Contents: Introduction | Definition and context | Our ambitious goals | Organizational readiness | Key features and integrations | The final integrated solution | In closing | More information
Welcome to our first article in our 'innovation through integration' series
In this article, we are sharing our approach and solution for fully automated self-serve applications with automatic intelligent scheduling and immediately available rule-based submissions by all parties in the dispute – in short, completely automating the complex dispute resolution processes prior to the initial resolution session. This is not a theoretical article based on features we might build, it's an innovation that is based on proven features being used for complex dispute files (100+ unique issue types, multiple resolution services) in a high-volume tribunal (20,000+ disputes resolved per year).
Although this solution is focused on dispute resolution, it should be relevant to anyone building an integrated system where users apply for a complex service, the service is scheduled, and additional rule-based submissions are made before the service is provided.
As many of the DMS features are very advanced themselves and we want to keep these articles focused, individual features will only be briefly described here. We will be providing our approach and design details for select DMS features through our “comprehensive design” series articles.
What do we mean by fully automated self-serve applications and submissions?
The submission of clean, complete applications for dispute resolution services that do not require traditional support, intake screening or processing work by organization staff.
The fully automatic and immediate booking of the initial resolution services event (for participatory processes) that addresses all of the complexity that manual scheduling would have addressed while allowing the user to select and confirm a date and time that works for them (with reasonable limitations).
The automatic provision of all required information and instructions required to initiate the dispute file for all parties.
Instantly available rule-based submission channels that allow all parties to make submissions into the dispute file so that it is complete prior to the resolution session, with these submissions also not requiring traditional support, screening or processing work by organizational staff
Authors Note: This innovation can also be applied to non-participatory (written) hearings and processes although not discussed in this article.
Significant innovations require ambitious goals. These were ours:
To eliminate (through design and automation) all organizational work associated to intake screening, scheduling, notice generation and provision, and managing initial party submissions – creating significant organizational savings and efficiency.
To eliminate the standard wait times, uncertainty and frustration that manual processes cause for applicants seeking service.
To allow all parties to make their associated submissions and to take the actions that gather all information necessary to achieve resolution in the first session.
To engage all parties quickly and minimize the entrenchment of positions that happens naturally with time while maximizing the many benefits of earlier engagement - while shortening total time to resolution.
What were the organizational readiness requirements and how did we achieve them?
Automation of complex systems is highly dependent on mature information states and process flows. A good analogy for designing complex automation is building an assembly line to make widgets that are currently being made by individual skilled craftsman. Every action needs to be identified and sequenced, every decision broken down to information and option gates, and tools and systems must be designed that support or replace the human actions.
Our high-level approach for establishing the organizational maturity necessary for this automation was; to define the future state information taxonomies and processes in detail, to implement the taxonomies, process and systems into the organization through phased release, and to identify and resolve issues and gaps through quantitative analysis and targeted improvements until the desired maturity was reached.
When the above work was completed, we had established the following in the organization:
A mature information taxonomy that established clear dispute categories, defined all allowed issues with their required and optional supporting evidence and testimony, and that fully defined all initial party submissions.
Proven methods for identifying the completeness of a dispute file, its urgency, its complexity, and its appropriate resolution service
Mature application screening processes that reliably identify the applications that require human screening (and those that do not)
Proven scheduling processes that use the dispute file urgency, complexity, and resolution processes to book an appropriate resolution session and staff member.
Clearly defined party actions and submissions for each dispute file category and process, that, when completed, provide the information required for the fair and efficient resolution of the dispute.
What are the individual features that, when combined, enable the final innovation?
A significant list of individual DMS features were necessary to achieve the final innovation. Before I list these features, I’d like to make two important points.
First, combining features that are poorly designed, buggy or immature will just amplify their flaws, so our initial focus was to ensure these individual features were well designed and proven through real-world use before we started combining (integrating) them.
Second, individual features in same system will be much easier to integrate, use and maintain than features in separate systems. To help make this point, imagine that you are creating a video solution that consists of a go-pro, a smartphone app that controls the go-pro, and video editing software on a computer (three separate systems). Now imagine creating the same solution using the onboard video shooting and editing capabilities of a modern smartphone (single integrated system). I'm not saying go-pros aren't great (I love mine), I just want to point out how a solution created within a single system will be easier to integrate, provide a better experience for most users, and be much easier for you to develop and maintain. All of the features in this article are contained one system (DMS). This was highly intentional.
I’ll summarize the above points again because they are so important. Integrating poorly designed or buggy features will just create a bigger mess, and you are much more likely to achieve a better solution (all things considered) by having everything you are integrating within one system.
With those key considerations out of the way, the following is a list of internal DMS features and capabilities that enable the final innovation:
Guided intelligent intake(s)
Wizard-based application processes that guide inexperienced users through an intuitive and supportive process that results in complete, and clean applications
Automated systems that set the dispute file urgency (priority), complexity (resolution staff skill levels required) and initial process (mediation, hearing) when the necessary information has been provided
An integrated payment system that supports pay-now or pay-later (with deadlines), and allows payments to be made online, in person (office), and that allows users to apply to have their fees automatically waived by system that determines if the user meets set poverty thresholds.
Search algorithms that identify if applications have the same parties and/or central issues as existing open files and reliably detects those that should be combined and resolved together
A scheduling system that stores future available resolution sessions and includes characteristics like urgency (priority), associated process and service, and the skills and experience of the associated staff.
An automated schedule generation system that allows the future schedule to be generated, modified and managed so that dates/times are always available for booking
Extensive tools for the management of scheduled events (e.g. reassignment, rescheduling, combining)
Live dashboards (views) of the organizational schedule that supports scheduling decisions and actions and provide all staff (and their managers) individual schedules and the ability to directly open their associated dispute files.
An automated assignment system that uses source dispute file characteristics to locate and books a suitable time in the organizational schedule
A “hold” system that allows a scheduled session to be put on hold for a set period of time in which it can only be booked by the person that put it on hold and where the hold automatically expires and re-opens it for other bookings.
A dispute notice generation system that selects the correct template for a dispute file and merges necessary dispute file information, scheduled event information, and unique submission codes for all parties. This also includes:
A system that allows specific applicant and respondent instructions and guides to be included with this notice
A system that allows this initiation package to be emailed, downloaded or picked up with delivery tracking.
A multi-channel submission system (office and online) that includes a conditional access engine that shows and hides submission channels based on the characteristics and status of a dispute file, party roles, and completed party actions. Specific to this innovation this system provides:
A guided process for accepting terms, updating contact information and setting individual preferences.
A guided process for submitting positions, evidence and testimony on the claims and issues in the dispute file
A guided process for disclosing the service of dispute notice, evidence and testimony to opposing parties.
A guided process for indicating intention to participate in resolution processes and attend associated scheduled events.
An automated service and disclosure sub-system that creates a 'package' and 'opposing party service records' for all notice, evidence and testimony added to the dispute file - with individual records that allow the date, method and proof of service to be recorded for each package and party that requires service.
An automated workflow system that uses dispute information and data triggers to take actions on a dispute file including:
A system that uses email templates and dispute file data to send context-specific notifications to parties with instructions and resources.
A system that uses email templates, the organizational schedule and process timeframes to send reminders with instructions and deadlines.
A system that uses status and party activity data to determine if required actions are not completed and to take automatic file actions (like abandonment of the file)
A system that uses party activity data to escalate the dispute for an internal process decision or intervention when special cases are detected.
A complete dispute file view for staff that shows all of the dispute file information and party submissions in one intuitive and powerful interface (this has too many advanced features to be described here)
What is the final solution and how does it work?
After trying to describe this a few ways, I found the best way to explain the final solution is a happy-path sequence of user and automated system actions. Many of the individual DMS features here are quite advanced and the process includes some complex edge case handling, so I tried to balance "making it easy to understand" (oversimplification) with "describing it completely" (overcomplicated technical requirements).
The applicant is guided through an intuitive online wizard-based intake that uses questions to tailor the application process to their specific needs and then helps them provide all of the information necessary to file a complete and clean application for dispute resolution services (for something similar, think TurboTax).
Behind the scenes and unseen by the user:
The system automatically detects and assigns the dispute priority, process, complexity, and required resolution staff skill and experience.
The system uses a weighted search algorithm to checks all open dispute files to ensure the file should not be joined with another file to increase resolution efficiency.
The system calculates the current wait times for the associated resolution service.
The applicant reviews their submission to make sure it is accurate.
The applicant accepts the current wait times for service (or abandons their application if the wait time has changed their decision to apply) .
The applicant submits their application for service.
Behind the scenes and unseen by the user:
The system calculates the cost of the resolution service and creates an unpaid fee on the file with the applicant as the payor.
The system puts the dispute file into a status of submitted and waiting payment so that the only available action on the file is completing the payment.
The system automatically abandons the application if payment is not completed in the timeframe required by rules.
The applicant pays their application fee online or completes a guided intuitive process that determines they are living below the poverty level and automatically waives their fees.
Behind the scenes and unseen by the user:
The system puts the dispute into a status of waiting automated scheduling.
The system automatically locates a specific available date/time in the schedule that matches the dispute file criteria.
The system puts a selected date/time on a temporary 5 minute hold where only the applicant on this file can book it and it is automatically released after 5 minutes.
The applicant is shown the available date/time of their resolution service and accepts it within the visible 5 minute countdown.
The user can request a different time (with limitations), and have the automated process locate a new date/time with 5 minutes to accept it.
Behind the scenes and unseen by the user:
The system books the associated resolution event in the schedule
The system generates a dispute notice from their specific dispute information and bundles instructions and guides to create a complete dispute initiation package.
The system provides the initiation package for download, email delivery or pickup.
The applicant indicates that they have received their dispute initiation package (dispute notice, instructions, guides, resources) and exits the online intake process.
Behind the scenes and unseen by the user:
The system automatically creates service/disclosure and participation records for all parties on the dispute.
The system puts the dispute file into a status that enables rule-based submissions by all parties on the dispute.
The applicant serves the respondents their dispute notice that contains their instructions and access codes for their submissions and records this service on their dispute file.
Behind the scenes and unseen by the user:
The system identifies parties that have been served and opens their submission channels.
The system identified dispute files where applicants have not served any parties in the required timeframe and abandons their disputes with leave to reapply and frees up the associated scheduled date/time for other resolution events.
The individual parties make their associated submissions into the dispute file including:
Updates to their contact information and preferences.
Their positions, evidence and testimony in response to the issues and claims made by the applicant.
Their intention to participate in the process and attend the scheduled resolution session.
Behind the scenes and unseen by the user:
The system sends automated notifications, reminders and instructions to support timelines and the completion of party activities.
The system enables and disables submissions channels based on organizational rules, timelines and party actions to only show relevant options.
They system automatically detects and escalates dispute files for an internal process decision where party actions or inaction indicate a change in process or intervention is warranted.
The organization staff member assigned the dispute file looks at their personal schedule, sees the upcoming resolution event, clicks on the event in the schedule to automatically open the associated dispute file(s).
The staff member sees all of the party submissions and actions on the dispute file, and uses the comprehensive information to plan and conduct an effective resolution session.
Extensive system data from the entire process is available in DMS to allow deep organizational reporting, improved decisions through greater business intelligence, and the quantified (measurable) continuous improvement of associated systems and processes.
In closing
Before I wrap up, I want to step back and talk about the importance of innovation in struggling business sectors. We are living in a world of unprecedented problem complexity and a very high rate of change. With the magnitude and gravity of our current problems it can be easy to get paralyzed into inaction or trapped in small actions that continually lose ground against these large problems and a rapidly changing world.
Our best recourse is innovation, in particular technological innovation, because it has a long history of solving our most complex (even seemingly insurmountable) problems. Sharing our working innovations provides others with new ways forward and allows widespread adoption and benefit. Innovation and the visible progress it creates also naturally converts apathy into optimism and attracts the talented people and investments necessary for a sector for thrive.
Keep working on innovative solutions, and if you can, find ways to share them!
I hope this article has provided you with a new path forward for automating complex intakes. If you enjoyed this article, you can see all of our articles in our designing the future blog.
Mike Harlow
Solution Architect
Hive One Justice Systems, Hive One Collaborative Systems
©2022
Where can you get more information?
If you have questions specific to this article or would like to share your thoughts or ideas with us, you can reach us through the contact form on our web site.
If you are interested in the open source feature-rich DMS system that is the basis of the innovation in this article, visit the DMS section of our web site.
If you want to learn more about this solution, we offer live sessions and lectures that provide much greater detail (including diagrams, statistics and feature demonstrations) and allow breakout discussion around key areas of audience interest. To learn more about booking a live session, please contact us through our web site.
If you are an organization that is seeking information to support your own transformation, we provide the following services:
Current state analysis: where we evaluate your existing organizational processes and systems and provide a list of priority gaps, recommendations, opportunities and solutions for real and achievable organizational improvement.
Future state design: where we leverage our extensive technology, design, creativity and sector experience to engage in the "what is" and "what if" discussions that will provide you with a clear, compelling and achievable future state that you can use to plan your transformation.
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