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Slide #1Slide #1©2007 Nan McKay & Associates
Teri Robertson
Workflow Analysis
©2006 Nan McKay & Associates
Slide #2Slide #2©2007 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?
Slide #3Slide #3©2007 Nan McKay & Associates
PURPOSE OF CONDUCTING WORKFLOW ANALYSIS
Determine how my agency can operate• More effectively
How can we better ensure we meet HUD requirements?
Slide #4Slide #4©2007 Nan McKay & Associates
PURPOSE OF CONDUCTING WORKFLOW ANALYSIS
Determine what organizational structure / job assignments would work better for our PHA• Specialist model?• Generalist model?• Supervisor/worker ratio?
Slide #5Slide #5©2007 Nan McKay & Associates
PURPOSE OF CONDUCTING WORKFLOW ANALYSIS
Determine how to distribute assignments• Should supervisors also be responsible for
primary Quality Control activities in our PHA? Perform regular reviews?Perform SEMAP reviews?
Slide #6Slide #6©2007 Nan McKay & Associates
PURPOSE OF CONDUCTING WORKFLOW ANALYSIS
Where are we ‘out of step’ with requirements? Where are we doing great?
Slide #7Slide #7©2007 Nan McKay & Associates
PURPOSE OF CONDUCTING WORKFLOW ANALYSIS
How can we do better in meeting the needs of our clients, fulfilling HUD requirements, and keep our overall operation as simple as possible?
Slide #8Slide #8©2007 Nan McKay & Associates
COMPONENTS OF A WORKFLOW ANALYSIS
1. Report Review2. Policy Review3. Document/Forms Review4. File Review5. Interviews with Key Staff6. Following Workflow (job shadowing)
Slide #9Slide #9©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW REPORTS
1. Report Review - Purpose Assess existing and past performance
issues Understand current / recent weaknesses
Slide #10Slide #10©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW REPORTS
1. Report Review – Documents to review RIM Reviews SEMAP Any independent auditor reports Internal QC reports PIC discrepancy reports
Slide #11Slide #11©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW 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
Slide #12Slide #12©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW REPORTS
1. Report Review – Pitfalls Discounting report findings Putting too much weight on report findings Only noting surface issues
• Look ‘beneath’ the issues• Note trends
Slide #13Slide #13©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
2. Policy Review – Purpose Fresh eye approach Is appropriate guidance given to staff in key
areas?
Slide #14Slide #14©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
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
Slide #15Slide #15©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
2. Policy Review – How is this workflow analysis?
Can identify problems• Holes in policy• Inconsistencies• Conflicting guidance
Slide #16Slide #16©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
2. Policy Review – How is this workflow analysis? Annualizing earnings
Individual conducting analysis needs to be current on what policy is for file review
Slide #17Slide #17©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
2. Policy Review Annualizing earnings Medical expenses Child care
Identify log jams for staff in processing paperwork
Slide #18Slide #18©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
2. Policy Review Annualizing earnings Verification requirements
Is policy consistent? Does it support staff efforts? Is it clear and logical?
Slide #19Slide #19©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
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?
Slide #20Slide #20©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
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)
Slide #21Slide #21©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – REVIEW POLICY
2. Policy Review –
Keep alert, constantly analyzing, assessing, comparing
Slide #22Slide #22©2007 Nan McKay & Associates
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?
Slide #23Slide #23©2007 Nan McKay & Associates
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
Slide #24Slide #24©2007 Nan McKay & Associates
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
Slide #25Slide #25©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
4. File Review Approach objectively YOU are HUD, OIG, IA Be brutal!
Slide #26Slide #26©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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
Slide #27Slide #27©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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
Slide #28Slide #28©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #29Slide #29©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #30Slide #30©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
Things to watch for in file reviews Do utility responsibilities match on file
documents? • RTA • Lease • HAPC• Utility Schedule
Slide #31Slide #31©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #32Slide #32©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #33Slide #33©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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)
Slide #34Slide #34©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #35Slide #35©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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
Slide #36Slide #36©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #37Slide #37©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
File Reviews Identify how calculation and verification
policies help or hinder staff
Slide #38Slide #38©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #39Slide #39©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #40Slide #40©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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)____’ ?
Slide #41Slide #41©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #42Slide #42©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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
Slide #43Slide #43©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #44Slide #44©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
Medical expenses• Only declared items require verification• May need to resort to review of documents• Cannot just roll over previous year expenses
Slide #45Slide #45©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
Things to watch for in file reviews Are you requiring local forms that duplicate
HUD forms?• Family obligations form• Release forms
Slide #46Slide #46©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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
Slide #47Slide #47©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
Things to watch for in file reviews Are you unnecessarily requiring documents to
be notarized?• Typically, what is a notary attesting?
Slide #48Slide #48©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
How does staff track / ‘tick’ • Activities• Verification receipt• Deadlines?
Slide #49Slide #49©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – FILE REVIEW
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?
Slide #50Slide #50©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
5. Staff interviews – Purpose Understand staff perception of workflow Identify staff perceived weaknesses and
strengths
Slide #51Slide #51©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Plan aheadA. What process is being analyzed?
Intake? Annual Reexaminations? Inspections?
Slide #52Slide #52©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
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
Slide #53Slide #53©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Plan ahead• If there is a specific area ‘hurting’, may want
to start there• If general analysis, may want to start at the
beginning
Slide #54Slide #54©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Plan aheadB. Determine who will be interviewed
Key players in key positions Not everyone needs to be interviewed Enough employees to get the picture
Slide #55Slide #55©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Plan aheadC. Have tools ready
Understand program requirements Be prepared to establish ground rules Have basic questions prepared How will you document the information?
Slide #56Slide #56©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Plan aheadD. Schedule interviews
Calendar Conduct in a quiet space
• NEUTRAL ground• Allow enough time
Slide #57Slide #57©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
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
Slide #58Slide #58©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
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
Slide #59Slide #59©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
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
Slide #60Slide #60©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Conducting the Interview • Ask questions in an objective, professional,
respectful manner• Listen listen listen• Watch your body language
Non judgmental
Slide #61Slide #61©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Conducting the Interview • Query to ensure you understand• Do not add your opinions
This is about gathering information• Ask questions until you run out!
Slide #62Slide #62©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
Conducting the Interview • Document pertinent information• Make note of unanswered questions
Who else do I need to ask what?
Slide #63Slide #63©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – STAFF INTERVIEWS
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?’
Slide #64Slide #64©2007 Nan McKay & Associates
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
Slide #65Slide #65©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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
Slide #66Slide #66©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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
Slide #67Slide #67©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
6. Job shadowing So, use questions and observe work on files
at a given point in the process
Slide #68Slide #68©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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?
Slide #69Slide #69©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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?
Slide #70Slide #70©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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
Slide #71Slide #71©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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?
Slide #72Slide #72©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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
Slide #73Slide #73©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
6. Job shadowing Ask questions to the point responsibility
passes to another person….then go to that person, if possible
Slide #74Slide #74©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
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
Slide #75Slide #75©2007 Nan McKay & Associates
WORKFLOW ANALYSIS – JOB SHADOWING
Documenting information Word format Put together in ‘anticipated’ format, but easy
to cut and paste to move flow around
Slide #76Slide #76©2007 Nan McKay & Associates
HANDOUT
Slide #77Slide #77©2007 Nan McKay & Associates
HANDOUT
Slide #78Slide #78©2007 Nan McKay & Associates
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
Slide #79Slide #79©2007 Nan McKay & Associates
WORKFLOW ANALYSIS
Workflows are a map of processing steps conducted by various staff
Literally draw maps Visio is a good tool
Slide #80Slide #80©2007 Nan McKay & Associates
WORKFLOW ANALYSIS
Slide #81Slide #81©2007 Nan McKay & Associates
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
Slide #82Slide #82©2007 Nan McKay & Associates
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
Slide #83Slide #83©2007 Nan McKay & Associates
WORKFLOW ANALYSIS
Workflows must address the responsibilities of all disciplines to facilitate optimal program management and functioning
Slide #84Slide #84©2007 Nan McKay & Associates
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
Slide #85Slide #85©2007 Nan McKay & Associates
WORK FLOW – Things to consider
Today, all specialists should have computers, email
Are there enough printers? Fax machines? Is the phone system adequate?
Slide #86Slide #86©2007 Nan McKay & Associates
WORK FLOW – Things to consider
Establish a web-site to provide access to:
• Frequently used forms• Special PHA announcements and bulletins• Frequently asked questions
Slide #87Slide #87©2007 Nan McKay & Associates
WORK FLOW – Things to consider
Use of automated rent reasonableness technology (e.g., Gosection 8)
Take advantage of solutions available in the market
Slide #88Slide #88©2007 Nan McKay & Associates
WORK FLOW – Things to consider
Review the lines of communications between program specialists
If a team approach is used make sure the teams communicate
Slide #89Slide #89©2007 Nan McKay & Associates
WORK FLOW – Things to consider
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?
Slide #90Slide #90©2007 Nan McKay & Associates
WORK FLOW – Things to consider
How does staff track or ‘tick’ • Activities• Verification receipt• Deadlines?
Slide #91Slide #91©2007 Nan McKay & Associates
WORK FLOW – Things to consider
How does management track results? Schedule activities?• Make the best use of available technology• Make your software work for you in generating
reports
Slide #92Slide #92©2007 Nan McKay & Associates
WORK FLOW – Purpose
Workflows are essential for effective program management
Workflows assure all processing requirements are met
Slide #93Slide #93©2007 Nan McKay & Associates
THE REST IS UP TO YOU
Questions and Answers
?
Slide #94Slide #94©2007 Nan McKay & Associates
PICK SIX & SAVE
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