DCYF DEPS Business Process Analysis.pdf

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Department of Children, Youth and Families Enterprise Payment Solution (DEPS) Modernization

April 2024

Confidentiality Note: To maintain the integrity of potential future procurement processes that result from this project, please keep these discussions and documents confidential.

Contents

1.0 Introduction

1.1 Agency Background

1.2 DEPS Modernization Vision

1.2.1 DEPS Modernization Business Drivers and Imperatives

1.2.1.1 Internal Drivers

1.2.1.2 External Drivers

1.2.1.3 Strategic Imperatives

1.3 Purpose of this Document

2.0 Approach and Methodology

3.0 Use Cases

3.1 Actors

3.2 List of Use Cases

Detailed Use Cases

3.2.1 Use Case 1: Prepare and transmit system-generated invoices based on payment type and receive supporting documentation

3.2.2 Use Case 2: Conduct 3-way match

3.2.3 Use Case 3: Review payment coding and calculate deductions

3.2.4 Use Case 4: Create and verify accounts payable

3.2.5 Use Case 5: Identify, record and report duplicate payments

3.2.6 Use Case 6: Identify and report garnished payments

3.2.7 Use Case 7: Transmit payment to state system for issuance

3.2.8 Use Case 8: Receive payment authorization request and issue payment. 28

3.2.9 Use Case 9: Calculate garnished amounts from garnished payments

3.2.10 Use Case 10: Route garnished and residual provider payment for issuance and record payment status

3.2.11 Use Case 11: Receive and review reports of underpayments and overpayments.

3.2.12 Use Case 12: Correct reported underpayments

3.2.13 Use Case 13: Identify, track, and resolve overpayments

3.2.14 Use Case 14: Audit, categorize, and report aging status of uncashed checks.

3.2.15 Use Case 15: Issue cancellation request to OneWA Workday and assign general ledger 5194 (Liability for Cancelled Warrants/Checks)

3.2.16 Use Case 16: Receive and resolve vendor requests for check reissuance.41

3.2.17 Use Case 17: Generate list of standard reports

3.2.18 Use Case 18: View and select reports from dashboard

3.2.19 Use Case 19: Produce information to create tax reporting

3.2.20 Use Case 20: Generate and assign staff to validate W2 or 1099 corrections.49

3.2.21 Use Case 21: Register a new vendor on the portal

3.2.22 Use Case 22: Provide and receive information to/from DCYF to support payment authorization

3.2.23 Use Case 23: View or update profile information

3.2.24 Use Case 24: Send, receive, and display notifications and information in the portal. 53

4.0 Business Process Flows

4.1 List of Business Process Flows

4.2 Business Process Legend

4.3 Detailed Business Processes

4.3.1 Purchase Order Activities

4.3.2 Accounts Payable Management

4.3.3 Payment Issuance Activities

4.3.4 Initiate Garnishments: PG1

4.3.5 Process Garnishments: PG2

4.3.6 AUD1a: Audit Activities for Underpayments

4.3.7 AUD1b: Audit Activities for Overpayments

4.3.8 AUD2: Audit Activities for Aging Claims and Warrants

4.3.9 Generate General Reports

4.3.10 Tax Reporting

4.3.11 Provider Management Activities

5.0 Personas and Journey Maps

5.1 List of Personas and Journey Maps

5.2 Detailed Personas and Journey Maps

5.2.1 Early Learning Provider/Vendor – Receives payment from DCYF for providing the authorized services

5.2.2 Early Learning Provider/Vendor – Accesses the SSPS Portal

5.2.3 Early Learning Service Recipient/Client

5.2.4 Child Welfare Professional Provider and Business

5.2.5 Child Welfare Client and Family

5.2.6 Juvenile Rehabilitation Provider/Vendor

5.2.7 Juvenile Rehabilitation Service Recipient/Client

5.2.8 Non-program payments Provider/Vendor

5.2.9 Finance and Administrative Staff

5.2.10 DCYF Program and Services Staff

Appendix

6.0 Glossary of Terms

1.0 Introduction

1.1 Agency Background

The Department of Children, Youth, and Families (DCYF) was administratively created by Governor Inslee in 2017 with the goal of focusing on families and children to improve outcomes for at-risk families and youth.

The creation of DCYF brought together several business functions that existed in the Department of Social and Health Services (DSHS) and the Department of Early Learning (DEL). Additional functions to support juvenile justice moved from DSHS to DCYF in 2019.

DCYF is the lead agency for state-funded services that support children and families to build resilience and health, and to improve educational outcomes. DCYF accomplishes this work by partnering with state and local agencies, tribes, and other organizations in communities across the state of Washington.

DCYF’s guiding principles are:

• A relentless focus on outcomes for children.

• A commitment to collaboration and transparency.

• A commitment to using data to inform and evaluate reforms, leveraging and aligning existing services with desired child outcomes.

• A focus on supporting staff as they contribute to the agency’s goals and outcomes.

DCYF is currently working to modernize the Social Service Payment System (SSPS) and associated payment authorization systems and processes through the DCYF Enterprise Payment Solution project (DEPS). DCYF aims to improve payment efficiency, accuracy, and transparency, ensuring that payment recipients, including vendors and service providers, receive timely and accurate support. This initiative is aligned with broader organizational objectives of enhancing system and process efficiency, complying with legislative and regulatory mandates, and making best use of technology where the risk-adjusted benefit is appropriate and substantial.

To ensure the business needs drive the future DEPS’ functionality, future state Business Process Workflows and Use Cases have been documented in this report. These define what DEPS must do to support the future state vision and DCYF’s model of practice.

1.2 DEPS Modernization Vision

The vision for the modernization of the Washington State Department of Children, Youth, & Families Enterprise Payment Solution is to provide:

• Timely and Accurate Payments: Ensuring that all payment recipients, including vendors, service providers, and other payment beneficiaries, such as children and families, receive payments promptly and accurately, reflecting the value of their goods and services, and the importance of their contributions.

• Streamlined and Standardized Processes: Simplifying and optimizing every aspect of the payment process to reduce delays, eliminate inefficiencies, and improve overall user experience and system performance for all participants.

• Enhanced Transparency: Providing clear, accessible information about payment processes and statuses to payment recipients, including vendors and service providers, DCYF staff, and other participants, fostering trust and accountability.

• Support for Participants: Offering a system that is responsive to the needs of payment recipients, including vendors and service providers, children, and families, ensuring that the technical solutions implemented enhance rather than hinder service delivery.

• Adaptability and Future-Readiness: Building a flexible system that can adapt to changing needs, integrate new technologies, and comply with evolving legislative and policy requirements.

• Quality Care and Services: Facilitating the provision of high-quality care and services for Washington's children and youth by ensuring the financial stability and support of payment recipients, including service providers, through efficient and reliable payment systems.

• Appropriate stewardship of public funds and grants: Ensuring the responsible management of public funds and grants to safeguard that financial resources are allocated efficiently and transparently, optimizing the impact of every dollar invested.

• Ability to attract and retain talent: Fostering an engaging and innovative work environment to attract and retain dedicated professionals, by promoting professional growth, efficiency, and a direct contribution to enhancing the lives of families and children served.

This vision underscores DCYF's commitment to leveraging modernization to better support the children and families at the heart of the department’s mission, recognizing the critical role that a functional, efficient, and transparent payment system plays in the broader ecosystem of care and support services.

1.2.1 DEPS Modernization Business Drivers and Imperatives

DCYF identified key drivers and imperatives for the solution to help ensure the DEPS Modernization aligns with the vision and addresses the strategic needs of all participants.

1.2.1.1 Internal Drivers

The Washington State Department of Children, Youth, & Families has identified several internal drivers that necessitate the modernization of payment systems and processes. These drivers underscore the imperative to overhaul the current system and processes to better meet the evolving demands of service delivery, operational efficiency, and technological innovation. The modernization effort is aimed at addressing inherent challenges within the existing system, enhancing capabilities to support payment recipients effectively, and ensuring that children and families receive the highest quality of care and support. By focusing on these internal drivers, DCYF is committed to creating a payment system that is not only responsive to the current needs but also adaptable to future developments. Below, we outline internal drivers that form the foundation of the DEPS modernization strategy.

Internal Drivers for Payment Modernization

These are the internal and external business drivers impacting DCYF and its partners in realizing their modernization vision.

1. Improve Payment Accuracy and Transparency: Streamlining payment processing to support accurate and timely compensation for services rendered, ensuring that financial discrepancies are minimized and that providers can rely on the System for their operational needs.

2. Modernize Antiquated Technology: Updating and replacing outdated technology platforms to reduce maintenance costs, improve system reliability, and attract and retain technical staff with modern skill sets necessary for ongoing system development and support.

3. Promote Business Process Improvements: Leveraging technological advancements to simplify payment processes, automate workflows, and utilize analytics and alerts to minimize errors, thereby enhancing operational efficiency and accuracy.

4. Integration with External Data Systems: Implementing a solution with the ability to interface seamlessly with other relevant data systems, thereby improving data accuracy, streamlining payment tracking, and ensuring comprehensive compliance with changing payment criteria.

These internal drivers highlight the critical areas of focus for DCYF in its pursuit of DEPS. By addressing these areas, the department aims to create a more efficient, extensive, reliable, and user-friendly system that supports the delivery of essential services to children and families.

1.2.1.2 External Drivers

In parallel with the internal drivers for modernization, the Washington State Department of Children, Youth, & Families (DCYF) also recognizes several external drivers that further underscore the urgency and necessity of modernizing DCYF’s payment processes. These external drivers highlight the broader context within which the DCYF operates, including legislative mandates, evolving technological landscapes, and the expectations of payment recipients, and the beneficiaries they may serve. Addressing these drivers is essential for ensuring that new technology not only meets current requirements but is also poised to adapt to future changes and challenges. Below, we detail the key external drivers influencing the modernization effort.

External Drivers for Payment Modernization

• Meet Legislative and Regulatory Compliance Requirements: Adapting the System to comply with state reporting requirements and mandates, resolving state audit findings to mitigate future risks, and enhancing the System's capacity to respond to potential scrutiny from the media and citizen advocates.

• Improve User Experience: Providing high-quality online access for vendors, service providers and families to submit invoices, track payment status, and view payment history, optimizing system integrations and reporting capabilities to prevent and efficiently resolve overpayments.

• Provide timely and Accurate Payment: Streamlining business processes to ensure payment recipients, including vendors and service providers, are paid accurately and on time, enabling the

System to adapt payment methodologies (e.g., paying childcare providers based on enrollment rather than attendance) to better support provider operations and fixed costs.

• Adopt and Adapt to Technology Trends: Implementing modern technology and mobile-enabled platforms to accommodate varying user capabilities, improving ease of use and access, leveraging cloud and multi-cloud standards for interoperability, and ensuring the System's scalability, flexibility, and agility to accommodate legislative changes and adapt to major external events and changes.

• Align to OneWA Workday Transformation Program: Washington State’s Office of Financial

Management is currently replacing the statewide Agency Financial Reporting System (AFRS) with the Workday solution. The planned functionality for OneWA Workday will shape the DCYF payment modernization scope and solution architecture, as well as future payment processes.

The recognition of these external drivers reflects DCYF's commitment to a holistic approach to the DEPS modernization, one that considers not only the internal operational and technological improvements, but also the external environment and the expectations of all participants. This approach ensures that the modernized DCYF payment solution will be robust, responsive, and capable of delivering exceptional service to Washington's children and families, today and in the future.

1.2.1.3 Strategic Imperatives

DCYF is embarking on a significant modernization initiative for payment processes, guided by strategic imperatives categorized into three main areas: Transformation, Staff & Process, and Technology. These imperatives are designed to ensure the DEPS modernization produces a solution that not only meets the department’s immediate operational needs, but also offers long-term adaptability, efficiency, and effectiveness in serving Washington's children, youth and families. Below is an elaboration of these strategic imperatives.

Transformation Imperatives

• Program Management and Governance: Adopting professional management and transparent decision-making processes to oversee all aspects of DEPS Modernization, ensuring alignment with

DCYF's strategic goals, alignment to other major projects, and the effective engagement of all participants.

• Organizational Change Management: Investing in the management of change across DCYF and its partners, including Tribal Nations, counties, and payment recipients (inclusive of vendors and service providers), to ensure the smooth transition from the current state and smooth adoption of

DEPS.

• Wise Investment Strategy: Making investment decisions that consider the impact on all users, total cost of ownership, and alignment with the vision for DEPS, aiming for optimal return on investment and sustainability.

• Person-Centered Design: Emphasizing a design process for DEPS that is grounded in the lived experiences and active participation of its users and beneficiaries, ensuring that the System meets their needs effectively.

• Incremental Change: Approaching the modernization effort in manageable parts to facilitate learning, adaptation, and value maximization from each phase of implementation.

Staff & Process Imperatives

• Staffing: Allocating dedicated, multidisciplinary resources across the state to support the planning, implementation and ongoing operation of DEPS, ensuring readiness and capability at all levels.

• Vendor Leverage: Establishing partnerships with vendors who have proven expertise in enterprise payment solutions and systemic change, and leveraging their skills to enhance the modernization effort.

• Equity: Integrating equity, cultural sensitivity, and anti-racism principles throughout the modernization process to respect and honor the beliefs, attitudes, and behaviors of children and their families.

• Standardized Practice: Moving towards standardized payment processes, supported by the modernized system, fostering consistency and best practices across all interactions.

• Optimized Processes: Streamlining workflows, reducing unnecessary handoffs, enhancing integration, and removing physical constraints to improve efficiency and effectiveness.

• Available Information: Ensuring timely access to necessary information for workers, supervisors, and administrators, supporting informed decision-making and payment delivery.

Technology Imperatives

• Enterprise Architecture: Leveraging technology in alignment with enterprise (State and

Department) design standards and guidelines, exploiting opportunities for system improvement and integration.

• Cloud and Mobility Enablement: Embracing cloud and mobile computing to benefit from their scalability, flexibility, and convenience, enhancing the accessibility and responsiveness of DEPS.

• Modularize with Integration: Adopting a modular approach to DEPS architecture, facilitated by modern API technology, to improve system flexibility and data sharing capabilities.

• Enable with Data Infrastructure: Developing a robust data, reporting, and analytics infrastructure to support informed planning, decision-making, and performance monitoring.

• Legacy System Conversion and Retirement: Planning the phased disengagement from outdated systems, ensuring a smooth transition to more modern, efficient technologies.

Through these strategic imperatives, DCYF aims to transform DEPS into a modern, efficient, and user-centered system. This approach not only addresses the immediate challenges but also ensures the

System's long-term viability and adaptability to future needs and technological advancements, ultimately improving the delivery of services to children and families in Washington State.

1.3 Purpose of this Document

The purpose of this document is to present the business process analysis associated with DCYF’s DEPS Modernization. The analysis is comprised of Use Cases and Workflows that depict the desired future state as well as Personas and Journey Maps that illustrate pain points in the current state. DCYF will leverage this document to:

■ Provide the foundation for the functional requirements which will define the capabilities of the new

DEPS.

■ Provide technology partners, internal or external, with the context regarding the functional requirements – this document captures how the functionality must work together to support the DEPS processes.

■ Understand how different processes and systems interface with the DEPS.

■ Provide those who interact with payment processes and technology with a common language to articulate their understanding of the capabilities.

2.0 Approach and Methodology

The business process analysis was developed using a workshop-driven approach to gather input from a diverse group of participants representing business unit groups that will interact with the future DEPS. The business unit cohorts involved in the data gathering interviews included:

• Fiduciary Analysts.

• Child Welfare program team.

• Early Learning program team.

• Juvenile Rehabilitation program team.

• Accounting and payment integrity team.

• Garnishments team.

• DCYF IT team.

The business process analysis utilized a set of documentation formats that collectively represent the DEPS future state as well as give important context about the current state.

3.0 Use Cases

Use Cases capture the requirements from a system user perspective. The purpose of these procurement-level Use Cases is to illustrate ‘how’ a user interacts with the System and ‘what’ the System is expected to do, but not to prescribe ‘how’ the System is expected to do it.

Each Use Case contains the following information:

■ Use Case Title

■ Background – Description and context of the Use Case.

■ Actor(s) – Person / role of the user interacting with the System.

■ Actor Goal(s) – Description of the Actor’s goals while completing the Use Case.

■ Trigger(s) – An event (or events) that causes the Actor to take an action and interact with the System according to the Use Case description.

■ Pre-Condition(s) – A condition that must be in place or have occurred before the Use Case can occur.

■ Post-Condition(s) – The result when the Use Case is completed.

■ Use Case Flow – Best case scenario of the Use Case.

■ Alternative Flow(s) – A special circumstance that may occur during or aside from the Use Case Flow, variable steps.

■ Associated Use Case(s) – Use Case(s) related or linked to the current Use Case.

■ Associated Business Process(es) – Business Process(es) related or linked to the current Use Case.

■ Interface(s) – Identified external systems that the new System must interface with to complete the Use Case.

■ Additional Requirements – System requirements applicable to the Use Case but are not part of the Main or Alternative Flow(s).

3.1 Actors

Actors are users of the System. An individual person may perform the activities of different Actors depending on the specific Use Case.

A list of users and associated description is summarized below for DEPS.

DEPS Use Case Actors and Actor Descriptions

Actor Name Actor Description

DCYF program staff DCYF staff may include program staff associated with various DCYF program areas.

Administrative and Clerical Staff

The Administrative and Clerical Staff are responsible for ensuring that court orders and court outcomes information is available in the System

Client or Beneficiary An individual that is part of a case, e.g., Child, Parent, Guardian, etc.

Fiduciary Analyst The Fiduciary Analyst is responsible for reviewing and authorizing payments.

Fiduciary Supervisor The Fiduciary Supervisor is responsible for managing the Fiduciary Analysts, including providing additional payment review and approval as needed.

Intake Supervisor An Intake Supervisor is responsible for reviewing and approving new case referrals.

Intake Worker An Intake Worker is responsible for answering the Hotline, speaking with the Reporter about any alleged abuse or neglect, assessing and determining the level of severity and priority of the allegations in relation to the safety of affected children, recording case information, and referring each case to an appropriate next step.

Service Provider A Service Provider is a representative from an external organization that is contracted to provide specific services to DCYF clients.

Social Work Supervisor The Social Work Supervisor is responsible for overseeing the day-to-day activities of Social Workers that report to them. They also and review and approve Social Worker actions including referrals and removals.

Social Worker A Social Worker is responsible for managing the overall case, ongoing services, and permanency planning for a caseload of children and caregivers.

Garnishment Desk Staff DCYF staff member responsible for intaking garnishment orders and supporting the processing of garnished payments.

3.2 List of Use Cases

The table below lists the detailed Use Cases and a brief description of the complete course of events for the business process captured for DEPS.

List of DEPS Use Cases

Use Case Number

Use Case Name Use Case Description

1 Prepare invoice based on payment type and receive supporting information

• Extract data from eligibility systems and classify payments into appropriate categories based on business rules. Payment categories include recurring or one-time and internal operating and client related expenses.

• Generate A-19 invoice voucher and populate the form with relevant information, as defined by DCYF business rules.

• Generate invoice contingent on purchase orders (services or goods authorizations) pulled from eligibility System;

invoices can contain a pre-filled amount for payment recipient to claim against or an open-ended amount for payment recipients to fill in.

• Identify supporting documents by payment type, transmit invoices to payment recipient or staff, request payment recipient or DCYF staff to complete and submit the claim with supporting documentation, such as p-card purchase receipts.

• Provide staff with a range of option to upload claims and documentation including, but not limited to, portal upload, email, etc.

2 Conduct three-way match • Determine compatibility with automatic three-way matching.

• Match authorization, invoice and service proof automatically.

• Assign appropriate DCYF staff to conduct three-way match if the activity requires human action.

3 Review payment coding and calculate deductions

• Determine if payment coding requires staff review and assign DCYF staff for review of account coding.

• Determine if payment requires W2 household deductions and calculate W2 household deductions.

• Determine if payment requires union deductions and calculate union deductions.

4 Create and verify Accounts Payable • Create of Accounts Payable entry based on payment coding for the gross and net amount accounting for applicable deductions.

• Determine if the payment requires a final check/audit before issuance based on payment type and assign staff to conduct audit.

• Identify appropriate timing for the approved payment to be released for issuance and route for issuance accordingly.

5 Identify, record and report duplicate payments

• Identify duplicate payments, notify staff, and record duplicates as payments not complete due to duplication error.

6 Identify and report garnished payments • Identify garnishable payments leveraging the list of payment recipient profiles with matched and eligible garnished payments.

7 Transmit payment to state system for issuance

• Authorize and route non-garnished / non-garnishable payments to OneWA Workday for issuance, receive and record payment status post-issuance.

• Route garnished payments to the garnishment process to support OneWA Workday issuance of check.

• Receive / capture OneWA Workday status on payment issuance activity.

8 Receive payment authorization request and issue payment

• Receive request for payment issuance from DEPS.

• Determine if the payment requires an audit before issuance.

• Assigns staff to review and authorize the payment.

• Issue the payment to recipient using a range of payment methods including, but not limited to, checks (warrant), EFTs, etc.

9 Calculate garnished amounts from garnishable payments

• Intake garnishment documents, such as court documents, from staff upload.

• Cross-reference uploaded documents against payment recipient. information, and match garnishment with payment recipient using Tax ID or other payment recipient information.

• Categorize payments as tax or non-tax reportable.

• Compute garnished portions of payments.

10 Route garnished and residual provider payment for issuance and record payment status post issuance

• Route lien and residual payments to OneWA Workday for issuance, receive and record payment status from OneWA Workday for both garnished and non-garnished payments issued by OneWA Workday.

• Record payments subject to garnishments but deemed non-tax reportable earnings.

• Register the garnishments paid and the balance of payment paid to payment recipient to support audit and payment recipient inquiries.

11 Receive and review reports of underpayments and overpayments

• Intake data on underpayment or overpayment via payment recipient-filled payment report from the portal, eligibility Systems.

• Categorize payment error as either under or over payment.

• Identify whether the claimed amount on the underpayment was accurate based on proof of services rendered.

12 Correct reported underpayments • Assign underpayment record to appropriate DCYF staff for processing the requisite payment correction and AP adjustment it the underpayment was made in error.

• Assign staff to validate accurate underpayments Notify staff and payment recipient of final adjustment processed against an underpayment report.

13 Identify, track and resolve overpayments

• Flag the payment recipient profile with the applicable overpayment amount and assign DCYF staff to contact and request overpayment funds back from payment recipient using a payment recipient remittance request.

• Determine if given overpayment corresponds to a one time or recurring service.

• Determine if a payment recipient returns or does not return funds within the DCYF prescribed remittance window.

• For recurring payments, for situations when overpayments are not returned within defined window, assign staff to request payment recipient to fill unearned revenue tax form and debit Accounts Payable

• For one-time payments, for situations when the overpayments are not returned with the defined window, mark overpayment as lost capital.

• Remove overpayment flag from payment recipient profile if payment recipient returns funds within the widow, or if a debit (decrease) was applied to Accounts Payable.

14 Audit, categorize and report aging status of uncashed checks

• Conduct audit on checks at 90 days since issuance (or amount of time according to DCYF/State business rules in effect at the time) and generate daily report for staff.

Notify the payment recipient and staff on 90-day status (or amount of time according to DCYF/State business rules in effect at the time).

15 Issue cancellation request to OneWA Workday and assign to General Ledger

• Send cancelation notice against checks at 180 days since issuance to OneWA Workday and assign check to General Ledger 5194 (or equivalent account code in effect at the time).

• Identify and alert DCYF staff on cancelled checks

16 Receive and resolve vendor request for check reissuance

• Intake and record check reissuance request entered by staff on behalf of payment recipient.

• Assign staff to contact affected payment recipients and solicit payment recipient affidavits, attesting check was destroyed or not received in conjunction with reissuance form, and process the reissuance.

• Input payment recipient request for check reissuance.

• If the request is for a check uncashed between 180 days and 2 years (or amount of time in effect according to DCYF/State business rules at the time), assign DCYF staff to reissue check and create automatic check batching before check is reissued and receive reissue check (check (warrant)) number.

• If check is uncashed beyond 2 years (or amount of time in effect according to DCYF/State business rules at the time), generate unclaimed property report (5194) and route report to DOR for checks unclaimed at or beyond 2 years (or amount of time in effect according to DCYF/State business rules in effect at the time).

17 Generate list of standard reports. • Push a list of standard reports to the DCYF Finance and Accounting team and generates the report on a user dashboard.

• Display the user-selected report to the appropriate DCYF staff at a frequency defined by business rules.

18 View and select reports from dashboard

• Intake user-defined report parameters

• Generate an ad-hoc parameter driven report on a user dashboard

19 Produce information to create tax reporting

• Determine if given payment requires household W2 or 1099 tax reporting using account coding and pre-established business and tax rules.

• If payment recipient ID is available, consolidate payment, deduction, and tax information across DCYF services and generate tax documents using payment recipient ID.

• If payment recipient ID is unavailable, assign DCYF staff to leverage alternative identifying information to consolidate payments by payment recipient, apply deductions and generate appropriate tax documents.

20 Generate and assign staff to validate W2 or 1099 corrections

• Intake request from payment recipient if a W2 or 1099 correction is required and retrieve preceding W2 or 1099 and generate the corrections.

• Assign staff to validate corrections information.

21 Register a new payment recipient on the portal

• The Fiduciary Analyst reviews, validates, and authorizes a submitted payment authorization.

22 Provide and receive information to DCYF to support payment authorization

• Prompt payment recipient to complete the invoice and upload supporting documentation to facilitate the three-way match process.

• Provide invoice and intake claims and supporting documentation using a range of communication channels including, but not limited to, payment recipient portal, email, and interactive voice response (Interactive Voice Response (IVR)).

23 View or update profile information • Intake payment recipient request to change profile information and assign staff to review and approve request.

• Notify the program team and the payment recipient on the status of the profile change request.

24 Send, receive and display notifications and information in Portal

• Notify payment recipient of an underpayments or overpayments incidence, request payment recipient to return unearned payment, and provide payment recipient with additional tax documentation in case the payment recipient does not return the overpayment amount.

• Notify payment recipient on status of underpayment check issuance.

• Alert payment recipient to uncashed checks at 90 and 180 days since issuance and notifies payment recipient of check cancellation at 180 days (or amount of time according to DCYF/state business rules in effect at the time).

• Request and intake payment recipient affidavit attesting check was destroyed and not received.

• Inform payment recipient on check reissuance.

• Extract payment status from OneWA Workday / State System / DEPS and generate a dashboard status of payment status.

Detailed Use Cases

3.2.1 Use Case 1: Prepare and transmit system-generated invoices based on payment type and receive supporting documentation.

Background / Context

DCYF staff will enter a purchase order (services or goods authorization) into an authorized eligibility (authorized services) system. Once a purchase order (services or goods authorization) is entered, the System shall extract relevant data, such as the authorized dollar amount and type of service and/or goods authorized, from the appropriate eligibility (authorized services) system. The System shall then sort purchase orders (services or goods authorizations) into categories according to DCYF business rules, differentiating between recurring or one-time transactions, as well as between internal or client-care expenses.

For payments not requiring payment recipient interaction, the System shall allow DCYF staff to manually create a purchase order (services or goods authorization), such as for grant payments, tiered reimbursements, and cost of care incentives, without requiring the providers to claim the invoice (payment recipient submitted invoice). For payments requiring payment recipient interaction, the System shall leverage the data from the eligibility (authorized services) systems to generate self-billing invoices (DCYF generated and/or A-19 invoice), which can vary in format, including statements with pre-filled or open-ended amounts for providers to claim against their services/goods rendered. For payments requiring payment recipient interaction, the System also identifies necessary supporting documentation required for an invoice (DCYF generated and/or payment recipient submitted) and route both the invoice and list of documentation to be furnished to the payment recipient.

Providers have multiple options for accessing and submitting invoices (payment recipient submitted) and documentation, including a provider portal, email, and Interactive Voice Response system (IVR). The System shall have the ability to restrict channel options made available to the payment recipient based on user-defined criteria across DCYF program areas.

Actor(s)

• DCYF staff.

• Program and field staff.

• Payment staff.

• Payment recipient.

Actor Goal(s)

• As DCYF staff, I want purchase order (services or goods authorization) information extracted from the appropriate eligibility (authorized services) system and categorized into the appropriate payment categories.

• As DCYF staff, I need to be able to quickly access and process invoices (DCYF generated and/or payment recipient submitted), claims and service proofs submitted by payment recipients to support the three-way match process.

• As a payment recipient, I need to obtain the correct invoice (DCYF generated), complete the claim entry and upload supporting documentation using a range of download and upload channels so that I am paid in a timely manner.

• As a payment recipient, I need to submit my invoice (payment recipient submitted) along with supporting documentation into the provider portal.

Trigger Event(s)

• DCYF staff: The System assigns an appropriate DCYF staff to manually classify the payments.

• Payment recipient: The System transmits the self-billing invoice (DCYF generated) to the payment recipient and/or prompts the payment recipient to upload invoices (payment recipient submitted) along with supporting documentation.

Pre-Condition(s)

• DCYF staff has entered the purchase order (services or goods authorization) into the eligibility (authorized services) systems.

• The System ingests information from the eligibility (authorized services) systems.

• The System has access to relevant business logic as defined by DCYF to classify payments and generate self-billing invoices (DCYF generated).

Post-Condition(s)

• The completed invoice (DCYF generated) is transmitted to the provider or DCYF staff for completion.

• The System prompts the payment recipient to submit an invoice (payment recipient submitted invoice) along with supporting documentation.

Use Case 1: Main Flow

1. The System extracts the purchase order (services or goods authorization) data from the appropriate eligibility (authorized services) systems, which may include but are not limited to:

a. CCWIS.

b. ACD.

c. BARCODE.

d. WACAP.

e. WACOMPASS.

f. ELMS.

g. SPROUT.

h. MERIT.

i. Travel and Expense (TEMS).

j. CAPS.

k. Tiered Reimbursement Application (TRA).

l. P-card authorizations.

m. Grant payments.

2. The System logs the associated date and time of the extraction.

3. The System categorizes the purchase orders (services or goods authorizations) using predefined business rules. The attributes used to categorize may include but are not limited to:

a. One-time or recurring payments.

b. Internal operating or client-related expenses.

c. P-card expenses.

d. Requirement for payee interaction (e.g., payments that do not require payee interaction include, but are not limited to, utility payments, tiered reimbursements, and Cost of Care incentives).

4. The System routes the purchase order (services or goods authorization):

a. If the payment requires a self-billing (DCYF generated and/or A-19) invoice:

i. The payment requires interaction with the payment recipient:

1. The System generates the appropriate self-billing invoice (DCYF generated invoice):

a. The self-billing invoice (DCYF generated invoice) types may include but are not limited to:

i. Statements with pre-filled payment amounts.

ii. Statements with fillable payment amounts.

iii. Other statement configurations.

b. The System routes the self-billing invoice (DCYF generated invoice) to the payment recipient.

i. The provider signs and returns the self-billing invoice (DCYF generated invoice) and any supporting documentation, via portal upload or other applicable channel as defined by DCYF rules.

ii. If the payment does not require interaction with the payment recipient:

1. The System generates the appropriate self-billing invoice, following DCYF business rules.

2. The System validates the self-billing invoice and/or assigns staff to validate the payment authorization.

3. The System transmits the payment authorization to OneWA Workday or the state payment issuance system, subject to approvals and controls defined by

DCYF.

b. If the payment requires a standard invoice (payment recipient submitted invoice):

i. The System identifies the requisite supporting documentation corresponding to the given invoice (payment recipient submitted invoice) based on applicable factors indicated in Step 3 of the Main Flow.

ii. The System notifies the payment recipient via the portal, or any other means as defined by DCYF business rules, to submit the invoice (payment recipient submitted invoice) and any supporting documentation.

iii. The System receives the invoice (payment recipient submitted invoice) and the list of required documents from the provider.

1. The System provides the payment recipient with a range of communication channels to receive and upload payment information, configurable to program area.

2. The System shall allow types of channels to be restricted per DCYF business rules. The types may include, but may not be limited to:

a. Provider portal.

b. E-mail.

c. IVR.

d. Other approved communication channel.

iv. The payment recipient uploads the invoice (payment recipient submitted invoice) and required documentation via one of the available channels approved by DCYF.

Associated Use Cases

• Use Case 2: Conduct 3-way match.

Associated Business Process Flows

• SA: Purchase Authorization.

Interfaces

1. CCWIS.

2. ACD.

3. BARCODE.

4. WACAP.

5. WACOMPASS.

6. ELMS.

7. SPROUT.

8. MERIT.

9. Travel and Expense (TEMS).

10. CAPS.

11. Tiered Reimbursement Application (TRA).

12. P-card authorizations.

13. Grant payments.

3.2.2 Use Case 2: Conduct 3-way match.

Background / Context

The System shall access the service or goods authorizations ingested from the appropriate eligibility (authorized services) systems and conduct a 3-way-match across the following elements of the payment authorization:

1. The invoice (self-billing and/or payment recipient submitted).

2. The purchase order (services or goods authorization) is entered into the appropriate eligibility

(authorized services) systems.

3. The proof of delivery of claimed units of goods or service submitted by the payment recipient.

Actor(s)

• DCYF staff.

• Payment staff.

Actor Goal(s)

• As DCYF staff, I need to ensure corresponding sets of invoices (DCYF generated and/or payment recipient submitted), purchase order (services or goods Authorization) and service proofs align accurately to safeguard payment integrity.

Trigger Event(s)

• The System assigns an appropriate DCYF staff to conduct 3-way match if the System determines the matching requires staff intervention.

Pre-Condition(s)

• The provider has submitted the invoices (payment recipient submitted) and supporting documentation.

• The provider has validated the self-billing (DCYF generated) invoice and submitted supporting documentation.

• The System has access to the invoices (DCYF generated and/or payment recipient submitted).

Post-Condition(s)

• All claims entered by the provider/staff are matched to their corresponding purchase order (services or goods authorization) and delivery proofs.

• Claims which failed the 3-way match are flagged for appropriate action.

Use Case 2: Main Flow

1. The System determines the 3-way matching process is compatible with automated execution.

a. The System shall rely upon the following factors to make this determination:

i. Predefined business logic.

ii. Payment type:

1. One-time vs recurring.

2. Internal (operational) vs client expenses

3. P-card expenses.

iii. DCYF program type.

iv. The type of supporting documentation.

v. The completeness of supporting documentation.

2. If the System determines payment is amenable to automated 3-way matching, the System matches the corresponding sets of invoices (DCYF generated and/or payment recipient submitted), purchase order (services or goods authorization) and delivery proofs.

3. The System flags the payment authorization (validated invoices) as validated if the 3-way match is successful.

4. The System flags the payment authorization (validated invoices) as not validated if the 3-way match is unsuccessful.

a. The System assigns DCYF staff for further resolution.

i. The assigned DCYF staff will attempt to troubleshoot and resolve payment discrepancy.

ii. DCYF may leverage a range of resolution actions, including, but not limited to:

1. Contacting the provider and requesting clarification and additional documentation, as needed.

Use Case 2: Alternative Flow

1. The System determines that the 3-way matching process requires staff intervention.

a. The System shall rely upon factors identified in Step 1 of the Main Flow as the basis for this determination.

2. The System assigns an appropriate DCYF staff to complete 3-way match manually.

a. The assignment is determined based upon DCYF business rules regarding staff assignment, and the factors identified in the Step 1 of the Main Flow.

3. The DCYF staff will manually verify that the authorized service units match the claimed payment amounts, utilizing the provided delivery proofs as the basis for this confirmation. The sequence of steps includes but may not be limited to:

a. DCYF staff accesses the invoice (DCYF generated and/or payment recipient submitted) associated with the payment.

b. DCYF staff accesses the purchase order (services or goods authorization) and supporting documentation submitted by the payment recipient.

c. DCYF staff matches the authorized units of service against the invoice (DCYF generated and/or payment recipient submitted) and proof of delivery.

d. If the match is completed:

i. The DCYF staff will mark the 3-way match as successful in the System.

e. If the match is not completed:

i. The DCYF staff will mark the 3-way match as unsuccessful in the System.

4. Continue to Step 3 of the Main Flow.

Associated Use Cases

• Use Case 1: Prepare invoice (DCYF generated) based on payment type and receive supporting documentation.

Associated Business Process Flows

• SA: Purchase Authorization.

Additional Requirements

• The System shall notify the DCYF program staff after the 3-way match is complete.

a. The System can choose one of multiple notification channels, including, but not limited to:

i. Staff dashboard.

ii. Report.

iii. Email.

3.2.3 Use Case 3: Review payment coding and calculate deductions.

Once the 3-way match is completed, the System shall assess the need for staff review of account coding. It uses various payment information, such as payment type and existing account coding from similar payments, to make this determination (including account coding based on service or goods authorization data sent to system). If a review is required, the System shall assign staff to conduct it, who can flag authorized payments for review based on account coding and DCYF’s established business rules. Following the review, the System shall evaluate the necessity of a W2 deduction (including a household W2) and, if needed, calculate the deduction amount(s). Additionally, the System shall determine the need for union deductions, which may include union dues and healthcare contributions, and calculate these deductions if they are required.

Actor(s)

• DCYF staff.

Actor Goal(s)

• As DCYF staff, I need to ensure that payment coding has been applied correctly and deductions are accurately captured.

• Further, as DCYF staff, I need to have quick and easy access to the record of all authorized payments and deductions for purposes of financial audit and provider inquiries.

Trigger Event(s)

• The System assigns DCYF staff to conduct coding review.

• The System assigns DCYF staff to compute applicable deductions.

Pre-Condition(s)

• The authorizations are 3-way matched.

Post-Condition(s)

• Successful confirmation of account coding and applicable deductions.

Use Case 3: Main Flow

1. The System evaluates the need for staff review of payment coding, guided by DCYF business logic.

A. If staff review is needed, continue to Step 2 of the Alternative Flow.

B. If staff review is not needed, continue to Step 2 of the Main Flow.

2. The System evaluates the need for a W2 deduction using factors referenced in Step 2.A.i. below.

A. If a W2 deduction is required, the System determines if the calculation is amenable to automation.

i. If the calculation can be automated, the System calculates the W2 deduction and moves to Step 3. This is based on:

1. Predefined business logic.

2. Authorization type.

3. Relevant payment information, including business and tax rules.

ii. If the calculation cannot be automated, continue to Step 5 of the Alternative Flow.

3. The System evaluates the need for a union deduction using factors referenced in Step 2 above.

A. If a union deduction is required, the System determines if the calculation is amenable to automation.

i. If the calculation can be automated, the System calculates the union deductions using the criteria outlined in Step 2 above. Union deductions can include but are not limited to:

1. Healthcare contributions.

2. Union dues.

3. Union voluntary deductions.

ii. If the calculation cannot be automated, continue to Step 6 of the Alternative Flow.

4. The System adds the calculated W2 and union deductions to the applicable authorization.

Use Case 3: Alternative Flow

1. Start on Step 1 of the Main Flow.

2. The System assigns appropriate DCYF staff for coding review. The assignment is contingent on staff availability and additional factors, including, but not limited to:

a. Program area.

b. Payment type

3. DCYF staff conducts the review of account coding for accuracy and completeness.

a. If the account coding is accurate, the DCYF staff marks the coding as validated.

b. If the account coding is inaccurate, the DCYF staff marks the coding as not validated.

4. Continue to Step 2 of the Main Flow.

5. If the System determines that W2 calculation requires staff intervention (step 2.A.ii. of the Main Flow) the System assigns a staff to the authorization.

a. DCYF staff computes the household W2 deduction using factors indicated in Step 2 of the

Main Flow.

6. If the System determines that union deduction calculation requires staff intervention (step 3.A.ii. of the Main Flow), the System assigns DCYF staff to the authorization based on availability and factors indicated in Step 2 of the Alternative Flow.

7. The DCYF staff computes the household W2 deduction using factors indicated in Step 2 of the Main Flow.

8. Continue to Step 4 of the Main Flow.

Associated Use Cases

• Use Case 2: Conduct 3-way match.

• Use Case 4: Create and verify…