Unemployment Compensation Project Phase 2

Transcription

1 State of Florida Agency for Workforce Innovation Unemployment Compensation Project Phase 2 To-Be Business Process Short Time Compensation

2 Document Control Revision History Date Version Author 12/18/ Updates after meeting Deniz Franck/Wayne Messina 12/21/ Updated for AWI review meeting Deniz Franck/Wayne Messina 12/22/ Incorporated AWI comments and Wayne Messina changes 12/31/ Updates per QA comments Deniz Franck 01/05/ Updates per AWI review Deniz Franck 01/07/ Updates per initial QA review from Andy Deniz Franck 01/11/ Added linkage to Leasing Company and Deniz Franck Collective Bargaining Agent; also entering notification date 01/12/ Updates per internal review Deniz Franck 01/14/ Final review before submitting document Wayne Messina 02/01/ Approved. Deniz Franck Quality Review History Date Reviewer Comments 12/30/09 Rich Wilson 01/07/10 Andy Loveland 01/12/10 Tad McDonald Page i

3 Table of Contents 0. TO-BE PROCESS SHORT TIME COMPENSATION OVERVIEW ASSUMPTIONS SHORT TIME COMPENSATION (STC) WORKFLOW DIAGRAM TO-BE SUB-PROCESS ENTER STC PLAN APPLICATION OVERVIEW WORKFLOW DIAGRAM ACTIVITIES CORRESPONDENCE PERFORMANCE METRICS BUSINESS RULES TIME CONSTRAINTS TO-BE SUB-PROCESS MAINTAIN EMPLOYEES OVERVIEW WORKFLOW DIAGRAM ACTIVITIES CORRESPONDENCE PERFORMANCE METRICS BUSINESS RULES TIME CONSTRAINTS TO-BE SUB-PROCESS PROCESS EMPLOYEE HOURS OVERVIEW WORKFLOW DIAGRAM ACTIVITIES CORRESPONDENCE PERFORMANCE METRICS BUSINESS RULES TIME CONSTRAINTS Page ii

4 0. TO-BE PROCESS SHORT TIME COMPENSATION 0.1. OVERVIEW The Short Time Compensation (STC) Program is voluntary and designed to help s retain staff during temporary business slowdowns by reducing s weekly hours instead of laying them off. The must complete an STC Plan Application that will be in effect for up to one year. It may be renewed if the s in the plan have returned to full-time work during the plan year. Plan approval is contingent on (a) having at least 10% (but not less than a total of 2) of non-seasonal s working reduced hours and (b) the reduced weekly hours are at least 10% but not greater than 40% of the normal work week. s represented by a union or Collective Bargaining Agent may participate if the Collective Bargaining Agent signs the plan. Workers from Leasing Companies providing services to the may also participate if the Leasing Company agrees and signs the plan as well. An increase in unemployment compensation tax will likely occur as a result of partaking in the STC Plan, and the increase may be applied to all corporations joining in the plan. Once the plan is approved, the selected must apply for the benefit and report hours worked on a biweekly basis. The new STC process will reduce and potentially eliminate many labor-intensive, manual tasks involving paper documentation and communications between AWI and the and all entities involved in the STC Plan: s, Leasing Companies, and Collective Bargaining Agents. Significant process enhancements will be leveraged from standardizing common processes across all unemployment compensation programs. A common process for claims, certification, and payment processes for STC will be used to efficiently and consistently execute the STC program. Although a common process will used, business rules specific to STC will still be applied. STC involves the following three sub-processes: 1. Enter STC Plan Application Currently, s who want to participate in the STC program must complete and mail the required STC Plan Application forms and paperwork. The to-be process eliminates this paperwork, placing the functionality online within a self-service portal in the Unemployment Compensation Claims and Benefits Information System (UCCBIS). An will apply for STC on the portal, manage issues, and submit the plan for review and authorization. 2. Maintain s s applying for STC must identify the s who are expected to participate in the STC program. The may add, update, or delete s from their STC plan. If an is from a Leasing Company, the Leasing Company must also authorize the STC Plan application. If an is represented by a Collective Bargaining Agent, the Collective Bargaining Agent must authorize the STC Plan Application as well. After an STC Plan Application is approved, an may continue to add, update, or modify s in their STC plan. Newly added s must also have authorization from the Leasing Company or Collective Bargaining Agent, if applicable. 3. Process Hours Once an STC Plan is approved and an has submitted their STC application, the must report the number of hours worked by each every two weeks. The must confirm the hours worked as reported by the. This validates that the worked the hours according to the STC Plan, and no discrepancies exist between the and the. Page 1

5 0.2. ASSUMPTIONS This section lists any assumptions concerning technology, policy, statute, or process that must be implemented to enable the To-Be processes: The system will include a workflow engine used to create work items, manage work queues, and route work items between queues in accordance with defined rules. Generic work queues will be established, as appropriate, to support the processing of unknown, misrouted, or incomplete work items. The system will include clearly defined roles and authorities for all users; every user will be assigned to a specific role. The system will include Case and Document Management functionality to manage related work components and artifacts. All incoming and outgoing correspondence will be indexed and available on-line in electronic format. s, Claimants, and authorized third-parties will have system accounts, protected by appropriate security credentials, and all work items will be associated to those accounts. The system will maintain balances for all accounts and automatically recalculate balances based on the reversal or modification of prior actions. Claimants, s, and authorized third-parties will be able to opt for electronic communication. will be an optional communication method for external parties (Claimants, s, and authorized third-parties). Communication will be in accordance with the preferred method (e.g., notifications, fax, paper). The system will not send sensitive information via . Users will be notified documents are ready to be viewed using their online accounts. Access to documents will be controlled using appropriate security credentials. All claims, claim weeks, determinations, and payments will be traceable to funding sources and employer chargeability records. The system will create and maintain an online history of all activities related to a particular Claimant,, or authorized third-party to include claims, claim weeks, determinations, and decisions. The system will send reminder notification(s) when an external entity has failed to take action, or respond to an inquiry, within a certain timeframe (configurable). Note that the timeframe may vary according to the type of notification originally sent to the external entity. The s interaction with AWI will be paperless, and performed entirely online within the UCCBIS system Page 2

6 0.3. SHORT TIME COMPENSATION (STC) WORKFLOW DIAGRAM Exhibit 1 Core STC Workflow Diagram Page 3

7 1. TO-BE SUB-PROCESS ENTER STC PLAN APPLICATION 1.1. OVERVIEW Before any STC benefits may be claimed by a worker, an STC Plan Application must be completed and submitted by the to AWI for approval. The will complete the STC Plan online in the UCCBIS system by filling out information concerning the and the s expected to participate. If the number of s targeted to participate in the plan is large, an may submit the STC Plan for approval with a subset of the total targeted s. Additional s may be added to the STC Plan after it is approved. All s must meet minimum plan eligibility requirements. If workers included in the plan are from Leasing Companies, or are represented by Collective Bargaining Agents, the must request confirmation of the workers participation in the plan from these entities. The Leasing Companies and/or Collective Bargaining Agents must sign off on the STC Plan. Once all authorizations are received and confirmed, the will submit the application to AWI. Within AWI, an STC Specialist will receive the notification of a pending STC Application and review it for any issues. If no issues are found, the STC Specialist will request final approval from the Benefit Operations Administrator. If approved, the will be notified of the approval and will communicate the process of applying for STC benefits to its targeted s. The objectives of this sub-process include: Inform s and s of the policies and procedures of the STC program Process STC Plan Applications submitted by s to AWI, to include determining whether or not the is eligible for the STC program Beginning Points: enters Short Time Compensation (STC) Plan Application into the UCCBIS system Ending Points: s STC Plan Application is approved s STC Plan Application is denied Assumptions:, Leasing Company, and Collective Bargaining Agent must perform authorization online (no paper). As a result of any notification, the or the STC Specialist may update the STC Plan Application. Page 4

8 1.2. WORKFLOW DIAGRAM Leasing Company/ Collective Bargaining Agent STC Specialist Benefits Operations Administrator s Enter STC Plan Application UCCBIS Link to Maintain s If Additional Signatures Required Request Confirmation Signatures If Only Confirm STC Plan Application UCCBIS Link from Maintain s: Confirm Information Approved Authorize STC Plan Participation Link from UCCBIS Maintain s: Submit Information 14 Days UCCBIS Denied Submit STC Plan Application Resolve Issues Review STC Plan Application Authorize STC Plan Application 15 Day Max UCCBIS Denial Notification UCCBIS UCCBIS Notify s Approval Notification Notification Link from Maintain s: Submit Information Link to Claims: Submit Claim Exhibit 2 Enter STC Plan Application Workflow Diagram 1.3. ACTIVITIES The table below lists the activities that make up this process. The following is a description and Page 5

9 definition of each of the columns in this table. Index Activity Label System Activity Actor Activity Actor(s) A number for use in referencing the activity A short name for that activity that is used to represent it in the detailed workflow diagram. The full-text description of that activity from the perspective of the system. The full-text description of that activity from the perspective of the user or actor. The job or role title of the individuals having a primary role for that activity. Index Activity Label System Activity Enter STC Plan The system will validate the Application user provided information for completeness and correctness in accordance with established system requirements. If invalid, the system will notify the user of the one or more issues and the user will be unable to proceed until the issue(s) are resolved. Actor Activity The will apply for STC by entering the required STC Plan Application information in the UCCBIS system. Part of entering the STC Plan Application will involve specifying which s will participate in the STC Plan. The will enter information for each targeted in the activity, Maintain s. The next step is a link to the sub-process Maintain s. Actor(s) Page 6

10 Index Activity Label System Activity - Maintain Refer to the sub-process, s Maintain s. The system will assess eligibility for STC for each added to the Plan. Actor Activity The will add, update, or delete Claimants targeted to participate in the STC Plan. See the sub-process, Maintain s. Actor(s) Request Confirmation Signatures The system will generate a notification to the Leasing Company or Collective Bargaining Agent. This will notify the Leasing Company or Collective Bargaining Agent their authorization for the pending STC Plan Application is required. If the entity is a Leasing Company, the notification will include information regarding the additional tax assessment that may be applied to the entity. Once the Maintain s sub-process is complete, it links back to one of three activities in this subprocess: 1. Request Confirmation Signatures when an is added from a Leasing Company or Collective Bargaining Agent who has not previously authorized participation 2. Confirm STC Plan Application when the STC plan application s is pending approval or 3. Notify s when the STC plan application was previously approved, but employees have been added, updated, or removed The will enter contact information for entities required to provide a confirmation signature for the s participation in the STC Plan. The next step is Authorize STC Plan Participation where the entities involved will either approve or deny their s participation in the STC Plan. Page 7

11 Index Activity Label System Activity Authorize STC If the entity has not responded Plan Participation to the notification of the (s) participation in the STC Plan within 14 days, the system will generate a reminder notification to the Leasing Company/Collective Bargaining Agent and the. The content of this notification will include a reminder for the entity to approve or deny the s STC participation Confirm STC Plan Application If the Leasing Company/Collective Bargaining Agent does not respond within 7 days from the reminder notification being sent, the system will generate a denial letter to the Leasing Company/Collective Bargaining Agent and. If the Leasing Company/Collective Agent denies the (s) participation on the STC Plan, the system will indicate that the is ineligible for STC benefits. Otherwise, the will be indicated to be eligible. The system will validate the user provided information for completeness and correctness in accordance with established system requirements. The system will prompt the user to read and accept the AWI STC Frequently Asked Questions (FAQ) and STC Reference Guide before proceeding. Actor Activity The Leasing Company/Collective Bargaining Agent will review the notification regarding one or more of their s pending participation in the s STC Plan. The Leasing Company/Collective Bargaining Agent may either approve or deny an s participation and must provide their electronic signature. Note: Leasing company authorization requires the signatures of two company representatives. If the Leasing Company/Collective Bargaining Agent approves the (s) participation, the next step is Confirm STC Plan Application. Otherwise, if the Leasing Company/Collective Bargaining Agent does not concur and denies the (s) participation, the may remove the specific (s) from the STC Plan Application. The will review, resolve any issues, and confirm the information on the STC Plan Application. The will read and accept the AWI STC Frequently Asked Questions (FAQ), AWI Reference Guide, and the Tax Implications of being in the STC program before proceeding. Actor(s) Leasing Company/Collective Bargaining Agent Page 8

12 Index Activity Label System Activity Submit STC Plan The system will validate the Application user provided information for completeness and correctness in accordance with established system requirements Review STC Plan Application The system will validate that all required information is provided. If required information is missing or is invalid, the system will notify the user of the one or more issue(s). The user will be unable to proceed until the issue(s) are resolved. Once an s STC Plan Application is submitted, AWI has a maximum of 15 days to provide the with a notification informing the they have been approved or denied (with reasons) for the STC Program. The system will record any electronic information sent to the requesting additional information or information entered by the STC Specialist logging a call made to the for auditing and reporting purposes. Actor Activity The will submit the application for approval. If all required confirmation signatures have been received and are approved, the next step is Review STC Plan Application. Otherwise, the will wait until a response from any Leasing Company and/or Collective Bargaining Agent. The may opt to remove s from the STC plan who are pending participation authorization. The STC Specialist will review the STC Plan Application. The STC Specialist will make a determination (either approved or denied) and submit the STC plan and determination to the AWI Benefits Operations Administrator for authorization. If the STC Specialist determines additional information is required or there are issues that require resolution, the STC Specialist will notify the to resolve the issue(s). If the contact is made via the telephone the STC Specialist will log the call in the system. Actor(s) STC Specialist Note: the may elect to update the STC Plan Application and resubmit the STC Plan Application. Page 9

13 Index Activity Label System Activity Authorize STC The system will generate a Plan Application notification to the as to whether the STC Plan application was approved or denied. If the was approved for STC, the approval notification will include an electronic version of the STC Packet. Note: the may elect to receive the STC Packet via US Mail. Note: The s will be encouraged to apply online for their STC Benefits Notify s The system will validate the user provided information for completeness and correctness in accordance with established system requirements. The system will validate that all required information is provided. Actor Activity The AWI Benefits Operations Administrator will review the STC Plan Application and the determination made by the STC Specialist. If authorized, the next step is Notify s. If denied, the process ends with the informed of the denial. Note: the may elect to update the STC Plan Application and resubmit the STC Plan Application. The will notify all eligible s, informing them of the STC Plan approval. The will be responsible for explaining and/or providing documentation to all impacted s regarding the claims process. Each is responsible for submitting an STC claim, linking this process to Claims: Submit Claim. The will update the STC Plan with the date of the notification. Actor(s) AWI Benefits Operations Administrator 1.4. CORRESPONDENCE The table below lists any messages, such as the US mail, s, faxes, phone calls and any other correspondence, regularly used in the normal course of this process. The Unemployment Compensation Claims and Benefits Information System (UCCBIS) will provide a self-service portal to allow users (Claimants and s) to opt in to electronic delivery of documents (e.g., messages, notices, and other correspondence). Documents will not be sent to users who elect electronic communications, rather, notifications will be issued to inform users they have documents available for review. A user will log on to the account using their unique security credentials (created when they initially set up their online account) to read the documents and will then undertake appropriate action(s). Unless otherwise precluded by law, any message listed in the following table may be delivered via the self-service portal once a user opts in for electronic delivery. Page 10

14 Messages are sent to convey required documentation, inform recipients about the status of an activity, to trigger the start or end of other activities, to grant or withdraw authorization, etc. This section only concerns messages sent during normal (as intended) operations. There may be more than one message associated with any activity in this process. The following is a description and definition of each of the columns in this table. Index Activity Label Type Purpose Recipient Occasion A number for use in referencing the activity. A short name for that activity that is used to represent it in the detailed workflow diagram. Form An official request for specific information based in a pre-defined format. Notice Notice of an official Agency action or determination. Ad-Hoc Requests for information, responses, and general communications. Normally used to validate or complete existing records. Memo - Internal communication for the purpose of sharing information. The intended purpose for sending the message. The organization or role of the intended recipient. Event or action that triggers the requirement to send the message Index Activity Label Type Purpose Recipient Occasion Request Confirmation Signatures Form Authorize STC Plan Participation Authorize STC Plan Participation Authorize STC Plan Participation Notice Form Notice Notification requesting agreement of an s participation in the STC Plan; may be approved or denied Notification reminder requesting the confirmation and signature for specified (s) to participate in the STC Plan. Returned form containing the approval or denial of the s participation in the STC Plan. Notification to inform the that the Leasing Company s and their s participation is denied, or that the Collective Bargaining Agent s represented is denied from participation due to lack of timely response Leasing Company/ Collective Bargaining Agent Leasing Company/ Collective Bargaining Agent AWI/ /Leasi ng Company/Colle ctive Bargaining Agent An (s) is added to the plan from a Leasing Company or is represented by a Collective Bargaining Agent. Leasing Company or Collective Bargaining Agent has not responded to the request for authorization in a timely manner. An (s) is added to the plan from a Leasing Company or is represented by a Collective Bargaining Agent. The Leasing Company or Collective Bargaining Agent must authorize (electronic signature) the s participation on the application before the STC plan is can be approved. Leasing Company or Collective Bargaining Agent has not responded to the reminder notification. Page 11

15 Index Activity Label Type Purpose Recipient Occasion Review STC Plan Application Ad-hoc Notification to inform the of issues in STC Plan application The STC Specialist has identified issues with the submitted STC Plan Authorize STC Plan Application Authorize STC Plan Application Notice Notice Notification to inform the they have been approved for STC program Notification to inform the they have been denied for the STC program Notify s Notice Notification to inform s to apply for STC Approval of STC Plan Denial of STC Plan Approval of the STC Plan 1.5. PERFORMANCE METRICS The table below lists any performance metrics that may be used to measure the outcome, accuracy or efficiency of this process. Title Metric Target Source A description of the metric Complete description of the performance measure Goal or Target to expected or N/A if not applicable The performance metric source (Florida Statutes, AWI policy, etc.). Title Metric Target Source STC Plan The percentage of STC Plan Applications authorized without 95% AWI Authorization issues (first time through). Confirmation Signature Received Elapsed Time from the time a request for confirmation signatures has been sent to the Leasing Company/Collective 5 Days AWI Elapsed time for STC Plan Authorization Bargaining Agents to receipt. Elapsed time from STC Plan submittal to STC Plan Authorization 7 days Fla. Stat (2) 1.6. BUSINESS RULES The table below lists any statutes or policies that govern the execution of this process. These business rules may be executed by the system or the user. The following is a description and definition of each of the columns in this table. Number Conflict The unique number assigned to the business rule. Y(Yes) if the current Statute, Administrative Code, or AWI Policy conflicts with the to-be process or N (No) if the current Statute, Administrative Code, or AWI Policy does not conflict with the to-be process. A full-text description of the business rule. Number Conflict BR Y Fla. Stat (2) (2009), F.A.C. 60BB must submit a signed, written, plan (form) to the director of AWI BR N Fla. Stat (2) (a-h), (4) (2009) Criteria to approve the plan BR Y Fla. Stat (2) (f) (2009) Collective Bargaining Agent must sign BR N Fla. Stat (3) (2009) Time to process an STC Plan Application BR N Fla. Stat (9) (2009) Short-time compensation benefits will be charged to and any Leasing Companies in the plan. Page 12

16 BR N U.S.C. 1320b-7(a); 5 U.S.C 552a (o) (1)(D); Fla. Stat (1) (g) (2009) Use of s Social Security Number (SSN) BR N F.A.C. 60BB Filing Claims and Providing Documentation; backdating group filing BR Y F.A.C. 60BB Public Use Forms, (l) AWI Form UCB/STC-3 Short Time Compensation Plan Application (Rev. 11/01) TIME CONSTRAINTS The table below lists any time constraints that are placed on activities within this process. Time constraints may be required completion times or required pauses in the process to allow for responses. The following is a description and definition of each of the columns in this table. Index Activity Label Source Constraint A number for use in referencing the activity. A short name for that activity that is used to represent it in the detailed workflow diagram. The source of the constraint (Florida Statutes, AWI policy, etc.). A full-text description of the constraint. Index Activity Label Source Constraint Authorize STC Plan Participation AWI Policy The Leasing Company/Collective Bargaining Agent has a maximum of 14 days to respond before a reminder notification is sent. If a response is not received within 7 days from the reminder being sent, the STC Plan is denied Submit STC Plan Application AWI Policy, Fla. Stat (3) (2009) Once an s STC Plan Application is received, AWI has a maximum of 15 days to provide the with a letter informing the they have been approved or denied (with reasons) for the STC Program. Note: AWI goal is to notify the with a decision within 7 days Notify s AWI Policy The s are expected to submit the STC claims application within 7 days of the effective date of the plan or plan approval whichever is later. Page 13

17 2. TO-BE SUB-PROCESS MAINTAIN EMPLOYEES 2.1. OVERVIEW The will maintain the s in the STC Plan including adding a new, updating existing information, or removing an from the STC Plan. While adding any new s, an must request confirmation signatures if the is represented by a Collective Bargaining Agent, or employed by a Leasing Company. The objectives of this sub-process include: Maintain s on the STC Plan Assess STC Program eligibility Beginning Points adds a new to the STC Plan selects an existing to update or remove from the STC Plan Ending Points Link to Confirm STC Plan Application if the STC Plan application is pending approval Link to Enter STC Plan Application, Request Confirmation Signatures if the added is from a Leasing Company or, if the is added is represented by a Collective Bargaining Agent not currently listed, in the STC Plan Link to Enter STC Plan Application, Notify s if the STC Plan was previously approved and a Leasing Company authorization is not required. Assumptions: must perform employee maintenance online (no paper). Page 14

18 2.2. WORKFLOW DIAGRAM If Existing If New Select Enter Information UCCBIS UCCBIS Confirm Information Submit Information UCCBIS Notify LC/CBA Link to Enter STC Plan Application: Request Confirmation Signatures Notify (Receiving STC Benefits) of Ineligibility Plan Previously Approved Plan Approval Pending UCCBIS Link to Enter STC Plan Application: Confirm STC Plan Application Link to Enter STC Plan Application: Notify s Exhibit 3 Maintain s Workflow Diagram Page 15

19 2.3. ACTIVITIES The table below lists the activities that make up this process. The following is a description and definition of each of the columns in this table. Index Activity Label System Activity Actor Activity Actor(s) A number for use in referencing the activity A short name for that activity that is used to represent it in the detailed workflow diagram. The full-text description of that activity from the perspective of the system. The full-text description of that activity from the perspective of the user or actor. The job or role title of the individuals having a primary role for that activity. Index Activity Label System Activity Select The system will present the user with a listing of s currently in the STC Plan Enter Information Confirm Information The system will validate the user provided information for completeness and correctness in accordance with established system requirements. If invalid, the system will notify the user of the one or more issues and the user will be unable to proceed until the issue(s) are resolved. The system will validate that all required information is provided. If required information is missing or invalid, the system will notify the user of the one or more issue(s). The user will be unable to proceed until the issue(s) is resolved.. Actor Activity The will select the for modification. The next step is Enter Information, where the may update Information, or remove the from their STC Plan. The will enter the required information to add the to the STC Plan. If the already exists, the can update the s information in the system. The will review, resolve any issues, and confirm the entered information. If an to be included in the STC Plan is represented by a Collective Bargaining Agent, or is from a Leasing Company, the next step is Link to Enter STC Plan Application: Request Confirmation Signatures. Otherwise, the next step is Submit Information. Actor(s) Page 16

20 Index Activity Label System Activity Submit The system will determine if Information the proposed s reduction in hours complies with STC Plan rules. The system will notify the of any who does not meet STC rules for eligibility at the time the information was entered. The system will link newly added s with the STC Plan Application. If the is from a Leasing Company, the system will link the Leasing Company to the STC Plan. If the is represented by a Collective Bargaining Agent, the system will link the Collective Bargaining Agent to the STC Plan. If the has removed the from the STC Plan, the system will terminate the affected s STC benefits. If the updates the Information such that the is no longer eligible for STC benefits and has been receiving benefits, the system will terminate the affected s STC benefits. If an who has been receiving STC benefits has either been removed or becomes ineligible for STC benefits, the system will generate a notification to the informing them of the reasons of the stoppage of their benefits. Actor Activity The will submit the information entered. If new s have been added to the STC Plan and the STC Plan was previously approved by the AWI Operations Benefits Administrator, the next step is link to Enter STC Plan Application Notify s. If new s have been added to the STC Plan and the STC Plan was NOT previously approved by the AWI Benefits Operations Administrator, the next step is link to Enter STC Plan Application: Confirm STC Plan Application. If the is not eligible to receive STC benefits (at the time the is entered), the can update the to correct an error or terminate the process and add the at a later time when they are eligible to receive STC benefits. Note: If an is not eligible to receive STC benefits at a given period in time, does not necessarily preclude them from being eligible from regular UI or at a later time STC. Actor(s) Page 17

21 2.4. CORRESPONDENCE The table below lists any messages, such as the US mail, s, faxes, phone calls and any other correspondence, regularly used in the normal course of this process. The Unemployment Compensation Claims and Benefits Information System (UCCBIS) will provide a self-service portal to allow users (Claimants and s) to opt in to electronic delivery of documents (e.g., messages, notices, and other correspondence). Documents will not be sent to users who elect electronic communications, rather, notifications will be issued to inform users they have documents available for review. A user will log on to the account using their unique security credentials (created when they initially set up their online account) to read the documents and will then undertake appropriate action(s). Unless otherwise precluded by law, any message listed in the following table may be delivered via the self-service portal once a user opts in for electronic delivery. Messages are sent to convey required documentation, inform recipients about the status of an activity, to trigger the start or end of other activities, to grant or withdraw authorization, etc. This section only concerns messages sent during normal (as intended) operations. There may be more than one message associated with any activity in this process. The following is a description and definition of each of the columns in this table. Index Activity Label Type Purpose Recipient Occasion A number for use in referencing the activity. A short name for that activity that is used to represent it in the detailed workflow diagram. Form An official request for specific information based in a pre-defined format. Notice Notice of an official Agency action or determination. Ad-Hoc Requests for information, responses, and general communications. Normally used to validate or complete existing records. Memo - Internal communication for the purpose of sharing information. The intended purpose for sending the message. The organization or role of the intended recipient. Event or action that triggers the requirement to send the message Index Activity Label Type Purpose Recipient Occasion Confirm Information Notice Submit Information Notice Inform the Leasing Company or Collective Bargaining Agent of an STC Application is pending their authorization. Notification to the that their benefits are being stopped Leasing Company/Colle ctive Bargaining Agent An is submitting an STC Plan application for consideration and a Leasing Company or Collective Bargaining Agent is associated with the. The removed an receiving STC benefits from the STC Plan; or, the updated information on the Plan which caused an receiving benefits to become ineligible Page 18

22 2.5. PERFORMANCE METRICS The table below lists any performance metrics that may be used to measure the outcome, accuracy or efficiency of this process. Title Metric Target Source A description of the metric Complete description of the performance measure Goal or Target to expected or N/A if not applicable The performance metric source (Florida Statutes, AWI policy, etc.). Title Metric Target Source BUSINESS RULES The table below lists any statutes or policies that govern the execution of this process. These business rules may be executed by the system or the user. The following is a description and definition of each of the columns in this table. Number Conflict The unique number assigned to the business rule. Y(Yes) if the current Statute, Administrative Code, or AWI Policy conflicts with the to-be process or N (No) if the current Statute, Administrative Code, or AWI Policy does not conflict with the to-be process. A full-text description of the business rule. Number Conflict BR N Fla. Stat (5)(a)1. (2009), eligibility requirement: must be in the plan, the plan is approved and in effect for the week BR N Fla. Stat (5)(a)2. (2009), eligibility requirement: is available for work for the STC BR N Fla. Stat (5)(a)2. (2009), eligibility requirement: normal weekly hours of work are reduced by at least 10% but not more than 40% 2.7. TIME CONSTRAINTS The table below lists any time constraints that are placed on activities within this process. Time constraints may be required completion times or required pauses in the process to allow for responses. The following is a description and definition of each of the columns in this table. Index Activity Label Source Constraint A number for use in referencing the activity. A short name for that activity that is used to represent it in the detailed workflow diagram. The source of the constraint (Florida Statutes, AWI policy, etc.). A full-text description of the constraint. Index Activity Label Source Constraint Page 19

23 3. TO-BE SUB-PROCESS PROCESS EMPLOYEE HOURS 3.1. OVERVIEW After the STC Plan application is approved, eligible s in the STC plan may apply for STC benefits. Once an is approved for benefits, the will submit the hours worked for each approved on a bi-weekly basis. The hours entered by the are confirmed by the. If an does not confirm the hours entered by, the must resolve the discrepancy before payment is considered. Note: The may submit their hours prior to the submitting the hours, through the Special Payments, Issue Payments process. The objectives of this sub-process include: submits the s hours worked for the certification weeks s confirm the hours entered by their Beginning Points selects the to enter hours for the given week(s) Ending Points Link to Special Payments, Issue Payments Assumptions: The must submit or authorize the s hours using the self-service portal. The may submit their hours worked or approve their hours worked entered by their through the self-service portal in the Special Payments, Issue Payments sub-process, IVR, or may submit their hours worked to AWI for processing via Mail or FAX. Note: This subprocess only handles the entering or approving their s hours. The s enter and approve hours when they certify their weeks through the Special Payments, Issue Payment sub-process. Page 20

24 3.2. WORKFLOW DIAGRAM Process Start Entered Certification Completed Link from Special Payments: Issue Payment ( Entered) Select 14 days UCCBIS Hours Not Entered By If Hours Entered By Disputes Enter Hours Authorize Hours Hours Do Not Match Resolve Hours UCCBIS Approved UCCBIS Link to Special Payments: Issue Payments Link to Special Payments: Issue Payments Confirm Hours UCCBIS If Online Approve Hours Approved Link to Special Payments: Issue Payments If Manual & has not Certified Submit Certfiication Link to Special Payments: Issue Payments Exhibit 4 Process Hours Workflow Diagram Page 21

25 3.3. ACTIVITIES The table below lists the activities that make up this process. The following is a description and definition of each of the columns in this table. Index Activity Label System Activity Actor Activity Actor(s) A number for use in referencing the activity A short name for that activity that is used to represent it in the detailed workflow diagram. The full-text description of that activity from the perspective of the system. The full-text description of that activity from the perspective of the user or actor. The job or role title of the individuals having a primary role for that activity. Index Activity Label System Activity Select The system will present a list of s in the s approved STC Plan. Note: If an or is late in submitting the hours worked for the given week(s), the system will generate a notification to the and as a reminder to provide the hours worked. Submittal of hours is considered late if 7 days have past since the two weeks to be submitted have been worked Enter Hours The system will prompt for hours worked for the specified weeks. The system will validate the user provided information for completeness and correctness in accordance with established system requirements. Actor Activity The will select an from the approved STC Plan. If the has already entered their hours for the specified weeks while submitting their certification, (from the linkage to Special Payments: Issue Payments ), the next step is Authorize Hours. If the has not entered their hours for the specified week(s), the next step is Enter Hours. The will enter the hours the worked for the specified week(s). Actor(s) If invalid, the system will notify the user of the one or more issues and the user will be unable to proceed until the issue(s) are resolved. Page 22

26 Index Activity Label System Activity Authorize The system will present hours Hours reported by the employee for the given week(s). If the does not concur with the hours entered, the system will generate a notification to the that the hours do not match, and instructions to submit a new certification (manually or online) Confirm Hours If the has not entered in the certification for the specified weeks and the s preferred method of communication is selfservice (online), the system will generate a notification to the to approve the hours for the specified week(s). If the has not submitted their paper certification and the s preferred method of communication is mail, the system will generate a notification notifying the that the has entered the hours and to submit the certification for the specified weeks. If the hours entered by the and match, the system will link to Issue Payments. Actor Activity The will review the hours reported by the for the given week(s). If the concurs and authorizes the hours worked, the sub-process links to Special Payments: Issue Payments where the will be issued payment. If the does not concur with the hours worked, the sub-process links to the, Special Payments, Issue Payments sub-process, where the discrepancy in hours is resolved during the certification process. The will confirm the hours entered for the given week(s). If the s preferred method of communication is self-service, the next step is Approve Hours. If the s preferred method of communication is not self-service, the may optionally choose to print the certification and give it to the either onsite or via mail. The next step is Submit Certification. Actor(s) Page 23

27 Index Activity Label System Activity Approve Hours The system will present the with the reported hours for each week entered by the. The will have the option to view previously approved weeks. Actor Activity If the has not previously entered their hours, the will receive, via self-service (online), the notification to approve the hours worked for the specified week(s). The will approve or dispute the hours entered by the. If the approves the hours, the next step is a link to the process, Special Payments: Issue Payments. Actor(s) If the disputes the hours, the next step is Select where the will resolve the discrepancy Submit Certification Note that the will be permitted to enter their hours (online or manually) for the specified weeks prior to the s entry of their hours. - The will receive notification that the has entered the hours for the specified weeks. The will complete the certification form and submit the form to AWI. The next step is a link to the process, Special Payments: Issue Payments., 3.4. CORRESPONDENCE The table below lists any messages, such as the US mail, s, faxes, phone calls and any other correspondence, regularly used in the normal course of this process. Note: The Unemployment Compensation Claims and Benefits Information System (UCCBIS) will provide a self-service portal to allow users (Claimants and s) to opt in to electronic delivery of documents (e.g., messages, notices, and other correspondence). Documents will not be sent to users who elect electronic communications, rather, notifications will be issued to inform users they have documents available for review. A user will log on to the account using their unique security credentials Page 24

28 (created when they initially set up their online account) to read the documents and will then undertake appropriate action(s). Unless otherwise precluded by law, any message listed in the following table may be delivered via the self-service portal once a user opts in for electronic delivery. Messages are sent to convey required documentation, inform recipients about the status of an activity, to trigger the start or end of other activities, to grant or withdraw authorization, etc. This section only concerns messages sent during normal (as intended) operations. There may be more than one message associated with any activity in this process. The following is a description and definition of each of the columns in this table. Index Activity Label Type Purpose Recipient Occasion A number for use in referencing the activity. A short name for that activity that is used to represent it in the detailed workflow diagram. Form An official request for specific information based in a pre-defined format. Notice Notice of an official Agency action or determination. Ad-Hoc Requests for information, responses, and general communications. Normally used to validate or complete existing records. Memo - Internal communication for the purpose of sharing information. The intended purpose for sending the message. The organization or role of the intended recipient. Event or action that triggers the requirement to send the message Index Activity Label Type Purpose Recipient Occasion Select Notice Notification reminder to submit or authorize employee hours The has not submitted or authorized hours for an employee within 7 days after the two weeks worked Authorize Hours Notice Notify the the hours entered did not match the hours entered by the Confirm Hours Notice Online notification to to confirm hours submitted by Confirm Hours Form Form sent to to confirm and certify hours worked, as reported by The has entered the hours worked for the specified weeks prior to the, and the hours entered by both parties do not match. has reported and submitted hours worked by the for specified week(s), and preferred method of communication for the is /selfservice has reported and submitted hours worked by the for given week(s), and preferred method of communication for is mail Page 25

29 Index Activity Label Type Purpose Recipient Occasion Approve Hours Ad-hoc Notification to that the disputed the reported hours worked for the specified week(s) does not approve the hours reported by the 3.5. PERFORMANCE METRICS The table below lists any performance metrics that may be used to measure the outcome, accuracy or efficiency of this process. Title Metric Target Source A description of the metric Complete description of the performance measure Goal or Target to expected or N/A if not applicable The performance metric source (Florida Statutes, AWI policy, etc.). Title Metric Target Source Time between hours entered and hours approved Average Elapsed time from notification sent to for confirmation and confirmation of hours 2 days AWI Number of s Submitting Hours within 5 days Number of s Submitting Hours within 14 days has submitted their hours within 5 days from the latest week ending date has submitted their hours for certification within 14 days from the latest week ending date 95% Fla. Stat % Fla. Stat BUSINESS RULES The table below lists any statutes or policies that govern the execution of this process. These business rules may be executed by the system or the user. The following is a description and definition of each of the columns in this table. Number Conflict The unique number assigned to the business rule. Y(Yes) if the current Statute, Administrative Code, or AWI Policy conflicts with the to-be process or N (No) if the current Statute, Administrative Code, or AWI Policy does not conflict with the to-be process. A full-text description of the business rule. Number Conflict BR N Fla. Stat (5)(a)1. (2009), eligibility requirement: must be in the plan, the plan is approved and in effect for the week BR N Fla. Stat (5)(a)2. (2009), eligibility requirement: is available for work for the STC BR N Fla. Stat (5)(a)2. (2009), eligibility requirement: normal weekly hours of work are reduced by at least 10% but not more than 40% BR N Fla. Stat (7), (2009) Eligibility for Benefits (weekly certification): maximum benefit allowance and duration BR N Fla. Stat (8) (2009) Eligibility for Benefits (weekly certification): Page 26

30 3.7. TIME CONSTRAINTS The table below lists any time constraints that are placed on activities within this process. Time constraints may be required completion times or required pauses in the process to allow for responses. The following is a description and definition of each of the columns in this table. Index Activity Label Source Constraint A number for use in referencing the activity. A short name for that activity that is used to represent it in the detailed workflow diagram. The source of the constraint (Florida Statutes, AWI policy, etc.). A full-text description of the constraint. Index Activity Label Source Constraint Select AWI is required to report each s hours worked every 14 days. Page 27