Child Care Administrator’s Improper Payments Information Technology Guide

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C. Other Software Products from the Human Services Field

This section describes additional software solutions currently used in the human services field that States can leverage across programs to reduce improper payments.

1. Document Imaging and Electronic Case Files

Document imaging involves the transformation of paper documents into electronic documents through scanning and storing. Document imaging and electronic case files offer several advantages, including:

• Allowing insertion of electronic documents into a client’s case file along with other required information;
• Reducing the costs of purchasing paper, printer ink cartridges, and storage capacity for paper documents;
• Allowing States to alter business processes associated with eligibility determination and case management to increase accuracy and efficiency; and
• Sharing case management workload across disparate locations.

Electronic case files allow States, including Florida and Washington, to use call centers for eligibility determination and case management of benefit programs. Call centers receive and efficiently process application information from clients over the phone, by mail, by fax, and via the internet. Call center processing increases standardization, efficiency, timeliness, and customer service, reducing staff time.

a. How the Solution Addresses Improper Payments

The solution addresses the challenges of preventing and identifying improper payments by:

• Increased availability of case information including pay stubs, applications, identity verification documents required for eligibility determination, and payment authorization;
• Improved efficiencies in quality assurance, monitoring, and fraud investigations through retrieval of electronic case files; and
• Reduced staff time by centralizing processing of large volumes of applications via mail, internet, fax, and phone.

b. Example System Name and State

Florida Department of Children and Families

Washington Department of Social and Health Services

c. Implementation Overview

The implementation of document imaging and electronic case files represents a major enterprise investment that crosses multiple programs. A complete implementation overview from one or more States exceeds the scope of this guide. However, any State considering a move to document imaging and electronic case files needs to consider the following:

• Moving to electronic case files represents a major change in business process for eligibility determination and case management. Gathering stakeholder needs and clearly defining user requirements is an important first step. States may choose to establish a steering committee including end-users, information technology staff, and vendor staff (if a vendor is used) to guide the system initiative.
• Storing files electronically requires sufficient hardware to store and retrieve large quantities of data in a timely fashion. States need to include record retention requirements (typically at least three years) when estimating storage needs.
• Document imaging requires high quality scanners and new business processes. Scanning options for States to consider include:
  • Using current staff to scan records from local offices;
  • Sending all documents to a central location for imaging; or
  • Providing self-service imaging services for applicants to scan verification documents as part of an on-line application.
• Imaging requires new software to manage the storage, organization, and retrieval of electronic documents. Some States develop this capacity in-house while others purchase software from vendors.
• Electronic case files require new business practices regarding security levels. States need to identify which staff members can have access to what information and create role-based security that authenticates users.
• States may choose to pilot document imaging to identify and address any system and business process issues.
• States may choose to conduct a phased implementation to mitigate risk.

d. Costs

Although specific costs are unavailable, the following list identifies the cost areas associated with this solution:

• Hardware (servers, scanners);
• Software (scanner software, document management software);
• Training; and
• New document imaging technician staff (optional).

e. Implementation Challenges

States face the following implementation challenges with the document imaging solution:

• Identifying a Statewide common taxonomy and case filing system presents challenges to many local offices to change their business practices and reorganize their cases.
• Redefining business processes associated with eligibility determination, change reporting, and case management is critical. Decisions regarding new roles and practices require careful planning that includes system end-users.
• Record conversion strategy requires decisions regarding which current or past case files to image and file electronically. Conversion of current cases can be time-consuming and costly.
• Adequate training for all staff to use the new system is important. if new document imaging technicians are not hired, existing staff will need training in document imaging.

f. Benefits

Solution benefits include:

• Streamlining work processes by automating the flow of paperwork;
• Providing important real-time information to staff electronically;
• Achieving gains in program integrity; and
• Eliminating the challenges of storing and retrieving paper records.