEFITS
Provldes informatlon regarding better first-time fixes to the Helpdesk
Reduces the cost of workarounds or fixes that do not work
Reduction ln the costs for contlnuing to troubleshoot repeat lncidents
a
a
a
5. DEFINITIONS
r Problem - the known cause ofone or more incldents
r problem MinaSement - the process responslble for managlng the llfecycle of problems'
6. KEYAcrtvlrlEs
1.0 probl6m Detectlon - tdentlfy problems from the followinS activltles: (1) lncldent matchlng; (21
lrrenaanalvd*Fld!{94-c!!!i-c!:!qvl9gp19-pjem*a-1-e4s-11F-e-1
partlclpants.
2,0 problem Lolglng - record all relevant information related to the probhm in a centrallzed
locatlon $racklng ipr€adshe€Uln9lgdg a un!,qge 19Je-r9lqe-!Lqqlgr-U!h the-{4e/t[}€ l!-w-ls
recorded. Related lnclden15, user detalls, servlce details, a descriptlon of the incldent svmptoms
and details of the diagnostic or attemPts at recovery actlon taken can be lncluded in the
problem tracking log.
3.0 problcm categoilzrtlon - problems should be cateSorized to allow for management reportinS
anddeclslonmaklng,Problemscanfollowasimllarcategorlzationmodelasincldents.
4.0 Prlorlthatlon - problems should be prior{tlzed using the same assessment criteria for Impact and
urSency that are used for incidents. Prloritizlng problems provldes the order in whlch problems
wlll be worked.
5,0 lnusrtlgatlon and DlaSnollr - properlv investlgate, dlagnose, test and verify the root cause of
theproblem,therelevantsystemcomponentsandanyrelatedissues.ProblemanalYsls,
diagnosis and r€solutlon technlques should be used to facllltate findln8 the most cost effectlve
methods for resolvlng Problems.
Ydrd. dcp lff lil.lb6lD$
lldndnt .d l.x tlllm
bcllEftdldln
nsrd loW€cdBnqtd IDllOrI:dlwtlanrlythfurlhcrquhrr0leobl€4iEe@vH€bd.s&,$oddrnrhdtolrh.ntdb fron dritnpotrhlln.ldrna ild lh€
btlhtlocolrtrurH
ffiil.l*atdt
Pagez ol 7
6.0 workaround Decltlon - problems are matched agalnst any known errors and if avallable deflned
work-a rounds. lf no exlsting work-a round is identlfied in the known error database, if posslble,
one should be deflned and relayed back to the users in any related incidents' lf no work-a round
can be ldentlfled, the problem ls sent back to the Problem Manager for further lnvestlgation and
diagnosis until a work-a round can be ldentified'
7.0 Crcat€ Known Eror Rccord - once the root cause of an existlng work-a round is ldentified, a
Known Error record must be ralsed and recorded ln the Known Error Database (KEDBI' This is
the equivalent to changlnS the status of a 'problem' record to a 'known error'. The K€DB stores
exlstlngwork.aroundstoproblemsandissearchablebyHelpdeskandagencYstaff.
g,O Chant Needed Declslon - submit a Request for Change (RFCI through the Change Management
process to ensure that the requested change ls revlewed by all of the approprlate partles and is
submltted for lmplementation if approved'
9.0 Rcsolutlon - as soon as a resolutlon is found, it should be applied to resolve the prohlem' The
resolutlonmaylnvolveaRFcandapprovalmayberequlredbeforetheresolutloncanbe
applied. ln some cases cost and/or lmpact of resolving the problem cannot be Justified. ln that
case, a decislon must be made to leave the problem open and continue to resolve the
subsequent lncldents through a valldated work-a round'
1O.O MaJor Problem Decltlon - determine if a probhm matches the deflnition of a ma.ior
problem.
11.O Melor problOnn Revlcw - ldentify and review any lessons learned from the resolution of
a major problem. Major problem reviews should be conducted wlth all of the approprlate
parties, and soon after the maJor groblem is resolved'
t2,O Closure
13.0 Trend AnalYsls
7- ROLES&RESPONSIBILITIES
a
tfb{rd. rtatbr lellturlm..
llen.lnt .id ld llllil
I
problem Manag€ment Procctr owner (Program Manager 'Jamle Garnell) - ls responslble for
ensurinB that the problem management process i; belng performed accordinS to the
documented and agreed to Process.
ProblemM'nasementPloc€ssMan'8er(ProjectMana3er-GreSKauper)-isaccountableto
the Problem Manatement Process Owner and performs the dry-today operational and
managerlal tasks of the problem manaS€ment ptocess'
chante Advlsory soard (clBl - Fllelocal's operatlng committee locl ls the functlonal cAB that
meets re8ularly to advlse the Change Manager ln the assessmen! priorltlzation and schedullng
of changes,
a
tflfLla.Lon
Pagc 3 of7
a Help Desl- The customer servlce support call llne ls responslble for provldinS analysls of
incident trends as needed to as$ss requests for change. city and business users should submit
thelr issues through the Help Desk, who will then consolldates the lssues and escalates them to
the Problem Manager.
vendor I Proulder leGo% Kubrat - Saas model software vendor responslble for consulting on
the assessment of changes and participatlng ld the lmplementatlon of approved changes'
a
\tirnrtgtlFlddbhh
lh.ndl[ .rd rs ttl4
RACI'Ch.rl gutlntal
lrr.n
Chrnga
A.tYltory
Board
(cA6l
Halp
Dork
clty
Admlna
V.ndor t
?Jorlda.
ll'L.Y.l
tuDport
Problan
trnrganant
Procara
frnrgar
Ptobl.n
f,!nrgananl
Proclal
Owna:
Proc.t.5l.P
R IRRrc/t cR'CA0, Problrm
Doloctlcn QltcflR'CA
RtcA2_ ProDt.m
Crlllon IcfitcflR/CA3. Ptlorluzllbn IcficllR'CII RrcilA
and
Dlrlnolll
4. lnwlllgrllon
IcilcltRt(;/tRA5, Woltlrour!
Dtclllotr
till cnR'IR'CA6. Grurtr
Knosn Ettol
RacoTd GR'IR'IA7. Ch.ng.
ilr.d.d
Dacl.lon cflR/Cfi c/lRtcllI. R.rolutaon GoRAl. xalol
Problam
D.alalon GIIcllc,lR/CAlo. x{ot
Probl!n
RaYht
IIR'IAtl. cloautr ccccARf2. Trand
Anrlyala
ffilldBaldI
PaSe 4 of7
8. PRocEssFLow
!Wc$r.lctlslt d!|dil$
lh.n litrdlqi[m
lf
firlll.lol].n
P€lr 5 of7
9, PROCESSART{FACTs
. Known Error Drtaba3e (KEDB) - Authorltatlve source of knowledSe regardln8 problem
resolutions. Accessible to the Helpdesk for research, flrst-tlme fix information though stored in
the KEDB, Fhould send updates to the Helpdesk when new lnformatlon ls avallabb,l-.
r Problem Ercsletlon Request- lnclude a descrlption of the lncldent symptoms and detalls of the
dlagnosticorattemptsatlecoveryactiontaken'Anyrelatedlncidents,userdetails,servlce
detalls, can be lncluded in the problem lo8'
. Problem catetorl$ - ldentify a cateSory for each problem based on the followlnS table:
Problom crlol
Crtogory
Functionallty r Website ussr int€rfac€
r Tax filingg
. License applicatlons
r Payments
Calculations a Tax
a Tdx rulsS
Tax ralosa
Security r VulnerabilitY
r Compliance
problem prlorltv aiscrJm.nt form - assess the prlorlty of the problem based on its' lmpact,
urgency, rlsk, beneflts and costs
a
Problom PllorltY L.vol.
Leval Crltcrla
Lsvel 1 ale no l8
Lsvel 2 tn
TA'A-aga
Problem ls lred
a Malof Problem A$ejsment - assess lf a problem fits the definitlon of a malor problem based on
the following crlteria
blrm.tcrld lsib{.lD$
D!.rdnr.rdi.r ilhC
us the KEOS ln lh€ H.lp D$k plan
Oommantrd [DllO3] we n.cd to mtPoul htrtha Hsbdsk
A. Hlgh - 5
B. Mod-3
C. Low-o
T. ffilmpacts multiPle cities, sYatem
ownera
B. Msd - lmpacts at loast on€ cily; some
disruption to servicoB
C. Low - No impacts to clties technology or
processas
L lmpact to citiee
wwiLlc.lorg
Pate 5 of7
B, Med-9
C. Low-0B. Msd - Estimate for cosls is low
C. Low- lncluded as Pari of base
(<$1 0K)
oontracted Servicec
B. M€d-3
G. Low-0
unavailable
B. Mod - Some functions maY not be
available
C. Low - No or minor impacte to system
implementing th€
Change
not
B. Med-3
C. Low- 0
regulatory concetna
B. M€d - Minor compliance or rogulatoty
impacls
C. Low - No comPliance
or
Regulatory
considorations
B. M€d-3
C. Low-o
involved
B. Med - 2 team8 will need to be involvod
C. Low - 1 team will need to bs involved
or mor6A.
required lo lmploment
Ch8ng6
4
B. Med-2
C. Low-0
wlndow
B. M6d - during nolmal maintenancs
wlndow
C. Low - no outage
requlrom€ntg
c.>10
A. Low:0-5
B. tcdlum:6-10
hurdrlslfflm.lbs.lillr
lh.r&s.id urlllry
rnnblarto{
Paae7 oll
*g
McBLTP $oftware
Functional
$pecification:
City Mainlenance
City of Seattle F
Verslon 1.0
Wendy Thomaston, e-Gov Systemg
March,2014
McBLTP SofrrvaE Funcdonal Sp€cmcafun Mardt,2014
e'Gov Svrbmg
cttv Melntenanco Maabr Documcnt
Document Control
Document lnforma(on
Document History
8eo Appgnlh ll [locurrnt lesue/Chenge l-og
Approvals & AccePtance
wo, lhs und€€lgnsd Projsct A!|mlnl!!abr, PmJoG.t Manag6t, and mombrB, hsvo lwlguad and ars wllllng to acc6pt thls
documant. We ruoommend ho appDval of ib conttnb'
lamle camdl
Prolect M.nt8ar : &rre Hatrey
Documenl Owner
lssuo Date
Last Saved Oate
File Nam€
MGBLTP Softtvers Funcfonal Spe<*ficstion March,2014
ctv Malnt€nanco Mast€r Oocumont 6-Gov Svstom3
Table of Contents
Purpose of Functional Specificalions'....'.""""
Porbl Overvlew
Ci$ Functons
Account Maintenancs .'.".......'
Communication...........,.'..'....
Research
City Settings.'.
City Processing...............',..',
Featlre GrouP: CitY Maintenance
1
2
2
2
3
3
3
3
6
35
35
35
35
36
38
Feahrre Group: AccountMaintenance """""""""""'7
Featurc Group: Overview........'..."""' """"""""""'7
OPtions """"""""7
Scenerios and Storyboards....,,........,"""' """""""' 8
o
Process Steps-Ghange Password""':""""""""""' """""""';;
Process Steis - Set Up New Clerical Users"':""""""""""" "' " ' ""' " ' ' ,i;
Process Steis- Update City Contrac-tlnQ-"9n " ' ' "' ;:
Process Sebs - Uioate User Contact lnformation ""' """' "" :i
Process Steps - Manage Clerical Users-""""""' ".""""'r"r'r'! 34
ProcessSteps-Upoati-UserRccountPrcferences""""""""""' """""""""25t7
Queetions fiom Cities'..'..-......'
28
28
28
29
29
31
Feahrre: Annotation'.-..
Options
Scenarios and Storyboards....'..'.'..""""'
Process Steps - Annotate Record""""
Questions fiom Cities...'.
Feahru: Rate Malntenan@.....',...'.....'
Feature Overview..'.'..
Scenarios.......
Procass Steps - Update Tax Rate ."""""""
Queslions ftom Cit|es.....".......
Feature: Reset Process
Feature OveMew'...-...
Scenarios......
Process StePs - Batch Reset '
Pro€ss StePs- Form Reset..
Questions from Citiee..'..
Delinition: Portal User Permissions....."'
Questlone ftom Clties.-.'....".."
32
32
32
32u
39
40
I
Match,2014
MCBLTP Sotu/ars Functonal Specificadon e-Gov Systems
Cltv Maintonanco Mffit€r Document
-fhe Functionat Specifrcationdocument will be used to document the functionality lhat is being
delivered as part of the MCBLTP project' The document will be validated against the Tnceability
Malni spreadsheet to ensure the requested fUnctionality is documented prior to development' lt
will be utilized to identify process flow changes for the cities and tiaxpayers' ln addition, it will also
be used to feed into a global functional specification that is being created to portray the entire
business functionality versus the functionali$ that will be changing'
The intended audience includes the Plc and appropriate staffwith the cities and the Porial ofiice'
as well as the development team. sinco the client is the primary audience, this document is not
intended to be technical in nature; nevertreless, the development team may benefit from the
contents by becoming familiar with ihe business putpose and lhe intended user experience'
lf there is any question about lhe terms used in this document, please refer to the project Glossary
stored on box.com at this add ress: trttpslhcb[g' bpx' cor/s/kmsdzT@
The screen images contained in this document are derirred from screen caphrres from e-GoVs
existing product, SalesTaxonline.com, The branding has not been updated to reflect the design
pr"p",iO by Methodologie, lnc. Furthermore, lhe teld and menus in the images T3y "9i Sitect
lhe
actual text that wifi be used onscreen in the Porlal. Proposed text is provided in blue ilalids
below each image so lhal lhe content can be more easily reviewed and approved'
PuRposE oF Fuxcnox* SPEclFlcATloNs
L
There are three types of users wtro will have access to the City Maintenance area of fre Portal'
1. city u6srs - lhis includes ci$ personnel. city personnel are limited to accessing
information for their pariicutai City, except for some cross-City reporting features lhat are
oover€dbythedatrasharingagreement-Thefollowingmlesarehvallable}
a. CityAdministrator-lull aooess to all Portal features'
b. clty clerical User - acress to all Portal feafures except city preferences and user
management'
c. City Research Only- access to search and reporting features only'
2. porlal Users - this includei Portal ofiice pelsonnel wtro need acoess to cross4ity
featuree. These roles are under derrelopment at this time'
a. Po(al Adminietrator
b. Portal Clerical User
3. support Users - this includes e-Gov personnel responsible for maintaining and supporling
lhe system.
MCBLTP Softwaro Functional Spscificatlon March,2014
Maslsr Document
There are fle main areas of functionalfi for Ci$ userc:
1. Account Maintenance
2, Communication
3. Researdl
4. City Settings
5. City Processing
Each area is outlined below.
ACCOUNT MAINTENANCE
Account Malntbnance includes creating and modifying Gi$ user accounts, asEigning appropriate
user levels or rolee, updating passwords, and delining user PreErenoes. These features gre
described in this document.
Coirncr* ttbfFwhldr Clty dea wlll ba able
to do tho Cies Chy RoPotutE? Just Clty
Admlnlrbstor?
OomnEt Al Cily mtor llllll havo accdt
to cfo63
PoRrAr OveRvmw
2
March,2014
McBLTP SoftYvats Funclionsl Spocmcadon o-Gov Swbme
Clty Malnhnancs Magtsr Document
fCor',rnruuiCnir ON
communicafloa includes features lhat allowthe cityto contact ta)payers and support personnel
as well as the ability to add notices and FAQg to the Portal- Please refer to the documents FS
iecure nfessaging and FS Help Master Documentfor additional information'
l Resenncn
Reseale,' allows ci$ users to search for taxpayer records, view ialgayer activi$' accese
available rcpods, and view statislics. some tesearch infomation is provided in this document'
Additional information will be provided in the upcoming document FS Repoiling Master
Document.
Crrv Serrtrucs
Clly Setllngs allow Ci$ users to manage the holiday calendar, uPdate rates, add deduction
options, mntrol who received automated notificatons'and limit lhe batclr size. Please rcfer to the
Tax Supplement For,-addilional informatiory on the loliday-calendar.lnformalion 9n rates qn{coilnant
and hotry 18
AN$/VER:
they had a
ttlol! What 13 th€ tsx supplomont
itt"t Llated to fre ttoliday calondar?
ln lhs tax supPlem€nt spsclfica{on
rsdlon on lho hollday calonda..deduc,tion options are
Rate4lahtonaago on
aulomated notification
page 32 in this document.
were included in Featurc:
lnfotmation on limiting batch sizes and
Cfi Payment Proress- Account Prefercnces an
page 134 in FS Payments MasterDocument'
Crrv PRocesstrue
clty prcessingincludes creating batches and downloading XML files that contain turm data for
filings subm1ted to a particular Ci!. Rtease refer to he document FS Payments Master Document
for more informaUon'
Fonntttcd: Fonh IElk
Formatbd: Fonh Italk
3
MoBLTP Softlr,are Func{onal Speclfication
Malntenanco Mastor Documant
Figure 1: City Functions
Account Maintenance
Communication
Research
Cross City RePorting
March,2014
€-Gov
Request SupportPost FAQS
As Needed As Needed
Comntsnt [ti4l: How aboljl managlng lock€d
orforyofien passr,rodr?
ConmGnt [lb6l! Does $i8 lnoluda dodimont
uolmds/dolvnbtds for ths]ed informatlon
birlwssn clty to Clty (portsl msmbot8) or Clty to
fP?
vlewTaxpayer
Activlty
VleVDownload
Reports
Vlew Statlstlcs
As Needed
CommGnt [68]! Addod Ctoss Clty R€potdng
flow chsrt
Fl€ldcodc
Uew StatFtlcs
As Needed
As NeededOnceOnceAs NeededOnce
As NeededAs NeededAs Needed
Ou€stlon' ssctlon,
Send Secure
Messages
Respond To
Secure Messages
Post Notices
As Needed As Needed As Needed
and can be ront CltY iolnclude fi16
TP.Cltyor
As Needed As NeededAs NeededAs Needed
As Needed
4
McBLTP Sofrrvarc Funclional Specillca[on
Mastst
March,2014
Cornmntl$gl: Doo8 EvsryTlmo msan
annually?
bo
umlt Batch SlzeMange
Notiflcatlons
I
Manege Holiday
Calendar
As NeededAs NeededAs NeededAs Needed
City Settings
b Need6d'
Oonnrnt
lh€ll
City Processing
Croate Eatches
l4evPdnt
Batch Forms
Vtew/PrintBatch
Summary Report
Geate XMI Data
Flles
DownlosdXML
Data Flles
Dally Dally Daily Dally
As Needed
Dally
As Needed As Needed As Needed As Needed
ardcs{rlbad hdr.
i
t
MCBLTP Softlvarc Functional Spedfication M8rct,2014
Mastsr e-Gov
The city Malnbnancefealure grcup focuses on the city use/s ability to view and manage
informaiion stored in lhe Portal. The fol6wing features are addr€ssed in lhis document:
o Account Maintenance
o 6,01 Portal stores city information necessary for communication and processing
forms
o 6.02 Authorized City user can manage Ci$ demographic info
o6.10AutrorizedCi$usercanassignrctumstotheclericaluser
r Annotation
o 6.1,1 portal allorrls City penonnel to add notes or documentalion to a business
lecod,
Rate Maintenance
o 6.03 Authorized City user can maintain rates
o6.(XPortalstorcsratesandhistoryofchangesmadebyCi$users.
o6.0gCityuserscsnmaintainholidayscheduleinPo(alfordeterminingdue
dates
Reset Process
o 5.22 Portal can allow reset forms (and GBLs?) rvhen iequested by City
Portal User Permissions
ara
Records can bc modlfrod.
a
a
Cofin nt ttbtil! WtEt ls moant bY
rsquostod?-By EGov, City ot Portal group?
AN'SVVER - tho cly wlll ]squ66t ocov to
comploto
I
I
!
FEATURE GRoUP: Ctw MruHteHltlce
March,2014
MoBLTP Soft\ /ar€ Funotional Sp€cificatlon
Master Documont
Fastulas 6.6.10
This section describes the general process of maintaining aerount information and settings for the
City anO for C1y users. Aciount Maintenance is part of the functionality included in lhe CW
Maintenanceleature group. This section describes the City processes (as opposed to Taxpayer
or support processes) for Ac count Malnbnance. The majority of the functionality of this feature
is part of e-Gov',s existing system. Existing functionali$ as well as custom features is covered in
this document.
FqAr,riiFBi6t$itigqgFvIFfr{: ; i':j':" ' ' '''i', '' ':':'
The primary purpose ol t're Account Malntenance process is to allow each city user to update
his or her password and to allow city Administrators to create and manage city user accounts
and to manage settings for the City entity through the Portal'
There are a variety of options the Portal will allow as part of this pmcess.
Account Malnbnance includes the following trasks:
r Change Passwords.. Update the use/s contact information'
. Tum off nightly email notifications for forms lo download and change notifications
(describeJin
-t)ser prcfercnces in the city Prccessing sec'tion of FS Payments Master
Documentl.
r Update contact information for the city. This information is displayed on the Taxpayer side
of the Portral.
r Set up new clerical users for the City'
. Assign clerical users to particular types of forms (e'9'' B&O vs' Utility Tax)'
NS
r Some fields will be pre-populated based on information previously entered'
r Required fields will be marked with an asterisk ("). Note: lf an astsrisk is deemed to be
insuflicientfor accessibility needs, each rcqulred field wilt be ma*ed with "Reguired'"
Scrcenmocleupsinthisdocumentincoryontetheasteriskindicatar'
olfrequiredtieldsareincomplete,theuserwillnotbeallowedtosavethedataonthat
screen or continue on to the next step in the prucess'
FEATURE GNOUP: ACCOUNT IIAlilTEilAUCE
7
scenarios for using these ftatures ale outined in the followlng seclions. A storyboad and
pmcess steps outline howto maintain various ac@unt settings, as reprcsented in he blue scenes
in eactr storyboad. The scenes ln gnay arc descdbed seperately ln oher sections or documenb'
MCBLTP Soflryaro Func[onal Speclllcaton March,20l4
CIV Mrlnbnanco MasbrOocument eGov sEbfii3
Figure 2: City Account ltlsintenance Feature Group
Account Maintenance
As NeededOnceOnce& lile.d€ilOnce
As NeededAs NeededAr Needed
I
MGBLTP Sohrraru Funcdonal Sp€ci{lc8flon Manfi,2014
sCiov Slt3l3ms
Clty Malnbnanc€Masbr
PRocEss SrePs - Csnruee PAsswoRD
Each user can update lheir password whenever needed'
Flgure 3r Change Pas3word Storyboard
Screen: Change Password Or User Name
'1. Mouse ovet Acmunt Sefrings on lhe menu'
2. Clid( lclnnge Passrvordl. The Portal will navigato to the change Password screen'
Screen: Portal HomePage Screen: CitY HomePage
I
@@
3. Enter lhe cunent Password'
4. EnteranewPassword.
5. Re+nter the new password to confirm it was typed conectly. This passrnord must match
the one entsred in lhe previous field'
6. lfneeded, uPdatethe username.
7. Click lSavel.
S.Anonscreenmessagewillindicate"PasswordlJpdatesuccessful.',
PREREQUISITES
r The GitY user account must exist'
r The Cily user must be logged into the Portal'
MCBLTP Sofuva€ Functonal Spectllcadon March,2014
ctty Maint6nancs M8.9tor Documant e.Gov Swtems
Flgure 4: Change Password screen
lha1gg lasqyql{.oT User rygllte
Ent.t Yosr Csdnt Pettxordl
'Thii li6ld required fdr ail chrng6s
s.l.d vlhich fi.ld(5) to edlt from b.lov'!
Choore r l{rr Pr*mrdr I
Confirft YourN.rPttt-otd''
Entar i.t UtatNrmc(OPuonrt)r i
lf fre user clicks lcancef!,the password will not be changed, and the Portal will navigate
back to the homePage.
lf he Cunent password is incorrect, an onscreon message will indicate "Cunent password
entercd is invalid. Please enter cunant passwotd for securtty"'
lf lhe New Password and confirm New Password fields do nOt match' an onscreen
messsge will indicate "The passwords you entercd do not match''
lf [,re new password does not meet minimum criteria, an onscreen message will indicate
"Password must have at least one number'
Passward must have an upper case and a lower case chancter"'
;'OPTloNs
a
a
a
a
10
McgLTP Sofuirars Funcfl onal Sp€clficetion March,2014
Me8br Document e-Gov
lf the new passwod is too short, an onscr€en messAge will indicate "Passltords should be
between 6 and 20 chancterc ln lengthi
lf a new user name is enteted and it is not unique, an onscreen message will indicate
"user Name entered was invalid or has atrcady been used. Please try another"'
LIMTTATIONS
a
a
r All Ci$ users can update their own passvrord'
. No city user csn update another u8e/s password. The e-Gov support desk can
password for a user, if needed.
a
Attl{s tnlo ot{y o€ov dd Fortsl utall ae
olenned to heva acc68s b pdsnild l€6d
hrnamamv. erden*rg lt b Cly Adnlm l.
poqslblc btit stutld f.qdl6 .ffilidld
dodopm.nttmo.
Pesswod rr!& uo.t odly s You dscdb!:
Iha oaeo,rord b r.sot b I !fiidsd brpordl,
peslsrord, and uthen tha lBarlogt ln 0l€'y tl€
esk dtoWdabi.
Oofllriltltsfl:
thrtn€wpatrsl&
Thote bm trqultonEnt
arc wilquafiom Pfur.
noetr
7L
MCBLTP Soirmtr Funcflonal Spoclfrcauon MarEt,2014
o-Gov SYBt€mgcivMesbrDocum6nt
PRocESs SrePs - Ser UP New CIeRICAT USERS
A Cl$ Admlnistnalor can set up additional clerical user accounls for clty acceas wlrenever
Flgure 5: lrlew Glerical Uisr Storyboard
Screen: CitY HomePage
Screen: New CitY User Account
Screen: Choose Forms For User
Screen: Portal HomePage
logln
u2
MGBLTP Sofi^rat€ Func[onal Spaclfication MBfttr,2014
City Melnbnanca Masbr Dosjment scov Statoms
1. Mouse over Actounf Selfings on the menu'
2. Glick luew Glerlcal llse{. The Portal will navigate to the New Cly user Account scr.een'
Figure 6: New CitY User screen
New City User Account
To create a new clerical user accounl for the Cily, complete ths hllowing informatlon and set uP
a us6r name and Password
r?p. of Adsrr! ! qbl'q1l -o-o.lvntgtd I !*
FFtr.m.: iwondy j*
b*ird.' icterical t ]*
eh"'- 1t72.333-.1{.14 i*
IF.tt i, - -- .r
em.r.iyendy@egovsy9l"t",coqt l*
j*
(ral.d the @r.ct ktos.t TYPg.)
(Ent.r ?oot fiEt n.6a.)
(E^ter youf l.at namt.!
(Ea' 123-4t6-78s0,
(Exr r2!-4!6-7490)
u-nrm: iy.Ua..:_
p-'..ar {..-...-
k-st rP..ifrdr
l*
@@@
ACTUAL TEXT
3. select ffre lType of Accoun4, either clerical Download or cledcal Research'
4. Enter tre lFlrst Namel' This is a required lield'
5. Enter he [.ast ftlemel. This is a required field'
6. Enterthe lPhonel' This is a rcquircd lield.
7. Enterho [Flxl.
8. Enter he lEmatft. This is a required field'
9. Enter a [u!ememe]. This usemame must be unique. This is a required field.
1il
McBLTP Softivars Functional Specificaton March,20'14
6-Gov Statgms
City Malntenanc€ Mast€r
10. Enter a lPassworfl.The password must be six to twen$ chaftrcters and must contiain at
least one numerical character, one Upper case alpha character, and one lower case
alpha character. special charactelE are not allowed. This is a required field.
1 1 . Re-enter the [Passwordt to confirm it was typed correctly. This password must match the
one entered in Sre previous field, This is a required field'
12. Click [Nerfl. The Portal will navigate to the Choose Forms screen'
Figure 7: Choose Forms bcreert
choose Forms For User
Fotma Avail.tLr
Utilily Tax
GBt
Oprrorus
I
Comlncnt [ts21l! Yes. Th€ lnllhl
sot up by e-Gov wlll bo llnkod to all
Cl9 Admln
lom ior
I wendy,cl
!>>J
i'j
l:,j
!."j
Fotmg Fo. uF.,
' 8to
thst dty.
OonmGntI'S2SI!Ths slway8frladmaru
bsr doos not sPpoar tn tie but
th6 moc*up,
dssirBd sctson.
lB also pr€sdnt
not
@r@
Changes have been savedl
lf the user clicks lcneell,the clerical user accnunt will not be created, and the Porial will
navigate back to the homePage.
lf the user clicks [8aclr] the clerical user accrunt will not be created, and lhe Portal will
navigate back to lhe Administntor Account Sel{rngs page'
lf lhe username is not unique, an onscrcen message will indicate "lJser Name entercd
was invalid or has already been used. Please try another"'
@
13.Under Available FOrms,select lhe forms the userwill need to access, and click the [>]
bufton to assign the forms to the user.
14. Click [Sevel. An onscfeen message will indicate "Changes have beenpaved!'
PREREQUtSITES
r The City Administrator account must exist'
r The City Administrator must be logged into the Portal'
a
lhe dty edmhlsbabrComm.nt [Tl20I: WIll
bs sot up wlth all llctms?
ilorfl do thay lhsn gotolJt otGommot[If2:ft:
this $roen?
M
MGBLTP Softlvsr€ Funcdonal Specifi cation Man$,2014
Malntonancg Doorm6nt oGov
lf the New Password and Gonfirm New Password lields do not match, an onscreen
message will indicate "The passwords you entercd do not match'"
lf the new password does not meet minimum criteria, an onscreen message will indicate
"Password must have at least one number.
Password must have an upper case and a bwer case chancter"
lf the new password is too short or too long, an onscreen message will indicate
"Passwords sfi ould be between 6 and 20 chancters in lenglh'"
LIMITATIONS
r Ody a City Adminisbator can add a new clerical user'
r Additional Adminlstrator accounts must be set up by the e-Gov supportiles{'
:-Additional City Gontact information must be set up by the e'Gov support Fes(
. citv users et;nv lgvel
a
a
a
Wllom hluallYbe lotuP6nmntlfl.2flr
for.adt dtythen?
yes. Mul$Plo
by s-clovff
Conlrnsft tt!25ll What io the process lor
dsacdvaling 8n accounn
Oonmant IISZF sco/ stlppott would do lt
8pec.
15
MCBLTP SoftmrE Funcfronal Spocificaton March,2014
$GovSwbm3Mssbroocumont
city contact infomation is set up by e€ov support dudng system setup' A City Adminlstrator can
updare rhe Gl$s contact lnfomation wtrenever neoded. city contac't informaton is available to
lhe taxpayer on he Portal on the lookup scrcen. Generally, contact informafon is associated wilh
the form being filed. A Gity may have one or more contacts. For example, lhere may be one get
of contac{ informalion for B&o flings and difierent contract information for GBL8.
PRoCESS STEPS _ UPDATE CITY CONTACT INFoRMATION
Figure 8: Update Gity Contact Storyboard
Screen: Portal HomePage
ff;.,,ti';;'.;tH::.''t
togln
Screen: CitY HomePage
ooilmant l,\rlEt ls prcc€r! to sdd now
gov.
llt 6-
tlrt{DconbdndofltL BMd
Screen : ContacVUser lnformation
ll,:ri-,.. .;,r, ii
Colingtt
dls6du|b
Fi92l: whdt It Ptoce36 to
Clty cdrlec-i lt& 8nd Hnovoltll
atfill
16
Citv
McBLTP Software Functional Specilication March,2014
Master Documdnt eGov Svstems
1. Mouse over Account Settrhgs on the menu'
2- Click lconhct tnfo|. rne portat will navigate lolhe contacwser lnfolmation screen, The
city iontact lnfarmationwill be listed at the top of the screen. The User contact
lnformation witl be displayed on the lower part of the screen, showing information for lhe
administrator currently logged into ihe Portal'
Figure 9: ContacUUser lnformation !craonl ComnEnt
dsfsultB to
tTt34l: NOTE FOR CITIES fi
the name oflhe city adminlstator80
Conta€t/User lnfotnration fOr
thev €n uDdate lha Clty contact lnfomslion
,ni th.lt o,vn us€, conlact lnfotmdtlon. So
wh€n ths cltv admlnbtrstor solsc'i8 a difieront
neme ln the
-
ContiEct /usor dropdom lhey can
uodst€ lhe usor mr{ad lnfotmadon for lhg
gimndhalf oltheectosn. Ss ptoc€ss
iloggtdjr tJi€rl r
3. Under City Contact Information,update the fAlamel, !!negded This is a required tield'
4. Update tre $Agencll, if need,ed.
5. Update the [Address], if needed. This is a required field'
6. Update [Grfi, if needed. This is a required lield'
7. Update [Sfafe], if needed. This is a required field'
B, Update [Zip], if needed. This is a required field'
9. Update lPhone fl, if needed. This is a required field'
10. Update [Phone Zl, if needed.
11 . Update Paxl, if needed'
12. UpdaleiCoia"q, if needed. This is a required iield,
13. Update lEmaill, if needed. This is a required field'
14. Update the [Webslfe], if needed.
ComnGrt [n5tl! By egsncy do you msan
cltyZ Or ie tf,te meint io b. lholr dopt. thoy work
ln?
conrn.lrt []SrOl: coroct
*T l*"*''
l"*-1: -*l
l'l
-
;;FF *
*lr-.r,*l
tr*--*l
E Et@
I
i
t
i:nr.' ro!, rBr i.h. t
,.8{..ioL.r.!r.A6. j
Droplisl allows You
account to modifY
idmlnlstrator currenUY logged in
Droplist allow3 you to select lho Clty
account to modlly, It You havB
ditf6rent contact intomation for
c6rlain tolm8 ot tar typea.
lo solect the u5€r
Detaults to the
lB lhb mo8nt to be lhocomm.nt[ll3Sl!
por8ons name 'nam€ ollhg city or a
It's tho namo of lho CitY'CoilnGnt [rs36l!
corod?
Conmcnt ttul9ll I am assuming lhat tha
name lleld ln numbgr 3 i8 actu8lly tho city nama
and lhls iB tha contaot nemo for tho city - ls that
L7
March,2014
MCBLTP Sofr$ram Funcuonal Sp€clllcatlon e-Gor Swtsms
CIV Maintsnanco Ma3tar Dooufisnt
15. Click fSavel.
16. An onscr€en message will indicate "lnfomadon $'as suctessfu"yFat€d{
;PREREQUISITES
r The City Administrator account must exist'
r The City Administrabr must be logged into the Portal'
, OPloNs
: LIMITATIONS
a lf multiple contrclts are sot up for lhe city, tho city Administrator can choose the contact to
modi$ using the dmplist at the top of the City &nlact lnfomation grid'
f g1e Lser ciicre [Cance{, the changes will not be saved, and the Portal wi1 navigate back
to the homePage.
Comilnt [tH:tl: How do You cancel or
archlt/€ s contecfl
a Only a CIty Administrator can manage City Contact f nfurmathr{
FL|l{r Hosdo$oy ndvlgst€ otlt
-arr tho dmp dqiln io|(bll up
ot6ilmatt
8lmollthls
rbwaonthl| lcltrn?
ta
MGBLTP Softratr Funotonal Spscillcatlon March,2014
e€ovsyrtsmE
Cltv Mslntensnca Ma8brDoamont
PRocESS STEPS _ UPDATE USER CoNTAcr ltqronmlrtoH
A city Administrator can update usee' contract information whenever needed.
Flgure l0: Update User Contact Storyboard
Screen: Portal HomePage
, .' l::
Logln
Screen: CitY Homepage
Screen : Contact/User lnformation
Mouse overAcuounf Selfngs on the m€nu.
to the Confecl llsr,r lnformatbn sc,Gen. The1.
2.Click [Gonlrcl lalbl. The Portralwill navlgate
top portion of the screen contirins contact information br the City'and the lolersec'lion
has contilct informaton brthe user cunently seleded at the top of the
19
McgLTP Softvvere Func$onal SpectficaUon Mardr,2014
Cltv Malntonance Masbr e-Gov Svatems
Flgure 1'l : ContacUUser lnformation screen
Contacl/User l[formation f o r -* *'' gol'ro'in Uxrl- I i
3. select the user fmm the droplist at the top of the scrcen to display hat us€/s contrect
infomation on lhe lower part of the screen'
Figure 12: Select User to modlfY
Contact/ User Information for t
4. Under ltser contact lnformation,update [F[ct flamel, if needed. Thie is a required field
5. Updale [Last lVame], if needed. Thie is a required field'
6. Update lPhonel, if needed' This is a requhed field'
7. Update [Fex], if needed'
8. Update lEmalll, if needed. This is a required lield'
L Click [Savel.
10. An onscreen message will indicate "tnfarmation was sucressftlly savedf
i:-;\ l*lF .*;\:lmr'lh-;- ;*-* ,*.
l"u.-.J \:\.l**a* .l;-;,*
b r--t* -"1.-., l.*' *
* t[-;
har * r j.:
to* t .llt*E.- a
ETEr
j*
t*
mtrrm' i!6r- _ -- l*itd.. yolr t6t n.d. )
(r6l.t ,ou. lr:t nrd..l
Droplisl allows you to select lhc Clty
ac.ount lo rlodifY ll You have
{lrttersnt conlact inlornration k)r
certain k)rnls o, tnx lYPes
Oroplist allowE you to selecl the usel
,ccount to nlodifY ljelaults lo the
admil)rslritor cLltrenlly logged ln
Us6r)-
m
MCBLTP Sffiflar. Funcilonsl sprdfioa[on Mardr' 2014
Cltv Melnbnanc€ Masbr Document ecov Syrhms- '-'.:
IPReneoustres
r The Ci$ user account must exist.
r The Ci$ user must be logged inb he Portal'
! ' __--__ _'
i OProNs
r lf 0re uaer clicks [Gracelt, ttc dranges will not be gavad, and lhe Portgl wlll navigate bad<
to the homepags.
' LtMtrATloNs
orrly ci$ Adminietrabrs can update contBct inbrnation for the Glty or lndMdual clva
user8.
2t-
March,2014
MGBLTP Sofitrara Funcilonel SpocJfi cauon
Mrstor
PRocEss STEPs - MlruneE ClentcAt UsERS
A City Adminislnator can manage ci$ user accounta once the account has been set up'
Flgure l3: Manage Clerlcal Usor Storyboard
Screen: CitY HomePage
Screen: Choose Forms
'1. Mouse over Account Selfngs on the menu'
2. Cllck [it nrg/e cbdcal llsr,rcl. The Portal will navigate to the cfioose Forms screen'
3. The Portal will navigate to the Chase Forms screon'
Screen: Portal HomePage
[oEln
22
MCBLTP Sofuvere Functonal Specification Merch,2014
e-Gov Stsbms
Citv Maintenancs Master Documont
Figure 14: Chooss Forms screen
Folmt Av!llibler
Utility Tax
GBL
;wsrrdv c t
L:-i l
l-: ii.j
1..- i
Forma far u{.t
880
Choose Forms For User
@rrg @
changes have been saved!
4. Select the Usemame for tre account to be updated. The Portal will display lhe forms
acoess, and clickhesbnedto fre selec{ed user.
tt neeOeO, iider nvaitaOte Forms, select lhe forms the user will need to
Conlnr.nt [U{tl! C.n you erplaln lhis
orocess, I dont unda]3lsnd wtryrpsclfc brms
ivould bs aerlgmd to dlfftI€nt c[y usoB? Hou'
wlll lltls bo dfi;rent tom torms boing s€nt vla
lhs Inlettaco whers the cltles o]3 pulllng th€l
5
the [>l buttucn to assign the forms to the user'
6. lf needed, under Forms for user, select lhe forms the user will NoT need to access, and
clicJ< the [<J button to remove lhe forms fom the user'
7. Click [save]. An onscreen message will indicate "changes have beentgaved{
lntonnstlon lnto tholr SOR.
PREREQUISITES
. The City Administrator account must exist'
r The City Administrator must be logged into the Portal
r The clerical user ac@unt must exist.
OPTroNs
a
a
a
a
lf the user clicks lGencet!,the changes wlll not be saved, and the Portal will navigate back
lo lhe Administmtor Account Settings page.
lf the user clicks [Back] tre changes will not be saved, and the Portal will navigate back to
lhe Administntor Accpunt Sefflngs page'
lf tre user clicks [<<1, all assigned forms will be removed from the use/s form list
assignment.
lf the user clicks [>>], all available forma will be added to the use/s form list'
Oomtstt ltgel3 Fllolocal d.ppolts a clty
sruo with conEatunondlzad deparlmsnts'
wteiu one Oty'usorls nsponalblo for (br
axample) B&O onty, so thtts rll thst usor eoos
and h'sr Lcess O whon thsy log ln' and
amlhor uaer ls nrponduo tor Rsgulrtory
Uognsos, so lhafs dl lhat usor soos. A rotuP
lfe ttrte certetnty tc not roqullEd, htt tft6t I wfiat
thl! Fom Asslgnmontfunc{omllty ls
supportttg,
Thorc lr not sn analogous wgbs€Mcs proca88'
lf the clu68 ara trt{lng the Infotmsdon vla
welcowlce. tlo' wstaglvho molhod8 lnvolvsd
wlll dmy8 reiJm 8ll a/ellsblo datr for all for
VPea.
Coililrt ITlloI: Horv do thoy nsvlgtls od
lhls scroon - st€ tho dtop dorvn ha€dstB up
ot
6borr6on thls!cl€m?
Gornrnont$35t!: Yee.
23
MCBLTP Software Funclional Specifi ca0on
Mastor Documont
i L'u'rnt,onts
r Only a Gity Administrator can manage clerical users'
March,2014
€-Gov
at
MCBLTP Softvarc Functonal Sp€dfrcation Madr,20t4
+Gov S\abm3OtvMasbr
PRocEss Sreps - UpoerE Usen AccouNT PREFERENcES
Each city Admlnistrator can update lheir user account preGrences wirenever
Flgure {5: Update User Account Preferences Storytoard
Screen: CitY HomePage
Screen: User Preferences
.l:,t: -r,ii I i;'
i1:l i il irr r i"r
,lt"i,i i',i,11,1i
Flgure 16: User Account Preferences
9n1!19!c 19nq9t tIlF 19ttl1! 9!."'9 9.1rv.
th: 9t9M"€l:ly 19?q-1{ 111 i. .
fllchcck to olstolG Nighdy €mel Atetts for Foms Avalablc for Download
u chock to olgABLS Nighdy Ema{ Alerts for ch:rg€ flotinceuont Avrilebte bt oownlord
@E
1. Mouse ovst A&tlunt Settings on the menu'
2. Clki( lAccounlrl'aJfercng€sl.ThePoilal will naMgabtothaUserPrplbrencesscreen'
Screen: Portal HomePage
oomnq* Ill!4r 3o $oY ctn onry do hlr
th6trffiiltt not llttlh. ohor dly lscl!? It
ilteteomd?
br
corfiilt[ti8CI:Comd
cnange tho
lfso. hoil,6iltrfit
do dedcal
onilrt ttsltlI Clqlcd usal! crnnot
rprhle Clty-pofclltl63, only t s€rFEftr€ncr!.
26
MCBLTP Soft,yal€ Funclional Spaclficaton March,2014
ecov Sr,gtomgCitvMester
3. check tre box to [DrSebre Ntghuy Email Alerls for Fotms Available for Downloadl,lf
needed.
4. check the box to [Dr3a6le Nighty Emeil Aler6 for change Notf,cadons Avellable for
Downloafl, if needed'
5. Click [Save].
6. An onscreen message will indicate "Save WasBu@eslql," ,
:.PREREQUISITES
o The City Admlnistrator account must exist'
r The CityAdministrator must be logged into the Portal'
OPTroNs
lf the user clicks lcanctll,the changes will not be saved, and the Portal will navigate backa
to the homePage.
:: LnarrnloNs
o Only City Mministrators can update account preferences'
omilrt[ts$l!Yos'
23
McBLTP Sofiriuan Funclional Spodfl ca[on Maroh,2Ol4
FcorrSvsbm8Ma!br Documsnt
Gities can ptovide any questlonc in Table 1.
Table l: Ou€rtlons From Gitles
ruun
TTII
-.r1! !,', j
TT
This section describes the prooess of annotaling a business rccord. Annortflon is part of the
Researcrrfunctionality incllded in the clty Mainft,nance featurs group (Figure 17). This sec{ion
describes the City prccasses (as opposed to Talgayer processes) ior annotiation' The maJority of
the functionallty of lhis featue ls part of e-Got's exi sting system. Existing functionality as well as
MCBLTP sofuvar€ Funcfl onal spgclficaton MaEfi,2014
crv Mastgr Documont e.Gov Svsbms
Feafites
custom fealures is covered in this poalmen$ -
Figure 17: Ressarch Foature Group
The primary purpoae of the A nnotallon process is to allow each city user to add a note to a
business record through lhe Portal'
loerrons
Requiredfieldswill bemarkedwithanasterisk(*). Nofe; tf anasteriskisdeemedtobe
insttfficient for acassibllity needs, each reguired field will be marked with "Required'"
Sc€enmock.upsinthisdocumentincrrpontetheesteriskindicator.
lf required fields are incompleto, lhe user will not be allowed to saw the datra on that
screen orcontinue on to the next step in lhe pmoess'
comnlntltt60l:
lndlvldually to each
updatos to multldo
How do ]ou edd thess?
rocord or can YorI do m63s
rgcofd8?
a
FEATURE: ANNOTATION
annds$on lct8an.
hn|rrlrt lIFil: Recotds 3r€ up(bt8d
InOvtCualtv. Ontv dty usar8 ot/€t soo ll{t
tnlbnndoir and onty by rwlgatng to tho
Research
MewTaxpayer
Activity
VledDownload
Reports
View Statistlcs
As Needed As Needed As Needed As Needed As Needed
28
McBLTP Sofuvara Functonal Sp€df,cadon
Malnbnance tlooilmont
MrEh,2014
eGo!,
scenarios for using lhis feature arc outlined in the following sections. A storyboad and prooe$s
steps outine how to make an annotialion.
The Portal allows a ci$ user to add a note to any form using tha Form lnfomatlon screen' This
scrcen can be accsse a number of wa],s:
e Vlewbatches: GlickVier,rr Babhee menu > select [Download Month] > click [88b"
'DI
>
dick [Fom lpl > Form lnforma(pnwreen
r Mewfotms: Wew Formsmenu > fistFoms menu option > wled'ffillng Fedo{ > click
Fonn tD> Form lnformatlonscren
r search lorms: ww Fomtmenu > search Foms menu oplion > entsr seaidl cribrla >
dlck[Serrch]>ctickl8atclrlDt>clld<|fu/,flE|>Fumlnfotmationscfeen
. user search: click usersearctr menu > enter searcfi criteria > click [sarrchl > dick
lsetsc4 for the user in lhe search results > click [Go To Formsl> dif/KfForm tt'l> Fom
lntormationgcnen
PRoCESS STEPS _ ANNOTATE RECORD
AcityUsercanannotrateanyfotmwhenewrneeded'Eachoflhepathsoutlinedabove
nav[ates to fire Form lnformalion screen.
Figure l8: Annotation StorYboard
Screen: Portal HomePage
togln
>>
Screen: Form lnformation
Screens: Multiple Paths
2E
MCBLTP Soft/Yars Funcdonel Sp€c}frcaton Mardr,2014
Cltv Maint€nance Mast€r Documont e-Gov Svshm3
Navigate to he Form lnformation screen using one of ths palhs provided above.
Figure 19: Form lnformation screen
Form Information
Taxpayer Infornlation
Namer Firtt l-rtt
Conrpary: location llanl€
Accounh 012345
Phone: 121-a56-7090
F.x! 123-{56-?6tO
Email:
tlailing Addressr Addrest Line I
Addrers Linc 2
city, LA 12345 USA
Businc* Add.ess: Add..rJ I
addrcrs 2
city, LA 12345 USA
ilnnouEaon.
:lFnoEaElon,
Annocacj.oa
llnocacion
Iano EaE ion
AnnoEagaon.
Annoeacion.
ilnnocaEiot.
AnroEaEaoD.
Anncf,aEion
AnnogacloD
AsoEalion
AtnoSaciLln
:;nnoraeron.
@@
2. Enter desired information in [Commenlst.
3. Click [Save].
4. An onscr€en message will indicate "Comment savedpuccessfu/fit'
Return fnformatlon
File Periodt D€cembcr 2013
Trr Due: $2O.OO
conv. Feei fo.oo
Iotrl Due: $2o'OO
File Dote: 1211O/2O13
DownloEdedr No
qqFn.n!ry
.Aanoqab:on. Itnosacaon
lPRrREeutslrrs
The City user account must exist.
The Gity user must be logged into the Portal.
The form must be saved in the Portal.
Paynrent Information
lhere are no payments on aeco.d for this rei!rn'
Arcount TYPe:
CC Number:
Exp. date:
lronldc-tion lOi
Addres:
:!
a
a
Conmdtt [t!66I! Wllllhgso commonts 6ms
ln with ths XML fi13?
Ooffitt Filt2F tlow do th6y nsylgslc out
tlrlr scFcn l- ale 0re dop dolvn hoder3 uP
d
sbot a on fib lcteon?
Oqlrrlnt [t3aol! Ytt.
hor,irthls b.ttgod?
Gormnt ttt6al: l! thls comment on tha fotm
lhat tho dtos can download? Ca'l we dlsqJr8
No.comn.tlt
30
McBLTP Sollwam Functoflal spedncatlon Mstch' 2014
CltyMalnbnill
i oplo*s
r lf ure ueer clicke lBactfi,the annotaffon will not be saved, and the Portal will navigab back
to the Prevlous scrcen-
itrurrlrror.rs
rAllCityandPortaluserswillbeaUebseeandmodifftheannobtion.
r No taxpayer can see the annotatbn'
Cities c6n pmvide anyquestons in Table 2'
Tabh 2: Querllono From Cities nm
--
I-
31
Faarune: RAIE llAlNTGNAl.lcE
March,2014McBLTP Sofruaare Funcfl onal Specillcatlon *Gov Svst€ms
CIW Malntonanc€Mastsr Documsnt
Feature 6.03,6.09
This section describes the process of updating tiax rates, interest ral'es, thresholds' and other
related tax data used for calculation on the Portal. Data updates are done by e-Gov staff at the
request and approval of city or Portal staff. ln addition, a city-specific calendar will allow cities to
r"int in their otvn holiday schedule as described in FS lax Masfe r Document' A Portal-wide
version of the holiday calendar will be provided in a future release' The majority of the functionality
of this feature is partof e-GoVs existing system. Existing functionality as well as custom fealures
is covered in this document.
sample scenario: Effective 1t1t2015, Bellevue's wholesaling tax rate is changing fom 0'001496
to 0.001497.
1. A city of Bellevue representative will email e-Gov requesling the rate change, including
pertinent detrails such as the old rate, the new rate, the effective date for taxes incuned' if
ihe change is a conection (old rate will not remain effective for old rate periods) or a new
rate (old rale will remain available for previous filing periods)'
2. e-Gov will reply within a business dayacknowledging the request, and will get any needed
clarification: This change is for Bellevue B&owholesaling trax; lhis change affects
Quarterly, Monthly, and Annual B&o forms; the old rate of 0.001496 will erpire on
pBlnou.
When a Clty becomes aware of a pending change, the City will email e-Gov pltt{ q ruquqst {o1 !h-e,
change, erglicity stating the affected dala and the Effective Date of the change. e-Gov will
acknowledge and conlirm the request, and lhen make the needed changes in a testbnvirOnmen{'
Once $re change has been made in tfte test environm€nt, the e-Gov Support Desk will notify lhe
city. The city will then use the test environment to confirm that fre change is as requested' once
the city approves the change, e€ov will make an idontical change in the production environment'
notifying lhe Ci$ when finished.
A sample update scenario is ouflined in lhe following sections'
i enocess SrEPs - U PDATE TEX RNTE
Commant ItbTOl: Should ftls bo ssnt as a
secum masgag6?
comm]lt Il!68I: ls th€r€ a cort ln emol
aOCraec ttrey should u86? Ego/.tppst@€-
No. Emoll pleass,Commant
cit
March,2014
MCBLTP Softlvarc Functonal Specifica[on e-Gov Statems
Cltv Malntsnanco Maslsr Document
3. e-Gov will update the rate in the test environment and will then notify Bellewe that the
update is ready for review.
4. Bellevue will log onto the test site as a business user and create a B&O form for a 2015
filing period luniife in production, future fling periods are available in the test
environment), verifying thatthe wholesaling rate is both displaying and calculating
correctly. Beilewe will then nofify e-Gov that the change is approved'
5. e-Gov will perform an identical rate update in the production enMronment, and lhen notify
Bellevue when the update is complete-
6. Optionally, Bellevue can request a Notice be placed on the site advising tapayers of the
r# change. To do lhis, the City user w1l email e-Gov with the following information:
a. The notice text
b. The start date for the notice (the first day the notice will appear on the site)
c. The end date for lhe notice ($re last day lhe notice will appear on the site)
Though update requests can be made piecemeal, it is recommended and prefened that update
,"quJrt" be submittsd togelher, whenever possible. This saves gme on boh the update and
u"rifta"tion prDcesses. lt cities perform rat€ reviews and updatee at lhe same time on a yearly
basis, scheduling a yearly Portal update period is helpful and recommended'
.PREREQUISITES
The relevant form or worksheet must alrcady exist on the Portal. This process is not intended for
adding entire new form tlpes to the Portal, or for making larger structural or ppcess changes'
,Oprtorus
The following data can be uPdated:
r Tax Classifications
r Tax Rates
r Deduction Types
o Annual, Quartedy, or Monthly Gross Revenue Thresholde or TaXable Revenue Thresholds
r Yearly lnterest Rates - Note that an interest rate update request should come from Portal
Stafi, and would be applicable to all forms across all Cities'
r Tax Credit Rates, Percentages, orAmounts
:t3
Maruh,2014
ITATIONS
. Requests must be made a minlmum of 30 days before lhey are available b file on the
porLl. I mucrr h6er lead lime is rccommsnded. For example, in fie above scenerio
Bellevue's nte change is effective il1n}15. Bellevue has monthlyfilers, so a talpayar
could file the January 2015 fillnS pedod stBrting on February 1d. The rate updab r€quest
should come at least 30 days leiore trat February 1d liw dab so lhat proper testing and
@necfione, if needed, can occur.
rRequestsshouldcomeviaemailfiomsnestablishedCityorPortalcontac{.
Cilies can provlde anyquestions in Table 3'
Table 3: Questlont From Citioe
M0BLTP Soflrrare Funcflonsl Sp€dfloefon
Mest6r
-
nffi
-II
''\1i \',":l
3tf
March,2014
MCBLTP Softral€ Funclional Spocificsflon
Malntonsncs Mast€r
Feelule
This section describes the process of reselling forms filed through the Portal' Resets are
performedbythee-GovSupportDeskonlyattherequestoftheCity.Themajorityofthe
iunctionality of this feature is part of e-Gov'e existing system. Existing functionality as well as
custom features is covercd in this locument .
when a form has been received by lhe city, the form is locked so that the tapayer can no longer
modiffthatformandtheCitycannolongerdownloadlheform.Thispreventschangesbythe
traleayer and duplicate downloads by the Ci$'
The primary purpose of tre reset process is to change the status of a form or group of forms to
allow further action by eilher the City or the Taxpayer'
There are two tlrpes of resets:
I Batch Reset - resets an entire batch to be downloaded again by the Gity'
r Form Reset - removes a form from a batch and allorars the talpayer to modify the form or
PaYment method.
PRocEss SrEPs - BATcH Reser
A batch reset can only occur when requested by the Gity'
1. An aulhorized City userwill contact the e-Gov Support Desk
request a batch reset' The request should include lhe name
the City, and the reason for the batch reset'
via secure imessageh
of he requestor, the batch lD,
scenarios for using these featurcs arc outlined in the following sections.
This section describes lhe process of requesting a reset via the e-Gov Support Desk' Resefs are
part of the tunctionality included in support serviceslor clty Matntenance' This section describes
lhe city and support processes (as opposed to Taxpayer processes) for Rese6. The majori$ of
the functionality of this feature is part of e-Gov's existing system and pnooesses' Existing
functionali$aswellascustomfeahrresiscoveredinlhisdocument.
Comn€nt [tDt2l: What is tum8lound tlms in
;;i;;-';vilt "r;t-Gov
aupport houre?
Commnt tt!g:t3l. Res€t8 should bo
oerformoo iufta qulddy. E-Gov wlll mnllortho
iecuc monbox, iontad lho rrquaaior vla
ohono. .nd B€Ilbm tho l€s€tf,'hllc on ha
irrone, ne brrv odty would bo il tto
'€q,!8torinr not auc fanswat lhs cdll atd noodad to
call baclc
Fn.Local support houts wlll bs 8€m-5Pm Pedfio
Tlma.
Colnmcnt
d93cdplion
agcur€
ltbt4l: Not omsll? lf tho
includes trMlogsd lnfo it thould bo
Fertune: Reser Pnocess
hro rmsll
rlt rlttray,
lhotrhourtfurrnat tttilElt lhls ono c€n gP
ce.bldy It pdwtgsd lnlb 18 h lhofs
corna vlb egerro merssfo, bul It not
ls ina.
35
MCBLTP Softwaro Functional Specifica8on
Malntonance Ma8ter Documont
March,20'14
$Gov
2. The e-Gov support Representative will verify the batch number is for the Gity indicated'
3. The e-Gov Support Representative will call lhe lequestor to conlirm the request and get
any needed clarifications and will then initiate lhe reset process'
4. The batch will be rcset, including the following tasks:
a, The Downloadad Ftagwitt ue ctrangeo from Yto Nfor every form in the batch' This
allowshecitytodou,nloadthebatchagainwilhnochanges,whichmeansthe
batch total and deposit totral will still match'
b. The form status ol Rewivedwrll NOT be changed. This prevents the talpayers
frommodiffingtheformsinthebatchandpreventslhepaymentsfrombeing
resenttotheprocessor(forACHDebitandGreditCardtransactions).
5. The e-Gov Support Representalive will nolify the city that tre batch has been reset'
6. The city can lhen download lhe batch again via PCS or Ul as described in Payments &
City Prccessing Master Document.
A form reset can only occur when requested by lhe City'
,l . An authorized city user will contact the e-Gov Support Desk Ma secure message to
request a form re8et. The request should include lhe name of the requestor, the form lD'
the batch lD, the city, he amount due on the form, and the reason for the form reset'
2. The e-Gov Support iepresentrative will verify the batch lD and form lD are for the Gi$
indicated and that the form lD is included in the batch indicated'
3. The representiative will call the requestor to obtain any needed clarilication and confirm
that the requestor understands the results of resetting an individuat form from a batch
beforeinitiatingtheresetprooess.seeLimitationsbelowforrlsks.
4. The form will be reset, including the following trasks:
PREREQUISITES
r The requestor must have a City or Portal account'
oThebatchnumbermustberralidandmustbeforlheCityindicated.
:LrMrrATroNs
. The entire batch will be reset. lf part of a batch needs to be reset, each form will have to
be reset indlviduallY-
s STEPS _ FORU RESET
38
MCBLTP Soft,vars Functional Spsclllmtlon March,20t4
Clty Maintonanc€ Mastsr Document e.GoY Swbms
a. The Downloaded Flag in the database will be changed ftom Yto Nforlhe form
being reset. This allows the city to download fre form again in a new batch affer
the tatgaYer has resubmitted il'
b. The form status ol Receivedwill be changed lo Filed. This allows the talgayer to
unfile and modify the form and payment information. When lhe form is resubmifted,
the paymentwill be resent to the processor (forACH Debit and credit card
tnansactions).
c. The batch number will be removed from the form. This allowE the brm to be
included in a new batch'
5. The e€ov suppo( Representative will notlfy he city that ore form has been reset.
6. The City should notiff the taryayer of the furm reset so hat needed coneclions can be
made and resubmitted.
7. The tiaxpayer can make any needed updates and resubmit the form and payrnent. lf lhe
taxpayer makes no changes, the form will be submitted using the same data and payment
information used in the initial filing.
8. The form will be included in a new batch, per normal.
;PnrnEQutsttes
r Th€ requestor must have a City or Portal account'
r The form lD and batch number must be valid and must be for the Gity indicated.
r The rcquestor must acknowledge and agree to the ramifications of fom reset.
i
iLIMITATIONS
r When an individual form is reset, the form cannot be included in ib original batch.
r Resotffng a form allows the talpayer to modiff the form contents and payment. when lhe
form is resubmitted to tre ci$, lhe amounts may be different. The city needs to
undenstand lhis and take any needed precautions to prevent duplicate data'
r Resetting the form does notvoid the original payment. While the City may void a paper
check received, the pro66ssots for ACH Debit and Credit Card will not reverse the odginal
payment. lf the original PaYment was declined, here is no possibility of duplicate paynent'
However, if the original PaYment was processed successfully, a new payment will be
processed when he form is rcsubmitted'The City will tren have to issue a refund or credit
memoforthe original amount!ald.
Coilrstt ttStz: The filst paymcnl F ltot€d
ln our dlE&se h-lh€ paynant hat}lacilofl log.
Golrmant
waher/o to
lftq! lf a patmont b njaded fin
rDret uu fotfi eodl 0rno?
orrrtlnt ltsttlr CortEat Thot! thc Fliltry
ure caee forthlr funo{omlltY.
O|nnfltt llJ8oll8o hoy mey paylwlcelust
b fix thelr brm? l'm arcumltu hls 18 not an
oDton wo would moourago u8o d' I would
tlilnk lha usor would ns€d to Juli lllt 8n
amerdod letum ralhot th€n
Oonnrrrtl'sft$ Rlght. slmdc omtrdlng ls
corl€ctfom dett tYeskr.
37
MGBLTP Softyats Funcuonal Spsclllcatibn Maftfi,2014
$Gov S!3bmsOtv MalntEnanco Mrst€r Doflmont
Cites can proMde any quEstions ln Table 4.
Table 4: Quettions From Citles nffi
rI--IT
3a
DEFrNtloH : PoRTAL Us:n Prnmtsslot'ts
MoBLTP Softvvane Func0onal Speclfication March.2014
Clty Malntenanca MrsbrDo(rlment eGov S\rsbms
A new user level is being created to accommodate the needs of Portral strafr. Thig will include a
combination of pemissions allowed to city users and e-Gov Suppott Desk usee:
r Usets menu
o Search for usela - The Portal user can find userc based on usemame' last name'
email addrcss, phone number, user lD number, company name, city account
number, conlirmation number, FEIN, and UBl. Search results will include users
from all Cilies.
o View/modiry user info - The Portal user can select a user ftom the search results
end viedmodis treir basic user-level demographics: user type, usemame, first
and last name, phone, and email address. The Portal user can also update he
passwod, but cannot view the existing password. specifc forms can also be
deactivated ficr the selected user.
o View Action log for selected user - The Portal user can view and filter lhe aclion
log for lhe selected user.
o View list of forms created by selected user - When lhe Portal user selecls a user
and clicks the Foms lab, the Portal will display a list of forms created by the
selected user, including form lD, filing period, form name, form status, amount
due, file date, download stiatus' batch lD, and confirmation number'
o TableViewermenu
o View and query specific tables in the database - The Portal user will be able to
select a trable to query and apply filters, a sort order, and the ma{mum number of
records to display for the gearch results. The list of available trables is under
develoPment.
r Sys Managemenu
o Build FAes - The Portal user can add or modiff FAQ articles. The article may be a
PortraFwide or City-specific article'
o View form statistics for all Cities - The Porlal user can view and filter stratistics for
forms filed with all Cities and for each City. Statistics are displayed for lhe curent
month by default and can be viewed for the previous monlh or a specilic date
range. stiatistics include lhe number of forms filed with a payment, number of forms
with zero amount due, totial number of forms filed, and totral dollar amount for all
forms filed.
o View all reports - The Portal user can view all newly developed reports for each
Gi$ and can view reports across all Gilies, where appropriate'
Full explanations and screen shob of each feature will be provided in the documentation to
accompany the Guided Tour'
39
McgLTP Sofis,am Funcilonal Spedfl catlon
Malnbnanc.
Gites can prcvide anyquestons in Table 5.
Table 5: Questionc From Cltles
In-
Manfi,2014
oGov
rI
ruffi'' t'i ' i; i'-ri "';i l"r I
40
FileLocol I
Sus.tEct:FLeLocel cnnruce Mnrunceurrur Pnocess sunnuRnv
Topics
1.
2.
3.
4.
5.
6.
7.
Overview
Goals & obiectives
Benefits
Definitions
Kev Activities
Roles & Resoonsibilities
Process Artifacts
Summary of Processes
1 OVERVIEW
Ghange Management is the process by which changes to the Filelocal system are
governed and managed. once requested, changes are assessed for impact and
iequirements. Approved changes are submittgd for implementation'
All changes to the FileLocal product must be governed by change Management' The
Filelocal Agency directs and manages the change Management process, working with
stakeholders and vendors to approve and implement changes'
Enhancements are changes to the FileLocal system that should be submitted at the annual
budget planning sessionlOnce approved, they will be added to the product roadmap'
GoALS & OE.JCCTIVCS OF CHANGE MANAGEMENT
A. Govern all changes to the Filelocal system
B. Manage the activities required for successful delivery of changes to reduce incidents, disruptions'
and rework
C. Ensure that changes are implamented in a way that does not jeopardize agreed to service levels
3. BENEFITS
A. changes are implemented to meet agreed to service level requirements while
optimizing costs
B. Gontributes to meet governance, legal, contractual and regulatory requirements
C. Aligns services to customer needs and user requirements
2.
D. Reduces the adverse impacts of changes on the services and service levels through
improved impact and risk assessment
E. Streamlines processes for initiating changes
F. Contributes to better estimates of the quality, time and cost of changes
G. Better use of resources, prioritization of effort, and planning of changes
H. Better control over change related contractors, vsndors, and proiect activities
4. DeRTflOXS
A. Ghange - The addition, modification or removal of anything that could have an effect on
the Filelocal systom. The scope includes all operational services and processes'
B. Change Advisory Board (cAB) - A group of stakeholders that advises the change
Managerintheassessment,prioritizationandschedulingofchanges.
c. Enhancement - A system change required to meet the changing technical and
business environment for participating cities. Enhancements will be submitted and
reviewed at an annual budget planning meeting and added to the product roadmap for
Filelocal. Enhancements will stillfollow the change Management process including
having an official RFC submitted to request the change'
D. Request for Ghange (RFG) - A change request form must be completed and submitted
to the Change Manager to request a change to the system
E. Pre-Approved change - Tax rate or licensing fee changes are considered pre-
approved and do not need cAB approvalfor implementation' Pre-approved changes will
still follow the change Management process including having an RFC submitted by the
participating city to request the change'
5. KEY ACTIVITIES
A. Budget Planning / Product Roadmap Updates
l. FileLocal agency and participating cities conduct an annual budget planning session
to agree to the product enhancements list for the year'
a.Enhancemgntsapprovedduringtheannualbudgetplanningmeetingcontinueto
follow the remainder of the change managemsnt process, starting with the
creation of an RFC for the enhancement'
ll.TheFilelocalroadmapisupdatedtoreflecttheenhancementsapprovedduringthe
budget Planning meeting'
B. Create an RFC
!. The Change lnitiator submits an RFC
ll. Record basic details (name of request, affected user) - information from the RFC is
used to create a change record and allocate a unique identifying number' Key
information is recorded when the record is initiated and some may be added or
updated through the change lifecycle'
Your ona atop lot locdl bualnarr
llcontlng rnd tox llllng
wrvw.lllelocrl.olg
Page 2 of 6
c.
D
Review RFC - The Change Manager will review and filter the RFCs according to the
policies determined by the change Management Process owner' Acceptance or
rejection is dependent on completeness and accuracy of the RFC'
Assess and Evaluate change - The change Manager will ensure that both a technical
impact assessment and risk assessment retitive to the change request are completod
by those stakeholders required to assess the change. All members of the cAB should
evaluate the change based on impact, urgency, risk, benefits and costs' ln order to
prspare for authorization decisions, change planning, scheduling and remediation are
also assessed. Changes are prioritized to establish the order in which they should be
put forward for consiJeration. The Priority of RFCs will be decided in collaboration with
the Change lnitiator.
Authorize Ghange - Formal authorization is obtained for each RFC from the cAB' The
levels of authorization required for a particular type of Change will be iudged by the
type, size or risk of the change. Any authorization or rejection decisions will be
communication to att stakeholders of the RFC. An off-cycle CAB meeting may need to
be scheduled if the change Manager receives a Level 3 RFc. see change Levels
below under Process Artifacts for more information'
Plan Updates - updates to the change record are completed after authorization and
communicated to all stakeholders, including those technical teams responsible to build
the change. The change is scheduled with the vendor and participating cities; plans for
outages are added to the Filelocal website to be communicated broadly to the
Filelocal customsr base. specification updates and Process flow updates, included as
part of the change request, should be made prior to implementation of the change'
coordinate change lmptementation - Authorized RFCs are passed to the relevant
technicalgroupstobuildorimplementtheChange'ChangeManagementhas
responsibility for ensuring that Changes are implemented as scheduled' This is largely
a coordination role, as the actual implementation will be the responsibility of the
technical teams. The change implementer constructs the release implementation' back-
out, and test plans. change Management has an oversight role to ensure that
remediation procedures "i" pt"p"t"d and documented in advance, that all Changes are
thoroughly tested (where possible), and that implementation is scheduled when the
least impact on production services is likely'
Review and Gloce change Record - on completion of the change implementation'
the results will be reported for evaluation to the Change Manager and then presented
as a completed change for stakeholder agreement. Review will also include any
lncidents arising as a result of the change. A post-implementation change Review will
be carried out to confirm that the Change has met its documented objectives; ths
Change Manager (and relevant Change Authorities) will decide what follow-up action is
requiied. lf the review is satisfactory, the RFC will be formally closed in the Change
Management sYstem.
E
F
G
H
6. RoLEs & RgsPot{statllrtes
A.change lnitiator - (city users, stakeholders, Agency PM) ldentifies the need for a
system change and submits an RFC to have the change considered for implementation
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Page 3 of 6
B.GhangeManagementProcessowner(ProgramManager-JamieCarnell).The
psrson fulfilling this role has the end-to-end responsibility for the way in which the
change Management process functions and develops. The main role of the Process
Owner is to ensure that the process is efficient, effective, and fit-for-purpose'
G. Ghange Management Process llianager (Project Manager'Greg Kauper) - reports to
ths Process ownsr and performs the day-to-day operational and managerial tasks
demanded by the change Management process. coordinates and presents RFCs to the
advisory board. works with 3rd party vendors to implement approved changes'
D. Ghange Advisory Board (cAB) - Meets regularly to advise the change Manager in the
asssssment, prioritization and scheduling of changes'
E. CAB Member - individuals that aid change Management to assess, approve' and
prioritize RFCs correctlY.
F. Help Desk - Tier 2 customer service support call line is responsible for providing
analysisofincidenttrendsasneededtoassessrequestsforchange.
G. Vendor / Provider (eGov, Kubra) - sAs model software vendor responsible for
consulting on the asssssment of changes and participating in the implementation of
approved changes.
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Page 4 of 6
Processe
RACI* Chart
Ghange
Provider
Help
Desk
CAB
Member
Change
Mgmt
Process
Manager
ge
Mgmt
Process
Owner
lnitiator
gocos3
A
e (RFC
Create a
for Chan
ARF2 clt c/lR/C/lR/C/lA3. Assess and
Evaluate Change
ge4. Authorize cllcR/C/lApdates5. Plan
Goordinate
Change
lmplementation
R/C/rcllA7. Review and
Close Change
Record
; I = lnform= Consu*R=Res ible; A =nta e;
7. PROCESS ARTIFACTS
A.Ghange Request Form - Capture, at a minimum, the date, originator, change
1"qu""t"d, requestsd completion date, hardware and software involved in the change'
reason for the change, perceived impacts, and system owner(s)
lmpact asseasment form - assess the impact, urgency, risk, benefits and costs of a
change based on Levels 1,2,and3
B.
Ghange
GAB lnvolvementGriteriaLevelrsview is not required
Standard Change?
B. ls it on the P re-approved list?
A. ls change asaLeve1
CAB review is n
B. Change follows normal timelines
and is not escalated
Normal angsLevel 2
requiredCAB approvalA. Management CAB
approve a violation to the
normal timelines
needed toLevel 3
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Page 5 of 6
Assestment
Med-3
Low-0
A.
B.
c.
-5
B. Med - lmpacts at least one city; some
disruPtion to servicss
C. Low - No impacts to cities technology or
mpacts mu cities, sYstem
processes
High -
owners
1. lmpact to
A. High - 5
B. Med-3
C. Low-O
Med - Estimate for costs is low (<$10K)
Low - lncluded as part of base contracted
B
c
0K)High - Large Project
services ($0)
of implementation2
A.
B.
c.
High -
Med-3
Low-0Med - Some functions may not be available
Low - No or minor imPacts to sYstem
A.
B,
c.
ll be unavailableHigh - Key functionalitY wt
functionalitY
3. lmpact of not
implementing the
Change
A.igh-5
B. Med-3
G. Low-OregulatorY concerns
Med - Minor compliance or regulatory
impacts
Low - No comPliance imPacts
A
B
c
- Addresses m ajor compliance or
RegulatorY
considerations
Compl cel
A. High - 5
B. Med-3
C. Low-0involved
Med - 2 teams will need to be involved
Low - 1 team will need to be involved
A.
B.
c.
teams will nesd to beH- 3 or more5. TechnologY teams
required to imPlement
Change
A. High - 4
B. Med-2
C. Low-0B. Med - during normal maintenance window
G. Low - no outage required
normal maintenance windowHigh -
requirements
6 uling
A. Low:0-5
B. Medium:6-10
C. High: >10
otals
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Page 6 of 6
IFileLocol Svsrenn Access RrQuesr Fonrvl
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Kubra information including URL and accounts:
Kubra URL: https:l/secureT.Fdoxs.neVcsr/
Accounts:
The full list of accounts you can use with corresponding usernames are:
Comoanv UserlD Password Last Reset
flbellevue bellevue Se@ttle100 7t17115
fleverett evereft Se@ttle100 nla
flseattle seattle Se@Jtle100 nla
fltiacoma tacoma Se@ttle'100 nla
IruBf,IFtt idoxs" UserConsole
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Gity User Provlsionlng:
The Agency acts as the administrator of the Kubra i-doxs portal for member cities. The Agency is
responsible for provisioning city users in the Kubra i-doxs Payment Manager portal.
Filelocal Helpdesk Gontact lnformation:
Direct Line: 206-684-4836
Email: greg.kauper@seattle-flo@seattle. gov