Slide #1 © 2007 Nan McKay & Associates Teri Robertson Workflow Analysis © 2006 Nan McKay &...

Slide #1Slide #1©2007 Nan McKay & Associates

Teri Robertson

Workflow Analysis

©2006 Nan McKay & Associates


PURPOSE OF CONDUCTING WORKFLOW ANALYSIS

Determine how my agency can operate• More efficiently

What existing processes are NVA (non-value added)?

Where is work duplicated, redundant, unnecessarily repetitive?



Determine how my agency can operate• More effectively

How can we better ensure we meet HUD requirements?



Determine what organizational structure / job assignments would work better for our PHA• Specialist model?• Generalist model?• Supervisor/worker ratio?



Determine how to distribute assignments• Should supervisors also be responsible for

primary Quality Control activities in our PHA? Perform regular reviews?Perform SEMAP reviews?



Where are we ‘out of step’ with requirements? Where are we doing great?



How can we do better in meeting the needs of our clients, fulfilling HUD requirements, and keep our overall operation as simple as possible?


COMPONENTS OF A WORKFLOW ANALYSIS

1. Report Review2. Policy Review3. Document/Forms Review4. File Review5. Interviews with Key Staff6. Following Workflow (job shadowing)


WORKFLOW ANALYSIS – REVIEW REPORTS

1. Report Review - Purpose Assess existing and past performance

issues Understand current / recent weaknesses



1. Report Review – Documents to review RIM Reviews SEMAP Any independent auditor reports Internal QC reports PIC discrepancy reports



1. Report Review – Pitfalls Failure to review objectively

• If the individual responsible for a stated weakness is reviewing the report, they may become defensive

• Information gathering is the goal



1. Report Review – Pitfalls Discounting report findings Putting too much weight on report findings Only noting surface issues

• Look ‘beneath’ the issues• Note trends


WORKFLOW ANALYSIS – REVIEW POLICY

2. Policy Review – Purpose Fresh eye approach Is appropriate guidance given to staff in key

areas?



2. Policy Review – Key areas to review Sections providing guidance on daily duties

• Rent calculation guidance How to annualize

• Earnings• Medical expenses• Child care expenses



2. Policy Review – How is this workflow analysis?

Can identify problems• Holes in policy• Inconsistencies• Conflicting guidance



2. Policy Review – How is this workflow analysis? Annualizing earnings

Individual conducting analysis needs to be current on what policy is for file review



2. Policy Review Annualizing earnings Medical expenses Child care

Identify log jams for staff in processing paperwork



2. Policy Review Annualizing earnings Verification requirements

Is policy consistent? Does it support staff efforts? Is it clear and logical?



2. Policy Review - Example PHA assets policy states that checking

account value is average 6 month’s balance To simplify process for staff, verification

policies allows current bank statement to be used (if original)

How do these two policies fit together?



2. Policy Review - Example• Do you conduct annual reexaminations

when a family moves? If yes, will not have to conduct annual until

move anniversary (be sure to code as 2) If no, will have to verify everything with the

move (be sure to code as 7)



2. Policy Review –

Keep alert, constantly analyzing, assessing, comparing


WORKFLOW ANALYSIS – FORMS REVIEW

3. Document/Forms Review - Purpose Look at forms with fresh eyes Are there any missing questions? Are questions complete? Clear? Do questions support the process?


WORKFLOW ANALYSIS – FORMS REVIEW

3. Document/Forms Review Recent forms issues observed by NMA:

• Asking if any adults attend school; not asking if they attend full time

• Asking about medical expenses, but not including room / headers for necessary details


WORKFLOW ANALYSIS – FILE REVIEW

4. File Review - Purpose Identify errors and error trends Identify unnecessary steps taken by staff Identify true file organization Identify how overstuffed files may be



4. File Review Approach objectively YOU are HUD, OIG, IA Be brutal!



4. File Review Look for unnecessary actions

• Obtaining primary documents annually (birth certificates, drivers licenses, Dec 214, SS cards)

• Sending letters advising owners they can ask for a rent increase



Things to watch for in family files Files contain data more than three years old Duplicate documents in files

• Multiple copies of birth certificates, social security cards, Declaration 214



Things to watch for in family files

Is file organization standardized? Are tabs used for key areas? Are all documents for annuals/interims kept together?



Things to watch for in file reviews How easy/difficult is it for owners to

understand your unit types? • Would a ‘magic de-coder ring’ attached to the

RTA help?



Things to watch for in file reviews Do utility responsibilities match on file

documents? • RTA • Lease • HAPC• Utility Schedule



Things to watch for in file reviews How difficult is it for staff to determine which

utility allowance schedule to use? • How many utility allowance schedules do you use?• As unit types vary on HUD documents (RTA,

inspection, UA Schedule), are your schedules clearly labeled?



Things to watch for in file reviews Do unit bedroom sizes match? Or, if

discrepancies exist, have they been resolved with an audit trail left behind?• RTA, Inspection, Utility Schedule

Do inspectors understand the importance of bedroom size and unit type?



Things to watch for in file reviews Are effective dates of utility schedules clear? Are changes in utility schedules dated far enough

in advance to prevent conflict with completed reexams?

Is policy clear as to when new utility schedules are to be used? (Annual, interims)



Things to watch for in file reviews What proof of unit ownership is in file?

• Copy of recorded deed vs. Real estate tax bill• Do you require a copy of an owner’s social security

card? Just what is needed for proof of unit

ownership?



Things to watch for in file reviews Does staff follow verification hierarchy?

• UIV/EIV• 3rd party written• 3rd party oral• Review of documents• Family certification



Things to watch for in file reviews How does staff handle / document being

unable to obtain verification in the hierarchy order? Is there an audit trail?• What slows them down? What will help?



File Reviews Identify how calculation and verification

policies help or hinder staff



Things to watch for in file reviews Verification

• Employment income – (helpful tips) Does policy allow staff to use the higher of EIV/family

provided documents when there is not a substantial difference (more than $200 a month) between EIV and family provided data?



Things to watch for in file reviews Verification

• Bank accounts – (helpful tips)Does policy allow staff to use an original bank

statement to verify bank account balances?



Things to watch for in file reviews Verifications

• Review of documents – (helpful tips)Have you provided self-inking stamps to staff

‘Original document viewed and copied by _(name)_____ on __(date)____’ ?



Things to watch for in file reviews Do you conduct interim reexaminations of

income when a family reports an increase in income?• Is there an income increase threshold? • Only the change must be verified; how is this

handled?



Things to watch for in file reviews How are medical expenses handled?

• One of the toughest rent calculation challenges• CAN BE much easier than PHAs make it, IF

Declaration asks the right questions Policy supports requirements Staff is clear on how to proceed



Medical expenses – Start with asking the right questions• What medical expenses do you expect to incur / pay

over the coming 12 months? Give examples of allowable expenses Provide fields to gather as much data as possible

• Type, how much, how often• How much is out of pocket/reimbursed?



Medical expenses• Only declared items require verification• May need to resort to review of documents• Cannot just roll over previous year expenses



Things to watch for in file reviews Are you requiring local forms that duplicate

HUD forms?• Family obligations form• Release forms



Things to watch for in file reviews Are you requiring unnecessary forms for

family self-certification?• If all questions are properly asked, declaration

form serves as self-certification



Things to watch for in file reviews Are you unnecessarily requiring documents to

be notarized?• Typically, what is a notary attesting?



How does staff track / ‘tick’ • Activities• Verification receipt• Deadlines?



What happens AFTER a file review?• How are errors communicated to staff?• How are errors/error trends tracked?• How is it ensured that errors are fixed?• How is it ensured that staff is coached on

errors?


WORKFLOW ANALYSIS – STAFF INTERVIEWS

5. Staff interviews – Purpose Understand staff perception of workflow Identify staff perceived weaknesses and

strengths



Plan aheadA. What process is being analyzed?

Intake? Annual Reexaminations? Inspections?



Plan ahead• Will you analyze all actions, or only focused

elements? For example: Intake Application process Waiting list maintenance Selection from the waiting list Eligibility determination Briefings



Plan ahead• If there is a specific area ‘hurting’, may want

to start there• If general analysis, may want to start at the

beginning



Plan aheadB. Determine who will be interviewed

Key players in key positions Not everyone needs to be interviewed Enough employees to get the picture



Plan aheadC. Have tools ready

Understand program requirements Be prepared to establish ground rules Have basic questions prepared How will you document the information?



Plan aheadD. Schedule interviews

Calendar Conduct in a quiet space

• NEUTRAL ground• Allow enough time



Conducting the Interview – establish ground rules• Explain purpose

This is only about gathering information in order to identify ways we can streamline the work process

I will also ask your opinion on how we can do things better



Conducting the Interview – ground rules• Explain flow

I will be asking questions to understand how work is really processed

The only right answer is the real answer I will need to capture your answers, so ask

you to be patient while I do so



Conducting the Interview - ground rules Explain flow

I may ask questions multiple times to ensure I understand

“I don’t know” is an acceptable answer



Conducting the Interview • Ask questions in an objective, professional,

respectful manner• Listen listen listen• Watch your body language

Non judgmental



Conducting the Interview • Query to ensure you understand• Do not add your opinions

This is about gathering information• Ask questions until you run out!



Conducting the Interview • Document pertinent information• Make note of unanswered questions

Who else do I need to ask what?



Conducting the Interview • At the end of the interview, ask

‘What else would you like to share?’ ‘How would you like to see things change?’ ‘What do you think is working well?’


WORKFLOW ANALYSIS – JOB SHADOWING

6. Job shadowing – Purpose Learn what really happens Don’t be surprised when what you see is

different than what you heard



6. Job shadowing – Preparation is similar to that of interviews

Be prepared Schedule – advising all relevant staff they

may be involved Job shadowing means follow the work –

takes place at the work station



6. Job shadowing Full work analysis of a function (annual

reexaminations) means that you cannot observe the workflow all the way through on a given family

• An annual takes months to complete



6. Job shadowing So, use questions and observe work on files

at a given point in the process



Examples of questions Annual reexam process – specialist

• Where does your process begin? Give examples: You are planning for the April

reexaminations…where does your process begin? Be ready to ask clarifying questions to get things

started: Do you receive a printout of families to process? From whom?



Questioning: ‘Then what do you do?’ So, your supervisor gives you a print out of

families that you must process for reexamination, is that correct?…Then what do you do?

You go into your software and do what? Then what do you do? Then what happens? Who do you give that to? Who mails those out? How long does that take?



Questioning: ‘Connect the dots’

• Do not skip steps; make sure things ‘connect’

• Make notes of peripheral questions to ask later, but don’t break the train of thought



Questioning: Question down to specifics; to minutiae Ask about triggers, when necessary

• How long do you wait before sending out the 2nd 3rd party verification?

• How do you know to do that? What is your tickler system?



6. Job shadowing Whenever possible, observe work on files at

a given point in the process Observe interviews Walk from point to point with specialist as

necessary



6. Job shadowing Ask questions to the point responsibility

passes to another person….then go to that person, if possible



Have basic questions ready How will you document the information?

• See Handout• Ours is a sample only of what NMA uses to

gather information• Multi page document



Documenting information Word format Put together in ‘anticipated’ format, but easy

to cut and paste to move flow around


HANDOUT


WORKFLOW ANALYSIS – The Hard Part

Review work flow process to eliminate unnecessary steps

Document work flow from the application process through termination

Review processing times


WORKFLOW ANALYSIS

Workflows are a map of processing steps conducted by various staff

Literally draw maps Visio is a good tool


WORKFLOW ANALYSIS


WORKFLOW ANALYSIS

Now that you have collected information, what do you do with it?

• Share information with appropriate people Involve staff wherever you can

• Search for ways to improve Ask for input, ideas


WORKFLOW ANALYSIS

Effective workflows increase efficiency among the various departments

• So bring departmental players into the discussions

• Make sure everyone is aware of everyone else’s goals


WORKFLOW ANALYSIS

Workflows must address the responsibilities of all disciplines to facilitate optimal program management and functioning


WORK FLOW – Things to consider

In redesigning workflow, take advantage of technological advancements

• Is it time to consider paperless?• What about call centers? • Software system should be loaded with

standard form letters



Today, all specialists should have computers, email

Are there enough printers? Fax machines? Is the phone system adequate?



Establish a web-site to provide access to:

• Frequently used forms• Special PHA announcements and bulletins• Frequently asked questions



Use of automated rent reasonableness technology (e.g., Gosection 8)

Take advantage of solutions available in the market



Review the lines of communications between program specialists

If a team approach is used make sure the teams communicate



Watch for customer service issues• When are customers required to come in?

Owners – multiple trips to the PHA Families – long waits at the office

• How soon are telephone calls returned?



How does staff track or ‘tick’ • Activities• Verification receipt• Deadlines?



How does management track results? Schedule activities?• Make the best use of available technology• Make your software work for you in generating

reports


WORK FLOW – Purpose

Workflows are essential for effective program management

Workflows assure all processing requirements are met


THE REST IS UP TO YOU

Questions and Answers

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Slide #1 © 2007 Nan McKay & Associates Teri Robertson Workflow Analysis © 2006 Nan McKay &...

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