NASCIO 2010 Recognition Award Nominations. Agency: Department of Family and Protective Services (DFPS)

Transcription

1 NASCIO 2010 Recognition Award Nominations Title: CLASSMate Category: Improving State Operations Agency: Department of Family and Protective Services (DFPS) State: Texas Texas Department of Family and Protective Services 1

2 B. Executive Summary The Texas Department of Family and Protective Services (DFPS) administers the Child Care Licensing (CCL) program which oversees the inspection and monitoring of over 36,000 Texas child care facilities to assure that they meet federal and state standards for the health, safety and well-being of the children under their care. Childcare Licensing Automated Support System (CLASS) is a system developed in 2002 that collects information regarding these inspections and stores it in a database used for review and monitoring of deficiencies and improvements. CLASS was originally designed for use with desktop PCs connected to the network at DFPS offices. Based on Provider and Public feedback CCL determined a need to increase the speed and accuracy of inspections and information communicated to the public and child care providers. CLASSMate, a mobility-based solution, was developed and implemented in 2008 to address this need. CLASSMate supports the mobile business model of DFPS caseworkers who perform the majority of their work away from the office. CLASSMate allows inspection and investigation staff to check out child care facility data from CLASS, capture inspection data while on-site in an off-line, stand-alone mode using a tablet PC, and then synchronize the data back to CLASS at a later time. CLASSMate was designed to take advantage of the pen based features in Tablet PCs and incorporate them into the following software features: Planning and Reviewing Workload: Prior to leaving the home or office, the caseworker downloads, organizes, and schedules his/her updated case list and summary data. Automation of Monitoring and Investigation Inspection Documentation: The mobile application provides a guided process for the caseworker to record, complete, and deliver the childcare facility inspection and review, all in the same on-site inspection visit. Ability to View and Sort Three Years of Operation Compliance History: The software provides the ability to view, sort and filter historical compliance information so that recommendations are based on past performance and violations, not solely on the current inspection visit. Inspection Review and Signature Verification: The caseworker and facility representative can review and discuss the inspection findings and electronically sign and deliver the inspection report immediately, instead of waiting for a mailed notification report. Last year approximately 385 caseworkers conducted over 67,000 inspections, with 85% of the inspections being completed in CLASSMate. This resulted in a reduction in notification of inspection results to the facility and the public from 6.2 days to 1.2 days. CCL increased inspections annually by 15% and reduced the turn around time to notify providers and public by 81%. Texas Department of Family and Protective Services 2

3 C. Project Description: Problem statement Prior to CLASSMate, inspections were documented on printed screens from the CLASS system and required extensive handwritten notes. Caseworkers transcribed and entered inspection results into the CLASS system when they returned to the office. This manual process created up to a 10-day delay between the inspection event, data entry, and communication of the results to the inspected operation. The delay prevented the operation from making corrections that impact children's safety and delayed delivery of compliance information to the DFPS public website for consumers. The inspection process requires an interview with the Director of the facility and signed verification that deficiencies and improvements have been shared with the Director. The mobile technology project addressed multiple issues that helped increase the quantity and quality of inspections and communication between the operation and caseworkers: Historical information regarding deficiencies and agreements from previous inspections was not easily available during the current inspection process, leading to disputes between the facility director and the caseworker (in some cases, the current caseworker may not have been the same caseworker that documented the previous inspection). Disputes often arose regarding the deficiencies and correction plans discussed during the inspection exit interview and the deficiencies listed in the mailed written inspection report received by the facility many days later. Staff recorded inspection data twice; once on paper during the inspection and again at the office when entering the data into CLASS system. This duplication of effort and documentation contributed to incorrect data entry and disputes with the facility over inspection results Barriers, Challenges and Opportunities: Most of the major challenges involved changing inspection staff behavior prompted by new business processes and caseworker activities accompanying implementation of the solution. As a result of implementing CLASSMate; staff now document inspection results, review results with the facility, and collect signatures during the same inspection visit. For the most part, no future communication via mailing, faxing or phone conversations is required. These changes impacted inspection staff across many dimensions: Changes in their agency-level processes and policies Changes in their day to day activities Learning to use new technology, including hardware and software Texas Department of Family and Protective Services 3

4 Issue or Problem Context: The CLASS system containing records for compliance reviews of childcare facilities is stored in a central location using a Unix/Oracle platform. While the centralized CLASS system offers the best way to provide accurate information to anyone in the agency with a need to review the history of various inspections, it always requires connection to the DFPS network using a Local Area Network (LAN) at a DFPS site. Because caseworkers performing these inspections are required to be in the field the majority of the time, they were faced with the difficulty of taking notes and recreating the inspection upon return to the office. Assessment and Decision Process: CCL was aware of the problems and difficulties they were facing; especially delays in notification, duplicate data entry, multiple communications with each facility and continued misunderstandings between facilities and inspectors when final results were mailed and returned. A previous mobile application for a different division had been recently implemented and CCL wanted to determine if a mobile solution would meet their needs as well. CCL commissioned a detailed analysis study to review their problems, goals, and the current systems to define the benefits of a mobile solution and how it might be customized to meet their needs. The analysis scope focused on activities in the field that should be automated. Caseworkers were invited to attend requirements and design sessions. User input was solicited and documented, specifically concerning the usability of the application. Developers were able to make interface and navigational changes quickly based on feedback. User input in the early phases of the project undeniably led to the high usage and adoption rate by field staff. Solution: A mobile solution was conceived that would allow immediate presentation of historical data in the field and automated documentation of inspection results in order to provide timelier and more accurate reporting to the operation. System platform and development tools was determined by such high priority requirements as the need to obtain the facility representative's signature indicating receipt of deficiencies immediately after the inspection, travel within rural and urban settings, ease of use, and seamless integration (synchronization) with the master database. CLASSMate is a custom-designed software program that was designed for tablet PCs, a lightweight and portable platform that can accept data entry directly onto the screen using a stylus pen. CLASSMate was created to take advantage of Tablet PC features by incorporating them into the following software features: Planning and Reviewing Workload: Prior to leaving the home or office, the caseworker downloads his/her updated case list and summary data. Texas Department of Family and Protective Services 4

5 Automation of Monitoring and Investigation Inspection Documentation: The application was developed around a caseworker's field activities and provides a guided process for the caseworker to complete the childcare facility inspection. Ability to View and Sort Three Years of Operation Compliance History: Prior to each review, the software automatically collects information regarding the facilities scheduled for inspection so that violations and recommendations are based on past performance, not solely on the current visit. CLASSMate can generate a PDF-based report of this information in the field so that the caseworker can share documented compliance history with the manager of the facility. Inspection Review and Signature Verification: The caseworker and facility representative can electronically sign the agreement and print or the inspection document while on-site. Length of time in operation: A CLASSMate pilot was deployed in September of Based on caseworker feedback, modifications were made and a full statewide deployment occurred in a phased approach beginning in November 2008 with completion in March Baseline and changes in metrics: The following graph demonstrates the usage of CLASSMate vs. CLASS, the number of inspections completed and the average rate of return days for inspection notification prior to CLASSMate and one and a half years after CLASSMate. System Where Inspection was Entered CLASS CLASSMate (Mobile) 100% 80% 60% 40% 20% 0% FY07 FY08 FY09 FY10 CLASSMate (Mobile) CLASS Number of Days for Provider to Receive Inspection Report FY07 FY08 FY09 FY10 Avg Ret Innovative characteristics: Mobile technology presents a greater challenge for data input and synchronization while maximizing just-in-time data presentation and recording. While the pen based features allow for data entry via digital handwriting, real value was achieved in designing the CLASSMate application and system in a way that customizes Tablet PC features into Texas Department of Family and Protective Services 5

6 an inspection workflow-based presentation. Some of the special ways in which the platform was used to achieve a productive user-based experience include: Ease of Use: The application was built in C#.NET with DevExpress tools and Handwriting components that modeled field office activities, including free form handwriting or inking that is auto converted to text and allowed to be drag/dropped and associated with the correct case. These tools maximized penfriendly controls such as drop-down fields, radio buttons, pen based search features and other options, while minimizing text entry via digital ink. Where digital handwriting was more appropriate, the tools allowed the user to easily edit and translate handwriting into text for synchronization back to the office system. CLASSMate and DevExpress tools allowed designers to create rich filtering, sorting, and grouping pages to better organize workload. All these considerations were made with extensive user input to tailor the application to the on-site inspection process. Synchronized Connectivity: All remote connections and data are synchronized to the DFPS network at the caseworkers convenience through secure means with minimal user intervention using an agency issued secure aircard or VPN access. Data Security/Integrity: The CLASSMate requires log-in authentication to the network, to the CLASSMate application, and via the VPN connection. The mobile database is encrypted, protecting sensitive data in case of theft. Leverage and Transferability: Due to the increased ease of use and value of functionality to the caseworkers, many of the features built in CLASSMate; sorting, filtering, searching and dynamic reporting, are being leveraged and built into the CLASS System for supervisors and management. D. Significance This project addressed multiple Agency initiatives and NASCIO CIO priorities for Budget/Cost Control: The application was being modeled and put in place to avoid additional staff requirements to meet current expectation and budget constraints, without reducing productivity or results. Broadband/Connectivity: Using wireless with multiple carriers across Texas increased caseworker access to immediate information. Security: The system was built on the basis of secure data storage and transmission at all equipment and platform levels. Transparency: Collected information is immediately and directly available to the public upon inspection completion and data synchronization by caseworkers in the field. Texas Department of Family and Protective Services 6

7 Child Care Providers have benefited because the inspection can be immediately reviewed with the inspector to discuss any clarifications or questions required. This process also has a quicker turn around time for producing signed agreements about deficiencies and improvements based on inspection results. Citizens of Texas are beneficiaries because they are now able to quickly and easily access data supplied directly from CLASSMate to the web based public data system. This system provides the ability to search facilities, view violations, review caseworker comments and the severity of the violations when determining and selecting a child care provider for their child. E. Benefit of the Project Description of impact of the project: CLASSMate has contributed to an increase in the number of annual inspections, improved inspection timeframes, improved historical case reviews, as well as improved case worker efficiency and accuracy. Caseworkers are now able to keep up with workloads in a more organized fashion and CCL has been able to significantly reduce the original problems the system was designed to rectify. There are no longer extended delays in notification, duplicate data entry, and multiple communications with each facility or continued misunderstandings between facilities and inspectors concerning final results and/or their interpretation or meaning. Description of the outcomes from this project The high ratio of cases per caseworker imposes time constraints on visits. Caseworkers needed a way to do more with less to accomplish the high number of inspections required. The software was created as a guide to help the caseworker through inspecting against the large volume of standards for operating a child care facility. In addition, the efficiency of recording events as they happen removes the extra work of first documenting the inspection by handwritten notes and then duplicating them back at the office. Travel time and associated costs are reduced by the planning and workload scheduling feature that helps the caseworker be more organized. The ability to preview historical data prior to the visit replaces a time consuming manual process that the caseworker previously performed. This historical data helps the caseworker notice patterns and trends and guides the discussion with the facility staff regarding violations and necessary improvements. Also, access to current policies and regulations are available and easily referenced electronically, thereby eliminating the previous need to carry around a large binder that required frequent updating. Ultimately the system now provides caseworkers with the ability to continually send and receive data in order to respond to workloads or emergencies with information in the field that could potentially save the life of a child. Texas Department of Family and Protective Services 7