managing for success management techniques for immigration service programs
TRANSCRIPT
MANAGING FOR SUCCESS
Management Techniques
For
Immigration Service Programs
Immigration Management Project• Improve financial viability and client services
• Ensure high-quality, low cost immigration services
• Establish and maintain industry standards for charitable immigration programs
• Ensure efficiency through greater use of computer technology
• Strengthen advocacy and resource development
Immigration Management Project
• Phase 1: Data• Phase 2: Manual• Phase 3: Training• Phase 4: Enhancements
Course Objectives
• Explain how and why your role as a program manager is evolving
• Identify program management elements that affect your program’s viability and explain their importance
• Identify how the Immigration Management Manual can support you
• Identify and take actions to ensure your program continues to be successful
Course Agenda – Day 1
• Unit 1 – Introduction to the Course• Unit 2 – Focusing on Management:
Changing the Way We Think About Our Business
• Unit 3 – Defining Your Program and Planning for the Future
• Unit 4 – Understanding and Managing Costs
Course Agenda – Day 2
• Unit 4 – Understanding and Managing Costs (Cont’d)
• Unit 5 – Case Management• Unit 6 – Human Resources Management• Unit 7 – Resource Development,
Marketing, and Advocacy• Unit 8 – Wrap-Up and Evaluation
Unit 2
Focusing on Management:Changing the Way We Think
About Our Business
External Factors
• Changing laws• Changing attitudes• Reduced funding• Pressure to become self-sufficient• Greater demand for immigration program
services
Factors that Ensure Viability - 1
• Sense of Direction and mission• Awareness of program delivery costs• Case selection• Case management• Relationship with parent agency• Fees
Factors That Ensure Viability - 2
• Financial controls and procedures• Planning and monitoring expenditures• Efficient use of staff and technology• Outreach and marketing• Resource development• Training• Advocacy
Immigration Management Manual - 1
• Program definition and strategic planning• Case selection and case mix• Client fees• Staff structure• Staff training• Case management
Immigration Management Manual -2
• Technology• Financial controls and procedures• Resource development• Marketing• Advocacy
Unit 3
Defining Your Programand Planning for the Future
Importance of Strategic Planning
Good strategic planning lets you:• Anticipate new client needs and demands• Identify new resources• Convert challenges into opportunities• Plan for the future• Grow and enhance services
Strategic Planning Elements
• Mission statement• Good working relationship with parent
organization• Expert evaluation of program• Regular planning retreats
Uses of Good Mission Statements
A good mission statement helps you:• Specify and limit the services you offer• Make case selection decisions• Set appropriate planning• Do strategic planning• Plan for resource development
Unit 4
Understanding and Managing Costs
Managing Financial Performance
Factors to understand and control• Program costs• Case mix• Fee structure• Overall financial management
Program Manager as Financial Manager
• Monitor your budget• Discuss financial systems, controls, and
needs with parent agency regularly• Develop system to bill and collect fees• Apply internal financial controls
Managing Financial Practices
Establish and maintain these sound financial practices:
• Accounting• Money management• Cash management
Benefits of Financial Controls
Understanding your finances allows you to:• Plan strategically• Market your program
Risks of Not Having Financial Controls
Knowing the Costs of Program Services
To have effective financial planning and oversight, you must first know the costs of delivering each type of program service.
Calculating the Cost of a Service
Total costs per year ÷
X
Total caseworker hours per year =
=
Cost per caseworker hour
Cost per caseworkerhour
Hours to perform the service
Cost of the Service
Cost Calculation Exercise
Ace Immigration and Refugee Service Data• Salary = $30,000• Benefits = $6,925• OH/AC = 30% of Salary and Benefits• 1600 Caseworker Hours per Year
_____________________________
Find the costs for each of the services identified on the Exercise form.
Sample Cost Calculation
Find Cost Calculation for Naturalization Application
Benefit Costs + $5,000
Salary costs = $20,000
OH/AC = 30% of benefits and salary
1,500 caseworker hours per year
Naturalization application requires 2 hours
Sample Cost Calculation
• Total Cost = $5,000 + 20,000 +7,000 = $32,500
• Total cost ÷ CW hours per year = cost per CW hour
• $23,500 ÷ 1,500 = $21.67 per CW hour• Cost per CW hour X hours for service =
cost for service• $21.67 X 2 = $43.34
Factors that Influence Case Mix
• Community needs• Staff availability and expertise• Services offered by other local agencies
Case Screening Criteria
In keeping with your mission statement, consider:• Hardship for the client• Client’s need for representation• Expertise of your staff• Staff time and complexity of the case• Cost to provide the service• Availability of other providers’ services
Tracking Baseline Data
Useful data include:• Average caseworker
hours per function• Revenue collected by
type of service• Total program costs
Factors to Track Monthly
• Number of cases opened by type, nationality, and geographic location
• Revenue generated by staff member and type of case
• Number of cases closed• Number of clients served• Number of telephone inquiries received
Benefits of Providing Ancillary Services
• Convenient for your program and your clients
• An important revenue source
Referral Lists
• Identify social service agencies to help your clients with needs you cannot fulfill
• Include more than one service provider
Importance of Fees
• Contribute to your fiscal viability• Enable your program to control its destiny• Can make the difference between closing
the door versus staying in business• Inspire your clients to take ownership and
responsibility for their cases
Nominal Fees
The BIA allows recognized agencies to charge only “nominal fees.”
• What are nominal fees?• What are the rules for BIA recognition?
Guidelines for Setting Fees - 1
• Set and collect consistent fees, unless they present an undue hardship for a client
• Adopt and use client income guidelines• Use sliding fees• Consider special circumstances• Use protocols to determine if fees should be
reduced or waived
Guidelines for Setting Fees - 2
• Use spread-out payment plans• Consider whether to charge per service or
per case• Consider caps on fees for families• Set fees that reflect your budgetary needs
and that support financial viability, consistent with the BIA’s nominal fee requirements
Guidelines for Setting Fees - 3
• Base fees on the time and skill needed to provide the service
• Set fees by estimating annual revenue from fees or by estimating what percentage of caseworkers’ salaries is to be supported by fee revenue
• Establish fee targets for each staff person• Charge higher fees for more complex or more
costly services
Guidelines for Implementing Fees
• Make sure staff understands fees are important to sustain program viability
• Explain the rationale behind the fee structure
• Separate fee-collection from casework (if possible)
• Differentiate between fees and donations
Guidelines for Collecting Fees
• Be sure fees are clearly explained to clients before they sign a retainer agreement and before any service is provided
• Collect fees up front if possible• Give clients a fee schedule to review during
case intake• Keep a copy of fee receipts for your
records, the client file, and the client
Role of Program Manager in Budgets
• Work with your parent agency to develop a budget
• Review budget monthly• Monitor overhead charges• Look for monthly variances between
“budget” and “actual”
Effective Financial Controls
The key to effective financial control is to segregate financial duties among staff.
Financial Controls and Procedures - 1
• Cash receipts• Cash disbursements• Payroll• Accounts receivable• Accounts payable
Financial Controls and Procedures - 2
• Inventory• Fixed assets• Other steps
Benefits of Financial Controls
• Promote financial accuracy and uniformity• Ensure institutional integrity• Prevent embezzlement
Unit 5
Case Management
Importance of Case Management
Good case management supports high quality service delivery.
Case Management Standards
Systems and standards ensure:• Consistency• Uniformity• High-quality work
Good Case Management
• Part of doing business• Case continuity• Standardized procedures• High quality services• Legal liability
Components of Case Management
• Intake procedures• Retainer agreements• Case monitoring• Quality assurance• Technology
Ensure Quality Representation
• Review case files regularly• Get client feedback• Track program data
Case Management Data
Collect data on:• Case outcomes• How clients learned of program• What happens to clients after services are
completed• Client biographical data• Number of cases opened, pending, and
closed
Aspects of Technology
• Hardware• Software• Online services
Use Technology
Use immigration software to:• Aid legal research• Generate forms• Aid case management paperwork• Perform billing
Unit 6
Human Resources Management
Key Aspects of Service Delivery
• Case Management• Human Resource Management
Human Resource Management
Optimize your staff through:• Training and technical support• Job enrichment and development• Performance evaluation• Alternative service delivery models• Use of technology
Human Resource Management
Your people are the key asset in your program.
Optimize Staff Usage - 1
• Use your staff efficiently• Maximize use of expertise• Avoid hierarchy• Ensure continuity in case management• Evaluate their performance and
development
Optimize Staff Usage - 2
• Schedule and promote training• Use volunteers and interpreters effectively• Utilize alternative service delivery models
Guidelines for Effective Use of Staff
Program managers should focus on management, not cases.
• Delegate casework• Assign cases by expertise and time
management• Use BIA representatives, attorneys, and
paralegals effectively
Using Fully-Accredited BIA Representatives and Attorneys
• Represent cases that involve hearings• Deal with complicated administrative
procedures• Supervise other caseworkers• Provide in-house training
Using Accredited Representatives
• Fully and partially accredited representatives can:
• Represent clients before the INS and, if fully accredited, before the Immigration Courts
• Support attorneys or other representatives• Carry own caseloads for later review
Using Paralegals
Use paralegals for:• Case intake• Citizenship classes• Group processing
Using Support Staff
Assign clerical work to support staff whenever possible.
Staff Structure
To optimize staff morale:• Avoid hierarchical mentality• Focus on staff specialization• Promote teamwork
Volunteers Are A Resource
To develop an effective volunteer program:• Be clear on expectations• Create the right organizational environment• Staff the program• Tap into community resources effectively
Volunteer Guidelines
• Use pro bono attorneys• Use law students and interns• Recognize volunteers’ contributions• Understand value of volunteers in
educating public
Guidelines for Interpreters - 1
• Use trained and objective interpreters• Don’t use interpreters who might inhibit
your client• Use interpreters qualified for legal
proceedings• Check for relevant work experience and
professional association membership
Guidelines for Interpreters - 2
• Require a basic orientation• Recognize that case assessment and
counseling are not appropriate activities for interpreters
Benefits of Mass Processing Model
• Cost savings• Serve more clients• Visible community event• Efficient use of staff
Keys to Successful Mass Processing
• Screening• Quality control• Outreach and advertising• Designated outreach specialist• Problem cases• Applicant preparation• Backup equipment
Clinic Model
Agency staff and/or trained volunteers are available at a regular time each week to prepare applications and take fingerprints and photographs.
Coordination with INS
Examples of collaborative activities:• Naturalization ceremonies• Mass processing on-site at INS offices• Serving on community relation boards• Participating in pilot immigration programs
Evaluation of Staff Performance
Evaluate individual job performance and track professional development by:
• Setting goals• Tracking revenue• Conducting case audits and technical
reviews• Holding staff meetings
Importance of Training and Technical Support
A commitment to continuous learning is critical to keep up with new challenges and a constantly changing information-based society.
Provide Training Opportunities
Training will:• Enhance your program’s efficiency• Build its reputation• Protect it from liability• Help with BIA accreditation• Create networking opportunities• Better serve clients
Training Needs
• Immigration law and policy• Computer training• Financial management• Client management• Fundraising• Legal research and writing
Alternative Training Resources-1
• Video tapes• Telephonic training• Audio tapes• Periodicals• Other organizations
Alternative Training Resources-2
• Help desks• Virtual networks• Coaching / mentoring
Management Support of Training - 1
Managers need to:• Encourage staff to pursue training• Budget for training costs• Set aside training time for each staff
member• Allow staff time to peruse and use
information
Management Support of Training - 2
Managers need to:• Help staff prioritize incoming / new
information• Set up in-house legal library• Provide orientation training• Implement formal coaching / mentoring
programs
Orientation Training
• How cases are handled• Mission and services• Basics of immigration law and procedures• Background reading of basic immigration
resources• Office procedures and schedules• The INS and its structure
Formal Coaching / Mentoring Programs
Guidelines:• Consider for new or struggling staff• Use experienced case workers, attorneys,
and managers within and outside your program
• Use the coaching / mentoring program to foster team-based learning
Ongoing Technical Assistance
• Consult experienced accredited representatives or attorneys
• Use resources of national networks and support centers
• Network with other programs• Use in-house legal library
Aspects of Technology
• Hardware• Software• Online Communications and the Internet
Hardware Issues - 1
• PCs vs. Macs• Processor speed• Amount of RAM• CD-ROM drive
Hardware Issues - 2
• Modem• Printer• Operating system• Upgrade vs. new purchase
Online Communications Technology
• Computer• Modem• Basic e-mail program
World Wide Web
• http://www.ins.doj.gov
Unit 7
Resource Development, Marketing, and Advocacy
Resource Development
To continue to attract clients and resources, focus on:
• Effective marketing• Client outreach• Use of the media• Innovative and diverse funding strategies
Sound Program Management
Before approaching funders, your program must already be successful . . .
• High quality services• Effective marketing• Accurate financial data• Strong financial controls• Good relations with parent agency
Resource Development is Essential
Make resource development a management priority for yourself, or hire a staff person whose main function is to raise funds.
Fundraising Effectiveness - 1
• Well-written grant proposals• Meetings with funders• Agency statistics and case studies• Statistics on newcomers
Fundraising Effectiveness - 2
• Newspaper articles• Funder site visits• Endorsements• Long-range fundraising plans
Possible Funding Sources
• Ancillary services• Civic organizations• National foundations• Community foundations• Corporations• Government grants / contracts
Possible Funding Sources - 2
• IOLTA funds• Individual donors• Publication sales• Workplace giving• Special events
United Way and Workplace Giving
Workplace giving-through local United Way agencies, pledge cards, or federations of agencies-is a potentially valuable source of unrestricted funds.
IOLTA Funding
• Interest earned on short-term (escrow) accounts paid into by attorneys for their clients
• Administered by state bar associations to support agencies that provide legal representation to low-income persons
• Future availability uncertain due to Supreme Court scrutiny
Limitation of Foundation Funding
Private foundations are important sources of funding for immigration programs, but they may:
• Have narrow interests and specific requirements
• May require long lead time• Prefer to support national-level activities
Cultivating Foundation Funds – 1
• Identify local, regional, and national foundations
• Ask if they are funding other programs doing similar work
• Request an annual report and grant guidelines
• Make contact directly or send a query letter
Cultivating Foundation Funds - 2
• Build relationships through correspondence, invitations to community events, etc.
• Consider collaborative proposals with colleague agencies
• If invited, submit complete and effective proposals
Guidelines for Grant Reporting
• Be responsive to donor• Never miss reporting deadlines• Write clear, comprehensive reports• Involve funders in your work
Importance of Marketing
Marketing is a means to expand your program’s capacity to serve clients better.
Levels of Marketing
• Low cost• Medium cost• High cost
Low-Cost Marketing Options
• Word of mouth• Fliers• Media interviews• Letters to editor• Outreach
Medium-Cost Marketing Options
• Advertisements
- Print media
- Yellow Pages
- Ethnic Yellow Pages• Sponsorship of community and
neighborhood events
High-Cost Marketing Options
• Professional brochures and annual reports• Direct mail• Marketing consultant• Broadcast media advertisements• Telemarketing• Web site
Advocacy
Educate your larger community about advocacy issues:
• Laws and their implications• Needs of immigrants
Make Advocacy a Priority
• Attend community events• Distribute information on immigrant rights• Speak to groups• Participate in networks and coalitions• Lobby• Seek ways for immigrants to be heard
501(c)(3) Lobbying Restrictions
• Lobbying activity is legal if:• Lobbying is ≤ 5% of agency budget
OR• If you elect to come under 1976 lobbying
law
Lobbying Activities
Unacceptable: Trying to influence election
outcome
Acceptable: Informing candidates and officials of your position
on immigration issues
Forms of Advocacy
• Legislative• Community outreach• Client spokespersons• Media• Coalition groups
Unit 8
Wrap-Up and Evaluation
Summary of Course – Unit 1
Introduction to the Course• Immigration Management Initiative• Critical program management issues
Summary of Course – Unit 2
Focusing on Management: Changing the Way We think About Our Business
• Your changing role• Eternal and internal factors affecting
programs• Elements that affect viability• Where will your focus need to change?• Immigration Manual as a tool
Summary of Course – Unit 3
Defining Your Program and Planning for the Future
• Importance of strategic planning• Importance of mission statements as tools
Summary of Course – Unit 4
Understanding and Managing Costs• Importance of financial management• Case selection approaches and decisions• Fees• Cash management• Actions to strengthen financial viability
Summary of Course – Unit 5
Case Management• Factors affecting program delivery• Case management systems and standards• Quality representation• Case management technology
Summary of Course – Unit 6
Human Resources Management• Staffing issues and guidelines• Volunteers and interpreters• Alternative service delivery models• Evaluating staff performance• Training and technical assistance• Using computer technology
Summary of Course – Unit 7
Resource Development, Marketing, and Advocacy
• Effective resource development• Marketing options• Advocacy actions
Summary Activity
What actions will you take to ensure the continuing success and viability of your program?
BIA SITE RECOGNITION
• BOARD OF IMMIGRATION APPLEALS RECOGNITION
• ONLY FOR NON-PROFIT AGENCIES• SITE SPECIFIC – MULTIPLE SITES
NEED MULTIPLE RECOGNITIONS
BIA STAFF ACCREDITATION
• FOR STAFF WORKING AT BIA RECOGNIZED AGENCY SITES
• DOES NOT COVER THE STAFFER IF SHE LEAVES THE AGENCY
• DOES NOT COVER THE STAFFER IF SHE WORKS AT A NON-RECOGNIZED AGENCY SITE
HOW TO APPLY FOR BIA RECOGNITION
• EOIR form E-31• Letter from executive director asking for
recognition stating knowledge and experience• Articles of incorp. + bylaws of agency• Library list• Fee schedule (fees must be “nominal”)• Proof of service to INS district director• Letter(s) of support
HOW TO APPLY FOR BIA ACCREDITATION
• PARTIAL OR FULL ACCREDITATION• Letter from the executive director asking
that the staffer receive accreditation, is of good moral character and has sufficient knowledge and experience
• Resume of staffer prepared to show relevant immigration law experience and training
• Proof of service on INS