New Jersey Department of Labor

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New Jersey Department of Labor

• Unemployment Insurance Modernization Project

Appendices to the Business Process Conceptual
Design
April 2003
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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 cross-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.
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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 States RFP calls for a
cross-check of parallel initiatives with the
Business Process Conceptual Design. Attached
here.
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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).

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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

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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 cross-checked these best practices
  against the new New Jersey UI design.
• The document was produced in Microsoft Word
  format and is attached behind this slide.

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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.

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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?
• Provide a high quality service
• Address legislative mandates and meet / exceed
  standards
• Maintain the integrity of trust fund
• Be the best agency in state government
• Follow the example of Fix DMV
• Hassle free
• Customer centric
• Value people
• Provide help to people in their time of need

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How MI Should Be Used at Senior Management Level

• 1. Drivers / measurements for high quality
  service?
• Timeliness of interaction or response (including
  phone wait times)
• Customer satisfaction surveys (real-time)
• 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

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How MI Should Be Used at Senior Management Level

• 1. Drivers / measurements for high quality
  service? (continued)
• 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?
• 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?
• Data required for calculation of tax rate
  (payments vs. tax collection)
• Decrease in internal and external fraud
• Number of those caught and set up in fraud
  receivable
• Amount of collections related to fraud
• Time between a fraud event and the collection of
  money owed

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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.

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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.
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Implementation Ideas List

• General ideas
• 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, PR94)
• Output-based procedures Make procedures
  output-based to allow flexibility in how services
  are delivered regionally and locally?
• LO8V 150 external agencies are using LOOPS
  through LO8V, 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

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Implementation Ideas List (cont.)

• General ideas (cont.)
• 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
• Customize first payment certification sheet (sent
  through as QUICK WIN)
• Resend employer handbook to all employers every 2
  years (sent through as QUICK WIN)
• Summarize decision on 1st 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
• How to file
• Phone usage (continued claims)
• 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

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Implementation Ideas List (cont.)

• Ideas from workshop 3 BPC and financial
  processes
• Ensure all claimants 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
• Email monthly compendiums of new policies /
  procedures to staff
• New procedure is emailed and posted on Intranet,
• All policies and procedures should always have a
  quick hit synopsis
• 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.

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Implementation Ideas List (cont.)

• Ideas from workshop 5 One Stops
• 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
• 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.)
• Change stationery and letter for RO (currently
  its on UI stationery)
• Phone-hold script should provide ES information
• Scheduling for RO should be through PROs system
  already acted upon
• Idea from workshop 6 organization and culture
• Potential quick win assess informal mentoring
  feedback loop is it working?
• Ideas from workshop 7 management information
• Possible medium term win Add a customer service
  survey into existing phone / Internet systems
• Possible quick win Purchase new ODBC driver(s) -
  will automate MI collection in RCCs

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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.

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Policy and Procedure Impacts Overall

• Review time allotted for customer to Division
  interaction (general correspondence, fact finding
  notification, etc)
• Current time allotted assumes that correspondence
  occurs via the US postal service
• Review claimant access restrictions
• Should claimants using a non-New Jersey telephone
  number or cellular phones be prevented from
  accessing the system?
• Review consistency of claimant treatment
• 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
• 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)
• 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

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Policy and Procedure Impacts Triage, Intake and
Adjudication

• 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
• E.g., rotating staff between UI and ES to
  encourage cross-training
• Develop workload balancing procedures
• Electronic filing of mass layoffs
• Provision of claimant data (name, SSN, address)
  by separating employer in case of mass layoff
• Automated non-charging
• 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
• 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)

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Policy and Procedure Impacts Continued Claims,
Self-help

• Preventing payment control via system checks
• 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
• 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

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Policy and Procedure Impacts Appeals

• Appeal filing
• Develop policies to support phone filing of
  appeals
• Reviewing determination post-appeal
• Enforce existing policy re-determinations must
  be made before beginning appeals process
• Board of Review decision and precedent case book
  simplification and updating
• 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)

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Policy and Procedure Impacts Preventing
Overpayments, Collections

• Fraud disqualification
• Extend fraud disqualification policy to encompass
  preventative cross-check activities
• Jurisdictional issues between appellate bodies
  and Division of UI
• Confirm jurisdictional boundaries between AT/BoR
  and UI
• To what extent does the AT and BoRs impartiality
  prevent these bodies from assuming the functional
  activities of the Division?
• 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

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APPENDIX G CROSSWALK WITH RFP REQUIREMENTS
Cross-referenced table that demonstrates
compliance of the report with the RFP requirements
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The RFP Requirements for This Deliverable

• UI Modernization RFP Requirements
• 3.2.3.2 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).

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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.
• Provide a detailed description of the
  reengineered processes and workflow
• 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.
• 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.
• Analyze current processes to develop reengineered
  business processes, workflow, and interfaces
• Methods to include document reviews, interviews,
  process observation, collaborative group
  discussion
• 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.
• Documentation should support next task of
  defining clear projects for the Strategic Plan

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(No Transcript)
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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.
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Mapping the Business Characteristics
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Mapping the Business Characteristics (Cont.)
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Mapping the Business Characteristics (Cont.)
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APPENDIX I CROSS-WALK WITH PARALLEL INITIATIVES
The States RFP calls for a cross-check of
parallel initiatives with the Business Process
Conceptual Design. Attached here.
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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
• Which initiatives from our December 2002 review
  are still ongoing
• Whether each initiative fits with the general
  direction of the Business Process Conceptual
  Design
• Any actions or explanations required.
• Any ongoing initiatives will be reviewed for fit
  during the Technical Architecture and Strategic
  Plan phases also.

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Crosswalk With Parallel Initiatives
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Crosswalk With Parallel Initiatives (Cont.)