August 15 & 16, 2012 FFY2013 EAP Annual Training FFY2013 EAP Annual Training Part 6: Assurance 16;...
-
Upload
jennifer-mclaughlin -
Category
Documents
-
view
214 -
download
0
Transcript of August 15 & 16, 2012 FFY2013 EAP Annual Training FFY2013 EAP Annual Training Part 6: Assurance 16;...
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training
FFY2013 FFY2013 EAP EAP Annual Annual TrainingTrainingPart 6: Assurance 16; Program Fiscal Management; Local Plan; Incidents & Appeals
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 2
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 3
IntentionsIntentionsPromote A16 as an activity that contributes to
maintaining affordable, continuous, and safe home energy for low-income Minnesota households
Clarify EAP A16 policy and expectationsEmphasize the importance of A16 for household
emergenciesReiterate and clarify the need for documentation
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 4
EAP Improves HH Outcomes in 3 Ways:EAP Improves HH Outcomes in 3 Ways:
Primary Heat payments
Crisis payments
A16 case management
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 5
What It IsWhat It IsAssurance 16 allows states to spend up to five percent (5%) of their LIHEAP Block Grant funds on “services encouraging and enabling households to reduce their home energy needs and thereby the need for energy assistance, including needs assessment counseling, and assistance with energy vendors.” Assurance 16 (A16) funds may also be used for A16 reporting.
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 6
Minnesota FocusMinnesota Focus The statewide focus of A16 continues to be case
management in support of the Coordinated Responsibility Model
Required A16 ActivitiesOutreachAdvocacy Referral
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 7
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 8
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
a
A16A16
A16A16A16A16
A16A16
Energy Burden
Insufficient Income
Cost Burden
Price of Energy High Energy UsagePrice Volatility
Energy Inefficiencies Unnecessary Energy Use
Lack of Energy Conservation Knowledge
Lack of Energy Use Information
Low IncomePoor Financial Planning
High Expenses
Irresponsibility
Lack of Financial Planning Knowledge
Lack of Time
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 9
Why it matters: OutreachWhy it matters: Outreach
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 10
Why It Matters: Advocacy & ReferralWhy It Matters: Advocacy & Referral
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
Source: 2005 RECS
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 11
Why It Matters: Referral & OutreachWhy It Matters: Referral & Outreach
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
Source: 2006-10 American Community Survey Public Use Microdata Sample & 2005 RECS
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 12
How Are We Doing?How Are We Doing?Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
Source: Minnesota Energy Assistance Program (eHEAT)
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 13
How Are We Doing?How Are We Doing?Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
Source: Minnesota Energy Assistance Program (eHEAT)
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 14
How Are We Doing?How Are We Doing?
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
Source: Minnesota Energy Assistance Program (eHEAT)
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 15
Allowable ActivitiesAllowable Activities EAP-related outreach, referral and advocacy A16 does not fund all of an SP’s outreach, referral and advocacy
activities A16 is EAP money for EAP activities
Allowable Expenditures The direct preparation, performance and recording of EAP outreach,
EAP referral and EAP advocacy activities can be charged to A16, including the related portion of fringe benefits earned
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 16
Examples of Activities & Information Chargeable to A16 Examples of Activities & Information Chargeable to A16 Staff time for an EAP staff person making a referral to Head Start Needs assessment counseling for EAP households Working with energy vendors on behalf of a household EAP outreach materials and activities Other EAP public relations measures and activities Postage to mail A16 materials and information Non-EAP outreach workers’ travel time, mileage and time assisting
with EAP application during home visits
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 17
A16 Case Management ActivitiesA16 Case Management Activities Encouraging households to sign up for CWR protection, where
applicable Helping households identify a reasonable payment amount for
their budgets Helping households negotiate a reasonable payment
agreement with energy vendors
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 18
Examples of Expenditures Not Chargeable to A16Examples of Expenditures Not Chargeable to A16 A Head Start employee who spends time eliciting client needs and
ascertains the household needs EAP An executive director speaking to a community group about all programs
the SP offers Costs for office space, desks, equipment, chairs, and supplies Staff time for answering the SP phone when a caller inquires about SP
programs available to assist their family Postage and time used to mail or hand out an EAP or other application Primary Heat or Crisis payments ERR, low-cost residential weatherization, or other cost-effective energy-
related home repair activities
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 19
Documentation: Why It MattersDocumentation: Why It Matters Empowers you to set goals and track your progress Enables state and others to verify your A16 activities are taking place
and are eligible
Best Practices Document activities as they occur to maintain an accurate record Train your staff on the objectives of A16 and reasons for doing it Use eHEAT logs as a basis for charging against A16 The same task can be recorded several times if it takes several steps Questions? Ask your Program Performance Auditor.
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 20
Documentation:Documentation: Best Practices Best Practices (Continued) Enter enough detail in the eHEAT notes field to differentiate A16 from
Admin activities Notes Examples: Who, What, Where, When, How
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
Do Don’t10/21/12 -Mailed 300 applications to Seniors Inc. MS
Mailed applications.
12/23/12 - Advocated with Xcel to help household obtain CWR protection - MS
Advocated with energy vendor.
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 21
Q&AQ&A
Chapter 9 – Assurance 16 Chapter 9 – Assurance 16
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 22
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 23
Manual ChangesManual ChangesProperty Management RequirementsRecord Retention Requirements
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 24
Property Management RequirementsProperty Management RequirementsChanges in Property Management are based on
current federal and state requirements Impetus is concern safeguarding sensitive data and
increasingly scarce resources Let the appropriate people in your agency know
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 25
Property Management RequirementsProperty Management RequirementsEquipmentService Providers must follow the standards found in OMB Circulars A-110 Attachment N. Property Management Standards and Attachment O. Procurement Standards; A-102 Common Rule Section .31 Real Property, .32 Equipment and .36 Procurement as applicable.
In addition, the following policies regarding sensitive equipment apply.
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 26
Sensitive EquipmentSensitive EquipmentSensitive Equipment means tangible, nonexpendable, personal
property having a useful life of more than one year that is generally for individual use; could easily be sold or subject to pilferage or misuse; or could be used to store sensitive personal information
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 27
Sensitive EquipmentSensitive Equipment Examples include:
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
Personal computers (PCs - both desktop and portable models)
Televisions and other video equipment
Network servers Projectors
Cellular phones Cameras
Personal digital assistants (PDAs) Tape recorders
Printers Facsimile machines
Other PC accessories that are detachable from the PC (flash drives, modems, external disk drives, tape backup systems, scanners)
Pager
Wireless technology
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 28
Property Management RequirementsProperty Management RequirementsProcedures for managing equipment will meet the following requirements: Property records must be maintained A physical inventory of the property must be taken and the results
reconciled with the property records at least once every year Procedures must be in place to:
Prevent loss, damage, or theft of the property Keep the property in good condition Ensure the highest possible return if the property must be sold
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 29
Inventory RequirementsInventory Requirements Individual pieces of EAP-funded sensitive equipment must remain recorded in the Service
Provider’s inventory records while retained in the Service Provider’s possession for the reasonable estimated life of the respective item
See the table below for the estimated useful life of possible EAP-related sensitive equipment
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
Description Estimated Useful Life (Years)Audio/Visual Equipment 5Computer 5Computer Peripheral 8Copy Machine 5Electronic Equipment 10Office Machine 5Photography Equipment 8Printing/Laminating Equipment 10Telecommunications Equipment 10
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 30
Equipment Disposal or TransferEquipment Disposal or Transfer In addition to equipment with a value of $5,000 or greater,
DOC must approve disposal of sensitive equipment SPs must ensure and certify that any information retained in
the equipment that is subject to data practices requirements is completely removed prior to disposition Removal must be done by overwriting the data Equipment capable of holding sensitive data must be
overwritten at least 6 times before their disposal or transfer will be approved
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 31
Record RetentionRecord Retention Service Providers are required to maintain copies of all books, records,
documents, and accounting procedures and practices relevant to EAP for a minimum of six years
Previously, the contract erroneously indicated three years Contract language:
“Under Minn. Stat. § 16C.05, subd. 5, the Grantee’s books, records, documents, and accounting procedures and practices of the Grantee or other party relevant to this grant agreement or transaction are subject to examination by the State and/or the State Auditor or Legislative Auditor, as appropriate, for a minimum of six years from the end of this grant agreement, receipt and approval of all final reports, or the required period of time to satisfy all state and program retention requirements, whichever is later.”
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 32
Q&AQ&A
Ch. 16–Fiscal Management Ch. 16–Fiscal Management
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 33
FFY2013 EAP Local PlanFFY2013 EAP Local Plan
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 34
3. Control Activities 3. Control Activities 3.1. Program Control Activities
3.2. Control Activities – Fiscal
2013 Updates3.1.6. ERR-Control questions are improved
3.1.7. Crisis verification is added
FFY2013 EAP Local PlanFFY2013 EAP Local Plan
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 35
3.1. Program Control Activities (8 parts)3.1. Program Control Activities (8 parts)3.1.1. EAP Application processing system: timeliness, EAP
tools, accuracy, consumption, reporting …
3.1.2. EAP System Partnerships: vendors, outreach partners 3.1.3. EAP Hours of Operation
3.1.4. Intake Sites
3.1.5. EAP Duties and Functions
3.1.6. ERR-Control
3.1.7. Crisis verification (new)
3.1.8. Assurance 16 Services
FFY2013 EAP Local PlanFFY2013 EAP Local Plan
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 387
1
2
2
2
5
5
2 1
2
2
2 4
1
1
1
1
2
2
1 1
1
1
2
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 41
3.2. Control Activities – Fiscal (5 parts)3.2. Control Activities – Fiscal (5 parts)3.2.1. Service Provider Fiscal Information3.2.2. Fiscal Transactions3.2.3. Fiscal Budgeting, Allocation and Reporting 3.2.4. Inventory Controls3.2.5. Fiscal Activities
FFY2013 EAP Local PlanFFY2013 EAP Local Plan
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 44
Q&AQ&A
FFY2013 EAP Local PlanFFY2013 EAP Local Plan
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 45
Chapter 12 Incidents & Appeals Chapter 12 Incidents & Appeals
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 46
HighlightsHighlightsContextPolicies and procedures
Expanded types of incidents New overpayment policies and recovery processes Revised appendices
Reminders and areas for improvement
Chapter 12 Chapter 12 IncidentsIncidents && Appeals Appeals
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 47
FFY12 chapter was improved and reorganizedNumerous corrections required this yearOffice of the Legislative Auditor Limited funds increases pressure for:
Accuracy of benefits Full recovery of overpayments
Chapter 12 Chapter 12 ContextContext
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 48
Types of IncidentsTypes of IncidentsEvent NotificationsData Security and BreachesErrorsWaste (new)Abuse (new)Suspected FraudDisasters and Emergencies
Chapter 12 Chapter 12 IncidentsIncidents
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 49
DefinitionsDefinitionsError (redefined)Unintentional misuse of program funds Unintentional mistakes in the handling and processing
of application information Isolated and affects one or just a few households If an unintentional mistake affects more households
follow waste procedures
Chapter 12 Chapter 12 DefinitionsDefinitions
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 50
Definitions Definitions (continued)Waste Waste occurs as the result of resources being consumed by
inefficient or non-essential activities, including systemic errors or misapplication of policy
Abuse Abuse occurs as the result of purposeful departure of policies
and procedures where resources are improperly usedImpacts HHs, integrity of funds, reputation and scarce resources
Chapter 12 Chapter 12 DefinitionsDefinitions
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 51
Overpayment PoliciesOverpayment Policies Section dedicated to overpayments Benefit fix required when a benefit changes by $10 or greater SPs must track HHs with overpayments Mail HH payments to DOC within 1 business day of receipt Until an overpayment process is complete, the HH is not
eligible to receive Crisis benefits A need for different recovery processes for each type
Chapter 12 Chapter 12 OverpaymentsOverpayments
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 52
Error - Overpayment RecoveryError - Overpayment Recovery1. If identified immediately, work with the energy vendor to
determine if incorrect payment can be easily refunded2. Recover credit on energy vendor account, if possible3. Write to HH:
a) Notify them of the situationb) Request repayment of overpaid EAP funds not recoveredc) Clarify the HH’s rights and responsibilities, hardship option, and
appeal processd) Offer to meet with theme) Set up a repayment schedule as needed ensuring that full repayment
is made by September 30 of the current program year
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 53
Error - Overpayment RecoveryError - Overpayment Recovery4. If repayment poses a hardship for the household:
a) Obtain a written, signed and dated declaration from the household describing the hardship
b) Retain the declaration in the household’s filec) Terminate recovery of EAP funds
5. The DOC reserves the right to take additional steps
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 54
Waste and Abuse - Overpayment RecoveryWaste and Abuse - Overpayment RecoveryService Providers must report waste or abuse of
program funds to the DOCDOC reviews and determines actions
Service Providers could be subject to repayment with non-federal funds
Energy vendors or contractors could be subject to repayment and determined uncooperative
The DOC reserves the right to take additional steps
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 55
Suspected Fraud - Overpayment RecoverySuspected Fraud - Overpayment Recovery Follow investigation procedures All cases must be reported to the DOC and proper
local authorities eHEAT notes fieldDifferent recovery process depending on the party
suspected of fraud
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 56
HouseholdHousehold Suspected Fraud - Overpayment Recovery Suspected Fraud - Overpayment Recovery
1. If identified immediately, work with the energy vendor to determine if incorrect payment can be easily refunded
2. Recover credit on energy vendor account, if possible3. Write to HH:
a) Notify them of the situationb) Request repayment of overpaid EAP funds not recoveredc) Clarify the HH’s rights and responsibilities and appeal processd) Offer to meet with theme) Set up a repayment schedule as needed ensuring that full repayment
is made by September 30 of the current program year
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 57
HouseholdHousehold Suspected Fraud - Overpayment Recovery Suspected Fraud - Overpayment Recovery
4. The DOC reserves the right to deny a household suspected of fraud for the current program year and require all EAPbenefits be repaid
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 58
SPSP Suspected Fraud - Overpayment Recovery Suspected Fraud - Overpayment Recovery
SPs suspected of fraud are reviewed by the DOC The DOC determines actions including repayment with
non-federal funds The DOC reserves the right to take additional steps
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 59
EVEV Suspected Fraud - Overpayment Recovery Suspected Fraud - Overpayment Recovery
Energy vendors or contractors suspected of fraud are reviewed by the DOC The DOC determines actions that could include repayment
and be determined uncooperative The DOC reserves the right to take additional steps
Chapter 12 Chapter 12 RecoveryRecovery
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 60
Incident Report FormIncident Report Form Service Providers must provide updates to the DOC as they occur
Chapter 12 Chapter 12 Revised AppendixRevised Appendix
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 61
Chapter 12 Chapter 12 Revised AppendixRevised Appendix
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 62
Reminders and Areas for ImprovementReminders and Areas for Improvement Appeal letter
Crucial timelines in manual Thorough review of household file Respond to each concern the HH indicated in their letter Reference EAP policies Explain their right to appeal to the next level Second reviewer for accuracy Certified mail
Chapter 12 Chapter 12 RemindersReminders
August 15 & 16, 2012August 15 & 16, 2012FFY2013 EAP Annual TrainingFFY2013 EAP Annual Training 63
Reminders and Areas for ImprovementReminders and Areas for Improvement Documentation
eHEAT notes field Household file Appeals tracking sheet
Track overpayments Overpayment process must be complete before HH Crisis
Update DOC Follow policy and recovery processes Ask DOC
Chapter 12 Chapter 12 RemindersReminders