1. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training Part 4: Primary Heat; Payments & Refunds; Documentation; Forms

2. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat 2

3. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Chapter 6 – Primary Heat Training Topics:  Primary Heat benefit amounts  New: Benefit Determination Errors  New: Inactive Energy Vendor and Consumption  Consumption Data Specifications  New: Rooms Ineligible for Secondary Heat  Primary Heating Fuel Cost Unavailable: 3

4. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat  Maximum Primary Heat benefit increased to $1,400 from $1,200 (p. 2)  Minimum Primary Heat benefit remains $100 (p. 2)  Average Primary Heat benefit remains $500 (not stated in EAP Policy Manual ) 4

5. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat New section: Benefit Determination Errors (p. 2) In the event of a benefit determination error, a benefit fix is required if the correct benefit amount changes from the incorrectly determined benefit by $10 or more 5

6. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat New section: Benefit Determination Errors (cont.)  Applies to Primary Heat benefit underpayments or overpayments of $10 or more  Document the correction on the application and recalculate the benefit (benefit fix)  If the household is still overpaid after adjusting payments and/or refunding credit, follow instructions in the Overpayments Resulting from Error section of Chapter 12 - Incidents and AppealsChapter 12 - Incidents and Appeals 6

7. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat New: Inactive Energy Vendor and Consumption (p. 2 & 3) (When to mark actual consumption data ‘Invalid’) clarification There is a common misunderstanding that marking an energy vendor ‘Inactive’ will stop eHEAT from using the consumption data entered for a household There are three ‘Consumption Usage’ statuses for entered energy consumption and the statuses are independent from the status of the energy vendor. The three Consumption Usage statuses are:  Heating  Non Heating  Invalid 7

8. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat Inactive Energy Vendor and Consumption (cont.) There are times when a Service Provider will or will not use the reported consumption for either an inactive or active energy vendor. Regardless of energy vendor status entered consumption data for the energy vendor is still used by eHEAT to determine the household’s Primary Heat benefit if fuel usage is ‘Heating’ or ‘Non Heating’ To exclude reported consumption data from the Primary Heat benefit determination, the fuel usage must be ‘Invalid’ 8

9. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat Inactive Energy Vendor and Consumption (cont.) What if the old vendor has actual heating consumption because the household switched vendors?  Example: HH heats with LP and switched from Dealer 1 to Dealer 2 without changing fuel types  Dealer 1 is marked ‘Inactive’ to prevent Dealer 1 from getting a Primary Heat benefit  Dealer 1 fuel usage is ‘Heating’ to include actual LP fuel cost for the fuel type that is still used at the same dwelling 9

10. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat Inactive Energy Vendor and Consumption (cont.) What if the household moves to a new location?  Example: The household moves, fuel usage from the previous address is ‘invalid.’ The consumption data from the previous dwelling is not used for the new residence.  Obtain consumption for the current residence if available  Use the Back-Up Matrix if consumption is not available. 10

11. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat Inactive Energy Vendor and Consumption (cont.) What if the household switches fuel types at their dwelling?  Example: Household heated with oil last year and had a natural gas furnace installed over the summer. Oil consumption data would not be used to determine the Primary Heat benefit for the natural gas  The oil dealer is marked ‘inactive’ for the household  The oil consumption data is marked ‘invalid’.  The Back-Up Matrix is used to determine the Primary Heat benefit 11

12. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat Consumption Data Specifications : Actual Consumption costs used for households with voluntary energy service disconnection from connected utilities (p. 5) Household voluntarily has energy disconnected during the (spring/summer) to save money by not having basic service charges  New Policy: The energy vendor or the Service Provider enters a 12 consecutive months consumption range. The actual energy costs are entered for the 12 months (even though it includes months of voluntary shut off with no energy usage)  This IS the household’s accurate annual energy cost for the previous year  Do not use the Back-Up Matrix 12

13. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat Rooms Ineligible for Secondary Heat ( p. 8)  Do not include the following rooms when determining whether a household used secondary heat:  Bathrooms  Entryways  Hallways  Laundry rooms  Porches  Closets 13

14. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Primary Heat Primary Heating Fuel Cost Unavailable: There is no need to enter secondary biofuel consumption  When the Primary Heating fuel cost is unavailable, eHEAT will use the Back-Up Matrix to determine the Primary Heat benefit  Any secondary heating fuel costs must be made ‘Invalid’ to prevent the Primary Heat benefit from being determined from partial consumption  The Back-Up Matrix benefit determination is based on 100 percent usage of the primary heating fuel 14

15. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Chapter 10: Benefit Payments and Refunds 15

16. FFY2014 EAP Annual Training August 20 & 21, 2013 Vendor Initiates Refund SP Processes Refund Refund Record Payment Record (status Refund) Refund netted from payment EFT/Warrant # added to payment record Batch Refund can be seen in Payment Screen Refunds Life Cycle Payment Screen Refund Process Screen

17. FFY2014 EAP Annual Training August 20 & 21, 2013 How to do Refunds 1.Look up payment(s) [Refunds are not initiated in Process screen] 2.Choose payment click refund button 3.Click add button

18. FFY2014 EAP Annual Training August 20 & 21, 2013 How to do Refunds (cont.) 1.Fill in amount and reason click submit, confirm 2.The amount of the refund is restricted by the total benefits paid to the vendor NOT by the payment chosen 3.After refund is created it can be seen in the Refund Process screen Only one In-Process refund is allowed per HH

19. FFY2014 EAP Annual Training August 20 & 21, 2013 SP Refunds in eHEAT How to do Refunds (cont.)

20. FFY2014 EAP Annual Training August 20 & 21, 2013 SP Refunds in eHEAT 1.Search for unprocessed refunds 2.Choose record to refund 3.Choose Payment or De-obligate 4.Payment will create Certifiable payment without a vendor 5.De-obligate returns the funds attached to the HH to fund allocation  NEW: If one scheduled payment is refunded, eHEAT will warn of other scheduled payments  Redirect or Void these payments as required How to do Refunds (cont.)

21. FFY2014 EAP Annual Training August 20 & 21, 2013 Crisis and Refunds  Crisis funds are first to be refunded  ALL Crisis portion of a refund is De-obligated regardless of button chosen  If Primary heat needs to be refunded(in the case of a benefit recalculation) and there is also a Crisis benefit then all the Crisis funds need to be refunded plus the refunded portion the PH benefit  If the HH is due Crisis benefits a new Crisis needs to be created How to do Refunds (cont.)

22. FFY2014 EAP Annual Training August 20 & 21, 2013 22 Primary Heat Payments Cancel  Done in Payment Certification/Process screen  Does not de-obligate funds  Creates another payment without vendor  Used to redirect payment to another vendor

23. FFY2014 EAP Annual Training August 20 & 21, 2013 23 Void Payment  Done in Payment screen  De-obligates funds Payments

24. FFY2014 EAP Annual Training August 20 & 21, 2013 24 Reason to Void a payment  Need to de-obligate funds to make room for a recalculation of benefit  HH moved out of state  HH is deceased  HH suspected of fraud Not a reason to Void a payment  Need to redirect payment  Need to manage Crisis Payment  Not sure what to do Payments

25. FFY2014 EAP Annual Training August 20 & 21, 2013 25 Documentation

26. FFY2014 EAP Annual Training August 20 & 21, 2013 26 Intention Continue to improve documentation practices By   Reconnecting to last years training   Reflecting on improvements and areas for continued improvement Documentation

27. FFY2014 EAP Annual Training August 20 & 21, 2013 27 Why this training?   Last year theme – Document, document, document   DOC is asked all the time about documentation. SPs commonly ask:   What do I document?   What is required?   Understanding the principles and guidance of documentation is key to making documentation decisions Reconnect

28. FFY2014 EAP Annual Training August 20 & 21, 2013 28 The importance of documentation Documentation is a general business practice applied to key areas of processes and is a key control, enables processes and ensures integrity   A means of communication & transparency   When applications or household information needs to be shared   Or used at a later date   A means of quality control   Accurate documentation enables checks on processes   The documentation must be understandable and complete   Essential as a means of program integrity & accountability   Makes processes auditable   Used when incidents happen to validate a verify actions Reconnect

29. FFY2014 EAP Annual Training August 20 & 21, 2013 29 What is it?   WWWWH Notes: 10/17/13 – Called Bob Smith to get landlord name John Doe.- JM  Who – Bob Smith (Primary Applicant), JM  What – Got landlord name  When – 10/17/13 (Other dates)  Where - NA  How – Phone call Reconnect

30. FFY2014 EAP Annual Training August 20 & 21, 2013 30 What is it? Any physical docs when possible   10/17/12 email pasted into notes field   Copy in file and note referring to it   Electronic or scanned versions saved 10/17/12 From: Fred Smith (GasCo) Sent: Wednesday, Oct. 17, 2012 1:14 PM To: SP App processor Subject: HH # 11111111 Confirmed $326 arrearage amount – Disconnection date was 10/2/13 10/17/12 Printed portal in HH file - Confirmed emergency - JM Notes: Reconnect

31. FFY2014 EAP Annual Training August 20 & 21, 2013 Document key interactions:  Changes from normal policy or procedure  Decision points when the processor makes a decision Reconnect to FFY13 Training Consumption changes Added Info from phone request

32. FFY2014 EAP Annual Training August 20 & 21, 2013 32 Best Practices   Develop common documentation methodology for your agency   Train staff on:   WWWWH   Being specific   Critical thinking   Do quality control checks and adjustments   Integrate it into your processes, don’t look at it as extra work   Accept it as a necessary part of the business. (It protects the HH, you, your SP, program) Reconnect to FFY13 Training

33. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Reflection and Lessons Learned Did wells  Saw overall improvement  In ‘General notes’ section people where using dates and initials  New eHEAT notes fields in Crisis and ERR events screens helped improved notes.  Saw more notes for Secondary heat usage across many SP.  Better understanding of the need to take good notes  Better acceptance of the need for improved documentation  Better review of notes as quality control device (managers reviewed notes to see if people complied with standards)  Better completion of forms overall 33

34. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 Reflection and Lessons Learned Improvement Opportunities  Notes on unusual circumstances (e.g. consumption changes)  Notes were weakest when the policy wasn’t well understood  People did not know what to document  Although there was more secondary heat notes, they reflected this misunderstanding  Better notes when eHEAT info differs from application submitted  Using eHEAT whenever possible for notes is best practice  Do not repeat information from screens  Document information necessary to justify the action taken  Use recommendations or finding on documentation, to improve 34

35. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 EAP Forms 35

36. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 EAP Forms At JAD discussed which EAP forms are required Context  EAP uses many forms, for a variety of reasons  EAP never formally stated which are/not required  Some SPs have asked which are required  Some SPs have asked to modify  Difficult for auditors to interpret forms if vastly different 36

37. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 EAP Forms Principles  Consistency of tools  Fairness of program delivery  Program audit-ability  Flexibility to accommodate local practices 37

38. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 EAP Forms Required forms  JAD confirmed most EAP forms are required (if a necessary part of HHD file)  SP must use unaltered current program year required forms  Small changes are allowed as long as the form is essentially the same  E.g., may add SP name & phone or add section for SP recordkeeping 38

39. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 EAP Forms Optional forms:  Self-Employment Income(5B) - the origin of the info is 1040, so auditor can verify that info  Debtors Exemption Claim Notice Example (13B) - is an example  EV Monitoring Report (3C) & Report Cover Letter (3B)  SP can use the form or provide the info in another format as long as all required info is available for auditing  Can change form for understandability as long as it has all required info  Doesn’t make sense to use the form with some vendors, e.g. Xcel provides the data in large spreadsheets – should be saved for auditing 39

40. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 EAP Forms Optional forms (cont.):  Social Security Benefit Worksheet (5G) - this is a good tool but unnecessary to save in HHD file if the calculations are noted in the file  Letter for Information About HHD Move (10C)  Template for Garnishment Response Letter (13E)  Leveraging Tracking Form (14D) 40

41. FFY2014 EAP Annual Training August 20 & 21, 2013 FFY2014 EAP Annual Training August 20 & 21, 2013 EAP Forms New Tool on the Web  Required and Optional EAP Forms  This document formally details which EAP forms are required and which are optional for use by Service Providers  Copies were printed for training 41