At the Compliance and Ethics Institute hosted by the SCCE, Ray Gerard, the President of i-Sight and Lyn Scrine, the Ethics Director, Enterprise Business Conduct at Allstate, presented on the topic of what to look for when selecting a case management system. At Allstate, Lyn’s area is divided into ethics and compliance, with the ethics department taking care of the people in the organization and compliance handling the organization’s processes. Lyn’s role is in the ethics department, and about two and a half years ago, she began looking for a system to centralize cases and simplify reporting.
Challenges at Allstate:
Here’s a list of some of the challenges Lyn was faced with prior to implementing a case management system at Allstate:
- Large company, 14 regional offices in the US, 5 additional offices (call centers, etc.) and a corporate home office.
- Three companies in one: insurance, financial services and investments.
- Allstate manufactures a promise, not a physical product.
- 30 plus reporting areas: internal and external call lines to report issues/ misconduct.
- 33 000 employees, 35 000+ licensed producers.
- Inquiries about behaviors that might be considered unethical. Is it actually an issue of ethics and integrity, or is it a run of the mill workplace issue?
Data Collection and Analysis
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Originally, corporate reporting consisted of manually collecting information from each group, manually analyzing the data and preparing detailed reports- while maintaining confidentiality. This process was incredibly time consuming and ineffective.
Lyn needed a solution to make quarterly reporting easier and serve as a centralized location where all the information could be collected. Each of these areas had been using its own processes to gather and present the information, making it challenging to compare and analyze the data. Previously, streamlining processes to ensure cases were handled consistently and that each employee was treated the same way was difficult to track. Allstate needed a system that was more intuitive and provided meaningful information that they weren’t able to obtain from Access or Excel programs.
Training and Communication
The information is also used to improve communication and educational efforts throughout the company. Real-time information is critical to Lyn, as her team trains employees on current fraud schemes that pose a risk to the company. Lyn also needed a system that would allow her to view cases by their root cause so that her team could provide additional training to employees based on the nature of the cases reported.
To remain compliant with regulations such as the Sarbanes-Oxley Act and the Federal Sentancing Guidelines, Lyn’s department must report statistics, including incidents, to Allstate’s audit committee. Lyn needed a system that could show results broken down by case type, numbers of cases, job description, pay grade and geographic location but without revealing the names of the people involved in the cases.
Lyn needed to track the status of investigations, who is handling them, trends and root causes, which are difficult to obtain manually. Investigators need access to real time information, which is especially important for traveling investigators, so that when they arrive at their destination, they can see any developments made to the case file while they were on the road.
Another important feature Lyn wanted in a case management system was information that would allow her to hold employees accountable for their assignments, such as how long a case took to close. Workflow and optimizing and defining processes are also critical to the success of the department.
Lyn now has access to far more information than she ever dreamed possible.
Disclaimer: This article is written by Lindsay Walker of i-Sight has been reviewed by Lyn Scrine at Allstate. The article is based Lindsay’s presence at Lyn’s session at the SCCE conference and conversations with Lyn.