FFY2011

1. FFY2011 EAP Annual Training Section 6 (of 6) • Presented at FFY2011 EAP Annual • Training August 11 & 12, 2010 • Section 6 contents: • Chapter 16 • Grant Contracts • Chapter 17 • Fiscal Management • Chapter 18 • Monitoring & Technical Assistance

2. Chapter 16Grant Contracts EAP Contract • The EAP Policy Manual, EAP State Plan and SP Local Plan describe what activities will happen • The EAP Contract describes how these activities are governed • SPs must be familiar with & adhere to all contract requirements MN-EAP Contract serves as the written agreement between the State of MN and all SP who deliver EAP & ROFW.

3. Chapter 16Grant Contracts EAP Contract Components • Contract Numbering • Contract Language which address • Grant administration • Fiscal management • Program performance requirements • EAP Budget states the allocation to SP using program rules • EAP Local Plan describes how SP operate within EAP rules

4. Chapter 16Grant Contracts EAP Contract is guided by • State Plan describes how federal LIHEAP funds will be used to help low-income households pay home heating bills and conserve energy • EAP Manual provides policies & procedures for implementing the program on the State and local levels • DOC also use the Energizer & Spark as updates to the Manual which only serve for the current FFY

5. Chapter 16Grant Contracts Procedures of EAP Contract Agreement • SP sends letter of intent to provide EAP services to DOC (Spring) 2. DOC sends Local Plan Form & Instructions to SPs to complete (Early Summer) 3. SP completes and send Local Plan by specified dates (Mid Summer) 4. DOC reviews and approve local plans (Mid Summer)

6. Chapter 16Grant Contracts EAP Contract Procedures (Continued) 5. DOC sends Contract Package to SP (Late Summer) • EAP Grant Contract, Certifications, Local Plan, eHEAT Admin Security Agreement & WACT 6.SP sends signed Contract Package to DOC (Late Summer) • Signature of Authority (if signed by a person other than Chair of the Board of Directors) 7. DOC send duplicates of signed Contract to SP(Early Fall) 8. Contract begins according to EAP Contract, State Plan, Policy Manual & Local Plan (October 1)

7. Chapter 16Grant Contracts Changes in the current EAP Contract Direct Changes • Reference Chapters updated to match the Manual Indirect Changes • All changes in EAP Policy Manual • Changes in EAP budget Management • FSR due date is the 5th not in 15th

8. Chapter 16Grant Contracts EAP Local Plan • DOC’s control tool • SPs operational plan/tool

9. Chapter 16Grant Contracts EAP Local Plan Intention • Determine and select competent Service Provider • Monitor and evaluate Service Provider performance • Build the competency of the Service Provider

10. Chapter 16Grant Contracts EAP Local Plan Context • It is only two years since structured with ICF • It is under continuous improvement and changes • In the review process • In contents • In structure and sequence • DOC is reviewing lessons learned on • Contents and presentation • Questions • Responses • Variations b/n what is asked and what is responded

11. Chapter 16Grant Contracts Local Plan Questions Objectives: • Assure EAP objectives are met • Ensure EAP is a high priority of the Agency’s leadership • Ensue EAP households get quality, accurate and timely services • Sustain operational competence through allocation of appropriate EAP personnel in size and quality Cont…

12. Chapter 16Grant Contracts Local Plan Questions (Continued) Objectives: • Provide professional services with high level of customer service • Ensure EAP tools are appropriately utilized to achieve EAP objectives • Assure EAP resources are properly stewarded • Ensure EAP services are delivered in accordance with the EAP Contract, State Plans & EAP Policy Manual

13. Chapter 16Grant Contracts What Local Plan Responses should describe • What: Types of EAP services, activities, functions, tools, etc… • How: Specific EAP facts, procedures, sequences and transactions • When: Accuracy of facts and processing timelines • Who: Detail roles of stakeholders (EAP staff, HHs, vendors, contractors DOC, SPs etc..)

14. Chapter 16Grant Contracts Why Plans were asked to be Resubmitted • Incomplete information • Unrelated responses • Lack of compliance with EAP policies and procedures • General responses (lack specifications) such as • We are good in that • We follow the EAP manual/procedures • We work with the vendors

15. Chapter 16Grant Contracts Examples of Local Plan Redo

16. Chapter 16Grant Contracts Examples of Local Plan Redo

17. Chapter 16Grant Contracts Local Plans referred for Resubmit

18. Overview of Chapter 17 Renamed: Formerly the Funding and Cash chapter, also includes the Audit chapter information Allowable expenditures are detailed here Chapter 17 Program Fiscal Management 18

19. Chapter Content Use of Funds Obligation Authority Allocations Notice of Funds Available (NFA) Requesting Additional Funds Cash Management State of Minnesota Electronic Funds Transfer (EFT) Audits Chapter 17 Program Fiscal Management Page 1 19

20. Use of Funds Out of State Travel Prior Approval Required One Month Advance Request More scrutiny Chapter 17 Program Fiscal Management 20

21. Deadlines September 30 eHEAT allocations & refunds for the FFY end December 15 is the deadline for FFY2010 refund checks to be received by DOC for accounts closed prior to October 1 Chapter 17 Program Fiscal Management 21

22. Requesting Additional ROFW Funds Change in request days from every other week to weekly With Weekly Allocation process in The Energizer Chapter 17 Program Fiscal Management 22

23. Purchase Disposition Form Requests forms are for purchases & disposing of equipment SP must complete the bottom portion of the form after purchase and return to DOC September 15 Deadline This allows DOC time to process requests Chapter 17 Program Fiscal Management 23

24. Cash Management Cash Request Instructions (New) Documenting Cash Requests Payroll, ERR, ROFW or Other State Matches FSR Chapter 17 Program Fiscal Management 24

25. Electronic Funds Transfer Direct Deposit Authorization Form Minnesota Management & Budget (MMB) Website (Link in Manual) Chapter 17 Program Fiscal Management 25

26. Vendor Information IRS W-9 Form Business Location Address Chapter 3 Energy Vendors (Registration & Change of Info) SP submits the registration to DOC Inform DOC of Vendor Info/Status Changes Chapter 17 Program Fiscal Management 26

27. W-9 Form Chapter 17 Program Fiscal Management 27

28. Audits Audit Section Added Audit Chapter in Previous Manual Eliminated Chapter 17 Program Fiscal Management 28

29. FSR ERR FSR Expended Matching eHEAT ERR Paid in eHEAT New FSR Report Due Date (5th of Month) First FSR for FFY2011 due November 5, 2010 New FSR Report Lines Rebate Local ROFW Chapter 17 Program Fiscal Management 29

30. FSR Changes Chapter 17 Program Fiscal Management 30

31. The “Wall” Refunds In eHEAT are greater than or equal to Payable Payables cannot be paid Vendors should (If payables aren’t going through) Search by refunds Refunds without EFT# are owed Total the refunds Send a check to DOC with HHD #’s and names Minnesota Department of Commerce C/O Mark Kaszynski 85 7th Place East Suite 500 St. Paul MN 55101-2198 Chapter 17 Program Fiscal Management 31

32. DOC approach Prepare resources at the local level Develop processes in advance Dedicate time to go over tool Is as important as serving a HHD Training Content Chapter 18 Monitoring & Technical Assistance 32

33. Chapter 18 Monitoring & Technical Assistance DOC Approach to Monitoring Every year the Office of Energy Assistance gets audited by the Office of Legislative Auditor (OLA) Most don’t like the OLA visit. The approach we take is their review is helpful to assure we are managing the resource properly. SPs should take the same approach to the monitoring visit as DOC takes to OLA visit 33

34. Chapter 18 Monitoring & Technical Assistance Prepare resources at the local level SPs should anticipate the resources required to successfully conduct a monitoring visit: Files available Space available Key staff available Access to internet 34

35. Chapter 18 Monitoring & Technical Assistance Develop Processes in Advance DOC Review last few years reports Review all files prior to visit Anticipate the needs of the auditor Anticipate the work of the auditor SP Review last few years reports Review files prior to visit (assure your system is sound at the start of the year) Anticipate the needs of the monitor Anticipate the work of the monitor 35

36. Chapter 18 Monitoring & Technical Assistance Dedicate time to the PAR Over the past two years, DOC has invested a lot of time improving the Program Audit Tool and Report Based on ICF and suggestions from the OLA SP Should dedicate time prior to the visit reading and completing the Monitoring Tools Should view these tools and visits are methods to improve the program at the local level Should address all findings and implement all suggestions for improvements 36

37. Chapter 18Monitoring & Technical Assistance This is as important as serving HHDs Everything we do, including monitoring, PARs, files, reports, etc. are as important as serving households Effective program management increases the program’s ability to serve more households Effective internal controls help ensure limited resources are provided to those eligible Effective program rules and regulations aid in delivering the program to households 37

38. Chapter 18 Monitoring & Technical Assistance Background • This is major control activity by DOC • Program Audit & PAR - fashioned after ICF • ICF usage – will be your best friend – it’s spreading – it helps • Improvement Projects: mini plans for improving specific areas of the program

39. Chapter 18 Monitoring & Technical Assistance • Field Representatives • Compliance Monitoring • Technical Assistance Chapter Content

40. Chapter 18 Monitoring & Technical Assistance Background • This is major control activity by DOC • Program Audit & PAR - fashioned after ICF • ICF usage – will be your best friend – it’s spreading – it helps • Improvement Projects: mini plans for improving specific areas of the program

41. Chapter 18 Monitoring & Technical Assistance ICF and me • Didn’t want to hear about it • Don and Ann both retired in time • We were doing so well – clean audits • What else did they want from us!

42. Chapter 18 Monitoring & Technical Assistance ICF and me I learned • What OLA wants, OLA gets … • Always had problems with when and how to address staffing at SP’s I thought were understaffed • Helps to give me order • Use the controls areas, they will help you gain control

43. Monitoring FFY11 Focus Candidates Chapter 18 Monitoring & Technical Assistance • Ensure EAP funding is used for EAP staffing and EAP activities. Will look at more aggressively - those not staffed adequately • Timely Application Processing - slow equals poor services and more work later • ERR documentation

44. Chapter 18 Monitoring & Technical Assistance • Slow processing – poor customer service • Timelines – behind at Thanksgiving – end of WACT in January • Work increases - the further behind you get. • Things that are out of your control can cause increases in applications/crisis/ERR • More money • Colder than usual • Economic conditions get worse • Housing stock in your areas becomes an age that many furnaces start to fail • Increased shut offs by vendors • Large employer in your area lays off or shuts down.

45. Chapter 18 Monitoring & Technical Assistance Flexible staffing plan/contingency plan • Overtime: works best ifoffered early, often and optionally • Temps: clerical - data entry – phone support – accounting Contact ahead of time – have job descriptions ready • Other SP staff: secure them early on – make sure they have time to devote strictly to EAP • Interruptions: not conducive to getting apps processed – takes turns answering phones/walk ins – processing apps • If you miss one or two weeks of WACT – time to act. • Try different ways to engage and encourage staff

46. Chapter 18 Monitoring & Technical Assistance Scheduling overview • Will begin to schedule Initial Monitoring visits in late September and conclude in early November • Will begin to schedule Full Monitoring visits in December and conclude in April

47. Chapter 18 Monitoring & Technical Assistance Initial Monitoring Focus • Check Initial Setup • Local Plans • Initial training • Training includes all parts of the program • Request T & TA early • New policy changes • eHEAT questions • Send all questions in advance if possible • Contact – September to schedule • Commence in late September – end October/ early November.

48. Chapter 18 Monitoring & Technical Assistance Full monitoring Focus • In-depth • File reviews-random sample of 30 files for most SP’s • Monitoring tools • Word documents will be emailed before the visits • EAP Coordinator completes monitoring tool with other SP staff • Field Representatives begin contacting SP in November/December to set up visit dates. • Full monitoring will begin in December and conclude in late April.

49. Chapter 18 Monitoring & Technical Assistance Preparing for Full Monitoring visit • Internet access • Temp password for network access • Work Space • Access to files

50. Chapter 18 Monitoring & Technical Assistance Values: What we believe or think is important. • Consistent interpretation and implementation of policies and procedures statewide