pecific policy issue. The findings do suggest some areas where
F5LA could explore some improvements or clarity in Welcome Baby policies and procedures as
described in more detail in next section.
Ongoing Monitoring for Quality Improvement
As des


uation was designed to gather information on the 14 elements or domains of program fidelity within the
Welcome Baby Fidelity Framework. However, we lacked available data to assess site fidelity in
three domains: prenatal recruitment and enrollment


o be a self-administered instrument and
validated for pen-and-paper as well as electronic administration (Erbe et al., 2016). The
reliability of the PHQ when administered verbally has not been well-established (Mission
Health, 2018). In the Welcom


amount of variability in the degree to which individual
sites achieved fidelity to the Welcome Baby model and the rate at which thresholds were met across the different fidelity domains. Similarly, sites varied widely in the completeness of their
r


stitute, 2013.
Benatar, Sarah, Heather Sandstrom, Embry Howell, Timothy Triplett, Ian Hill, Margaret
Wilkinson, and Todd Franke, Best Start in LA Pilot Community Evaluation: Effects of
Welcome Baby Home Visiting: Findings from the 24-Month Child


 Replicating Home Visiting
Programs with Fidelity: Baseline Data and Preliminary Findings , Washington, D.C.:
Children’s Bureau, Administration for Children and Families, U.S. Department of Health and Human Services, 2012.
 87 Daro, Deborah, Kar


 Jennifer Ho, Effects of Welcome Baby Home Visiting on Maternal
and Child Medi-Cal Enrollment and Utilization: Findings from a Merger of Welcome Baby
and Medi-Cal Data, Washington, D.C.: The Urban Institute, 2017.
Ingoldsby, Erin M., Pilar Baca,


de for Communities, Santa Monica, Calif.: RAND
Corporation, RB-9741-SNM, 2013. As of August 8, 2018:
https://www.rand.org/pubs/research_briefs/RB9741.html
McCroskey, Jacquelyn, and William Meezan, “Family-Centered Services: Approaches and
Effecti


ased Examination of Risk Factors for Involvement with Child Protective Services,” Child Abuse and Neglect, Vol. 37, No. 1, January 2013, pp. 33–46.
O’Connor, Elizabeth, Rebecca C. Rossom, Michelle Henninger, Holly C. Groom, and Brittany
U. Burda, “


l. 52, No. 2, 2015, p. 30.
White, Kari, Stephanie B. Teal, and Joseph E. Potter, “Contraception After Delivery and Short
Interpregnancy Intervals Among Women in the United States,” Obstetrics and Gynecology,
Vol. 125, No. 6, 2015, p. 7.
Whiteman,


CORPORATION
Physician Reporting
Requirements for Injured Workers in California
A Review of Reporting Processes and Payment
Policies
Denise D. Quigley, Madeline B. Doyle, Barbara O. WynnLimited Print and Electronic Distribution Rights
This document


nt of Industrial Relations under contract
41336064. It was conducted under the umbrella of RAND’s Justice Policy Program.
RAND Justice Policy
The research reported here was conducted in the RAND Justice Policy Program, which spans
both criminal


...90
   ix Summary
California’s workers’ compensation (WC) program provides medical care and wage-
replacement benefits to workers who suffer on-the-job injuries and illnesses. Injured workers are
entitled to receive all medical care reasonably r


t. Third, we compared the  x allowances for the WC-required reports under the Official Medical Fee Schedule (OMFS) with
the allowances for other services that require comparable physician activities and estimated the impact of any changes in the fee


patient’s
progression toward maximal medical improvement and return to work. Within this overall framework, the reporting requirements should be designed to provide information needed for claims management and care coordination while imposing minima


smissions, it does not include transmission of a paper form via
facsimile (U .S. Department of Health and Human Services, 2013).   xii • To facilitate care coordination:
- Clarify that secondary treating physicians should submit RFAs for proposed


n to similar services paid under the
RBRVS and substantially lower than the allowances under the medical-legal fee schedule.
! Give the primary treating physician the option of not evaluating the impairment level and completing the P&S report. Inco


HCPCS Healthcare Common Procedure Coding System
ICD-9 International Classification of Diseases, Ninth Revision
ML Medical-Legal
MMI maximal medical improvement
OMFS Official Medical Fee Schedule
P&S Permanent and Stationary
PE practice expens


1 SB 863, which was enacted on September 18, 2012, contained a number of provisions that touch on different aspects of the
medical care system. The intent is to constrain the rate of increase in medical expens


the report is not separately payable but rather is included within the allowance for the underlying evaluation and management (E&M) visit.
Primary Treating Physician’s Progress Report
Over the course of treatment for a WC claimant, primary treating


2 All issues related to utilization review will be  addressed in a separate RAND study examining the impact of the SB 863
provisions. The report is currently being reviewed and canno


ng as his  or her report contains all the information required by 8CCR §10606.
4 In contrast, DWC maintains two elect ronic record systems for other claims transactions. The Workers ’ Compensation
Information System  (WCIS)  uses the standards ado


nsition period beginning January 1, 2014. Relative to the pre-RBRVS fee schedule, the RBRVS fee schedule increased the overall allowances for E&M visits and for medicine and decreased the allowances for surgery, radiology, pathology, and anesthesia.


or the typical non-WC patient. The PR-2 and P&S report were viewed as atypical, WC-specific reporting requirements, and separate allowances were continued at pre-RBRVS levels but with regular updates. The separate allowances are not included in the 1


d the
20 States in Environmental Scan
 DFR PR-2 P&S Report
Arizona  Required  Required  Required
California  Required  Required  Required
Florida  Required  Required  Required
Georgia Not required (optional)  Not required  Required
Illin


C-required reports and compares them to the OMFS allowances for comparable services.
• Chapter Six summarizes our findings and potential refinements that might be made in the reporting requirements and reporting policies to improve the quality of re


ally agree to submitting comparable information in another format and reporting mode.  SB 1160 (Mendoza) amended the Labor Code in September 2016 to require that the DFR be filed electronically with DWC and the employer.
2
Because separate bills are


the selected states. Nearly all states requiring a DFR permit the form to be submitted electronically
5 and also have a print-
format version of the form to be completed manually and submitted as a hard copy via mail, fax, or hand delivery.
Among th


at  Fillable PDF,
read-only PDF Fillable PDF,
read-only PDF Read -only PDF Fillable PDF, read-only
PDF, Word  file
Reporting mode  Mail, fax, email, or
electronic (if payer
and provider agree)
 Electronic
submission (online portal) , mail


e case in
California) believe that the allowance for the E&M visit does not appropriately compensate the provider for filing a DFR. In Texas, where the DFR is paid at a flat rate, physician compliance with submitting the report is not an issue. In W


parison to the
California DFR ).  13 When the physician sees and examines the patient, he or she performs the following steps,
which are considered part of the E&M visit:
• Review the patient’s history and the patient’s account of the injury and h


he life of the claim.
Reporting Issues and Potential Improvement s
During the interviews with California physicians and users, several issues were raised
concerning the DFR. Physicians and users alike indicated that there is a lack of clarity on w


d, information on a DFR
completed by an emergency physician is often not consistent with or as comprehensive as the information on subsequent DFRs. Some payer interviewees indicated that the DFR serves to alert the payer that there has been a change


d to manage the claim, other
than as a potential mechanism to alert the claims administrator that a change of primary treating physician has occurred.
Physicians believe that bundling the report into the allowance for the examination does not
appr


In total, an estimated 1.4 million reports were filed that resulted in more than $15 million in medical expenditures in 2014. Because of WCIS underreporting, these estimates understate total volume  18 and spending. Payments for PR-2s were nearly 1


ss Reports
Of the 20 most populated states, 6 states require the primary treating physician and, in some
instances, any ancillary physician to complete and file progress reports throughout the life of a
WC claim. These states are Arizona, Florida,


there is a change in the injured worker’s work status or work restrictions or the carrier has established a reporting schedule based on the worker’s scheduled appointments with the primary treating physician.   20 Table 3. 2. Features of PR -2 for C


 the most populated states require prospective authorization for at least some
treatments or services. These states are Florida, Indiana, Minnesota, New York, North Carolina, Ohio, Texas, and Washington. Six of these states have a separate form. Flo


f the primary treating physician.
After a patient visit, the primary treating physician reviews and incorporates his or her
observations and findings from the recent visit and any secondary or specialty treating physician reports. Then, the physici


 on the authorization, it would be appropriate to see the patient more or less frequently than 45 days.  23 Request for Authorization
According to our interviews held with physicians and users, the primary purpose of the RFA
is to request authoriza


medical reasons for specific medication or procedural requests, and that only in instances in which there is a significant delay will the primary treating physician submit the RFA on behalf of the specialist.
The level of effort required to complete


s with the patient’s progress
Users indicated that the progress report should provide a comprehensive and thorough
description of the patient’s progress and response to treatment. It should be focused on the  25 patient’s status and future treatmen


nt requested
• Indicates the page number on which the requested treatment can be found (if a medical report is attached to the form)
• Is consistent with the treatment plan
• Combines all treatments on the same RFA (rather than multiple forms for


4 Assembly Bill 1124 (Perea) requires DWC to implement a drug formulary by July 1, 2017. DWC is proposing to designate a list
of exempt  drugs that will not re


plan, and information on the requested
treatment or service to be located in one place.
• Allow for modified timelines for submission of PR-2s to align with the patient’s
treatment timeline and to correspond with what is medically necessary in the


s, which results in insufficient time to review the records before the patient is seen or delays in submitting the PR-2. Finally, the quality of progress reports needs improvement. The physicians and users noted that the reports often do not reflect


robat PDF form that can be completed and submitted electronically or can be downloaded and submitted in hard copy. The primary treating physician may substitute or append a narrative report to accompany or replace the form to report adequately on the


ery status as P&S and rating the impairment. These are Arizona, Florida, Georgia, Illinois, Minnesota, New York, Tennessee, Texas, and Wisconsin. Washington requires a report from the primary treating physician that the claimant is P&S, but the impai


  evaluation
and report ($90)  No
separate allowance ;
CPT 99455 used for the evaluation and report ($217.22)  No separate
allowance ;
allowance for the evaluation and report set at Level 5 E&M consultation code (CPT 99245)  Yes; allowance
is t


ices), which includes the report. However, the evaluation often includes medical record review, which does not have an established fee schedule amount and is payable “by report” based on the physician’s report describing the services. By default, thi


ess, many reported that completion of the P&S report often takes several hours because the physician is required to account for the research involved, provide a report of the evaluation, and calculate the impairment rating based on the AMA guides. We


shes causation, addresses apportionment, and provides a rationale for why the injured worker has been determined to have P&S status
• Describes in detail how the physician arrived at the rating and provides supporting information
• Indicates the pe


 the initial report is increasing.
We also discussed several opportunities to improve the quality and efficiency of filing final
P&S reports. The following options were suggested:
• Implement graduated allowances to align with timely submission of


the patient is P&S. It is used to inform the employer of the work capacities and
activity restrictions resulting from the injury that are relevant to potential regular work, modified work, or alternative work. The RTW and Voucher report is required


ients, ranging from a Level 1 visit involving a problem-focused history and examination and straightforward medical decisionmaking (typically involving ten minutes of physician face-to-face time) to a Level 5 visit


The longer time estimates for new patient visits translate into higher RVUs for both the physician work and the practice expense component of new patient visits than for established patients.
Assumptions regarding any additional reporting and docume


patient. When the RBRVS was implemented, the underlying pre-RBRVS

2 The DFR also imposes a reporting burden on the office administrative staff in o


ved in preparing the report. To address this challenge, we identified other codes that might be used as indicators for the reasonableness of the allowance for progress reports. Codes that include one or more activities related to coordinating with ot


ervice. For example, CPT 99358 is defined as one hour of prolonged service related to an E&M visit without patient contact. Assuming the allowance was for 60 minutes, we calculated the equivalent RVUs at 25 percent of total RVUs. The last columns of


 physicians. It would account for
not only the effort required to complete the report but also the effort involved in
managing the patient between progress reports.
• G0181 is billable in a given month if the physician spends at least 30 minutes i


mpairment rating, including any medical record review. Both activities are integrally related, and an assessment of the adequacy of the allowance for the report needs to be considered in concert with the allowance for the disability evaluation. In th


the combined allowance for the E&M visit (assuming a CPT 99215–established patient visit is billed) and the final PR-2 is $209.42 (line 1 in the table). If the injured worker is determined to be P&S with permanent impairment, the same E&M allowance a


are bundled, so we did not find codes that describe the actual activities involved in completing the DFR and PR-2; instead, we identified codes that appear to describe comparable activities. For the P&S, we expanded our comparison to include the fee


arch 1, 2017, an additional allowance may be payable for the examination or report when prolonged services are involved.   47 Chapter Six: Summary of Findings, Discussion , and
Recommendations
In this chapter, we first summarize the main findings


s from the Lewin study
imply that the additional reporting burden is not any greater for new WC patients than for other WC patients and that, to the extent that the 20-percent add-on is intended to compensate for the additional resources required to


orts from physicians caring for Medicare patients, and most activities performed for Medicare patients that are similar to those required to complete a progress report are separately payable. When we compared what is payable for the average PR-2 with


rment and apportionment issues should be eliminated from the P&S report and addressed only in medical-legal examinations.
The states with similar data elements to California’s include the allowance for the report in
the allowance for the examinatio


ount for reporting burden that is not otherwise incorporated into the allowance for the related medical care, and any separate allowances should be designed to encourage high-quality reporting in a timely manner. The remainder of this section discuss


e were requested in RFAs that underwent utilization review.
1 Because DWC rules anticipate physicians will submit RFAs and our review
of utilization review plans indicates that the use of prior authorization (which waives the RFA) is not widespread,


process RFAs could be reduced. Depending on how it is implemented, electronic reporting could provide a platform for communications between the primary treating physician, secondary treating physicians, and the claims administrator. If properly desig


to respond to questions that may arise during the medical necessity review process, yet the communication is between the reviewer and the primary treating physician. Second, utilization review decisions, appeal requests for independent medical revie


hysician. This way, the primary treating physician would be apprised of the secondary physician’s proposed treatment and could intervene if appropriate. There would be no delays in treatment. Both the primary and secondary physicians should be advise


rements could affect a physician’s administrative
burden in filing the  DFR. Completing and filing the report through a website portal is likely to be
more burdensome tha n scanning an d uploading a completed document. Either method involves
addi


tre atment
for pesticide poisoning .
4 In the past, first- aid-only claims have been underreported to the Workers ’ Compensation Insurance Rating Bureau , but the
extent of the underreporting has not been determined. The bureau’ s rules effective


t the 1.2 multiplier. Because the benchmark is based on an estimate of the physician’s time spent completing the PR-2, we do not believe the multiplier is appropriate. A $30 allowance would be a substantial increase (144 percent) over the current all


owance to the primary
treating physician for the PR-2 only if the PR-2 is complete and addresses all components of the report. In our interviews, we heard concerns from claims administrators regarding the quality of the PR-2s. The rationale for this


S report. Without further clarification, the prolonged service codes could lead to duplicate payments. Close monitoring of the use of the codes will be required to identify any abusive billing practices.
A related issue is whether the current struct


 as is done in Washington, or whether the primary treating physician can independently choose to perform the rating.
Potential Improvements in Physician R eporting Requirements
As discussed previously, we identified three overarching refinement obj


ned using the medical-legal evaluation process.
- Use the allowance for the DFR and any increases in the allowances for other
reports to incentivize timely electronic submissions of high-quality WC-required
reports.
Our research was completed pri


setts, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin. Refer to Table A.1 for the population numbers and Figure A.1 as a visual representation of the stat


ding each form’s data elements. The web search also included systematically searching state statutes and regulations to better understand rules concerning physician reporting, and reviewing each state’s physician fee schedule to determine whether the


er states in order to identify valuable
aspects of the reporting required of physicians in documenting treatment of injured workers in California. The environmental scan consisted of conducting exploratory, informal interviews with state WC staff, a


eived purpose of the reports, the attributes of a good report, what is involved in the filing process, the level of effort required to  65 complete a report, the reasonableness of the deadlines, and any improvements that could be
made.
Each member


group of physicians and users. We developed a set of slides to guide the discussions and sent ahead of the webinar a set of background slides with more detail on the background of the reports and the findings from interviews and the environmental sc


views across the workers’ compensation experts and reporting the
information in aggregate form.
7. Your participation is voluntary, and you can decline to discuss any topic that we raise. We will not be reporting your participation to anyone outsid


 the roles or tasks of each of these people?  69 4. What is your level of personal involvement in the processing or submitting of this
information? Peripheral? Central? Does this vary by type of injury? Other factors?
5. Apart from the time you spe


ason for the PR-2
or if a Request for Authorization is also involved?
13. Next, I would like to talk about the resources and time it takes your practice to fill out and submit these Progress Reports.
Probe: Overall, how much time do you think your


l, how much time do you think your staff spends on helping prepare and
submit the Permanent and Stationary Report? Clinical or administrative staff?
22. Is the deadline of 20 days after last examination for the submission of the Permanent and
Stat


 Would you please tell me the typical process for preparing, processing, and submitting a medical-legal report?
A. Probe: Who is involved?
Yourself as the primary care physician or treating physician? (Yes/No)
Nurse practitioner? (Yes/No)
Medical


Report of Injury or Primary Treating Physician’s Progress Report
8. There seem to be different practices regarding who can submit a progress report and be paid for it. What policy does your organization follow?
Probe: The regulations require that a


 you have told us, are there any areas that we failed to cover or important questions that we should have asked?
5. If you were going to summarize the most important points of our discussion today that relate to the efficiency or utility of reportin


r Illness
The DFR is the initial documentation recorded by a treating physician on the extent of the
injured worker’s illness or injury. The DFR is a one-page form that lists the insurer’s and
employer’s contact information, details the injured wo


opportunity to document the injured worker’s work status, including whether the patient should remain off work, return to modified work, or return to work with no limitations. Last, the treating physician must log his or her credentials—including med


ination s, including any specific  79 measurements  of atrophy, range of motion, and strength and a full report of any diagnostic test
results, all related diagnoses, and their respective ICD-9 codes. The primary treating physician is
expected to r


k with restrictions. If the latter option is selected, the physician is asked to indicate the number of hours the worker is restricted to performing specific functions, motions, positions, or activities. The physician must also specify any lift or ca


y deadline
• Printable PDF
• Mail, fax reporting
modes
• Not separately payable; bundled into
E&M visit • Required
• Progress Report
(Narrative)
• Separate from DFR
• 30-day frequency
• Narrative/chart note format
• Mail, fax reportin


Minnesota • Required
• Health Care Provider Report
• 10-day deadline
• Printable PDF, fillable
PDF
• Electronic Data Interchange (online
portal), mail, fax reporting modes
• Not separately
payable; bundled into
E&M visit • Required
• He


rting modes
• Separately payable (not to exceed $10
for reports 20 pages in length, and 25 cents per page for
any additional page
after 20)  • Not required  • Required
• Final Medical Report
• Separate from DFR
• 21-day deadline
(after MM


 Compensation, September 19, 2012. As of
February 1, 2016: http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201120120SB863
California Senate Bill 1160 (Mendoza), Workers’ Compensation, September 30, 2016. As of
February 1, 2017:


enko, WCRI Medical Price Index for Workers’ Compensation, 8th ed.
(MPI-WC), Cambridge, Mass.: Workers’ Compensation Research Institute, 2016. As of February 1, 2017:  http://www.wcrinet.org/studies/public/books/wcri184.pdf
For reference, Table R.1


rtment of Labor and Industries, Workers ’ Compensation
http://www.lni.wa.gov/claimsins/claims/
Wisconsin  Wisconsin Department of Workforce Development, Workers ’ Compensation
https://dwd.wisconsin.gov/wc/
Table R.2. Links to States’ Doctor’s


//www.dir.ca.gov/dwc/PR -4.pdf
Florida Uniform Medical Treatment/Status Reporting Form (DFS- F5-DWC- 25)
https://www.myfloridacfo.com/division/risk/WorkersCompensation/Documents/06.DW
C-25_Uniform_Treatments.pdf
Georgia  Final Medical Report (WC


An Evaluation of New
Mexico’s Online Intake System for Civil Legal Aid
Shamena Anwar, Mauri Matsuda, Cassia Spohn, Meagan CahillJUSTICE, INFRASTRUCTURE, AND ENVIRONMENTLimited Print and Electronic Distribution Rights
This document and trademark(s) c


ce, infrastructure development and financing, environmental policy, transportation planning and technology, immigration and border protection, public and occupational safety, energy policy, science and innovation policy, space, telecommunications, an


seeking legal assistance who receive help is constrained by the available resources (Sandefur and Smyth, 2011). One way to enable the scarce existing resources to serve more individuals in need is to increase the overall efficiency of the process. In


intake systems seem to have many benefits, it is useful to
understand the experiences of agencies that have implemented these systems to see if these benefits are realized, as well as whether there are unintended consequences that arise after implem


resolved by adjusting the online intake system so that cases could directly feed
into LANM and NMLA’s CMS.  However, this issue was present during the entire time of our eva luation (from
May 2016 through December 2016).     ix many of these applic


this online intake system is not truly online—rather, it is a hybrid system that allows individuals to initiate the intake process when it is convenient for them but requires them to complete it through a phone call during regular business hours. Bec


e of it. Out of the 100 survey respondents who answered all relevant questions, 40 percent said they would have used the online intake option had they known about it, which indicates that wider advertising of the online system should result in increa


ement in efficiency during this period, and they also  did not make any staffing
changes due to perceived efficiency improvements.  It is thus unrealistic to expect to see any real
change in the number of individuals who m these legal aid agencies


 cannot be reached.
The online system should request  that applicants provide
several time windows during which they would be
available to receive a callback.   Improve efficiency of the online intake process by
reducing the number of online app


ges (both potential and already implemented) listed in Table  S.1
might lead to increased efficiency and usage of the online intake system, it is important to note that there is no empirical evidence to support this yet. Due to the recentness of som


legal issues are not entitled to legal assistance, there are a variety of agencies and services that exist to provide civil legal assistance, which is defined as free legal advice and representation to qualifying (low-income) individuals. These servi


online as well as through traditional call-in or walk-in methods. Data were collected from three sources: (1) staff interviews were conducted with agency directors and intake staff at the two legal aid agencies involved five months after the online i


ng their own system. We thus expect these results to be helpful to other legal aid agencies as they identify many potential issues that agencies will need to think about as they develop their online intake system.    3 The remainder of this chapter p


reduce the portion of intake hours that are spent on litigants who are over the income threshold (or who have an issue outside the range the agency handles) and that they therefore cannot help; instead these intake hours can primarily focus on workin


their online intake
process. Note that this agency already had an existing online intake process that accounted for one-third of all intakes. TIG funding was used to overhaul their online intake web interface such that it was more user-friendly and


onducted too soon after implementation and often are not able to go into detail regarding the extent of process inefficiencies, whether these online systems reach new types of applicants, and what the key barriers are for applicants in using the onli


ne intake system was implemented, LANM had approximately 16 staff members, while NMLA had approximately 65 staff members.

1 We conducted our site visit together with John Tull, who authored the eva


ies for services, LANM can refer the case back to NMLA for services, or they can provide services (i.e., legal advice) themselves.
4
Thus, with the exception of domestic violence and emergency cases, LANM is set up to be the centralized point of int


e individuals do not live in New Mexico. This is what we define as a prescreening stage, as applicants who are screened out at this stage do not have their information entered into the agency’s CMS, and there are no records kept regarding them. All a


es for Children, Senior Citizens Law Office, Disability Rights New Mexico, and the Southwest Women’s Law Center. When a case is referred, the agency that completed intake can send this information to the new agency if the applicant consents to having


have diffuse intake systems,
implementing an online intake system will require many agencies to adopt this technology.
Comparison of Law Access New Mexico and New Mexico Legal Aid Clients
Table 2.2 presents summary statistics of the cases LANM


r 3, LANM did not accept family law cases through the online intake
system for most of the period we will be evaluating.  Family law cases fall into the categories Divorce/Sepa ration/
Annulment and Custody/Visitation listed in Table 2.2.   12 Tab


he remaining case types were seen by both agencies, the composition and the nature of the case within a category will differ across the agencies.
The “Location”  panel in Table 2.2 looks at the county groupi ngs where applicants reside.  The
count


esigned to give individuals in need of legal aid assistance another way to be initially triaged to
either LANM or NMLA. Whereas before individuals would initially contact one of the two agencies (usually by phone) and then would be triaged to the ap


ncy of the legal aid providers (Tull, 2016). The project partners developed the online intake system during 2014 and 2015 and began by reviewing the documentation for triage systems in place in Illinois, Massachusetts, Ohio, Iowa, and New York City (


any of the cases that the online system triages to NMLA are later transferred over to LANM. Very rarely is a case transferred from LANM to NMLA.   16 Figure 3.1. Process Map of the Online Intake System

The first screen asks individuals to enter t


income threshold that individuals must meet to qualify for services. Because it is difficult to conduct exact income qualification screens with individuals self-entering information (and likely generating noisy estimates of their actual income), the


e screeners use when applicants either call or walk in (described in Chapter 2). LANM took the remaining cases and automatically entered those into their CMS and had their intake screeners call the applicants back during their normal intake hours to


all of the service providers, as well as providing links to online information that can help individuals who are over the income threshold and will need to represent themselves (pro se litigants). Currently, the system can only refer individuals to


ve civil legal aid. We discuss below how the online intake system can affect each
of these outcomes.
Because the online intake system is available 24 hours a day, there is an expectation that
individuals who are not available during regular busine


trast, when intake screeners spend an hour handling cases that were triaged to LANM through the online system, they will directly call a set of individuals who made it through an initial screening process online and had an issue that


via the phone and internet availability is relatively limited in some of these rural areas. Staff working in the outlying offices noted that there is limited web and cell coverage in the southeast, southwest, and northwest quadrants of the state, as


 these agencies can reach these individuals
by phone during business hours to complete the intake process. Staff noted it was
difficult to reach many of these applicants; in Chapter 5 we show quantitative evidence
that a large percentage of these


 designed to help the agencies conduct a conflict check asked applicants whether there were any adverse parties; staff noted
applicants generally did not understand how to respond to this question.
• When the online intake system sends the applica


ding implementation, LANM had a backlog in family law cases,
and therefore they decided to not use the online intake system for these cases for most of the period that we evaluated the use of the online system (from May 2016 through December 2016).


5 This is shown in Figure 5.5.    26 4. Quantitative Data
In addition to the qualitative data we collected during our site visit, we also collected several
quantitative data sets that form the crux of our analy


 it.     27 The third and fourth data sets provide more detailed information on all cases that went through
intake at NMLA and LANM, including the age, gender, race /ethnicity, disability status and zip
code of the applicant, the case type, the dat


riable, as any case that is identified as coming through the online system in
the CMS data should also be present in the online triage data. Merging these data sets also allowed us to identify
the length of time it takes to open a case in the CMS


. First,  we
intended to administer the survey between September 2016 and June 2017. While the survey was fielded in this way to the individuals using the online system, the survey that was administered to the applicants using the traditional intake


 regarding the representativeness of these survey results. Note that all survey respondents are likely to skew toward being primarily English speakers as we did not develop a Spanish version of the survey.
Table 4.1 presents descriptive statistics


use the period s during which the surveys were administered to online intake users and traditional intake users
were different, the differences between the columns in Table 4.1 may also represent a difference in case mixes due
to seasonal trends.


t of the system.
With these caveats in mind, this chapter presents a variety of analyses that aim to conduct
as much of the ideal evaluation plan that is currently possible.  The chapter is organized into
three parts, which compose the three key


e and intake process, as well as the cases accepted, is different for LANM and NMLA, we conduct these process comparisons separately by agency. At the conclusion of this section, we discuss some of the key takeaways regarding the likely impacts on ef


telephone intake process, they were not allowed to enter through the online intake system. This indicates that if LANM had not chosen to divert these family law cases, the usage of the online intake system would have been measurably higher during thi


w of Table 5.1 lists 772 cases as com ing through the online intake system during this period,
while Figure 5.1 notes that 808 cases were accepted for intake through the online system during this period. While there should be a one- to-one correspon


when median days are being compared .    36 the client withdrawing from the process, 44 percent of the online cases resulted in the client
withdrawing from the process. The next panel in the table (“Results When Withdrawals Dropped”) shows that once


duals had to call in during normal business hours to begin the intake process, one would expect them to continue to be available during this time frame.
9 This issue of the online cases

8 For the phon


g it on Monday through Friday 8:00 a.m.–5:00 p.m.). Each
coefficient presented in Table 5.2 reveals how the proportion of online applicants in that group that were unable to be reached differs from the proportion of applicants that were unable to be


 system sent 179 cases to NMLA. Similar to the process at LANM, NMLA had

10 Note that a priori it was not clear which group would have the higher percentage of rejected cases that are rejected
becaus


tem sends significantly more cases to NMLA than actually belong there. Recall from Chapter 3 that this issue was brought up to us in discussions regarding the issues with the online system—these analyses provide evidence that confirms these perceptio


that have not reached a final outcome by January 26, 2017. A
total of 7 online intake cases and 489 traditional intake cases were dropped due to this sample restri ction. While this
restriction results in disproportionately dropping cases that are


14 There were only eight online intake cases that were rejected.
   42 Our results also highlighted two key inefficiencies with the online system that existed
between May and December 2016. First, 35 percent of th


applicants who  will never complete intake because they cannot be reached.
16

15 Staff intake hours fluctuated quite a bit over the period examined —while the intake hours tended to stay the same,
s


ake system that might reduce the rate at which online applicants drop out include having applicants select a time window when they could most easily receive a callback. The online system should also make it clear to applicants before they even begin


The last row of the table presents the usage level over the entire evaluation period. Monthly trends are important to examine as the average usage level will underestimate the usage level going forward if usage is increasing over time. Using data on


ocess is technically a hybrid system that allows individuals to initiate the intake process online
when it is convenient for them but requires them to complete it by receiving a callback from an intake worker during
regular business hours.

fami


through the
online system and the percentage of total NMLA intakes. The results show that the usage rate of
the online system was consistently low for NMLA during this entire period, and there does not seem to be any evidence of an upward usage tre


 use this method. In our interviews with some of the  outlying NMLA offices, staff suggested that a majority of their intakes came
from the shelters.    47 able to address any of the current barriers, they may be able to increase usage of the online


lected a given reason.
25 The first five reasons listed in the table correspond

23 Three individuals were dropped from the data because they either did not answer whether they knew about the
online i


 the LANM clients who used the online intake system with those who used the traditional intake system using a

26 We coded a respondent as having an issue with internet access if they selected either o


uage version. All minority groups (i.e., blacks, Hispanics, and Native Americans) were less likely to use the online system than whites. Applicants with physical disabilities were also less likely to use the online system, while applicants with consu


hich the issue was either missing or related to family law. The reference group (i.e., left-out group) for the location groupings
in the table is living in the Albuquerque/Santa Ana and Santa Fe county groupings.  The reference group for the case ty


ects
Access to Justice?
As discussed earlier in Chapter 3 (and shown in the logic model presented in Figure 3.2),
there are two ways in which the online intake system might be expected to affect access to
justice: (1) It can allow individuals t


duals who used the online system while they were at work during regular business hours may have found it difficult to use the traditional call-in service during that same time—calling in generally takes longer (as it includes waiting on the line for


d with their case.  0.63

0.24

0.13

0%
  10%
  20%
  30%
  40%
  50%
  60%
  70%

business
  hours
   weekday
  off
  hours
   weekend
    54 Figure 5.4. Did the Online Intake System Allow New Clients Access to Legal Aid?


ividuals would have been able to complete the intake process —
these would then be the sole individuals who  submitted an online application who would be able
to complete the intake process and who would not have if only traditional intake methods w


io because there was no realized efficiency gain. Thus, one would not expect the online intake system to have any real impact on the overall level of individuals who received legal aid services from NMLA and LANM during this period.


number of hours they work will automatically reduce the number of individuals that can receive services. LANM was also consistently understaffed in attorneys across this period. Thus, because there was a general decline in the number of intakes and i


websites used to assist individuals in filling out legal forms is Law Help Interactive, which was launched by Pro Bono Net in 2005.
  58 Because our evaluation examines a relatively short period after implementation, it is not
surprising that man


period. First, New Mexico intentionally did not widely advertise the online system during this period as they wanted to ensure the system was working smoothly before encouraging widespread use. As evidence of this, our survey of individuals that used


he legal aid agencies likely did not see real
improvement in efficiency of the intake process, and they also did not make any staffing changes due to perceived efficiency improvements. Thus, while we do not expect to find that the online intake sys


process by
reducing the number of online applicants that drop out of
the process because they cannot be reached.
The online system should request that applicants provide
several  time windows during which they would be
available to receive a ca


out this report, this online intake system is really a hybrid
of an online and traditional call-in or walk-in system. The fact that so many individuals that accessed the online intake system subsequently dropped out indicates there is likely a reaso


line Triage Data
 The original data file included all cases for which the online triage tool referred the case to
NMLA between April 25, 2016, and December 31, 2016. We deleted 3 observations that were
duplicates (based on name, date of birth, an


8. How many hours do you use the internet in a typical week?
o 0 hours
o 1–3 hours
o 4–7 hours
o 8–14 hours
o 15 or more hours
9. If you wanted to use the internet, how easy would it be for you to get access (either at home or
through work, a


 read in English?
o Very well
o Well
o Not well
o Not at all
7. How often do you read in English? (this includes reading anything such as instructions, forms,
news, recipes, etc.)
o Every day
o A few times a week
o Once a week
o Less than


and Aaron Smyth, “Access Across America: First Report of the Civil Justice
Infrastructure Mapping Project,” SSRN, October 11, 2011. As of September 6, 2018: http://dx.doi.org/10.2139/ssrn.1962790
Sandefur, Rebecca L., “What We Know and Need to Know


SOCIAL AND ECONOMIC WELL-BEING
The Potential Economic
Value of Unlicensed Spectrum in the 5.9 GHz Frequency Band
Insights for Future Spectrum Allocation Policy
Diana Gehlhaus Carew, Nicholas Martin, Marjory S. Blumenthal, Philip Armour,
Jesse Last


ctrum that is the current subject of debate—the 75 MHz that comprises the 5.9 GHz frequency band.
This study had several core objectives:
•Estimate the potential economic value of an unlicensed frequency band that is currently
under discussion for


 and businesses. It also enables the proliferation of technologies such
as smart homes, sensor-based transportation networks, smart electric grids, and sustainable smart cities. Yet this emergence also creates new challenges for policymakers and rai


e.   x For Approach 1, we estimate that the annual potential contribution to GDP ranges from $59.8
billion to $96.8 billion. For Approach 2, we estimate that the potential annual contribution to
GDP ranges from $71.0 billion to $105.8 billion. Acro


formation criterion
BIC Bayesian information criterion
DFS dynamic frequency sharing
DSRC dedicated short-range communications
FCC Federal Communications Commission
GB gigabyte
GDP gross domestic product
GHz gigahertz
Gbps gigabit(s) per seco


ave been raised, for example, about sufficient spectrum throughput to access the millions of apps that do everything from online banking to health monitoring, and the resulting effect on consumers if
1 For example, see Zaber, Bohlin, and Lindmark (2


asuring economic value, along with
the challenges inherent in estimating the potential economic value of spectrum, and explains our methodological approach to valuation. Chapter 4 explores the potential net effect on our estimates of the inherent tr


2 (Ericsson, undated). Cisco’s Visual Networking Index predicts that global mobile traffic will increase at a compound annual growth rate of 47 percent though 2021, at which time three-quarters of all mobile data traffic will be high-bandwidth video


r WiFi-enabled communications.7 We hope
that this study helps advance the question of how to allocate spectrum going forward, given the pace of wireless communications innovation and the projected proliferation in wireless data demand.


e marginal value is constant), which adds to measurement challenges. The actual value of a given MHz of frequency will depend on the modulation scheme that runs on it and the type of device or application that is sending or receiving data. Marginal v


roadband engage in a measurement approach that uses proxies and rough approximation for demand, such as through number of internet-enabled devices and wireless data consumption. This includes studies by Katz (2018), GSMA Intelligence (Lewin, Phillipa


at makes this 75 MHz valuable. We see two ways in which this frequency could generate potential economic gains: (1) It supplies an additional 75 MHz of spectrum for unlicensed use, and (2) it enables the creation of larger-bandwidth channels—80 MHz a


1 for our estimate for contribution to GDP, this time looking at the gains to consumers from having faster speeds enabled by higher-bandwidth channels. Implicit in this estimate is an assumption that the price that consumers pay for WiFi is unchanged


fits stemming from residential use of WiFi represent the
largest segment of current value according to Katz: about 50 percent of the total estimated value
in 2017, and forecast to increase to 60 percent of total value by 2020. Moreover, from a prac


tively limited launch of V2V technology using the DSRC band in the United States
means the current economic market value of such technology is likely small.
9 One recent report
found that the U.S. DSRC market was forecast to reach a value of $12.2


value. However, because of the wide range in forecasted value of the V2V and V2I technologies market, over long time horizons, along with uncertainty in the estimates of social value, we do not pursue that calculation here. Given the limited data on


lable observations, which could lead to bias in the estimates. The instrument used for speed is also not valid, as an analysis of U.S. data shows that the residential internet penetration rate is highly correlated with GDP. Moreover, the justificatio


ross All States over Time

Using this graph, we identified four states that could be potential outliers in terms of
variation. Three states—Delaware, Ohio, and Kansas—demonstrate large deviations from the mean relative to other states at variou


eed1) instead of the natural log of average speed.
5. Same specification as Model 1, except variation outlier states (Delaware, Ohio, Kansas)
removed.
6. Same specification as Model 1, except temporal trend outlier state (Washington, D.C.) removed


rimary estimate for the elasticity of speed suggests a 1 percent increase in internet
speed results in a 0.0197 percent increase in real GDP. However, given the log-log functional form, this is not a linear estimate and holds only for small changes


nown as the “exclusion” restriction) means that the lags of broadband speed affect current GDP only through current average internet speed. This isolates the true effect.
17
The second main confounder is reverse causality. It is possible that highe


in
use, using the allocation provided by Katz (2018), which estimates the value of unlicensed spectrum in the United States. However, given the available information on these devices, we assume that each of them has the same product specification in


rage speed, here 80 percent, and multiply that by our measure for returns to speed for a 100 percent increase, 1.37, to get 1.10 percent. We next multiply this by per capita GDP along with our share of WiFi consumption that is on the 2.4 GHz network,


increase the weighted average speed possible in larger-bandwidth channels. Therefore, the contribution to GDP would be potentially larger. Second, as population increases over time, the potential value over time will also increase. This can be demon


 estimates. Similarly, changing from one spatial stream to two spatial streams will not change the estimated contribution to GDP as long as it is consistently applied across scenarios.
The same also holds even if we consider a change in technologic


he potential economic value created from opening an
additional 75 MHz under given assumptions and conditions. This includes technical assumptions
related to device specifications, modulation scheme, bit coding rate, and guard interval, which are de


haracteristics:
• two spatial streams
• 80 MHz channel bandwidth (4 x 20-MHz channels, bonded)
• 256 quadrature amplitude modulation (QAM), 5/6 coding rate, 400 ns guard interval
• 802.11ac compliant.
Per the MCS Index,22 this configuration prov


d for Devices by Load Share and Device Share, 2017
Device  Load Share, 2017 Share of Devices, 2017
4G smartphone  17.8%  41.7%
Tablet  14.0%  20.9%
Smart home devices  0.1%  1.1%
Laptop  66.5%  29.0%
Gaming console 0.3%  4.5%
Virtual re


blished to enable quick and unambiguous reference to a particular hardware configuration. Because the MCS Index table captures diverse configurations with respect to each system characteristic, it is useful for performing technical sensitivity analys


ly more sensitive to the traffic load from laptops than any other category of device, although overall varying traffic load does not sizably impact the baseline estimates. Table 6.7 shows the GDP  32 increase comparison against the baseline derived a


rs, since they pay for WiFi access privileges (it is included as part of the standard internet package).
The approach presented here aligns with the physics identity presented in Chapter 6
(Approach 2) and takes advantage of a measure of willingnes


onal amount consumers are willing to pay for an additional Mbps (Nevo, 2016):
$1.76.
• U.S. households: 125.1 million.
• U.S. residential internet penetration rate: 0.71.
• residential WiFi share of total WiFi consumption (Katz, 2018): 0.43.
We


viders and come from mobile off-loading. Another potential gain to producers, especially from opening the 5.9 GHz band, is from the increased capacity for backhaul—the middle-mile networks between the consumer’s connection point (edge network) and in


ion to GDP.

  37 8. Looking Forward: Implications of Current Trends and Potential
Future Policies
In this chapter, we consider how current trends and potential future policies might affect
consumers’ demand for online data—and therefore unl


ces, people, and content come online. Some privacy and security against online threats is likely to make consumers more comfortable relying on the internet, and therefore increase demand. Alternatively, depending on the severity of restrictions, regu


icensed use, which would not add new WiFi capacity. However, no such discussion for this type of rededication has been noted to date.
Each of these options come with trade-offs that could affect not only the realized economic
value of spectrum in t


Alternatively, another option could be co-channel-sharing without prioritization. One new research study conducted simulations of co-sharing WiFi traffic with DSRC and found little interference when both operated jointly (Pang, Padden, and Alderfer,


(Approach 1) or $71 billion and $106 billion (Approach 2) annually, depending on assumptions. We further find a total potential economic surplus that ranges between $82 billion and $190 billion. A summary of our estimates is provided in Table 10.1.


growing concerns over satellite-based communications creating additional congestion and interference in higher-frequency bands suggests that more research could help policymakers work through these issues (Canis, 2016). This research would also serve


nelization Chart
SOURCE : IEEE, 2015.
When determining the economic value of additional unlicensed bandwidth, it is essential to
consider the physical limitations of current technical capabilities regarding wireless
communications. These attrib


missions. The guard interval is typically a very small unit of time; for example, 400 or 800 ns is the standard described for 802.11ac. As with code rate, guard intervals represent a trade-off between speed and accuracy, as longer guard intervals dec


s  per second kbps
𝐵𝐵!=Bandwidth per channel,in kilohertz  (kHz)
M = Signal levels in use, typically 2n for “n”- bit digital communication systems .

This equation provides the mathematical relationship between bandwidth, data rate, and the
sign


system. However, this phenomenon is highly localized, affected even by building materials and physical layout of an area. As a result, credible analysis using the Shannon-Hartley noise constraint should not be generalized to large areas. So, in situ


This category holds the most uncertainty when trying to predict demand in the next five
years. The promise of a “smart home” has endured for decades, but little technical definition exists. As currently imagined, it typically represents an Interne


he headset uses to provide an immersive experience. While these systems are still evolving, and only a handful of systems are available on the market, our research found that a representative data rate for these systems (based on pixel density and sc


0 7,200
5G smartphone  3 802.11ax  1024- QAM  Unavailable Unavailable 40 1,000
SOURCES AND NOTES: We obtained these specifications from the following websites in mid -2018:
• 4G smartphones: http://www.apple.com/iphone -x/specs
• Tablet: http:/


l three pieces of the change in consumer surplus.
Because of limitations in available data, we solve for r twice using the same formula but
under two sets of assumptions about wireless residential monthly data consumption. We then carry through the


d estimates.
Table C.2 . Change in Consumer Surplus per Household with Isoelastic Demand
		 Moderate  Heavy
R –0.3 –0.155
P(Q)  	𝑒𝑒(!"(!"!.!) – !"(!))/!.!		𝑒𝑒(!"(!!".!) – !"(!))/!.!""
Q1 152 294
Q2 172 314
P1 $52 $52
P2 $41.31  $40.65
ΔC


hmic Transformations,” Methodology
Institute, London School of Economics, March 17, 2011.
Berry, Steven, and Philip Haile, “Identification in Differentiated Product Markets,” Annual
Review of Economics, Vol. 8, No. 1, 2016, pp. 27–52.
Beuse, Nath


, and Qingjiang Tian, A Quantification of 5 GHz
Unlicensed Band Spectrum Needs, San Diego, Calif.: Qualcomm Technologies, 2017. As of November 7, 2018: https://www.qualcomm.com/media/documents/files/a-quantification-of-5-ghz-unlicensed-band-spectrum


omeplug Alliance, HomePlug AV2 Technology: Raising the Bar for Sustained High-
Throughput Performance and Interoperability for Multi-Stream Networking Using Existing Powerline Wiring in the Home, 2015. As of November 6, 2018: http://www.homeplug.org/


vember 6, 2018: https://www.usnews.com/news/business/articles/2017-11-01/ap-newsbreak-govt-wont-pursue-talking-car-mandate
MCS Index, website, undated. As of November 7, 2018:
http://www.mcsindex.com  61 Meltzer, Joshua P., and Peter Lovelock, Regu


o-electronics.com/info/wireless/wi-fi/80211-channels-number-frequencies-bandwidth.php
Reed, William Robert, “On the Practice of Lagging Variables to Avoid Simultaneity,” Oxford
Bulletin of Economics and Statistics , Vol. 77, No. 6, 2015, pp. 897–90


Energy Efficiency as a
Tool for Preservation of Affordable Rental Housing
Evaluation of the Efficiency Emphasis in the
MacArthur Foundation’s Window of Opportunity Initiative
Heather L. Schwartz, Aimee E. Curtright, Cordaye Ogletree,
Elizabeth Tho


ss its potentially disas -
trous consequences for affordable rental housing. We saw that the imperative to raise energy-
ef
ficiency standards could undercut the preservation of affordable rental housing.
Multifamily buildings are generally older a


olicy devel -
opment based on evidence, we  we
re heartened by even the limited impact our grantmaking
had on the data used by building  ow
ners, utilities, policymakers, and financiers when consid -
ering energy-  ef
ficiency improvements, incentiv


l housing.
In the WOO-
 EE i
nitiative and in this evaluation, the term energy efficiency (EE) refers to
technologies and mea  su
res aimed at using less energy (at less cost) to provide the same level of
ser vi
ce, without necessarily modifying th


ther policy concerns that are influenced by the natural and built envi -
ronment, technology, and community organizations and institutions that affect well-being. For more information, email chep@rand.org.vii Table of Contents
Foreword  .............


 Studies of Energy Efficiency in Affordable Housing in Win  dow o f Opportunity  .......... 43
The Rise of a Nonprofit Industry Leader from an Ecosystem of Organ  iz
ations:
Elevate Energy  ..........................................................


d numbers of homes preserved through the philanthropic initiative.
Absent the appropriate research design to quantify the energy-  ef
ficiency innovations and
activities that occurred solely  bec
ause of the MacArthur Foundation’s philanthropic init


al housing sectorYes Somewhat
4.

 I
ncreased cross-  se
ctor (e.g., between affordable
housing and energy-efficiency sectors) awareness and collaborationYes Yes
5.

 I
ncreased share of energy-efficiency incentives/
subsidies/policies/regulatory


d enduring impact. Among other benefits,
the foundation’s considerable investments in the Preservation Compact helped to grow Elevate Energy, which has gone on to be a leading organ
 iz
ation in energy efficiency and
which nearly half of the interv


e include MacArthur Foundation staff members Allison Clark and Mijo Vodopic, who pro -
vided documentation, sat down for interviews, met monthly with RAND staff, and reviewed
and provided feedback on the draft document. Debra Schwartz and Julia Stas


r  vi
ce. Activities  un
der WOO-  EE  we
re intended
to increase the deployment of energy-  ef
ficiency technologies to reduce electricity and heating
demand in affordable multifamily rental housing; WOO-  EE d
id not focus on  wa
ter use or waste


o u
nderstand how the foundation’s focus evolved over the course of the four-  ye
ar
WOO-  EE
initiative
2. to e
xplain what organ  iz
ations and activities  we
re funded in WOO-  EE
3. to i
dentify  whe
ther the WOO-  EE f
unded organ  iz
ations a


(using American Community Survey data from the U.S. Census Bureau). Additionally, we drew on the National Housing Trust’s (NHT’s) Prez-Cat database to cata
 lo
g changes to states’ Qualified Allocation Plans (QAPs) and on the
DSIRE database to tally


-
 EE c
aused the intermediate outcomes to occur. For example, we lack counterfactual
examples of housing markets that are comparable to the ones where WOO-  EE g
rantees pri -
marily worked to compare rates of local cross-  sec
tor collaboration or


s in technology and tech -
nology policy, we refer readers to recent reviews by U.S. Department of Energy (DOE, 2015) and ACEEE (Nadel, Elliott, and Langer, 2015).
For this chapter we draw on published research, information found online about specifi


s due to  ei
ther low rents or limited subsidies—or both. The founda -
tion hypothesized that improved financial viability afforded by mea  su
res like improving the
energy efficiency of a multifamily rental property can help to preserve affordable


ficiency gap” between multifamily rental housing relative to other
housing types, resulting in an estimated $200–  $4
00 per year more being spent by lower-  in
come
renters (Raziei, Hallinan, and Brecha, 2016). U.S. Department of Housing and Urba


e EPA, 2017.
3 This is consistent with observations of one of our study interviewees who operates multifamily buildings primarily in the
Midwest. This interviewee’s rule of thumb was to invest about $3,000 per  ho
use ho
ld in energy upgrades and re


zed rental programs,  ow
ners can take a series of steps to lower the utility allowance due to
energy-  ef
ficiency investments while increasing tenant contribution to the rent by an equivalent
amount as a way to pay for energy-  ef
ficiency upgrad


rowing economy (EIA, 2017b).
Several interviewees for this evaluation mentioned the decline in energy prices as a con -
tributing  fac
tor to the erosion of perceived benefits for EE, and as a reason that focus on EE
was not as pronounced as it migh


 since 2002.
8 The same interviewee, however, also noted that “  pe ople are turning more attention to  wa ter; . . .  th e  wa ter prices are
skyrocketing.”
9 We define a  fa mily as “low-  in come” if they indicate that they participated in the Su


RAND RR2293-2.1Natural gas
ElectricityFigure 2.1
Average U.S. Residential Natu  ra
l Gas and Electricity Prices, 2000–2016Energy Efficiency as a Tool for the Preservation of Affordable Multifamily Rental Housing    11
 were one of a few operating ex


 th
ose goals. EISA superseded EPAct
and included standards for energy conservation; for regionally specific efficiency of heating and
cooling products; and for energy-  ef
ficiency labeling of products such as home appliances and
boilers (White H


ith major federal regulations such as EPAct and EISA. For example, Section 124 of EPAct of 2005 authorized DOE to supplement energy-
 ef
ficiency rebate programs in eligible states (109th Congress, 2005, p. 25),
and many states created their own reb


2 2013 2014 2015 2016Figure 2.3
Number of State, Local, and Utility Residential Energy-  Ef
ficiency Programs,
by Year in Which They  We
re Created, 2000–201614    Energy Efficiency as a Tool for Preservation of Affordable Rental Housing
United Sta


g; they can include new construction, although programs designated for new construction only are excluded.
RAND RR2293-2.4Figure 2.4
Number of State, Local, and Utility Multifamily Residential Energy-  Ef
ficiency Programs,
by Year in Which They  W


ltifamily/green-initiative-financing; Freddie Mac:
https://mf.freddiemac.com/docs/mf_securitization_investor-presentation.pdf; FHA: MIP reductions: https://www
.hud.gov/sites/documents/MFHOUSINGNEWSISSUE7.PDF
NOTES: ASHRAE
 = Am
erican Society of


ut also  bec
ause of
a focus on educating and incentivizing loan originators through reduced fees, marketing, and simplification. As a GSE interviewee told us, “We’ve
 re
ally had to simplify energy
efficiency, simplify the pro  ce
ss, simplify th


k can obtain economies of scale on soft costs like  le
gal and loan-  or
igination fees
as the bank connects the intermediaries’ bundled proj  ec
ts to capital markets.
• Sp
lit incentives continuing to “dog every  body.
”  Be
cause of the split-  i


d pro  ce
ssing of Energy Savings Per  fo
r ma
nce Contract (ESPC) applications. HUD
also offered add-  on
s to HUD-  fu
nded management fees for PHAs for activities like creating a
green operations and maintenance plan, benchmarking, and data coll


 for developers to
obtain  th
ese highly competitive tax credits is one of the most significant ways to increase
the share of resources for energy efficiency within affordable multifamily rentals. Created in 1986, LIHTC has created or preserved app


mic and environmental benefits.”
a26 states had functioning EERSs: AZ, AR, CA, CO, CT, HI, IL, IA, ME, MD, MA, MI, MN, NV, NH, NM, NY, NC, OH, OR, PA, RI, TX, VT, WA, WI
On-
 b
ill financing A loan offered in partnership with or by a utility com  pa


ces in the QAP; for example, a QAP might
set aside some portion of the tax credits for transit-  or
iented development, or for housing to
serve special populations, or for EE-  rel
ated investments. The intense competition for tax cred -
its has ma


eral
states, including Vermont, Mas  sa ch
u set
ts, and Rhode Island,  ad
opted policies in 2017 stipulat -
ing that the state  wi
ll enforce any appliance regulations that the federal government rolls back.
Building Energy Codes
Although most buil


ent
reduction in building energy-  use i
ntensity three years  la
ter and a 14   per
cent reduction four years
 la
ter. Disclosure of Energy Star scores led to a 9   per
cent decline in building energy-  use i
nten-
sity three years  la
ter and 13


sources  to
ward the underperformers.”
But as the limited number of states and localities that mandate benchmarking attests,  th
ere
are numerous barriers to building energy-  da
ta sharing. For example, when the utilities are split
between the pro


lding to repay the up-  fr
ont costs of EE improvements over time
through their existing monthly utility bill. It is one way that utilities can help meet energy-  sa
ving 24    Energy Efficiency as a Tool for Preservation of Affordable Rental Housin


plan. Depending on the program, PACE borrowers typically pay back the loan through a lien on the property.
Although C-
 PA
CE transactions have doubled  ev
ery two years since 2012, with approxi -
mately $450 million in cumulative transactions as o


d increased spending so that utili -
ties can meet the EERS targets.
ACEEE estimated that in 2015 the number of utility-  sec
tor multifamily EE programs
had grown to 38 metropolitan statistical areas (MSAs), as compared to 30 in 2013. (The 2013 fig


th $30 million in funding aimed at building 5,000 more homes over five years. In 2017, a call for proposals by the Home Depot Foundation was focused on supporting veterans and their families with new construction or rehabilitation of permanent suppor


for green affordable housing. It provides a set of criteria for green  pr
oj ec
ts
11 See the Enterprise Green Communities Resource Guide  (undated).Energy Efficiency as a Tool for the Preservation of Affordable Multifamily Rental Housing    27
and


ntial EE proj  ec
ts carry some of
the same fixed costs and time required for a retrofit as does a much larger building or a portfo -
lio of many similar buildings. This reduces the profitability of small-  sc
ale EE retrofits for ser  vi
ce
firms.


guidance and second
opinions on technical quotes are increasing in some places. The combination of a properly
trained contractor, a third-  pa
rty adviser, and a willing financial partner to fund EE
investments can functionally replace an ESCO.
•


alls and owns the EE improvements, and the building owner pays a ser  vi
ce fee
to the third party for ongoing use of  th
ose improvements. The benefit of an ESA is  th
ere is no
additional lien on the property.
An example of an ESA is New York Cit


, arranges for contractors
to install EE upgrades, and assem  bl
es the financing, which requires no loan to or guarantees
from the owner. A third example is the nascent New Energy Model Organ  iz
ation (NEMO),
which intends to serve as a national


and standardize EE upgrades to lower cost and risk, which is a  fu
ture
direction for the field that we discuss in the concluding chapter.
16 Affordable Community Energy Services (ACE), “Our Story,” undated.31CHAPTER THREE
Energy Efficiency in the W


r activities in the scope of this evaluation, as described in the next section of this chapter.32    Energy Efficiency as a Tool for Preservation of Affordable Rental Housing
of directors, foundation staff identified EE as a “central concern” and a p


E for increasing rental affordability for tenants and for broader preservation of multi -
family rental properties.
Foundation staff also noted the risk of the affordable multifamily rental sector not  taking
advantage of the momentum in EE, which c


but inherently risk-
ave
rse.
 Th
ese actors had diverse and often disparate goals and incentives. The foundation’s result -
ing theory of change was to work across  th
ese stakeholders to find common ground and both
deepen and broaden reach and i


e development of social enterprises and for-  pr
ofit
firms to provide energy-  ef
ficiency ser  vi
ces and products to the multifamily  ho
using
market.
7. Ev
aluation and assessment : Provide funding for studies of existing and new energy-
ef
f


s about trends and practices in energy efficiency within commer -
cial real estate and in high-  en
d multifamily residential, where EE investments  we
re expected
to be more common. The idea was to apply lessons from  th
ose asset classes and to po


l sector
7.
 I
ncreased pace and volume  of energy-efficiency improvements in the stock of affordable multifamily
rental housing
SOURCE: Schwartz, Vodopic, and Lamond, 2011.36    Energy Efficiency as a Tool for Preservation of Affordable Rental Hou


 with
other WOO-  EE a
wardees and affiliates.
 Ta
ble 3.3 tallies the number of grants and PRIs the foundation made according to primary
sector and primary activity. Also included is the total dollar amount provided to each of  th
ese
activities,


 of -
sev
en types of activity to which the foundation had originally assigned them. As an example,
ACEEE used a 2014 grant to both conduct research and  host a conference. We classified this
grant as primarily a research activity, although it als


stments in EE for building technologies.
Data and Benchmarking
The foundation made three grants totaling $700,000 for activities related to improved data and benchmarking for energy efficiency, making this the smallest WOO-
 EE ac
tivity area in term


$125,000 to $200,000 and
 we
re primarily for research papers on applied topics such as net
metering, utility EE programs for multifamily rental housing, and financing models for retrofits.
For example, the Energy Foundation created a series of rep


econd Small Lenders’ Energy Efficiency Community
(SLEEC) meeting.  La
ter that year, ACEEE’s Buildings and Finance Teams presented
their upcoming work on  th
ese topics to the Multifamily Utility Working Group. ACEEE
was an “anchor grantee” (accor


gy costs  we re both more variable and more controllable than previously under -
stood. But WOO-  EE a
lso diverged somewhat from WOO by working more explic  it
ly outside
(as well as inside) the affordable rental housing industry. Namely, WOO-  EE


market, among other mission-
 or
iented sectors, which
are typically not served by for-  pr
ofit ESCOs, as described in Chapter Two. The PPESCO has
had some accomplishments, which we note, but is still in the stage of testing the new business model


t in 2007. Elevate Energy is a “full ser
 vi
ce” organ  iz
ation that guides  ow
ners and man  ag er
s
from energy assessment to completed retrofit. The companion Energy Savers Loan program provides low-
 in
terest loans to cover the costs of retrof


 need help with retrofit financing can
obtain resources from CIC through the Energy Savers Loan Fund (Schwartz et al., 2016).
6 Additionally,  un der WOO, CIC received four grants ($1.65 million in total) and a $2 million PRI for activities that sup


tes they have kept more than 35,000 apartment units affordable with efficiency improvements, implemented nearly $58 million in energy saving building improvements, and avoided more than 65,000 metric tons of carbon pollution.
7 They have also had an


o be cost-  ef
fective (Braman, Kolberg, and Perlman, 2014).
Overall, the program has provided EE retrofits to more than 35,000 units in 800 buildings,8
financed with more than $16 million from the Energy Savers Loan administered by CIC.9 Partic -
i


ducated Peer Organ  iza
tions in Other Regions
Elevate Energy has expanded their work from the Cook County area to the  who le state of
Illinois and more broadly in the Midwest. Although still headquartered in Chicago,  tod
ay
Elevate Energy has of


g with the Michigan State Hous-ing Finance Authority and a regional affordable multifamily lender, Cinnaire, to help design a PRI for Cinnaire to finance implementation of energy and
 wa
ter upgrades during the redevel -
opment pro  ce
ss. And with


vate Energy has received sizable investment over approximately
t
en years from the MacArthur Foundation. This has supported Elevate Energy’s direct involve-
ment in the Preservation Compact, which appears to have been a key ingredient for TPC’s
suc


ly hap -
pens if they know and trust you. Once  yo
u’ve worked with a building owner and they see the
 ben
efits . . .  th
ey may come back and work with Elevate Energy.”
13 As noted in the closing section below, this interviewee asserted that the E


energy assistance. And
 th
ere is no built-in source for that. I’ve
seen many finance agencies like ours around the country who  do
n’t have the  . . .
 ex
pertise of an
Elevate Energy  . . .  an
d it’s not easily supportable in a financing progr


solar and to bring job training to a broader, more diverse set of individuals. Both ele
 me
nts directly target the goals of
increased equity and access to the benefits of solar deployment. In addition to executing commu -
nity solar proj  ec
ts, El


st be tailored to the needs
of the specific market, including local and regional regulations, utility markets, and real estate pricing.
An Experiment in Bringing a For-
 Pr
ofit Model to Affordable Multifamily
EE Finance: VEIC, Commons Energy, and


ose energy ser  vi
ces com  pa
ny designed to reduce energy costs for multifamily housing
and other public-  ser
ving buildings” (VEIC, 2014). Commons Energy was created to be “the
nation’s first public-  pu
rpose Energy Ser  vi
ces Com  pa
ny,” wi


ved a $600,000 grant and a $2 million PRI, respec -
tively, to “Accelerate preservation of and reinvestment in affordable rental housing through targeted outreach and technical
assistance for private  ow
ners and nonprofits, energy efficiency, prede


aller than ESCOs typically participate in (see discussion in Chapter Two).
•
 Th
ird, by investing in more EE than its ESCO competitor. For example, not only do they
implement standard technology fixes like lights and fans; they also address insulat


till disproportionately burdensome for low-
 in
come  ho
use ho
lds (Figure 2.2), but lower overall energy costs have hurt the business case
for EE in the short run and have eroded margins for EE upgrades that reduce the use of natu  ra
l
gas (e.g.


sing loans. Similarly, within the organ
 iz
ation, it has been impor  ta
nt to pair individuals with 56    Energy Efficiency as a Tool for Preservation of Affordable Rental Housing
 “complementary  . . .  ex pertise and background and de  ca des of b


using at the level needed to build trust and
educate the consumer. Both have stressed the importance of pairing energy technology and engineering expertise with finance expertise. Both have found that many of their transactions do not involve financ


,
Vodopic, and Lamond, 2011). We used a stoplight chart to indicate the level of success for each:  dark green indicates that the intermediate outcome was achieved, light green indicates that it was somewhat achieved, and red indicates that it was n


WOO-  E E Investments?
1.
 I
ncreased awareness  of energy efficiency as a
tool for preservation Yes Yes
2.
 Ne
w and more energy-efficiency public policies
focused on accommodating the needs of affordable multifamily rental housingYes Somewhat


e found that awareness of energy efficiency as a tool for preservation of
multifamily affordable rental housing has increased among actors working outside and within the traditional affordable housing sector. The combination of WOO-
 EE g
rantee act


, on
topics related to the costs and opportunities of energy efficiency in multifamily housing via workshops, summits, and road shows. As an example of influence, several of
 th
ese grantees
are high-  pr
ofile organ  iz
ations such as ACEEE that


Arthur for putting “energy efficiency in affordable multifamily housing on the Outcomes from WOO-  EE    6 1
map” with investors and nonprofits operating in the housing sector. In short, as one grantee put it,
“Convening power  ma
tters, and MacArth


ans that effecting change across the country is an especially large task.
WOO-  E E Influence
The two most relevant WOO-  EE ac tivity areas (see  Ta ble 3.3) to this outcome are peer exchange
and convenings ($2.5 million of foundation investment),


have been multibillion-  do llar increases in green lending for
energy-  ef
ficient multifamily rental buildings, which includes but is not limited to affordable
rental housing, since 2010. In 2017, Fannie Mae and Freddie Mac alone purchased $45 bi


E Influence
The foundation invested $21.9 million in five grants and six PRIs for the promulgation of new or innovative financing vehicles for energy efficiency.
 Th
ese funds helped to pi  lo
t on- bi
ll financ -
ing, launch a PPESCO, create loan f


hstanding the Freddie Mac example, interviewees gen -
erally felt that the impact of WOO-  EE w
as greater on state and local financing practices—
an
d specifically in the localities in which they focused their resources—  th
an at the national
le


 that grew over time:
One of the challenges of preserving affordability in multifamily housing is that the stake -
holders have siloed perspectives: I’m a  ho
user; I’m an energy-  ef
ficiency person; and I’m a
finance person.  . . .
 Th
ey speak d


ctive impact of the work that was happening rather than just
 th
ese one-  of
f funding opportunities.”
Intermediate Outcome 5: Increased Share of Energy-  Ef
ficiency
Subsidies and Policies for Affordable Rental Housing
We rated this outcome as u


mple of increased share, an interviewee estimated
that $15 million (an increase over the previous level of $500,000) of Illinois’s $250 million in funds spent on energy efficiency now went to affordable multifamily rental housing thanks to changes t


their Multifamily Energy Savings proj  ec
t and not specifically to their scorecards.) A Mac  Ar
thur
staff person indicated that a lesson learned from the scorecards was the importance of “ratch -
eting up the [EE] regulations, [and] more important


using, and LIHTC
allocations for energy-  ef
ficient affordable multifamily rentals. Second-  or
der changes that pro -
mote EE include data-  rel
ated activities like benchmarking and disclosure of building energy
use, as described in Chapter Two.


 hosted in 2013. We also conclude from interviews that WOO-  EE
h
elped effect a change in attitude among siloed actors, enabling them to move beyond simply
articulating barriers to EE investments in multifamily rental (such as split incentives) to


apter, we summarize what worked and what did not work in WOO-  EE , drawing
on the outcomes presented in Chapter Five. We then discuss what barriers remain for EE in
multifamily housing and potential next directions for the field. Fi  na
lly, we co


s for end users (in this case,
 ow
ners of multifamily rental housing) to
invest in EE—  al
ign with the more general strategies recommended in an earlier RAND report
about innovation in housing (Hassell et al., 2003).
MacArthur Effectively Used I


PRIs are early-  st
age
loans to allow businesses to incubate and prove ideas.
And as with the broader WOO initiative, organ  iz
ations we interviewed lamented Mac -
Ar
thur’s departure from multifamily housing energy efficiency. Some expressed conc


 such as solar installations at affordable rental housing and the formation of a PPESCO. And several of the PRIs
 we
re objectively successful, such as the series of loans described in Chapter Four for
the Loan Savers Program, and NYCEEC’s loan fun


ficiency in multifamily rental. Elevate Energy, in partnership with CIC, is considered “a big influence” on energy-
 ef
ficiency work with small and medium-
si
zed  ow
ners of multifamily housing, and its example has generated some of the lessons a


elatively similar markets (e.g., across the Midwest), state and local conditions and idiosyncrasies often require fine-
 tu
ning
before they can be executed. Reflecting on the Preservation Compact in Chicago, a MacAr -
thur program officer noted the


g tenant data to anonymize it and thus allow multifamily  ow
ners to view
whole-  bu
ilding energy-  use d
ata is a related achievement that also holds promise to mitigate the
split- in
centive prob  le
m. All other solutions of which we are aware


of funds. NEMO, described in Chapter Two, is a brand-
 ne
w, as yet untested model
that  wi
ll target LIHTC properties, but aided initially with philanthropic funds. The Commons
Energy PPESCO that is the subject of a case study in Chapter Four is a


e good news is that
we . . .
 ha
ve proven now that this [EE for multifamily rental] is not just a save-  th
e- ea
rth kind
of  th
ing. . . .  Yo
u can approach this from a fiscal responsibility perspective.”
Coming to consensus on the case for EE


lt that local partners  we
re needed to directly interact with  ow
ners in person. “You
need someone who’s with them.  . . .
 Wh
erever you roll out a lending program,  yo
u’re  goi
ng
to need a local presence.” While  th
ere are some such interme


onger terms, and, as an extension
of the larger WOO initiative that launched in 2000, it benefitted from that initiative’s lon -
gevity. WOO-  EE g
rantees noted that the financial support from MacArthur provided their
 org
an iz
ation stability an


erviews  we
re voluntary and confidential. Thus, in the
report, we do not attribute comments and opinions to specific individuals.
Interviews of MacArthur Staff
From April to May 2017, we conducted four structured interviews with current MacArthur


 had received a WOO-  EE g
rant or loan from MacArthur, their geographic
location, and their industry sector (finance, housing, energy) to allow us to compare opinions across each of
 th
ese dimensions. Fi  na
lly, we coded interviewees’ characteri


 Corporation (CIC)Linda Metropulos, Acting Deputy Director for Sustainability and Housing Development,
Sarah Ralich, Energy and Construction Man
 ag er
, and Larry Swanson, Executive Direc -
tor: ACTION Housing
Cliff Majersik: Institute for Market T


er exchange,
communications, convenings
8 Citizen’s Utility Board $200,000 2012 No E Policy analy
 si
s, program
evaluation, and research
9 CNT Energy $75,000 2012 Yes E Financial innovations and
new financial vehicles
10 Energy Foundation $125,0


 2011 Expansion of an on-  bill r
epayment program
to finance energy-  ef
ficiency improvements
to multifamily affordable rental housing in
Oregon
Commons Energy $4,750,000 2014 First PPESCO, subsidiary of VEIC; working capital for Commons Energy’


ne
to answer any question, or stop the interview at any time.
We plan to audio rec  or
d our conversation, solely for our internal note-  ta
king purposes.
The audio recording  wi
ll only be accessible to proj  ec
t staff, and we  wi
ll destroy the


ergy efficient?
 Who  faces  th ese challenges?
 Do challenges differ by type of property, age of property, owner type, region, or income b
racket targeted?
 Are  there regulatory or practical barriers that prevent or hinder subsidy streams from
be


e housing? Of raising the visibility of specific
proj ec
ts, activities, and tactics? Can and should MacArthur do more to raise visibil -
ity?
Lessons Learned and Wrap-  Up
10) [For interviewees familiar with MacArthur’s WOO-  EE initiative] Do you


any of our reports.
Your participation in this interview is voluntary. You may choose not to participate, decline
to answer any question, or stop the interview at any time.
We plan to audio rec  or
d our conversation, solely for our internal note-


tal housing?
16) W
hat pro g
ress, if any, was made in the 2010s in the United States to address the bar -
riers and challenges, and leverage the opportunities, for integrating renewable energy sources into multifamily residential buildings and in ma


r organ -
iz
ations and activities? How  we
re  th
ese other organ  iz
ations influential?
22) Pr
ior to the start of MacArthur’s initiatives in this area (ca. 2005–2010), how well
understood was the potential for renewable energy and energy efficie


ervation of affordable rental housing over time?
Lessons Learned and Wrap-  Up
31) Do you think that your activities, or  th ose of other awardees in the WOO program,
enhanced the preservation of affordable housing, and how?
 What worked, what did n


on Compact
VEIC Vermont Energy Investment Corporation
WOO Win do
w of Opportunity initiative
WOO-  EE W
in do
w of Opportunity: Energy Efficiency (a focus of the WOO initiative
from 2012 to 2015)99References
109th Congress. Energy Policy Act of 2005


ncy Resource Standards (EERS) ,
Washington, D.C.: American Council for an Energy-
 Eff
icient Economy, 2017. As of July 18, 2018:
https://aceee.org/policy-brief/state-energy-efficiency-resource-standard-activity100    Energy Efficiency as a Tool fo


 Pe
rcent-  of
- In
come Standard .
Washington, D.C.: U.S. Department of Housing and Urban Development, Office of Policy Development and
Research, 2008.
EIA—  See U
.S. Energy Information Administration
Eldridge, M., B. Prindle, D. York, and S. Na


commendations , Chicago, Ill.: Energy Foundation, 2013. As of July 28, 2018:
http://www.ef.org/wp-content/uploads/2014/01/BRIM_SingleFamily_20131.pdf
Fannie Mae, Fannie Mae Multifamily Mortgage Business Information , 2018. As of July 28, 2018:
http


, Santa Monica, Calif.: Global Green USA, 2016.
Hassell, S., A. Wong, A. Houser, D. Knopman, and M. A. Bern  st
ein, Building Better Homes: Government
Strategies for Promoting Innovation in Housing , Santa Monica, Calif.: RAND Corporation, MR-1658,


ng/
Krukowski, A., and A. C. Burr, Energy Transparency in the Multifamily Housing Sector: Assessing Energy
Benchmarking and Disclosure Policies . Washington, D.C.: Institute for Market Transformation, 2012. As of
July 28, 2018: http://www.imt.org/u


ly_Buildings.pdf
New York City Energy Efficiency Corporation (NYCEEC), “Marcus Garvey Apartments,” n.d. As of July 28,
2018:
https://www.nyceec.com/work/marcus-garvey-apartments
Pazuniak, R., V. Reina, and M. Willis, Utility Allowances in Federall


tive , Chicago, Ill.: MacArthur Foundation Housing Program, 2011.
Schwartz, H. L., R. W. Bostic, R. K. Green, V. J. Reina, L. M. Davis, and C. H. Augustine, Preservation of Affordable Rental Housing , Santa Monica, Calif.: RAND Corporation, RR-1444,


gy Efficiency in Multifamily Rental Housing,” Evidence Matters , Summer 2011.
As of July 28, 2018:
https://www.huduser.gov/portal/publications/EM_Newsletter_Summer_2011_FNL.pdf
U.S. Energy Information Administration (EIA), Monthly Energy Review ,


ram Design Considerations for Policymakers and Administrators, Lawrence Berkeley National Laboratory and State & Local Energy Efficiency Action Network (SEE Action), 2014. As of July 18, 2018: https://www4.eere.energy.gov/seeaction/publication/financ


CORPORATION
Impact of Proposition 47
on Los Angeles County Operations and Budget
Sarah B. Hunter, Lois M. Davis, Rosanna Smart, Susan TurnerLimited Print and Electronic Distribution Rights
This document and trademark(s) contained herein are protecte


strict Attorney, Public Defender, Alternate Public Defender, Sheriff, Probation, Health, Mental Health, and Public Health. Interested stakeholders also include other offices or groups that provide supporting services to criminal justice populations i


... 47
  3.11. Components of the Integrated Data Systems ....................................................................... 50
  4.1. Estimated Changes Affecting Workload for County Departments Since Proposition 47 ..... 57
  B.1. Workflow an


operational and fiscal impacts of Proposition 47 and other legislative initiatives.
Methods
We used a mixed-methods approach and data from multiple sources to undertake a new
approach of how county departments have been affected by Proposition 47,


eting minutes, websites, and other public information regarding state and other county efforts to enhance our understanding about trends in workload and Proposition 47–relevant activities.
Findings
Summary of the Impact on County Operations and Wor


ct.
3 However, LASD experienced
an increase in arrests for larceny theft offenses following Proposition 47, although the larceny theft arrest rates appear to be at about the same levels as 2010–2011 (the years before and after Public Safety Realignm


 the effect of Proposition 47 on health services utilization suggest that further examination is merited to understand how these individuals are referred to and use services, as well as these individuals’ outcomes.
Issues Associated with Reliably Es


trics: The Board of State and Community Corrections will provide all 58 counties’ information from 2011–2015 on population data, crimes reported, arrests, and jail populations, but it is up to each county to analyze its own data. In our review, possi


ected by Proposition 47.
Measuring Workload
Although several county departments (e.g., the APD) have developed systems to capture data
on the level of effort associated with different types of cases, it likely is impossible to implement
similar


mples of both types of metrics for each goal:
• Goal One: Enhance public order and safety. Output metrics are especially relevant to
law enforcement agencies, such as numbers of arrests by offense type and charge, number of citation and releases “i


justice system of nonserious, nonviolent offenders. A central question the Los Angeles County Auditor-Controller has tried to address is the cost savings to county departments as a result of Proposition 47. However, given current
information systems


riminal justice reforms passed in California over the last five years—e.g., Proposition 36 (2012), Assembly Bill 109 (2011), Assembly Bill 1468 (2014), Proposition 57 (2016)—designed to reduce state prison overcrowding, focus criminal justice expendi


In the remainder of this chapter, we first provide a brief overview of Proposition 47 and
highlight some of the considerations in evaluating how the measure has affected state and county
agencies. Next, as context for this report, we summarize pre


capacity of 10,000 to 30,000 beds, with additional potential savings from a reduction in county
probation caseloads (Males and Buchen, 2014; Taylor and Cohen, 2014). One preliminary estimate suggested annual savings between $100 million and $175 mil


ition 47  also limits when theft of property of $950 or less can be charged as a felony. For shoplifting, under
Proposition 47, shoplifting property worth $950 or less is always a misdemeanor and can no longer be charged as
burglary in the second d


acts.
State Estimates
In January 2016, the California Department of Finance released an estimate for fiscal year
(FY) 2015–2016 state net savings from Proposition 47 of $29.3 million (California Department
of Finance, 2016). This estimate was bas


47’s total fiscal effect.
While the initial Department of Finance estimate was revised upward to $39.4 million and
supplemented by a discretionary one-time investment of $28 million, resulting in a total allocation related to Proposition 47 of $67.


s would opt for drug treatment programs if they were not compelled to with the threat of jail time. In addition, Proposition 47–eligible individuals’ mental health and drug treatments needs are unclear.
Fourth, county-level efforts to quantify the i


velopments in metrics and tracking methods (Naimo, 2016b). The status update noted newly developed methods implemented by several county departments (Probation, PD, APD, and DA) to improve tracking of workload and cost changes resulting from Proposit


osition 47 on county operations and workload, discussion of recommendations for measuring the impact of Proposition 47 and other legislative initiatives moving forward, and recommendations for county metrics.
Appendix A details the statutory changes


nties and research institutions, such as the Public Policy Institute of California [PPIC] report titled “How Has Proposition 47 Affected California’s Jail Population,” Bird et al., 2016) to enhance our understanding of Proposition 47–relevant activit


ow each entity’s operations had changed as a result of Proposition 47 and the entity’s effort to monitor operational and fiscal impact. We explored issues related to the ability of the departments to measure and track workload related to Proposition


mber 15, 2016. We also participated in the Los Angeles County Criminal Justice Reform Metrics meeting held on November 14, 2016.
The meetings that we attended allowed us to learn more about the status of different activities
and initiatives relate


e department’s efforts, as presented in
the following chapter, were circulated to individuals designated as our key points of contact regarding the operations, budget, and information technology (IT) to check for factual accuracy. Revisions to the d


departments, followed by law enforcement, and
finishing with the health service departments. For each department, we provide budget information; we do not analyze budget changes, but focus on workload changes and potential cost implications. We also


ey agency, for misdemeanor consideration; or (3)
decline the case for prosecution pending a request for further investigation from law enforcement.
2 They decide what charge or charges, if any, are appropriate based on the evidence
presented. Prose


950 limit for property offenses is not the only factor

2 If the case is a straight misdemeanor in a city that has its own city attorney or city prosecutor, law enforcement can
present the investigati


ee months after Proposition 47 passed) for both new cases and old cases that require amendment.
These changes are reflected in PIMS. The PIMS database system is 25 years old and was developed to produce case statistics and produce charging documents


ion 47 went into effect. Applications currently represent the majority of the Proposition 47 legacy caseload.
4 Since the
deadline was extended to 2022 for legal relief, workload on applications, as well as petitions and preconviction motions which


he process, and are less likely to go to preliminary hearing or jury
trial.
Figure 3.2. Adult Felony C ases Prosecuted by the DA , by Month

SOURCE : DA, 2016b.
NOTES: Vertical red line marks Proposition 47  implementation. T hese numbers refl


 processes: outreach, case intake, eligibility review, legal proceedings, related legal proceedings, and data compilation (see Table B.1 in Appendix B).
0
  500
  1,000
  1,500
  2,000
  2,500
  Number
  of
  Prosecuted
  Juvenile
  Petit


additional legal action was taken following the court hearing. The PD classifies its Proposition 47 caseload into three effort levels, labeled “Category 1,”  “Category 2,” and “Category 3.” As of October 2016, the PD had handled a total of 58,512 cas


47 legacy cases. Finding more cost-effective or efficient ways to conduct outreach could thus help reduce the workload and fiscal impact of Proposition 47 going forward (see Appendix B).
Limitations
The dashboard only reflects the average weighted


ics (including but not limited to
0
  1000
  2000
  3000
  4000
  5000
  6000
  New
  Case
  Filings

Felony
   Misdemeanor

26 mental health issues, homelessness, substance use status, and jail status); (2) case characteristics,
i


 what kind of work is being generated for each case type.
Legacy Case Petitions and Applications
Based on the eWorkflow management system, APD estimates for FY 2014–2015 that its
direct costs for Proposition 47 requests for service were $451,838.


0
  100
  200
  300
  400
  500
  600
  700
  Number
  of
  APD
  Case
  Filings

Felony
   Misdemeanor

29 Table 3.4. APD’s Estimate of Average Cost per Case, by Case Type and Fiscal Year
 FY 2013– 2014
(Pre–Proposition 47)


ns is further complicated by limitations of the department’s existing data systems.
During our discussions with LASD staff and our review of materials, it was clear that LASD data systems do not allow calculations of changes in the level of staffing


ounty before and after Proposition 47,
but we want to note here that designation of a case as Proposition 47 by LASD is done at a very early stage in the justice process. Designation is not updated based on plea bargaining or


 for Los Angeles County, 2008 –2015
SOURCE : LASD , 2016b .
NOTE: Statistics broken down by Part I offense category are provided in Appendix C.
National crime trends suggest that Los Angeles County experienced an above-average
increase in Part I


sition 47 led to changes in charging behavior; for instance, the decrease in arrests for possession of a controlled substance (HS 11350) may have been displaced by an increase in arrests for possession of a controlled substance with intent to sell (H


cate the average amount of time or staffing resources needed to quantify costs associated with increased calls for service. LASD noted that there is substantial variability in the resource needs for handling a call for service, depending on the speci


fferencing ADIP one year pre- post Proposition 47 that the Auditor -Controller initially calculated hard
cost savings for LASD of $13.7 million in FY 2015 –2016.  37 Figure 3.11. Trends in Custody Population and Functional Beds , Jan uary 2010 –Octo


the second quarter of 2016, with a corresponding increase in the share of inmates requiring medium or high security (levels 5–7 and 8–9, respectively) (LASD, 2015a, 2015b). Again, since statistics prior to Proposition 47 are not available, it is not


d to be pulled from past reports.
39 Proposition 47, these percentages increased to 90 percent in early 2015 but have since dropped
steadily. In July 2016, male and female release criteria were 30 percent. The implementation of mandatory split se


rt dedicated to Proposition 47 cases.
Cost Analysis
As with other departments, based on the data available, we feel it is impossible to calculate
potential savings or cost increases in LASD operations as a result of Proposition 47. The
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population of 5,107 (Table 3.5). Specifically, of the initial probationer population (as of November 4, 2014), 30 percent (or 15,329 individuals) were identified by Probation as potentially being eligible for legal relief under Proposition 47. As of