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

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FFY2011 EAP EAP Annual Annual TrainingTrainingSection 6 Section 6 (of 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

Chapter 16Grant Contracts

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 ContractMN-EAP Contract serves as the written agreement between the State of MN and all SP who deliver EAP & ROFW.

EAP ContractEAP Contract


EAP Contract ComponentsEAP 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


EAP Contract is guided byEAP 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


Procedures of EAP Contract Agreement1. 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)


EAP Contract Procedures (Continued)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)


Changes in the current EAP ContractChanges 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

EAP Local PlanEAP Local Plan DOC’s control tool SPs operational plan/tool


EAP Local PlanEAP Local PlanIntention Determine and select competent Service Provider Monitor and evaluate Service Provider performance Build the competency of the Service Provider


EAP Local PlanEAP Local PlanContextContext 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


Local Plan QuestionsLocal Plan QuestionsObjectives: 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 qualityCont…


Local Plan Questions (Continued)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


What Local Plan Responses should What Local Plan Responses should describedescribe

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..)


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


Examples of Local Plan Redo Examples of Local Plan Redo



Examples of Local Plan Redo Examples of Local Plan Redo

Local Plans referred for ResubmitLocal Plans referred for Resubmit


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Overview of Chapter 17 Renamed: Formerly the Funding and Cash chapter,

also includes the Audit chapter information Allowable expenditures are detailed here

Chapter 17Chapter 17Program Fiscal ManagementProgram Fiscal Management

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Chapter ContentChapter 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

Page 1

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Use of FundsOut of State Travel Prior Approval Required One Month Advance Request More scrutiny

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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

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Requesting Additional ROFW Funds Change in request days from every other week to

weekly With Weekly Allocation process in The Energizer

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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

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Cash Management Cash Management Cash Request Instructions (New) Documenting Cash Requests

Payroll, ERR, ROFW or Other State Matches FSR

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Electronic Funds TransferElectronic Funds Transfer Direct Deposit Authorization Form Minnesota Management & Budget (MMB) Website

(Link in Manual)

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Vendor InformationVendor 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

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W-9 FormW-9 Form

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AuditsAudits Audit Section Added Audit Chapter in Previous Manual Eliminated

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FSRFSR 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

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FSR ChangesFSR Changes

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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 CommerceC/O Mark Kaszynski85 7th Place East Suite 500St. Paul MN 55101-2198

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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

Chapter 18Chapter 18Monitoring & Technical AssistanceMonitoring & Technical Assistance

Training ContentTraining Content

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DOC Approach to MonitoringDOC 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

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Prepare resources at the local levelPrepare resources at the local levelSPs should anticipate the resources required to

successfully conduct a monitoring visit: Files available Space available Key staff available Access to internet

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Develop Processes in AdvanceDevelop Processes in AdvanceDOC Review last few years reports Review all files prior to visit Anticipate the needs of the auditor Anticipate the work of the auditorSP 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

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Dedicate time to the PARDedicate 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

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Chapter 18Chapter 18MonitoringMonitoring & Technical Assistance & Technical Assistance

This is as important as serving HHDsThis 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

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

Chapter 18Monitoring & Technical Assistance

Background

Field Representatives Compliance Monitoring Technical Assistance


Chapter Content

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


Background

ICF and meICF 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!


ICF and meICF and meI 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


Monitoring FFY11 Focus Candidates 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


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.


Flexible staffing plan/contingency plan Overtime: works best if offered 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


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


Initial Monitoring FocusInitial 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.


Full monitoring FocusFull 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.


Preparing for Full Monitoring visitPreparing for Full Monitoring visit Internet access Temp password for network access Work Space Access to files


Values: Values: What we believe or think is important.What we believe or think is important. Consistent interpretation and implementation of

policies and procedures statewide


EACA RecommendationEACA Recommendation EACA would like to see more consistency in

monitoring; SP’s are being told different things We all monitor individually - if we are giving out

conflicting information – unlikely we will know unless you tell us

Bring specific concerns or inconsistencies to our attention


Ask for AssistanceAsk for Assistance After you’ve looked in your manual (of course) Questions: Call your Field Representative We are here to help


2010-2011 EAP Field Representative Assignments

Pamela Tienter-Laird Sue Lenarz Amanuel Asghedom [email protected] [email protected] [email protected]

651.282.5013 651.284.3273 651.282.5011 ID Service Provider ID Service Provider ID Service Provider

6 AEOA 4 Bi-County Community Action 15 Anoka Co. CAP

16 CAPRWC 30 Bois Forte 69 Brown County

3 Inter-County Community Action

52 Clearwater County 17 ComA of MPLS

33 Leech Lake 31 Fond Du Lac 65 ComAP for SH

53 LSS 5 KOOTASCA Community Action

19 Heartland Community Action

1 Northwest Community Action 20 Prairie Five Community Action 7 Lakes & Pines

9 Otter Tail Wadena CA 39 Red Lake 10 Mahube Community Council

26 Semcac 61 Renville County 36 Mille Lacs

22 SMOC 13 Tri-CAP 24 Minnesota Valley

25 Three Rivers Community Action

12 West Central Community Action

58 Olmsted County

64 Todd County 41 White Earth 18 S-C-D

2 Tri-Valley 44 Wright County 21 Western Community Action

Documents

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