Right time: how to effectively maximise performance against the indicator

This section includes good practice on:

• Introduction
• Improving performance by managing workflows more effectively and efficiently
  • Preventing incomplete claim forms
  • Speed of new claim decision
  • Receipt of claim to scanning and indexing
  • Scanning
  • Indexing
  • Managing documents
  • Gathering information
    • Claims received in person by front line staff
    • General
• Identifying and preventing backlogs
  • Identifying backlogs
  • Preventing backlogs
  • Strategies for clearing backlogs
  • Dividing the work between 'new work' and a 'ring-fenced backlog'
  • Dealing with new work
  • Ring-fenced backlog
  • Allocation of resources
  • Monitoring progress
• Introducing a fast track process for dealing with completed HB/CTB claims
  • Introducing the process
  • People
  • Processes and procedures
  • Publicity and communications
  • Operating the process
  • Use of trial periods and staged roll out
• Using mobile working
• Using electronic claims forms
• Managing changes of circumstances
  • On receipt
  • Targets
  • Customer service
  • Publicity
  • Claim form
  • Procedures
  • Process
  • Validate Management Information System (MIS) returns
  • Training
  • Monitoring and management
  • Staffing
  • Gathering information

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Introduction

Delays in obtaining information and backlogs of work are currently the biggest obstacle to processing claims quickly.

Providing a well designed claim form and educating customers to provide all information to allow their claim to be processed reduces the need to ask for further information. You can find detailed good practice guidance in the design, development and provision of HB/CTB claim forms in Part Three – Claim form design good practice.

Local Authorities (LAs) should ensure that incomplete claims are identified quickly and all the additional information requested. This is to ensure those customers who may have difficulty completing their claim form do not get an inadequate service.

In many cases, further information can be easily and quickly obtained by phoning or visiting the customer. If it is necessary to write out for more information, the letter should be tailored to what is required from that customer. To reduce processing times, LAs should consider initially asking for the information within seven days and, if it is not provided within the specified timescale, reminders should be sent immediately. However, customers must be allowed one calendar month, or such longer period as is reasonable, in which to provide the necessary information/evidence to process the claim.

Given the high volumes of work involved in Housing Benefit (HB) administration, it is essential to have good management information so that workloads can be monitored closely. Good use of the management information in work flow and benefit systems will allow managers to detect problems, such as a build up of a backlog, early on. This allows weaknesses in the procedures to be addressed or resources to be prioritised. Learning from historical data is also a key tool in the organisation of work and resources.

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Improving performance by managing workflows more effectively and efficiently

Preventing incomplete claim forms

Good practice includes:

• placing a strong emphasis on ensuring that all information is collected/requested on initial contact
• setting up a good network of local advice and contact points
• ensuring comprehensive training in Housing Benefit (HB) and Council Tax Benefit (CTB) for customer service staff
• deploying staff with sound HB/CTB knowledge at the first point of contact with the customer
• encouraging staff that receive the initial claim enquiry to gather some basic details from the customer and provide advice on the type of information required (rather that just issuing a standard claim form to all customers that request one).
• providing desk aides and scripts to assist staff
• issuing a flyer with all claim forms that highlights typically missed information that delays decisions on claims
• having procedures to ensure all claims are completed in writing on an approved form
• providing clear guidance and advice to customers to help clarify what evidence they must supply with claims and where they can get additional help
• monitoring the reasons for incorrectly completed forms and considering the redesign of the form/s if necessary, and using the information to help future customers with completed forms
• monitoring why requests for further information have to be made to customers and identify ways of improving the initial supply of information to reduce such requests
• ensuring the claim form(s) meets the relevant requirements as set out in the Department for Work and Pensions (DWP) series of HCTB1 claim forms and the standard application form (Claims guidance - model documents)
• adapting the claim form for different client groups ensuring that relevant requirements are met
• providing the claim form in a range of appropriate languages and helping customers to complete the form
• processing claims immediately when all information needed to decide a claim has been received - see Introducing a fast track process to deal with completed HB/CTB claims.

Speed of new claim decision

Good practice includes:

• actioning a claim within seven days of receipt at the designated office. For further improvement it is good practice to reduce this target over time
• processing claims immediately when all information needed to decide a claim has been received  - see Introducing a fast track process to deal with completed HB/CTB claims
• prioritise and set targets for assessors to take first action on new claims
• monitoring workflows to ensure new claims are looked at within seven days
• ensuring good management information is available so that workloads can be monitored closely
• holding information at team or section level about the volume of work received, work actioned and work outstanding each month, if not more frequently
• monitoring trends and patterns in workloads to prevent and/or manage down backlogs (Identifying and preventing backlogs )
• using data to detect problems early to prevent weaknesses in new claims procedures
• setting targets for each stage of the process and monitoring progress against them
• monitoring requests sent to customers for further information to ensure they were requested promptly and all necessary information was requested
• processing claims immediately when all information needed to decide a claim has been received
• monitoring closely progress made against targets and taking action where they are not met. Where workflows show bottlenecks or delays it is good practice to analyse the reasons for this and take appropriate corrective action
• analysing the trends and reasons for payments on account (POA) to identify why claims cannot be fully decided  upon receipt and taking necessary corrective action
• generating and monitoring a monthly age-analysis report for management identifying POAs that have been in payment for more than four weeks and taking necessary corrective action
• ensuring members of staff have access to clear, concise and up to date written guidance detailing the law relating to HB/CTB and local procedures, including POAs
• monitoring LA decisions following receipt of Rent Officer determinations to ensure decision are made promptly
• monitoring suspended cases to ensure required evidence is received and final decisions are made in all cases
• ensuring that Council Tax/rent accounts are set up as early as possible
• liaising with local Jobcentre Plus (JCP) and the Pension and Disability Carers Service (PDCS) to ensure that data gathering and information exchange is in line with standards set out in the local Service Level Agreement
• using escalation procedures between the local authority and the PDCS and/or JCP as necessary.

Receipt of claim to scanning and indexing

Good practice includes:

• monitoring and identifying any delays in internal courier services by mapping the process
• aiming for courier services to provide a next day delivery service at a minimum
• introducing a scanning and indexing facility at all satellite sites.

Scanning

Good practice includes:

• scanning all incoming post in a maximum of two working days from the date of receipt, including the day on which the post arrives.  Authorities seeking to improve could aim to reduce this time to one day from the date of receipt
• ensuring all staff who receive original documents in support of a claim have access to a ultraviolet scanner and are trained to use it 
• purchasing scanners for all satellite offices
• checking for delays between receipt and scanning and indexing.

Indexing

Good practice includes:

• indexing all incoming post in a maximum of two working days from the date of receipt, including the day on which the post arrives.  Authorities seeking to improve could aim to reduce this time to one day from the date of receipt
• improving the speed and accuracy of indexing documents by:
  • reducing the number of document types as far as possible
  • reviewing and changing document type descriptions to reduce staff confusion
  • using experienced staff to decide the document type to be allocated to all incoming work
  • setting parameters within the system to acknowledge capabilities and address learning needs
• checking for delays between receipt and scanning and indexing.

Managing documents

Good practice includes:

• reducing the amount of documents requiring benefit assessor work by using experienced staff to sift out any documents that do not require processing and scanning directly to customers’ records. This significantly reduces the amount of unnecessary documents entering the document management system and the volume of work assessors need to consider
• ensuring team leaders allocate daily work to benefit assessors to prevent ‘cherry picking’ of the easy to process cases, unless work is allocated through a Document Imaging Processing (DIP) system automatically.

Gathering information

Claims received in person by front line staff

Good practice includes:

• ensuring suitably trained front line staff are in place to review the claim form and verify evidence
• considering giving front line staff access to Customer Information System (CIS) to check available benefit and tax credit information
• ensuring staff only ask customers for information that cannot be obtained directly from a third party. For example, customers should not be asked to provide tenancy details that are already available from LA, Registered Social Landlord (RSL), registered provider (RP) in England, or other Housing Associations
• ensuring front line staff request all further information required to assess the claim
• ensuring further information required from the customer is documented and handed to the customer with a copy retained with the claim form
• allowing front line staff to set diary dates and make appropriate notes for follow up action. This should prevent double handling by assessors
• deciding what follow up action should be and when it should be carried out.  For example, diary dates for:
  • a reminder in seven days
  • a reminder in 14 days
  • an adverse decision after one calendar month
• processing claims immediately when all information needed to decide a claim has been received - see Introducing a fast track process to deal with completed HB/CTB claims.

General

Good practice includes:

• ensuring incomplete claims are identified and all information requested quickly
• ensuring assessors access CIS at the earliest opportunity to check any benefit and tax credit information already available
• ensuring staff only ask customers for information that cannot be obtained directly from a third party. For example, customers should not be asked to provide tenancy details that are already available from LA/RSL/RP or other Housing Associations
• considering issuing forms direct to employer(s) for wage details
• contacting the customer by phone or visit in the first instance
• tailoring request for information/evidence letters to each individual customer
• asking customers to provide information within seven days, ensuring they are aware of the one calendar month rule
• phoning customers supported by a written reminder in a further seven days if there is no response
• monitoring LA decisions following receipt of Rent Officer determinations to ensure decisions are made promptly
• capturing as much relevant data as possible to enable the LA to contact and communicate with customers. This may include:
  • telephone numbers
  • mobile telephone numbers
  • e-mail addresses
  • information to enable the LA to send short message service (SMS) text messages
• monitoring requests sent to customers for further information to ensure the request is sent promptly and all necessary information is requested
• monitoring to ensure that reminders sent to customers advise them of the consequences of failing to reply to requests for information 
• maintaining effective communications with the Rent Officer, using the Electronic Interface System (EIS) for HB referrals and determinations as it provides an economic, effective and error-free method of communicating
• monitoring Rent Officer referrals to ensure they are made within three working days of receiving the claim notification, or as soon as practicable
• reconciling the number of referrals sent to the Rent Officer with the number retuned and the number updated on the HB system
• ensuring that there are clear instructions on the level of verification required by the LA – consider producing desk aides to support this element of the assessors work
• setting diary dates and making appropriate notes for follow up action. 
• deciding what follow up action should be and when it should be carried out. For example, diary dates for:
  • a reminder in seven days
  • a reminder in 14 days
  • an adverse decision after one calendar month
• processing claims immediately when all information needed to decide a claim has been received - see Introducing a fast track process to deal with completed HB/CTB claims.

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Identifying and preventing backlogs

The reasons for the build up of a backlog can be many and varied and could be due to a gradual slippage or a sudden build up of work.

The two main causes of backlogs are:

1. a specific event or combination of events such as the temporary loss, or installation, of an IT system
2. productivity being less than the incoming work over a protracted period of time. This could be due to resource shortages or weaknesses in processes or the control of workflow.

Based on the experience of authorities that have had to deal with backlogs a number of general principles and generic good practices have been identified. However, such principles do not necessarily take into account all the specific local circumstances affecting individual benefits services. They are intended as guidance to inform a backlog clearance strategy rather than as a prescriptive set of rules to be followed and are not comprehensive.

Other techniques and strategies may also be effective in clearing backlogs but the methods described below have been successful for a number of benefits services.

Identifying backlogs

Good practice includes:

• setting a 'trigger' point based on the age of work. This method has the advantage of providing managers with an early warning that work may be slipping into backlog
• identifying causes of backlogs
• anticipating the risk of a backlog being created and forming a strategy for dealing with it before it happens. For example, if an authority faces a planned disruption to the service, such as the installation of a new IT system, its strategy for minimising and dealing with any resulting backlog should form part of the implementation plan
• reviewing processes and identifying where fundamental weaknesses are in the claims process and taking immediate steps to address them. The control of work falls within four main stages:
  • 1. Receipt and 'linking' of documents with claims before passing for assessment
  • 2. Examination of documents
  • 3. Obtaining further information
  • 4. Decision making.
• identifying outstanding work at all the stages of the claims process. For example, the volume and age of outstanding new claims/changes of circumstances that:
  • have been received but first action has not been taken
  • are pending cases
  • are classed as expired pending
  • have all information received to decide the claim
• monitoring this information to help identify delays in the administrative processes and trigger corrective action.

Preventing backlogs

Good practice includes:

• setting time-based targets for each stage in the process to monitor performance and identify where any particular stage is contributing to the creation of a backlog
• linking documents, either electronically or clerically, quickly. In the case of Electronic Document Management System (EDMS) scanning and indexing documents quickly as:
  • documents not scanned and indexed may not be counted in any backlog figures. Therefore managers do not know the true work situation
  • assessors and customer service staff cannot see the documents and may give wrong advice or issue requests for information already held creating unnecessary work
• monitoring the proportion of new claims that require further information and regularly reviewing information that is provided to customers, for example with claim forms and in letters, to help and encourage customers to provide all supporting information with the claim
• reviewing the claim form after consulting key stakeholders, including customers, in order to see whether information given to the public about the claim process can be improved.

Strategies for clearing backlogs

Good practice includes:

• developing a backlog clearance plan that takes into account the:
  • volume and age of the outstanding work
  • types of cases involved
  • anticipated new work over the forward period
  • resources available
• ensuring the plan contains a timetable for clearance with milestone targets and a projected final clearance date that also takes account of the migration of work into and out of pending
• monitoring progress against milestone targets and taking corrective action if the strategy is failing. It is also important to have in place a strategy for dealing with new work coming in that avoids the build up of a second backlog, a common problem faced by some LAs.

Dividing the work between 'new work' and a 'ring-fenced backlog'

Good practice includes:

• identifying outstanding work as either 'new work' or 'backlog'. This involves defining what would be an acceptable 'head' of new work for the benefits service to maintain on an ongoing basis, and categorising any work outside of that definition as backlog
• decreasing the trigger point at which unactioned new work is categorised as backlog. We recommend that the trigger be set at seven days
• considering any local factors that may make seven days unrealistic or not sufficiently challenging. For example, problems during the early stages of the flow of work may be contributing to delays in passing documents to assessment officers. It may therefore be prudent to set the trigger at a greater number of days until those problems are resolved
• conducting some analysis to demonstrate there are sufficient resources to undertake the level of work that is normally received. This could involve measuring the volume of work over a period and estimating average times to clear different work items.

Dealing with new work

Good practice includes:

• focusing on new work so it is not allowed to drift. This will avoid the eventual creation of a second backlog
• dealing with the new work based on age and setting the trigger period at seven days, so that new work has to be actioned by the seventh day
• managing peaks and troughs in work using a 'push' and 'pull' technique that moves the trigger by adding to or reducing the seven days. For example, an LA is processing work by the third day after having fully recovered from a backlog. It then suffers the loss of its IT system for almost two weeks. The response is to 'push out' the trigger to 14 days when the IT system becomes live and gradually 'pull back' the trigger to the third day. By having a trigger point in place managers can also get an early warning of a problem if the number of days is being repeatedly pushed out. Action can then be taken to avoid a new backlog occurring
• identifying in the ring-fenced backlog any documents which relate to the same customer and process them as part of the clearance of new work. For example, a customer reports a new change of circumstance and there is an unactioned change of circumstance in the backlog. This can help by gradually contributing to the reduction of the ring-fenced backlog. Experience has shown that LAs do not have good results where the opposite procedure is followed and related new work is added to the ring-fenced backlog.

Ring-fenced backlog

• understanding what type of work is included in the backlog and to have a strategy for dealing with that work
• identifying and prioritising cases in order to avoid hardship.

Allocation of resources

Good practice includes:

• putting a dedicated resource into clearing the ring-fenced work, where capacity allows, when processing backlogs in house. However, this is not done at the expense of allowing new work to slip into a secondary backlog. One of the advantages of managing new work by age is that it may be possible to plan activity over the coming few days. For example, if a benefits service is always working on documents that came in seven days ago, managers will know what work has to be done over the coming few days. This information can be used to decide what resource is required to deal with the new work, leaving any additional capacity to work on backlog
• considering outsourcing all or part of the ring-fenced work. However, this has only been successful where an LA has negotiated a robust contract and has strong contract management arrangements in place.

Monitoring progress

Good practice includes:

• monitoring progress against key milestones in the Backlog Clearance Plan to ensure the strategy is working
• monitoring the age profile and volume of new work and backlog, along with work that has been placed in pending to ensure that it is actioned promptly. Those LAs with EDMS will be able to do this more easily than those relying on clerical systems
• being mindful of the impact on performance as there may well be an expectation that performance will improve. Experience in this area suggests there will be some deterioration during the recovery period. However, it is possible to filter out the impact of processing times for backlog cases to establish performance on new work. By doing this managers will get greater assurance around the success of the strategy and help motivate performance.

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Introducing a fast track process for dealing with completed HB/CTB claims

A number of LAs have introduced a fast tracking process for claim forms that are fully completed, signed and submitted together with all the necessary evidence to support the claim.

This process is normally available to customers who hand in their claim form, but can be extended to claims submitted by post.

These customers are given a promise that their claim will be processed within a specified period of time. There are no constraints or strict requirements as to what this specified period of time should be or what types of claims should be included and excluded. Some LAs have given a same-day guarantee whilst others operate on a slightly longer timescale. It is for each LA to determine the timescale that suits their particular situation.

The use of such a scheme encourages customers to submit correctly completed claims, together with all supporting evidence, as quickly as possible. This enables LAs to assess claims more quickly and efficiently, reducing both the chances of a backlog occurring and the number of days taken to process claims. Ultimately, it also results in improved levels of customer service.

Introducing the process

As with all change initiatives, the introduction of this new process needs to be carefully planned and controlled. Key planning steps include:

• identifying a suitable, senior person with responsibility for implementing the change
• identifying and consulting all affected stakeholders, such as Jobcentre Plus (JCP) and the Citizens Advice Bureau (CAB)
• benchmarking current performance and agreeing how success, or otherwise, will be measured
• producing a plan that captures all key activities
• securing sufficient resources to undertake the agreed activities
• identifying and managing risks throughout the implementation
• reviewing the implementation and the impact of the new process after an agreed period.

During the implementation process the council needs to ensure the following important activities are considered.

People

Good practice includes:

• ensuring all staff that will be affected are made aware of the new process, when it will be introduced, how it will affect them
• training staff who will operate the process in any new processes/procedures
• making staff aware of any new targets and what they need to do to achieve them.

Processes and procedures

Good practice includes:

• producing documented procedures and supporting material for the new process. For example:
  • desk aides
  • checklists
  • agreement slip
  • evidence receipt slips
  • management information for evaluation purposes
• ensuring new procedures document the priority given to these cases and how they are identified for processing either within clerical or electronic systems.

Publicity and communications

• maximising the use of publicity, so all stakeholders, but especially customers and landlords, are aware of the scheme
• developing a detailed Publicity and Communications plan to outline all the key stakeholders and methods of communication that will be used. Every effort should be made to inform customers and stakeholders and could, for example, include:
  • posters and leaflets distributed in all council properties
  • flyers included in notification letters
  • advertising in the media
  • use of council website
  • inclusion in claim forms, and change of circumstances forms
• monitoring systematically the effectiveness of the publicity so that improvements can be made where necessary.

Operating the process

Good practice includes:

• understanding the impact the process may have on outstanding claims
• identifying claims where all information is already held and process these before introducing the fast track process.

Use of trial periods and staged roll out

Good practice includes considering testing the robustness of any changes planned and the accompanying procedures with the use of limited controlled trials before committing to extensive changes and wide-ranging publicity. For example, introducing a reduced scheme to test the processing of new claims within one day and using limited publicity (a simple poster and/or one page leaflet), an internal procedural note and a brief training session for existing staff.

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Using mobile working

The process of gathering information can be much quicker using mobile working and can improve processing times. Many LAs find that new claims do not contain adequate evidence to verify the customer's entitlement to benefit. Chasing the evidence is time consuming and impacts on the number of days to process a claim. Mobile working can eliminate paper chasing and double-handling. Coupled with changes to business processes it can save resources and improve performance. To take full advantage of the capabilities of the products requires new methods of working.

Good practice includes:

• taking a claim over the phone and advising customers what evidence would be needed before a visit can enable claims to be signed and verified during the visit, speeding up the new claims process
• sending the customer a checklist of what evidence is normally required against particular types of claims, prior to the visit
• using mobile working software at 'road show' surgeries can enable claims to be assessed and processed in real time
• purchasing mobile scanning equipment which allows for 'real time' verification. It can be used on its own or in conjunction with an EDMS
• considering contacting potential customers to offer a home visit instead of sending them paper forms to complete
• considering how employees will verify evidence and subsequently transfer records into an EDMS
• writing to customers prior to any home visit to advise them of the nature and type of evidence the visiting officers will need to see during the visit. This can reduce the duration of each visit and improve chances of being able to conclude the process in a single visit.

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Using electronic claims forms

Good practice includes:

• ensuring the change is publicised to customers and partners before being introduced. For example, using press releases, advising landlord forums, placing articles in LA's publications, on the LA's website, placing posters in main reception areas. Ensuring customers are aware that they can still use traditional methods to claim
• ensuring those customers that are unable to use the electronic version of the form have access to paper versions and processes are in place to deal with both equally
• ensuring you have the necessary agreements in place with your IT system provider to handle any necessary changes to your system and/or form quickly
• ensuring you have risk management in place to deal with system failures
• using electronic claim forms together with follow-up visits which can significantly reduce the time taken to gather information and process claims. See recommended process map below.

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Managing changes of circumstances

There are a range of activities which, combined with the above in a variety of ways, can help achieve good performance in managing changes of circumstances.

On receipt

Good practice includes:

• providing training and written procedural documentation for employees involved in sifting post so that they can identify and prioritise reported changes of circumstance
• sifting for immediate action notifications from investigators advising that a new decision on entitlement is required
• having working practices for benefit assessors that include prioritising for immediate action those notifications that advise a change of circumstance requiring a new decision on continued entitlement to HB or CTB.

Targets

Good practice includes:

• ensuring robust formal target setting is in place
• setting team and/or individual targets

Customer service

Good practice includes:

• setting up a good network of local advice and contact points
• ensuring comprehensive training in HB/CTB for customer service staff
• placing a strong emphasis on ensuring that all information is collected/requested on initial contact
• ensuring the website contains information on changes of circumstances
• placing a change of circumstances form on the website for customer completion
• deploying staff with sound HB/CTB knowledge at the first point of contact with the customer.

Publicity

Good practice includes putting strong emphasis on the need to provide frequent reminders to customers and landlords on the need to report changes of circumstances.

Claim form

Good practice includes:

• including a change of circumstances reminder as part of the declaration on the claim form
• inserting a list of the most popular changes with the claim form
• adding a request for future income changes on the claim form.

Procedures

Good practice includes:

• scanning and indexing documents onto EDMS systems quickly and accurately
• identifying changes in advance (by making full use of diary dating) and contacting the customer with details of full requirements
• sending early reminders to customers and not waiting until the expiry deadline for the customer to provide further evidence
• making comprehensive procedural guidance available to all staff.

Process

Good practice includes ensuring a clear and robust process that supports the processing of changes of circumstances.

Validate Management Information System (MIS) returns

Good practice includes:

• validating changes of circumstances performance measurement data through random checks
• undertaking quality checks that incorporate changes of circumstances notifications, dates and classifications.

Training

Good practice includes:

• ensuring comprehensive training for dealing with changes of circumstances is in place
• making sure members of staff have access to clear, concise  and up-to-date written guidance detailing the law relating to HB/CTB and local procedures, including:
  • extended payments
  • sifting post to identify and prioritise changes of circumstance.

Monitoring and management

Good practice includes:

• ensuring a strong management and organisational structure is in place
• undertaking routine management and monitoring of work
• monitoring 'open' interventions through management information (MI) reports.
• having systems in place to identify those changes of circumstance not actioned before the first payday and having a stepped reduction in the number of such cases
• ensuring members of staff have access to clear, concise and up-to-date written guidance detailing the law relating to HB/CTB and local procedures, including:
  • extended payments
  • POAs
  • sifting post to identify and prioritise changes of circumstances.

Staffing

Good practice includes:

• retaining a knowledgeable and stable workforce
• putting in place contingency plans for peaks of work and absences
• empowering staff to make decisions, for example, whether to use the telephone, send a letter or use a visiting officer to gather further information.

Gathering information

Good practice includes:

• identifying as early as possible, but at the latest within seven days of receipt of the notification of change, the need for information from the customer and third parties such as landlords, with action taken to obtain it.
• putting in place systems to prioritise action of changes of circumstances that lead to a reduction in or ending of benefit to minimise the occurrence of overpayments
• considering suspending claims if benefit entitlement will reduce or end. However, suspending claims can act as a deterrent to customers reporting changes and should be applied on a case by case basis and not applied as a blanket policy
• establishing that telephone calls received reporting changes are genuine by establishing ‘genuine caller’ procedures
• using a standard template for recording the details of the telephone conversation