New Jersey Department of Labor Unemployment Insurance Modernization Project Appendices to the Business Process Conceptual Design April 2003
Contents These appendices support the Business Process Conceptual Design deliverable and should be read in conjunction with that report. Appendix A: Customer focus groups reports Focus groups and interviews were held, prior to the workshops, with (a) claimants, (b) employers and (c) claimant advocates. Notes from these sessions are attached here. Appendix B: Process scenarios Result of scenarios developed in workshops, to create process steps detail and test high level processes. Appendix C: Best practices cross-walk The DOL team conducted a short survey of State best practices prior to the business process conceptual design workshops, which was used to inform some of the discussions. Before the last workshop, we checked these best practices against the new New Jersey UI design – attached here. Appendix D: Management information example The seventh workshop was dedicated to management information (MI) and how greater availability of MI will change how managers in UI can work. The example attached here was produced to demonstrate how better MI could be used at senior management. Appendix E: Detailed implementation ideas Throughout the workshops, many ideas were expressed about how the blueprint might be implemented. In order to retain those ideas, they are presented here in a list – to be properly addressed in the strategic planning phase. Appendix F: Policy and procedure impacts The business process conceptual design has a number of potential impacts on policy and procedure in New Jersey. Attached here is a first cut list of the potential impacts and how they might be addressed. cro
Contents (cont. ) Appendix G: Crosswalk with RFP requirements Cross-referenced table that demonstrates compliance of the report with the RFP requirements Appendix H: Crosswalk with Business/Systems Characteristics List The State included a first-cut list of business and systems characteristics in the original RFP. These have been worked into the business design principles – demonstrated here. Appendix I: Crosswalk with Parallel Initiatives The State’s RFP calls for a cross-check of parallel initiatives with the Business Process Conceptual Attached here. Desi
APPENDIX A: CUSTOMER FOCUS GROUP REPORTS Focus groups and interviews were held, prior to the workshops, with (a) claimants, (b) employers and (c. ) claimant advocates. Notes from these sessions are attached here. These reports were provided in Microsoft Word format and are therefore inserted into this document (behind this page).
APPENDIX B: BUSINESS PROCESS SCENARIOS These scenarios were developed in workshops 1, 2 and 3 to create process steps detail and test draft high level processes. The reports were provided in Microsoft Word format and are therefore inserted into this document (behind this page). Workshop 1 scenarios: intake & adjudication Page 1 Workshop 2 scenarios: continued claims, appeals & inquiries Page 20 Workshop 3 scenarios: controlling benefit payments & collections Page 38
APPENDIX C: Best Practices Crosswalk The DOL team conducted a short survey of State best practices prior to the business process conceptual design workshops, which was used to inform some of the discussions. Before the last workshop, we crosschecked these best practices against the new New Jersey UI design. The document was produced in Microsoft Word format and is attached behind this slide.
APPENDIX D: Management Information Example The seventh workshop was dedicated to management information (MI) and how greater availability of MI will change how managers in UI can work. The example attached here was produced to demonstrate how better MI could be used at senior management.
How MI Should Be Used at Senior Management Level: Example MI must enable senior management to deliver against agency objectives and targets. The next few slides provide an example of how those objectives might translate into performance metrics (to be extracted from MI). Key values / objectives for senior management? 1. Provide a high quality service 2. Address legislative mandates and meet / exceed standards 3. Maintain the integrity of trust fund 4. Be the best agency in state government 5. Follow the example of “Fix DMV” – Hassle free – Customer centric – Value people – Provide help to people in their time of need
How MI Should Be Used at Senior Management Level 1. Drivers / measurements for high quality service? l Timeliness of interaction or response (including phone wait times) l Customer satisfaction surveys (real-time) l l l l – Multiple models exist (e. g. , random sampling) Minimized number of handoffs – requires the ability to take a “single, end-to-end claim view” – One data base, one system – Speed of retrieval Reduction of unemployment weeks paid (and faster reemployment) Error free – Rate of re-work Success of self-service – Number of people who begin the process via self-service options but are routed to an agent – Percent of total claim volume that remain agent-free Integration with workforce partners – Percent of UI claimants who are reemployed as a result of UI to ES integration / “handoff” Decrease in duration / exhaustion rates Overpayment and fraud – early identification methods – Decrease in refunds – QC measures: decrease in BPC projection rate Decreased adjudication / appeals – Fewer determinations overturned, with agency error cited – Fewer appeals caused by customer lack of understanding of the law
How MI Should Be Used at Senior Management Level 1. Drivers / measurements for high quality service? (continued) l Employer friendly – Customer service measures (e. g. , real-time survey) – Decrease in rate of employer protests – Decrease in number of inquiries – Rate of employer service – Decrease in (need for) correspondence (employer to UI) – Participation in employer education 2. Drivers / measurements for addressing legislative mandates and meet or exceed standards? l Ability to be flexible to new mandates and standards – Period of time required to adapt to the change 3. Drivers / measurements for addressing trust fund integrity? l Data required for calculation of tax rate (payments vs. tax collection) l Decrease in internal and external fraud – – Amount of collections related to fraud – l Number of those caught and set up in fraud receivable Time between a fraud event and the collection of money owed Real-time, accurate numbers on status of the trust fund “drainage numbers”
APPENDIX E: Detailed Implementation Ideas Throughout the workshops, many ideas were expressed about how the blueprint might be implemented. In order to retain those ideas, they are presented here in a list – to be properly addressed in the strategic planning phase.
Introduction to Implementation Ideas The focus of the Business Process Conceptual Design workshops and the customer interviews was to develop the framework and blueprint that will guide UI Modernization over the next few years. In the course of our discussions, some good detailed ideas were discussed. These have not been captured in our main document but are listed – in notes format - in this appendix so that the ideas are not lost. In the strategic planning phase, some of these ideas will become pertinent; others will need to be kept in mind during actual implementation. A number of the ideas have been taken up by the Division as potential ‘quick wins’ and are being implemented as a separate initiative, led by Jim Boney. Additionally, staff are able to submit ideas to the UI Modernization team via a ‘virtual suggestions box’. This list is maintained by Kelly Sacks.
Implementation Ideas List General ideas l l l How to organize for an effective inquiry call center? To handle all inquiries – would it be separate from other RCCs? Pro-active training: Instead of reactive to projects/hardware turning up - plan training ongoing throughout careers Integrated services: To better reinforce with claimants and staff that the goal is reemployment and not unemployment, consideration should be given to UI/ES reporting to same Regional Managers. Suggestion made for long term consideration only. Consolidate pamphlets sent out to claimants; quality of information provided would improve also (eg, PR 94) Output-based procedures: Make procedures output-based to allow flexibility in how services are delivered regionally and locally? LO 8 V: 150 external agencies are using LOOPS through LO 8 V, future system should allow high level of external queries not affecting production cycle Reports: High volume of reports should be able to run against consolidated consistent data without affecting production lifecycle Data change synchronization: need to develop mechanism of data synchronization of data change notification between future UI system and partners’ systems Imaging: remember benefits to indirect, support / control functions such as QC, appeals, training Email: email will become a useful comms tool particularly for RCCs, adjudication center managers and staff who need to contact people whose phones are often busy Address validation/correction: Use special US postal service software to validate/correct addresses and keep them in the standard format Real time interfaces: SAVE, VERIS
Implementation Ideas List (cont. ) General ideas (cont. ) l l l Data upload from TAX: Sometimes LOOPS is transparent to and from other apps: it takes data from the TAX system and loads data into these apps. Maybe it can be done directly from TAX? Provide RCC application to Interstate: "IS claims very similar to normal UI claims - to speed up interstate claims? - Would require less training then to do IS- IS would get RCC technical support“ - (sent through as QUICK WIN) Employers should be able to voluntarily provide separation data in the case of mass layoffs Ideas from workshop 2 – continued claims, appeals and inquiries l Customize first payment certification sheet (sent through as QUICK WIN) l Resend employer handbook to all employers every 2 years (sent through as QUICK WIN) l l Summarize decision on 1 st line of letter sent by AT. Currently, the decision itself is on the last page, which can be found confusing Provide instructional video clips beyond a video RO (in One Stop and on Web). Examples included: – – Phone usage (continued claims) – l How to file Virtual RO Re-send determination to claimants who appeal based on lack of understanding with a COMPREHENSIBLE explanation. ALSO – ensure determination is communicated clearly in first place, with reference to UI law
Implementation Ideas List (cont. ) Ideas from workshop 3 – BPC and financial processes l l l Ensure all claimant’s information is on one screen for agent (example: ETA 227 overpayments/recovery). Currently, time wasted and service impaired because staff have to look through a series of screens and even work across both the RCC and LOOPS applications Enable automated address updates (UI sends 60, 000 letters/month) Potential quick win: clean up write-offs and uncollectables on books? If the new system is financially resilient, would Treasury be willing to consider a one-off write off Ideas from workshop 4 – Policy and Procedures l Email monthly compendiums of new policies / procedures to staff l New procedure is emailed and posted on Intranet, l All policies and procedures should always have a quick hit synopsis l Create hotline for clarification of procedures [Note that ideas on the potential policy and procedure impacts of the conceptual business process design are included at Appendix F].
Implementation Ideas List (cont. ) Ideas from workshop 5 – One Stops l Scancard and automated resumes: increased data sharing between UI and OSOS – providing initial resumes, a base record in OSOS and scanning to track self-help – l Potential to become a smart/ATM card for UI RO schedules can be available immediately (with proper access and training – with appropriate controls and business rules (attendance, etc. ) l Change stationery and letter for RO (currently its on UI stationery) l Phone-hold script should provide ES information l Scheduling for RO should be through PROs system – already acted upon Idea from workshop 6 – organization and culture l Potential quick win: assess informal mentoring – feedback loop: is it working? Ideas from workshop 7 – management information l Possible medium term win: Add a customer service survey into existing phone / Internet systems l Possible quick win: Purchase new ODBC driver(s) - will automate MI collection in RCCs
APPENDIX F: Policy and procedure impacts The business process conceptual design has a number of potential impacts on policy and procedure in New Jersey. Attached here is a first cut list of the potential impacts and how they might be addressed.
Policy and Procedure Impacts: Overall l Review time allotted for customer to Division interaction (general correspondence, fact finding notification, etc) – l Review claimant access restrictions – l l Claimants who access the system by any method should be treated equally. (Certification and interstate claims processes are currently different for phone and web processes. ) Develop electronic communication procedures – l Should claimants using a non-New Jersey telephone number or cellular phones be prevented from accessing the system? Review consistency of claimant treatment – l Current time allotted assumes that correspondence occurs via the US postal service To preserve customer privacy and ensure data security Make policy decision regarding what information should be made available to customers (via electronic case file) Consider changes to legislation and regulation – Develop hit list of most important changes, particularly focused on eligibility requirements (e. g. base week) • l l Identify anticipated impacts of changes Make policy decision regarding whether an employee should be able to process claim from end-to-end (from taking claim to making payment? ) Digital signatures – Develop statewide legislation and regulations governing use of digital signatures
Policy and Procedure Impacts: Triage, Intake and Adjudication l Triage: Cross-training of UI / call drop-off – Clarify jurisdiction over cross-service provision / triage – Develop procedures for how customers will be handled – Develop procedures for how triage functions – Develop resourcing policies • – l Develop workload balancing procedures Electronic filing of mass layoffs – l E. g. , rotating staff between UI and ES to encourage cross-training Provision of claimant data (name, SSN, address) by separating employer in case of mass layoff Automated non-charging – – l Investigate impacts of fully implementing non-charging law (Division will proactively relieve charges rather than responding to employers request for relief of charges) Make policy decision about the level of fact-finding and adjudication needed for non-charging determinations of other than most recent separating employers Early determination – Investigate the legal flexibility available to make early determination decisions • l How much pre-adjudication information can be gathered before formal fact-finding while preserving due process? Payment Methods – Review policy and procedural implications of multiple payment mechanisms (e. g. , credit card, debit card, UI benefits card)
Policy and Procedure Impacts: Continued Claims, Self-help l Preventing payment control via system checks – – l Develop policy identifying what the triggers should be for a BPC investigation in early phases of a claim Develop procedures to reflect earlier and additional system cross-checks Certification schedule – – l Investigate impacts of making certification frequency more flexible (implications on staff workload, removal of this confirmation of claimant availability) Develop claim reassertion procedures Self-help – Assess impact of data provision on claimant privacy • – E. g. , Provision of personal claims history and ability to change basic data such as address via Internet Develop procedures for educating customer on how to use self-help solutions
Policy and Procedure Impacts: Appeals l Appeal filing – l Reviewing determination post-appeal – l Enforce existing policy: re-determinations must be made before beginning appeals process Board of Review decision and precedent case book – simplification and updating – l Develop policies to support phone filing of appeals Make policy decision to initiate simplification and update process and solicit approval of outcome Evidentiary rules – Review evidentiary rules for appeals (e. g. evidence of communication date for electronic communications, permissibility of imaged files and electronic communications)
Policy and Procedure Impacts: Preventing Overpayments, Collections l Fraud disqualification – l Extend fraud disqualification policy to encompass preventative cross-check activities Jurisdictional issues between appellate bodies and Division of UI – Confirm jurisdictional boundaries between AT/Bo. R and UI • To what extent does the AT and Bo. R’s impartiality prevent these bodies from assuming the functional activities of the Division? l l E. g. Should AT set up refunds schedule, make payments / adjustments to a claim after an appeal decision? Investigate cost effectiveness of interstate recovery through Federal reciprocal arrangements (perhaps only with NY and PA) Collections – Undertake a systematic review of collections procedures – Review best practices to determine how other states address collections process
APPENDIX G: CROSSWALK WITH RFP REQUIREMENTS Cross-referenced table that demonstrates compliance of the report with the RFP requirements
The RFP Requirements for This Deliverable UI Modernization RFP Requirements “ 3. 2 Business Processes Conceptual Design (Price Line #3) The Contractor will provide a detailed description of the reengineered Division of UI processes and the workflow for these processes that incorporates the validated and updated Business and Systems Characteristics (Section 3. 1) and Systems Initiatives (Section 1. 2. 5) underway. Working closely with the project manager and the subject matter experts, the Contractor will ensure that each business function is addressed in the reengineered processes and meets the objectives of the Division for a seamless and integrated service. The Contractor will employ an efficient combination of document reviews, interviewing, process observation, and collaborative group discussion (focus groups) to analyze current business processes in order to identify and develop the reengineered business processes, workflow, and interfaces. While the majority of focus groups will be with the Division of UI staff and internal NJDOL customers, the Contractor must also conduct focus groups to obtain input from external customers. At a minimum, this must include claimants, employers and employer agents. The Contractor shall document the results of this task including sufficient detail to support clear definition of specific reengineering projects recommended in the Strategic Plan (see Section 3. 2. 4). ”
Breakdown of the RFP Requirements “The Contractor will provide a detailed description of the reengineered Division of UI processes and the workflow for these processes that incorporates the validated and updated Business and Systems Characteristics and Systems Initiatives underway. ” l Provide a detailed description of the reengineered processes and workflow l Incorporate Business and Systems Characteristics, Systems Initiatives Working closely with the project manager and the subject matter experts, the Contractor will ensure that each business function is addressed in the reengineered processes and meets the objectives of the Division for a seamless and integrated service. l l Work closely with Project Manager and subject matter experts Ensure each business function is addressed in reengineered processes and meets UI objective for seamless and integrated service The Contractor will employ an efficient combination of document reviews, interviewing, process observation, and collaborative group discussion (focus groups) to analyze current business processes in order to identify and develop the reengineered business processes, workflow, and interfaces. While the majority of focus groups will be with the Division of UI staff and internal NJDOL customers, the Contractor must also conduct focus groups to obtain input from external customers. At a minimum, this must include claimants, employers and employer agents. l Analyze current processes to develop reengineered business processes, workflow, and interfaces l Methods to include document reviews, interviews, process observation, collaborative group discussion l Focus group audiences to include NJUI staff, NJDOL customers, and external customers The Contractor shall document the results of this task including sufficient detail to support clear definition of specific reengineering projects recommended in the Strategic Plan. ” l Documentation should support next task of defining clear projects for the Strategic Plan
APPENDIX H: CROSSWALK WITH BUSINESS/SYSTEMS CHARACTERISTICS LIST The State included a first-cut list of business and systems characteristics in the original RFP. These have been reviewed as part of the development of the business design principles. The table shown here demonstrates the link between the business characteristics and the principles. Note: many of the characteristics initially listed by the State are pure systems characteristics. These will be kept and used as a checklist for the technical architecture.
Mapping the Business Characteristics
Mapping the Business Characteristics (Cont. )
Mapping the Business Characteristics (Cont. )
APPENDIX I: CROSS-WALK WITH PARALLEL INITIATIVES The State’s RFP calls for a cross-check of parallel initiatives with the Business Process Conceptual Design. Attached here.
Introduction to Crosswalk With Parallel Initiatives Following this defined Business Process Conceptual Design, it will be timely to review parallel initiatives across unemployment insurance. The list attached here indicates l Which initiatives from our December 2002 review are still ongoing l Whether each initiative fits with the general direction of the Business Process Conceptual Design l Any actions or explanations required. Any ongoing initiatives will be reviewed for fit during the Technical Architecture and Strategic Plan phases also.
Crosswalk With Parallel Initiatives
Crosswalk With Parallel Initiatives (Cont. )
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