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Within this tutorial you will learn about the Electronic Case File (ECF) and Knowledge Lake Capture program (KL Capture) that are used for scanning, indexing, and searching for case related documents. In this tutorial you will:

• Learn how to access and navigate the ECF and KL Capture Programs

• How to create a coversheet and separator sheet in the ECF Application

• How to search for case documents in ECF

• Viewing a document in ECF

• Preparing your scanner for the scanning process

• How to scan case related documents

• Learn the difference between a batch and a document

• How to delete batches or documents

• How to move pages within a document

• How to upload images and documents directly from your desktop

• How to merge multiple documents in to one document

• How to access ECF and KL Capture from KASES

• Learn about the future of ECF

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ECF stands for Electronic Case File and is how all case related documents will be filed and stored. Just like the filing cabinet in your office, ECF is no different. Only your filing cabinet will now be online and your files will be stored electronically. You can still view files, documents within those files, and also share those documents with anyone in Child Support. Files are viewable through a simple search feature and also a specific document is searchable as well. Throughout this training you will learn about all of the functions and features available through ECF.

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Tell me more about ECF…

The new ECF function will allow workers to scan case related documents and index (file) those documents in an electronic case file. Once a document has been indexed, it then has the capability to be searched by any worker in the KY Child Support Program.

You should now have a desktop scanner or a central scanning location and a third-party scanning tool installed on your desktop known as Knowledge Lake or KL Capture. KL Capture is only used for scanning and indexing documents. ECF is used for searching and viewing documents.

In simple terms, you will scan your case related documents through your scanner and index it by telling KL Capture what category and subcategory the document falls in to. Once this has been completed it can now be searched for and viewed through the ECF function.

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12.030 Creating and Maintaining the Child Support Case File Local CSE offices should structure the file so that workers can easily retrieve information. Examples include: • Keep like documents such as Court orders together • Keep the most current information in the front of the file • Periodically review the child support file and destroy any unsigned copies of legal

pleadings when the file contains a signed and official version of the same legal pleading

CSE recommends the child support case file contain, at a minimum, the following documents: • Case Initiation related documents such as the Application for Child Support Services (CS-33),

Assignment of Rights and Authorization to Collect Support (CS-140) if the custodial parent is a medical only recipient and desires full services, Authorization and Acknowledgement of No Legal Representation (CS-11), and Title IV-E and Child Support Referral (DSS-1260) and Title IV-E and Child Support Change of Status (DSS-1263) forms for out of home care cases

• Intergovernmental forms and transmittals

• Health insurance information such as proof of insurance, medical expenses, National Medical Support Notice (NMSN) (CS-72), and other notices and responses from the insurance providers

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• Any and all correspondence resulting from worker initiated administrative

establishment or enforcement actions

• Any and all correspondence resulting from the filing of a judicial action related to the child support case including, but not limited to, copies of warrants, criminal and civil summons, information sheets, service of process, proof of service, answer/response, motions, notices, petitions, complaints and orders

• Location correspondence, such as the Postal Check (CS-47), Special Investigation Assistance Request form, and Employer Location Requests

• Proof of payments paid through another agency or directly to the participant, arrearage calculations, and arrearage affidavits

• Proof of the legal status of the child including birth certificate, marriage license for the parents, divorce decree, voluntary acknowledgment of paternity, etc.

• Documentation reflecting termination of parental rights, custody or payee changes, or proof of adoption

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• Documentation to substantiate domestic violence, such as Emergency Protection Orders, Domestic Violence Orders or police reports

• Participant information, such as a copy of a social security card and license, photo identification, property description, disability correspondence, bankruptcy correspondence

• Documentation to support emancipation, such as correspondence from the school or the custodial parent

• Written statements from either participant, such as requests to discontinue services or for modification, apply overpayments, permission to discuss the case with someone else, etc.

• Child Support Guideline calculations and income, health insurance, daycare expenses, proof of prior born child credit, and proof of spousal support used in the calculations

• Correspondence to/from participants including formal correspondence from the local CSE office regarding actions taken on the case

• Correspondence to/from non-case participants, external agencies, internal agencies, private counsel and employers

• Administrative Hearing requests, exhibits, notices, orders, etc.

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The ECF or Electronic Case File application link is available through KOG or can also be accessed through KASES. Once you access KOG, you will see a link that says “CSE Electronic Case File” (ECF), click the link and you will be directed to the ECF landing page.

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How can I access ECF?

ECF can only be accessed from certain screens in KASES. You can access ECF from the following KASES Screens: • 03 Case Management Menu, 06 Update Case/Participant Data, inputting a IV-D/MPI #, then selecting

the line number of the participant (ASEC2A) • 03 Case Management Menu, 07 Inquiry Options, 02 Case Information, inputting a IV-D/MPI #, then

selecting the line number of the participant (ASEQ2A)

• 02 Inquiry Functions, 02 Case Information, inputting a IV-D/MPI#, then selecting the line number of the participant (ASEQ2A)

• 03 Case Management Menu, 07 Inquiry Options, 01 Participant Information, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEQ2A)

• 02 Inquiry Functions, 01 Participant Information, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEQ2A)

• 05 Accounting Functions, 19 Case Summary Inquiry, input a IV-D # (ASEC6A)

• 03 Case Management Menu, 06 Update Case/Participant Data, input a IV-D/MPI #, selecting the line number of the child (ASEPT1)

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How can I access ECF?

Once you have accessed one of the required KASES Screens, you will notice in your KASES toolbar you have several options to launch the ECF application.

Selecting the Scan option from your KASES toolbar will

open the KL Capture program to allow you to scan a document

and will populate the IV-D or MPI # of the

case you are on when you index the

documents

Selecting the Search option will open the

ECF Application search screen with

documents listed for the MPI #/IVD # you

launched from in KASES

Selecting the CS option will open

the ECF Application create a coversheet

page with the MPI #/IVD # already

populated

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A coversheet is used as the first sheet when you are scanning a batch of documents (multiple documents going to the same IVD/MPI). The coversheet has a barcode the scanner will read and tell the system where it needs to be filed or what it’s index values are. This is based on what you tell ECF when you are creating the coversheet.

Check out the next slide for instructions on how to create a coversheet.

*Helpful Hint* -You can create and print multiple coversheets for different cases or participants and scan multiple batches at once, as long as you have the corresponding coversheet. It’s a best practice to double check your documents prior to scanning to make sure you have the correct coversheet for the documents you are scanning.

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To create a coversheet, click on the ECF link through KOG or click the CS button in the KASES toolbar. You will be directed to the ECF landing page. Once there, click on the Cover/Separator tab above your Welcome message.

CLICK HERE

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When the Cover/Separator tab has opened, you will see the indexing values which you can choose from. You can choose IV-D or MPI level and based on those levels, then choose your category and subcategory for your document or batch of documents

IV-D Level Categories MPI Level

Categories

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Once you have selected your indexing values, click the Create Coversheet button. The indexing values you chose will display on the bottom of the coversheet and a barcode will display at the top. A new window will pop up with a preview of the coversheet. Click Print in the top right hand corner and print your coversheet based on your computer’s print settings.

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A separator sheet is barcoded and signifies the end of the previous document and the beginning of a new document.

*Helpful Hint* Create and print as many separator sheets as you need from the ECF application, but please do not make copies of them on a copier. By doing so, it can skew the barcode on the separator sheet and will not scan separate your documents.

Check out the next slide for instructions on how to create a

separator sheet.

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To create a separator sheet, click on the ECF link through KOG (or click the CS button in the KASES toolbar). You will be directed to the ECF landing page. Once there, click on the Cover/Separator tab above your Welcome message.

CLICK HERE

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Indexing values are not required to create a Separator Sheet. Click the Create Separator Sheet box and a new window will pop up with a preview of the Separator Sheet. Click Print in the top right hand corner and print your separator sheet based on your computer’s print settings. You should print several separator sheets to keep and use.

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Within the ECF application, based on your user role, you will only be able to view and/or use certain aspects of the application. When you log in to the ECF Application, the tabs below indicate what user role you have.

View role-you can search and view documents, but can not create coversheets or separator sheets (you will only have the home and search tab) Scan role-you can search and view documents, create coversheets, and create separator sheets ( you will have home, search, and cover/separator tab) ECF Administrator-you can search and view documents and delete documents (you will have home, search, and delete document tab)

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When you access the landing page of ECF, you will see your welcome back message and also a My Notifications page. My Notifications will let you know when another worker has scanned and indexed a document to an MPI or IVD where you are designated as the responsible worker in KASES. The notification will show the Document ID, IVD/MPI, Category, Subcategory, Document Date, the Caseworker Number of the person who indexed the document, and a select all feature to delete the notifications.

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The notification will show the Document ID, IVD/MPI, Category, Subcategory, Document Date, the Caseworker Number of the person who indexed the document, and a select all feature to delete the notifications or undo your selections so they are not deleted. You can also choose to select one notification at a time or undo your selection. Notifications will auto delete after 21 days if you do not manually delete them.

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To search for a document in the ECF application, users can access ECF through KOG or click on the Search feature when on one of the required screens in KASES. Once the application has launched you will be directed to the ECF landing page. Click on the tab and you will be directed to the search function in ECF. You can choose to search case level documents, participant level documents, or a specific document if you have the Document ID number.

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In this example, I have input a IV-D # only and clicked Search. If I wanted to narrow my search I could have also chosen a category or subcategory to find a specific document. You will notice when you search for a document it will show all related IV-D or MPI numbers with radio buttons to quickly view documents at case or participant level. For example, searching for an MPI # returns radio buttons of all the IV-D#’s the participant is in.

You can click the radio buttons to view documents for IVD, CP, NCP, or Child

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Within the ECF application, you can now update a document status to No Longer Valid (NLV). For example if you scanned and indexed the document but have transposed a number or names on an order, wrong effective date, etc. you can now view the document, open the indexing properties, and check the NLV option. NLV will display in the status of the document as seen on the following slides.

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You can also click any of the display headers to sort the information

displayed. For example if you wanted to view

categories in ascending or alphabetical order, click on the category heading

and it will sort the information displayed.

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Once you have completed your search in ECF and your results have populated, you can click on the button beside the document description.

Click Here

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A new window will open with a full display of the document. The left portion of the screen will show you how many pages are in your document. The right portion of the screen shows the indexing values used for the document (Document ID, IV-D/MPI, Category, Subcategory, Document Date) and also has an edit feature. The screen also allows you to and to look at the document closer or to look at the document as a whole. The document viewer also has a print option for you to print a copy of the document if necessary.

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Within the ECF application, the index values can also be edited if needed. You will notice that the indexing properties are greyed out until you click the button. Once you have clicked the Edit button, the properties can now be changed. Any field other than the Document ID can be overwritten.

**Helpful Hint** If you are in EDIT mode and if you “X” out of the document, it will lock other users out from editing the same document and it will not allow you to edit another document until it’s closed properly. If you are in EDIT mode and if you have been idle for 15 minutes, the system will automatically unlock the document and allow other users to edit.

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The status of a case will update in the ECF application if the case status should change to archived in the KASES system. These updates will occur every Monday. When searching for or viewing a document, you will see the ARCV status in the status column. This is not an editable field. Cases will purge in ECF 15 years after the archive date. Only IV-D level documents will purge. MPI level documents will never purge.

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If a IV-D level document has archived, you still have the capability to view the document by selecting the view option in ECF.

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You can move an archived document to a new case by editing the document and update the IV-D number to the new IV-D number you need. The IV-D number will update once you enter the new IV-D number and click save.

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To start the scanning process, first you have to prepare your scanner. You should have a scanner that looks like the picture below.

This is where you place your documents face down to be scanned.

Power button

Document return

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Pull the document return down toward you, away from the scanner, until it lays down almost parallel to your desk.

Next, extend the document holder out until it is extended fully. This will help keep documents in place once they have went through the feeder to be scanned.

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The document feeder also has an extension to help assist holding your documents once you

begin to scan.

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Next, be sure to press the Power button on your scanner and it should light up once on. You should also see Ready displayed on your scanner menu. You will not use any other button on the scanner other than Power. **If you try to scan from the KL Capture program without your scanner being on, you will receive an error message. Please be sure to turn your scanner on first.**

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Once the document feeder and document return are fully extended and your scanner is powered on, you are ready to scan!

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Scanning and the KL Capture program go hand in hand. You cannot scan a document and index it without the KL Capture program. After you have powered your scanner on, double click the KnowledgeLake Capture icon on your desktop. Once you have double-clicked on the icon, the KL Capture landing page will open and should look like the image below.

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Let’s talk about KL Capture terminology… A document may be paper with text or a plastic or laminated picture ID. A document may be a single page (birth certificate) or multiple pages (court order), or a group of papers used for the same purpose in the Child Support Enforcement Program (4 wage stubs used to determine income obligation may be arranged as one document in Knowledge Lake Capture). A batch is a group of documents scanned, indexed to a case number (IV-D) or participant number (MPI), and released to the repository (storage) from Knowledge Lake Capture. Electronic Case File –An electronic document repository (storage) which takes the place of paper documents in a physical hard copy case file. Indexing- Inputting data so the document can be retrieved or searched. The process of how you are going to file your document. Index Panel – The right hand panel in Knowledge Lake Capture which displays the required index values needed to release the document to the repository (storage) for later retrieval. Knowledge Lake Capture – The software program used to capture electronic images of documents for the Electronic Case File. Releasing the batch – The process of moving the electronic images of documents out of Knowledge Lake Capture into the repository (storage).

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A Document can be a single page document or multi-page document with a single coversheet for one IV-D or MPI #.

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A Batch of documents can be multi-page documents that include a coversheet and separator sheets for a one or multiple IV-D or MPI numbers.

To scan a document, you can print your coversheet and/or separator sheets from ECF and then load your documents face down on the document feeder. Click the Scan button in the KL Capture toolbar. You will then see a pop-up window with options.

**If you are using a coversheet, it’s a best practice to place your coversheet with the barcode closest to the feeder (where the barcode will scan first) when scanning**

This ensures it will not be captured as an image once scanned.

Select your document or ID type

Select your feeder, generally front side

Click the scan button and your documents will feed through the scanner.

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Once your documents have been scanned the image will be displayed. If the document did not scan correctly, you can use the Rescan Document option in the toolbar. You can also Zoom In, Zoom Out, or rotate the image if needed. There is a 2MB limit per document. If you scan multiple batches, the last batch scanned is what will display. **ALWAYS use the Scan icon on the HOME tab of the toolbar. NEVER use the scan tab!!!!**

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Clicking the Capture Program Menu will show you several options. The first one is Open Batch which will show you all batches and/or current batches. You can label or name a batch if needed, delete a batch, print a document or batch, and email documents all from this menu. The most recent batches will display as well.

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Capture Program

Menu

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MPI Documents Category* Subcategory 1* Subcategory 2*

MPI Accounting Suspense Posted

Method of Payment Payment Type (Debit Card, Direct Deposit)

MPI Income Obligation/Calculation

Participant Income Participant Type (CP, NCP, Child)

MPI Participant Personal ID

Certificates

Property

Disability Notifications

Other Verification

Bankruptcy 57

IV-D Documents Category* Subcategory 1* IV-D Case Initiation Application

Assignment of Rights

No Legal Representation

IV-D Interstate I KASES

R KASES

CSENet

IV-D Medical Support Enforcement Proof of Insurance

Medical Expenses

Notices

Responses

IV-D Administrative Actions Income Withholding

Unemployment Withholding

License Revocation Notice

License Revocation Response

License Request to Suspend

License Request to Re-instate

Withhold and Deliver

Notice of Lien

Administrative Orders

Payment Agreement

Subpoena

Passport Denial

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IV-D Judicial Proceedings Warrant

Criminal Summons

Information Sheet

Service of Process

Proof of Service

Answer/ Response

Motions

Notices

Petitions

Complaint

Civil summons

IV-D Location Postal Checks

Investigator Referral

Quick Locate (LOCO)

Incarceration

ISEP

Information Requests

IV-D Accounting Audits Audit type: ( Full, Partial)

Check Tracers

Suspense Posted NCP Name

NSF Source Type (Recoupment, Restitution)

Payment / Arrearage Verification 59

IV-D Orders Establishment

Paternity

Enforcement

Modification

TPR (Termination of Parental Rights)

Custody

Payee Change

DVO(Domestic Violence Orders)

Medical Support Only

Docket Sheets

Change of Venue

Pre-conversion orders

IV-D Income Obligation/Calculation Modification Denial

Deductions DeductionType (Child Care, Health Insurance, Spousal Support, Prior Born Child)

Worksheet

IV-D Correspondence To Participant

From Participant

Non-Case Participants

External Agencies

Internal Agencies

Private Counsel

To Executive

From Executive

Employer

DNA/ Genetic Testing

Administrative Hearings Exhibits

Notices

Orders

Initial Request 60

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It’s a best practice to create a coversheet prior to scanning. If you create a coversheet prior to indexing, the fields will prepopulate for you based on the criteria you selected when creating the coversheet. This will make your process of indexing documents go much smoother. To index a document you will need to click on the index icon on your toolbar.

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Once you click the index icon, you’ll see your toolbar change, and a new index tab will also appear. An indexing panel will also be on the right side of the screen. If you created a coversheet the prepopulated information will display in the text fields. If you agree the document you scanned fits the category and subcategory based on your coversheet, you will then need to fill in the document date and click accept and the document will be indexed and sent to the repository. You will see a confirmation pop-up, select Yes, and a message will also display at the bottom of the screen confirming the document has been indexed and released. **Please be sure to NOT scan any FTI information**

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If you start the indexing process and the categories and subcategories based on your coversheet are not a best fit for your document, they can be overwritten by choosing a different IVD, MPI, category or subcategory. After you make your changes click accept. A pop-up window will appear asking if you want to release the batch, click yes. Once you have clicked yes, the document has now been sent to the repository and is searchable in ECF. You will also see a message at the bottom of your screen that the batch has been released successfully.

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To view all batches that have not been indexed yet, click on your capture program menu, select Open Batch, then all document classes. An Open Batch window will display showing you all batches (cache) that have not been indexed. To view and index the documents in the batch, highlight the batch, and select open. The document will display and it is the same indexing processes as discussed in the previous slides. It is a best practice to check here to be sure all of your batches have been indexed. If you see any batches with a 0 (zero) document count, they can be deleted because no documents exist in that batch.

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To delete a batch, click on the capture program menu, and select Delete batch. A popup window will appear asking you to confirm that you want to delete the batch you are currently viewing. Click yes in the popup window. The document ID for each batch can always be viewed at the top of the screen.

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To delete a document or page within a batch, you can click to highlight the document title (Document 1, Document 2, etc) or a page within the document (Page 1, Page 2, etc), then click the red X in the toolbar. A popup will display to confirm you want to delete the document or page. You will notice on the left view pane the page or document no longer exists.

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KL Capture also has the capability to let you insert documents or images directly from your desktop. You can insert a page or an entire document. To insert a page, click on the insert tab on your toolbar. You will notice the toolbar is then broken down into a page section and a document section. You can insert from image, from window, or from office. To insert from image, click From image. A popup box will appear for you to browse what folder you would like to upload an image from. Once you have selected the image, highlight it, and click open. The image will then appear on your document viewer in KL Capture.

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The From Window option lets you take a screen shot of one of the applications that you currently have open on your desktop. Select From Window, pick the application you have open, and KL Capture will take a quick screen shot of the application and it will display in your document viewer.

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The From Office option follows the same steps as the From Image option. You will have a popup window display and you can choose which location you want to upload a page or document from. Highlight the document and select open. The document will then display in the document viewer.

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The difference between uploading a document verses uploading a page is when uploading a document it will create a new document in the batch, whereas uploading a page will add a single page or multiple pages to the document. When you index, it will require you to index each document separately. If any of your documents are over the 2MB allowable size limit, you will receive an error message when trying to index.

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If you have scanned your document and notice after reviewing the document that some of your pages are out of order, KL Capture provides the capability to rearrange those pages without having to rescan. Right click on the page within the document that you want to move and select the Move Pages Within Document option.

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A popup window will appear for you to select page to move pages after. If you select the drop down option in the popup, it will have pages numbers. Select the page number you want to move the highlighted page after and then click OK. Once you have done this, your pages should now be in the order you moved them to.

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KL Capture provides the capability to merge multiple documents into 1 document. Let’s say you placed a separator sheet in the wrong place and scanned the document and instead of one document you have two. It’s a quick and easy fix to merge this together! Click on the Document 1 header so it’s highlighted then press the CTRL key on your keyboard. Click Document 2 or the document you want to merge with Document 1 so that both document titles are highlighted. Right click and you should see the option to merge Document 2 into Document 1.

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Now you will see there is one document title with multiple pages instead of two documents. You have successfully merged two documents into one document and can start the indexing process. **Reminder, any changes made to pages or documents must be done before the indexing process. The only changes that can be made after the indexing process are to the indexing values. **

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How can I access ECF?

ECF can only be accessed from certain screens in KASES. You can access ECF from the following KASES Screens: • 03 Case Management Menu, 06 Update Case/Participant Data, inputting a IV-D/MPI #, then selecting

the line number of the participant (ASEC2A) • 03 Case Management Menu, 07 Inquiry Options, 02 Case Information, inputting a IV-D/MPI #, then

selecting the line number of the participant (ASEQ2A)

• 02 Inquiry Functions, 02 Case Information, inputting a IV-D/MPI#, then selecting the line number of the participant (ASEQ2A)

• 03 Case Management Menu, 07 Inquiry Options, 01 Participant Information, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEQ2A)

• 02 Inquiry Functions, 01 Participant Information, inputting a IV-D/MPI #, then selecting the line number of the participant (ASEQ2A)

• 05 Accounting Functions, 19 Case Summary Inquiry, input a IV-D # (ASEC6A)

• 03 Case Management Menu, 06 Update Case/Participant Data, input a IV-D/MPI #, selecting the line number of the child (ASEPT1)

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To access KL Capture directly from KASES, make sure you are on one of the required screens, then click the SCAN option in your KASES toolbar. The KL Capture landing page will open. Also after you scan your document and begin the indexing process, you will notice that the MPI or IVD number you were on in KASES is automatically populated in the IVD/MPI section in the indexing panel. **The IVD/MPI field can be overwritten at any time**

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To access the search feature of ECF directly from KASES, make sure you are on one of the required screens, then click the SEARCH icon on the KASES toolbar. This will take you directly to the search function in ECF in addition to automatically populating the IVD or MPI in the primary key field for searching. **The IVD/MPI field can be overwritten at any time**

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To create a coversheet and/or separator sheet directly from KASES, make sure you are on one of the required screens, then click the CS icon in the KASES toolbar. The Coversheet/Separator option will open in ECF and will populate the IVD/MPI field.

**The IVD/MPI field can be overwritten at any time**

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Thank you for viewing this tutorial! KL Capture and ECF will have a great impact on the future of

KY CSE.

If you have questions or need troubleshooting assistance, please contact your Regional Office.

Both KL Capture and ECF application issues as well as hardware

(scanner) issues will be submitted to CHFS KASES Help Desk CHFS.KASESHelpDesk@ky.gov.

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