The document outlines the importance of standardized workflows in agency management, emphasizing their role in measuring workloads, enhancing employee performance, and reducing exposure to errors and omissions. It provides guidance on creating, distributing, and auditing these workflows, highlighting the need for staff involvement and management support throughout the process. Additionally, it discusses methods for auditing workflows to ensure compliance and areas for improvement within the agency's operations.

2. Jason Hoeppner B. H. Burke & Co., Inc. Building Agency Workflows

3. Standardized agency workflows provide the means to measure not only workload but also employee performance. In addition, workflows that document client activity and your staff’s actions reduce exposure to E&O and better utilize your agency’s automation tools. Introduction

4. To understand the reasons why workflows are needed. To learn how workflows provide metrics to measure client, company, and service staff. To identify what elements should be included in written workflows. Learning Objectives (Page 3)

5. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Building Agency Workflows AGENDA (Page 3)

6. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Building Agency Workflows AGENDA

7. Written, standardized workflows that detail each step in your agency’s procedures and how to complete these procedures in your management system… eliminate assumptions; ensure uniform and consistent system use; and minimize E&O exposure The Importance of Workflows (Page 5)

8. When expectations are understood by all your staff… When everyone has had a chance to contribute and to “buy in”… When you start to use your systems more fully… You can do more for less and focus on the most important tasks of the agency – client service and relationship building! The Importance of Workflows (Page 5)

9. Essential Workflows: Accounting New Business Renewals / Rewrites Endorsements Cancellations Audits (CL) Certificates & Proofs of Insurance Claims The Importance of Workflows (Pages 5-6)

10. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Building Agency Workflows AGENDA

11. Focus What is the “Big Picture”? Top-down, business view Buy-In Management support Set the expectations (and example!) Staff Involvement Everyone involved in the process Cross-departmental involvement Where Do We Begin? (Page 6)

12. Structure Overview Great for reference, refresher training, experienced users. Step by step Ideal for new users, initial training, infrequent procedures. Both parts are critical to good workflows . Where Do We Begin? (Page 7)

13. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Building Agency Workflows AGENDA

14. Plan of Attack What approach? Where will we start? Create a Committee Who? All those involved in the process. Set Deadlines When! Create Drafts Specific staff members to outline actual steps. Creating Workflows (Page 7)

15. ACORD POWER of Change® Five-step process Focus on the Customer Find the Costs Get the Costs Out Remap the Workflow Ensure Results Creating Workflows Additional Methods (Note: This is not in the handout)

16. Review Drafts Compare, consolidate, and include mgmt. reporting needs, E&O improvements, & better utilization of technology. Add Supporting Functions Update system lists (activities, attachment categories, rejection reasons) & form letters. Provide Training On the new workflows and new system usage. Create Quick View Sheets Data entry examples – and expectations! Creating Workflows (Page 8)

17. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Building Agency Workflows AGENDA

18. Hard Copy Electronic Format Better idea … Password protect & assign the workflow “keeper”. Distributing & Managing Workflows (Page 8)

19. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Building Agency Workflows AGENDA

20. Now how do we get people to follow the new workflows?! Implementation meeting / training This is how we do business (& why!). Audits will be done. Signed acknowledgement Feedback & Review ( Page 10) Monitor usage Implementation (Page 9)

21. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Building Agency Workflows AGENDA

22. Review reports: Close-Day Month-End Importance of Activities What was done And why… as it pertains to the insurance process Suspense items (our electronic brains) Good activities increase your ability to collaborate and provide higher levels of service to our clients. Auditing Workflows (Page 10)

23. The Importance of Workflows Where Do We Begin? How To Create Workflows in Your Agency How Are Workflows Distributed / Managed? Implementation Auditing Workflows Summary

24. Jason Hoeppner, CIC B. H. Burke & Co., Inc. [email_address] (860) 399-8288 http://twitter.com/JasonHoeppner http://www.linkedin.com/in/JasonHoeppner http://www.facebook.com/JasonHoeppner

25. ASCnet can be reached at: [email_address] 407-869-0404 www.ASCnet.org Facebook www.facebook.com/pages/ASCnet Twitter www.twitter.com/ascnet

26. Principal Partner Platinum Partners 2011 Benefit Partners

27. Gold Partner Silver Partners 2011 Benefit Partners

28. Bronze Partner Gold Partner 2011 Benefit Partners

29. Jason Hoeppner B. H. Burke & Co., Inc. How To Audit for Compliance

30. Once workflows are created, it is absolutely critical to ensure that they are being followed properly. Auditing, utilizing TAM reports/searches, and client reviews will give you the “evidence” to check for workflow compliance. Introduction

31. To understand the reasons why audits are necessary elements to workflows. To learn how & when audits should be conducted and by whom. To become familiar with using TAM reports/searches to conduct audits. Learning Objectives (Page 3)

32. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes How To Audit for Compliance AGENDA (Page 3)

33. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes How To Audit for Compliance AGENDA

34. Auditing verifies that the actions taken during the selling and servicing of insurance have been properly documented. It serves as a quality-control check. Auditing: Helps reduce E&O exposure Teaches consistency Reveals areas for improvement Auditing Your Workflows (Page 4)

35. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes How To Audit for Compliance AGENDA

36. Expectations had to have been set & understood by all staff (see workflows). Wait at least six months from workflow implementation before starting the first official audits  Notify everyone of the date that audits will start! Audits – What To Consider?? (Page 4)

37. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes How To Audit for Compliance AGENDA

38. Managers audit employees Employees audit employees Third-party audits employees Suggested Methods for Auditing (Page 5)

39. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes How To Audit for Compliance AGENDA

40. Auditor should choose which accounts will be audited. No advance warning! Select three to five accounts with a good amount of activity to ensure a worthy audit. (E.g., recently renewed) What To Audit (Page 6)

41. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes How To Audit for Compliance AGENDA

42. Three levels of audits Quality of Agency Management System Data Compliance with Workflows Proper Insurance Coverage Provided How, When, Why (Page 6)

43. Use an audit form (checklist). Review findings with the staff member(s) involved in the audited processes. Results become a part of the employee’s performance evaluation. Re-evaluate in six months. How, When, Why (Page 7)

44. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes How To Audit for Compliance AGENDA

45. Activity Reports Auditing a specific customer: Set the criteria code under “Clients”. Set the date range. Leave the operator/CSR open to all. Auditing a specific workflow: Set the report to the specified activity codes. TAM Reports for Audit Purposes (Page 8)

46. Exceptions Report Shows what is not being followed up in a timely manner and by whom. Transactions / Production Report Looks at transaction types, ICO/BCO, & commission percentages Search Customers Policies Current & Applications TAM Reports for Audit Purposes (Page 9)

47. Auditing your workflows Audits – What to consider?? Suggested methods for auditing What to Audit??? How, when, why TAM reports for audit purposes Summary

48. Jason Hoeppner, CIC B. H. Burke & Co., Inc. [email_address] (860) 399-8288 http://twitter.com/JasonHoeppner http://www.linkedin.com/in/JasonHoeppner http://www.facebook.com/JasonHoeppner

49. ASCnet can be reached at: [email_address] 407-869-0404 www.ASCnet.org Facebook www.facebook.com/pages/ASCnet Twitter www.twitter.com/ascnet

50. Principal Partner Platinum Partners 2011 Benefit Partners

51. Gold Partner Silver Partners 2011 Benefit Partners

52. Bronze Partner Gold Partner 2011 Benefit Partners