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