HHSC DPC Document Processing Procedures & Processes
Texas Health and Human Services
Office of Eligibility Services
Document Processing Center
Document Processing Center
Process and Procedures
Page |i
HHSC DPC Document Processing Procedures & Processes
Table of Contents
Document Processing Procedures & Processes ............................................................................................ 4
1.0
Overview ................................................................................................................................... 4
2.0
Key Areas................................................................................................................................... 4
3.0
Document Receipt and Inspection ............................................................................................ 5
4.0
Document Preparation............................................................................................................ 12
4.1
Envelope Content Preparation................................................................................................ 12
4.2
Classification & Batching ......................................................................................................... 13
4.3
Document Preparation – Exceptions - Special Handling......................................................... 15
4.3.1
Image Only .......................................................................................................................... 15
4.3.2
SNAP-SSI and SNAP CAP ...................................................................................................... 18
4.3.3
Multi-Case ........................................................................................................................... 19
4.3.4
EBT Cards in mail ................................................................................................................. 19
4.3.5
Original Documents ............................................................................................................ 19
4.3.6
CHIP Payments .................................................................................................................... 20
4.3.7
Handling Unidentifiable Mail .............................................................................................. 22
4.3.8
Provider Claims and Health Insurance Claim Form............................................................. 24
4.3.9
Internal Revenue Service (IRS) Federal Tax Information [FTI] ............................................ 25
4.3.9
Contaminated Mail ............................................................................................................. 25
4.3.10 MBIC MCL Forms ................................................................................................................. 27
4.3.11 MBIC Payments ................................................................................................................... 27
4.3.12 Enrollment Broker (EB) forms, CAF and CHIP Supporting document ................................. 29
4.3.13 Handling of Voter Registration (H0025).............................................................................. 29
4.3.14 Special Handling of Business Reply Mail (BRM) envelopes: ............................................... 30
4.3.15 Proper handling of mail containing threatening language: ................................................ 31
4.3.16 Handling of ACA Application ............................................................................................... 32
5.0
Document Imaging .................................................................................................................. 32
5.1
OPEX [AS3600i] Scanner Operations....................................................................................... 32
5.1.1
Login .................................................................................................................................... 32
5.1.2
Imaging ................................................................................................................................ 32
5.1.3
OPEX Batch Review ............................................................................................................. 33
5.1.4
Types of Exceptions Handling in Scanning .......................................................................... 34
5.1.5
Verification steps - iepmopex004 ....................................................................................... 35
5.2
FUJITSU [FI5900C] / KODAK 1860i Scanner Operations.......................................................... 35
5.2.1
Launching the Kofax Scan Application ................................................................................ 36
5.2.2
Setting Box Number ............................................................................................................ 36
5.2.3
Imaging Documents ............................................................................................................ 36
5.2.4
Batch Review ....................................................................................................................... 36
5.2.5
Exception Handling ............................................................................................................. 38
5.3
Batch Ticket ............................................................................................................................. 38
5.4
Process to resume scanning after Power Outage ................................................................... 39
5.5
Daily Scanner Maintenance and preventive maintenance ..................................................... 39
6.0
Section 4 Reporting Outages and Freezes .............................................................................. 39
6.1
Reporting Outages and Incidents............................................................................................ 40
6.2
Scanner Freezes ...................................................................................................................... 40
7.0
Section 5 Quality Control & Assurance ................................................................................... 40
7.1
Concurrent Audits – Review of Prepared Documents ............................................................ 41
7.2
KOFAX – Review of Imaged Documents.................................................................................. 41
P a g e | ii
HHSC DPC Document Processing Procedures & Processes
7.3
QC Technician Validation ........................................................................................................ 42
7.4
Image Review .......................................................................................................................... 42
7.5
Error Validations ..................................................................................................................... 43
7.6
Quality Control Reviews .......................................................................................................... 43
7.7
Report Field and Descriptions ................................................................................................. 44
7.8
QC Service Review Instrument (SRI) ....................................................................................... 45
7.9
DPC Monthly QC Report.......................................................................................................... 46
7.10 Reporting/Reconciliation ........................................................................................................ 46
7.10.1 Box Identification (ID) Report ............................................................................................. 46
7.10.2 Rejected Images Review ..................................................................................................... 46
7.10.3 Stored Documents Retrieval ............................................................................................... 47
7.10.4 KOFAX Daily/Weekly Report ............................................................................................... 47
7.10.5 Daily Notebook.................................................................................................................... 48
7.10.5.1
Tabs for Daily Notebook.................................................................................................. 48
7.10.6 Inbound Envelope Receipt Log............................................................................................ 49
7.10.7 Dashboard and Manager Tabs ............................................................................................ 49
7.10.8 Reconciling the DPC Daily Notebook .................................................................................. 50
7.10.9 DPC Daily Notebook Approval ............................................................................................ 50
7.10.10
Reporting Torn Envelopes Received at DPC.................................................................... 50
7.10.11
Collection/Reconciliation of Monthly Transaction Count for invoice ............................ 51
8.0
Document Storage and Disposition ........................................................................................ 51
8.1
Storage .................................................................................................................................... 51
8.2
Destruction.............................................................................................................................. 51
8.3
Case Records [State Contracted Facility] ................................................................................ 52
Appendix A - Forms Recognition ......................................................................................................... 53
Appendix B - Distribution list .............................................................................................................. 53
Appendix C – Glossary......................................................................................................................... 53
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Document Processing Procedures & Processes
1.0 Overview
The Document Processing Center (DPC) is responsible for receiving, handling and processing
incoming mail from HHSC clients and documents mailed and shipped from HHSC state offices.
The DPC will retrieve, open, prepare and image received documents, and release the electronic
data files that are created to the respective program processing areas, ES (IE) and CHIP.
The DPC processes all documents received into an electronic image, captures as much
information as possible electronically, and forwards that information to respective Eligibility
Support Program Technicians for further processing. The document sets are associated, or
linked, by Application Support and/or auto-routed to state staff.
The primary purpose of this document is to describe the processes and procedures for the HHSC
Document Processing Center (DPC) in Midland, Texas. These processes are supplemented, in
many cases, with detailed Work Instructions and Job Aids that are maintained separately.
The processes described in this document are defined and implemented in conjunction with
HHSC Oversight staff. Any change to a DPC process must be reviewed and approved by HHSC
prior to implementation. Any process or procedure requested by HHSC must be described in
this document for historical, compliance and operational purposes.
2.0 Key Areas
This document is primarily organized around the key functional processes in the DPC operation,
including those below. Additional processes that fall outside the scope of these areas may be
added as necessary.






Section 1
Section 2
Section 3
Section 4
Section 5
Section 6
Document Receipt & Inspection
Document Preparation
Document Imaging
Reporting Outages and Freezes
Quality Control & Assurance
Document Storage & Disposition
3.0 Document Receipt and Inspection
3.1 Mail Delivery Receipt
There are three (3) primary methods for receiving mail at the DPC:
1. Mail is picked up at the General Mail Facility, US Post Office 1000 Sloan Field
Blvd, Midland, TX 79711.
a. Image API staff perform two mail pick-ups daily at approximately 7:30
am and 9:15 am. Additional mail pick-up rounds are performed as
needed based upon mail volume.
b. When receiving certified mail, the following steps apply:
i. Certified mail shall be picked up during the second (or last run).
ii. When the Mail Room Technician (MRT) arrives at the US Post
Office, he/she shall go to the front desk to collect the certified
mail.
iii. The MRT shall sign each of the receipts (or stamps it with the
IMAGE API signature stamp) and then separate the receipt from
mail.
iv. The MRT shall count the signed/separate receipts and mail
pieces to verify that the count matches and then hand-over
signed receipt to Post office staff.
2. Mail may be delivered to the DPC by a third-party carrier, including FedEX, UPS,
USPS, Lone Star Courier or other carriers. Third-party deliveries from FedEx,
Lone Star, and UPS are made at the front desk. Front desk staff will inform the
DPC staff of the arrival of a delivery.
Designated staff will receive the delivery and sign for the total number of
packages/parcels delivered. DPC designated staff shall verify with the driver that
DPC packages have been delivered.
3. Mail may be delivered to the DPC from HHSC State Document Processing (DP)
Technicians in Midland. Mail may also be retrieved from HHSC State staff or
Maximus staff throughout the day.
Upon return to the DPC from the Post Office, the DPC Mailroom staff shall:
1. Visually verify all mail and mail containers have been removed from the
delivery vehicle.
2. If DPC Warehouse determines mail has been delivered to the wrong
address, mail should be placed in the “RETURN to SENDER” bin and
returned to the Post Office.
3. DPC Mailroom staff shall evaluate, identify and sort mail according to the
appropriate PO Box category for processing. The PO Box numbers and
associated document types or categories are:
o PO Numbers and Categories
 14000 – WHP Applications and Redeterminations
 14100 – MBI Payments & MBIC – MCL Form
 14200 – CHIP Applications
 14300 – CHIP Recertification’s
 14400 – CHIP Changes (till CHIP transition to ES) and
Enrollment Broker
 14500 – CHIP return address for outgoing envelopes, CHIP
Returned Mail (till CHIP transition to ES) , EB Returned Mail
and VIK – CISS Letters
 14600 – ES Applications
 14700 – ES Recertification
 14800 – ES Changes and Miscellaneous and Image Only
 14900 – ES return address for outgoing envelopes
 15100 – ES Missing Information
 15200 – Un-designated at this time
Once mail has been received, it should be loaded onto carts and moved
to a staging area in the mail opening area of the mailroom.
3.2 Mail Delivery Receipt – Handling Exceptions
The following mail types are considered exceptions and require special handling and processing:
1. Mail received by the DPC into PO Box 14100 falls into one of two categories:
a. MBI Payments: MBI Payments shall be out-sorted and transferred to the
Document Preparation Supervisor for special handling and processing.
Refer to Section 3.4.1 for more detailed steps on handling payments.
b. MBIC Payments and MCL Form: MBIC Payments and the MCL forms shall
be processed through the mailroom and delivered to the DPC production
floor for processing. However, MBIC Payments identified during document
preparation shall be out-sorted by prep staff and given to the Document
Preparation Supervisor for special handling and processing. Refer to Section
3.4.1 for more detailed steps on handling the payments.
2. Mail received by the DPC into PO Box 14900 (ES Returned Mail) or 14500 (CHIP
Returned Mail till CHIP transition to ES and EB returned mail):
The DPC Mailroom will monitor and identify any mail which was never attempted to be
delivered by the USPS to an HHSC client. This mail may be identified by having no
yellow return mail sticker or a stamp stating “Unable to deliver.”. The following steps
shall be taken when receiving this mail:
Mailroom Supervisor will immediately report the issue to the DPC Manager.
The DPC Manager will be responsible for contacting the Eligibility Support Vendor
(ESV) HHSC contact in Midland and the US Postal Service on the same day.
3. If necessary, the DPC designated staff will take the mail to the USPS so that they can
read the bar code to better identify the issue.
4. The Eligibility Support Vendor HHSC contact in Midland will make the determination
if the mail should be logged.
5. The ESV Eligibility Support Vendor HHSC contact in Midland and/or DPC Manager
will Contact Consumer Affairs when necessary
Note : All Returned mail at DPC shall be processed as ES Returned Mail.
1.
2.
3. Torn or Opened Mail:
The Mailroom supervisor shall report torn or opened envelopes received at the DPC,
including mail from PO BOXES or mail from third-party couriers. The IAPI Midland
Project Manager shall report possible HIPAA violations to HHSC. Torn mail should not
be sent to the production floor until it has been reviewed and reported.
3.3 Mail Opening
Most incoming mail should be opened using the OPEX Omation Model 206 mail opening
machines. Any mail that cannot be handled by the OPEX machine due to its size or bulk
will be opened manually. The following steps should be taken when opening mail:
a. Mail opening machines shall be calibrated to ensure minimum
‘chipping’ is performed during opening. This calibration prevents
damage to envelope contents during the opening process. The OPEX
Machine is used to ‘count’ the envelopes during the opening process.
The mailroom staff shall ZERO the count prior to opening each tray of
mail.
b. A ‘Jogger’ machine shall be used to ‘settle’ the contents of envelopes.
This further assists in preventing damage to the envelopes during the
opening process.
c. All envelopes should be sorted facing forward.
d. Approximately 40 envelopes should be loaded in the machine at a time.
e. Mailroom staff shall ZERO the count and take a tray of mail to begin the
opening process.
f. Once a tray is complete and all envelopes have been opened, the
Mailroom shall use a mail room count slip to record the following
information:



Date
Name (Mailroom Worker)
PO Box Number
 Count in tray
 Mail Run Time: # 1 (7:30 AM) or #2 (9:15 AM)
g. The process should be repeated for each tray.
h. Large/Oversized envelopes, boxes, packages, etc. which are too large or
not suitable for the OPEX machine opening shall be manually opened
and counted by the Mailroom staff.
i. Mailroom staff shall record the counts from each tray, large envelopes,
boxes, and packages on a dry-erase board until the total day’s
processing is finished.
j. If the mailroom staff finds a 'BRM (Business Reply Mail) FEE RENEWAL
NOTICE' or ‘'BRM ANNUAL PERMIT FEE NOTICE' in the mail bins from
the post office, the staff shall out-sort such envelopes. This mail should
be given to the supervisor and DPC Administrator Staff for scanning.
The scanned copy should be sent to the IAPI Accounting Department.
k. The Warehouse Supervisor or designated Mailroom staff shall update
the Initial or Final Mail Count Summary Report, (also known as the
Inbound Envelope Receipt Log) with the recorded information.
l. The (Initial/Final) Mail Count Summary captures the following
information for each PO Box:
o From 1st and 2nd Mail Runs
o Number of BRM [Business Reply Mail] envelopes received
o Number of non-BRM envelopes received except 'BRM FEE
RENEWAL NOTICE' or ‘'BRM ANNUAL PERMIT FEE NOTICE'
o Total Counts
o Totals 3rd-Party Carriers and Other Sources:
 I/O – Image Only
 FEDEX Totals
 UPS Totals
 USPS Totals
 Lone Star Totals
 HHSC/State Inbound
 OTHER Inbound
o OUTBOUND Mail to HHSC for Clarification
o Return to General Mail Facility [Post Office]
o Total CHIP mail sent to Document Preparation
o Total ES mail sent to Document Preparation
m. Incoming mail shall be opened in the following order:
1. 15100 - ES Missing Information
2. 14800 - BRM Changes and Miscellaneous
3. 14700 - ES Redeterminations
4. 14300 - CHIP Renewals
5. 14000 - WHP Applications and Redeterminations
6. 14200 - CHIP Applications
7. 14400 - CHIP /EB Changes and Miscellaneous
8. 14600 - ES Applications
9. 14500 - CHIP/EB Return Address [for outgoing envelopes]
10. 14900 - ES Return Address [for outgoing envelopes]
Note: Some material received into PO Boxes 14100 requires special handling and is discussed
under process exceptions below
3.4 Exceptions Requiring Mailroom Special Handling
3.4.1 Medicaid Buy-In [MBI] Payments
MBI Payments received and identified in the mailroom in PO BOX 14100 require the following
special handling by the mailroom staff and the Document Preparation Supervisor:
1.
MBI envelopes shall be delivered by the mailroom staff to the DPC Administrative
Assistant who is responsible for the following:
a. Opening and logging the contents of the envelopes into a spreadsheet located
on a DPC shared drive. Location: S:\Texas IEE Project\IAPI\DPC\PAYMENTS
b. The following data shall be captured in the log:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
Date
MBI EDG Number
MBI Individual ID Number
Client Name
Amount
Bank of America (BOA) Process Date
Comments
FEDEX Air bill Number
c. Checks and Coupons shall be imaged and placed in a folder on a DPC shared
drive. Location: S:\Texas IEE Project\IAPI\DPC\MBI
d. Checks and Coupons images shall be uploaded to a secured FTP site. Location:
Texas Medicaid and Healthcare Partnership (TMHP) SFTP Server,
(txmedcentral.tmhp.org).
e. The Administrative Assistant shall reconcile the number of checks recorded on
the spreadsheet to the number of checks imaged. The spreadsheet shall include
a tab for each payment type – CHIP, MBI, MBIC, Cash etc. and shall be emailed
daily by 7:00 PM CST to designated point of contacts listed under “CHIP/MBI
Payment Log” in Distribution List.docx (attached In Appendix B) using the secure
Voltage email https://voltage-pp-0000.hhsc.state.tx.us/login.
f.
Checks and Coupons shall be prepared for shipment by the Administrative
Assistant as follows.
1. Checks and related Coupons shall be placed in a FEDEX envelope.
2. A FEDEX Air bill shall be completed and printed with the information
below:
 Ship FROM (DPC)
 Ship TO:
Bank of America Lockbox Services,
Lockbox 840308,
1950 N. Stemmons Fwy, Ste. 5010, Dallas, TX 75207
 Domestic Information (arrival date, package type, etc.)
 FEDEX tracking Number
3. Printed air bill shall be pasted on FEDEX envelope and envelope
closed securely.
4. FedEx Package shall be delivered by the DPC Administrative
Assistant or DPC designated staff to:
 Front Lobby Desk by 4:30PM CST for pickup, OR
 FEDEX at 3600 S. County Road 276, Midland, TX
3.4.2 DADS and ARTS Payment
Unopened DADS/ARTS envelopes are received via PO Box 14100. Some payments may
occasionally be received at PO Box 14600 and PO Box 14700. The following steps apply to DADS
and ARTS payments received at the DPC:
1. DADS and ARTS payments shall be delivered by the Mailroom staff to the DPC
Administrative Assistant who is responsible for:
a. Opening and logging the contents of the envelopes into a spreadsheet
located on a DPC shared drive
b. Location: S:\Texas IEE Project\IAPI\DPC\PAYMENTS
c. The following data shall be captured in the log:
 Date
 DADS/ARTS case Number
 DADS/ARTS Individual ID Number (if available)
 Client Name
 Amount
 Comments
 FEDEX Air bill Number
 Staff member initials
d. Checks and Coupons shall be imaged into a folder on a DPC shared drive.
Location: S:\Texas IEE Project\IAPI\DPC\ARTS-DADS.
e. Checks and Coupons shall be uploaded to a secured FTP site. Location:
Texas Medicaid and Healthcare Partnership (TMHP) SFTP Server,
(txmedcentral.tmhp.org).
f.
The DPC Administrative Assistant shall reconcile the number of checks
recorded on the spreadsheet to the number of checks imaged.
g. Spreadsheet (containing tab for each payment type – CHIP, MBI, MBIC, Cash
etc.) shall be emailed daily by 7:00 PM CST designated point of contacts
listed under “CHIP/MBI Payment Log” in Distribution List.docx (attached In
Appendix B) using the secure Voltage email https://voltage-pp0000.hhsc.state.tx.us/login.
h. Checks and Coupons shall be prepared for shipment by the DPC
Administrative Assistant. The DADS Checks and Coupons shall be sent via
FEDEX to the location below based on these rules:

If it is determined to be patient restitution, send to this address:
DADS, Fiscal E-411, P.O. Box 149030, Austin, TX 78714

If it is determined to be overpayments from insurance for Part A
Medicare Skilled stay nursing home, send to this address:
DADS TPR Unit E-400, P.O. Box 149081, Austin, TX 78714
Complete the FEDEX Air bill, including:
 Ship FROM
 Ship TO
 Domestic Information (arrival date, package type, etc.)
 FEDEX tracking Number

ARTS Checks and Coupons shall be sent via FEDEX to:
HHSC-ARTS, 1106 Clayton Lane, Suite 240E, Austin, TX 78723 Attn:
Accounts Receivables –Dolly Lozano
Complete the FEDEX Air bill, including




o
Ship FROM
Ship TO
Domestic Information (arrival date, package type, etc.)
FEDEX tracking Number
The DPC Administrative Assistant shall deliver the FedEx Package to:
 Front Lobby Desk by 4:30PM CST for pickup
 FEDEX at 3600 S. County Road 276, Midland, TX
4.0 Document Preparation
Documents must be prepared properly for scanning, this includes removing staples, paper clips,
etc. as well as sorting and organizing the documents according to pre-defined rules set by HHSC.
Document Preparation may also include handling exceptions, including identifying and outsorting documents, envelopes (BRM), payments, voter registration cards and original
documents. . Document Preparers receive one or more containers assigned to PO Box numbers.
Each container includes opened envelopes addressed to the PO Box that matches the container
labels.
The process is completed when document sets with separator sheets are placed in a pre-defined
order. Some documents will require handling outside the defined process.
Leads or Supervisor manage the flow of documents and assignment of work to the Document
Prep staff. They also review the mail bins before assigning to staff , make required copies (count
based on document sets inside envelope) for bulk envelopes (FedEx, bubble wrap etc) and place
copies inside respective envelope.
This section identifies and addresses some of the main functions in the document preparation
process, including managing exceptions. Unless otherwise noted, the tasks described below are
primarily the responsibility of the Document Preparer (Document Prep Tech).
4.1
Envelope Content Preparation
The first set of tasks related to Document Preparation involves preparing the contents of a
received envelope, specifically identifying the contents and organizing the contents into
document sets using separator sheets. The contents of an envelope remain in the envelope
when delivered from the mailroom. The mailroom opens the envelope but does not remove the
contents. The Document Preparer shall take the following steps:
1. Extract envelope contents.
2. Prepare the document set, specifically:
o Unfold, straighten and flatten bent papers
o Remove any binding mechanism ([staples, paper-clips, etc.)
o Repair torn pages
o Secure small paper items, such as business card size, to letter-size (8.5x
11)sheet of paper
o Ensure that Photocopy for cardboard envelopes, bubble envelopes and
papers larger than legal-size is provided by leads/supervisor
o Remove any metal-clasps from envelopes
o Separate the H0025 (Voter Registration Card) from all type of mail [Refer to
details below].
o Validate and stamp the non-ink signature/date on form 1263A (Certification
of Medical Necessity)/1263B (Certificate of No Medical Contraindication –
Dental).
o
o
o
o
4.2
If 'BRM FEE RENEWAL NOTICE' or ‘'BRM ANNUAL PERMIT FEE NOTICE' is
received, staff shall out-sort such mail with envelopes and hand over to the
supervisor and DPC Administrator Staff. The Notice shall be scanned and
sent to IAPI Accounting Department in Tallahassee, Florida.
If an HHSC Local office places sealed envelopes addressed to clients in an
envelope and sends to the DPC for processing, (for example, through Lone
Star courier or a PO BOX, without a batch coversheet or note, DPC staff
shall process all envelope as a Change.
If an HHSC Local office places sealed envelopes addressed to clients in an
envelope and sends \to the DPC for processing with a batch coversheet or
note asking that it be processed as an Application, Change, etc., then the
DPC shall process as per batch cover sheet or note.
Out-sort the BRM from all type of mail [Refer Details below].
Classification & Batching
Documents are classified according to program (ES or CHIP). Separator sheets which identify the
program and type are placed in front of each document set.
If a completed batch coversheet is available then the Document Preparers shall classify the
document set based on information available on the batch cover sheet.
The separator sheets are bar-coded and color-coded to aid in document identification,
organization, linking, routing and task creation. The types and associated colors of the separator
sheets are identified below:

ES Separator Sheets
o Applications – BLUE
o Expedited Application - WHITE
o Missing Information – PINK
o Changes – YELLOW / CANARY
o Re-Determinations – GREEN
o Expedited Re-Determination - IVORY
o Undeliverable / Returned Mail – GREY
o Other – LILAC / ORCHID

CHIP Separator Sheets
o Application – CREAM
o Other – GOLDENROD
o Returned Mail – SALMON
o Enrollment – CHERRY / White
o Expedited Recertification – TURQUOISE
o Recertification / Renewal – TAN
o
o
Application with PREGNANT WOMAN – PEACH / Buff

EB Separator Sheets
o EB Advance Form – TBD
o EB Form – TBD
o EB MCL - TBD
Note : When stock depletes for a CHIP DSS, DPC staff shall prep using corresponding ES DSS and scan as
per ES rules.
Note : Returned mail received at PO BOX 14500 and P O Box 14900 or any other P O Box will be prepped
as “ES Returned Mail” only.
The Document Preparer shall take the following steps to classify a document:
1. Retrieve the correct pre-printed and color-coded separator sheet for each document set
based on program type
2. Determine if the document should be expedited
3. Place the appropriate separator sheet at the front of the document set. (If a document
set should be expedited according to Expedite rules, use the expedited document
separator sheet).
4. Place the prepared document set in a matching program type container.
5. Prepare and complete the applicable portions of the BATCH TICKET, including:








Mail Delivery Time (either 1 or 2 for first or second mail run)
Circle letter for the day of the week
PO Box Number
Preparer’s name
Start Time (if time is not recorded at starting time of batch
preparation-notify supervisor immediately)
Write number of envelopes
Write number of transactions prepared
END time (if time is not recorded at ending time of batch-notify
supervisor immediately).
6. Place BATCH TICKET on top of all documents sets in the container.
7. Limit each batch to no-more-than ten (10) document sets per container.
8. Stage completed batches/containers for imaging.
To ensure that a document is accurately identified and the correct barcode separator sheet is
properly inserted, see the Forms Recognition Appendix as a guide.
4.3
Document Preparation – Exceptions - Special Handling
4.3.1 Image Only
When prepping the Image Only (IO) mail, the DP Tech shall take the following into
consideration:
If Image Only (IO) Mail is received under the conditions listed below, the DPC will prep
the mail with a blank IOCS and maintain the legacy IOCS in the document set as well. IO
Mail shall be scanned on FUJITSU or KODAK scanners.
Conditions:



IO Mail is received with legacy IOCS (barcoded or non-barcoded) or
no IOCS;
IO Mail is received with a patch code that is physically damaged (for
example, torn, sticker over it, etc.) or the IOCS is printed and/or
copied in such a way as to prevent the scanner from reading the
presence of the patch code (badly skewed, very light print);
IO Mail is received without an IOCS but with HHSC staff notation
indicating “Image Only” on the document set.

If IO mail is received with latest IOCS, the DPC should not add a
blank IOCS and scan the documents on FUJITSU/KODAK.

If two or more of the latest IOCS are received in a single document
set :
1. If exact same two or more latest IOCS (same case#) are
received in document set then keep only 1 IOCs and
handover out-sorted IOCS to HHSC ESV in Midland at end of
day.
2. If two different but latest IOCS for same client are received
in document set and they are placed at two different places
(one with Application –marked as application and one as
Supporting Doc-placed with supporting document) then
separate the document set into two transactions. Do a quick
check if all application pages are with application IOCS.
3. If two different latest IOCS for same client are received in
document set and both are placed together at top of
document set, then keep the IOCS which says Application or
Redetermination and handover out-sorted IOCS to HHSC
ESV in Midland at end of day.
4. If two latest IOCS for different clients are received in
document set then escalate the complete document set to
HHSC ESV.
If IO mail must be scanned on an OPEX scanner, the Document Preparer should add an
ES Other DSS on top of the document set.
When prepping a document set with the latest 1746 A or MICR:
1. If latest version of form 1746-A (June2011 or later) is scanned on
the FUJITSU or KODAK, the Document Preparer should not add a
DSS.
2. If a MICR (Missing Information Cover Sheet) is received and the
documents are to be scanned the FUJITSU or KODAK scanner, the
Document Preparer should not add a DSS.
3. If a document set is received with a MICR and IOCS, the Document
Preparer should out-sort the MICR and hand over all out-sorted
MICR to HHSC EVS in Midland at the end of day. The Document
Preparer should process the remaining document set as Image Only.
Do not compare the case number on IOCs and MICR.
4. If Form 1746-A (MEPD Referral coversheet) is received along with IO
Coversheet, the Document Preparer should always treat it as Image
Only. Do not out-sort 1746A from the document set.
The Document Set shall be organized in the order listed below:
Condition
If no 1746-A or MICR is
received
If legacy 1764-A is received
Document set order
 Batch Cover sheet (if available)
 Expedited screening (if applicable) and
documentation identifying the office
that screened the application.
 Application Cover sheet (if available)
 Application, enrollment forms or other
application
 Identification documents (e.g. social
security card, birth certificate, driver’s
license and citizenship documentation)
 Income verification documents (e.g.
check stubs)
 Bills (e.g. medical, gas, phone and
electric bills)
 Supportive/miscellaneous documents
 Application instruction sheet
 Envelope




Batch Cover sheet (if available)
Expedited screening (if applicable) and
documentation identifying the office
that screened the application.
Application Cover sheet (if available)
1746-A – MEPD Referral coversheet (if
applicable)







If new 1746-A is received but
needs to be scanned on OPEX











If new 1746-A is received and
needs to be scanned on FUJITSU
using scan job “ES Auto Route”






Application, enrollment forms or other
application
Identification documents (e.g. social
security card, birth certificate, driver’s
license and citizenship
documentation)
Income verification documents (e.g.
check stubs)
Bills (e.g. medical, gas, phone and
electric bills)
Supportive/miscellaneous documents
Application instruction sheet
Envelope
Batch Cover sheet (if available)
Expedited screening (if applicable) and
documentation identifying the office
that screened the application.
Application Cover sheet (if available)
1746-A – MEPD Referral coversheet (if
applicable)
Application, enrollment forms or other
application
Identification documents (e.g. social
security card, birth certificate, driver’s
license and citizenship
documentation)
Income verification documents (e.g.
check stubs)
Bills (e.g. medical, gas, phone and
electric bills)
Supportive/miscellaneous documents
Application instruction sheet
Envelope
1746-A – MEPD Referral coversheet
Batch Cover sheet (if available)
Expedited screening (if applicable) and
documentation identifying the office
that screened the application.
Application Cover sheet (if available)
Application, enrollment forms or other
application
Identification documents (e.g. social
security card, birth certificate, driver’s
license and citizenship
documentation)





If MICR is received along with
other documents











Income verification documents (e.g.
check stubs)
Bills (e.g. medical, gas, phone and
electric bills)
Supportive/miscellaneous documents
Application instruction sheet
Envelope
MICR (Missing Information Cover
Sheet)
Batch Cover sheet (if available)
Expedited screening (if applicable) and
documentation identifying the office
that screened the application.
Application Cover sheet (if available)
Application, enrollment forms or other
application
Identification documents (e.g. social
security card, birth certificate, driver’s
license and citizenship
documentation)
Income verification documents (e.g.
check stubs)
Bills (e.g. medical, gas, phone and
electric bills)
Supportive/miscellaneous documents
Application instruction sheet
Envelope
4.3.2 SNAP-SSI and SNAP CAP
The following document types are received in PO Box 14600 and processed according to
the instructions below:
 H1841 SNAP CAP (Application) document sets
o Process with an “ES Application” bar-coded separator sheet. If received with
a printed case number or hand-written case number, then process with an
“ES Recertification” bar-coded separator sheet.
 H1842 SNAP CAP (Re-certification) document sets
o Process with an “ES Recertification” bar-coded separator sheet
 H1030 SNAP SSI (Lone Star Card Assistance) document sets
o Process using an “ES Change” bar-coded separator sheet
 H1840 SNAP SSI document sets
o Process using an “ES Recertification” bar-coded separator sheet
4.3.3 Multi-Case
When two or more distinct client’s documents are received in one envelope, then
contents shall be separated into individual document sets and prepped/scanned as
individual transactions.
If a multi-client document set has supporting documents, documents that cannot be
attached to a case, shall be copied and scanned with both cases.
4.3.4 EBT Cards in mail
If mail contains an EBT Card:

Make a copy of the EBT card for document preparation.

Out-sort the EBT card and give it to your Supervisor or designated staff.
Supervisor or designated staff shall provide all EBT cards to the DPC Project Manager for
logging in EBT Card log. The Project Manager will maintain the cards in a secure location
until they are transferred to HHSC ESV staff.
4.3.5 Original Documents
Original documents, as defined below, are documents which are received in mail from a
client and must be returned to the client. The following items are classified as original
documents:
o
Passports
o
Driver’s licenses/ID cards
o
Birth certificates
o
Social Security cards
o
Insurance policies
o
Citizenship/immigration documents
o
Marriage certificates/licenses
o
Court orders/legal instruments
o
Paychecks (not copies or computer printouts)
A request may also be received from a client by mail or via MAXIMUS to return an
original item. DPC Staff may identify original documents when prepping mail.
A designated Document Preparer or QC Tech is assigned the responsibility to return
original documents by taking the following steps:
1. Make copies of the ORIGINAL documents.
2. Stamp the copy with “not certified true copy”
3. Assemble document set for scanning.
4. Complete the “Return Original Document” (ROD) form and attach it
to the original documents.
5. If the mailing address is not included, forward the original
documents to State DP Techs for research. Research is performed
by State DP Techs using MAXeIE, MAXe CHIP, TIERS or State Portal
to determine the client’s return mailing address. The results or
findings are provided back to the DPC for return of the original
documents.
6. If the client’s address is not located, use the address on the original
document as the mailing address for the original document.
7. The designated Document Preparer shall:
a. Prepare a form letter and envelope addressed to the client and
insert the original documents to be returned.
b. Place the addressed envelope and the ROD form into the 10x12
manila “Original Return” envelope.
c. Deliver the 10x12 manila “Original Return” envelope to a
Quality Control Technician to verify the documents are originals
and are addressed to the appropriate client.
i. If correct, the QC Tech returns all to the Document
Preparer.
ii. If incorrect, the QC Tech notifies Document Preparer of
findings to make necessary corrections.
iii.
d. When the contents are ready for mailing, the addressed
envelope should be placed in the DPC Mailroom for postage
metering and mailing.
e. An electronic copy of the ROD form and form letter shall be
retained and filed.
f.
The copies of the originals and other documents are scanned
according to standard scanning requirements.
.
Please refer “DPC_WI_Return_Original_Documents” for more details on this process.
4.3.6 CHIP Payments
CHIP Payment received at the DPC shall be handled according to the process described
below:
a) The Document Preparers shall present all CHIP Payments (cash, check or
money order) to a DPC Supervisor or Lead.
b) The Supervisor or Lead shall sorts payments into the CHIP/MBI/Other
Payments Bins located in the Administrative Assistant office.
c) The Administrative Assistant shall log CHIP Payments into a spreadsheet
located on a DPC Shared Drive. Location: S:\Texas IEE
Project\IAPI\DPC\PAYMENTS.
d) The following data shall be captured to the log:
a. Date
b. Case Number
c. Client Name
d. Amount
e. REGULUS Process Date
f. Comments
g. FEDEX Air Bill Number
e) Once logged, the payments are processed as followed:
a. Access the DPC Shared Drive S:\Texas IEE Project\IAPI\DPC\CHIP
Payments
b. Drill down to the CHIP Payments folder>IEE
Project>IAPI>CHIP>CHIP Payments
c. Create a new folder in the CHIP Payments folder with the
current date. Folder Name Format: MMDDYY
d. Copy the folder address S:\Texas IEE Project\IAPI\DPC\CHIP
Payments\MMDDYY
f)
The Administrative Assistant shall scan the CHIP Payments into the
folder with the current date.
g) The Administrative Assistant shall create a new folder and upload the
imaged payments to Texas Medicaid and Healthcare Partnership
(TMHP) SFTP Server (txmedcentral.tmhp.org).
h) The Administrative Assistant shall reconcile the number of CHIP
payments logged to the number of payments imaged and uploaded to
the FTP site.
i)
The spreadsheet (containing tab for each payment type – CHIP, MBI,
MBIC, Cash etc) should be emailed daily by 7:00 PM CST to designated
point of contacts using the secure Voltage email https://voltage-pp0000.hhsc.state.tx.us/login Using distribution list CHIP/MBI Payment
Log (refer Appendix B).
j)
All CHIP Payments shall be sent daily (via FEDEX) to:
TransCentra
ATTN: Maximus – Express
1500 Dragon St., STE A
Dallas, TX 75207
k) Administrative Assistant shall complete the FEDEX Air Bill and the FEDEX
Request including the information below before providing it to the DPC
Manager.
l)
CHIP Payments should be secured in the Administrative Assistant’s
office until the end of the day and batched for shipment.
m) The Administrative Assistant shall complete the FEDEX Air Bill and the
FEDEX Request including the information below before providing it to
the DPC Manager:
a. SHIP FROM
b. SHIP TO
c. Domestic Information
d. FEDEX Tracking Number
n) The DPC Manager or designated DPC staff shall deliver the package to
the Front Lobby Desk by 4:30 PM CST for pick up OR to the FEDEX
located at 3600 S. County Road 276, Midland, Texas.
4.3.7
Handling Unidentifiable Mail
a. If unidentifiable mail is received in a CHIP PO Box, The Document
Preparer shall:
i. Use “CHIP Other” separator sheet
ii. Put contents and envelope in pre-defined order
iii. Prepare for scanning
b. If unidentifiable mail is received in an ES PO Box, The Document
Preparer shall:
i. Use “ES Other” separator sheet
ii. Put contents and envelope in pre-defined order
iii. Prepare for scanning
c. Unidentifiable document sets shall be logged daily in the State
Submission Log. The log monitors the transfer of document sets
between the DPC and State DP Technicians.
d. The log should include the following information:
i. Client Name/APP ID
ii. Date submitted to the State
iii. Form type
iv. Number of document sets submitted to the State
v. Date received from the State
vi. Number of document sets received from the State
vii. ES/CHIP
viii. Comments [why a document was not returned from the
state]
e. The DPC staff shall complete the following information on the log
before transferring the document sets to the State DP Technicians:
i. Client Name/APP ID
ii. Date submitted to the State
iii. Form type
iv. Number of document sets submitted to the State
v. ES/CHIP [what program type the document set was received
under]
f.
The log and associated document sets shall be presented to the
State DP Technicians in batches, several times per day. A copy of
the log is returned to the DPC after the State DP Technicians have
completed the necessary research. The DPC shall complete the
following portions of the log:
 Date received from the State
 Number of document sets received from the State
 Comments [if required]
The Document Preparer Supervisor shall return the document
sets to the Document Preparer for processing.
o
The final log should be posted daily to the DPC Shared Drive
 Location: S:\Texas IEE Project\IAPI\DPC\State
Submission Tracking Log
o
Documents that need to be escalated to HHSC are sets which do
not have identifying TIERS information. The DPC designated
staff shall present the document set(s) to the State Document
Processing Technicians.
Examples of escalated documents include, but are not limited
to:
 Primary Care Case Management (PCCM) Primary care
provider selection form
 CSHCN application form
 Unidentifiable mail including enrollment information,
applications from unrelated sources, checks, money
orders, cash payments, invoices or registration
unrelated to HHSC
 Image Only Mail without cover sheet with proper
identification, but a coversheet indicating mail is Image
Only
 Image Only Coversheet without supporting documents




4.3.8
H0025 received inside a non-return mail envelope, city
and/or zip code is not filled by the client.
H1001- Application for Benefit Assistance From the
Voluntary Agency (VOLAG)- Fax Coversheet received
alone or along with other document sets
H1855 - Affidavit for Non-receipt or Destroyed Food
Stamp Benefits – Received alone or along with other
document sets
H1232 - Notification of Ineligibility
Provider Claims and Health Insurance Claim Form
Provider Claim Form:
1. Provider Claim envelopes and contents shall be placed in the
special “Provider Claim” container.
2. The DPC designated Document Preparer for Original Returns
shall take the following steps with these claims:
a) Collect and review the Provider Claims, screening for
the mailing address of sender/provider (1st column on
form, if 1st column is blank then use 2nd column)
b) When the full mailing address is available, escalate to
State DP Technician.
c) Create a form letter using defined template indicated
below.
d) Complete the envelope with the provider or sender
mailing address.
e) Insert and seal the Provider claim form and form letter
in the envelope.
f) Place the completed envelopes in the Outbound Mail
Container located in the DPC Mailroom
Health insurance claim Form:
1. Health insurance claim form envelopes and contents are placed
in the special “Claim” container.
2. The DPC designated Document Preparer for Original Returns
shall take the following steps:
a. Collect and review the health insurance claims,
screening for the mailing address of sender/provider
(Column 33 on the form. If column 33 is blank then use
column 32 if full mailing address is available.
Otherwise, escalate to State DP Tech).
b. Create a form letter.
c. Prepare an envelope with the provider’s/sender’s
mailing address.
d. Insert and seal the Health insurance claim form and
form letter in the envelope.
e. Place the completed envelopes in the “Outbound Mail
Container located in the DPC Mailroom.
Note : Form letter to be used for Provider Claim and Health Insurance Claim is same.
Template is available on “S:\Texas IEE Project\IAPI\DPC\Provider Claim Letters\Misdirected
Provider Claim Template (Shared drive in Midland)
4.3.9
Internal Revenue Service (IRS) Federal Tax Information [FTI]
IRS FTI is taxpayer federal tax return information provided as a result of the IRS tape match
with HHSC. IRS FTI is the “Personal Identifying Information “disclosed from IRS taxpayer
records provided by the IRS. This personal information could be used to name or distinguish
an individual from other individuals. The information includes, but is not limited to:









Name
Address
Social Security Number
Bank account information number
Driver's license number
Professional license number
Occupational license number
Tax identification number
E-mail address
Due to the sensitivity and confidentiality of IRS FTI, strict custodial safeguards and handling
procedures are adhered to in order to protect client information.
Instructions for identifying and handling IRS FTI in paper format received at the DPC and
when imaged by-mistake are contained in the DPC Job Aid titled – DPC_JA_Federal Tax
Information. Documents identified as IRS FTI shall never be scanned but handed over to a
supervisor for appropriate handling.
4.3.9
Contaminated Mail
Mail containing or consisting of any of the following items may be considered
‘contaminated’ and require special handling:




Pregnancy Test
Body Fluids
Insects
Razor Blades


Powdered Substances
Note stating client has contagious disease
To avoid spreading infection or causing injury, mail received by the DPC that is
suspected of contamination requires special handling according to the procedures
described below:
Mailroom/Document Preparer Actions
1. Place the envelope or receiving container in its own separate mail tray.
2. Notify a supervisor of receipt of contaminated mail and of any/all
employees involved in its discovery. Mailroom staff/DP Tech/Supervisor
shall wear protective gloves and move contaminated tray to safe place.
3. Use an approved cleaning product and paper towels to clean the
workspace where the contaminated mail was discovered
a. Dispose of used gloves and paper towels in approved bags for
dumpster disposal
4. Wash any exposed areas (hands, arms, legs) thoroughly with antibacterial soap and warm/hot water.
Supervisor Actions
1. Document receipt of suspected contaminated mail.
2. Use protective gloves and seal contaminated mail in clear
sealed plastic bags.
3. Bag documents separately to avoid cross-contamination.
4. Make photocopies of the contaminated mail while in the
protective bags. The photocopies of the contaminated
documents may be safely processed based on Program Type
workflow.
5. All suspected contaminated mail shall be logged and stored
until custody is transferred by direction of HHSC.
6. Use an approved cleaning product and paper towels to clean
the workspace where the contaminated mail was handled.
7. Dispose of used gloves and paper towels in approved bags for
dumpster disposal.
8. Wash any exposed areas [hands, arms, legs] thoroughly with
anti-bacterial soap and warm/hot water.
Recording & Reporting
1. For every occurrence where the DPC receives mail suspected of being
contaminated, the incident must be reported utilizing the HHSC DPC
Contaminated Mail Incident Report.
2. The Document Processing Center (DPC) Manager shall report the
incident to HHSC via email.
3. The DPC Manager should request HHSC direction before releasing client
information to the local law enforcement authorities or any law
enforcement personnel.
The DPC has contracted with “SteriCycle Inc” (a bio-hazard disposal specialist) to come to DPC and
collect the contaminated mail (stored in bio-hazard container) every three months for incineration.
Please refer “DPC_JA_ Contaminated Mail” for additional details regarding classification of
contaminated mail and how to handle/report these incidents.
4.3.10
MBIC MCL Forms
The Medicaid Buy-In for Children Program provides coverage to children with disabilities
through the Medicaid Buy-In Program and results in DPC receipt of a special Medical Cost
List [MCL] Form that requires special and individualized handling and processing.
MBIC MCL Forms are identified by the MCL-MBIC-0111 form number. MBIC MCL Forms will
be received in DPC PO Box 14100, and could be accompanied by additional MBIC Program
supporting documentation, letters and/or forms. The following actions apply:
1. The MBIC MCL Form itself shall be processed as a CHIP Program
document using the Document Separator Sheet (DSS) titled CHIP-MCL.
2. Any/all supporting documentation that may accompany the MBIC MCL
Forms shall be separated from the MBIC MCL Form and processed
separately as ES Program documents.
3. If an actual MBIC payment is included with the MBIC MCL
Form/Supporting Documentation – refer to 4.3.11 MBIC Payments
below.
4.3.11
MBIC Payments
On rare occasions, customers include MBIC payments in with their MBIC MCL Form and/or
other related supporting documentation. The MBIC Payments are an exception situation
and shall be handled in accordance with the requirements below.
Opened MBIC envelopes are received via PO Box 14100. Mailroom staff deliver MBIC
envelopes to the Document Preparation Technicians for the following action:
1. Document Preparers extract the contents of the envelope, separating
any MBIC payment, and associated coupon if present, from the
remainder of the envelope contents.
2. Document Preparers present all MBIC payments (cash, check or money
order) to a Supervisor or Lead.
3. Supervisor or Lead sorts payments into the CHIP/MBI/Other Payments
Bins located in the Administrative Assistant office.

Administrative Assistant logs all MBIC payments into a spreadsheet located on a
DPC shared drive
o Location: S:\Texas IEE Project\IAPI\DPC\PAYMENTS
o The following data, if available, is captured in the log:
 Date
 MBIC EDG Number
 MBIC Individual ID Number
 Client Name
 TIERS Case Number (if available)
 Amount
 Bank of America (BOA) Process Date
 Comments
 FEDEX Air bill Number
 Staff member initials
o Payments and Coupons shall be imaged into a folder on a DPC shared drive
 Location: S:\Texas IEE Project\IAPI\DPC\MBIC
o Payments and Coupons shall be uploaded to a secured FTP site
 Location: Texas Medicaid and Healthcare Partnership (TMHP) SFTP
Server, (txmedcentral.tmhp.org)
o Administrative Assistant shall reconcile the number of payments recorded
on the spreadsheet to the number of payments imaged.
o Spreadsheet (containing tab for each payment type – CHIP, MBI, MBIC, Cash
etc.) should be emailed daily by 7:00 PM CST to designated point of
contacts.
Using the secure Voltage email https://voltage-pp-0000.hhsc.state.tx.us/login
To distribution list CHIP/MBI Payment Log (refer Appendix B)

Payments and Coupons shall be prepared for shipment by the Administrative
Assistant.
o Payments and Coupons shall be sent via FEDEX to Bank of America Lockbox
Services, Lockbox 650810, 1950 N. Stemmons Fwy, Ste. 5010, Dallas, TX
75207 with the following information:
 FEDEX Air bill completed
 FEDEX request includes:
 Ship FROM
 Ship TO
 Domestic Information (arrival date, package type, etc.)
 FEDEX tracking Number
o FedEx Package is delivered to:
 Front Lobby Desk by 4:30PM CST for pickup
 FEDEX at 3600 S. County Road 276, Midland, TX
4.3.12 Enrollment Broker (EB) forms, CAF and CHIP Supporting document


ETF/DTF/MPF forms will be received at P O Box 14400 effective Sep 3, 2013.
ETF/DTF/MPF returned mail will be received at P O Box 14500.
MDF/MEF forms will be received at P O Box 14400 effective Oct 21, 2013
MDF/MEF returned mail will be received at P O Box 14500.
Prepping of CHIP Supporting Documents, CAF and EB (ETF/DTF/MPF) documents
effective Sep 3, 2013




Supporting documents received at any CHIP P O Box shall be prepped as “ES MI”
effective Sep 3, 2013.
CHIP CAF form shall be prepped as “CHIP Application” effective Sep 3, 2013.
EB (ETF/DTF) shall be prepped as “CHIP Enrollment” until stock depletes. Upon
stock depletion prep these documents as “EB Advance Form”.
EB – MPF shall be prepped as CHIP Other until stock depletes. Upon stock
depletion prep these documents as “EB Form”.
Prepping of EB MEF (Medical Enrollment Form) and MDF (Medicaid Dental Enrollment
Form) effective October 21, 2013



Till Oct 16, 2013, MEF and MDF will be out-sorted and shipped to Austin.
Effective Oct 17, 2013, MEF and MDF shall not be out-sorted but prepped using
CHIP Other DSS until stock depletes. Upon stock depletion prep these
documents as “EB Form.
EB MDF/MEF shall be scanned as “EB Form” effective Oct 21, 2013.
4.3.13 Handling of Voter Registration (H0025)
Voter Registration (H0025) and Business Reply Mail require special handling to out-sort these cards from
Non-Returned Mail and Returned Mail:
 Out-Sorting Voter Registration Card from non-returned mail:
1. Prep staff shall out-sort the Voter Registration cards received with
non-Returned mail for DPC Leads to collect and place in special
marked (to be returned to Post Office) box inside mailroom.
2. The Mailroom supervisor shall verify if city and/or zip code is filled
by client.
 If yes, then out-sorted voter registration cards shall be
folded and sent back to the Post Office.
 If no, out-sorted voter registration cards should be given to
State submission staff for routing to State DP Tech who is
responsible for completion of city and/or zip code. When
cards are received back from State DP tech, cards shall be
folded and send back to the Post Office
o
Out-Sorting Voter Registration Card from returned mail:
1. Prep staff shall out-sort the Voter Registration cards received with
Returned mail for DPC Leads to collect and place in special marked
box inside the mailroom.
2. The DPC QC tech will perform a random quality control check on
385 out-sorted Voter Registration cards received with Returned mail
every week.
3. Voter Registration cards that are out-sorted incorrectly shall be
handed over to Post Office after completing missing information,
including city and/or zip code.
4. The Mailroom staff shall ship the blank out-sorted Voter
Registration cards to Business Ink on last week of the month at the
following address :
Business Ink
15404 Long Vista Drive
Austin, TX 78728
o
Upon shipping the out-sorted Voter Registration cards, the Mailroom staff
shall send an email to Business Ink that includes the following information:




4.3.14
Number of blank out-sorted Voter Registration cards
shipped
Shipping date
Shipment Tracking Number
Email shall be send to distribution list BRM-Voter cardNotice-SHIP’ (refer Appendix B)
Special Handling of Business Reply Mail (BRM) envelopes:
1. Preparation, review and handling of BRM received with Non-Returned mail:
i. Out sort any BRM envelope which contains a PO Box address but does not contain a
post mark date. These envelopes should be placed in a separate bin for validation and
shredding.
ii. If BRM contains any information other than PO Box address (either hand written or
pasted to envelope) or/and contains post mark date then do not out sort the BRM.
2. Preparation, review and handling of BRM received with returned mail:
i. Prep staff shall out-sort the BRM received inside returned mail for DPC Leads to collect
and place in special marked box inside mailroom.
ii. DPC designated staff will perform random check of out-sorted BRM received inside
returned mail to ensure that the contents have been removed. .
iii. Wrongly out-sorted BRM received inside returned mail will be handed over to QC tech
for investigation and processing.
iv. Mailroom staff shall ship the BRM envelopes that have been received inside returned
mail to Business Ink on last week of the month at to the address below :
Business Ink
15404 Long Vista Drive
Austin, TX 78728
Upon shipping the BRM envelopes, the Mailroom staff shall send an email to Business Ink on
last week of the month with below information:
o
o
o
o
Number of BRM received inside returned mail shipped
Shipping date
Shipment Tracking Number
Email shall be send to distribution list BRM-Votercard-Notice-SHIP’ (refer
Appendix B)
The Leads should frequently verify the out-sorted BRM for information other than PO BOX and
presence of post mark date. If a BRM envelope contains information other than the PO BOX or a
post mark date the DPC Lead should work with the QC Techs to identify the client/case number
to which the BRM envelope belongs. The Case number/client information shall be written on
the envelope and the envelope shall be prepped as ‘Other’ based on the PO Box where
document was received.
For those BRM envelopes that are improperly out-sorted, , the QC Tech will send out a report
listing the total count of out-sorted BRM envelopes, and the count for incorrect out-sorted
envelopes, as well as any steps taken to scan the improperly out-sorted BRM.
4.3.15 Proper handling of mail containing threatening language:
If the DPC receives a mail containing threatening language or intentions as identified during
document prep or document scanning, DPC staff should take the following steps:
1. If the language in the letter or mail piece contains a perceived threat to an individual’s
life or well-being, the DPC Manager shall immediately call the proper authorities,
specifically the emergency number of Sheriff in the client’s county. An email detailing
the threat and action taken shall be sent to HHSC Oversight staff.
2. If the language in the letter or mail piece is a perceived threat that does not indicate a
life threatening situation: The DPC Manager shall immediately call authorities,
specifically a non-Emergency number for the Sheriff’s department in the client’s county.
If the threat suggests possible child or elderly abuse, , call the DFPS hotline and followup with an email to HHSC detailing the threat.
For more details on the handling of threat mail, refer to job aid ‘DPC_JA_Handling_Threat_mail’.
4.3.16 Handling of ACA Application



Preper staff shall out-sort the ACA application and hand-over to supervisor
Supervisor shall place the out-sorted ACA application at designated location in mailroom.
Mailroom designated staff shall check if out-sorted applications are truly ACA and then ship
the out-sorted ACA applications to “The Centers for Medicare and Medicaid Services (CMS)”
at ‘TBD’(address)
5.0 Document Imaging
The DPC has three scanning platforms: OPEX, KODAK and FUJITSU.. The OPEX scanners are primarily
used for scanning non-Image Only documents.. FUJITSU scanners are used mainly for Image Only
scanning. KODAK scanners are used for both non-Image Only and Image Only scanning.
5.1
OPEX [AS3600i] Scanner Operations
5.1.1
Login
1.
Log onto the OPEX system with appropriate access credentials.
2. Select ‘Scan’ and the ‘Job Name’ of the batch to be imaged. Job
Names are:

CHIP Application

CHIP Recertification

CHIP Other

CHIP Returned Mail

ES Application

ES Redetermination

ES WHP

ES Changes

ES Returned Mail

ES Missing Information

ES Image Only
Image Only may be scanned on OPEX only after HHSC approval.
In some cases, Image Only mail may be processed the day after receipt. If Job
Name “ES Image Only” is selected - the Scanner Operator will set the RECEIVED
date to be the actual date of receipt of the documents and the PROCESSED date
will be set to reflect the current date.
5.1.2 Imaging
1. The operator shall scan the BOX barcode sheet followed by the
MAIL TIME barcode sheet.
2. The operator shall scan each document set in a batch by first
scanning the SEPARATOR sheet, followed by each page of the
document set. The process is continued until all document sets
in the batch have been imaged.
3. Document sets are retrieved from the OPEX sort bin and are
placed in an approved Warehouse storage container. The
process is continued until the storage container is full.
5.1.3
OPEX Batch Review
1. Before scanning the batch, the operator shall verify that the Program
type (ES or CHIP) of the job name matches the Program type of the
batch class (Separator sheet type) of the documents to be scanned.
 For example, if you are about to scan a CHIP application the
program should be CHIP and the job name CHIP Application.
2. Before scanning the batch, the operator should verify that the job
name on the upper left hand corner of the run screen matches the
batch class (Separator sheet type) of the documents that are to be
scanned. For example, if you are about to scan ES Redetermination the
Job name should be ES-Redetermination.
3. The operator shall ensure that the scanner optics are not dirty, which
may produce an illegible image. The operator should periodically, or as
necessary, clean the camera on the scan machine.
4.
After scanning the batch, the operator should perform the following
verification steps:
5. Verify that the box barcode has been read correctly :
 Click on the box barcode
 Click anywhere in the tabbed area labeled “piece”. A new window
should open. In this window look for the “barcode results 3” line.
6. Verify that the received date and received time correspond with that of
the QA batch ticket. Click anywhere in the tabbed area labeled “batch”.
A new window should open. In this window look for “ Received Date”
(For example, if you are about to scan a batch that was received on
4/24/2012, the received date on the scanner should say 4/24/2012.)
Verify that that the separator sheet was read correctly:
1. Click on the separator sheet.
2. Background color should be blue.
3. Click anywhere in the tabbed area labeled “piece”. A new
window should open. Look for the “barcode results”.
Verify the batch class (application, enrollment, etc.) is correct.
Click on the first image after the separator sheet. In the preview window
look for:
4. A clear image
5. Visible and legible text
6. The expedited requirements
o If it is an expedited application; was the separator sheet
correct?
7. The documents should match the batch class of the separator
sheet
Scroll through the remainder of the transaction line and look for
1. Skews that cut off client information
2. Overlapping images
3. Missing Separator Sheet
4. Misread Separator Sheet
5. Documents out of order
6.
Extra Separator Sheet
B. The envelope should be the last image in a transaction (if available), with
the exception of Image Only and documents that did not come with an
envelope. When you have reached the envelope, do not stop scrolling.
Make sure that you are in fact at the end of the transaction (the green
arrow that points right should be grayed out),

Before closing the batch, there should be a box barcode and time barcode on the first
transaction line of the batch just scanned. Verify that both barcodes have been read by clicking
on each of the images and then clicking on a blank space in the "piece" tab. The barcode results
should be populated with the correct values. For example the Time Barcode should give you a
time value. This is meant to be a “quick” review. You should be paying attention to this as you
scan. This review is only to help you catch anything you might have missed earlier.
5.1.4
Types of Exceptions Handling in Scanning
o
o
Document Rejection
 Document pages will be rejected if they are not read properly.
 Rejected pages are released to the 5th [top] OPEX sort bin.
 The operator shall rescan the rejected page(s).
Document Rescan
 Document pages will be rescanned if the resulting image is:

Misaligned
o
o
o
o
5.1.5

Distorted

Folded/Bent

Voided Transactions
Barcode separator sheet is not properly read/detected by the scanner
causing two separate document sets to be imaged/merged together.
The merged transactions are VOIDED and the document sets rescanned.
If 'BRM FEE RENEWAL NOTICE' or ‘'BRM ANNUAL PERMIT FEE NOTICE' is
received, staff shall out-sort such mail with envelopes and hand over to
the supervisor for scanning and sending scanned copy to IAPI
Accounting Department.
If BRM with no information other than PO Box and no Post mark date is
received for scanning, then out- sort such envelopes and hand over to
DPC supervisor for appropriate action.
Verification steps - iepmopex004
The OPEX scanner identified as iepmopex004 is used for imaging production/live mail,
but may also be used as a test platform when needed. Therefore, the scanner may
switch between production and test environments. It is important to verify that the
scanner is pointing to the appropriate environment prior to scanning.
The DPC supervisor must follow the verification step given below before scanning the
production/live mail whenever the scanner switches from the test to production
environment.
OPEX Production/ProdFix Job Output Verification Procedures/Steps:
1. Log onto IEPMOPEX004
2. Log onto the AS3600 imaging control program with manager or supervisor rights.
3. Verify the scanner paths by selecting Job Setup, then select the Scan Job and select
Batch Parameters, and select Modify.
4. Review the scanner paths. The paths shown below,
“iepmaw007\kfx7\WRK\iepmopex004”, are the Production output path.
5. Verify each scan job’s output paths to be sure that the scanner is configured for its
intended use. Also, the scan operators should verify successful Kofax processing of
each scan job required so as to minimize rescan work. For instance, if the scan
operator on OPEX4 is going to be scanning a lot of ES Re-Determination, then the
scan operator should scan in one small ES-REDET batch to verify processing is
completed correctly. Repeat for other required scan jobs.
5.2
FUJITSU [FI5900C] / KODAK 1860i Scanner Operations
The FUJITSU scanner system is primarily used to image document sets from specific
program areas identified below, however, they are set and capable of processing all
type of scan jobs:







Image Only – Using Image Only Scan Job
EB forms (ETF/DTF) – Using EB Advance Form Scan Job
EB forms (MPF/MEF/MDF) – Using EB Form Scan JobCash Asset Form (CAF)
– using CHIP Application Scan Jon
CHIP Application – Using CHIP Application Scan Job
CHIP Redetermination – Using CHIP Recertification Application Scan Job
CHIP MCL – Using CHIP MCL scan job
MICR and MEPD Cover Sheet – Using ES AutoRoute scan job
The KODAK scanners are set up to handle both advance capture jobs and non-Image
Only document types. For workload management purposes, the KODAK scanners are
used to scan Image Only mail on Tuesdays, a heavy IO mail day for DPC.
5.2.1
Launching the Kofax Scan Application
1. The KOFAX scan application is launched via a shortcut on the Windows
Desktop.
2. The application can also be launched through windows interface:
Start Programs --> Kofax Capture
5.2.2
Setting Box Number
1. Provide user authentication in the KOFAX scan application.
2. Scan Box Separator sheets face up with the top of document towards
scanner.
3. Select Save.
4. Verify the BOX barcode sheet.
5.2.3
Imaging Documents
1. Use a ‘jogger’ to ensure all pages are aligned and straightened.
2. Scan and verify document sets have been separated properly with Batch
Content Viewer (IO mail received with new IOCS and scanned on
FUJISTU/Kodak will not use ES Other DSS because IOCS will act as
document separator).
3. Update the Batch ID, transaction and image count on the Batch Ticket
4. Select Save on the User Interface.
5.2.4
Batch Review
1. Scan your box barcode, review, make sure optics are not dirty (if optics are
dirty, make sure to clean your cameras) and release (To release you will
select the save button).
2.
Place your documents in the hopper and choose the job you wish to
scan. Select the mail received time and date that corresponds with the QA
ticket. Click the scan button. You will be prompted with a small box to confirm
the box number.
3.
Verify that the box number listed in the pop up window matches the
number written on the box.
This window
will pop
asking you
to confirm
the box
number

Verify that the Program type (ES or CHIP) of the job name matches the Program type of
the batch class (Separator sheet type) of the documents you are about to scan. The job
name can be found on the scan panel located below the scan button and the save
button.
Save
Button
Scan
Button
Look here to
make sure
you are in
the correct
job
Verify
Receive Date

Start scanning the batch.
Once the batch has been scanned, follow these procedures:
A. Ensure that the separator sheet was read correctly:
o
o
You will know the barcode is read if it is not visible on the Batch Content
Viewer.
If the barcode is visible in the transaction, it did not read correctly.
B. Verify the batch class (application, enrollment, etc.) is correct.
C. Scroll through the remainder of the transactions and look for:
a.
b.
c.
d.
e.
f.
g.
5.2.5
Skews that cut off client information
Overlapping images
Missing Separator Sheet
Misread Separator Sheet
Documents out of order (Excluding IO)
Extra Separator Sheet
Multi-Feed documents
Exception Handling
The following potential exception scenarios and resolutions apply with regard to
errors in reading the BOX and/or SEPARATOR sheet barcodes
BOX Sheets
 Face Down – rescan face up
 Damaged – reprint barcode sheet and rescan
 Poor Quality – reprint barcode sheet and rescan
 Scanner Optics – clean scanner and rescan
SEPARATOR Sheets
 Face Down – split document or delete/replace sheet
 Damaged – replace separator sheet
 Scanner Optics – clean scanner and rescan
 Rescan – rescan batch with imprint Move imprinter
5.3
Batch Ticket
Batch Ticket – the scanner operator completes the next portion of the Batch Ticket
 Write the name of the scan operator.
 Fill in batch number.
 Write the total number of transactions in the Scanners envelope count
section from the KOFAX console.
Batch Tickets are collected by Supervisors/Leads. The information is entered into the
Daily Notebook spreadsheet to reflect the count of scanned documents by each Scan
Operator.
The Scanner Operator completes the Storage Container Inventory Sheet and attaches
it to the outside of the storage container.
This serves as a visual aid and identification mechanism once the storage container is
transferred to the DPC Warehouse.
A copy of the Storage Container Inventory Sheet is also inserted on the inside of the
storage container
5.4
Process to resume scanning after Power Outage
When DPC needs to resume scanning after an unplanned power outage, scan
operator/supervisor with help of QC staff shall ensure that batches that were getting scanned at
the time of the power outage are complete and properly released. Staff should ensure that the
Batch ID displayed on the screen for the new batch is higher than the previous Batch ID.
Refer ‘WI-DPC Power Outage Procedure’ for more specific details on this process.
5.5
Daily Scanner Maintenance and preventive maintenance
As part of Daily Scanner Maintenance, Scan Operators perform below listed steps daily :
1. At end of the scanning for the day, Scan Operator performs deep
cleaning of the scan machine which includes wiping every part of
the scan equipment with wipes, vacuuming the inside and outside
of scan machine (Paying close attention to the post imprinter),
wiping the joggers, running the "tacky paper" in order to get all
excess ink off the rollers if spotted.
2. Clean the scan equipment during scanning if dust is found or images
are not coming out clean.
As part of Scanner Preventive Maintenance, FUJITSU service tech comes to DPC quarterly and
performs below tasks:
1. Open the scan equipment and perform deep cleaning like
removing any trapped paper or staplers.
2. Replace worn-out parts on the scan equipment
6.0 Section 4 Reporting Outages and Freezes
The DPC Manager or designated staff member is responsible for reporting system outages or
freezes on any scanner when a scanner is rendered unavailable for production operations. The
exception is an outage related to preventive maintenance. This section addresses the process.
If an outage occurs, [scanner down (1 or more FUJITSU/KODAK or 2 or more OPEX), KOFAX not
available, power outage etc.] and lasts for more than two hours, the Image API PMO designated
staff shall send a VAR informing HHSC of the related details. The notification should be sent to
the pre-defined distribution list. (refer Appendix B).
6.1
Reporting Outages and Incidents
The DPC Manager or designated staff member emails the HHSC Help Desk at
iee_help@hhsc.state.tx.us to obtain a Help Desk Ticket number for the following:
 Loss of services, such as network connectivity or power outages
 Loss of systems, such as KOFAX
 Degradation of services, such as slow system response time
 KOFAX review of errors such as rollbacks, failure in image cleanup or single
page Image Only not allowed
6.1.1 Data to include in initial email
o
o
o
o
o
o
o
Name Location and phone number
Date and time outage / incident began
Program areas and functional areas affected
Type of outage / incident
Impact to the program area and production
Number of employees affected
Error messages received
Include Job type, scanner name and batch number when applicable
6.1.2 Points of Contact in Help Desk email:
Outage report and follow-up resolution email is sent to distribution list SystemOutage (Refer Appendix B)
6.1.3 Include the following data in resolution email
o Time normal production resumed
o Total Number of employees affected
o Any other pertinent information or details
LOG a RISK in ITG for any situation that could cause adverse consequences in the future.
6.2
Scanner Freezes
Report any kind of Scanner Freezes on OPEX or Fujitsu or KODAK
6.2.1 Points of Contact in Help Desk email:
Scanner freeze report and later fix email is send to distribution list SystemOutage (Refer Appendix B)
7.0 Section 5 Quality Control & Assurance
The QC Technicians are responsible for Quality Control within DPC. The Scan Operators assist
with the QC process as they conduct in-line concurrent audits. The QC Technicians review
quality of images randomly selected by KOFAX. The QC Technicians also complete reports and
reconcile data.
7.1
Concurrent Audits – Review of Prepared Documents
Scan Operators conduct in-line concurrent audits when the batch passes between the
Document Preparer and the Scanner Operator. Findings are reported immediately to
supervisors and addressed quickly with document preparer. The elements reviewed
are:





Was the document set accurately sorted by program type?
Was the document set accurately sorted by document type?
Did the Document Preparer accurately determine if the document set
required expedited processing?
Were all pages of the document set in the proper order?
Were erroneously scanned FTI Documents removed prior to being sent to
Image Assembly?
If the Documents Sets are not prepared correctly, the Document Preparation Supervisor
will coach the Document Preparer.
Note: QC Technicians will conduct concurrent audits with new DPC Staff members or as
determined by the DPC Manager.
7.2
KOFAX – Review of Imaged Documents
As batches are successfully scanned, they are imported into the KOFAX system. KOFAX
software provides for:






Readable images
Electronically enhanced images
Scalability
Configurability
Reliable maintenance
Bar coding functionality
KOFAX reads the files generated for each batch scanned and for each transaction
element. It combines the images in a transaction (document sets separated by a
separator sheet).
KOFAX software converts each transaction to a single, multi-page PDF file and writes an
XML file for each transaction that includes the following data elements:









Batch number
Job name
Received date
Scan date
Bar-code value
Page count: (calculated by KOFAX as the total number of page elements
excluding the page element containing the document set separator)
File name
Image only attribute bar-code, if it exists.
Expedited flag document separator sheet bar-code, if it exists.
The KOFAX system releases the batches as transactions (document sets) to the San
Angelo NAS drive.
7.3
QC Technician Validation
KOFAX provides a user interface that allows QC Technicians to correct issues prior to
being released into downstream processing systems. The user interface provides for
control and facilitates the validation of batches scanned by the OPEX and
FUJITSU/KODAK scanners.
The interface contains an image viewer and two validation modes to allow the QC
Technician to perform data entry or document repair.
The QC Technician verifies image quality and performs any batch/data corrections as
required.
Batches containing one or more documents that have been identified as having an error
or rejected from validation will be routed to a queue.
The Quality Control and the Validation Queue are launched via Batch Manager
7.4
Image Review
Images that are randomly selected as a quality sample will have a RED X on the image.
The QC Technician clicks on the image with the RED X and then selects the VRS QC.
The application automatically applies the default enhancement setting. If the QC
Technician determines that the default settings require enhancement, three primary
VRS Adjustment Controls exist.



Clarity Panel
Noise Panel
Skew Panel
The clarity settings, which are used most often, assist with the contrast and brightness
of images.
The noise panel allows for de-speckle and the removal of lines and common background
noise from images.
The skew settings are used to straighten and crop images and as well as edge clean-up.
7.5
Error Validations
QC Technicians correct validation issues prior to releasing images into downstream
processing systems.
Examples of validation exceptions are:


7.6
Invalid Box Barcode Sheet Value: occurs when a box bar-code sheet value
cannot be read by KOFAX. The validation application will stop on the first
page of the batch and show a red box in the middle of the page with the Box
ID value missing.
Invalid ES Document Separator Bar-code Value: occurs when a document
separator sheet bar-code value is not read by KOFAX. Batches are routed to
validation for correction.
Quality Control Reviews
In order to capture a complete snapshot of overall quality for a document set, the QC
Technicians conduct daily retrospective and In-Progress reviews. The supervisors will
conduct In-Process QC review for new hires. For a more detailed description on above
mentioned QC review types, please refer to DPC_IAPI_WI_QC Process_01282011.
In-Progress Reviews by QC Techs : This type of review will be conducted on the
document sets that have been prepped but not scanned. The objective of the Inprogress review is to identify errors before documents move downstream in the
process. In-progress reviews provide timely feedback to DPC staff and allow errors to be
corrected quickly and with minimum rework. Like the retrospective reviews, the results
of in-progress reviews provide an indication of the overall quality of processed
documents. In total, 255 (66%) of the 385 documents selected each week as part of the
Quality Control process will undergo an in-progress review. Eighty percent (80%) of the
sample will consist of ES documents and 20% will be CHIP documents. QCTs will perform
in-progress reviews each day, however, there is no daily quota or target for the number
of in-progress reviews that must be completed in a given day.
Retrospective reviews by QC Techs : The retrospective reviews are performed on
scanned documents to assess the overall image quality and prep accuracy of documents
processed by DPC staff. The reviews are performed on the documents that have been
prepped and scanned in the same week the retrospective review is performed. The QC
Technicians manually pull the hard-copy document sets from warehouse storage boxes
to review the documents and assure they were processed correctly. To view the
document images the QC Technicians uses the State Portal/the Kofax Research Tool for
ES Documents and the KOFAX research tool for CHIP Documents
Retrospective reviews will be conducted by the QCT using the SRI Tool. The QCTs will
perform a retrospective review on a total of 130 documents per week. This sample size
represents 34% of the 385 documents that must be reviewed each week as part of the
entire Quality Control process. Eighty percent (80%) of the retrospective reviews will be
performed on ES documents and 20% on CHIP documents.
In-Process QC Review for new hires : This review will be conducted by the Supervisors
on the floor to identify potential errors performed by a new hire and correct the
mistake on the spot. The findings of these reviews will not be recorded in SRI tool. The
review criteria used to find the mistakes will be same as the criteria used for In-Progress
QC reviews performed by QC Techs.
7.7
Report Field and Descriptions
The DPC receives two auto generated daily data files from IBRIDGE. The two files
contain pertinent information regarding batches/documents sets processed for a given
day and are placed on the HHSC Shared Drive where DPC staff has access.
o
DPC_Activity XLS




o
The file is a compilation of every TRANSACTION [document set] processed for that specific day
each row represents a DOCUMENT SET [transaction] processed - for that
specific day
o NOTE: Both DCN and Media ID numbers are present
This file is used to calculate/determine the targeted 'sample' for our QC
Samples [aka Retrospective Reviews]
This report is also used to identify daily Monthly QA Sample
KFX_processing_count XLS



The file is a compilation of every BATCH of document sets processed
for that specific day
Each row represents a BATCH of document sets for that specific day
o NOTE: DCN and Media ID are absent from this file
This file is used to populate the DATA Tab on the Daily Notebook for that
specific day

7.8
The sample is generated by the ES Reporting team and distributed. It is
sorted randomly by batch ID. The report contains the following KOFAX
fields:

DCN: The Document Control Number

Box ID: The box number the transaction is physically located in

Batch ID: The batch ID the transaction is located in

Expedite Flag: This field is 'Y' if the expedite document separator
sheet is used

Image Only Flag: This field is 'Y' if the transaction is an Image Only

Job Name: The Job Name chosen by the Scanner

Channel: The channel of which the image came from (i.e. Mail)

Media ID: The Media ID for the transaction

Program: ES or CHIP

Received Date: The received date assigned to the image

Scan Date: The scan date of the image

Scanner Name: The name of the scanner (machine)

Scan Operator: The name of the Scanner Operator (SO)

SSP Flag: This field is 'Y' if the SSP Attribute sheet is used
QC Service Review Instrument (SRI)
QC Technicians use the QC Service Review Instrument (SRI) for each task that is
reviewed. The SRI captures the following findings for each QC Element:












Were all special handling items processed correctly prior to being sent to
the scanner?
Was the document set accurately sorted by program?
Was the document set accurately sorted by document type?
Did the Preparer accurately determine if the document set required
expedited processing?
Were all pages of the document set in the proper order?
Were erroneously scanned FTI Documents removed prior to being sent to
Application Support?
Were all pages properly prepared prior to being sent to the scanner?
Did the Scan Operator select appropriate Job type?
Were all pages scanned?
Were all scanned images at least as legible as the hard copy?
Did all barcodes scan properly?
Did the Scan Operator enter the correct received date for the Image Only?
QC Technicians enter data from the QC SRI audit into the QC Tool. Once the audit is
complete, the data from the QC Tool in transferred to the Daily Notebook. QC
Technicians produce same-day reports of QC audit results on all audits where errors are
found. The report is printed from the QC Tool and provided to DPC supervisors for
coaching purposes.
7.9
DPC Monthly QC Report
The QA staff will complete the following steps to compile the QC DPC Monthly Report:
 Open the QC DPC Monthly Report template

QC DPC Monthly Report YYYY-MM.xls
 Open all DPC QC Tools used during the Report Month
 Select all rows from the “Data” tab on the DPC QC Tool and copy (Ctrl+C)
 Select the first blank row on the QC Data tab on the QC DPC Monthly Report
YYYY-MM.xlsListBullet
 Paste copied rows (Ctrl+V)
 Closes the DPC QC Tool that was copied into the QC DPC Monthly Report
YYYY-MM.xls
 Repeat with each of the remaining tools
 Hide the QC Data tab (Format>Sheet>Hide) List Bullet.
 Review Summary tab to ensure formatting is acceptable
 Save QC DPC Monthly Report YYYY-MM to actual date
 Distribute report via email to designated points of contact listed in
distribution list Monthly-QC-Report (Refer Appendix B)
7.10 Reporting/Reconciliation
This section details various reports that are either generated for internal purposes or as
a contractual deliverable. Reconciliation reports are for validating that documents that were received
and scanned did reach downstream to MAXIMUS.
7.10.1
Box Identification (ID) Report
Box ID Report is used to locate the document set when a rescan is required.
The QC Technician accesses the report via the KOFAX Report Application. Once
the Media_ID value is identified and updated with current date, the QC
Technician will launch the Box Report by double-clicking BoxReport.BAT file.
The report is opened in a PDF view.
The QC Technician locates the document set and attaches a ticket with the
batch number. Once the Scan Operator rescans the document the ticket is
returned to the QC Technician with the new batch number and/or new box
number.
The QC Technician logs the old batch number and deletes the batch.
7.10.2
Rejected Images Review
The DPC can receive request from AS or CHIP Image Assembly a daily e-mail that
contains a spreadsheet listing all rejected images. The QC Technician uses the
listing to determine which documents to re-scan.
The QC Technician follows the process below





Determines if the original documentation needs to be reviewed by the
State DP Techs before being re-scanned.
Retrieves the original document set from the DPC warehouse based on
the Media ID and DCN located on the rejected image spreadsheet.
Applies the DPC re-scan coversheet to each document set with the
original scan date.
Re-scans documents.
Sends daily e-mail with confirmation of repaired images.
The Rejected Images spreadsheet information may be used to detect and
identify trends with individual DPC staff members or operations.
 A daily Rejected Images Spreadsheet for CHIP is distributed via email to
the following points of contact
Image API
 pete.evarts@imageapi.com
 Aeramis.Carter@imageapi.com
 Krishma.dave@imageapi.com
 brian.walsh@imageapi.com


HHSC


7.10.3
lupe.villanueva@imageapi.com
Carlene.Lee@imageapi.com
Dellanda.Causey@hhsc.state.tx.us
Evaristo.Cortez@hhsc.state.tx.us
Stored Documents Retrieval
Requests may be received from HHSC (or MAXIMUS via HHSC), to retrieve
stored documents. The QC Technician reviews the request and determines if
there is sufficient information to retrieve the requested document set(s). Most
common causes for these types of requests are attributed to Image Legibility or
Multi-Applicant/Case documents blended together.



7.10.4
QC Technician locates and retrieves the required document sets or
marks the document sets as destroyed.
QC Technician must select and review the document set, checking for
legibility and separating any Multi-Case document sets (example: a
document set with more than one application) into individual document
sets; then sending the document sets for re-imaging.
The QC Technician notified AS via e-mail that either the requests have
been rescanned or that the document set has been destroyed.
KOFAX Daily/Weekly Report
7.10.5

The KOFAX Daily/Weekly Report is initiated on a daily basis by the QC
Technician. This is a tool created by IBridge to access the KOFAX data base
to obtain the number of transactions (document sets) processed daily.

The QC Technician initiates the query and accesses the report via the KOFAX
Reports folder and launching the KofaxWeeklyInput.Properties file. Once
the scan date is updated with the current date, the QC Technician launches
the Weekly Report in the PDF viewer.

Report is distributed daily by 11:00 AM CST to the distribution list DPC
Weekly KOFAX (Refer Appendix B)
Daily Notebook
QC Technician maintains the Daily Notebook to:




7.10.5.1
o
o
o
o
o
o
Provide end-to-end count transactions.
Daily monitoring of transactions.
Provide a centralized data location.
Automate and incorporate logs
Tabs for Daily Notebook
Dashboard: An auto-populated summary tab used to provide a high-level look at the
day’s throughput.
Manager: An auto-populated summary tab used to provide an internal managerial look
at count accuracy and average handle time.
Inbound Envelopes: Populated by the QC Technician once the final inbound envelope
receipt log is transmitted. Summarizes the Mail Room counts for the day.
Prep-Scan Summary: The Data Entry Clerk will enter all Batch Ticket data into this sheet.
It is also used to drill-down on specific batch-ids to determine who worked them or
identify counting issues.
Data: Populated when the QC Technician copy/pastes from auto-generated IE report.
QC Data: Compiled data from daily audits conducted by the QC Technician
The Daily Notebook tabs are completed in the following order:
o
o
o
o
Data
Prep-scan summary
Inbound envelopes
QC Data
The Dashboard and Manager tabs are auto-populated summaries of the data.
The “Data” sheet is used to place all KOFAX batch information into the Daily Notebook.
7.10.6
Inbound Envelope Receipt Log
The document Preparer Supervisor emails the final version of the Inbound
Envelope receipt Log with the completed inbound/outbound correspondence at
end of the production day to Daily Mail Count distribution list (Refer Appendix
B)
The contents of columns A-O from the spreadsheet are copied to The Daily Notebook
(inbound envelope tab)
IERL shall not count the ‘'BRM FEE RENEWAL NOTICE' and ‘'BRM ANNUAL PERMIT FEE
NOTICE'’ as these will not be imaged on OPEX or FUJITSU scanners as production
documents. If 'BRM FEE RENEWAL NOTICE' or ‘'BRM ANNUAL PERMIT FEE NOTICE' are
identified at prep or scan level, then mailroom supervisor shall update the BRM count
on IERL revision the following day.
7.10.7
Dashboard and Manager Tabs
The “Dashboard” and “Manager” tabs are summaries of all previous tabs. All
the data listed should auto-populate based on Batch Ticket data and KOFAX,
MAXe data.
PROCESS:

QC Technician chooses the Daily Notebook tab - chooses the date for the report and
selects submit

After the data is displayed, QC Technician selects the CSV icon in the lower left of
the browser.

Right-clicks - > Select All

Right-clicks - > Copy

QC Technician opens up the Daily Notebook -> data tab

Selects cell A1 and “Paste”

Selects the Prep-Scan Summary tab and begins entering Batch Ticket (Batch Ticket)
data

QC Technician selects only one batch id per line

Ensures the PO Box matches the correct program type

KOFAX/MAXe data is auto-populate the green section.
This provides an at-a-glance look of the day with hyperlinks for optional drilldowns.
7.10.8
Reconciling the DPC Daily Notebook
Once the data has been updated for the given day, the DPC Daily notebook is reviewed to
ensure the numbers for the following match:
 Prep – Scan Summary Tab
o Ensure all batch and transaction numbers match between the Scan
Summary and Kofax sections
 If there is a discrepancy, review the batch ticket data entered and
reconcile

7.10.9

Dashboard Tab
o Ensure the Prep Scan Operator and KOFAX Transactions Processed match
 If there is a discrepancy, review the batch ticket date entered and
reconcile
DPC Daily Notebook Approval
DPC Manager will review all tabs of notebook for accuracy
The completed Daily Notebook is saved into a directory under the
corresponding month, (S:\Texas IEE Project\QA Tool\DPC\DPC Daily
Notebook\YYYY).
IAPI Reconciliation Notebook- Report is prepared and staff try to email the
same before Noon CST to the following business day to the points of contacts
listed in Distribution list NOTEBOOK (refer Appendix). If some issues crop-up
then delivery might get delayed
7.10.10 Reporting Torn Envelopes Received at DPC
KPR 24 -Confidentiality Incidents report will not be submitted via an official VAR or email when
envelope/document sent by client is received as torn or damaged or without envelope. Torn or
damaged or without-envelope document set will be escalated to State DP techs for decision like
whether to scan as-is or request client to resubmit the documents. Documents submitted to
State DP techs will be tracked using attached log “Damaged Envelope Log (Month)” and State
Submission Log. HHSC ESV staff could ask for “Damaged Envelope Log (Month)” whenever
needed to report counts to HHSC Regional Administrative Services (RAS) team for follow up
with the USPS.
KPR 24-Confidentiality Incidents report will be submitted via an official VAR and email:

If the mail was generated by HHSC and returned as
undeliverable/return to sender by the USPS and is torn, destroyed or, missing an
envelope.

If the mail sent by local offices is torn, destroyed or missing an
envelope.
Damaged Envelope
Log (May-June).xlsx
7.10.11 Collection/Reconciliation of Monthly Transaction Count for
invoice
Project Management team uses the “Weekly KOFAX Report” to get the total transaction count for ES
and EB transactions processed in given month. “Vendor Error Report” is used to count the rescans
performed during given month for ES and EB. To get the billable transaction count, Rescanned
transaction count is subtracted from the “Weekly KOFAX Report” transaction count for ES and EB.
Final Billable count for ES and EB are given to Image API Finance department to generate the invoice.
the “Weekly KOFAX Report” to get the total transaction count for ES and EB
8.0
Document Storage and Disposition
Retention requirement for all hardcopy document sets processed by the DPC is Thirty (30)
calendar days (with exception of QA Audit sample – Monthly QA sample of last three months
excluding current month needs to be retained). Unless otherwise directed - all hardcopy (with
an exception of QA Audit sample - – Monthly QA sample of last three months excluding current
month needs to be retained) document sets become eligible, and are staged for destruction
once the retention requirement has been met.
8.1
Storage
o
o
o
o
o
8.2
Containers of processed batches are received and stored in the DPC Warehouse
Verify Storage Container Inventory Sheets exist on the outside and inside of the
storage container
Assign each storage container a DPC row number
twenty-four (24) storage containers to a pallet
Pallet number and pertinent Storage Container Inventory Sheet details are recorded
to an electronic Box Inventory spreadsheet maintained by the DPC Warehouse
Supervisor
Destruction
o
o
Processed and stored documents sets are destroyed when they are 30 calendar days
old from the date of scanning (with an exception of QA Audit sample).
The Midland Box Tracking Inventory System Tool (MBTIS) is used to identify boxes
that are eligible for destruction.
 Once destruction eligibility is verified by using the MBTIS the storage
containers are staged for destruction.

o
o
o
o
8.3
Subcontractor is notified of the anticipated box count designated for
destruction.
Independent subcontractor is normally scheduled to be at the DPC every other
Tuesday and every other Friday of the month for destruction of boxes and contents
of shred bins.
 Boxes are emptied out onto shred bins by DPC staff and rotated out until all
designated boxes have been destroyed on-site at the DPC complex and
observed by the DPC Warehouse Supervisor, DPC Mail Room Lead or
designated Mail Room Technician.
 Warehouse door is monitored throughout the shredding process to ensure
that unauthorized person does not enter the building or tamper with
documents being shred.
Warehouse Supervisor generates a MBTIS Destruction Manifest for all boxes
destroyed on that date.
 An Image API Destruction Box Inventory List is attached to the MBTIS
Destruction Manifests.
 The IAPI Destruction Box Inventory List is signed by the subcontractor and
witnessed by an Image API employee.
Subcontractor validates the number of boxes destroyed when they sign the IAPI
Destruction List. IAPI signs the subcontractors shredding certificate.
 This IAPI Destruction Box Inventory List is witnessed and signed by both the
DPC Warehouse Supervisor or DPC Mail Room Lead or designated Mail
Room Technician and the subcontractor.
Exception:
 In some cases, processed & stored hardcopy documents must be retained
longer than the minimum 30 calendar days retention period – in order to
satisfy QA Audits/Checks.
 Document sets identified for auditing purposes will be out-sorted and
retained until completion of the QA Audit.
 Once the QA Audit is complreted – the documents sets shall be staged aside
and not destroyed. Monthly QA sample of last three months excluding
current month needs to be retained.
Case Records [State Contracted Facility]
Case Records are a unique category of historical HHSC files that are separately
warehoused until 12/31/2013. Occasionally a request will be received by Midland
Customer Care Center to image one or more of these Case Records from the Iron
Mountain Storage Facility.
Normally requests to pull and image one of these Case Records will be received by the
DPC, from the Midland Customer Care Center. If the DPC inadvertently receives a
request for a Case Record file, coordination with OES, Vendor Operations Oversight will
be required in order to coordinate retrieval of the record.
The Case Record will be processed and imaged by the DPC as an “ES’ Program Document
Set
ES Document Type “OTHER”
Use ‘ES Other’ Document Separator Sheet

Processed as “‘IMAGE ONLY”

Case File records can be quite large - potentially incorporating hundreds of
pages
If the case record is imaged by DPC; the case record follows the regular destruction cycle


Appendix A - Forms Recognition
DPC_JA_Forms_Rec
ognition_v_2.3.doc
Appendix B - Distribution list
Distribution list.docx
Appendix C – Glossary
Acronym
Batch
Batch Review
Batch Ticket
BRM
CHIP
DADS
Daily Notebook
DFPS
DPC
DPC Activity Report
DSS
Definition
A number of transactions in a set (between 10 - 30 transactions).
A quick review conducted by the Scanner/Scan Operator of imaged
batch prior to releasing it.
Form filled out by Prepper/Scanner - used to reconcile batches with
MAXeIE.
Business Reply Mail
Children Health Insurance Program
Department of aging and disability services
A tool maintained by QC Technicians which provides an end-to-end
transaction count, daily monitoring of batches and transactions, as well
as a centralized data location.
Department of family protection services
Document Processing Center – Centralized HHSC imaging facility in
Midland, TX
Excel file with a compilation of every transaction processed for a specific
day.
Document Separator Sheet
ES
FUJITSU
HIPPA
Inbound Envelope Receipt
Log (IERL)
IO
IOCS
IRS FTI
KFX Processing Count Report
Kodak
MBIC - MCL Form
Acronym
MICR
MRT
Non-Returned Mail
OPEX
Original Documents
P O Boxes
Prepper
Returned Mail
QC
Scan Jobs
Scanner or Scan Operator
SRI
Transaction
EB
Eligibility Support – Benefits program by HHSC which included Food
Stamps, TANF, etc.
Type of scanner used for scanning mail
Health Insurance Portability and Accountability Act
Excel report that gives an account of all mail (envelopes) received at the
DPC for a given day. Published twice daily - Initial Mail Count and Final
Mail Count.
Image Only mail
Image Only Cover Sheet
Internal Revenue Service Federal Tax Information
Excel file with a compilation of every batch of document sets processed
for a specific day.
Type of scanner used for scanning mail
Medicaid Buy-In for Children - Medical Cost List
Definition
Missing Information Change Reporting
Mail room Technician
Mail received directly from clients or from HHSC local offices at DPC
Type of scanner used for scanning mail
Documents received from client(s) which are designated as original
documents - sent back to client(s).
Post Office Boxes
Staff that prepare mail/documents for scanning (imaging)
Mail that was not delivered to client and returned to HHSC by USPS or
other mail delivery agency
Quality Control
Programs installed on scanners to scan the documents
Staff that scan (image) prepped mail/documents
Service Review Instrument - tool used by QC Technicians for reviewing
tasks. SRI captures findings for the QC Element.
A prepped document set
Enrollment Broker.