Our standards are outlined in TDI’s Compact with Texans, which is posted on our Web site, www.tdi.state.tx.us, and included here-in. Also included are values for our customer service performance measures, which enable us to assess whether we are meeting these standards.

Pursuant to Senate Bill (SB) 1563, enacted during the 76^th Texas Legislature, this customer service report provides information on our assessment of customer satisfaction, including identification of our customers, descriptions of assessment methods, and assessment results.

1. Inventory of External Customers
2. Information Gathering Methods
3. Levels of Customer-Determined Service Quality
4. Analysis of Findings, and
5. Contact Information for the Customer Relations Representative.

The comprehensive customer survey gathered detailed information from diverse customer populations on a variety of TDI services. Results from the survey were compiled by a third-party administrator and are reported in aggregate numbers by customer type. For purposes of this assessment, TDI customers were grouped into four categories: consumers, insurance industry representatives, research/government entities, and customers of the State Fire Marshal’s Office. The key findings of this assessment include:

• Eighty percent of the respondents reported that overall they were either very satisfied or satisfied with TDI. This figure shows a slight increase over FY 1998 findings of 75 percent.
• Ninety-four percent of the respondents reported the perception that TDI service has remained constant or improved over the last two years.
• Sixty percent reported that working with TDI was either much or somewhat better than working with other state agencies or other state insurance departments.

Key findings from our service-specific surveys are as follows:

• Ninety-two percent of visitors to TDI’s Hobby Building offices rated the services they received from TDI staff favorably.
• Eighty percent of customers visiting our facilities (the building and conference rooms) reported favorable ratings. In contrast, 45 percent rated parking favorably.
• Over 75 percent of respondents to the on-line Web survey gave favorable overall ratings of the TDI Web site.

For the 1998-99 biennium, the 75^th Legislature designated TDI as part of a pilot group to conduct a comprehensive customer satisfaction assessment. To devise manageable and meaningful assessment tools, we defined "customer" as someone who directly receives a product or service of value from TDI. We also classified these customer groups into the following four main categories:

• Consumers
• Insurance Industry Representatives
• Research, Government and Other Entities, and
• State Fire Marshal Customers

Attachment 2 of this report provides lists of specific customer groups classified in these four categories.

• information assistance for consumers with HMO or insurance-related questions
• resolution of insurance complaints filed with the agency
• licensing of insurance companies and agents
• investigations of alleged fraud and other illegal practices
• enforcement of insurance laws
• fire safety inspections
• arson investigations, and
• licensing and regulation of the fire protection industry and fireworks.

In FY 1998, TDI served as a pilot agency to perform an assessment of customer satisfaction pursuant to Article IX, Section 68 of the 1998-99 General Appropriations Act. TDI’s Commissioner of Insurance viewed this as an opportunity to gather detailed information about TDI’s performance on specific services. To collect complete and accurate information, we contracted with an outside party with expertise in survey design and data analysis. Their role was to design and administer a customer survey to gather information for TDI programs to use to improve services. We refer to this FY 1998 survey as the "comprehensive customer satisfaction assessment."

In 1999, SB 1563 directed each agency to gather customer input on the quality of service delivered and specifically on the following elements:

• Facilities
• Staff
• Communication
• Internet site
• Complaint handling processes
• Timeliness, and
• Printed information.

As the primary tool for performing the FY 2000 assessment, TDI chose to update and repeat the FY 1998 comprehensive customer satisfaction assessment. Results of the FY 1998 assessment thus became our baseline for measuring customer service.

To distinguish the FY 2000 survey from the FY 1998 survey, we will refer to the current one as the "comprehensive survey." TDI supplemented the FY 2000 comprehensive survey results with less formal but more targeted surveys to collect information on all of the required customer service quality elements.

We also include results of a survey about the company licensing process conducted on an ongoing basis by TDI’s Financial program.

Descriptions of these surveys follow.

• Third-Party Administrator
  TDI entered into an interagency agreement with the University of North Texas Survey Research Center (UNT) to administer the FY 2000 comprehensive survey. UNT administered the collection and analysis of data, using an updated version of the FY 1998 comprehensive customer satisfaction assessment. The formal survey techniques used by UNT ensured that the survey methodology and data analysis were statistically sound and unbiased. Having UNT administer both the FY 1998 and FY 2000 surveys allowed us to both assess current levels of satisfaction and compare them with the FY 1998 baseline data.
• Survey Description
  The comprehensive survey measures TDI performance in areas of customer service, regulatory effectiveness, enforcement actions, the reasonableness of fees and rates, and consumer issues. Based on the recommendation of UNT’s Survey Research Center in FY 1998, the survey also gathers respondents’ ratings of the importance of these aspects of TDI service. Assessing customers’ opinions of both our performance of a function and the importance of the function allows us to determine priorities and most effectively focus efforts for improvement.

• Survey Description, continued
  TDI developed four versions of the comprehensive survey with individual questions that have been added or modified to better address the customer group being surveyed.
• Number of Customers Surveyed
  TDI compiled its customer database from existing mailing lists and databases throughout the agency. Knowing our four customer groups, we generated statistically valid sample groups that are representative of our customer populations. After eliminating duplicate entries, we drew stratified random samples of 2,818 individuals to survey. The sampling distribution for each major customer group was as follows:

Customer Type

Sample Size

900

950

568

400

• Description of Customers
  Consumers largely contact TDI for assistance with complaint resolution or to request open records information. Customers from industry groups range from agents to insurance company representatives and investigators to engineers who perform windstorm inspections for TDI. The research/government category includes customers such as law enforcement professionals, journalists, staff at other state agencies, and other business professionals. Principal customers of the State Fire Marshal’s Office include licensed alarm and extinguisher companies, fire chiefs/marshals, sheriffs and wardens, local fire departments, and recipients of fire safety inspections.

• Sampling Methods
  Sampling methods sought to maximize the survey response rate and provide a fair representation of TDI’s customer groups. We determined the sample size for each customer group based on the level of contact with TDI, where primary customer groups and customers with high levels of interaction received a greater percentage of the customer surveys. This approach allowed us to gather information from a variety of customer types and focus our resources on primary customers.
• Data collection time frames
  TDI collected the customer satisfaction data through a three-wave mailing. The first mailing, sent on March 3, 2000, included the comprehensive survey and a cover letter signed by Commissioner Montemayor. A reminder postcard was mailed to all potential respondents on March 10, 2000. A tracking code identified those respondents who had not yet completed a survey, and a final mailing was sent to non-respondents on April 3, 2000. Any mail received after the mailing cut-off date of April 24 was not entered into the data file.
• Response rates
  Customers returned 775 surveys for an overall response rate of 30 percent. This figure is based on a sample size of 2,597, the total survey population after adjusting for undeliverable mail.
• Confidence intervals
  Of the 775 returned surveys, 709 were completed (in part or in full) and 66 were returned blank. In a purely random sample, 709 completed questionnaires would yield a margin of error of +/- 3.6 percent at the 95 percent confidence level. It would not have been advisable for the comprehensive survey to be sent to a purely random sample of customers, given our diverse customer groups. This total sample size of 709 was appropriate for our analysis, and sufficient to generate results about which we can be reasonably confident. The overall margin of error calculations and confidence intervals cannot be directly applied from the full sample to each of the customer group samples because we generated stratified sets of random sample customers in order to receive quality information from all four customer groups.

continued

• Data limitations
  For assessment purposes, surveying customers known to have had contact with the agency is an effective and efficient use of resources. TDI used existing mailing lists and databases to identify the populations to receive this survey. TDI provided information in FY 1999 to nearly 350,000 customers through our Consumer Information 800 Line, and we do not enter these customers’ names and addresses into our tracking database. Without contact information, a mailed survey such as the comprehensive survey is not able to gather customer satisfaction input from this important population.
  
  In both FY 1998 and FY 2000, our sampling methodology for consumers generated a population broader than the common interpretation of "consumer." The reason for this is that we assist various customer types in resolving their complaints. This population includes the traditional citizen "consumers" with complaints against HMOs or insurance companies. It also includes, for instance, agents, attorneys, and companies who file complaints on a variety of insurance-related matters. Because of the lack of uniformity in this customer group, it is difficult to draw conclusions about satisfaction of our consumers. We plan to analyze survey results and look more extensively at specific segments of the consumer customer group to better understand the nature of their satisfaction ratings. Additionally, we plan to use methods other than the comprehensive survey to gather detailed input from them.
• Customer groups excluded from survey
  TDI’s sampling methodology targeted customers who had direct contact with TDI. Through regulation and enforcement actions, TDI serves all insurance consumers, whether they contact us or not. Lacking direct contact with TDI, this group would not have a basis from which to judge our customer service; therefore, we did not attempt to survey them.
  
  We also elected to exclude customer groups that duplicated other survey populations. For example, TDI did not survey the trade organizations because their members were already included in the sample population for insurance industry representatives. Assessing such populations would not provide TDI with new information and thus would be an inefficient allocation of resources.

• Web site survey
  TDI posted a Web survey on our Web site for a period of five weeks beginning March 15, 2000. Customers completed the survey on-line and the data was automatically compiled in an Access database. This interactive survey gathered detailed information on the content and format of our agency Web site. A member of TDI’s Web team developed an Access query to summarize and report the survey results. We received 100 completed surveys.
• Facilities survey
  TDI administered a concise facilities survey to TDI/Hobby Building visitors during the same five-week period as the Web survey. TDI staff members at the Hobby Building Information Desk offered customers an opportunity to provide feedback on TDI facilities and services following their visit. We manually compiled the results of the 117 completed surveys.
  
  The Hobby Building houses over 20 state agencies, and TDI provides the lobby receptionist for the entire complex. Of the total visitors responding, 12 indicated that they visited a state agency other than TDI. We counted all 117 responses to facilities-related questions. For calculations of TDI staff services, we counted only 105, the surveys rating TDI staff services.

• Publications survey
  Periodically, TDI surveys Texas Insurance News (TIN) subscribers to determine their satisfaction with this monthly newsletter. For the FY 1999 survey, there were 471 respondents, representing about 25 percent of TIN subscribers. Results were compiled manually, and the findings were published in a subsequent month’s newsletter.
• Company licensing survey
  TDI surveys insurance companies and HMOs to determine customer satisfaction with the helpfulness of TDI staff and the timeliness of staff’s review of certain company filings. TDI’s Financial program sends the survey with the "close-out letter" that accompanies the Commissioner’s Order acting on requests for new licenses or amendments to existing licenses. Financial has been gathering this information since 1995 and uses it to assess customer service and improve processes. For purposes of this report, we manually compiled the results of the 63 completed surveys received from September 1999 through January 2000.

Service Quality Element

Relevant Survey Question

Average Rating

FY 2000

(5 = highest)

Staff

Treats customers with respect and courtesy

4.24

Provides service in a professional manner

4.21

Is responsive to the needs of its customers

3.99

Provides staff who are knowledgeable about services

3.99

Provides staff who are accessible

3.90

Provides staff who have the ability to solve problems

3.81

Listens to feedback from customers like me

3.77

Exhibits actuarial expertise

3.45

Communication

Provides access to information

3.87

Provides comprehensible information

3.77

Educates the public about insurance so people can make informed decisions

3.48

Internet Site

Overall satisfaction rating of TDI Web site

4.06

Timeliness

Processes forms efficiently

3.85

Gets the job done in a timely manner

3.82

Printed Information

Satisfaction with Texas Insurance News

See below.

Complaint Process

Discussed in Analysis of Findings

See below.

Facilities

Buildings (meeting rooms, public areas)

4.17

Signs

3.99

Parking

3.03

Our comprehensive survey also asks customers to rate the importance of our survey. The "importance rating" shows how many customers marked "very important" (5) or "important" (4). Gathering customer ratings of importance along with ratings of performance allows us to perform a "gap analysis." By measuring the differential or "gap" between performance and importance, we can prioritize and concentrate improvement efforts on areas that customers have identified as most important and where the gap is large.

• Overall Satisfaction
  When asked how satisfied they are with TDI overall, 80 percent of the respondents reported that they were either very satisfied or satisfied. These figures show a slight increase over FY 1998 findings, where 75 percent reported overall favorable ratings.
  
  The overall satisfaction ratings for the four customer groups are shown in the chart in the preceding section. The FY 2000 level of satisfaction ranges from research/government at 92 percent to consumers at 71 percent. All ratings improved slightly from the FY 1998 results, which ranged from 87 percent to 65 percent. The variation in satisfaction levels among customer groups may result from the different nature of their contacts with TDI and differences in their expectations of TDI services.

In addition to high satisfaction ratings for current service, 94 percent of the respondents reported the perception that TDI service has remained constant or improved over the last two years.

• Staff
  We asked customers to rate various aspects of TDI staff members’ service quality. Respondents to the comprehensive survey, who had written or telephone contact with TDI, were most favorably impressed by TDI staff’s courtesy and respect, with an average rating of 4.2. We received equally high ratings for providing service in a professional manner (4.2). Still favorable were their opinions of staff’s level of knowledge and ability to solve problems, with average customer ratings of 4.0 and 3.8.
  
  Visitors to the Hobby Building reported even higher levels of satisfaction with staff’s responsiveness/professionalism and with the staff’s level of knowledge. The average score for each of these criteria was 4.7.
  
  We asked the consumer, research/government and SFMO customer groups to compare working with TDI to working with other state agencies. Sixty percent rated working with TDI as either much or somewhat better. Similarly, 60 percent of insurance representatives to compare working with rated working with TDI as either much or somewhat better than other states’ insurance departments.
• Communication
  Customers rated TDI’s performance on providing access to information, providing comprehensible information, and educating the public about insurance so people can make informed decisions, with average ratings in FY 2000 of 3.87, 3.77 and 3.48, respectively. These scores reflect slight increases from FY 1998 ratings. Among these aspects of communication, the customer groups agreed that TDI does best at providing "access to information," and that it is most important. Printed information is a primary means for communication. Findings on printed information are reported under that service quality element.
  
  Also related to communication is the way that consumers learn about TDI. In FY 2000, 20 percent of consumers learned about TDI through their insurance company; 15 percent were referred by another governmental agency; 13 percent learned about TDI through personal contacts; and 12 percent learned about TDI through the Internet.

• Internet Site
  We surveyed customers about our Internet site in both the comprehensive survey and a special on-line survey. Customers who responded to the on-line survey were asked about the TDI Web site overall and about specific features, including its appearance, content and format. Over 75 percent of these customers gave favorable overall ratings of the TDI Web site.
  
  We asked respondents to the comprehensive survey to rate the usefulness of TDI’s Web site. Seventy-eight percent reported that the site was very useful or useful. When asked about how important the Web site was compared to other services such as having knowledgeable staff and being responsive to customer needs, these respondents, who had written or telephone contact with TDI, viewed the other customer services as more important.

• Timeliness
  Nearly 80 percent of the respondents in both the research/government and SFMO customer groups think TDI performs job duties in a timely manner. Ratings for the consumer customer group were 66 percent, and for industry representatives, 60 percent. Satisfaction ratings for all four customer groups represent increases over FY 1998 ratings of SFMO, 75 percent; research/government, 68 percent; consumer 63 percent; and industry 53 percent.
  
  All customers reported increased satisfaction with TDI’s efficiency of processing forms in FY 2000. The SFMO customers gave that group the highest performance rating of 80 percent. Other related findings include insurance industry representative comments that processing of forms and filings takes longer in Texas in than other states. This is due in part to the statutory requirements regarding forms and filings. In addition to evaluating our internal functions, we will review statutes for opportunities to increase the speed of TDI’s regulatory processes.
  
  To evaluate internal functions, our Financial program administers an ongoing targeted survey that assesses companies’ satisfaction with the licensing process. The survey gathers information about the timeliness of the filing process and about staff’s customer service. Survey results for FY 2000 show that 92 percent of companies applying for new licenses or amending existing licenses rate our services favorably.

• Printed information
  TDI produces a variety of printed information. The comprehensive survey did not specifically request input on printed materials. In FY 2000, our Public Information Office surveyed customers who subscribe to TDI’s Texas Insurance News. Survey respondents are extremely satisfied with this newsletter, with 99 percent rating it favorably.
• Complaint Handling Process
  This service quality element pertains to how and how well TDI responds to complaints about our services. Our comprehensive survey asked customers if they had experienced any problems with the services provided by TDI in the past two years. Percentages of customer groups responding they did have problems were: consumers, 29 percent; insurance industry, 28 percent; research/government, 17 percent; and SFMO, 13 percent. We also asked about the degree to which any reported problem was resolved. Percentages of customer groups indicating their reported problem was either completely or partially resolved were: consumers, 33 percent; insurance industry, 83 percent; research/government, 47 percent; and SFMO, 50 percent.
  
  We are not able to assess our FY 2000 performance in complaint handling against FY 1998 performance for the consumer customer group. As a regulatory agency, one of our services is assisting consumers in resolving HMO or insurance-related complaints. In FY 1998, we asked consumers about the problem that led them to contact TDI, a question relating to the underlying complaint resolution function, rather than to the quality of our staff’s service. In FY 2000, we changed the question to attempt to obtain their rating of our customer service. FY 2000 will therefore become the "baseline" for future satisfaction ratings of the consumer group. With the development of our Compact with Texans and heightened internal focus on customer service as a result of SB 1563, we believe there will be ongoing improvements in consumer satisfaction levels. Within the next several months, we plan to survey consumers in more detail and to analyze each specific type of complaint to more accurately determine the source of any dissatisfaction and to review ways for TDI to improve handling of these issues.

• Facilities
  TDI headquarters are located in the Hobby Building in downtown Austin. The facilities survey showed that 79 percent of customers surveyed rated building and conference rooms favorably. Seventy percent of the customers gave favorable ratings to the signs posted inside and around the facilities. In contrast, only 46 percent rated parking favorably.

We believe that improving "customer service" is a process, involving a cycle of assessment, planning and action. In FY 1998, we conducted the comprehensive customer satisfaction assessment, distributed survey results to individual TDI programs, and incorporated improvements in business plans, projects and initiatives. Over the next few months, we will use the results of our FY 2000 comprehensive survey to identify priority areas and develop action plans for continued improvements.

The Business Planning and Redesign division (BPR) will analyze survey results by specific customer types and by satisfaction and importance ratings. With this detailed information, we will be able to determine which service elements are most important to customers, where TDI is successful in customer service, and where we can take action to improve. BPR will also identify the TDI programs providing services about which customers commented and make recommendations on areas for consideration and types of improvements to be made. Based on the analysis in this report, programs will be asked to specifically address communication, timeliness, and their complaint handling process.

Program areas will use the survey results to determine the appropriate next steps. In some cases, programs may need to gather additional input from customers, to better understand the extent and nature of any customer service issues. In other cases, they may be able to identify relevant internal policies or processes that could be modified for better customer service. If any service, such as timeliness, could be improved with statutory changes, TDI will provide information to the Texas Legislature.

continued

Administering different types of surveys has been a value. The comprehensive survey gathered detailed information from a variety of customer groups. The less formal, more targeted surveys provided supplemental information on specific TDI services. The survey methods were selected to provide TDI with comprehensive and reliable data on customer satisfaction levels at a reasonable cost to the agency. We have found that overall, the survey instruments and methodologies were sound, and will model future assessments after them with minor adjustments.

Based on our experience with the variety of surveys we have used, possible improvements to the process include the following items.

• Improvements to the sampling methodology.
  Review program mailing lists and databases to see if they adequately reflect TDI customers, then revise or update these sources as needed.
  
  Review program business processes to ensure that TDI staff are entering codes and fields necessary to properly categorize customers.
  
  Refine definitions of customer groups and analyze methods for differentiating among various sample populations. Knowing that a sample survey population is homogeneous increases the validity of the conclusions drawn about a particular customer group.
  
  Establish methods of surveying customers who are not documented by our databases, such as customers with verbal requests for information.

• Improvements to the survey methodology.
  Use additional information-gathering methods, such as telephone surveys, focus groups, and/or on-line surveys.
• Improvements to the survey instrument.
  Consider use of bilingual survey instruments.
  
  Develop additional surveys to gather information about specific customer groups or services as needed.
  
  Develop another consumer survey to further explore issues identified in the analysis of the FY 2000 comprehensive survey.
• Improvements to the response rate.
  Solicit customers’ input immediately upon completion of service delivery.
  
  Incorporate an evaluation phase into our customer service processes.
  
  Analyze response rates by database/customer type to determine which customers should get a comprehensive survey and which should receive targeted surveys.
• Improvements to the data analysis.
  Develop survey constructs to improve analysis of performance on customer service quality elements. Analyzing results of input on groups of related questions may provide better insight into general categories of service than analyzing questions individually.

We used both comprehensive and targeted surveys to gather input from our customers. By conducting a comprehensive survey in fiscal years 1998 and 2000, we are able to both assess current satisfaction and compare it over time. We identified four customer groups: consumers, industry representatives, research/government entities, and customers of the State Fire Marshal’s Office. Satisfaction of each customer group with TDI overall and with virtually all areas of TDI service improved compared to FY 1998.

We believe it is important to continuously explore opportunities to improve both our operations and our customers’ satisfaction with our services. The development of our Compact with Texans, the process of gathering customer input, and the analysis of survey findings have provided additional ways for us to focus attention on the subject of customer service. We have identified actions to make further improvements, and we will continue to measure our progress.

Customer Service Contact

P.O. Box 149104

Austin, Texas 78714-9104

(512) 463-6123 phone

(512) 475-2005 fax

e-mail: CommissionersOmbudsman@tdi.state.tx.us .

P.O. Box 149104

Austin, Texas 78714-9104

(512) 305-6797 phone

(512) 463-6159 fax

Elaine.Powell@tdi.state.tx.us.

TDI sets the PACE for customer service through our Professional Attitude, Competence and Efficiency. As a customer of TDI, you can expect us to:

• treat you with courtesy and respect
• be fair, ethical and professional
• provide timely and responsive service
• give you clear, accurate and consistent information
• follow through on our commitments
• strive for continuous improvement in all of our services, and
• go the extra mile in our efforts to serve you.

• We respond to telephone communications within 24 hours.
• We respond to correspondence within one week, or earlier if possible.
• We respond to requests for public information in accordance with the Texas Public Information Act. When the information you have requested is clearly open to the public, TDI will provide the information as soon as reasonably possible and without delay.

Physical location: 333 Guadalupe, Austin, Texas 78701

Mail letters to: P.O. Box 149104, Austin, Texas 78714-9104

Agency Switchboard: Toll-free 1-800-578-4677 In Austin, 463-6169

Telecommunications Device for the Deaf (TDD): 1-512-322-4238

Consumer Helpline (multi-lingual capability): Toll-free 1-800-252-3439

Arson Hotline: Toll-free 1-877-4-FIRE-45 (1-877-434-7345)

e-mail: PIO@tdi.state.tx.us

Internet Web site: www.tdi.state.tx.us

• Assisting Consumers and the Public
• Resolving Insurance-Related Complaints
• Windstorm Inspections
• Licensing Insurance Agents
• Assisting Companies
• Enforcement, and
• Fire Prevention and Industry Regulation.

If you need information about insurance or insurance companies, call us toll-free at 1-800-252-3439. TDI staff are available to answer your questions on our toll-free line from 8:00 a.m. to 5:00 p.m. Monday through Friday.

We assist non-English speakers through Spanish-speaking operators; automated telephone service messages and instructions in Spanish; and use of the AT&T Language Line. Service for the hearing- or speech-impaired is provided through Relay Texas at 1-800-735-2989.

Publications/Brochures

We offer brochures on various types of insurance topics that can help you obtain the best value for your insurance dollar. To order any of our free publications, call the toll-free 24-hour Publications Order Line at 1-800-599-SHOP (7467).

Market Assistance Programs

We offer Market Assistance Programs to link consumers who live in "underserved" areas with participating insurance companies. Homeowners having difficulty obtaining insurance and good drivers insured in higher premium high-risk markets may contact 1-888-799-MAPP (6277) to apply or inquire about eligibility. For additional information, visit our Web site at: http://www.tdi.state.tx.us/consumer/indexc.html#Market.

Open Records

All agency information is public unless it is confidential by law or falls within an exception to the Public Information Act. To obtain public information, direct your request in writing to the Agency Counsel Section of TDI’s Legal and Compliance Program. You may submit the request by mail (see address above), fax (1-512-475-1772) or email ( AgencyCounsel@tdi.state.tx.us ). If you have questions, call 1-512-475-1757 or visit our Web site at www.tdi.state.tx.us/commish/legal/lcoprc1i.html.

Inspections

Calling the agents licensing number at 1-512-322-3503 will connect you to an Interactive Voice Response (IVR) system, an advanced telephone system designed to enhance customer service. You are also able to transfer to a customer representative during normal business hours by pressing zero (0). The IVR system is available 24 hours a day, seven days a week and handles 90% of the average 17,000 phone calls received per month.

A caller can access information on the status of licenses and appointments, and obtain information on letters of certifications issued. The system also allows callers to request duplicate renewal applications and license certificates and obtain instructions for ordering forms.

Our target for issuing an agent’s license is 15 days after receiving your application.

If you are a company seeking a license to do insurance-related business in Texas, contact our Company Licensing and Registration Division at 1-512-322-3507. An insurer or HMO can expect a complete license application to be processed within 90 days.

Required Filings Relating to Financial Regulation

Various statutes and regulations require companies to file information with TDI regarding their financial condition and to file applications for items requiring regulatory approval. We have developed a guide called "Filing Smart" to assist in making the filing process as efficient as possible. For specific details on filings, see the following Web page: www.tdi.state.tx.us/company/flngsmrt/index.html.

Civil/Administrative

For administrative or civil matters, the Enforcement Section of TDI’s Legal and Compliance Program investigates allegations of illegal activities and takes enforcement action.

Criminal/Fraud

TDI has a separate program to enforce laws relating to fraudulent insurance acts. Report fraud to the Fraud Unit at 1-512-463-6700. Our Fraud Unit works with other law enforcement agencies and state and federal prosecutors to pursue criminal prosecution of fraudulent activity. Due to the complexity of these cases, it may be 10 to 12 months before criminal investigations can be referred for prosecution.

The SFMO maintains a toll-free arson hotline number that residents anywhere in Texas can call to report information about arson or suspicious fires. The number is 1-877-4-FIRE-45 or 1-877-434-7345. This hotline is answered 24 hours a day and callers may remain anonymous.

Fire Safety Inspections

Requests for inspections are generally completed within 10 days, and inspections resulting from safety complaints are completed in five days.

Fire/Arson Investigations

Our goal is to respond to requests for fire investigations within 24 hours.

Licensing

The SFMO licenses individuals and entities in the fire suppression and fireworks industries. Our target is to process completed applications within 20 days of receipt.

Fire Safety Education

We offer outreach such as the Fire Safety House, Juvenile Firesetter Intervention and Fire and Burn Prevention Curriculum Guides.

Customer Service Contact

If you are still not satisfied with the service you receive from the TDI program, you may contact Carol Frasier, the Commissioner’s Ombudsman, at:

P.O. Box 149104

Austin, Texas 78714-9104

(512) 463-6123 phone

(512) 475-2005 fax

e-mail: CommissionersOmbudsman@tdi.state.tx.us .

(512) 305-6797 phone

(512) 463-6159 fax

e-mail: CustomerRelations@tdi.state.tx.us .

1. Percentage of Surveyed Customer Respondents Expressing Overall Satisfaction with Services Received.
2. Percentage of Surveyed Customer Respondents Identifying Ways to Improve Service Delivery.

80%

25%

1. Number of Customers Surveyed
2. Number of Customers Served

4,820

5,785,866

1. Cost Per Customers Surveyed

$2.85

1. Number of Customer Groups Inventoried
2. Number of Customers Identified

19

5,793,112

Name of Measure

Percentage of Surveyed Customer Respondents Expressing Overall Satisfaction with Services Received.

This is a new measure with no set target. Desired performance would be higher than target.

665

532

80%

Importance

Collection of Data

This is a new measure with no set target. Desired performance would be higher than target.

709

178

25%

Importance

Collection of Data

This is a new measure with no set target. Desired performance would be higher than target.

2,597

155 visitors

130 companies

1,800 Subscribers

148

4,820

Importance

Collection of Data

The data measures the number of documented times that TDI has provided customers with services, products or information. It does not necessarily measure the number of unique customers. A customer may be counted as a "served customer " each time they received products, services or information. For example, TDI measures and can report the number of visits to its Web site but cannot determine if these contacts reflect one-time visits by unique individuals or frequent visits by fewer individuals.

This is a new measure with no set target. Desired performance would be higher than target.

3,991,087

180,886

1,603,013

10,880

5,785,866

Step

Action

1

2

3

4

Step

Action

5

6

TDI's comprehensive survey provides the agency with detailed information but requires advanced data analysis, which raises the cost per customer surveyed. These mailed surveys reach a broader customer base than surveys distributed at the point of service, but due to postage they also cost more to disseminate.

Our Internet survey provides an affordable method of distribution, but because it targets only a portion of TDI's customer base, we must also use other information-gathering methodologies.

TDI believes that the key to excellent customer service is to communicate with its customers and listen to their input. To target a broad base of TDI customers and to minimize costs, we use multiple methodologies and survey instruments. This approach helps us obtain the best information at the most reasonable value.

This is a new measure with no set target. Desired performance would be lower than target.

Total Surveyed .....4,830

Total Survey Costs.............$13,746

$2.85 per customer surveyed

This is a new measure with no set target. Desired performance would be higher than target.

Groups identified by TDI as recipients of TDI products, services or information.

• Consumers
• Advocacy organizations
• Agents
• Companies, insurers, HMOs, insurers of last resort, quasi insurance entities
• Trade orgs./ Lobbyists
• Inspectors/ Engineers

• SFMO customers
• NAIC and NASFM (National organzations for regulators)
• Law enforcement agencies
• Texas agencies
• Legislature
• Federal, Itn’l and state regulartory agencies

• Advisory organizations
• Universities/ research facilities
• News media
• Special Master, courts and SOAH
• Contractors and SDRs
• Law firms
• Financial institutions

19

Importance

Step

Action

1

2

The population of Texas could be used to identify our customers but this would not be a useful indicator.

This is a new measure with no set target. Desired performance would be higher than target.

Total number of customers identified

5,793,112

Measure Name

FY 2000 Target

Percent of company, third party administrator, and premium finance licenses completed within 60 days

96%

Percent of agent license filings completed within 15 days

92%

Percent of statutory rate and form filings completed within 90 days

80%

Average response time (days) to complaints

38

Average time (days) for HMO complaint resolution

60

Average number of days per insurer fraud enforcement case referred

365

Average number of days per consumer or provider fraud case referred

300

Percent of registrations, licenses, and permits issued, after receipt of a completed application, within 20 days to fire alarm, fire extinguisher, fire sprinkler, and fireworks firms, individuals and other

95%

CONSTRUCT

TDI 1994

TDI 1996

TDI 1998

TDI 2000

Supervisor Effectiveness

256

281

290

298

Fairness

291

300

306

318

Team Effectiveness

278

301

321

327

Job Satisfaction

301

331

340

350

Diversity

298

312

319

325

Fair Pay

294

301

301

286

Adequacy of Physical Environment

324

333

353

360

Benefits

363

367

373

366

Employment Development

304

331

335

343

Change Oriented

308

331

335

334

Goal Oriented

307

334

348

349

Consistency (Holographic)

277

303

319

323

Strategic Orientation

360

384

399

404

Quality

337

359

373

375

Internal Communication

na

302

320

330

Availability of Information

270

308

321

333

External Communication

326

347

365

375

Time and Stress Management

330

361

363

371

Burnout

290

310

328

331

Empowerment

255

285

299

309

Team Perceptions

General Organizational Features

Personal Demands

Communication Patterns

Physical Work Setting/Accommodations

Table Number

Title

Page Number

1

Goals, Objectives and Strategies

G-4

2

Information Resource Policies and Practices

G-6

3

Agency Platforms, Systems, and Telecommunications

G-16

4

Agency Databases

G-18

5

Agency Applications

G-21

6

Interagency Data Needs

G-30

Number

Goal, Objective,

Strategy

Description

In Support Of

State Goal 1

State Goal 2

State Goal 3

State Goal 1

State Goal 3

State Goal 4

Summary/Overview

IR Priorities

IR Planning

Information resources planning is accomplished on two levels: IR priorities are established by the Planning Work Group (PWG) and official planning and implementation are accomplished by the Information Services Division planning staff through coordination with agency business program areas. All TDI information resources planning is focused on providing the correct technological solution to support implementing identified and prioritized agency business plans.

The PWG, coordinated by TDI's Business Planning and Redesign Division, functions to ensure, among other things, that information resources and technology are prioritized appropriately and are directly linked to TDI's strategic objectives. Each TDI program area's Senior Associate Commissioner is responsible for assigning an individual to represent program interests on the agency PWG committee.

If IS services are required, the PWG member examines technical options with IS analysts from the associated IS support areas. The PWG member periodically consolidates the requests from his/her program area into groups of related requests. These consolidated requests, and all other program initiatives, are packaged together and presented as project candidates for further consideration by the PWG committee.

All program requests for technology purchases must be initially reviewed by the agency Chief of Staff (see "IR Planning" below). If the proposal is approved at the executive management level for the program area to pursue, the PWG member examines technical options with IS planning staff. For development projects, the PWG decides project disposition and/or priority based on the overall agency impact and/or strategic direction and the IS division's resource availability/ workload.

For all potential projects, program area staff must prepare a formal justification and submit a Project Analysis Model (PAM). This justification includes a summary of the project scope and a cost/benefit analysis. All preliminarily approved projects are prioritized and submitted with business justifications to the IS Project Manager to be scheduled for initiation. If a project is approved for initiation, but insufficient IS resources are available to satisfy scheduling requirements, the PWG determines if the needed resources will be hired, contracted, or whether previously approved work is to be placed "on-hold" in order to free up the required resources.

Individual agency program areas, including IS, identify potential projects through business planning that occurs on a biennial schedule. These business plans are first approved by the agency Chief of Staff at the executive level, then, if the projects have identified information resources support requirements, they are thoroughly reviewed by IS planning staff to identify potential areas of impact. Plans that are technically feasible are included in IS Division plans and tracked for implementation and budget impact.

In addition, IS planning staff studies the information technology marketplace and trends to assess existing and emerging technologies. This information is used to analyze the application of these technologies to the agency’s strategic and tactical needs. Strategic and tactical IR goals and objectives are then formulated after an analysis by IS of the agency’s business plans and strategic plan. Meetings are held between IS planning staff, business analysts and the various program areas to assure that all IR needs have been identified and are understood by all staff. IS planning staff analyze and summarize the input from the program areas and prepare the agency's Information Resources Strategic Plan and Biennial Operating Plans as required.

TDI runs mission-critical applications on servers running Unix and NT operating systems. The operating systems currently in place for the desktop are MS Windows 95 and 98. Agency PC workstations are running on local area networks using the Novell IntraNetWare Network Operating system.

In 1990 TDI purchased a database software platform and an associated suite of Computer Aided Software Engineering (CASE) tools from ORACLE Corporation. Subsequently in 1994, TDI adopted a new Systems Life Cycle (SLC) methodology, STRADIS, in order to establish a standard approach and set of structured techniques for consistently developing high quality software solutions. The primary emphasis in IS has been and continues to be the use of structured techniques, based on STRADIS but adapted to suit the agency’s environment. Oracle’s CASE tool, Designer 2000, supports model-driven development methods. The Upper CASE tool is being used for data analysis and design, and a limited amount of process analysis.

TDI's Information Services Division has been assigned agency software audit and management responsibilities. The division will perform an agency-wide software audit biennially in accordance with H.B. 1895 passed by the 76^th Legislature.

TDI currently has in place a process to manage agency software assets and intends to incorporate DIR audit guidelines into this Service Level Agreement process. The agency's Y2K Project resulted in an initial inventory of all software and subsequent retirement of 78 software packages. The automated software tracking processes TDI now uses allow for rapid audit capabilities. In accordance with provision of HB 1895, TDI plans to update the agency's software inventory by identifying all software that is currently licensed by the agency. The audit, per the legislation, will identify any software for which the agency holds a license but that is not being used by the agency. Audit findings will be reported to the Legislative Budget Board through the agency's Biennial Operating Plan.

The agency intends to employ automated software tools to collect data on software programs being used by agency staff. Additionally, IS staff will report audit findings to the agency Chief of Staff and TDI's Internal Audit Division who will take the appropriate action to eliminate any unused or unauthorized software from agency computers.

As mentioned in Development Methodology above, TDI currently uses STRADIS, STRuctured Analysis, Design and Implementation of Information Systems, life cycle methodology to establish a standard approach and set of structured techniques for consistently developing high-quality software solutions. Additionally, in order to ensure quality in all IR initiatives, TDI employs STRADIS to supplement the agency's quality assurance program.

STRADIS contains a section on project roles, and, while it does not specifically include a role with the title "Quality Assurance," many roles do include responsibilities that fall within the QA purview. Additionally Information Services (IS) has added a role/responsibility to the division's Project Charter which specifically addresses quality assurance, to ensure QA is integrated into the planning process as well as the implementation process.

TDI has developed and implemented quality assurance practices in accordance with DIR guidelines, and addresses each of the seven areas included in the Information Resources Management Act in various stages of QA monitoring. Each is addressed separately below:

Planning Project Development

A project is initiated by the approval of a Project Analysis Model (see IR Planning Methodology above under "IR Priorities"). This document outlines the business problem to be addressed with a proposed solution, benefits of the solution, consequence of no action, exploration of alternatives, and estimated costs. Quality assurance at this stage is provided via a multiple program area/PWG committee review and approval process. The review process, specified in a flow chart on the TDI Intranet web page, includes all Information Services managers, the highest level manager in the program area requesting the project, analysts from both Information Services and Business Process & Redesign, and appointed representatives from every program area (PWG members).

Before a project begins, the appropriate Information Services manager completes a Project Checklist document, and assigns a high, medium or low quality assurance focus.

Determining the Project Benefits

Anticipated project benefits are documented in a specific section of the PAM, and include quantitative benefits if known. The possible cost of not doing a project is also documented. If alternatives have been explored, the cost/benefit for these may also be included.

Developing/Implementing Management-Control Processes

Before work on any IR project begins, a Project Charter must be approved. This document outlines roles and responsibilities, including management control. One of the roles established by the Project Charter is for a quality assurance analyst. In addition, analysts from the Development area are assigned to specific quality assurance tasks for design and coding for the project (IS Development QA Team). The deliverables and time-line are specified in the Charter, along with the management review and signoff schedule, and the process for status reporting. The Project Plan, with detailed tasks and estimates, is entered into the IS time accounting and project management tool, Enterprise PM. Project time is entered weekly by project staff, and monitored by the project manager and the IS Development Manager, with charts posted that detail progress.

Developing Project Budgets

Budgets for hardware and software must be outlined by the program area requesting the project in the area's business plan Section VI and/or defined in the project PAM. These budget estimates must be approved by the Chief of Staff prior to any work being done on the project. Initial estimates in the PAM are constructed through consultation with knowledgeable staff and referring to past projects of a similar nature and size. Estimates are revised when a Project Charter is developed after specific staff are assigned to the project. Additionally, the Project Charter may provide for revising estimates after certain phases, such as analysis, are completed.

Risk Analysis

Formal risk assessment is undertaken when TDI initiates project considered "over-threshold" for state reporting purposes. For all other projects, the project manager handles risk assessment/management. If a project is identified as high focus for quality assurance, then a risk management team may be assigned in the Roles/Responsibilities section of the Project Charter.

Effectiveness/Efficiency Evaluation Standards

The goal for all IS-related projects include completion within 10% of budgeted time and dates. TDI measures project effectiveness through post-implementation review.

Post-Implementation Evaluation & Reporting Practices

After projects are concluded, a Project Checklist is completed by the IS Manager that initiated the project. Ratings are assessed for: Completed on Schedule; Completed within Budget; and Overall Successfulness. Customers are asked for signoff on the project and given an opportunity to comment. Sometime after the project is completed, and as established in the Project Charter, a post-implementation review is held to compare the relative success of the project to the results as reported in the project file.

The agency has undertaken two long-term projects to assess all fees and forms collected by TDI. The projects were designed to identify and standardize the agency's collection of information and payments for the various business processes the agency now has in place. The projects will help to eliminate duplication and, in some cases, help streamline the way TDI conducts business with its customers. These projects will form the basis upon which the agency will build on its initial E-Government Plan.

TDI already makes many of its forms available to its customers via the agency's web site. A limited number of those forms are already accepted in turn by the agency via some sort of electronic means. TDI's E-Government Plan will take all forms and fees that are viable for electronic submission and implement their collection electronically. The first phase of this project will occur over fiscal years 2001 and 2002. This phase involves the electronic collection of 50 percent of the 25 forms/fees initially identified, including TDI's participation in HB 974's "Portal Project."

In implementing e-commerce based systems for the collection of information and fees, a framework of security measures will be developed which will include, but not be limited to:

1.  

2. Legislative mandates (e.g., 1 TAC 201.12 State Web Sites);

3.  

4. TDI management priorities for securing communications and transactions via the Internet or other electronic means;

5.  

6. Existing risks or vulnerabilities associated with fraud/error/abuse;

7.  

8. Customer needs and demands;

9.  

10. Legal implications regarding the use of electronic transactions (e.g., information that is protected by law);

11.  

12. Evaluation of alternatives to Internet-based transactions (SERFF).

13.  

14. Cost/benefit of any proposed security solution (e.g., access vs. security or passwords vs. digital certificates).

TDI's ability to receive forms and fees via the Internet or other electronic means has several impediments that could limit full implementation. These include, but are not limited to, the following:

•  

• The need for TDI program areas to collect supplemental information not easily converted to an electronic format.
• Method and authority for state agencies to pay credit card fees.
• Electronic alternatives for notary public services.

It is TDI's intent to make all current and/or future agency forms available via the Internet for download. Many of the agency's forms are already available electronically, and most can be accepted by the agency through electronic mail or facsimile transmission. It is the agency's goal to make all forms and fees collected, that are of sufficient volume, available to regulated persons, entities and the public for interactive electronic submission. A complete listing of forms that will not be made available for interactive electronic submission will be made available after the completion of the agency's scheduled Forms Management Project.

Procedures are in place to ensure that only authorized changes are made to system software. Physical access to enterprise servers, operating system software, and tape libraries are controlled. In addition, only authorized persons can make configuration changes. Systems software is restricted to systems programmers only.

There is controlled access to production programs also. Programmers have access only to applications in development or test libraries. Updates to production program storage are monitored so that only authorized updates are moved to the production program storage area.

All computer system development or changes, whether for large projects, small projects, or problem resolution, are requested in writing by authorized customers. This policy is reinforced by explicit requirements for change control addressed in each project charter. Once the development is complete, the programmer tests the software in the development environment. When testing is complete in development, the project and/or changes are submitted to the IS Development QA Team for approval. After approval, the QA Group moves the changes to the staging environment. Users then test the changes in staging and approve the movement to production. The Production Control Group completes the move to full production and availability to all customers.

All TDI enterprise servers are fronted by a controlled firewall in order to impede unauthorized usage of agency resources.

Information resources security management is coordinated through the agency's Information Security Officer (ISO), an IS division security planner assigned to the agency-wide post. The ISO, in conjunction with staff from both the Internal Audit and Human Resources divisions, recommends security policies and procedures to the agency Chief of Staff. All new employees are given a security awareness session in initial employment briefings and the ISO has coordinated with TDI's Human Resources Training Group for an on-going security awareness program within the agency. The ISO also coordinates with the Human Resources Division to ensure that the Information Services Division is notified when temporary employees and contractors leave agency employment, and that access to all agency computer systems is immediately removed upon termination.

The agency has established minimum security standards required for the protection of information resources. These minimum standards can be found along with TDI's information security policies and procedures in the agency's Computer Security Manual. Additionally, the agency's ISO is currently working closely with TDI's Risk Manager to complete and document an initial security risk analysis for the agency as required in TAC 201.13(b).

As part of TDI's security program, the ISO is also responsible for coordinating and standardizing information security procedures and practices for the different computerized systems used at TDI, including the agency's LAN, UNIX, Oracle, and other outside systems. All agency users have unique personal identifiers on TDI systems, except those designated for public use (PUB) accounts. Projects in which web applications are being developed are assessing the use of encryption, digital signature or other appropriate identification/authentication technologies employ in order to adequately secure TDI data and systems. Additionally, in accordance with TAC 201.13(b) 9 F, operations and network personnel are investigating audit trails that could be used to trace activities of individuals through TDI systems.

The IS Division has Security Administrators in the Customer Support Center (Help Desk) Group. Computer Security Liaisons in each program area identify and request access for users as appropriate for their job functions.

With TDI's GIS project completed and a system now in place, the agency is realizing benefits from its modest use of geographical information by applying the system to market analysis and financial monitoring as originally intended. The agency has also used the system to manipulate data to graphically represent information for other TDI areas as well.

TDI is not a major provider of digital data for other state agencies, and is not doing field collection or navigation as represented in TGIC's goals and objectives. TDI uses GIS tools on a limited basis to represent data provided to the agency by insurance companies. The agency is, however, interested in sharing the benefits of public involvement that the TGIC promotes.

Currently, agency policies and/or standards for development of GIS datasets and/or applications rest with the program areas utilizing the system. Those areas include the Financial, Property & Casualty, and Life, Health, and Licensing divisions of the agency. Any use of the system or the manipulation of data is coordinated through the designated program areas. GIS initiatives are coordinated as all other information resources initiatives, through the process stated in IR Planning Methodology as described previously in this table.

TDI's IRM participates on behalf of the agency as a member of the Texas Geographic Information Council. This council was created by DIR to facilitate the exchange of GIS databases and applications, and to assist state agencies with GIS related purchases.

TDI's Business Planning and Redesign (BPR) Division is responsible for developing, maintaining, and testing an agency-wide disaster recovery and business continuity plan. This plan provides for business continuity in the event of a disaster that disrupts agency services and displaces TDI staff. BPR is responsible for coordinating with all TDI program areas to establish and maintain official agency business priorities and requirements. Business impact analyses are completed for each program area and the overall impact reviewed by the PWG on a periodic basis. The Information Services Division has a Disaster Recovery Coordinator assigned to work as a liaison with BPR. It is his/her responsibility to develop the division's Disaster Recovery Plan and monitor, maintain, and coordinate testing that involves the agency's disaster recovery services vendor.

The Information Services Division automation disaster contingency plan is driven by business recovery requirements identified by TDI program areas through the agency Disaster Recovery Plan. IS updates its plan on a regular basis to reflect the most current personnel and procedure changes to the agency's business and distributed computer environment. The IS Division plan includes situation assessment, damage assessment, recovery of production vital records, recovery of IS software and web recovery.

TDI currently contracts for disaster recovery services through the West Texas Disaster Recovery Operations Center, managed by Northrop Grumman Corporation.

TDI continues to acquire a wide range of new technology to better support its business functions. Policies and procedures have been, and continue to be, established which provide standards and guidelines for acquiring and using computing resources. The TDI Personnel Manual and the agency’s Operations Manual each address the acquisition and/or use of voice, data and video resources.

TDI currently does not use video conferencing technology to conduct open meetings, but will comply with all applicable standards and state guidelines if implemented for that purpose in the future.

Consultant

TDI’s IS division follows policies and procedures that have been developed by the agency's Purchasing Division regarding contracting for and monitoring of services provided by outside programmers and consultants. The agency currently does not utilize outside contractors or consultants to augment TDI information resources staff on a full-time or part-time basis.

Since 1997, TDI has made a concerted effort to increase the breadth and availability of information on the Internet. Use of this medium has steadily increased. Currently, TDI's web site gets over 300,000 hits each month. This reflects information that is available at no charge to insurance agents, companies, consumers and other state agencies. In addition, TDI also allows access to selected data on its Oracle database to insurance companies, agents, and other state entities.

IS managers develop training plans for section staff based on a careful assessment of current and future needs of the department and the skills of the employee. These plans are documented annually and kept in a central file. Actual training received by IS staff is then tracked against the plans.

The agency's Human Resources Division Training Section staff coordinates registration for all training provided in-house. This division works closely with IS division training staff that assist HR staff in providing in-house instructor-led training at the Cameron Road Training Facility. The agency also contracts for training from outside vendors on occasion and IS often sends its information resources staff to local technical training when available. All IR staff have transcripts of training taken located on TDI's Personal Registrar training system.

TDI is currently evaluating use of web-based training, and has contracted on a limited basis to receive training via two separate electronic training vendors, mindleaders.com and elementK.

TDI's computer environment has evolved from the traditional "glass house" mainframe-centric operations center into a LAN-based system. The Unix application servers that replaced the functionality of the Hitachi EX-80 mainframe do not provide freestanding computing services to users, cannot provide services to TDI users without connection to the LAN, or without use of a desktop computer on which a significant portion of the client/server environment resides.

The agency is actively engaged in replacing the two current Unix applications servers with newer equipment. The two servers, with dissimilar operating systems, have become obsolete according to their manufacturers; maintenance is difficult to obtain for these machines and expensive, and parts are increasingly harder to find. The migration of TDI's Oracle instance to the replacement server will begin upon the arrival of the new equipment in late FY2000 or early FY2001.

The strategy behind this acquisition is to unify the Unix servers under one "flavor" of Unix, and to lower hardware and software maintenance costs. One server will replace the Sequent Unix server used to support the agency's Oracle software application. A second, much smaller Unix server is being acquired to provide testing and some development functionality. The smaller unit will be installed in TDI's remote Cameron Road Training Facility.

TDI will be migrating off its current Unix servers during the latter part of FY2000 and the first part of FY2001. It is the agency's intention to investigate moving appropriate applications to the WTDROC sometime in the FY2002-2003 biennium, after the WTDROC establishes and stabilizes a mid-range applications server environment.

Category

Type

Operating

System

Database Management System

Capacity/

Size/Count

Comments/

Descriptive Information

Mainframe

NA

NA

NA

NA

TDI does not have a mainframe.

Minicomputer

Sequent:

SE20

Unix Dynix/PTX

Oracle

8 processors, 512 MB, P66 MHz with approximately 131 gigabytes of disk storage.

Minicomputer

DEC:

Alpha Server 2100

UNIX OSF1

Oracle

256 MB, 2 DEC Alpha RISC Processor running at 275 MHz with approximately 61 gigabytes of disk storage.

One attached 35/70 DLT tape drives.

Minicomputer

HP:

NetServer Lxr Pro8

Windows NT Enterprise Server

Oracle

4095 MB, 8 Pentium Pro 200MHz Processor with approximately 191.1 gigabytes of disk storage.

Two attached 35/70 DLT tape drives.

LAN Servers (Central)

Compaq:

Proliant 5000

Novell Netware

NA

2 – 512 MB, 1 Pentium Pro 200 MHz processor with a combined disk storage of approximately 40.2 gigabytes.

1 – 768 MB, 2 SMP Pentium Pro 200 MHz processors with a combined disk storage of approximately 31.6 gigabytes.

2 – 1GB, 2 SMP Pentium Pro 200 MHz processors with a combined disk storage of approximately 85 gigabytes.

All 5 servers have 512KB Cache and a quad speed CD-ROM.

LAN Servers (Central)

Compaq:

Proliant 7000 4/Xeon 450

Novell Netware

NA

3 – 4GB, Quad Xeon 450MHz processor with a combined disk storage of approximately 655.2 gigabytes.

LAN Servers (Central)

Compaq:

Proliant 6000

Windows NT Server

Windows NT Server

Novell Netware

NA

1 – 256MB, 1 Pentium Pro 200 MHz processor with approximately 9.1 gigabytes of disk storage.

1 – 512GB, 2 Pentium II 400 MHz processors with approximately 54.6 gigabytes of disk storage.

1 – 512MB, 2 SMP Pentium Pro 200 MHz processors with approximately 40.7 gigabytes of disk storage.

All three servers have 512KB Cache and a quad speed CD-ROM.

LAN Servers (Remote)

Compaq:

Proliant 5000

Novell Netware

NA

1 – 512 MB, 2 SMP Pentium Pro 200 MHz processor with approximately 31.6 gigabytes of disk storage.

It has 512KB Cache and a quad speed CD-ROM. Located at the Cameron Road Training Center.

LAN Client/

Work-Stations (Central)

Compaq:

Desk Pro

Desk Pro 2000

Prolinea 575;

IBM PC:

300XL

350

300PL and 300GL.

Majority run Windows 95; Some run on Windows 98.

Access

824 – 32 MB to 128MB, ranging from P75 to PIII 500 MHz with 1.2 to 16.2 gigabytes of disk storage each.

LAN Client/ Work-Stations (Remote)

Compaq:

Desk Pro

Desk Pro 2000

Prolinea 575;

IBM PC:

350

Windows 95.

Access

27 – 16 MB to 128MB, ranging from P75 to P200 MHz with 1.2 to 3.2 gigabytes of disk storage each.

WAN Servers (Mail Server)

Compaq:

Proliant 5000

Novell Netware

NA

5

The Mail Servers actually reside on 5 of the Central LAN Servers listed above.

WAN Servers (Web Server)

Compaq:

Proliant 5000

Window NT Server

NA

1 – 400 MB, Single Pentium Pro 200MHz processor with a combined disk storage of approximately 17.2 gigabytes.

1 – 512 MB, Dual Pentium Pro 200MHz processor with a combined disk storage of approximately 17.2 gigabytes.

1 – 1GB, Dual Pentium Pro 200MHz processor with a combined disk storage of approximately 17.2 gigabytes.

WAN Servers
(FaxServe)

IBM:

300GL

Novell IntraNetware

NA

1 – 256MB, 1 Pentium II 333 MHz processor with 18.1 gigabytes of disk storage.

WAN Servers
(CD-ROM Tower)

IBM:

300GL

Window NT Server

NA

1 – 256MB, 1 Pentium II 333 MHz processor with 36 gigabytes of disk storage.

WAN Servers
(MailSweeper & SSL)

Compaq:

Proliant 5000

Window NT Server

NA

1 – 1GB, Dual Pentium Pro 200MHz processor with 17.2 gigabytes of disk storage.

WAN Servers
(ManageWise/ZEN)

Compaq:

Prosignia 740

Novell Netware

NA

1 – 512MB, 1 Dual Pentium II 450 MHz processor with 18.2 gigabytes of disk storage.

WAN Servers
(Firewall)

IBM:

Intellistation Z Pro 550

Windows NT Workstation 4

NA

1 – 768MB, Dual 550 MHz Xeon processors with 9.1 gigabytes of disk storage, 512KB Cache and a quad speed CD-ROM.

The Firewall server also serves as one of the DSN servers listed above.

WAN Servers
(FTP)

HP:

NetServer

Lxr Pro8

Windows NT

NA

1

The FTP Server actually resides on the HP NetServer Lxr Pro8 Server listed above.

Category

Description

Insurance Company Data

Name and Address

Lines of Coverage

Financial Data

Financial Examinations

Complaints

Legal Case Tracking

Company Officials (President, VP, etc.)

AM Best Rating data

Policy Count data

Utilization Review Agents & Independent Review Organizations

Name and Address

Complaints

Financial Data

Examinations

Company Officers

Insurance Agents and Agency Data

Name and Address

Licenses/Authorities

Company Appointments

Complaints

Legal Case Tracking

Title Agents

Name & Address

Licenses

Appointments

Complaints

Legal Case Tracking

Escrow Officers

Insurance Inspections and Certifications

Windstorm

Deadbolt

Sprinkler

Burglar Alarm

File Location / Tracking

Commercial Auto Locator

Workers’ Compensation

Rate & Form Filing, Tracking and Approval (P&C)

Rate & Form Filing, Tracking and Approval (LH&L)

Complaints Tracking

Legal Case Tracking

Financial Statement Tracking

Open Records Tracking

Fraud Investigative Management Systems (IMS)

Accounting Data

Licenses

Subscriptions

Examination Invoices

Overhead Assessment Invoices

Cash Receipts

Human Resources Data

Human Resources Management System (HRMS)

State Fire Marshal Data

Fire Incident Tracking

Fire Safety Inspections Tracking

Arson Investigations Tracking

Arson Lab

Juvenile Fire Setter Activity Tracking

Database System

ORACLE

The data is not currently used for GIS operations. Addresses of possible windstorm inspection locations for 15 coastal counties of Texas may be potentially useful for GIS, as might complaints data.

TDI currently shares data with other agencies, entities, and the public. The following list details many of agency interfaces that are made in the conduct of insurance regulation and education in the state of Texas:

Accounting data is transferred to DIR via File Transfer Protocol (FTP). Some data must be entered manually into DFAS/USAS systems.

Company Data is given to the Railroad Commission, Department of Transportation, Department of Public Safety, and Comptroller of Public Accounts.

Complaint and Agent data is given to NAIC (Producer Database).

Texas Registry updates are on line at Secretary of State.

Texas Department of Transportation, Texas Catastrophe Property Insurance Association, Texas Life Guaranty Association and City Public Services have internet access to Company data.

Surplus Lines Stamping Office and Insurance Agencies (upon request) have dial in access to Agents' data.

Public information is also available through the TDI's Web page.

The only planned replacement, modification or conversion is to upgrade to Oracle Version 8 in FY2000. The agency does not currently plan to add or enhance GIS functionality or to link its Oracle database to a GIS. There are no planned projects in the agency's Biennial Operating Plan that relate directly to any of the information stored in TDI's Oracle database.

Client Server

Application Name

Development Language

MS Access / Visual Basic

Application Name

Rate/Form Filing Tracking – Property/Casualty Group