Exhibit T, Document Processing Center Procedures.pdf

RFP No. HHS0015252 Exhibit T

Exhibit T, Document Processing Center Procedures

Overview 1 Key Areas 2 Document Preparation 3 Document Imaging 4 Reporting Outages and Freezes 5 Quality Control & Assurance 6 Reporting/Reconciliation 7 Document Storage and Disposition 8 Disaster Recovery and Business Continuity Procedure (DRBC) 9 Daily Building Health Check 10 Appendix A – Work Instructions 11 Appendix B - Distribution list 12 Appendix C – Glossary

Overview

The Document Processing Center (DPC) is responsible for receiving, handling, and processing incoming mail from HHSC clients and documents mailed/shipped from HHSC locations related to the Eligibility Services (ES) and Enrollment Broker (EB) processes for Health and Human Services programs. The DPC retrieves, opens, prepares, and scans the received documents, and releases the electronic data files that are created to the respective program processing areas, ES (IE) and EB. Processed documents are retained and then confidentially destroyed onsite once retention timeframes are met.

The DPC processes (prepares and scans) all documents received into an electronic image using Kofax Scan software. The scan software is responsible for sending the images downstream for further processing.

The primary purpose of this document is to describe the processes and procedures for the Document Processing Center (DPC). These processes are supplemented, in many cases, with detailed Work Instructions that are provided in Appendix A, Work Instructions, of this document.

The processes described in this document are defined and implemented in conjunction with HHSC Oversight staff. Any processes or procedures requested by HHSC are described in this document for historical, compliance and operational purposes.

1 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 functional process areas may be added as necessary.

1. Document Receipt & Inspection

2. Document Preparation

3. Document Imaging

4. Reporting Outages and Freezes

5. Quality Control & Assurance

6. Document Storage & Disposition

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: 8225 Cross Park Dr, Austin, TX 78710. Contractor obtains mail twice daily at approximately 5:00 AM and 7:00 AM.

Additional mail pick-up rounds are performed as needed based upon the mail volume.

The DPC has a mail van that is used to pick up mail daily. In the event the van is not available, Contractor will rent a van until the van is either repaired or replaced.

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. The front desk security staff calls the mailroom staff or DPC Administrative Assistant to sign and collect the mail.

3. HHSC periodically authorizes PO BOX 85102 mail to be picked up from the Austin Bluebonnet USPS station on Metric Blvd. These mailings are returned informational notices where HHSC requests confidential shredding.

Upon return to the DPC from the Post Office, the DPC Mailroom staff shall:

1. Load the received mail (trays/tubs) onto carts and move them to a staging area in the mailroom for mail opening.

2. Visually verify all mail and mail containers have been removed from the delivery vehicle.

3. If DPC Warehouse determines mail has been delivered to the wrong address, mail should be placed in the “Misrouted” bin and returned to the Post Office on the next business day after validation by the Mailroom Supervisor or designated staff.

4. 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:

1. 149021 – Women’s Health Program/Healthy Texas Women (WHP/HTW) Applications and Redeterminations/Medicaid Buy-In (MBI) Payments

2. 149022 – MBI Payments & MBIC – MCL Form

3. 149023– Enrollment Broker

4. 149024 – ES Applications

5. 149025 – ES Recertification

6. 149026 – ES Changes and Miscellaneous and Image Only

7. 149027 – ES Missing Information

a. 149028 –EB Returned Mail and VIK – CISS Letters

b. 149029 – ES Returned Mail and Return address for all outgoing mail from DPC

c. 149031 – IRS MEC Returned Mail

Mail Van Care

DPC mailroom staff is responsible for the maintenance of the mail van. Staff is required to complete a daily “Van Inspection Log” which records the route taken, miles driven, driver name, passenger name, any issues with the van, etc.

If the mail van gets involved in an accident, then staff riding in the van shall:

1. Staff shall call 911, irrespective of the severity of the accident or incident, and request police assistance on-scene. When police arrive, staff shall request a written report and get report ID from police. If police deny generation of a written report, then staff shall exchange the driver’s license and insurance information with other party before leaving the scene to file the “Driver’s Crash Report”.

2. Staff shall call the mailroom supervisor (on duty) or the DPC Assistant Production Manager after calling police and explain the situation.

Upon notification of the accident, if necessary, a member of management or a DPC supervisor shall drive an alternate method of transportation to the accident site to retrieve any mail that was being transported by the DPC van. Staff shall transfer the mail to the alternate transportation vehicle with utmost care and transport it to the DPC.

3. Assistant Production Manager shall notify HHSC of the accident, provide the initial information about the accident and potential risks or impacts to the DPC operations, and follow-up with a VAR once more complete and detailed information and potential risks or impacts to the DPC operations have been confirmed.

Mail Delivery Receipt – Handling Exceptions

The following mail types are considered exceptions and require special handling and processing:

1. Mail received by the DPC with insufficient or no postage

2. Mail sent by HHSC

a. If the correspondence received at DPC is in “window style” envelope or other type of envelope and appears to be not delivered to client because of postage issue, then such correspondence shall be out sorted to escalate to HHSC Oversight staff. If HHSC Oversight decides that DPC shall send mail to client with appropriate postage, then copies of the mail along with envelope shall be scanned as Returned Mail and original shall be shipped back to client with appropriate postage.

3. Mail from a source other than HHSC

a. If the correspondence received at DPC is in “BRM style” envelope with postage issue stamp or other types of envelope with postage issue stamp AND correspondence is sent by client, then such correspondence will be scanned as per prep/scan rules for document processing. The correspondence will not be out sorted to escalate to HHSC Oversight.

4. Torn or opened envelope/package

a. The Mailroom Supervisor shall report torn or opened envelopes/packages received from an HHSC local office to the DPC Production Manager (or a designated role in

Production Management). The DPC Production Manager shall report possible Health Insurance Portability and Accountability Act (HIPAA) violations to HHSC by submitting a KPR 18 – DPC Confidentiality Incident Report. Torn or opened envelopes/packages received from a local HHSC office will not be sent to the production floor until they have been reviewed and reported.

5. Contaminated mail

a. The mailroom staff shall out-sort any mail identified or suspected to be contaminated mail and place the mail in the marked bin for handling by a supervisor who shall follow the specified Contaminated Mail handling procedures. The mailroom area where the contaminated mail was received and inspected shall be wiped clean to disinfect the area.

6. Misplaced mail found in DPC

a. Staff shall hand over such mail to their supervisor for escalation to Project

Management. Project Management will work with production team and HHSC Oversight team on identifying when the mail was received at DPC and how to process the same.

7. Unusual mail received at DPC

a. If mailroom finds suspicious or unusual items like cash, check, broken glass, weaponry, cellphones, keys, pouches, medication etc. in an envelope/package, the envelope/package shall be isolated in the mailroom and the Mailroom Supervisor shall escalate the issue to the Assistant Production Manager. The Assistant Production Manager shall escalate to HHSC Oversight for further guidance. The envelope shall be kept in the mailroom and not transported throughout the facility.

b. If the mailroom staff finds a Business Reply Mail (BRM) 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 Assistant Production Manager for further action on the day of receipt.

Mail Opening and Counting

Most incoming mail should be opened using the OPEX Omation mail opening machines. Any mail that cannot be handled by the OPEX machine due to its size or shape will be opened manually. The following steps should be taken when opening mail and repeated for each tray:

1. 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.

2. The OPEX Machine is used to count the envelopes during the opening process. The mailroom staff shall ZERO the count prior to opening a different PO Box.

3. A ‘Jogger’ machine shall be used to ‘settle’ the contents of envelopes if needed. This further assists in preventing damage to the envelopes during the opening process.

4. All envelopes should be sorted facing forward.

5. Approximately 40 envelopes should be loaded in the machine at a time.

6. Once a tray is complete and all envelopes have been opened, the Mailroom shall use a

Mailroom count slip to record the following information:

a. Date

b. Name (mailroom worker)

c. PO Box Number

d. Number of envelopes opened (count from Omation)

e. Post office mail pick-up times: Pick-up # 1 (5:00 AM) or Pick-up #2 (7:00 AM)

7. Large/Oversized envelopes, boxes, packages, etc. which are too large or not suitable for the OPEX Omation machine opening shall be manually opened and counted by the Mailroom staff. A small box cutter knife (provided by Contractor) is used by mailroom staff to manually open mail/envelopes. The use of box cutter knives is limited to mailroom staff only.

8. Mailroom staff shall total the counts for each PO Box from all mailroom count slips, large envelopes, boxes, and packages and write the counts in the Initial binder paper mail log.

9. If BRM Fee Renewal Notice or BRM Annual Permit Fee Notice is received, staff shall out-sort such mail with envelopes and forward to the Assistant Production Manager. The Notice shall be given to HHSC oversight.

10. The Warehouse Supervisor or designated Mailroom staff shall update the Initial Mail

Count Summary Report, (also known as the Inbound Envelope Receipt Log) with the recorded information.

11. The (initial/final) Mail Count Summary captures the following information for each PO

Box:

a. From 1st and 2nd Mail Runs

b. Number of BRM envelopes received

c. Number of non-BRM envelopes received except BRM Fee Renewal Notice and BRM

Annual Permit Fee Notice

d. Total Counts

e. Totals 3rd-Party Carriers and Other Sources:

i. I/O – Image Only

ii. FEDEX Totals

iii. UPS Totals

iv. USPS Totals

v. Lone Star Totals

vi. HHSC/State Inbound

vii. OTHER Inbound

f. Outbound Mail to HHSC for Clarification

g. Return to General Mail Facility (Post Office)

h. Total EB mail sent to Document Preparation

i. Total ES mail sent to Document Preparation

j. Total mail received count

12. Incoming mail shall be opened in the following order of PO Boxes (old/new):

a. 149027 - ES Missing Information

b. 149022 – MBI Payments & MBIC – MCL Form

c. 149026 – ES Changes and Miscellaneous and Image Only

d. 149021 - WHP/HTW Applications and Redeterminations

e. 149023 - Enrollment Broker

f. 149024 - ES Applications

g. 149025 - ES Redeterminations

h. 149028 - EB Return Address

i. 149029 - ES Return Address

j. 149031– IRS MEC Return Mail (do not pass this to prep floor)

13. The initial and final mail count summary shall be emailed by mailroom supervisor or designated staff to “Daily Mail Count” distribution list.

14. Mail received at P O Box 85102 and 149031 (IRS MEC Returned Mail) shall be handled as follows by the mailroom:

a. Mailroom shall receive 85102 and IRS MEC Returned Mail from USPS as any other PO Box.

b. 85102 and IRS MEC Returned Mail shall be only counted (not opened) using Omation machines after releasing all other mail to prep floor.

c. 85102 and IRS MEC Returned Mail shall not be released to the prep floor. It shall be counted then immediately placed into a locked shred bin.

d. Count for PO Box 85102 and 149031 shall be reported in the initial and/or final mail count.

Mailroom Cleaning and Locking

After opening all trays of mail and delivering the mail to the prep floor for each mail run, mailroom staff must:

1. Check behind the Omation machines and under the tables etc. to ensure that no envelope was left behind. If mail is found during cleaning, then it shall be escalated to the mailroom supervisor immediately.

2. Mailroom shall be vacuumed and thoroughly checked for any misplaced envelopes.

3. Any mail that is not processed on the same day of receipt, regardless of whether the mail has been prepped, must be returned to the mailroom at the end of the day to be held for processing on the next business day.

4. The mailroom shall be locked overnight to secure the mail.

Note:

A. DPC mailroom supervisor is accountable for all mailroom staff activities including the use of vehicles for official business, key onsite activities etc.

B. Mailroom staff is responsible for thoroughly checking the mail van after each mail run to the USPS for any misplaced envelopes that may have fallen out of a bin or been otherwise missed during loading, transport or unloading.

2 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 out-sorting documents, envelopes (BRM), payments, voter registration cards and original documents.

Document Preparers receive one or more trays assigned to PO Box numbers. Each tray includes opened envelopes addressed to the PO Box.

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 and/or Supervisors 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).

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 ensuring that no paper is left inside the envelope. In instances where a BRM or another envelope with or without the HHSC PO BOX is affixed to an envelope, all envelopes shall be opened to ensure contents in either of the envelopes are obtained for processing.

2. Prepare the document set, as follows:

a. Unfold, straighten, and flatten bent papers

b. Remove any binding mechanism (staples, paperclips, etc.)

c. Repair torn pages

d. Secure small paper items, e.g., business cards, to letter-size (8.5x 11) sheets of paper

e. Ensure that photocopies for cardboard envelopes and bubble envelopes are provided by leads/supervisor or make copies if needed

f. Remove any metal-clasps from envelopes

g. Separate the H0025 (Voter Registration Card) from all types of mail.

h. If an HHSC Local office places sealed envelopes addressed to clients in an envelope and sends them to the DPC for processing, (for example, through Lone Star courier or a PO BOX, without a batch coversheet or note) DPC staff shall escalate to HHSC onsite staff for review.

i. If an HHSC Local office places sealed envelopes addressed to clients in an envelope and sends them 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 applicable form type.

j. Out-sort the BRM from all types of mail.

3. Envelopes without markings are out sorted to a bin for supervisory review towards confidential destruction per HHSC requirements at end of production.

Classification & Batching

Documents are classified according to the PO Box in which it is received and document types that are received. Documents are classified under two broad program categories at the DPC, specifically Eligibility Services (ES) or Enrollment Broker (EB). Separator sheets which identify the Program (ES or EB) and document type are placed in front of each document set as applicable.

Document sets such as Image Only, Disaster Supplemental Nutrition Assistance Program (DSNAP) and Auto Route (Missing Information Change Reporting (MICR) Coversheet and Medicaid for the Elderly and People with Disabilities (MEPD) Referral Coversheet 1746-A) do not require separator sheets.

If a completed batch coversheet is available, then the Document Preparer shall classify the document set as per applicable form type.

The separator sheets are bar-coded and color-coded to aid in document identification, organization, linking, routing, and task creation. The document types and associated colors of the separator sheets are identified below:

1. ES Separator Sheets

a. Applications – BLUE

b. Expedited Application - WHITE

c. Missing Information – PINK

d. Changes – YELLOW / CANARY

e. Re-Determinations – GREEN

f. Expedited Re-Determination - IVORY

g. Undeliverable / Returned Mail – GREY

h. Other – LILAC / ORCHID

2. EB Separator Sheets

a. EB Advance Form – Cream

b. EB Form – White

c. EB MCL – White

Note: Returned Mail received at PO BOX 149028 and PO Box 149029 or any other PO Box shall be prepped and scanned 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. Prepare and complete the applicable portions of the Batch Ticket, including:

a. Mail Delivery Time (either 1 or 2 for first or second mail run)

b. Circle letter for the day of the week

c. Preparer’s name

d. Write number of transactions prepared

5. Place Batch Ticket on top of all documents sets in the container.

6. Limit each batch to no-more-than twenty (20) document sets per container.

7. Stage completed batches/trays for imaging.

Note: To ensure that a document is accurately identified, and the correct barcode separator sheet is properly inserted, see Appendix A in the DPC WI Forms Recognition document as a guide.

Arranging documents in approved Prep Order and Exceptions/Special Handling

The Document Set shall be organized in the order listed below:

Condition Document set order If no 1746-A or MICR is received

1. Batch Cover sheet (if available)

2. Expedited screening (if applicable) and documentation identifying the office that screened the application.

3. Application Cover sheet (if available)

4. Application, enrollment forms or other application

5. Application instruction sheet

6. Addendum

7. All HHSC logo forms

8. Identification documents (e.g., social security card, birth certificate, driver’s license, and citizenship documentation)

9. Income verification documents

10. Supportive documents from Client (medical, gas, phone, and electric bills, etc.)

11. Envelope (if it’s a flat or Client Provided Envelope with text or BRM with some annotation) If 1746-A is received 1. MEPD Referral Coversheet 1746-A

2. Batch Cover sheet (if available)

3. Expedited screening (if applicable) and documentation identifying the office that screened the application.

4. Application Cover sheet (if available)

5. Application, enrollment forms or other application

6. Application instruction sheet

7. Addendum

8. All HHSC logo forms

9. Identification documents (e.g., social security card, birth certificate, driver’s license, and citizenship documentation)

10. Income verification documents

11. Supportive documents from Client (medical, gas, phone, and electric bills, etc.)

12. Envelope (if it’s a flat or client provided envelope with text or BRM with some annotation) If MICR is received along with other documents (see WI – Prepare Documents for further instructions on how to process MICR, including MICR exceptions)

1. MICR (Missing Information Cover Sheet)

2. Batch Cover sheet (if available)

3. Expedited screening (if applicable) and documentation identifying the office that screened the application.

4. Application Cover sheet (if available)

5. Application, enrollment forms or other application

6. Application instruction sheet

7. Addendum

8. All HHSC logo forms

Condition Document set order

9. Identification documents (e.g., social security card, birth certificate, driver’s license, and citizenship documentation)

10. Income verification documents

11. Supportive documents from Client (medical, gas, phone, and electric bills, etc.)

12. Envelope (if it is a flat or client provided envelope with text or BRM with some annotation)

Image Only

When prepping the Image Only (IO) mail, the DP Tech shall take the following into consideration:

1. If IO mail is received with no IOCS (including if Image Only is handwritten on the mail), the DP will escalate entire transaction, including copy of flat/box, to State Submissions.

IO mail will be scanned on a FUJITSU.

2. If two (2) or more IOCS are received in a single document set:

a. If exact same two or more IOCS (same case #) are received in document set, then keep only 1 IOCS and handover out-sorted IOCS to HHSC Oversight at end of week.

b. If two IOCS for different clients are received in document set, then escalate the complete document set to State Submissions for review.

c. If two different 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 Oversight at end of week.

3. If a document set has no Image Only cover sheet but arrives in a package from a local office and includes a batch cover sheet indicating documents are Image Only, send to State Submissions for review.

4. If 1746-A (MEPD Referral coversheet) is received along with IO Coversheet, always treat it as Image Only.

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. Multiple clients are identified based on unique case number only.

If a multi-client set supporting documents that cannot be linked to a specific client/case, supporting documents shall be copied and scanned with both cases.

EBT Cards in mail

If mail contains an EBT Card:

1. Make a copy of the EBT card for document preparation.

2. Paper clip the card to the transaction. The scan operator will out sort the card prior to scanning.

Supervisor shall provide all EBT cards to designated staff for logging in EBT card log on same day of identification. Designated staff will maintain the cards in a secure location until they are transferred to HHSC staff at end of the month.

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 prep staff shall out sort the packet with originals for handling by “Original Return” staff. The following items are classified as original documents:

1. Passports

2. Driver’s licenses/ID cards

3. Birth certificates

4. Death certificates

5. Social Security cards

6. Insurance policies

7. Citizenship/immigration documents

8. Marriage certificates/licenses

9. Court orders/legal instruments

10. Paychecks (not copies or computer printouts)

11. Unexpired debit/credit cards

A request may also be received from a client by mail or via Maximus to return an item that was not deemed original by the DPC. For such requests, an Originals Specialist is assigned the responsibility to return documents.

Payments

Payment received at the DPC shall be handled according to the process described below:

1. The Document Preparers shall present all Payments (cash, check or money order) to a

DPC Supervisor or Lead as soon as they are identified. The documents received along with payments shall not be removed from the envelope and complete envelope shall be handed over AS IS. Prepper shall complete the Payment Escalation slip and attach it to the envelope.

2. The Supervisor or Lead shall place the payments in a “Payment Bin” placed near the supervisor’s desk.

3. The Administrative Assistant shall handle the payments as per processes defined under the Payment Handling work instruction.

Handling Unidentifiable Mail

1. If unidentifiable mail is received at the DPC, it shall be escalated to HHSC for further investigation and guidance.

2. Unidentifiable document sets shall be logged daily in the State Submission Log. The log monitors the transfer of document sets between the DPC and HHSC.

3. The log should include the following information:

a. Client Name

b. Date submitted to the State

c. Form type

d. Number of document sets submitted to the State

e. Date received from the State

f. Number of document sets received from the State

g. ES/EB

h. Comments (why a document was not returned from the state)

4. The DPC staff shall complete the following information on the log before transferring the document sets to HHSC:

a. Client Name/APP ID

b. Date submitted to the State

c. Form type

d. Number of document sets submitted to the State

e. ES/EB (what program type the document set was received under)

The document sets shall be presented to HHSC in batches, several times per day.

Documents are returned to the DPC with a decision after HHSC has completed the necessary research. The DPC staff shall complete the following portions of the log:

1. Date received from the State

2. Number of document sets received from the State

3. Comments (if required)

The Documents are prepared by the State Submission representative under “State Submission Batch Ticket”.

The final log should be posted daily to the DPC Shared Drive

1. Location: S:\IAPI\DPC\State Submissions

Examples of escalated documents include, but are not limited to:

1. Primary Care Case Management (PCCM) Primary care provider selection form

2. Children with Special Health Care Needs (CSHCN) application form

3. Unidentifiable mail including enrollment information, applications from unrelated sources, checks, money orders, cash payments, invoices, or registration unrelated to

HHSC

4. Image Only Mail without cover sheet with proper identification, but a coversheet indicating mail is Image Only

5. Image Only Coversheet without supporting documents

6. H0025 received inside a non-return mail envelope, city and/or zip code is not filled by the client.

7. H1001- Application for Benefit Assistance from the Voluntary Agency (VOLAG)- Fax

Coversheet received alone or along with other document sets

8. Form H1855 - Affidavit for Non-receipt or Destroyed Food Stamp Benefits – Received alone or along with other document sets

9. H1232 - Notification of Ineligibility

10. Envelope with No Postage stamp

11. Out Stationed Worker Program (OWP) coversheet and HHSC Application Coversheet

Handling Provider Claims and Health Insurance Claim Forms

Provider Claim Form:

1. Provider Claim envelopes and contents shall be placed in the special “Provider Claim” container on desk near Supervisor desk.

2. The DPC designated “Document Preparer” for Original Returns shall insert the printout of Page 3 from below link and send form back to the sender.

https://www.tmhp.cm/resources/quick-reference-guide https://www.tmhp.com/resources/quick-reference-guides

Health Insurance Claim Form:

1. Health insurance claim form envelopes and contents are placed in the special “Provider

Claim” container.

2. The DPC designated “Document Preparer” for Original Returns shall insert the printout of page 3 from below link and send form back to the sender.

Handling Internal Revenue Service (IRS) Federal Tax Information (FTI)

IRS FTI is taxpayer federal tax return information provided because 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:

1. Name

2. Address

3. Social Security Number

4. Bank account information number

5. Driver's license number https://www.tmhp.cm/resources/quick-reference-guides https://www.tmhp.com/resources/quick-reference-guides https://www.tmhp.com/resources/quick-reference-guides

6. Professional license number

7. Occupational license number

8. Tax identification number

9. E-mail address

Due to the sensitivity and confidentiality of IRS FTI, strict custodial safeguards and handling procedures are adhered to protect client information. Documents identified as IRS FTI documents are immediately handed over to the DPC Prep Supervisor for further action.

Documents identified as IRS FTI are not prepped and scanned. They are delivered to the HHSC onsite representative after logging them in the IRS FTI log. Appendix A, Work Instructions, contains further work instructions on IRS FTI.

Documents identified as IRS FTI shall never be scanned but delivered to a supervisor for appropriate handling.

Contaminated Mail/Unusual Mail

Mail containing or consisting of any of the following items may be considered ‘contaminated’ and require special handling. Law enforcement or fire department would be called-in by DPC Manager or designated staff if needed after discussion with HHSC.

1. Pregnancy Test

2. Body Fluids

3. Insects

4. Razor Blades

5. Powdered Substances

6. 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 mail to designated contaminated mail tray.

3. Use an approved cleaning product and paper towels to clean the workspace where the contaminated mail was discovered. Dispose of the used gloves and paper towels in approved bags for bio-hazard container.

4. Wash any exposed areas (hands, arms, legs) thoroughly with anti-bacterial soap and warm/hot water.

5. Spray the designated contaminated mail tray with approved disinfectant once contaminated mail is taken away from mailroom.

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. Use an approved cleaning product and paper towels to clean the workspace where the contaminated mail was handled.

6. Dispose of used gloves and paper towels in approved bags for placing in bio-hazard container.

7. Place the bagged pages of contaminated mail into red bio-hazard bag and then dispose the bag into bio-hazard container.

8. Wash any exposed areas (hands, arms, legs) thoroughly with anti-bacterial soap and warm/hot water.

Reporting and Disposal

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 Administrative Assistant shall report the incident to HHSC via email.

3. The DPC Assistant Production Manager should request HHSC direction before releasing client information to the local law enforcement authorities or any law enforcement personnel.

The bio-hazard container is located inside the warehouse. Only staff designated for handling contaminated mail are allowed use of the bio-hazard container. The DPC has contracted with “SteriCycle Inc” (a bio-hazard disposal specialist) to come to the DPC and collect the contaminated mail (stored in the bio-hazard container) every three months for incineration.

Please refer “DPC WI - Contaminated Mail” for additional details regarding classification of contaminated mail and how to handle/report these incidents.

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 149022 and could be accompanied by additional MBIC Program supporting documentation, letters and/or forms. The following actions apply:

1. If an actual MBIC payment is included with the MBIC MCL Form/Supporting Documentation – it goes to the Administrative Assistant for processing.

2. The MBIC MCL Form itself shall be processed as an EB Program document using the Document Separator Sheet (DSS) titled EB-MCL.

3. 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.

Enrollment Broker (EB) forms and Cash Assistance Forms (CAF)

The CAF forms received at DPC shall be processed as ES Application. The supportive documents received with CAF form shall be kept with the form.

ETF/DTF/MPF/MEF/MDF forms are generally received at P O Box 149023. Returned mail related to ETF/DTF/MPF/MEF/MDF forms is received at P O Box 149028.

The returned mail related to ETF/DTF/MPF/MEF forms shall be processed as ES Returned Mail.

The ETF/DTF/MPF/MEF/MDF forms shall be classified as following. No two EB/EB Advance forms shall be kept in one transaction. The supportive documents received with EB Advance and EB form shall be separated as scanned as ES Missing Information.

1. EB (ETF/DTF) shall be prepped as EB Advance Form.

2. EB – MPF shall be prepped as EB Form.

3. EB MDF/MEF shall be prepped as EB Form.

Handling of Voter Registration (H0025)

Voter Registration (H0025) requires special handling to out-sort these cards from live mail and returned mail:

Out-Sorting Voter Registration Card from Live Mail with partial client entries

1. Prep staff shall out-sort the Voter Registration cards received with Live mail for DPC Leads to collect and check. The Voter Registration cards with writing on them are placed in a special marked bin on the desk next to the Prep Supervisors office. The empty Voter Registration cards are out sorted to be quality checked by prep leads/supervisors and ultimately shredded.

2. The designated staff shall verify if voter registration card has some writing on it.

a. If yes, then the voter registration cards shall be folded, taped, and sent back to the

Post Office via DPC mailroom out-going mail process.

b. If no, Voter Registration cards are out sorted to be shred.

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 to the side for quality checks.

2. The prep leads/supervisors will perform quality control checks on out-sorted Voter Registration cards received with Returned mail daily.

3. Voter Registration cards that are out-sorted incorrectly shall be escalated to State Submission staff and sent to the Post Office after folding and taping.

4. After quality checks confirm Voter Registration cards are all blank, prep leads/supervisors shall shred the blank out-sorted Voter Registration cards.

Special Handling of Business Reply Mail (BRM) envelopes

Preparation, review, and handling of BRM received with Live Mail (Non-Returned mail):

1. 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.

2. Prep staff is required to completely tear open the BRM before placing them in shred ready tray. Leads perform daily spot checking (throughout the day) on the shred ready BRM trays. If a BRM envelope containing the information other than the PO BOX OR a post mark date is found, the DPC Lead shall escalate it to Production Manager for further action.

3. If BRM contains any information other than PO Box address (either handwritten or pasted to envelope) or/and contains post mark date, then do not out sort the BRM.

Proper Handling of Mail Containing Threatening Language

If the DPC receives 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 Assistant Production Manager shall immediately call the proper authorities, specifically the emergency number of the Sheriff in the client’s county. An email detailing the threat and action taken shall be sent to HHSC.

2. If the language in the letter or mail piece is a perceived threat that does not indicate a life-threatening situation then the DPC Assistant Production Manager shall immediately call authorities, specifically a non-Emergency number for the Sheriff’s department in the client’s county. An email detailing the threat and action taken shall be sent to HHSC.

3. If the language in the letter or mail piece suggests possible child or elderly abuse, the DPC Assistant Production Manager will call the Department of Family Protection Services hotline and follow-up with an email to HHSC detailing the threat. An email detailing the threat and action taken shall be sent to HHSC.

Handling of ACA Application

Affordable Care Act (ACA) applications could be received at DPC in error. Staff (Prep and Scan) shall identify the ACA application and out-sort the same. ACA applications shall be handed over to Supervisors for escalation to State Submission staff.

State Submission staff shall give ACA applications to HHSC Oversight for guidance.

3 Document Imaging

The DPC has 16 Fujitsu scanners. The DR DPC Facility has 11 Fujitsu scanners. Each scanner is an HHSC IT asset, has an uninterruptible power supply (UPS) device, and operates with a desktop computer hosting minimal Windows configuration maintained by HHSC IT Customer Support. The desktop computer hosts Kofax software client interface used for Imaging and it’s maintained by the HHSC IT vendor iBridge. The Kofax software necessary for document ingestion resides on HHSC servers onsite at Primary DPC Facility and DR DPC Facility.

The supervisor/leads place the prepared work in the scan staging area and distribute the work to the scan operators.

Jogging the Documents

The scan operator jogs the batch before placing it on the scanner. Jogging helps in removing the loosely connected stapler pins and dust, and in aligning the envelopes properly for the scan roller to pick up.

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

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.

Imaging Documents

1. Place the jogged batch on hopper.

2. Select the appropriate Scan Job and Receive Date after reading the information on

Batch Ticket.

3. Scan and verify document sets have been separated properly with Batch Content

Viewer.

4. Update the Batch ID, transaction, and image count on the Batch Ticket

5. Select Save on the User Interface.

Batch Review by Scanner Operator

1. Scan the box barcode, review, ensure optics are not dirty (dirty optics must be cleaned) and release (select the save button).

2. Place documents in the hopper and choose the correct job to scan. Select the mail received time and date that corresponds with the QA ticket. Click the scan button.

Operators are prompted with a small box to confirm the box number.

3. If the scan operator changes receive date to a past date, then a pop-up will appear for supervisor to enter a passcode for validation.

4. Verify the box number presented in the pop-up window matches the number written on the box.

5. Verify that the program type (ES or EB) of the job name matches the program type of the batch class (separator sheet type) of the documents. The job name can be found on the scan panel located below the scan button and the save button. Scan operator must validate the “receive date” and ensure that the date corresponds with the QA ticket.

6. Start scanning the batch.

Once the batch has been scanned, scanner operator must:

1. Ensure that the separator sheet (DSS) was read correctly:

2. Verify the batch class (application, enrollment, etc.) is correct.

This window will pop asking you to confirm the box number

Look here to make sure you are in the correct job

Save

Button

Scan

Button

Verify

Receive Date

3. Scroll through the remainder of the transactions searching for below listed types of errors.

a. Skews that cut off client information

b. Overlapping images

c. Missing Separator Sheet

d. Misread Separator Sheet

e. Documents out of order (Excluding IO)

f. Extra Separator Sheet

g. Multi-Feed documents

Exception Handling

The following potential exception scenarios and resolutions apply to errors in reading the BOX and/or SEPARATOR sheet barcodes.

BOX Sheets

1. Face Down – rescan face up

2. Damaged – reprint barcode sheet and rescan

3. Poor Quality – reprint barcode sheet and rescan

4. Scanner Optics – clean scanner and rescan

SEPARATOR Sheets

1. Face Down – split document or delete/replace sheet

2. Damaged – replace separator sheet

3. Scanner Optics – clean scanner and rescan

4. Rescan – rescan batch with imprint (move imprinter)

Batch Ticket

Batch Ticket – the scanner operator completes the next portion of the Batch Ticket:

1. Write the name of the scan operator.

2. Fill in the batch number.

3. 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 an Excel spreadsheet to reflect the count of scanned documents by each Scan Operator.

The Scanner Operator completes the Storage Container Box Separator Sheet that is attached 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 Box Separator Sheet is also inserted on the inside of the storage container.

Process to Resume Scanning after Power Outage

When DPC needs to resume scanning after an unplanned power outage, the scan operator/supervisor with help of QC staff shall ensure that batches that were being 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.

The scan operator shall sign the Date Validation Log as well, confirming that Receive Date has been checked.

Daily Scanner Maintenance and Preventive Maintenance

During processing/scanning of work, scan operators:

1. Clean the scan equipment if dust is found or images are not coming out clean

After processing/scanning of work has ended for the day, scan operators:

1. Deep clean the scan machine which includes wiping parts of the scan equipment with cleaning wipes approved for scanner use, vacuuming the inside and outside of the machine with extra attention provided to the post imprinter, wiping the joggers, and running the "tacky paper" to remove excess ink from the rollers.

2. Care must be exercised when vacuuming using only soft bristle vacuum brushes and not hard plastic nozzles on areas inside the scan machine near optics, to prevent scratching of optics or damaging electrical connections.

3. Air spray “dust off” aerosol sprays must not be used on scan machines as the spraying of air pushes dust/debris further into the scan machine, possibly into areas only a service technician can remove, and the spray may condense water vapor on optics to result in blurred scanned images

Quarterly scanner preventative maintenance, provided by Fujitsu service tech:

1. Deep clean the scan machine

2. Replace parts indicating wear or other service tech identified topics needing attention

4 Reporting Outages and Freezes

The DPC Scan Supervisor 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.

Reporting Outages and Incidents

The notification should be sent to the System-Outage distribution list with below listed information if a scanner is unable to scan, Kofax is malfunctioning, or power outage occurs.

The DPC Scan Supervisor or designated staff member shall also email the HHSC Help Desk at iee_help@hhsc.state.tx.us to obtain a Help Desk Ticket number for the following:

mailto:iee_help@hhsc.state.tx.us

1. Loss of services, such as network connectivity or power outages for more than two (2) hours

2. Loss of systems, such as Kofax for more than two (2) hours

3. Degradation of services, such as slow system response time

4. Kofax review of errors such as rollbacks, failure in image cleanup or single page Image

Only not allowed

5. Scanner down

For all Kofax issues, email shall be sent immediately to hhscsupport@ibridgegroup.com.

Data to Include in Initial Email:

1. Name, location and phone number

2. Date and time outage / incident began

3. Program areas and functional areas affected

4. Type of outage / incident

5. Impact to the program area and production

6. Number of employees affected

7. Error messages received

8. Helpdesk #

9. Fujitsu outage #

Include job type, scanner name and batch number when applicable

Points of Contact in Help Desk Email

1. Communication shall be sent to specified mailbox provided by Contractor

Include the following Data in Resolution Email

1. Time normal production resumed

2. Total number of employees affected

3. Any other pertinent information or details

Scanner Freezes

Report any kind of Scanner Freezes on Fujitsu via System Outage report. Quality Control staff shall quickly send an email to “hhscsupport@ibridgegroup.com”. If the scanner does not come back online and does not work properly, then place a call with Fujitsu helpdesk along with outage email to HHSC.

Points of Contact in Help Desk Email

1. Communication shall be sent to System-Outage@imageapi.com.

5 Quality Control and Assurance

The Quality Assurance (QA) staff does the retrospective review of the scanned documents on a monthly basis as required by HHSC. The QA staff retrieves 385 samples for a month and performs a quality check on the documents using HHSC PIMS tool. The HHSC QA team sample 10% of the QA sample to double check the quality of document scanning. The QA report is generated on a monthly basis and shared with HHSC. Contractor may conduct remediation training based on findings from the QA review.

The QC Technicians are responsible for Quality Control within DPC. The Scan Operators assist with the QC process as they conduct in-progress concurrent audits. The QC Technicians review the quality of images randomly selected by Kofax. The QC Technicians also complete reports and reconcile data.

Concurrent Audits – Review of Prepared Documents

Scan Operators conduct in-line concurrent reviews upon receipt of the batch between the Document Preparer and the Scanner Operator. Findings are reported immediately to supervisors and addressed quickly with the Document Preparer. The elements reviewed are:

1. Was the document set accurately sorted by program type?

2. Was the document set accurately sorted by document type?

3. Did the Document Preparer accurately determine if the document set required expedited processing?

4. Were all pages of the document set in the proper order?

5. Were the potential FTI documents removed prior to being sent to Scan Operator for scanning?

6. Did the Document Preparer complete the batch ticket properly?

7. Were original documents correctly identified and handled?

8. Were threats identified?

If the documents dets are not prepared correctly, the Scan Operator fills out a send back ticket and the Document Preparation Supervisor will coach the Document Preparer for immediate correction…