ICRC

Housing Complaints

Kaizen Report Out

“Raising the Roof”

June 2-6, 2008

Why did we do this?

2

Ralph Rosenberg

Director

Iowa Civil Rights Commission

The “Raising the Roof” Team

3

Team leader Mike Rohlf, DOM

Sub-team leader Don Grove, ICRC

Consultant Jim Scott, TBM

Members Mary Cowdrey, ICRC

Dawn Peterson, ICRC

Diana Sisler, ICRC

Lee Hill, DOM

Tiffanie Drayton, ICRC

Edie Bogaczyk, ICRC

Ralph Rosenberg, ICRC

Teresa Baustian, Attorney General

Team Members Ralph Rosenberg

4

Scope Ralph Rosenberg

This event will address the case processing

of housing complaints from intake to

resolution (closure or recommended

probable cause).

5

Goals ??

Increase percentage of cases resolved in less than 100 days from 50% to 80%.

Increase the number of complaints filed statewide from 10 a month to 12.

Increase testing by 50%.

Increase settlement rate from 33% to 50%.

Increase the probable cause rate from 3% to 5%.

6

Objectives Ralph Rosenberg

Improve the process to create greater justice.

Be the best forum for processing housing

complaints.

Address more housing complaints.

Do more testing.

Increase the effectiveness of the

investigations.

Create a standard method of investigations.

7

Kaizen Methodology Mike Rohlf

Clear objectives

Team process

Tight focus on time

Quick & simple

Necessary resources immediately available

Immediate results (new process functioning by

end of week)

5S “mindset”, use the steps to support the event

activities

8

Current Process Mary Cowdrey??

9

ICRC Current Housing Complaints Process

Adm

in p

rocess

ALJ

Investigation team

Attorn

ey G

enera

l O

ffic

eR

espondent

Docketing p

rocessor

“Gra

nd”

Superv

isor

Docketing

Housin

g C

om

mitte

eIn

vestigato

rA

gency Inta

ke s

taff

Agrieved m

em

ber

of th

e p

ublic

Call

Potential

complaintant

receives call

Receive callSpanish

speaking?

Determine

Jursdiction

Interviews

Timely/Juris/Basis

Housing

Assign investigatorApplicability of

ICRA?

If Applicable- refer

Receives potential

complaint

Call Potential

complaintant

Summarize

Interview

Pass off to

housing team

Team receives Set up meetingRev intake

complaints

Proceed to

formal

complaint?

Refer if we canCall potential

complainant

Call complainant

and gather

additional facts

Complaintant

receives phone

call

To file a formal

complaint?

Inform investigator

to go forward

Morgue

Investigator

informs supervisor

of no go

Receives

permission to go

forward

Draft complaint

narrative

Verify respondent

information

Send to supervisor

with intake for

review

Supervisor reviews

draft

Supervisor reviews

and makes

corrections

Sends to

investigator

Receives

supervisor

corrections with

input

Yes

NO

NO

YES

YES

NO

NO

YES

Supervisor reviews

no go

Further agency

action?

DEAD file

NO

Investigate

(Testing)

YES

Create a file on

TEAPOTS

HUD

coverage?

Send blank comp

form

Create complaint

form

Generate cover

letter authorization

comp form return

envelope sent to

complainant

Make hard copy

for file

Give copy of

complaint to intake

staff

Hand over case to

supervisor

Yes

NO

Comp receives

blank copy

Comp receives

formsmorgueSign and send

Copy back to

intake

Receive signed

copy

NO

YE

S

Supervisor

receives records

Receives copy

No return past

15 days call

Call/write

complainant

Sign and send?

morgue

YES

NO Copy back

Receive copy Jurisdictional

reviewUpdate CMS Send to Docketing

Docketing receives sort Housing?Assign to

processor

Docketing

processor receivesAssign a number

Generates

electronic filing

system separate

Generate form

letter

Generate

complete

packages for all

parties

Send completed

packages certified

to pri Complainant

and respondant

Send supervisor

file

Complainant

receives

Respondent

receives

Supervisor gets

file

Delegate

mediation?

Investigator

attempts

investigation

Communicate

terms to

respondent

Mediator drafts

settlement

agreement

Settlement

agreement signed

by all parties

Respondent

receives termsAccept?

Respondent

accepts terms and

notifies mediator

Mediation failure

YE

S

NO

Supervisor Is

notified mediation

failed and gets file

back

Assign investigator

Investigator

receives file

Investigator

reviews file

Outside

requested info?

Request

information

Call complainant Interview prep

YE

S

NO

Complainant

receives call

Interview

complainant

Summarize and

transcribe Corroborate cpt

now?

Set up interview

with W

Reviewing files

and onsite, take

pics, contact

docorts

Summarize and

put in TEAPOTS

yes

Set up interview

with Respondent

NO

Select ind W

Police reports,

medical records

Rev case w/ sup Write up I & C

Supervisor

discusses case w/

investigator

Learning to PC

Consult with

Attorney General

YE

S

NO

AG receives call

Review file in

TEAPOTS as time

permits

Attend meeting

with supervisor

and INV

Have meeting with

sup, INV, AG

Anything else

to get?Supervisor agrees

Supervisor

receivesSupervisor reviews

NO

YES

NO

Write it upSend to supervisor

for QCInvestigator

receivesPeer review

Supervisor sends

comments back

Is additional

information

needed?

Investigator

receives

Peer review

receives write upHave meeting

Make necessary

corrections

YES

Put information

into TEAPOTS

Put binder

togetherGive to Supervisor

Supervisor

receives binder

ALJ receives ALJ reviews ALJ writes order Enter data CMS

Email order to

Supervisor and

Investigator

ALJ prints and

signs order

Gives file to the

Supervisor

Supervisor

receives order

Investigator

receives order

Supervisor

receives file

Supervisor closes

file on TEAPOTS

Supervisor

updates CMSGives file to Diana

Lists instructions

to close

Diana receives fileRead instructions

and edits

Generate letters in

CMS and make

edits

Generate copies of

letters for all

parties and HUD

Send to HUD via

email

Email to

Supervisor

HUD receives /100

day stops

END

Supervisor

receives email

Generate FIR/

Theories

Determination/

Conciliation

Brainstorming Mary Cowdrey or Teresa Baustian

Team meetings-modify

Investigative planning

Empower staff to relieve supervisor

Reduce “waste” of decisions not to file

Time limits

Template

Time savings

Shared information

10

New Process ??

11

ICRC Future Housing Complaints Process

Respondent

Attorn

ey G

enera

l O

ffic

eA

LJ

Investigation/H

ousin

g T

eam

Docketing/A

dm

in S

upport

Gra

nd S

uperv

isor

Investigato

rA

gency Inta

ke s

taff

Agrieved m

em

ber

of th

e p

ublic

Call

Potential

complaintant

receives call

Receive callSpanish

speaking?

Determine

Jursdiction

Interviews

Timely/Juris/Basis

Housing

Assign investigatorApplicability of

ICRA?

Refer if applicable

Receives potential

complaintCall Complainant Conduct Interview Chart Interview

Receive draft and

chart for review

Receives

comments

Create file in

TEAPOTS

Send forms to

complainant

Yes

NO

YES

Comments back

within 24 hours

Complainant

Receives Copy

Respondent

Receives copy

Docket/Receives

Hard copy file and

send to Sup

Communicate

terms to

respondent

Mediator drafts

settlement

agreement

Settlement

agreement signed

by all parties

Respondent

receives termsAccept?

Respondent

accepts terms and

notifies mediator

Mediation failure

YE

S

NO

Supervisor Is

notified mediation

failed and gets file

back

Assign investigator

Investigator

receives file

Investigator

reviews file

Outside

requested info?

Request

information

File go

forward?Intake Interview

Draft Complaint

Send electronic

draft/chart to

Housing Team and

Supervisor

Morgue

HUD

Coverage?

Verify respondent

info

Send blank

complaint form

Receives Blank

Complaint form

Receives Draft/

Complaint for

Review

Comments back in

24 hours

Generate Cover

Letter and

Investigate

complaint

Complainant

receives forms

Sign and

Send?Sends forms back

Send hard copy to

Intake

Intake receives

Hard copy

Receives formsUpdate CMS/Send

to JR Docketing

Sends file to

Docketing

Docketing

ReceivesSort Assign to process Assign CP #

Generate

electronic file

Generate form

letters

Complete whole

packageCopy/Send

Certified Mail

Supervisor

receives file

Mediate/

Delegate?

Investigator

attempts to

mediate

Attempts to

Mediate

Receives call for

mediation

Complaintant

wants to

mediate?

Informs Supervisor

of ‘No’

Formulate

Demands

Use modified

sheet

YE

S

Formulate IPGive plan to

Supervisor

Supervisor

receives plan

Supervisor reviews

plan

Supervisor gives

plan back to

Investigator

Investigator

receives planCall complainant

Complainant

receives call

Interview prep Conduct interview Chart interview Revise IP?

Revise plan

Proceed according

to plan

YE

S

NO

Interview

respondant

Collect

documentation

On site visit

Chart interviews

and put in teapotsRevise IP?

Revise plan

Proceed according

to plan

NO

YE

S

Interview witnessChart with

interview

Review file with

supervisor

Review with

investigatorLeaning to PC?

Consult with AG

AG receives call

Ag reviews file in

teapots as time

permits

AG attends meetin

with sup and inv.

AG, Sup, Inv

meeting

Anything else

to get?Sup agrees

Write up of F & C Give F & C to Sup

Sup receives F&C

Give PC F & C to

AG

NO

AG receives F&C AG reviews F&CAG gives

recommendation

ALJ receives

recommendation

Sup reviews F&C Agree?

Sup reviews &

edits

Receive

supervisor edits

Email out for peer

review

TEAM receives

email and

commentary

ALJ reviews Enter data CMSALJ writes orderALJ prints and

signs order

Email order to

Supervisor and

Investigator

Gives file to the

Supervisor

Supervisor

receives order

Investigator

receives order

Supervisor

receives file

Supervisor closes

file on TEAPOTS

Supervisor

updates CMS

Lists instructions

to close

Gives file to

DIANA

Generate copies of

letters for all

parties and HUD

Send to HUD via

email

Generate letters in

CMS and make

edits

Email to

Supervisor

Read instructions

and editsDiana receives file

HUD receives /100

day stops

END

Supervisor

receives email

Results ??

Current Process New Process % of Change

# of Steps 141 122 13%

# of Hand offs 47 38 19%

# of Decisions 18 14 23%

# of Value Added Steps 4 4 0

# of Delays 19 16 16%

Delays best case 18 days 13 days 28%

Delays worst case 263 days 193 days 27%

Lead time-best case 132.3 hours 55 hours 58%

Lead time-worst case 741 hours 642 hours 13% 12

Item Item Description Person

Responsible Due Date

1 Morgue letter-copy email Tiffanie 6/13

2 Understand what the AG office

needs in a case Teresa/Don 8/15

3 Plan for training new

investigators Don 9/15

4 Modifications to the docketing

letter (8.5 x 11, staples, etc. Dawn 6/13

5 Add “in conclusion” paragraph-

talk about in team meeting Don 6/13

6 SOP checklist for draft complaint Edie

Homework ??

13

Homework

Item Item Description Person

Responsible Due Date

7 SOP--Eliminate peer review Edie

8 Checklist for sending hard copy to

intake Edie

9 Draft letter for educational component Edie/Don

10 Give Mary access to TEAPOTS Don 6/5

11

Written IP (D &C, RTR, Notice/Eviction,

Harrassment, R & D, FTA/M, Send IP to

super for review/approval,

share on SN-sub folders in Housing

“plans”

Don 6/5

12 Communicate no PR mtg 14

Item Item Description Person

Responsible Due Date

13 Send FNC to super for

review/approval

14

Once approved, send to team

requesting review/comments

within 24 hours

15 Add to checklist

16 Communicate to rest of ICRC TEAM 6/18

17

18

15

Homework

Team Member’s Experience Lee Hill

Teresa Baustian

16

Comments: Mike Rohlf,

Lean Enterprise Administrator

17

We welcome your

questions and comments!

18