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FFY2010 EAP Annual Training Section 3.0 Control Activities Includes The Application, Instructions and Rights & Responsibilities,Processing Applications,Service Provider Best Practices, Safe at Home, eHEAT, EAP Eligibility, Weatherization Assistance Program (WAP), EAP Benefits Primary Heat, Crisis Benefits, Assurance16, ERR Benefits, ROFW, Cold Weather Rule August 12 & 13, 2009 St. Cloud Minnesota Holiday Inn
Control Activities 3. Control Activities • Consists of policies and procedures to help ensure management directives are carried out • Control activities occur throughout the organization at all levels in all functions • Focus is on financial Transactions
Control Activities Application Introduction • New mail house this year for the annual mailing • This new mail house actually started in late winter • DHS is doing the mailing
Control Activities Application
Application 2010 Intentions • Assure equitable access to services • Clearly informing applicants on rights & how data will be used by • Gathering information • Only asking necessary questions • Keep existing design, minimizing changes to maintain ease of use and understanding • Avoiding & reducing errors • Enhancing data entry
Program changes Issues identified – usually SP motivated Issues log During monitoring Reasons for changes
Application enhancements Instructions –Entire new look Rights and Responsibilities The Application 2009/2010
Locate Applications in Manual • Chapter 6, Appendix • Pre-Application • Rollover • Instructions • Right and Responsibilities
Recertification - Rollover Application When is a full application required for Rollover Apps? • EAP manual states that households with changes in income or household members must complete a full application. (Chapter 6, p.52) • Have you moved in the last 12 months? If yes, call the number above for a new application (Rollover App.) • If the number of household members changed from what is listed below, please call the phone number on the first page and request a new application (Rollover App.)
EACA Rollover App - Question • Q: On a rollover application with changes: If persons on a fixed income voluntarily inform us of changes on their rollover application, and said changes can be easily verified over the phone, can we process without making them fill out a full application? Some examples would be: 1.) A grandchild moves in, only need to add a name and personal data. 2.) One senior citizen in a household dies, the spouse notifies us and we can confirm the change of Social Security payments by phone. If something changes the actual rollover situation, such as a person with income moves in, we would expect to have them fill out a new full application. In some cases, though, it holds up the process for those most in need for a few simple, verifiable changes.
EACA Rollover App - Answer • A: Having required documentation for determining eligibility and signed statements from HHs is essential to reduce risk from error or fraud. • Rather than having HHs complete a new application, have HHs sign a statement regarding verified changes. The verification must be received prior to determining eligibility.
Promising Practice Enter vendor information when logging new application • This is for new applicants • The application status changes from logged to incomplete • Consumption information available when completing application • Modify this practice to work with your business practices
Birth Dates • When the date of birth is not given, Service Providers should attempt to contact the household or ask for missing birth dates when contacting the household for other information • Do not hold up the application if the application is complete. Get the birth date later, as time permits • DOC is planning to allow SPs to enter a temporary birth date substitution in eHEAT until the actual birth date can be obtained and entered • 01/01/1900 for the time being
Matching Electric Usage on Apps with Consumption Usage • If using actual consumption and Cost-based Matrix, electric usage must match last year’s fuel use • If using the Back-up Matrix, the fuel type usage must match current year’s fuel use • Do not include electric heating costs, if the result is a lower Primary Heat benefit. Ch. 7, p.56 and Ch. 8, p. 62 (matching exception) • What the vendor enters per vendor policy vs. what is actually going on in the home may be different
Web Site - Applications • DOC’s web site will encourage people to call DOC’s 800 number for an EAP application rather than downloading an application • EACA recommended removing EAP application from DOC’s website, which will not be done • Applications must be available for immediate download for social service agencies and other organization and people assisting household apply for EAP
Employee Apps This is an essential control (ICF) • This is a segregation of duties to reduce risk and conflict of interest for the program and employees • Current employees and board member only
Employee Apps • SP processes to determine eligibility & checks Employee App • Don’t check it after payment • DOC reviews income: • Approve or deny (and send denial letters) • Returns application with signed Eligibility Worksheet to the SP • Will approves payment within 14 business days of receipt of all information • SPs should check on eHEAT for application approval • SPs should call Mary LeFebvre with questions on employee apps • Emergencies • Before faxing emergency apps call Mary LeFebvre at 651.205.4444. Don’t fax unless you talk to a person beforehand. Don’t leave a message.
Quality Control and Performance Activities and processes to provide timely service to households • Regular searches for applications over 30 days old • Logged • Incomplete • Complete • Use eHEAT to request information or to record receipt of information • Deny households if requested information is not returned within 30 days
Additional Information Received Manage Application
Quality Control and Performance • Respond to household inquiries regarding applications, letters and policy. Do not refer households to DOC • We are all “The Program” • Do not say, “The State does that” • Train staff to respond locally
Reactivating Applications Denied Due To Insufficient Information - Clarification • If an applicant was previously denied EAP benefits due to an incomplete application, the household may complete the application form at any time during the program year and have eligibility and benefit amounts determined. Ch. 6 - Applications, p.49 • Allow households that have received a denial based on an incomplete application to complete their applications at any time prior to June 30, 2010. Reactivate the application when you receive the information. Ch. 8 - Application Processing and Benefit Determination, p.60
SP Best Practices Fenton Hyacinthe Community Action of Minneapolis
Appointments Second Notice of Incomplete Application Letter
Why we schedule appointments Language barriers Customers with literacy problems Seniors
How do we schedule appointments Appointment Scheduler/Resource Manager in Visions Appointment letters sent One appointment per half hour Open slots for emergencies
Visions Visions captures all walk-ins & appointments Referrals are made to other programs within our agency Reporting
Appointment Numbers 3,728 appointments were made from October thru June of 2009. 2,873 customers kept their appointments.
SP Best Practices Catherine Fair Community Action – Ramsey & Washington Counties
Application Processing Application processing is divided into three different roles • Processors • Customer Resolution Team • Emergency Benefit Team
Logging Application • Logged by Admin. Assistants and Associates • Applications are Logged into eHEAT daily • Reviewed for type of emergency by color flagging each file • Sort out emergency files (not CWR) and give to EB Team • Non-Emergency files are filed in the Logged drawer by date and alphabetical order
Screening Application • Logged files are distributed in the morning to processors • Each file is screened for complete/incomplete and notes are written on the outside of the folder on a checklist • Complete applications entered first, incomplete apps entered, call made, then letter sent from eHeat • Check list helps verify where applications are filed: • Denied Over-Income: Filed in Denied drawer alphabetically • Once Approved: Filed in Approved drawer alphabetically • Incomplete: Filed in the incomplete drawer in date and alphabetical order in Customer Resolution area
Pending Status • At least a week before the denying applications, a list is run (Advanced Search with date range and Incomplete status) • Files are pulled from Incomplete drawer to review; a phone call is made and a pre-denial letter is sent to notify HHD about missing information. • A chance to resubmit income before denying application. • After 30 days application is denied “Deny Only”
Sample of Advance Search 2 1 3
