Date of Adoption: July 20, 1999.

Purpose: Amending WAC 383-07 to revise references that no longer apply due to new legislation and to correct inaccurate information.

Citation of Existing Rules Affected by this Order: Amending WAC 383-07.

Statutory Authority for Adoption: Chapter 50, Laws of 1999, RCW 41.60.

Under RCW 34.05.350 the agency for good cause finds that immediate adoption, amendment, or repeal of a rule is necessary for the preservation of the public health, safety, or general welfare, and that observing the time requirements of notice and opportunity to comment upon adoption of a permanent rule would be contrary to the public interest.

Reasons for this Finding: Due to new legislation becoming effective July 25, 1999, the Productivity Board needs to submit emergency rules in order to be in compliance with the new laws.

Number of Sections Adopted in Order to Comply with Federal Statute: New 0, Amended 0, Repealed 0; Federal Rules or Standards: New 0, Amended 0, Repealed 0; or Recently Enacted State Statutes: New 0, Amended 10, Repealed 0.

Number of Sections Adopted at Request of a Nongovernmental Entity: New 0, Amended 0, Repealed 0.

Number of Sections Adopted on the Agency's Own Initiative: New 0, Amended 10, Repealed 0.

Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 0, Amended 10, Repealed 0.

Number of Sections Adopted Using Negotiated Rule Making: New 0, Amended 0, Repealed 0; Pilot Rule Making: New 0, Amended 0, Repealed 0; or Other Alternative Rule Making: New 0, Amended 0, Repealed 0. Effective Date of Rule: July 25, 1999.

July 20, 1999

Tracy Guerin

Deputy Secretary of State

OTS-3276.1

AMENDATORY SECTION(Amending WSR 92-09-048, filed 4/10/92, effective 5/11/92)

WAC 383-07-020
Definitions.

As used in this chapter, these definitions refer only to the teamwork incentive program unless the context requires otherwise:

(1) "Board" means productivity board.

(2) (("Executive director")) "Program manager" is the ((administrator)) manager of the programs and staff to the productivity board.

(3) "Program" means teamwork incentive program developed by the productivity board under RCW 41.60, and is frequently abbreviated as TIP.

(4) "Program ((manager)) coordinator" refers to the person hired by the ((executive director)) program manager to ((administer)) coordinate the program known as TIP.

(5) "The act" referred to in this chapter is RCW 41.60.

(6) "Agency" includes every subdivision of state government eligible to participate under RCW 41.60, including all merit system agencies and institutions of higher education.

(7) "Team" means a subdivision with a common mission within or between agencies.  A team may also be referred to as a "unit" or a "group."

(8) "Director" means the appointed or elected chief executive of the agency.

(9) "Supervisor" means the person responsible for unit operations in accordance with WAC 356-05-400 or 251-01-395.  (Merit system rules and higher education personnel board rules defining supervisor.)

(10) "Steering committee" means a representative group of individuals responsible for planning and implementation of TIP within an agency.

(11) "Liaison" means the individual who is the key contact from an agency to the productivity board.  The TIP liaison is a member of the steering committee in agencies using them.

(12) "Award" means the percentage of savings ((allowed by RCW 41.60)) in accordance with WAC 383-07-120.

(13) "Cost savings" refers to cost efficiencies which occurred as a result of productivity improvements.  Cost savings may be reflected in budget reductions and/or cost containment.  Gains to state funds may be reflected in higher receipts or revenue recoveries as a result of improved methods used by the team.

(14) "Outcome" refers to the accomplishments or results achieved by the unit.

(15) "Project year" means the twelve-month period during which performance and fiscal measures are monitored.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-020, filed 4/10/92, effective 5/11/92; 88-15-033 (Order 88-1), § 383-07-020, filed 7/14/88.]

The responsibilities of the board shall include:

(1) Promotion and marketing of the program to agency directors and the legislature;

(2) Establishment of policies under which the program shall be promoted and administered, including guidelines cited in WAC 383-07-045, 383-07-050, and 383-07-060 concerning the responsibilities of agency management, TIP liaisons and agency employees;

(3) Adoption of rules and regulations necessary for the administration of this act;

(4) Final determination in approving team participation in the teamwork program;

(5) Final approval of any amount awarded to an eligible team((;

(6) Submission of reports required by RCW 41.60)).

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-030, filed 4/10/92, effective 5/11/92; 88-15-033 (Order 88-1), § 383-07-030, filed 7/14/88.]

The program manager shall ((report to the executive director and)) be responsible and accountable to the board for the administration of the program, and shall:

(1) Attend meetings of the board and ensure a record of its actions regarding the program is maintained.

(2) Propose policies, rules, and regulations appropriate for the administration of the program.

(3) Establish and maintain records and procedures necessary for the administration and maintenance of the program.

(4) Interact with agency managers regarding team participation and facilitate understanding and involvement in the program.

(5) Review applications and reports submitted by teams to ensure compliance with (( RCW 41.60)) WAC 383-07-070, 383-07-080 and 383-07-100 and to recommend necessary changes.

(6) Interface with agency TIP liaisons and/or other agency personnel about the program.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-040, filed 4/10/92, effective 5/11/92; 88-15-033 (Order 88-1), § 383-07-040, filed 7/14/88.]

The TIP liaison, under these guidelines, serves as the primary link between the board and the agency, and is responsible and accountable to agency management.  The TIP liaison shall:

(1) Coordinate the TIP program within the agency as a key member of the agency's TIP steering committee or as an individual liaison between the agency and the board.

(2) Oversee the completion and submission of all TIP applications, working within agency chain of command and with productivity board staff.  Ensure that all applications meet the criteria established by (( RCW 41.60.100,)) WAC 383-07-070 and 383-07-080.  Ensure an executive summary for board meeting packets is prepared and submitted with the TIP application.

(3) Monitor on-going TIP activities within the agency, reviewing all quarterly reports for completeness and accuracy and transmit reports to the program manager in a timely manner.

(4) Represent the agency on TIP-related issues at board meetings.  Attend regularly scheduled board meetings when the agenda includes TIP projects or issues relevant to the agency.

(5) Promote and market the program within the agency through on-site presentations, written communications, facilitation of meetings and other effective means to acquaint employees and supervisors with the purpose and benefits of the program.  Coordinate recognition of groups completing the year-long project.

(6) Ensure that award authorizations are processed, and that payments are made to individuals in a timely manner.

(7) Identify and encourage use of internal resources, such as training staff and management analysts, to assist units participating in TIP.

(8) Identify and encourage use of other resources inside and outside state government((, such as the state energy office, the career executive program, and other knowledgeable experts)).

(9) Coordinate with agency management and the board recognition of groups completing the year-long project.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-050, filed 4/10/92, effective 5/11/92; 89-19-006, § 383-07-050, filed 9/7/89, effective 10/8/89; 88-15-033 (Order 88-1), § 383-07-050, filed 7/14/88.]

Units interested in being considered for participation in the teamwork incentive program shall complete a TIP application form.

(1) Application forms shall be available from the productivity board office or the TIP liaison within the agency.

(2) Applications which are approved by the agency shall be submitted by the TIP liaison to the program manager.

(3) Applications should be submitted prior to the beginning of the project year and must be received by the board staff by the 10th of the month preceding board action to approve a team's participation in the teamwork incentive program.

(4) Applications presented to the board for action shall contain authorizing signatures and outcome and fiscal information.

(5) ((In accordance with RCW 41.60.110 (1)(b),)) Teams completing a TIP project year may reapply by the submission of an abbreviated application, including authorizing signatures, timeframes and either a confirmation of the previous results and/or revised performance measures as the baseline to be used.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-070, filed 4/10/92, effective 5/11/92; 88-15-033 (Order 88-1), § 383-07-070, filed 7/14/88.]

For applications to be considered by the board, units interested in participating in the teamwork incentive program must meet these eligibility criteria:

(1) An identification of the baseline ((as specified in RCW 41.60.110(1),)) against which savings shall be evaluated at the end of the project year, including the following:

(a) A general description of the team and its mission;

(b) Performance measures which quantify the workflow and outcome measures of the team;

(c) Fiscal information pertinent to outcomes;

(d) A list of participating personnel and their Social Security numbers (Social Security numbers are optional and are used for payment purposes), with special notation of those working less than full time; and

(e) A statement of how the team expects to achieve gains.

(2) Signatures of agency management authorizing the team's participation in the TIP project, including:

(a) The head of the agency in which the team is located or his or her designee;

(b) The supervisor/manager of the participating unit;

(c) The appropriate fiscal/budget officer of the agency; and

(d) Other signatures specified by the agency, such as the personnel manager and division directors.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-080, filed 4/10/92, effective 5/11/92; 89-19-006, § 383-07-080, filed 9/7/89, effective 10/8/89; 88-15-033 (Order 88-1), § 383-07-080, filed 7/14/88.]

Upon receipt of the official application, the program ((manager)) coordinator shall:

(1) Review the application for completeness and accuracy, coordinating with the agency TIP liaison on any points needing clarification.

(2) Schedule the application for board action at the next appropriate meeting.

(3) Prepare an executive summary about the team, its performance measures and its TIP goals to be sent to board members prior to scheduled action.

(4) Make a recommendation to board members concerning the application, based on whether or not the application is reasonable and practical and includes program indicators which lend themselves to a judgment of success or failure.

(5) The board may approve or deny an application based upon whether or not the proposal is deemed reasonable, practical and includes program indicators which lend themselves to a judgment of success or failure.

(6) Communicate with the TIP liaison and interested others about dates for the anticipated board action on the application, the quarterly reports and the anticipated final review and approval of any team award.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-090, filed 4/10/92, effective 5/11/92; 89-19-006, § 383-07-090, filed 9/7/89, effective 10/8/89; 88-15-033 (Order 88-1), § 383-07-090, filed 7/14/88.]

Each team accepted to participate in the program shall submit regular progress reports to the board through the agency's TIP liaison.

(1) Quarterly reports shall be submitted to the board in accordance with a schedule arranged by the program ((manager)) coordinator and shall contain, as a minimum, the following information:

(a) An update on team accomplishments relative to TIP performance measures;

(b) An update on personnel changes; and

(c) An indication of quality of outcomes.

(2) Final reports shall be submitted to the board within three months following the TIP completion date and shall include, as a minimum, the following information:

(a) Annual accomplishments relative to TIP performance measures as compared to TIP baseline measures, expressed in both quantitative and qualitative terms, including the total net savings, the team award and the amount of a full award share;

(b) A list of personnel eligible to receive full award shares;

(c) A list of personnel eligible to receive partial award shares, based on the fraction of the year each has worked for the unit;

(d) A statement of quality of services written by agency management; and

(e) Specific information requested by the program manager on behalf of the board.

(3) In their final report, the team shall submit documentation which quantifies performance measures, fiscal measures, and outcome measures for the TIP project year.  Acceptable documentation may include, but is not limited to:

(a) Fiscal documents, such as budgets and accounting reports;

(b) Agency management reports quantifying outcomes;

(c) Reports from other agencies, such as the state energy office or federal agencies;

(d) Reports made to other agencies or governmental units;

(e) Personnel reports quantifying overtime hours;

(f) Other reports relevant to TIP performance outcomes and operational costs.

(4) The program manager may extend due dates for reports.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-100, filed 4/10/92, effective 5/11/92; 89-19-006, § 383-07-100, filed 9/7/89, effective 10/8/89; 88-15-033 (Order 88-1), § 383-07-100, filed 7/14/88.]

Awards shall be distributed to employees and supervisors of the unit identified as team members in the final report as follows:

(1) If the board determines in its judgment that a team qualifies for an award, the board shall authorize payment of the award to the team ((a percentage of net savings as specified in RCW 41.60.120)) based on the payment award scale that is up to twenty-five percent of net savings.

(2) The team award shall be divided and distributed in equal shares to members of the team, except those who have worked within the team for less than twelve months of the TIP-year or less than full time during the twelve months of the project shall receive a pro rata share based upon the fraction of the TIP-year worked.

(3) No individual share of the team award shall exceed ((the maximum suggestion award allowed in RCW 41.60.041(2))) ten thousand dollars per person.

(4) Funds for paying awards shall be drawn from the agency in which the team is located.  Awards for generating increased revenue to a state fund or account may be paid from the benefitted fund or account.  In the case of general fund revenue, the award shall be drawn from the general fund in accordance with productivity board policy.

(5) Teams not demonstrating cost efficiencies may receive special recognition of merit in the form and manner determined by the board.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-120, filed 4/10/92, effective 5/11/92; 89-19-006, § 383-07-120, filed 9/7/89, effective 10/8/89; 88-15-033 (Order 88-1), § 383-07-120, filed 7/14/88.]

Following approval of a teamwork incentive award by the productivity board, the ((executive director)) program manager shall submit a notice to the agency authorizing payment of awards in accordance with RCW 41.60.120 and WAC 383-07-120.

(1) The award authorization notice shall include:

(a) The total amount of savings;

(b) The unit award based upon the percentage ((specified by RCW 41.60.120)) in accordance with WAC 383-07-120(1); and

(c) A list of employees and the amount of each individual's award share.

(2) The award authorization notice shall be sent to the agency's TIP liaison for processing payments of awards and fees.  A copy of the authorization shall be forwarded to the team supervisor.

(3) The award authorization notice shall be sent as soon as possible following board action.

(4) The agency shall arrange for payment of awards in a timely manner.

[Statutory Authority: RCW 41.60.  92-09-048, § 383-07-130, filed 4/10/92, effective 5/11/92; 89-19-006, § 383-07-130, filed 9/7/89, effective 10/8/89; 88-15-033 (Order 88-1), § 383-07-130, filed 7/14/88.]