FFY2014 EAP Annual Training Part 7: Fiscal Management; Incidents & Appeals; Data Practices; National Program Per

1. FFY2014 EAP Annual Training Part 7: Fiscal Management; Incidents & Appeals; Data Practices; National Program Performance Measurement

2. Ch. 16 Program Fiscal Mgmt.

3. Program Fiscal Management • Property Management Requirements • Reminder: Anything purchased with LIHEAP Funds are property of LIHEAP • Audit Requirements • DOC is asking agencies to request that LIHEAP be at least sampled during annual audits

4. Ch. 12 Incidents & Appeals

5. Chapter 12 – Incidents & Appeals Context • Improvements to overpayments procedures past years, minor adjustments this year • Less overpayments in FFY13 vs. FFY12 – great job • Local Plan risk assessment last year - some examples described incorrect incident handling procedures • Communicate with DOC • DHS OLA report

6. All Overpayments Service Providers must track and maintain a single log of households with overpayments to: • Ensure there is a one comprehensive list • Track all recovery steps to completion • Ensure Crisis is not provided until the recovery process is complete

7. Error - Overpayments • Additional bullets #6 and #7 in the Overpayments Resulting from Error Section • Details steps to follow if a household does not: • Respond to the Service Provider regarding an overpayment recovery • Maintain a planned repayment schedule

8. Resolution of Error Overpayments Eligible to request Crisis assistance when one of the following occurs: • Overpayment is recovered or repaid in full • Signed declaration of hardship *Not eligible for a Crisis benefit during the current program year if non-responsive to Service Provider communication regarding attempts to recover an overpayment.

9. Fraud Policy Improvements • Suspected Fraud of EAP funds: • The DOC reserves the right to deny a household suspected of fraud for the current program year and require all EAP benefits be repaid • The household will be denied by DOC with the "Application Denied by DOC" reason in eHEAT • Additional Recovery Measure: Revenue Recapture

10. Overpayment and Fraud policies are essential to program integrity because they protect funds for those who need them

11. Ch. 13 Data Practices & Records

12. Chapter 13 Data Practices & Records Training Outline • Lifeline • Data Sharing • Data Breaches

13. Chapter 13 Data Practices & Records Lifeline • Law passed allowing the DOC Commissioner to provide DHS with LIHEAP participant information (first name, last name and last four digits of SSN) • Goal to increase participation in Lifeline • Please encourage households to apply for this critical service

14. Chapter 13 Data Practices & Records Data Sharing • Effective for FFY14 data, LIHEAP data can be provided (within limited context) to other data systems within your agency(Visions, CAP60, THO, etc.) • Must be for specific purposes • Must be limited • Must be secured

15. Chapter 13 Data Practices & Records Data Sharing • Areas of concern • 3rd party vendors • Inappropriately releasing private information • State law still applies if LIHEAP data is moved into other systems

16. Chapter 13 Data Practices & Records Recent security breaches • Stories: DNR & Police Officer • People lost jobs and were fined • Do not over reach, go beyond your job • If you are supervising you need to ensure they are acting appropriate • Negligent or intentional breaches can have adverse consequences for the people who access data and their organizations

17. Chapter 13 Data Practices & Records Common EAP Scenarios • Secure email • Laptops • USB sticks • Off-site work • Paper files • Unsecured Wi-Fi • Smart phones

18. Program Measurement

19. LIHEAP Performance Measurement In June 2008 US Health & Human Services formed the LIHEAP Performance Measures Work Group (PMWG) • Initiative was in response to federal legislation and an OMB-required Performance Improvement Plan • The PMWG included LIHEAP Directors from various states

20. LIHEAP Performance Measurement Why Measure? • Measurement helps us understand how we affect the population we work with • Helps us to assess our activities and services, and identify weaknesses and improvements • Justifies our efforts to various stakeholders • US OMB uses performance measurements to determine President’s budget • Congress demands it

21. LIHEAP Performance Measurement Draft Measures were initially presented in February 2010. They were broken into 4 tiers: • Tier 1: output measures every State is already collecting • Tier 2: outcome measures that most States can or are collecting but not necessarily reporting • Tier 3: more complex outcome measures that few States are presently collecting • Tier 4: the broadest outcome measures that provide a national picture of how well LIHEAP provides recipients with continuous, safe, and affordable energy service

22. LIHEAP Performance Measurement Why a tiered approach to data collection and reporting? • States will gradually implement the measures in Tiers 1-3 • HHS will facilitate technical assistance to bring states up to speed • HHS will collect and report on the Tier 4 measures

23. LIHEAP Performance Measurement Tier 1 Measures (applicable to MN) • # of HHs receiving Primary Heat • # of HHs who received any Crisis assistance • % of State income eligible population who received LIHEAP Services • # of HHs who received new heating system • # of HHs who received heating system/equip. repair • # of homes weatherized using LIHEAP funds • # of HHs who received energy education • # of HHs who received referrals for non-energy services • Total additional resources leveraged with LIHEAP

24. LIHEAP Performance Measurement Tier 2 Measures (applicable to MN) • Energy burden reduction • Home energy crises prevented • Home energy restored • Energy costs reduced through weatherization • HH’s reporting learning to use energy more efficiently • HHs benefitting from energy advocacy • HHs benefitting from ‘leveraged’ resources

25. LIHEAP Performance Measurement Tier 3 Measures (applicable to MN) • HHs make payments for energy bills with increased consistency • HHs lower or maintain arrearages and fewer HHs in arrears • Reduce # of service interruptions after receiving benefits • Heating/cooling equipment operates properly one year after replacement • Homes actually use less energy during the year • Other…

26. LIHEAP Performance Measurement Next Steps • Most Tier 1 measures already collected • HHS is proposing mandatory reporting of some Tier 2 measures for FFY15: • Energy burden reduction • Home energy crises prevented • Home energy restored • Federal register comment period - June – August 2013

27. LIHEAP Performance Measurement Next Steps • Possible future data elements: • Household cooling equipment type • # of non-energy referrals • # of HHs who received energy education • # of HHs reporting they have learned to use energy more efficiently after energy education • # of HHs who benefit from energy advocacy (requires measuring outcomes of advocacy)

28. LIHEAP Performance Measurement Where We Stand • Minnesota was represented on the Performance Measures Work Group and the Implementation Work Group • eHEAT and MN system are models HHS is using for other states • In particular, energy vendor consumption data • As these develop we will try to involve SPs

29. LIHEAP Performance Measurement • Questions? • Contact Michael Michael.Schmitz@state.mn.us 651-539-1812