TOPIC PURPOSE CONTACT SIGNED. CHARLES JOHNSON Deputy Commissioner TERMINOLOGY NOTICE

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1 Bulletin NUMBER # DATE OF INTEREST TO County/Service Delivery Authority (SDA) Directors Social Services Supervisors and Staff American Indian Tribes ACTION/DUE DATE Please read information and prepare for implementation EXPIRATION DATE July 7, 2017 The Human Services Performance Management System s Remedies Process TOPIC The remedies process in the Human Services Performance Management system s (referred to hereafter as Performance Management system), which will be implemented July PURPOSE To explain the Performance Management system s remedies process and how it will be applied. CONTACT Human Services Performance Management Team dhs.hspm@state.mn.us (651) SIGNED CHARLES JOHNSON Deputy Commissioner TERMINOLOGY NOTICE The terminology used to describe people we serve has changed over time. The Minnesota Department of Human Services (DHS) supports the use of "People First" language.

2 Page 2 Background During the 2013 legislative session, the Minnesota Legislature established the Human Services Performance Management (Performance Management) system to measure and improve outcomes for Minnesotans who participate in government-sponsored human services programs. The Performance Management system reviews county/service delivery authority (SDA) performance in delivering human services programs, sets minimum thresholds for those measures, and provides for a remedies process when counties/sdas are not meeting those thresholds. Please see DHS bulletin # for more detailed information about the system, and DHS bulletin # for more information about the system s performance thresholds. What is the Remedies Process? The remedies process is the method for holding counties/sdas accountable for their performance while also providing them support for improvement. It includes: Performance Improvement Plans (PIPs) Technical Assistance Possible Fiscal Penalties Possible Transfer of responsibility to another county/sda or to DHS The remedies process begins when a county/sda is notified by DHS that it has not met a threshold for a particular measure. Counties/SDAs who do not meet a threshold are then required to develop and submit a PIP. The Performance Management team is available to help counties/sdas develop their PIPs. Technical assistance is also available to support county/sda continuous improvement efforts. Counties/SDAs experiencing an extraordinary, unforeseen event which they believe prevented them from meeting a threshold may file a claim for extenuating circumstances. If the claim is granted, the county/sda will not have to develop a PIP. Once approved, PIPs will stay in place for a minimum of two years, unless the threshold is met. They may be continued beyond that time if counties/sdas have not met the threshold, but have met the performance targets outlined in the PIP. If counties/sdas consistently fail to meet both the threshold and the PIP performance targets, the commissioner of DHS will evaluate the county/sda to determine if fiscal penalties should be applied. If after fiscal penalties there is still no improvement in county/sda performance, responsibility for the services to which the PIP applies may be given to another county or to DHS. See figure one for a remedies process overview. The remainder of the bulletin will describe the remedies process in more detail.

3 Page 3 Figure 1: Remedies Process Overview 1 DHS determines a county/sda does not meet minimum threshold for a measure or measures DHS notifies county/sda that threshold was not met Performance management team contacts county/sda to provide an overview of the process and offers assistance with developing PIP 2 If a threshold was not met, the county/sda prepares a Performance Improvement Plan (PIP) or files a claim for an extentuating circumstance Claims for extenuating circumstance must be filed within 15 calendar days Requests for PIP development assistance must be submitted within 30 calendar days PIPs must be submitted within 60 calendar days of initial notification After being submitted DHS has 60 calendar days to review and approve the PIP The county/sda implements the PIP and is given up to two years to improve Peformance management team contacts county/sda periodically to monitor progress and offer technical assistance If the threshold is met during two year period, the remedies process ends 3 At end of the two year PIP, DHS reviews progress If sufficient progress is made but the minimum threshold has still not been met, the county/sda continues with the PIP without fiscal penalties If the county/sda has neither met the threshold nor made sufficient progress, it must modify the PIP The county/sda is given an additional year to show improvement The county/sda collaborates with DHS to monitor improvements 4 At the end of additional year, DHS determines if sufficient progress was made to avoid fiscal penalties If there is insufficient progress, fiscal penalties may be applied (and must be reinvested in the struggling program) 5 If there is ongoing lack of improvment DHS may apply more stringent remedies DHS determines whether to reassign services to another county, SDA, tribe, or DHS

4 Page 4 Phase One: Performance Improvement Plans (PIPs) What is a PIP and what must it include? A PIP is a plan developed by a county/sda that outlines the specific steps it will take to improve performance for a specific human services program measure or set of measures. An initial PIP lasts for two years and must include: Numerical improvement target the county/sda hopes to achieve for each year Current barriers to meeting performance thresholds Improvement strategies and actions, including those responsible Counties/SDAs should identify target improvement levels that can reasonably be achieved. These target levels may be negotiated between the county/sda and DHS prior to approval. A separate PIP is required for each notification where performance has not met the established threshold(s). The Performance Management team will provide assistance in the development of PIPs upon request. They will also provide technical assistance in order to support counties/sdas in their continuous improvement efforts. What is Performance Management technical assistance? Technical assistance is the performance management support offered to counties/sdas as part of the Human Services Performance Management system. A county/sda can request technical assistance to help with development of a PIP, for development or implementation of a performance improvement strategy, for a specific issue, or on an as needed basis. The technical assistance offered through the Performance Management system will not replace the program specific training currently offered through DHS program areas. Instead, the Performance Management team will work with counties/sdas by utilizing continuous improvement and data-driven decision-making strategies to assist in improving outcomes. The team will coordinate with other areas of DHS to provide the most effective and beneficial support as possible. A future bulletin will be issued with more information on Performance Management technical assistance. When is a PIP required? A PIP will be required when a county/sda does not meet the minimum performance threshold for a measure; or if the county/sda does not meet the minimum performance threshold for one or more racial or ethnic subgroups (for which there is a statistically valid population size) for three or more measures, even if they are meeting the threshold for the overall population.

5 Page 5 Counties/SDAs will receive an official notification letter that includes the PIP due date; counties will have 60 calendar days from notification to submit a PIP. Development and submission of PIPs are the responsibility of the county/sda; however, Performance Management staff will provide assistance in developing PIPs as needed. If assistance is needed, it should be requested within 30 days to allow sufficient time before the PIP is due. Counties have the right to claim extenuating circumstances. After PIPs are submitted, DHS has 60 calendar days to review and approve the PIP. Extenuating Circumstance Claims Counties/SDAs that experience an extraordinary unforeseen event which they believe prevented them from meeting a threshold may file a claim for extenuating circumstances. The essential nature of an extenuating circumstance is that it is sudden, unforeseeable, and beyond the county/sda s control. If a claim is approved, the county/sda will no longer be required to submit a PIP for that measure. If a claim is denied, the county/sda will be required to complete the PIP, and will have 30 days to do so. The Extenuating Circumstance claim is submitted using an online tool. Instructions and more information, including deadlines and examples, can be found on the system s CountyLink site. How are PIPs submitted? PIPs will be submitted using an online tool. Instructions and more information, including examples and approval criteria, can be found on CountyLink. If a county/sda has an existing, active improvement plan for a measure, that plan can be uploaded as part of the PIP. It must be active to be included. PIPs must be submitted within 60 calendar days of notification. Once counties/sdas submit PIPs, they will be reviewed by Performance Management staff and approved by the DHS commissioner/designee within 60 calendar days. The PIP begins on the date counties/sdas are notified following DHS approval. How long do PIPs last? A PIP begins once it is approved by the commissioner and generally lasts for two years, or until the threshold is met. If the performance threshold is reached at any time during the two-year period, the PIP ends and the county/sda is no longer in the remedies process. If, at the end of two years, the county/sda still has not met the threshold but has met its improvement targets, the plan will be modified and monitored for another year. Performance Management staff will work with the county/sda to monitor progress and provide support throughout the PIP. If improvements have been made but the improvement does not meet the target outlined in the PIP, the county/sda may be allowed to continue on the PIP as long as performance continues to improve.

6 Page 6 What is the schedule for PIP implementation? Data for measures are available at different times throughout the year depending on the program area. In an effort to provide counties/sdas with ample time to implement improvement strategies, data for each measure will be shared as it becomes available and counties/sdas will be notified immediately if a PIP will be required. Below is a schedule for when counties/sdas will first be held accountable for measures. July 2015 Child welfare and Public Assistance measures Repeat determination of maltreatment Timely establishment of permanency Percent of children placed with relatives Self-Support Index Expedited Supplemental Nutrition Assistance Program (SNAP) application timeliness SNAP and cash assistance application timeliness Additionally, counties/sdas that do not meet the threshold for one or more racial or ethnic subgroups (for which there is a statistically valid population size) for three or more measures will also be required to submit a PIP, even if the threshold is met overall. January 2016 Child support measures Child support paid Child support orders established Paternity established Baseline performance and thresholds for the child support measures were provided in individual reports to counties in February July 2016 Adult protection measure Repeat maltreatment An Adult Protection measure on repeat maltreatment has been added to the system but a threshold for this measure has not yet been finalized. Baseline data will be provided in July 2015 and counties/sdas will be held accountable for this measure in July Phase Two: Additional Remedies If a county/sda is consistently meeting the performance targets outlined in the PIP, but does not meet the threshold, the PIP will be modified and monitoring will continue. However, if after two years of PIP monitoring the county has failed to meet both the threshold and the improvement targets, the next phase of the remedies process begins. The second phase of the remedies process may include modifying the PIP, introducing fiscal penalties, or a transfer of responsibility for program services.

7 Page 7 Counties will have the right to appeal to the Human Services Performance Council (the Council) before either fiscal penalties or transfer of responsibility is imposed. The Council will make recommendations to the commissioner, and s/he will make the final decision as to whether fiscal penalties, transfer of responsibility, or other remedies should be applied. The mission of the Performance Management System is to improve outcomes for people. If a county/sda is demonstrating improvement, the Performance Management team will continue to partner with the counties/sda to support their improvement efforts. Fiscal penalties or transfer of responsibility are within the commissioner s discretion and will be considered only after consistent lack of improvement. Fiscal Penalties If, after an additional year of PIP monitoring, the county/sda has still not met at least the improvement targets outlined in the PIP, fiscal penalties may be applied. Fiscal penalties will not exceed one percent of the county/sda s human services expenditures. The county/sda must reinvest the amount of the fiscal penalty into the essential human services program that was underperforming. A county/sda will not be required to pay more than three fiscal penalties in a year. Transfer of Responsibility If, after modification of the PIP, institution of fiscal penalties, and continued monitoring for a year, the county/sda has still not met at least the improvement targets outlined in the PIP, the commissioner may transfer responsibility for the human services program to which the PIP applies or apply another remedy. Options for transfer of responsibility include: Voluntary incorporation of the specific human services program with an existing county/sda. Mandatory incorporation of the specific human services program with an existing county/sda. Transfer of authority for the specific human services program to the state (DHS). Where can I find more information? For more background and information on the Performance Management system, please refer to DHS bulletin # or visit the system s CountyLink website. For more detailed information on system s performance thresholds, please see DHS bulletin #

8 Page 8 Americans with Disabilities Act (ADA) Advisory This information is available in accessible formats for people with disabilities by calling (651) (voice) or by using your preferred relay service. For other information on disability rights and protections, contact the agency s ADA coordinator.