Policy/Case Setup - PCM Workflows

• Overview
• Initial

PCM Workflow - Await Approval Workflow

• Approval Received Workflow
• Issued/Delivery Workflow

• PCM Add Setup
• PCM Preferred Add

• Inactive Workflow
• Requirement Workflow

• Requirement Completion Workflow
• Policy-Based Follow-Ups

• Advisor Role Exclusion Setup

Overview

The PCM Workflows section of Policy/Case Setup is where various pending case workflow settings are configured. Note: Workflows for informal applications are configured separately in Policy/Case Setup - Informal PCM Workflows.

Initial PCM Workflow

The initial PCM workflow applies to new pending cases. Watch the Training Class: Setting up an Initial Pending Case Workflow To access the initial pending case workflow settings:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu.
• Select Initial PCM Workflow from the expanded list to display the settings.

The settings are as follows: - The Case Manager should default to: Specifies the default case

manager assigned to the pending case. Choose one of these options: - Case Manager in Policy Key Relations: This is the person listed in the Policy Contacts section of the advisor's Key Relations content link with a role of Case Manager. If more than one person has the Case Manager role, SmartOffice uses the first one added to the advisor record. Note that the policy contact must be linked to a user account (through the user account Detail content link).

• Case Manager of Advisor: This is the person listed in the Case Manager field on the advisor's Personal content link.
• Current User: This is the SmartOffice user who is creating the

pending case. - The initial PCM status should be: Specifies the default status of new pending cases. The default status is Submitted.

• Update issued premium when case is in Approved stage: When this option is selected, SmartOffice updates the issued premium of cases when they reach an Approved stage and again when cases reach a Delivery/Issued stage. When this option is cleared, issued premium information is updated only when the case reaches a Delivery/Issued stage. This option is designed to accommodate agencies' preferences regarding when issued premium information should be updated in a case's premium history.
• When an underwriting requirement is added to a case, the status should be: Specifies the default status of the underwriting requirements that SmartOffice automatically adds to new pending cases based on underwriting guidelines specified in the Carrier and Product modules. In the Required of column, select the default person or entity responsible for these requirements. Note that these settings can be overridden for specific sub-requirements by defining follow-up rules in Policy/Case Setup - Follow-Up.

• When an underwriting requirement is manually added to a case, the status should be: Specifies the default status of underwriting requirements that are manually added to a case by the case manager. In the Required of column, select the default person or entity responsible for these requirements. Note that these settings can be overridden for specific sub-requirements by defining follow-up rules in Policy/Case Setup - Follow-Up.

• When delivery requirement is added to a case, the status should be: Specifies the default status of delivery requirements that SmartOffice automatically adds to new pending cases based on underwriting guidelines specified in the Carrier and Product modules. In the Required of column, select the default person or entity responsible for these requirements. Note that these settings can be overridden for specific sub-requirements by defining follow-up rules in Policy/Case Setup - Follow-Up.

• When a delivery requirement is added to a case manually, the status should be: Specifies the default status of delivery requirements that SmartOffice automatically adds to new pending cases based on underwriting guidelines specified in the Carrier and Product modules. In the Required of column, select the default person or entity responsible for these requirements. Note that these settings can be overridden for specific sub-requirements by defining follow-up rules in Policy/Case Setup - Follow-Up.

• When CWA is initially received, the requirement status should be: If the Cash Received field is filled in when a pending case is created, the Cash with Application requirement is automatically added to the Underwriting Requirement List. This option specifies the default status of that requirement. In the Required of column, select the default person or entity responsible for these requirements.
• The CWA requirement description should be: Specifies the default text that displays in the description of the Cash with Application requirement. Select the Enter the amount into the description option to also include the cash amount in the description.

• When Replacement check box is checked, the requirement should be: Specifies the requirement that should be added automatically to the Underwriting Requirement List of a new case if the user selects the Replacement option in the Pending Case Add Detail dialog box.
• When the Replacement check box is checked, the requirement status should be: Specifies the default status of the Replacement requirement defined in the previous field. In the Required of column, select the default person or entity responsible for these requirements.

• If the advisor checks are completed and a request is added, the underwriting requirement added should be: Specifies the requirement that should be added to a new case's Underwriting Requirement List if the user has created an advisor request after SmartOffice has checked the advisor's license, contract, appointment and compliance information.
• When the advisor request requirement is added to the case, the status should be: Specifies the default status of the advisor request requirement defined in the previous field. In the Required of column, select the default person or entity responsible for these requirements.

• Mark underwriting requirement as completed when status is changed to: When an underwriting requirement's status is changed to the status specified here, the current date is automatically recorded in the requirement's Completed Date field. In the Required of column, select the default person or entity responsible for these requirements. If the field in this column is left blank, the requirement's Completion date is automatically recorded regardless of what the Required Of field states for an underwriting requirement.
• Mark delivery requirement as completed when status is changed to: When a delivery requirement's status is changed to the status specified here, the current date is automatically recorded in the requirement's Completed Date field. In the Required of column, select the default person or entity responsible for these requirements. If the field in this column is left blank, the requirement's Completion date is automatically recorded regardless of what the Required Of field states for a delivery requirement.

• Mark POS requirement as completed when status is changed to: When a policy owner service (POS) requirement's status is changed to the status specified here, the current date is automatically recorded in the requirement's Completed Date field. In the Required of column, select the default person or entity responsible for these requirements. If the field in this column is left blank, the requirement's Completion date is automatically recorded regardless of what the Required Of field states for a POS requirement.
• Default Req. Manager for newly added requirements: This setting defines whether the requirement manager automatically assigned to a newly added requirement is the current signed-in user or the case manager.

• Prompt for letter when requirement changes: If this option is selected and a user navigates to a different content link after adding/modifying a pending case requirement, the system asks the user whether a letter regarding the change should be sent.
• Show Proposed Stage along with Underwriting All: When this option is enabled, users who select the Underwriting All option from the Policy Stage drop-down list at the top of the Pending Case List will

see pending cases that are in the Proposed stage included in the list. - Default Stage for PCM Search: Specifies the default stage that is selected when the user opens the Search Pending Cases dialog box.

• Default Stage for Policy Search: Specifies the default stage that is selected when the user opens the Search Policies dialog box.
• Default Stage for Group Policy Search: Specifies the default stage that is selected when the user opens the Search Group Policies dialog box.

• Default Type selection for Global Follow-Up List: Specifies the default requirement type displayed in the Follow-Up list when the user views requirement follow-ups.

• Default Status for Product Search: Specifies the status that is selected by default when users in the office search for product records.
• When the 'Inforce Request' drop-down list has 'Internal 1035', the requirement should be: Specifies the requirement that should be added to the Underwriting Requirement List of a pending case if the Internal 1035 option is selected from the Inforce Request drop-down list, which is located on the pending case Detail content link.

• When the 'Inforce Request' drop-down list has 'External 1035', the requirement should be: Specifies the requirement that should be added to the Underwriting Requirement List of a pending case if the External 1035 option is selected from the Inforce Request drop-down list, which is located on the pending case Detail content link.

• When the 'Inforce Request' drop-down list has 'Internal Replacement', the requirement should be: Specifies the requirement that should be added to the Underwriting Requirement List of a pending case if the Internal Replacement option is selected from the Inforce Request drop-down list, which is located on the pending case Detail content link.

• When

'Inforce Request' requirement is added, the requirement status should be: Specifies the default status for newly added Inforce Request requirements. In the Required of column, select the default person or entity responsible for these requirements.

• Follow-Up Requirement Setup: When calculating follow-up dates, SmartOffice can be configured to skip Saturday, Sunday or both.

• Follow-Up Method: Select one of the following options from this drop-down list to specify how SmartOffice calculates pending case follow-up dates:

• Both Policy and Requirement: The system automatically tracks follow-up dates for individual pending case requirements as well as for entire pending cases.

• Policy Only: The system automatically tracks follow-up dates for entire pending cases only. The system does not automatically track follow-ups for individual case requirements, although case managers can still set follow-up dates manually for individual requirements that they want to track.

• Requirement Only: The system automatically tracks follow-ups on a per-requirement basis only and does not track follow-ups for entire cases.

Tip: Requirement-based follow-ups are configured in Policy/Case Setup - Follow-Up, while policy stage-based follow-ups are configured in the Policy-Based Follow-Ups section of Policy/Case Setup - PCM Workflows. -

Use Case Status service: If the Follow-Up Method drop-down list is set to Both Policy and Requirement or Policy Only, this option can be selected to have the system automatically generate case status reports nightly to advisors based on policy-based follow-up dates. For more information about these status reports, see Case Status.

Await Approval Workflow

The await approval workflow is used to avoid a break in the follow-up process when all underwriting requirements are received and the user is awaiting an approval. Watch the Training Class: Setting

up an Await Approval Workflow When the await approval workflow is triggered for a pending case, two events occur: -

An await approval underwriting requirement is automatically added to the case's Requirements content link.

• The case status changes according to the workflow setup.

Once a case's status is set to Await Approval, adding any additional requirements reverts the case's status to another pending status. To access the await approval workflow settings:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu.
• Select Await Approval Workflow from the expanded list to display the settings.

To add an await approval entry: - Click the Options button and select New 'PCM Workflow' record to open the Await Approval Workflow dialog box.

• Complete the fields to define the workflow.
• If there are certain underwriting requirement sub-types whose status need not match the status specified in the When all of the Underwriting Requirements have a status of field before the workflow is triggered, add those requirement types to the Exclusion Sub-Type List by clicking the Options button and selecting New 'Exclusion Sub-Type' record.

• Click the OK button.

Approval Received Workflow

When a case is approved, this workflow logs how the approval was performed. Watch the Training Class: Setting up an Approval Received Workflow To access the approval received workflow settings:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu.
• Select Approval Received Workflow from the expanded list to display the settings.

To create an approval received entry: - Click the Options button and select New 'PCM Workflow' record to open the Approval Received Workflow dialog box.

• Complete the fields to define the workflow.
• Click the OK button.

The administrator can create a different approval workflow for each approval status/line of business combination. When a user triggers the approval received workflow for a pending case, SmartOffice gives the user the opportunity to assign a different status if the case was approved other than submitted. This may occur, for example, if the risk class changes or a table rating is added before approval. SmartOffice then starts the workflow specified for that status. When multiple Approval Received workflows are configured, those that apply to a specific line of business take precedence over those that apply to all lines of business.

Issued/Delivery Workflow

When a policy is received from the carrier, the issued/delivery workflow prompts the user to update all data regarding the policy. Watch the Training Class: Setting

up the Delivery Workflow To access the issued/delivery workflow settings:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu.
• Select Issued/Delivery Workflow from the expanded list to display the settings.

To add an issued/delivery workflow entry: - Click the Options button and select New 'PCM Workflow' record to open the Issued/Delivery Workflow dialog box.

• Complete the fields to define the workflow.
• Click the OK button.

When the issued/delivery workflow is triggered, a dialog box with details about the pending case opens. Any changes between applied-for and delivered policy information, such as insured class and pay method, are entered here. The information entered carries over to the case's Delivery content link. Note: SmartOffice allows unique issued/delivery workflows for any combination of case status and line of business. If a workflow is configured to apply to all lines of business, SmartOffice runs that workflow unless a workflow specific to the line of business exists.

PCM Add Setup

In PCM Add Setup, the administrator can specify default settings for new pending cases. In addition to setting the default insurance type, the administrator can specify whether the Variable Product and Second Insured options are enabled by default in new cases. Under Standard Underwriting Requirements, the administrator can enable or disable the automatic generation of underwriting requirements that occurs when users create pending case records (these standard requirements are defined on the Insurance Carriers - Underwriting Guidelines and Notes Content Link and the Products

• Underwriting Guidelines and Notes Content Link). Auto-generation of standard requirements can be disabled for all carriers, resource-office carriers, System-office carriers or office-hierarchy carriers.

PCM Preferred Add

The PCM Preferred Add setup specifies the insurance application type, product options, insurance type, carrier and other settings that are automatically selected in the Pending Case Add dialog box, saving users time when they create pending cases. To access the preferred add settings:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu.
• Select PCM Preferred Add from the expanded list to display the settings.

Inactive Workflow

The inactive workflow is used to process formal and informal pending cases that are set to an inactive status. When the inactive workflow is triggered for a pending case, two events

occur: - SmartOffice prompts the user to enter remarks explaining the change, along with the date the case was made inactive. (The inactive date can be used as a parameter when generating pending case Dynamic Reports).

• The user is presented with an option to create a calendar activity.

To access the inactive workflow settings: - In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu.

• Select Inactive Workflow from the expanded list to display the settings.

To add an inactive workflow entry: - Click the Options button and select New ‘PCM Workflow’ button to open the Inactive Workflow dialog box.

• Select an inactive status and a line of business from the appropriate drop-down lists.

• Click the OK button.

Requirement Workflow

This section is used to define the workflows triggered when users click the Quick Receipt check boxes in requirement lists (for more information about the Quick Receipt feature, see Pending Cases - Requirements Content Link). Different quick-receipt workflows can be configured for different requirement types. Workflow options include changing the requirement’s status, adding

a new requirement, entering remarks and more. To access the quick receipt requirement workflow settings:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu.
• Select Requirement Workflow from the expanded list to display the PCM Workflow

• Requirement Workflow list.

To add a requirement workflow: - Click the Options button and select New 'PCM Workflow' record to open the Requirement Quick Receipt Button dialog box.

• Configure the settings:
• Requirement Location: The area of the system in which the requirement is listed. This field is required. Note that only one workflow can be created per requirement location. If a workflow has already been defined for a location, that location is not available for selection from this drop-down list.

• Then change the Requirement Status to: The new requirement status that takes effect when users select the Quick Receipt check box.
• Required of: The person or entity who will be responsible for the requirement once its status changes.

• Clear Follow-Up Date: When this option is selected, SmartOffice clears the follow-up date associated with the requirement after the status changes.

• Pop-up Remark Column: Select this option to give users the opportunity to immediately enter a remark for a requirement after clicking its Quick Receipt check box.

• Visible to Advisors: Use this option to indicate whether the requirement becomes visible to SmartView for Advisors and iCaseStatus mobile app users once the requirement status is updated. When the field is left blank, the workflow will leave the existing Visible to Advisors setting on a requirement unchanged. This option also specifies whether the requirement is included in correspondence and Case Status updates sent to those users. Note that this option does not apply to Internal-type

requirements, which are always invisible to advisors. - In the Additional Requirement Workflow section, the administrator can define additional requirements that the system should create when the Quick Receipt button is clicked for particular requirements. For these additional requirements, the administrator can define default status, required-of and user/user

group assignment settings. - Click the Options button and select New

'AdditionalReqs' record to open the Additional Requirement Workflow dialog box.

• Select the specific requirement, status, user assignment and other information.
• Click the OK

button. - Repeat Step 3 to add more workflow items if necessary.

• Click the OK button.

Requirement Completion Workflow

This section enables the administrator to configure the system to automatically marks pending case requirements as Completed based on updates received from pending case downloads. For each requirement type (underwriting, delivery, etc.), the administrator can specify different combinations of Status and Required Of values that will trigger the system to mark the requirement as Completed. These workflows are triggered both in manual Side-by-Side Processing and Direct Download and Replace configurations. To add a requirement completion workflow:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu to display an expanded list of options.
• Select Requirement Completion Workflow to display the Requirement Completion Workflow list.

• Click the Options button and select New 'Requirement Completion' record to open the Requirement Completion Workflow dialog box.
• Select the requirement type that the workflow applies to.

• Select the Status and Required Of values that will trigger the system to mark the selected requirement type as Completed.
• Click the OK button.

To delete a requirement completion workflow: - In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu to display an expanded list of options.

• Select Requirement Completion Workflow to display the Requirement Completion Workflow list.
• Select a requirement completion workflow from the list.

• Click the Options button and select Delete 'Requirement Completion' record.

Policy-Based Follow-Ups

Watch the Training Class: Case Status Policy-Based Follow-Ups Note: This section is relevant only if the Follow-Up Method drop-down list is set to Both Policy and Requirement or Policy Only in the Initial

PCM Workflow settings of Policy/Case Setup. In this section, the administrator can define policy stage-based follow-up dates for pending cases (for more information about stages and related case statuses, see Policy/Case Setup - Status Setup). SmartOffice uses these settings to automatically insert follow-up dates into pending cases. Follow-ups based on policy stage are useful for notifying advisors when their cases are in need of attention at various policy stages. For example, the administrator can specify that, when cases have been in an Underwriting stage for five days, follow-up case status reports are sent to the relevant

advisors. Administrators can even configure a sequence of follow-ups for a particular policy stage. Continuing with the previous example, the administrator could specify that, if cases remain in an Underwriting for another four days after the first follow-up, a second follow-up case status report is sent to the relevant advisors. The second report may contain a more urgent message stating that the case requires immediate attention. Third and even fourth follow-ups could also be configured. Tip: The case status reports can be sent manually (using the Case Status feature) or automatically (by enabling the Case Status Service in the Initial

PCM Workflow settings of Policy/Case Setup). To create a policy stage-based follow-up:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu to display an expanded list of options.
• Select Policy-Based Follow-Ups to display the Follow-Up Policies list.

• Click the Options button and select New 'PCM Workflow' record to open the Select Stage dialog box.
• Select the policy stage that will trigger the follow-up. The Follow-Up List dialog box opens.

• Complete the fields:
• Stage: This drop-down list specifies the policy stage that will trigger the follow-up. By default, this is the stage selected in the previous step, but a different stage can be selected if the earlier selection was incorrect.

• Sequence: SmartOffice automatically assigns a sequence number to follow-ups, starting at 0. The sequence number is based on the order in which the administrator creates follow-ups for a particular policy stage. Note that SmartOffice does not send a case status report for Sequence

0 follow-ups. This is because the purpose of a Sequence 0 follow-up is to tell SmartOffice how many days after cases reach the specified stage that the first actual follow-up (Sequence 1) should be scheduled; the user accomplishes this by filling in the Days for next follow-up field for the Sequence 0 follow-up.

• Days for next follow-up: This field specifies how many days after this follow-up that the next follow-up will occur. This field is mandatory.

• Use for all remaining follow-ups: To avoid having to create many follow-ups for a particular policy stage, the administrator can select this option to simplify the follow-up process. Essentially, this option tells SmartOffice to keep scheduling follow-ups—using the same number of days between follow-ups—until the case moves out of the specified stage.

• Text for Correspondence: Any text entered in this field is inserted into advisor case status reports triggered by the follow-up. If no text is entered, the case status report is still sent, but the report contains no custom message. Leave this field blank for Sequence 0 follow-ups, as SmartOffice does not send case status

reports for those follow-ups. - Click the OK button.

Advisor Role Exclusion Setup

In this section, the administrator can remove advisor role choices to streamline the process of adding advisors to policies. Any role listed here will not appear as a choice in the Role drop-down list when users add entries to the Policy Advisor List in policies and pending cases. To add an advisor role to the exclusion list:

• In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu to display an expanded list of options.
• Select Advisor Role Exclusion Setup to display the Advisor Role Exclusion list.

• Click the Options button and select New 'Advisor Role' Record to open the Advisor Roles dialog box.
• Check the box next to each role you want to add to the exclusion list, and then click the OK button.

To remove an advisor role from the exclusion list: -

In Policy/Case Setup, select the PCM Workflows hyperlink in the left menu to display an expanded list of options.

• Select Advisor Role Exclusion Setup to display the Advisor Role Exclusion list.
• Select one or more advisor roles.

• Click the Options button and select Delete 'Advisor Role' Record.