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FFY2015 EAP Annual Training August 12 & 13, 2014 St. Cloud PowerPoint PPT Presentation


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FFY2015 EAP Annual Training August 12 & 13, 2014 St. Cloud. Performance Measures & Monitoring. 1. National Performance Measures. Agenda Background The Measures Performance Measures Pilot Test What You Need to Do. Background

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FFY2015 EAP Annual Training August 12 & 13, 2014 St. Cloud

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Ffy2015 eap annual training august 12 13 2014 st cloud

FFY2015

EAP Annual Training

August 12 & 13, 2014

St. Cloud

Performance Measures & Monitoring

1


Ffy2015 eap annual training august 12 13 2014 st cloud

National Performance Measures

  • Agenda

  • Background

  • The Measures

  • Performance Measures Pilot Test

  • What You Need to Do


Ffy2015 eap annual training august 12 13 2014 st cloud

  • Background

  • US Department of Health & Human Services (HHS) is implementing mandatory national performance measures starting in FFY15

  • Required by law (since early ‘90s)

  • Performance Measures Work Group has been developing the measures since mid-2000s


Ffy2015 eap annual training august 12 13 2014 st cloud

  • Background

  • Performance Measures demonstrate your impact to those making decisions at the federal level

  • MN has been participating from the beginning

  • MN is in a good position to comply; we are viewed as a leader in performance measures and want to maintain our position of leadership

  • This is just Phase I. There is more to come.


Ffy2015 eap annual training august 12 13 2014 st cloud

  • The Measures

  • Energy Burden Targeting

  • Prevention & Restoration of Loss of Service


Ffy2015 eap annual training august 12 13 2014 st cloud

  • The Measures

  • Energy Burden Targeting

    • Benefit Targeting Index: Do we target higher benefits to higher burden households?

    • Burden Reduction Targeting Index: Do we reduce the energy burden of higher burden households more than average?

  • Prevention & Restoration of Loss of Service


  • Ffy2015 eap annual training august 12 13 2014 st cloud

    • The Measures: Why?

    • LIHEAP Statute Requires it:

    • Energy Burden Targeting

      “provide, in a timely manner, that the highest level of assistance will be furnished to those households which have the lowest incomes and the highest energy costs or needs in relation to income”

    • Resumption or Prevention of Energy Loss

      • Statute requires energy crisis intervention


    Ffy2015 eap annual training august 12 13 2014 st cloud

    • The Measures

    • Part I: Energy Burden Targeting

      • Energy burden = Energy cost ÷ Household Income

      • It is the % of household income spent on home energy costs

      • High burden households are those that spend a greater share of their income on home energy costs


    Ffy2015 eap annual training august 12 13 2014 st cloud

    • The Measures

    • Part I: Energy Burden Targeting

    • Benefit Targeting Index: Compares the average benefit amount for high burden households (x) to the average benefit amount for all households (y), or x ÷ y

      • Higher index score is better; should be above 100

    • Burden Reduction Targeting Index: Compares the average % change in energy burden for high burden households (a) to the average % change in energy burden for all households (b), or a ÷ b


    Ffy2015 eap annual training august 12 13 2014 st cloud

    The Measures

    Energy Burden Measures: Think of them this way (slides courtesy of Verve Associates)


    Ffy2015 eap annual training august 12 13 2014 st cloud

    Jane and Jim both live alone, and they have the same income of $15,000 per year.

    For the purpose of this presentation, Jane is considered an “average” household.

    Jim is a considered a “high burden” household because he pays more of his income toward his energy bill.

    ENERGY BILL

    $100

    JANE SMITH

    123 MAIN STREET

    ANYTOWN, USA 12345

    ENERGY BILL

    $400

    JIM JONES

    987 MAIN STREET

    SOMEBOROUGH, USA 54321


    Ffy2015 eap annual training august 12 13 2014 st cloud

    ENERGY BILL

    $100

    JANE SMITH

    123 MAIN STREET

    ANYTOWN, USA 12345

    • Both Jane and Jim visit their local LIHEAP offices.

    • Jane is awarded a $20 LIHEAP benefit.

    • Jim is awarded a $40 LIHEAP benefit.

    ENERGY BILL

    $400

    JIM JONES

    987 MAIN STREET

    SOMEBOROUGH, USA 54321


    Ffy2015 eap annual training august 12 13 2014 st cloud

    ENERGY BILL

    $100

    JANE SMITH

    123 MAIN STREET

    ANYTOWN, USA 12345

    The Benefit Targeting Index tells us whether high energy burden households receive higher LIHEAP benefits than average households.

    In this case, the LIHEAP program effectively targeted higher benefits to Jim—who pays a higher share of his income toward energy costs than Jane.

    ENERGY BILL

    $400

    JIM JONES

    987 MAIN STREET

    SOMEBOROUGH, USA 54321


    Ffy2015 eap annual training august 12 13 2014 st cloud

    ENERGY BILL

    $100

    JANE SMITH

    123 MAIN STREET

    ANYTOWN, USA 12345

    The Burden Reduction Targeting Index tells us whether high energy burden households have a larger share of their energy bill paid with LIHEAP than average households.

    In this case, even though Jim got a bigger LIHEAP benefit, it still didn’t stretch as far as Jane’s.

    Jane’s $20 LIHEAP benefit covered 20% of her energy bill.

    However, Jim’s $40 LIHEAP benefit only covered 10% of his energy bill.

    ENERGY BILL

    $400

    JIM JONES

    987 MAIN STREET

    SOMEBOROUGH, USA 54321


    Ffy2015 eap annual training august 12 13 2014 st cloud

    We see this pattern in the “real” data as well. In 2009, the program paid higher LIHEAP benefits to households with higher energy burden.


    Ffy2015 eap annual training august 12 13 2014 st cloud

    However, in both 2005 and 2009, high burden households had a lower percentage of their energy bill paid with LIHEAP than average households.


    Performance measures pilot test results

    Performance Measures Pilot Test Results


    Performance measures pilot test results1

    Performance Measures Pilot Test Results

    We found (FFY13 data):

    Average Annual LIHEAP Household Income: $17,275

    Average Total Annual Residential Energy Bill: $2,003

    Average % Reduction in Energy Burden: 33.2%


    Performance measures pilot test data mn

    Performance Measures Pilot Test Data - MN

    • For households in the top 25% of energy burden, we found:

      • 45% higher average total benefits

      • 13% greater energy burden reduction

  • For fuel oil and propane households, we did not target the highest burden households as well as we did for other fuel types.


  • Performance measures pilot test results2

    Performance Measures Pilot Test Results

    In MN: Benefit Targeting Index Results

    In 2013, high burden households received a benefit 45% higher than the average household.

    [Index Score: 145]


    Performance measures pilot test results3

    Performance Measures Pilot Test Results

    In MN: Burden Reduction Targeting Index Results

    In 2013, high burden households had 37.6% of their annual home energy bill paid, compared to the average of 33.2%.

    [Index Score: 113]


    Ffy2015 eap annual training august 12 13 2014 st cloud

    • The Measures

    • Part I: Energy Burden Targeting

    • What data is necessary?

      • Household Income

      • Fuel type

      • Main heating fuel cost

      • Electric fuel cost (heat and/or non-heat)


    Ffy2015 eap annual training august 12 13 2014 st cloud

    • The Measures

    • Part II: Restoration of Home Energy Service

    • Number of all LIHEAP-assisted households that had:

      • Energy service restored after disconnection

      • Fuel delivered after ran out of fuel

      • Repair/replacement of inoperable home energy equipment

  • Part III: Prevention of Loss of Energy Service

  • Number of all LIHEAP-assisted households that had:

    • Past due notice or utility disconnect notice

    • Imminent risk of running out of fuel


  • Ffy2015 eap annual training august 12 13 2014 st cloud

    • Performance Measures Pilot Test Results

    • Restoration and Prevention of Loss of Home Energy Service

      • Restored service after disconnection: 3,299

      • Repaired/replaced inoperable equipment: 6,026

      • Past due or utility disconnect notice: 21,378

      • Imminent risk of running out of fuel: 7,727

        • This includes empty tanks


    Ffy2015 eap annual training august 12 13 2014 st cloud

    • The Measures

    • Restoration and Prevention of Loss of Home Energy Service

    • What data is necessary?

      • Crisis reason

      • Fuel type

      • Post-delivery verification information (% of fuel in tank prior to delivery)

      • ERR repair/replacement


    Ffy2015 eap annual training august 12 13 2014 st cloud

    • What you need to do

    • Help us demonstrate all you do to help MN Households

    • Make sure the data is accurate

    • Be prepared for more:

      • Reduced # of service interruptions after receiving benefits

      • Homes use less energy (EAPWX)

      • Households change how they use energy (A16)

      • Etc.


    Monitoring auditing oversight

    Monitoring, Auditing & Oversight

    • One comprehensive system- its all about the money

    • HHS monitoring DOC

    • OLA Auditing DOC

    • EAP Auditing SP

    • SPs are audited by independent auditors

    • SP monitoring of Energy Vendors


    Monitoring auditing oversight1

    Monitoring, Auditing & Oversight

    • National, State and Local efforts

    • Federal level

      • Increased funds staffing, monitoring, training, oversight

    • State level

      • Increased scrutiny, systems, controls, requirements

    • Local level

      • Self monitoring, risk assessment, oversight


    Monitoring auditing oversight2

    Monitoring, Auditing & Oversight

    • All of us

    • Play a role

    • Are responsible

    • Need to get better at these activities


    Monitoring auditing oversight3

    Monitoring, Auditing & Oversight

    • It’s about the money because . . .

    • Need to understand that is as important as providing the service to the household

    • If the program does not have integrity it can’t be here to help those who need it

    • It’s about the households


    Federal monitoring

    Federal Monitoring

    • All federal grantees are being monitored

    • Next week feds are monitoring FFY12

    • Two days in the State Office

    • Three days at local service providers

      • CA of Mpls

      • Renville County

      • S-C-D CAP


    Federal monitoring1

    Federal Monitoring

    • Areas of interest

      • Monitoring Weatherization Components

      • Timely Delivery of Crisis Assistance

      • Notice of Fair Hearing

      • Administrative Costs

      • Vendor Refunds

      • Documentation for the Leveraging Incentive Program

    • Assurance- 16 of them (Aman’s work)


    Ffy2015 eap annual training august 12 13 2014 st cloud

    OLA

    • Every year the Program gets audited by the Office of Legislative Auditors

    • Several weeks in the State Office

    • Based on the State fiscal year


    Ffy2015 eap annual training august 12 13 2014 st cloud

    OLA

    • Two findings

    • The Department of Commerce did not submit complete and accurate financial reports to the federal government for the Low-Income Home Energy Assistance Program

    • The Department of Commerce did not pay accurate indirect cost amounts from some federally-funded programs, including the Low-Income Home Energy Assistance Program. This finding includes an unresolved prior issue


    Ffy2015 eap annual training august 12 13 2014 st cloud

    DOC conducts two types of on-site visits

    Initial Program Assessment Visit (iPAV)

    Full Program Audit Visit (fPAV)

    Team approach to auditing (more than just the PPAs)

    Internal review to PAR

    Working to be consistent

    Internal review of responses from SPs to PAR

    State Monitoring


    Ffy2015 eap annual training august 12 13 2014 st cloud

    Initial Program Assessment Visit (iPAV)

    Focus

    Review findings and recommendations from previous year(s)

    Review Local Plan – discuss DOC questions and SP changes

    Ensure SP has necessary resources and is ready for FFY15

    File review

    Provide Training and Technical Assistance (T&TA)

    Prior to visit

    Send T&TA requests to your Program Performance Auditor

    Do not save questions for the visit, send immediately to your PPA or eap.mail

    State Monitoring


    Ffy2015 eap annual training august 12 13 2014 st cloud

    Full Program Audit Visit (fPAV)

    Focus

    In-depth review of SP’s program implementation

    Review of Primary Heat, Crisis and ERR files

    Review payroll records

    Inventory

    Additional documents as needed

    Prior to visit

    Full Program Audit Tool (fPAT)

    Send T&TA requests to your Program Performance Auditor

    Do not save questions for the visit, send immediately to your PPA or eap.mail

    State Monitoring


    State monitoring

    State Monitoring

    • File Sample Review – What do we look for?

      • PH – 30 files, plus:

      • 5 Self employment

      • 5 No income

      • 5 Denied

      • All consumption >$5,000

      • Crisis – 30 files

      • ERR – 5 files, plus

      • All tasks >$5,000


    State monitoring1

    State Monitoring

    • File Sample Review – Why so many files?

    • Statistical significance

      • Each SP has a “population” of files

      • We can’t review all of them

      • By reviewing a random sample of the whole population, we can get a relatively good representation of the whole

      • Even 30 files out of 1000+ is not entirely representative


    State monitoring2

    State Monitoring

    • File Sample Review – What do we look for?

    • PH – Application Processing

      • Applications are dated and signed by applicant

      • Applications are date stamped and logged the day they arrive

      • Income statements for all HH members are complete & well documented

      • Accurate income calculation of the EAP household

      • Complete documentation verification case notes (Who, When, What) in paper file or in eHEAT

      • Copies of any correspondence with the applicant, if applicable

      • Documentation of research done in response to a question, complaint, or appeal, if applicable

      • Delivery of timely program services

      • Maintain proper EAP data security practices


    State monitoring3

    State Monitoring

    • File Sample Review – What do we look for?

    • PH – Eligibility Determination

      • Household member info

      • Household income documentation & calculation

      • Housing type and status (e.g., subsidized, heat in rent)

        PH – Benefit Amount Determination

      • All of the above, plus:

        • Fuel type

        • Home heating system status (e.g., dual fuel)

        • Consumption


    State monitoring4

    State Monitoring

    • File Sample Review – What do we look for?

    • Crisis – Eligibility Determination

      • HH’s past due bills in file or documentation of emergency

      • Documentation of energy vendor verification

      • Available PH payments did not resolve the emergency. Check if PH payments were made payable after Crisis benefit determined

      • SP - HH correspondence notes in file or eHEAT

      • Check that eHEAT Crisis reason matches documented rationale

      • Are SPs doing reasonability checks for delivered fuel?


    State monitoring5

    State Monitoring

    • File Sample Review – What do we look for?

    • Crisis – SP Response

      • For HH in a life-threatening situation the LIHEAP law requires that the threat to life be removed within 18 hours of a household requesting crisis

        • No heat in the house

        • No heat distribution

      • For HHs experiencing immediate energy emergencies that are not life threatening SPs must approve crisis services within 48 hours

      • Compare crisis reported date to completion/approval/ payment date


    State monitoring6

    State Monitoring

    • File Sample Review – What do we look for?

    • Crisis – Benefit Amount Determination

      • Compare the crisis amount with the vendor verification documentation and PH benefit amount

      • Is the SP properly using the Crisis amount and fees boxes in eHEAT?


    State monitoring7

    State Monitoring

    • File Sample Review – What do we look for?

    • ERR – Eligibility

      • Documentation of proof of ownership (if required) must be in paper file or eHEAT.

      • Documentation of a qualified dwelling.

      • Documentation of valid request for repair or replacement, including description of the problem.

      • Documentation of eligible heating system (e.g., not redundant).

      • Determine if ERR-related application information matches eHEAT information.

      • Verify that changes to application are documented.


    State monitoring8

    State Monitoring

    • File Sample Review – What do we look for?

    • ERR – SP Response

      • For HH in a life-threatening situation the LIHEAP law requires that the threat to life be removed within 18 hours of a household requesting crisis

        • No heat in the house

        • No heat distribution

      • For HHs experiencing immediate energy emergencies that are not life threatening, SPs must approve crisis services within 48 hrs

      • Compare ERR reported date to completion/approval/payment date

      • Documentation that temporary heat was provided appropriately, if applicable


    State monitoring9

    State Monitoring

    • File Sample Review – What do we look for?

    • ERR – Benefit Amount Determination

      • Documentation of the contractor's determination of need for response to the ERR request (i.e., need for repair or replacement)

      • Documentation of "Manual J" calculations


    State monitoring10

    State Monitoring

    • File Sample Review – What do we look for?

    • ERR – Other

      • Inspection Certificate

      • 50% of completed furnace replacements & retrofits inspected

        • Must be inspected prior to contractor payment

      • Completion Certificate

        • Required for all repairs & replacements > $1,000

        • Signed and dated by homeowner & contractor

        • Must include model and serial numbers

        • If inspected, inspector signature

      • Itemized Invoices


    State monitoring11

    State Monitoring

    • Findings & Recommendations

      • Meant to point out areas that should or must be improved

      • By identifying areas for improvement, we can take meaningful action

      • We want to ensure that we:

        • Deliver the highest quality of service to their communities

        • Comply with applicable laws

      • Not meant as punishment or to reprimand

      • Use the audit as a tool to improve services to HHs

      • Approach to PARs and Responses are done as a team

      • Need for timely response to your PAR


    Ffy2015 eap annual training august 12 13 2014 st cloud

    Questions During the Program Year

    DOC EAP staff are here to help you

    Call or email your Program Performance Auditor

    Can also email your questions to eap.mail

    Emails with private household data must be sent via secure email

    Check with your IT staff about how to do this

    State Monitoring


    Ffy2015 eap annual training august 12 13 2014 st cloud

    SP Risk Assessment

    Use info from many sources

    Use to prioritize DOC resources

    To assure we can support SP who most need it

    State Monitoring


    Ffy2015 eap annual training august 12 13 2014 st cloud

    Assignments of PPAs

    State Monitoring


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