Staying on top of system exceptions during CIS cutover The prospect of a new or upgraded customer information system (CIS) can prompt significant stress and anxiety. Concerns over the ability of users to learn the new system quickly, build confidence in using it, teach others and confirm correct bills are common and understandable. Often, the greatest fear of all is related to system exceptions — those transactions that do not complete as planned and require additional intervention. Exceptions are time-consuming and a major reason why some new CIS implementations fail to meet critical KPIs during the initial months of operation. The higher volume of exceptions that accompanies go live severely hampers IT performance and customer service when both are already compromised by the adjustment to a new system. It is time to address system exceptions in the context of the wider implementation.
Exception volume typically rises following a CIS deployment because of several factors: 1. Issues with data quality — transactions in the new system will run on converted data and issues with erroneous or missing data may cause exceptions to be generated. 2. The new system either includes tighter business or validation rules (e.g., different collection thresholds or high-bill amounts), or applies the defined business rule more robustly than the legacy system did. 3. There are system defects that were not detected during testing. 4. End-user errors — the volume of these will depend on how well users have been trained, their understanding of the CIS data model and their knowledge of the new business processes.
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In order to support a manageable exception volume, and therefore a smoother cutover, invest time early in the implementation process to prepare for the new system. This will involve modeling the number of exceptions that will be generated, looking for ways to automate exception handling and focusing sufficient end-user training on the areas where manual intervention will be required. These activities should be planned as part of the implementation project, rather than waiting until going live to react to the higher exception volume. The remainder of this paper will discuss how to design effective exception-process training within the context of the wider implementation. This will help end users have the right skills and knowledge to perform any manual work that is required to clear the exceptions generated in the new system effectively.
Where do we start when implementing a new CIS? Define your business processes Implementing or upgrading a CIS starts with understanding future-state business processes in the context of targeted customer outcomes. Welldefined future-state business processes are essential, not only to test the new system, but to design, develop and deliver an effective role-based training curriculum. When exceptions begin to occur in the live system, the defined business processes will help users determine what steps to take to resolve them. Process maps are useful during configuration and development, but understanding the intent of the business processes will go far in supporting the resolution of exceptions at cutover. Projects that miss this critical step are hindered by miscommunication between organizational units. Questioning supervisors to identify the correct resolution procedures wastes time and impacts the confidence of both end users and management, thus negatively impacting customer service.
How can we set up for success? Configure early, configure thoroughly One of the first priorities when implementing a new CIS is to calibrate the base configuration across all functions. This should be done as early and as completely as possible — and by a team that knows the system fundamentals well. This effort requires collaboration across the business, configuration and training teams. Tight configuration at the beginning of the build cycle saves time and reduces stress for end users, supervisors and managers at a point when anxiety levels are already high.
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Why is training a critical element? Training is paramount — and the basics come first The best argument for comprehensive training in the basics — prior to any concern about exceptions — is that it will reduce the number of exceptions. Introducing a new system is always a big change and often not embraced by end users for several reasons. These include a lack of proficiency and confidence in the new system, as well as gaps in understanding the business processes as changed to fit the new system. Training is key for both testers and end users to minimize exceptions caused by user error. Key factors to guide training programs are: 1. Take a holistic view: exceptions must be considered — and trained — within the context of the total solution and not as a discrete functionality. Users must first learn the unexceptional functionality before they can recognize an exception. Basic exceptions should be folded into fundamental system training. For example, when training the billing team, include missing address exceptions and one or two common bill segment exceptions, such as a missing meter read or high-bill limit exceeded. However, exceptions should be taught at the end of the session — only after the end users have a solid foundation in unexceptional billing functionality. 2. Let users exercise their judgment: common and relatively simple exceptions can be resolved by following routine steps (and many of these can therefore be automated, so that they do not require user intervention), but others require end users to draw upon their experience. The users should be empowered and encouraged to use their own judgment to research historical conditions and previous “one-off” conditions to enable them to resolve complex exception cases effectively. For example, back-office personnel are skilled in reviewing meter read consumption to determine if usage is abnormally low and potentially the result of a dead meter or an incorrect meter read. Even resolving exceptions with the same specific message can involve different steps and, often, one issue resolves or creates another. It is up to the end user to consider each situation and apply their discretionary analytical skills to exception resolution thoughtfully. And they can only do this after complete training in the basics.
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3. Plan workshops to progress from foundational knowledge: once users have learned — and practiced — the basics of the new system, it is time for exceptions workshops. These workshops should build on existing, practical knowledge and not introduce basic concepts. They should be conducted within short time frames and with small groups, which encourages users to work and talk with each other about the system and grow in confidence, skills and collaboration. Exceptions or refresher training works best when it takes place no more than four weeks before going live and continues past this date as working sessions. These post-going-live workshops should be considered another form of practice, but with more complex scenarios from the production environment. 4. Practice, practice, practice: attending classes and learning the curriculum is not enough. Building proficiency and confidence in the new system requires end users to continue to practice — in a “sandbox” environment — after training is finished and in the lead-up to going live. Without that frequent exposure to the new system, users will usually struggle during cutover and beyond. Practice is especially important prior to specific training in exceptions. Those who go straight from their required training classes into exception workshops typically struggle with exception resolution. We recommend 70 to 100 hours of practice on key processes before users attend exceptions workshops. If users are not familiar with the “happy paths” of transactions, resolving complex exceptions seems more difficult and contributes to a circle of low morale, lack of confidence and downstream impacts on customer service.
What is the best way to resolve exceptions? Work as a team — and bring in the experts Exceptions occur for a range of reasons, including inadequate training, configuration or conversion issues and system defects. This means that resolving exceptions depends on teams to work together, which can be difficult during new system implementations that often involve users from various organizations. Utilities want their most talented end users to focus on daily tasks, not spend time on system defects or conversion issues. To keep these end users on the job while others focus on defects and issues, we recommend a SWAT team with expertise in data and conversion, business functionality, systems, configuration, batch runs and system operation and any interfacing systems such as mobile workforce or outage management systems. This SWAT team may commonly be a mixture of project resources and business operational staff. In less than an hour each day, this team can quickly separate the “real” operational exceptions from the system defects or data issues. A representative from training should be involved as well, in order to incorporate the decisions that will affect end-user operation. Owners of each type of exception should be identified with a responsibility to follow up on the disposition. These clean-up actions should occur in advance of exception resolution training.
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How can we achieve sustainable success? Measure and adjust regularly Putting metrics in place early in the project helps estimate how many system exceptions will be generated in each operational area. Based on this data, tools can be built to clear as many exceptions as possible and staffing models are created to make sure sufficient resources are assigned to clear the exceptions that will require manual intervention. At EY, our teams use analytics associated with online performance support systems, and we employ a capacity planning tool that analyzes current and future-state models to anticipate and plan for changes in staffing. The tool includes time and motion metrics for the most prevalent customer transactions in both the legacy and new implementations. It aims to help utilities understand where they may need to shift staff, add new people, perform on-the-spot coaching or extra training and make temporary technical fixes or workarounds to limit customer, business and operational disruptions caused by exceptions. Once the new system is live, measure and monitor exceptions every day. Some examples of the metrics that may be used are: • Daily number of exceptions by exception message • Daily number of completed exceptions by user • Daily number of assigned exceptions by user • Number of incomplete bills at bill cycle close date These regular deep dives into exceptions allow the business to identify which system tasks are not executing as designed and may need to be adjusted. For example, insight into a large volume of exceptions associated with high bill limits can allow the business to make operational changes as appropriate. Measuring how many exceptions are completed by each user in a day also helps identify which users are struggling and where they may need extra training.
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What’s the bottom line? While every project will look to automate the management of system exceptions to as high a degree as possible, there will always be exceptions that require manual intervention. These exceptions can be complex in nature, particularly in the period immediately after going live, when issues with converted data and system defects can cause additional exception volumes and complexities. Managing these exceptions effectively requires the planning and execution of quality training. Early definition of business processes and system configuration allows a utility to prepare a comprehensive, well-planned training program that must be complemented by ongoing coaching, support and practice. The right metrics in place supports training that is meeting business needs, reducing exceptions and allowing utilities to reap the full business benefits of CIS implementations.
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EY | Assurance | Tax | Transactions | Advisory About EY EY is a global leader in assurance, tax, transaction and advisory services. The insights and quality services we deliver help build trust and confidence in the capital markets and in economies the world over. We develop outstanding leaders who team to deliver on our promises to all of our stakeholders. In so doing, we play a critical role in building a better working world for our people, for our clients and for our communities. EY refers to the global organization, and may refer to one or more, of the member firms of Ernst & Young Global Limited, each of which is a separate legal entity. Ernst & Young Global Limited, a UK company limited by guarantee, does not provide services to clients. For more information about our organization, please visit ey.com. © 2017 EYGM Limited. All Rights Reserved. EYG no. 00616-174Gbl BMC Agency GA 0000_09638 ED None This material has been prepared for general informational purposes only and is not intended to be relied upon as accounting, tax or other professional advice. Please refer to your advisors for specific advice.
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