2008 Computerworld Honors Program Recognizes State of Indiana Family and Social Service Administration for DFR Eligibility Modernization Project
ORGANIZATION: State of Indiana Family and Social Service Administration Division of Family Resources
PROJECT NAME: State of Indiana DFR Eligibility Modernization
Introductory Overview
On behalf of the Indiana Family Social Services Administration (FSSA), the Division of Family Resources (DFR) administers eligibility for cash assistance, child care assistance, food stamps, employment and training services for low-income clients as well as Medicaid eligibility throughout the state. The environment consisted of 107 offices in 92 counties across the State.
Beginning with the new administration in 2005, a newly appointed DFR executive team evaluated the division’s performance and capabilities and reached some discomfiting conclusions.
We commit too many errors: Case errors in all assistance programs exceeded not only the federally mandated limits, but cheated needy people out of their benefits.
Our clients receive poor service: Service models have evolved to the point of delivering extraordinarily poor service to our clients. A 2005 survey showed that 65% of our customers rated their satisfaction with FSSA service as “Below Average,” 56% complained that the intake process was “too slow,” 27% noted that “The telephone system doesn’t work,” and 48% found it difficult to reach a caseworker.”
DFR Systemic Problems -Our system did not serve our clients well, nor did it serve our employees. Each of our case workers balances an average caseload of 300 cases, while urban area caseworkers carry as many as 700 cases. A recent audit found that “DFR processes and practices have evolved over time and multiple administrations. As a result, there has been a lack of common operating processes and the accompanying training and acculturation of employees.”
In 2005, a team was established to craft a solution addressing these problems. The solution was designed to meet the following principles:
- Provide multiple access point entry into system: The current system required clients to make multiple visits to a county office at their caseworker’s convenience.
o While maintaining the county offices, the new system was to provide access through the internet, phone, and an organized network of community based organizations.
- Introduce fundamental changes to the Eligibility Process: The current system was complex, error prone and allowed for fraudulent activity.
o The new system would move from a ‘case based’ system, reliant on a single caseworker to client interaction, to a task-based approach allowing the organization to engineer in efficiencies.
- Change the traditional human resource model to enable change: The state merit system contributed greatly to the inefficiencies and poor service.
- With the support of Mitch Roob, Secretary of the Indiana FSSA, and the support of the Governor, DFR elected to proceed with a public-private partnership for the following rationale:
- We could not change fast enough
o Simply stated, our current workforce was too busy to implement significant changes while performing their ‘day jobs’
- The State Merit Employment system limited our ability to change
o We could not bring in or retain the caliber of talent we need to create an atmosphere of constant and positive change.
- Employee lack of outside perspective
o With little exposure to the external practices, our personnel could hardly be expected to easily recognize or adapt best practices from outside of Indiana Government.
- Lack of stability in upper management constrains our project length
o The tenure of our top management is inherently short term. Politics and the lack of market comparable salaries make the possibility of a long term project executive unlikely.
- Excessive cost to implement
o We have no opportunity to raise the additional start-up funding required in addition to our normal operating budget. The obvious option of terminating existing staff to fund development was neither practical nor desired.
The Importance of Technology
How did the technology you used contribute to this project and why was it important? The implementation of new technologies is the enabler of Indiana’s Modernized Eligibility System.
The State eligibility ‘system of record’, as define by the Federal regulatory agencies that oversee public assistance, is known as the Indiana Client Eligibility System or ICES. This legacy system is an online, mainframe based, IMS DB/DC system. By its designation as system of record, all final eligibility decisions must be made by State employees utilizing the system. Therefore, all new technology must interact with a 20 year old ICES.
To implement the new system, a shared services center was created to house a call center, a document center and a data center. A second services center was constructed approximately 150 miles away to provide hot site backup and call center overflow capabilities.
Key to enabling the new system was creating electronic case files to replace the old paper files. The creation of a document center provides complete document scanning of any paper documents creating image files that are index and attached to cases. This enables workers to view the ICES data side by side with image documents that validate the cases, enabling a worker, ultimately anywhere within the State to make the eligibility decision. All administrative data gathering is done by employees of the IBM led coalition with the final decisions and federally mandated interviews being performed by State employees.
To automate the back room workflow, IBM implemented Cúram, a COTS based enterprise framework for Health and Human Services. Cúram manages queues for the specific tasks. The output of this system is to correctly populate ICES to produce a decision-ready case for the State workers. Document images are retained in a CURAM-DB2 database for document retention and future requirements.
To provide for enhanced client access, two new functions were created. A multi-tier call center to enable client inquiries and assistance was created. Clients connect with either an interactive video response unit for information or case status inquiry or can speak to an agent. Call takers have access to view electronic cases and all supporting documentation. Clients may be transferred to different levels of either State or vendor employees to resolve their issues.
A client may be screened for and can apply for benefits using an internet-based, interactive application. This feature allows the client to apply not only in the county office as before, but in any facility that provides internet access. As part of this initiative the state has recruited and trained a network of faith or community based organizations to provide facilities and assistance completing the application process. This network is know as the VCAN network, consisting of over 1,000 points of presence across the State. Though the use of enabling technologies, and employing new paradigms in delivering public assistance, the State of Indiana has more than quadrupled the points of access for its neediest clients. This initiative is done with no tax increase or borrowing, without the short term loss of a single job, and significant long term savings to the taxpayers of Indiana. Key to employing these technologies effectively is the States’ implementation of formal oversight and governance organizations. Formal management processes and regular meetings enforce our governance structure and ensure that all parties work to roll out and employ Indiana’s Modernized Eligibility System.