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1 FFY2010 August 12 & 13, 2009 St. Cloud Minnesota Holiday Inn EAP Annual Training Section 5.0 Monitoring Includes Monitoring process & Focus and Quality & Performance Control
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2 5. Monitoring This activity, performed by management and supervisors, sometimes with the assistance of internal auditors, on a continuous or periodic basis, exists to evaluate whether components of the internal control system are operating effectively ICF
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3 Introduction to Monitoring New monitoring- Amanuel Asghedom Initial Monitoring and Full Monitoring guides will be transformed around ICF
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4 Monitoring Major Control Activity for ICF Compliance with EAP contract Minnesota State Energy Assistance Plan EAP policy and procedures Manual Field Reps serve as chief liaison between SP and State Primary contact
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5 Desk Monitoring All state staff do monitoring Regular queries in eHEAT Weekly monitoring for your “money needs” Applications status Payments status
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6 Office of Legislative Auditor OLA monitors us yearly Past four years very good audits. Last two years, no findings. Are requiring ICF
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7 Monitoring Results for 2009 Did well Increase in Outreach – new ways to get the word out Increase in applications by 21% Increase in Crisis by 72% Increase in ERR by 43% Increase in ROFW by 8% Increase in participation in EBA: 25,553 Complete:(11,878) In progress (7,608) Cancelled (6,067) Entering Assurance 16 Activities 2008: 83,782 2009: 130,994 Entering “time spent” on activities eHEAT ERR and monthly FRS’s are matching (for most)
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8 Monitoring and SP Objectives Do Better Properly staffing EAP operations to assure competent program delivery Increases in numbers of applications obviously means an increased workload = increased staff time Staffing up at the front end Continue to Enter Assurance 16 activities and time spent on those activities Ensure EAP funding is used for EAP staffing & EAP activities only
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9 Monitoring Focus for 2010 Increased focus on: Internal Control Framework Control Environment – – Staffing levels – Appropriate Admin & A16 charging Control Activities – Managing and Processing Applications & Payments: – ERR and FSR documentation – both in eHEAT and in files
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10 Monitoring Focus for 2010, cont. ICF will become apparent in the monitoring tools Initial and Full Monitoring tools will reflect the transformation of ICF into our overall approach We intend to share and implement changes as we move ahead Everyone will be kept in the loop, intentions are to make positive changes
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11 Introducing Amanuel to the Field Field Reps will accompany Aman on his first Initial and Full monitoring visits. Aman will want to make a few visits to nearby SP’s to observe applications processing and get general feel for operations at program start-up.
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12 Visits 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 questions in advance if possible Contact – September to schedule Commence in late September – end October/ early November.
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13 Monitoring Visits Full monitoring Focus File reviews Random sample of 30 files for most SP’s In-depth Monitoring tools: Word documents will be emailed before the visits EAP Coordinator - monitoring tool Field Representatives will begin contacting SP’s in November/December to set up visit dates. Full monitoring will begin in December and conclude in late April.
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14 2009-2010 Monitoring Assignments
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15 Quality & Performance Controls
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16 Quality & Performance Controls To maintain affordable, continuous, and safe home energy for low- income Minnesota households through the high-level objectives (from ICF) of: Effectiveness and efficiency of operations, Reliability of financial reporting, and Compliance with applicable laws & regulations Intentions for Performance and Quality Control: Assure health and safety of applicant households Assure quality customer service including timely service Assure equitable use of funds through fiscal and program controls Assure consistent statewide program delivery
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17 Quality & Performance Controls By Conducting routine checks on program activities Gathering, assessing, analyzing and acting on findings Improving processes to assure or advance performance
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18 Quality & Performance Controls Values Timeliness as customer service and safety approach to program delivery Good stewardship of tax payers resources Good controls as a method of program integrity Program integrity Maintaining good public image Not reinventing a process every time we need it Program consistency as a means of fairness and accountability
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19 Focus (ICF areas of Risk Mitigation, Control Activities and Monitoring Timeliness, consistency and accuracy (Benefit accuracy, timeliness of processing, quality of data, anticipating program closeout, payment management, identifying relevant activities) Continuous improvement (Performance measurement, identify areas of inconsistency, process improvement (routines & exceptions), discovery & dissimilation of promising practices Program Resource Management (ROOM, ERR FSR)
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20 Quality & Performance Controls In-Progress non-EBA events Crisis Events or EB DOB In-Progress ERR events WACT: Weekly Application Certification Targets Rate Of Incidence 30 Day Study Aging Refunds Aging Payments Aging Application Study Electric Usage Study Payment to obligations study Consumption Quality check Program End check
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21 Quality & Performance Controls What to do? Formalize and institutionalize routines DOC will initiate Need timely response The responses or important for due diligence Improvements Think of things to do with your own local processes and risk Share them with others State will continue to improve Balance between good controls and burden
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