CFOPD-14-R-052 - Random Moment Time Study – Amendment 2.pdf

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GOVERNMENT OF THE DISTRICT

OF COLUMBIA

DEPARTMENT OF HUMAN SERVICES

Economic Security Administration

Public Assistance

Cost Allocation

Plan

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Table of Contents

ECONOMIC SECURITY ADMINISTRATION

Chapter 1: Certification

Chapter 2: Executive Summary

 Introduction

 Summary of Significant Changes

 Cost Impact Statement

Chapter 3: Organizational Charts

 Department of Human Services

 Economic Security Administration

Chapter 4: Public Assistance Cost Allocation Plan – Economic Security Administration

 Office of the Administrator

 Office of Administrative Support

 Division of Program Operations

 Division of Monitoring and Quality Assurance

 Division of Program Development and Training

 Division of Information Systems

Chapter 5: ESA Random Moment Sampling Methodology

 RMTS Sampling Plan

 RMTS Observation Form

 RMTS Observation Form Instructions

 Cost Allocation Matrix

APPENDICES

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Chapter 1

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PUBLIC ASSISTANCE COST

ALLOCATION PLAN

I certify that in accordance with 45 CFR 95.507(b)(8) that:

1) The information contained in this cost allocation plan is prepared in conformance with Office of Management and Budget A-87.

2) The costs are accorded consistent treatment through the application of generally accepted accounting principles appropriate to the circumstances.

3) An adequate accounting and statistical system exists to support claims that will be made under the cost allocation plan.

4) The information provided in support of the proposed cost allocation plan is accurate.

Governmental Unit: District of Columbia Department of Human Services Economic Security Administration

Signature: __________________________________

Name of Official: __________________________________

Title: __________________________________

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Chapter 2

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In accordance with the guidelines outlined in Subpart E of 45 Code of Federal

Regulations (CFR) Part 95, and Office of Management and Budget (OMB) Circular A-87,

“Cost Principles for State, Local and Indian Tribal Governments,” we have developed a

Public Assistance Cost Allocation Plan for the Department of Human Services Economic

Security Administration (ESA) based on FYE September 30, 2011 expenditure data. The

cost allocation plan describes the methodology utilized by the Economic Security

Administration to identify, measure, and allocate all costs to each of the public assistance

programs operated within the agency.

Introduction

The mission of the Department of Human Services Economic Security Administration is

to determine the eligibility of applicants and to recertify the eligibility of recipients for

federal and District-funded assistance programs, and to help heads of households

receiving TANF benefits to become employed and move toward financial independence.

ESA determines eligibility for benefits under the Temporary Assistance to Needy

Families (TANF), Medicaid and DC Healthy Families, Food Stamps, and General Public

Assistance for Children, Burial Assistance, and Interim Disability Assistance and Refugee

Cash Assistance programs. In addition, ESA’s Food Stamp Employment and Training

Program (FSET) provide employment and training services to able-bodied adults without

dependents who receive food stamps. ESA also performs monitoring, quality control and

reporting functions required by federal law and court orders.

Summary of Significant Changes from the previously approved Public Assistance Cost Allocation Plan

Except for changing the name from the Income Maintenance Administration to the

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assistance cost allocation plan, submitted for the Department of Human Services

Economic Security Administration with an effective date of October 1, 2011.

Cost Impact Statement Relative to Public Assistance Cost Allocation Plan Effective October 1, 2011.

There is no material cost impact associated with this Cost Allocation Plan as compared to

the previously submitted Cost Allocation Plan submitted with an effective date of

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Chapter 3

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Office of the Administrator

DIVISION OF INFORMATION SYSTEMS DIVISION OF MONITORING & QUALITY ASSURANCE DIVISION OF PROGRAM DEVELOPMENT & TRAINING Office of Administrative Support DIVISION OF PROGRAM OPERATIONS

Office of Medical Assistance (OMA)

Case Records Management Unit

(CRMU)

Office of Food Stamp Employment

& Training (FSET)

Office of Performance

Monitoring

Office of Quality Assurance &

Analysis

Deputy Admin for Program Development

and Training

Office of Program Development

Office of Administrative Review

& Appeals

Office of Training

Office of ACEDS Deputy Admin for Information

Systems

Office of TANF Operations

Office of Medical Review Office of Specialized Services Decentralized Service Centers

Office of Work Opportunity (OWO) Change Center Burial Interim Disability Assistance Disability Entitlement Assistance Program (DEAP)

Office of Over Payments Deputy Administrator for Program Operations Case Maintenance Unit (CMU) Outstation Services Child Care Services Division (CCSD) Case Coordination Deputy Administrator for Monitoring & Quality Assurance

Eligibility Review & Investigations

Unit

Internal QA Unit

Deputy Administrator for Program Development & Training

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Chapter 4

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Economic Security Administration

The Economic Security Administration (ESA) certifies applicants and re-certifies recipients of

Temporary Assistance to Needy Families (TANF), Medical Assistance, Food Stamps, and

General Assistance for Children, Interim Disability Assistance (IDA), and Refugee Cash

Assistance. With the implementation of welfare reform, ESA is responsible for helping and

encouraging heads of household receiving TANF benefits to secure work or participate in

work-related TANF activities allowable under federal law, which they must do as a condition of

eligibility for benefits. The broad and overarching purposes of TANF are: to strengthen

families, to encourage personal responsibility, to promote self-sufficiency through job

preparation and employment, and to reduce the incidence of teenage pregnancy. To achieve

these purposes, ESA contracts with or makes grants to eligible organizations to support services

and activities, which benefit TANF customers and low-income families. ESA also provides

employment and training services to able-bodied adults without dependents who receive food

stamps; provides financial assistance with the cost of burial for eligible residents; and performs

information systems, training and policy development, monitoring, quality assurance, and

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OFFICE OF THE ADMINISTRATOR

Nature and Extent of Services:

The Office of the Administrator is responsible for directing the operations of the Economic Security Administration and overseeing the performance of the Administration’s four Divisions and subsidiary Offices. This Office assists the Director in the preparation and defense of the annual budget and long-range projections, and advises the Director with respect to the Administration’s activities. Generation of the annual work plan; oversight of the Administration’s activities; coordination of the delivery of services; development and implementation of strategies to promote cooperation with public providers; instituting periodic management and utilization reviews to ensure that programs operated by the Administration meet Federal and District performance standards; ensuring that the District’s policies related to EEO are implemented; and providing reports required by Federal and District agencies are also responsibilities of this Office.

Cost Structure:

Costs consist of those directly charged to this cost center and an allocation from the Department of Human Services by application of the Indirect Cost Rate.

Allocation Methodology:

The costs for the Office of the Administrator will be allocated to those Divisions/Offices reporting to it (except for Office of Administrative Support) based on the salaries, wages, and benefits of the benefiting offices.

OFFICE OF ADMINISTRATIVE SUPPORT

The Office of Administrative Support provides administrative support services to the Administration. It directs the preparation of the ESA’s annual budget, coordinates the recruitment, staffing, and classification of positions, facilitates purchasing and procurement, manages ESA facilities, and coordinates the fiscal planning, monitoring, utilization, and control activities of the Administration.

Cost Structure:

Costs consist of those directly charged to this cost center and an allocation from the Department of Human Services by application of the Indirect Cost Rate.

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DIVISION OF PROGRAM OPERATIONS

DEPUTY ADMINISTRATOR FOR PROGRAM OPERATIONS

The Office of the Deputy Administrator for the Division of Program Operations is responsible for the direction and operation of the Division, and overseeing the performance of the Division’s eight physical locations. The Division of Program Operations is responsible for planning, structuring, and organizing an assistance delivery system that provides a single point of entry for each customer regardless of the nature of his or her family needs. The Division also reviews program operations to ensure compliance with regulatory guidelines; analyzes the effectiveness of work methods and other functions of the administration; develops annual budget requests for the Division; and consults with other Division heads regarding issues which cross Division boundaries.

Cost Structure:

Costs consist of those directly charged to this cost center, an allocation from the Department of Human Services by application of the Indirect Cost Rate, and an allocation from the Office of the Administrator.

The costs of this Office will be allocated to those reporting to it based on the salaries, wages, and benefits of the benefiting offices.

CASE MAINTENANCE UNIT (CMU)

The Case Maintenance Unit (CMU) is a unit created to process special case actions including interim reports, underpayments and re-certifications for the three major social service programs: TANF, Food Stamps and Medicaid.

Cost Structure:

Costs consist of those directly charged to this cost center, an allocation from the Division of Program Operations, and an allocation from the Department of Human Services by application of the Indirect Cost Rate.

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CASE RECORDS MANAGEMENT UNIT (CRMU)

The Case Records Management Unit (CRMU) receives scans, tags and indexes paper and electronic documents used in the day-to-day operations of the Economic Security Administration to ensure security and easy accessibility for authorized staff in agency operations. This unit also archives all closed cases for the assistance programs administered by ESA.

Cost Structure:

The Case Records Management Unit (CRMU) benefits all ESA programs. Therefore, the costs will be allocated to the respective programs supported based on the results of the quarterly RMTS study.

DECENTRALIZED SERVICE CENTERS

ESA services are provided through a network of neighborhood-based Decentralized Service Centers. These Service Centers are responsible for determining initial and continuing client eligibility for TANF, General Assistance for Children, Food Stamps, Medicaid, Healthy DC, Healthcare Alliance, Interim Disability Assistance, and Refugee Assistance Programs. Other duties include authorizing diversion payment for eligible applicants, assuming responsibilities for all ESA program operations within the decentralized service centers; and, implementing corrective action procedures and action plans with the objective of ensuring that programs are operated according to federal and local guidelines, including within federal error rate tolerance levels.

Cost Structure:

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OFFICE OF MEDICAL ASSISTANCE

The Office of Medical Assistance determines initial and continued eligibility for the D.C. Healthy Families/Medical assistance programs, including applicants who are hospital patients represented by the DC Health Alliance and for children who are wards of the District or have been adopted through the City’s efforts. The Office also determines spend-down liability for Medicaid applicants; processes applications for long term care payments for nursing home medical care or for group home care; and implements corrective action procedures and action plans with the objectives of ensuring that programs are operated according to federal and local guidelines, including within federal error rate tolerance levels.

Cost Structure:

The costs for the Office of Medical Assistance will be directly charged to the Medicaid Program.

CHANGE CENTER

The Change Center is a call center that is responsible for processing interim changes to TANF, Food Stamp, Medicaid, and other public assistance programs. Customers are required to report changes in circumstances, including those related to employment, household composition, income and resources, in between application and recertification appointments. Other duties include customer inquiries, processing changes reported from third parties, and monitoring of changes using ACEDS reports.

Cost Structure:

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OUTSTATIONED SERVICES

The Outstation Services Branch was created to provide direct eligibility determination to customers visiting the area's hospitals, clinics and other District agencies (DC Jail, Office on Aging, etc.). Social Service Representatives are housed at more than 20 locations throughout the District and accept applications for the TANF, Food Stamps and Medical Assistance (federally and locally funded programs). In addition to accepting applications at these locations, applications and re-certifications are forwarded to the main office location for processing. The Outstation Services Branch also handles requests for emergency Medicaid which is processed to expedite medical services for customers requiring urgent care.

Cost Structure: (Outstation)

Allocation Methodology (Outstation):

The Outstation Services Branch benefits all ESA programs. Therefore, their costs will be allocated to the respective programs supported based on the results of the quarterly RMTS study.

CHILD CARE SERVICES DIVISION

The Child Care Services Division (CCSD) determines eligibility for parents/guardians who request subsidized child care for children from 6 weeks to 12 years of age; up to age 19 for children with special needs. Services are available to TANF and low income families with children up to 185% of the federal poverty level in the District of Columbia who have at least 20 hours of activity (training, school, and/or employment).

Cost Structure:

Costs consist of those directly charged to this cost center, an allocation from an Intra-district Memorandum of Understanding (MOU) with the Office of State Superintendent of Education (OSSE)

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OFFICE OF SPECIALIZED SERVICES

The Office of Specialized Services includes the Records and Files Unit, the Interim Disability Assistance Unit and the Burial Unit. These are detailed below:

Interim Disability Assistance/Eligibility

The Interim Disability Assistance Program (IDA) is a locally funded program, which provides cash assistance to eligible individuals, while they await a decision about eligibility for federal Supplemental Security Income (SSI) benefits. To be eligible, a customer must meet both income and residency guidelines, and also provide proof that s/he has applied for SSI and provide medical information documenting his/her disabling condition. Cash benefits paid through IDA are “recovered” from the Social Security Administration (SSA) when a customer is found eligible for SSI.

Cost Structure:

The costs of the Interim Disability Assistance Unit will be directly assigned to local funds.

Burial Unit

The Burial Assistance Program is a locally funded program, which provides financial assistance towards the cost of a burial or cremation. Burial Assistance payments are made directly to the contract funeral home selected by the deceased’s next-of-kin. To be eligible, the deceased must be a resident of the District of Columbia. Also, burial or cremation services must be arranged through a funeral home under contract with the District and the deceased’s body must not have been released to a non-contract funeral home at the time of application.

Cost Structure:

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The costs of the Burial Unit will be directly assigned to local funds.

Disability Entitlement Assistance Program (DEAP) (TE108)

The Disability Entitlement and Advocacy Program (DEAP) staff serves as the authorized representatives for customers submitting applications for Supplemental Security Income (SSI). DEAP representatives serve as the liaison between the IDA application process and the SSI application process. DEAP staff assists customers with the SSI application process ensuring the submission of the application which allows for the receipt of IDA benefits (temporary cash assistance). DEAP staff also monitors the SSI application and provide information to the customer or customer representative, the ESA and the SSA regarding the status of the SSI application. Customers determined eligible for SSI lose eligibility for the IDA program.

Cost Structure:

The costs of the Disability Entitlement Assistance Program will be directly assigned to local funds.

OFFICE OF WORK OPPORTUNITY

The Office of Work Opportunity operates Job Clubs for TANF customers to encourage self-sufficiency and independence from public support. Staff screen and orient customers to the employment and training program as well as approve customer initiated placements in education, training, or work-related activities in accordance with TANF; carry out special projects related to the District’s TANF goals; and, conduct outreach and establish relationships with community organizations.

Cost Structure:

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The costs of the Office of Work Opportunity will be assigned to TANF as program related costs, which are not subject to the 15% administrative CAP.

OFFICE OF FOOD STAMP EMPLOYMENT AND TRAINING

The Office of Food Stamp Employment and Training plans, develops, and implements employment and training programs for members of Food Stamp households classified as work registrants. This Office maintains a knowledge base of the range of employment and training programs available to Food Stamps participants and establishes and maintains a wide range of relationships with community organizations, private industry, and governmental agencies to promote employment opportunities for Food Stamp customers.

Cost Structure:

The Office of Food Stamp Employment and Training will be directly charged to the Food Stamp Employment and Training Program.

OFFICE OF CASE COORDINATION

The Office of Case Coordination is charged with working with TANF families with multiple barriers. The Office is responsible for making sure that TANF families, who maybe receiving services from multiple providers, have a coordination in their services, and those respective services are all complementary in light of the individual customer’s needs

Cost Structure:

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DIVISION OF MONITORING AND QUALITY

ASSURANCE

DEPUTY ADMINISTRATOR FOR MONITORING AND QUALITY ASSURANCE

The Office of the Deputy Administrator for the Division of Monitoring and Quality Assurance is responsible for the direction and operation of the Office, and overseeing the performance of the division’s two Offices. The Division of Monitoring and Quality Assurance is responsible for analyzing ESA’s organizational structure and operations to ensure that the Administration is operating efficiently and effectively and is able to meet changing federal standards and regulations. This division also represents the ESA to the federal government when necessary; designs and implements ESA’s performance reporting system; identifies ESA’s training needs; monitors compliance with federal and District legislation; provides oversight to the monitoring, certification and reporting of performance of ESA contracts; ensures interface between contract monitoring and vendor payment by the Office of Administrative Support.

Cost Structure:

The costs of this Division will be allocated to those reporting to it based on the salaries, wages, and benefits of the benefiting offices.

OFFICE OF PERFORMANCE MONITORING

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Cost Structure:

Costs consist of those directly charged to this cost center, an allocation from the Division of Monitoring and Quality Assurance, and an allocation from the Department of Human Services by application of the Indirect Cost Rate.

The costs associated with the Office of Performance Monitoring benefit only the TANF program and therefore will be directly assigned to that program as an administrative cost.

OFFICE OF QUALITY ASSURANCE AND ANALYSIS

The Office of Quality Assurance and Analysis analyzes quality control data and conducts additional case reviews to identify problems. This Office also develops and monitors ESA’s corrective action planning system and strategies; monitors all case actions that are required by the fair hearing and administrative review process; implements ESA’s Quality Assurance Accountability system; and provides technical assistance at each decentralized service center. This office includes the following units:

Internal Quality Assurance Unit

Quality Assurance is responsible for monitoring application processing and compliance with court orders and consent decrees. It also conducts quality assurance reviews to assess the quality of staff work throughout the Administration, and develops, implements and monitors ESA’s corrective action process. Staff also analyzes quality control data to identify administrative, operational and management problems. Additionally, this unit maintains the Food Stamps Disqualified Recipient sub-system and the DRS Voice Response System for ESA; monitors the addition of newborns to ESA’s assistance; and monitors the addition of new wages to open budgets.

Cost Structure:

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Eligibility Review and Investigations Unit

The Eligibility Review and Investigations Unit is responsible for investigating error-prone and worker-referred TANF, Food Stamp, Medicaid and General Assistance cases. In addition, this Office also develops intergovernmental computer matches with the federal government, conducts security-related reviews and investigates cases identified as potential errors; conducts fraud prevention programs and submits potential fraud cases to the DC Office of the Attorney General for prosecution and recovery; and acts as a liaison between the Office of Investigations and Compliance on investigatory matters.

Cost Structure:

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DIVISION OF PROGRAM DEVELOPMENT

AND TRAINING

DEPUTY ADMINISTRATOR FOR PROGRAM DEVELOPMENT AND TRAINING

The Office of the Deputy Administrator for the Division of Program Development and Training is responsible for the direction and operation of the Division, and overseeing the performance of the Division’s four Offices. The Division of Program Development and Training develops plans and procedures to administer income maintenance programs effectively in the District. The Office of Program Development and Training also evaluates and analyzes the need for services promoting and supporting self-sufficiency for individuals and families; develops strategies to promote cooperation with private providers; reviews federal and district regulations to ensure compliance with procedural and regulatory guidelines; documents and translates changes in Federal TANF, Food Stamps, and Medicaid Law; and provides oversight to monitor the performance of activities conducted in accordance with grants awarded by the Administration. Other responsibilities include advising and providing technical assistance to the Administrator and program managers, recommending and participating in the development of legislation, and developing annual budget requests and projections for the Division.

Cost Structure:

OFFICE OF PROGRAM DEVELOPMENT

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Cost Structure:

Costs consist of those directly charged to this cost center, an allocation from the Division of Program Development and Training, and an allocation from the Department of Human Services by application of the Indirect Cost Rate.

The Office of Program Development benefits all ESA programs. Therefore, the costs will be allocated to the respective programs supported based on the results of the quarterly RMTS study.

OFFICE OF ADMINISTRATIVE REVIEW AND APPEALS

The Office of Administrative Review and Appeals conducts administrative review conferences for appeals of decisions under the assistance programs by ESA. This Office also receives and distributes all requests for hearings related to ESA programs to the Office of Administrative Hearings; schedules and conducts conferences related to the administrative reviews, monitors ESA compliance with federal and District legislation and regulations; and prepares reports based upon data generated through the appeals process to inform management of significant program operational issues.

Cost Structure:

The Office of Administrative Review and Appeals benefits all ESA programs. Therefore, costs will be allocated to the respective programs supported based on the results of the quarterly RMTS study.

OFFICE OF TRAINING

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Cost Structure:

The Office of Training benefits all ESA programs. Therefore, the costs will be allocated to the respective programs supported based on the results of the quarterly RMTS study.

OFFICE OF MEDICAL REVIEW

The Medical Review Team (MRT) is responsible for overseeing the medical evaluation process for determining the severity of medical conditions, consistent with the guidelines of the Social Security Administration, for the purpose of determining Medicaid eligibility. The MRT schedules medical reviews with licensed medical doctors, who specify the period of incapacity or disability. The MRT returns the results of the reviews to the eligibility staff that is responsible for case maintenance and communicates with customers if additional information is required.

Cost Structure:

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DIVISION OF INFORMATION SYSTEMS

DEPUTY ADMINISTRATOR FOR INFORMATION SYSTEMS

The Office of the Deputy Administrator for the Division of Information Systems is responsible for the direction and operation of the Division, and overseeing the performance of the Division’s three Offices. The Division of Information Systems evaluates the automated support needs of ESA staff and functions and develops appropriate solutions to those needs; directs the priorities for system development tasks; coordinates program implementation efforts with requisite system implementations; serves as the liaison to agencies outside the ESA; maintains a comprehensive user support system; coordinates training efforts with the Office of Training; and develops annual budget requests for the Division.

Cost Structure:

Costs consist of those directly charged to this cost center, an allocation from the Office of the Administrator, and an allocation from the Department of Human Services by application of the Indirect Cost Rate.

TANF OPERATIONS

The Office of TANF Operations analyzes and evaluates program requirements which result in the TANF system enhancements and changes. This Office also reviews functional requirements of these systems; tests system changes; develops user training; monitors interfaces with external systems; monitors the TANF application security; and ensures the accuracy of the TANF work activity participation data reported by internal and external service providers.

Cost Structure:

Costs consist of those directly charged to this cost center, an allocation from the Division of Information Systems, and an allocation from the Department of Human Services by application of the Indirect Cost Rate.

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OFFICE OF THE AUTOMATED CLIENT ELIGIBILITY DETERMINATION SYSTEM (ACEDS)

The Office of the Automated Client Eligibility Determination System analyzes and evaluates proposed programmatic policy changes to determine the impact and necessary changes required to the ACEDS system. This Office also reviews functional requirements of the system; tests system changes; develops user training; monitors interfaces with external systems; provides technical support for ACEDS users; and serves as the primary ESA contact for the Department’s Office of Information Systems.

Cost Structure:

The Office of ACEDS benefits all ESA programs. Therefore, the costs will be allocated to the respective programs supported based on the results of the quarterly RMTS study.

OFFICE OF OVER PAYMENTS

The Office of Overpayments reviews all reports of overpayments related to the Food Stamp and TANF programs. This Office receives and establishes Food Stamp and TANF claims; initiates recovery through recoupment; cooperates with the Payments and Collections Division and the Office of Program Review, Monitoring and Investigation in their recovery and prosecution efforts; monitors claim statistics for accuracy and represents the agency in programmatic claims reviews.

Cost Structure:

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Chapter 5

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DISTRICT OF COLUMBIA

DEPARTMENT OF HUMAN SERVICES

ECONOMIC SECURITY ADMINISTRATION

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Section Page No.

Purpose 1

Overview 1

Population Defined 1

Sample Size Required 2

Sample Selection and Dissemination 3

Statistical Reliability 3

Observation Form and Instructions 6

Sample Retrieval and Processing 6

RMTS Administration and Quality Control 7

APPENDICES

RMTS Observation Form Appendix A

RMTS Observation Form Instructions Appendix B

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ECONOMIC SECURITY ADMINISTRATION

Random Moment Sampling System

PURPOSE

The Economic Security Administration (ESA) Random Moment Time Sample (RMTS) is conducted on a continuing basis to provide data for the allocation of direct and indirect costs to various state and federally supported programs. The objective is to identify employee efforts directly related to the programs administered by ESA.

OVERVIEW

Random Moment Sampling is based on the laws of probability, which, in essence, states that there is a high probability that a relatively small number of random observations will yield an accurate depiction of the overall characteristics of the population for which the sample was taken. An observation at a random moment is a sample of what is happening at a particular instant of time. The basic requirement in selecting a random sample is that every item in the universe be given an equal or known chance of being included in the sample. To ensure that this requirement is met, the sample must be truly random and must exclude human judgments and other influences or biases.

Therefore, Random Moment Sampling is a technique for estimating the actual distribution of the worker's effort to various programs by selecting a relatively small portion of the time worked. At random minutes during the day, one or more workers are observed and their specific activity or task at that particular moment in time is recorded. The RMTS is unique among time study techniques in that the participation of those being measured is minimal and relatively few responses offer adequate sample reliability.

POPULATION DEFINED

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The formula that should be used to determine the sample size is:

t

SE

2 p(1-p)

n =

Where: n = sample size (to be increased by the standard 10% sampling overload factor to accommodate unforeseen situations such as worker transfers and terminations)

p = maximum anticipated rate of occurrence of the activities being observed (anticipated distribution of effort -- historically this value has been approximately 36% for Medicaid)

SE = desired sample precision (.02)

t = confidence level factor (1.96 for 95%)

Solving the equation yields:

1.96 .02

2 .36 (1-.36)

n =

= 2,213

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 Increases (or decreases) in staff subject to the RMTS.

SAMPLE SELECTION AND DISSEMINATION

The RMTS will be drawn from a listing of all active staff subject to the RMTS during the month preceding the sample quarter (i.e. the RMTS for the quarter beginning July 1 will be drawn from a May listing of active employees). The RMTS software will generate the random moments for the quarter from the population of the total number of eligible employees and total working minutes in each quarter. The moments generated are identified with a number (the observation number) and include the following information:

_ Day: Standard workday during the year, official holidays excluded _ Time: Any minute during the working day

_ ID#: Personnel Identification Number (PIN) _ Name: Employee name

_ Location: Location of Employee

A master list of the above information will be generated, as well as sample listings for each location. The location lists will be distributed along with observation forms, to the RMTS Coordinator at each location. In addition, preprinted labels will be included for each location. Each month a confidential envelope containing the labels will be mailed to the appropriate RMTS Coordinator. The RMTS Coordinator then attaches each label to an Observation Form and at the appropriate moment completes the form.

The RMTS Coordinator will insure that the observation is reflective of the actual sampled moment selected. The SSR will complete the observation form based on the instructions contained in this document. The RMTS Coordinator will validate the response based on direct observation of the sampled worker’s activities, questions asked of the worker or by assessing the interaction of the worker with a client or other person. Except for client or program specific travel, meetings or training where the worker is expected to be away from his/her work station for more than 1 hour, all observations will be accomplished within 15 minutes of the sampled moment. The RMTS Coordinator will make a photocopy of the form, retain the copy, and mail only the original form back to ESA.

STATISTICAL RELIABILITY

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Preparation and Submission of Cost Allocation Plans,” dated November, 1981: "the precision (sometimes referred to as 'allowable error') is + 2% at the 95% confidence level for each activity whose frequency occurs 5 or more percent of the time.” For each activity whose frequency occurs less than 5 percent of the time, the precision can be up to + 5% at a 95% confidence level."

Computation of the standard error of proportion (SEi) resulting from a sample is important. This allows sample size modification within the quarter under review if the preliminary sample results are not within acceptable precision limits. Additionally, computation of the estimates (Pi) of worker time devoted to each program is also important. These values can

be derived using the following formulas:

n

P

_i

=

and

n

P

_i

(1-P

_i

)

SE

_i

%

₌

±

t

x

100

Where: PI = Proportion of responses for the

i

th program

P = Actual rate of occurrence observed

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Page 5

t = Confidence level factor (1.96 for 95%)

To compute the estimate of the proportion of response for the ith program use:

n

P

_i

=

To compute the standard error for the estimate of the proportion of responses for the ith program use:

n

P

_i

(1-P

_i

)

SE

_i

=

±

t

To illustrate this procedure, assume that the Food Stamp program had 360 observations (P) last quarter from a total of 2,434 samples (n), then:

2,434

360 P

_i

=

= 14.8%

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SE

_i

=

2,434

±

1.96 =

_1.4%

Therefore, it is possible to say at the 95% confidence level that if the entire universe or population was observed, the actual rate of occurrence for the Food Stamp program would fall between 13.4% and 16.2% (14.8% + 1.4%). Further, the sample precision (SE) of 1.4% is within the statistical reliability desired of + 2% at the 95% confidence level.

OSERVATION FORM AND INSTRUCTIONS

Appendix A of this document contains a copy of the Observation Form that should be used. It identifies all of the programs and activities that the SSR may be engaged in. Appendix B contains the instructions that should be followed by the RMTS Coordinator and the sampled worker in completing the Observation Form. Each RMTS Coordinator and worker should be trained in the completion of the Observation Form and to the importance of providing accurate and timely responses. Appendix C provides a matrix of the possible responses that may be identified.

SAMPLE RETRIEVAL AND PROCESSING

The completed Observation Forms should be returned to ESA on a weekly basis. When ESA receives the completed Observation Forms, the forms are then reviewed to make certain that each interview was appropriately completed. If any discrepancies exist, the ESA Analyst and RMTS Coordinators will review the forms and resolve the problem. Corrections made to the responses are noted on the forms. If an oversight occurs and an interview is not properly completed, that interview is omitted from the study with the reason for omission documented.

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Management is committed to the success of the RMTS approach.

Specifically, the ESA RMTS Analyst will:

• Generate the sample data and send a listing of the dates and times of the staff to be sampled to the appropriate RMTS Coordinator.

• Monitor ESA-wide RMTS activities and assist in problem resolution; and provide technical assistance, reference and resource material, and training when required.

• Insure that the sample universe is updated quarterly to include new hires and exclude terminations and transfers.

• Works with the Office of the CFO to ensure the necessary information is received for the preparation of reports.

• Analyze, edit, and summarize the sample results and prepare information for dissemination, for management purposes, as deemed necessary.

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Appendix A

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Section I: Program (Select only one)

100 Medicaid 106 SAVE

101 Food Stamps 110 Diversion

102 TANF 107 Alliance

103 Interim Disability Assistance (IDA) 108 Any other program - please explain

104 General Public Assistance (GC) 109 Common to more than one program

105 POWER Case/Unique identifier # ________________________________

Section II: Activity Specific to a Program (Select only one)

200 Interview/Intake 204 Program Explanation

201 Eligibility Determination/redetermination 205 Outreach

202 Case Management / Continuing Services 206 Preliminary Assessment/Referral

203 Employment and Training (FS) 207 Conduct / Participate in training, conferences or meetings - Describe in Section IV

Do Not Use Section III if Code in Section II Identified

Section III: Activity not Specific to a Program (Select only one)

300 Admin Functions - Not case related 303 Lunch, Breaks, Personal Business

301 Conduct / Participate in training, conferences 304 Employee on Leave / Not Scheduled to Work or meetings - Describe in Section IV

302 Travel / Including Conference Travel 305 Any Other Activity - Please Specify

306 Invalid Moment

Section IV - Additional Information

Workers Signature Sample Coordinators Signature

_____________________ ________________________

Date Date

_______________ _______________

Time Time

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Appendix B

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Instructions for the Random Moment Sample – Revised 9/25/10 Page 1

The observation form you are completing is divided into three major sections. Only one choice should be made in each part.

Section I PROGRAMS - Choose the one program which corresponds to the action you are performing at the selected moment.

CASE NUMBER / SOCIAL SECURITY NUMBER - Indicate the specific case number you are working on if applicable. If no case number has been assigned, please provide another unique identifier or the clients name.

Section II ACTIVITY - Select the one activity that best describes what action you are performing at the chosen moment.

 Case related activities apply to the programs in Section I and generally coincide with case-specific activity. These activities should be selected over general activities whenever possible.

Section III Activity not specific to a specific program – Select the one activity that best describes what action you are performing at the selected moment.

 General activities do not relate to work being done on a specific case, but to general job duties or time away from your work area.

Section IV Additional Information - Provide any additional information that will document the program/activity being worked on.

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you are working on at the selected moment in accordance with the definitions provided later in this document. A case number must be reported whenever a "program" is identified. If a case number is not available (as with some of the job related programs) and the activity involves a specific client, then the clients social security number should be provided in Section I and the clients name in Section III.

100 Medicaid: This program provides medical assistance to low-income

individuals under 21, families with dependent children, individuals and couples who are age 65 or older and blind or disabled individuals. Related activities include conducting a Medical eligibility determination in accordance with the pre-TANF AFDC standards for combined financial and/or food stamp cases even though the client is eligible for other programs, referring all medical assistance cases to the Department of Health and forwards medical

inquires/reports to Medical Review Team. Also includes any activity related to third party liability (XVIII, self-pay, other) collections including the identification and documentation of other sources of Medical payment that may be primary to Medicaid. This also includes activity in support of the "DC Healthy Families" program.

101 Food Stamps: This program provides for the certification of households with low income and resources for Food Stamps in order to increase their food purchasing power. Related activities include time spent in explaining the program, collecting, documenting, verifying/collaborating and inputting into the ACEDS system all related information (names, addresses, income, assets, social security numbers, etc). Also includes effort spent in completing any required forms, referrals, and sanction activity and in responding to questions relating to receipt of food stamps, the amount received, etc. and effort spent in preparing requests for assistance regarding dormant/frozen accounts (EBT).

102 Temporary Assistance for Needy Families (TANF): This program provides temporary financial assistance and other services to eligible TANF clients. Related activities include time spent in explaining the eligibility requirements, determining eligibility for TANF and identifying/documenting income, resources, deprivation, citizenship, SSN, school attendance and inputting information in the ACEDS system.

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caring for unrelated children whose parent or other relatives are absent from the household. Related activities include explaining the program requirements, conducting eligibility determinations, making referrals to approved vendors, requesting home studies, inputting or retrieving data from ACEDS, and verifying information including death certificates, social security, income etc. Also includes any activity associated with the Burial Program.

105 POWER (Program on Work, Employment, and Responsibility) This program is a District of Columbia program, which allows TANF applicants/recipients whose physical, and/or mental incapacity's interfere with their ability to

participate in countable work activities to be placed in a special district-funded program to assist them in becoming work ready. Related activities include explaining program requirements, obtaining and submitting medical packets to the Medical Review Team, preparing the Social Data form, obtaining and verifying necessary information, inputting data into ACEDS, tracking the medical review process.

106 SAVE: This program (Systemic Alien Verification and Eligibility or “SAVE”) is designed to verify an alien’s status. Related activities include assembling the required information; reviewing all available information; making computer inquiries; generating all required reports and corresponding with the Bureau of Citizenship and Immigration Services (BCIS) formerly Immigration and Naturalization Service (INS), churches, etc.

107 D.C. Healthcare Alliance: This program provides medical assistance to low-income individuals not otherwise eligible for Medicaid. Specifically, the Alliance serves adults ineligible for Medicaid because they are non-qualified aliens or not disabled, pregnant or parenting. This program also serves non-qualified alien children under 21 who are on the waiting list for the Immigrant Children’s program. This program is programmatically similar to the former Medical Charities Program.

108 Any Other Program: This category would include any program not listed above; if this code is selected, the specific program being worked on must be indicated in the space provided. Related activities include explaining program requirements, conducting eligibility determinations, obtaining and verifying information, inputting data into ACEDS, setting up necessary appointments, tracking the progress of the application/recertification.

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110 Diversion: This program provides support to allow the client to overcome obstacles to employment. This could include funds for uniforms, tools, auto insurance, auto repairs etc. Related activities include explaining TANF program requirements, conducting eligibility determinations, obtaining and verifying information, and time spent inputting data into ACEDS.

Case Number / Unique Identifier: Enter the case number that identifies the case with which you are engaged at the time of the sample moment. In the absence of a case number, use a unique identifier or the client’s name, which can be used to provide audit documentation.

SECTION II: ACTIVITY CODES - Specific to a Program in Section I

Check the box next to the activity, which best describes the specific activity you are performing at the selected moment. For example, you may be able to relate the activity to a specific program (i.e., training related to the Food Stamp program, the TANF program, referral for a photo ID for the Food Stamp program, etc.). Also, if you are gathering/collaborating/verifying information (e.g., address, birth dates, etc.) common to more than one program under the activity code 200 or 201, program code 109 in Section I should be checked off. Do not use a general activity code if one of the specific activity codes better describes that moment's action.

200 Interview/Intake: Activities include conducting interviews, facilitating group interviews and video presentations and providing applicant with appropriate forms, in the office, field, by mail or telephone. Also includes review of application forms and verification documents, data entry, in the office, field, by mail or telephone.

201 Eligibility Determinations/Re-determinations: Activities include case file review, document verification, preparing calculation entries and computations, entering data for eligibility purposes, completing necessary forms, referral for photo ID and researching any policy specific to a case. Also includes activities associated with obtaining, verifying and updating information for re-determining eligibility.

202 Case Management/Continuing Services: Activities include all case

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generating/providing referrals to employment and training programs for members of food stamp households not receiving TANF. Also includes conducting interviews, explanation of work registration activities, job

readiness assessment and referral services and receive and process sanctions.

204 Program Explanation: Activities include time spent in explaining the benefits, limitations and options available, rights and responsibilities of applicant and recipient households, and answering specific questions either in person or via telephone. The program being explained to the client should be identified in Section I.

205 Outreach: Activities include preparing and compiling information on food stamps, TANF and medical assistance for distribution to public and private entities and conducting off-site briefings to community groups and senior citizen organizations.

206 Preliminary Assessment/Referral: Activities include the initial assessment of program eligibility. As such the specific program being applied for in Section I should be indicated. Activities also include notification and referrals of clients or potential clients to other specific programs, e.g., child support enforcement, social services, TANF Work Related Screening and Assessment, etc. This also includes time spent in completing any required forms, inputting information to the ACEDS system and/or providing any other required information to the General Councils Office relating to Child Support

Enforcement. The program in which the client is being referred to should be identified in Section I. Also includes referring customers to domestic violence vendor and preparing referrals to the Social Security Administration and the Department of Employment Services.

Under the TANF program, all non-exempt applicants are required to

participate in work activities as a condition of eligibility. Activities include program explanation, sanction activity, referrals, preparing/processing exemption requests, fair hearings, determining work program and exemption status. Provides employment planning services to single parents and two parent families who are unemployed or underemployed. Also provides preliminary job assessment and referral services to these clients.

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Check the box next to the activity, which best describes the "general" activity you are performing at the selected moment. Codes 300-306 should only be checked when the activity being performed cannot be identified to a specific program/case.

300 Administrative Functions - Not Case Related: Activities include all other non-case related activity such as organizing desk, attending to general clerical matters, etc.

301 Conduct/Participate in Staff Training, Conferences and Meetings of a General Nature: Activities include time in training situations, conferences or meetings of a general nature or relating to more than one program as well as actually participating or leading the training/conference either at an on-site or off-site location. [Note: When the training is off-site, the Sample Coordinator should identify the program the training is related to in Section I, identify the nature of the training in Section III (name of training session) and sign the Observation Form.]

302 Travel - Including Conference or Training Travel: includes all job-related travel. This does not include routine between the office and one's home.

303 Lunch, Breaks, Personal Business: includes activity of a personal nature.

304 Employee on Leave/Not Scheduled to Work: (FOR SAMPLE

COORDINATOR USE ONLY) use for approved leave (e.g., annual leave, sick leave, etc.) or otherwise not scheduled to be at work at the time of sample (i.e., flex-time).

305 Any Other Activity: includes any other activity not described by the codes in Section II. Please specify the nature of this activity in the space provided on the observation form.

306 Invalid Sample Moment: (FOR SAMPLE COORDINATOR USE ONLY) should be used when a valid response can not be obtained for the moment selected as, for example, the employee selected is no longer working as an employment counselor or is no longer working for the Department. Only the RMTS Sample Coordinator will make selection of this category.

SECTION IV – Additional Information

Please provide any additional information that will either assist in the proper coding of a specific sampled moment or in the documentation supporting the rational used in

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Appendix C

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Case Employment

Eligibility Management/ and Preliminary Training/

Interview/ Determination/ Continuing Training Program Assessment/ Conferences/

Program Intake Redetermination Services (FS) Explanation Outreach Referral Meetings

Medicaid X X X X X X

Food Stamps X X X X X X X X

TANF X X X X X X X

Interim Disability Assistance (IDA) X X X X X X X

General Public Assistance (GC) X X X X X X

POWER X X X X X X

SAVE X X X X

Diversion (TANF) X X X X X

Alliance X X X X

Any other program X X X X X X X

Common to more than one program X X X X

District of Columbia Department of Human Services Economic Security Administration

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**SOAR (R*STARS) Accounting System**

Presently, the agencies within the District Government must utilize SOAR for budgeting, planning, accounting, procurement, reporting and financial control activities. Since the Department of Human Services Economic Security Administration’s accounting is performed by SOAR, calculation of the costs for this plan, in most instances, will be based on the SOAR reports.

The Relational Standard Accounting and Reporting System (formerly R*STARS, currently SOAR) is a comprehensive financial management information system designed to meet the sophisticated accounting and reporting needs of large and small state agencies. The system was designed to comply with the accounting requirements imposed on local governments by the American Institute of Certified Public Accountants (AICPA) and the Government Finance Officers Association (GFOA).

This appendix presents a summary of the SOAR system in the following areas:

• Fund Structure

• General Ledger Account Structure

• Revenue Object Structure

• Expenditure Object Structure

• Appropriation Structure

• Program Structure

• Function Structure

• Organizational Structure

• Project Structure

• Grant Structure

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