The Virtual Caseload
Activity-Based Caseload
Management
Steps to Success
Step-by-step Agenda
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4.
Discuss the Virtual Caseload (activitybased) approach
Discuss some working Virtual
Caseload models
Tips on getting started and making
decisions
Discuss best practices and potential
implementation issues
NYS OTDA Audit & Quality Improvement
The Caseload Environment
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1980
2010
ADC/Food Stamps/Medical Assistance
No work requirements
TANF/SNAP/MA
Work and other requirements
Economy with inflation
Slowing economy with deflation
Stable caseloads
Increasing caseloads
Clients access programs through the
agency door
Clients have many doors to programs
Full service customer support
Automated self-service environment
Flexible staffing
Inability to fill vacancies
High tech is a dummy terminal ,
microfiche and a typewriter
Word-processing, imaging, electronic
applications, email, web pages
Caseload size per worker around 250
Caseload size per worker: 700 to
1200+
NYS OTDA Audit & Quality Improvement
Stressful Working Environment
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You concentrate on doing too many things well at the same
time
You lean on your best workers
Supervisors take on caseloads
There is rogue shortening
Seven workers and seven different ways to process a case
Manually (or through disparate systems) monitoring, tracking
and managing: waiting room traffic and activities, day-to-day
issues and managing telephone calls with no call center
Generating reports and performance measures from a variety
of technologies and unstructured data sources
NYS OTDA Audit & Quality Improvement
Traditional vs. Virtual Caseload
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One Person Multi-tasking
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One worker is entirely
responsible for a subset of the
agency’s caseload
May be based on case type:
SNAP/MA/Cash or a category
such as New Application or
Recertification
The focus is completing and
managing the entire eligibility
process
Find and fix problems after
eligibility determination or
authorization
Team-based Approach
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No one worker is entirely or
permanently responsible for
any one case
The worker focus is on
completing one or more
eligibility activities associated
with the case and not
managing the workflow, paper
or records
The caseload is managed by
carefully constructing a
workflow that optimizes
people, workflow, technology
and workspace
Find and fix problems as the
case moves through the
eligibility workflow
NYS OTDA Audit & Quality Improvement
Diagram of the Concepts
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Examples
SNAP (Supplemental Nutrition
Assistance Program)
Processes
Structures
Assigned to
Function
executed through
Process: (Traditional)
•
New application
Eligibility
Process
involves several
Activities:
1.
2.
3.
4.
Prescreening
Verification
Applicant interview
Eligibility determination &
authorization
Eligibility
Activities
divided into several
Tasks:
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Fill-out document request form
Validate marital status
Budget income
Case authorization
Input payment lines
Tasks
Organizational Unit
The Team Approach to the Activity-based
System of Caseload Management
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Reduces Complexity: The “Work” is logically and efficiently
arranged in units of activities or tasks
Efficient: The streamlined “Work” improves organizational
capacity and communication while requiring less processing time
and effort
Optimum Workflow: The “Work” is efficiently organized and
automatically routed
Accountable: The “Work” and critical issues are monitored and
built-in checkpoints throughout the workflow for real time
solutions
…
Uniform: The “Work” is adaptable and responsive
…
Equitable: The “Work” promotes equitable allocation of work
NYS OTDA Audit & Quality Improvement
There is no One Correct way to
Deploy a Virtual Caseload
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Each locality has its own
organizational vision, shared
understanding, distinctive
approaches and unique workspace
… Financial/non-financial strategic
initiatives, priorities and constraints
…
NYS OTDA Audit & Quality Improvement
NY’s Task-based Approach
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Onondaga, Suffolk and Jefferson Counties
… Onondaga County: Case Maintenance
… Jefferson and Suffolk Counties: Waiting room
and New Applications
… Uses a system to electronically assign a
specific task (interview, change address, drop
off documents) or activity (recertification case
processing)
…
NYS OTDA Audit & Quality Improvement
Florida’s ACCESS Model
Components
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Web Application (Information, Screening, and
automated customer support)
Call Centers with automated telephone support
Telephone Interview Centers
Customer Service Centers
Case Maintenance Centers
Back-end case processing center for document
collection, new applications and re-certifications
NYS OTDA Audit & Quality Improvement
Florida’s Key Roles
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Web application: Screening, information, and automated support for
clients and workers
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Reception area greeter: Triage
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Intake specialist: Requests and collects required documents
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Interview Clerk: Conducts interview
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Case processor: Makes eligibility determination, budget and authorizes
case
Supervisor: Monitors and helps staff complete work – does not review
completed cases
Quality Assurance Unit auditors ongoing monitoring
†
Reader – Reviews completed cases for timeliness, payment accuracy and
completeness
†
Validator – Examines Reader’s reviews for quality and accuracy
NYS OTDA Audit & Quality Improvement
Agency Activity-based
Roles and Needs
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MyBenefits
Greeter
Eligibility worker
window
Screening & Verification
Applicant Interview
I-EDR/Imaging
Supervisory Review
Case Processing
WIP Storage
Telephone coverage
Case Maintenance
MyWorkspace
What will change in the Agency?
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Workspace: “Right sizing” and redesign to lead to a better “fit” between
workspace and users’ activities
Case records: Uniform so anyone can pick-up a case record and
immediately know how to find information or complete an activity
Eligibility processes: Support teamwork and client self-service
Organizational communication: provides the strategic support to define
the present status and future possibilities
Eligibility workflow and critical issues: streamlined, electronically
managed and tracked for optimum organizational performance
complementing new technologies
Technical solution: to assign, route, monitor and report on issues, the
work, documentation and accomplishments
NYS OTDA Audit & Quality Improvement
Steps to Success
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Management support and Communication
First, take a serious look at your current eligibility process
† Original intention versus current need: Is there a disconnect?
† Redundant or non-value-added activities?
† Is the right person doing the job?
† Could a manual process be automated?
Develop and implement an action plan
Developing measureable outcomes to evaluate project
effectiveness
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Do formative, implementation and summary evaluations
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Follow-up: Institutionalize the new methods of doing business
NYS OTDA Audit & Quality Improvement
Some Specific Places
to Look
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‰
Here are where/when errors can occur the most:
1.
2.
3.
4.
5.
6.
‰
Transfer of documents or notes
Manual activities and computations
Transfer/input of information or a request
Areas of responsibility change
When delays occur (some delays may be required: NOMI)
Rogue shortening of the activity or process
Be Aware of where/when waste occurs most:
1.
2.
3.
4.
5.
6.
Waiting time
Re-Work and unnecessary steps
Motion and transportation between activity steps
Activities done manually
Inventory of work-in-process not being worked on
Wrong person doing the job
NYS OTDA Audit & Quality Improvement
To think through a problem
or issue methodically
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To find or evaluate potential solutions identify, gather and analyze data
from these seven key areas:
1.
2.
3.
4.
5.
6.
7.
The physical workspace
The Workflow
Your policy and procedures
Overlapping lines of business (TA, SNAP, MA)
Training and professional development
Resources: staff, funding and equipment
Technical/system support
How might the workspace contribute to the problem?
How might? How might we use the workspace to reduce application time?
NYS OTDA Audit & Quality Improvement
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Potential Implementation Issues
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Ignoring the role the workspace environment plays
Not spending enough time on planning, evaluating and
getting your community ready for the changes
†
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Not adequately training for peer reviews and other new
methods
Not knowing where your errors and “rework” occur the
most
Focusing on the crisis of the day or problem employees
†
Not addressing staff weaknesses and poor performance
issues
NYS OTDA Audit & Quality Improvement
Best Practices and Considerations
Process, People then Technology
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Use data, shared understanding and consensus
to develop responsive and predictable
organizational solutions
Have a process in place to evaluate the
proposals, development, implementation and
follow-up
Develop measures for each activity or task and
modify worker performance evaluation standards
to reflect current goals and expectations
NYS OTDA Audit & Quality Improvement
Best Practices Continued
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Have eligibility workers focus on completing
activities and not managing the process,
case records, paper or emergencies
… Have the workflow route the activity timely
and ready for the worker
… Encourage self-service and community
partnerships
… Develop training and scripts to reinforce your
new methods
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NYS OTDA Audit & Quality Improvement
Technical Support Features
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System generated assignments, routing and feedback to
support your “real time” work and future goals
Development and tracking of critical issues such as lost
documents
A smart calendar to view and manage activities, staff
and client interviews
Use technology for onsite imaging, an electronic WIP
library and bar coding
Electronic collaboration features to keep staff skilled and
up to date
NYS OTDA Audit & Quality Improvement
The Balanced Scorecard
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NYS OTDA Audit & Quality Improvement
Balanced Scorecard
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Mission: Food assistance and nutrition education to assist participants as they
move to a healthier lifestyle and self sufficiency
Financial
Employee
Learning
and Growth
Internal Processes
Customer
Provide up-todate collection
of programs
and services
Determine
customer
needs
Enhance
customer
experience and
public trust
Provide
programs and
services
Streamline key
internal
processes
Utilize technology
to enhance
customer
experience
Attract and develop
a workforce to
carry out our
mission
Use assets
responsibly
Improve internal
communications
Optimize
opportunities for
a high quality of
work life
Improve
efficiency
NYS OTDA Audit & Quality Improvement
Virtual Caseload Summary
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A Virtual Caseload is one way to streamline your
eligibility operations, promote equitable allocation of
work, and improve organizational capacity,
communication and performance
Instead of one worker processing an entire case, a
logically organized team of workers completes the
eligibility work through assigned activities/tasks
The work has built-in checkpoints throughout the
workflow so errors are corrected before
authorization, thus reducing rework
NYS OTDA Audit & Quality Improvement
Thank you for your participation!
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If you would like more information about modernizing
caseload management, contact
Michelle Parlej
FS Corrective Action Project Manager
[email protected]
(518) 474-3872
NYS OTDA Audit & Quality Improvement