1. August 15 & 16, 2012 FFY2013 EAP Annual Training FFY2013 EAP Annual Training Part 4: Applications & Application Processing; Local Plan

2. August 15 & 16, 2012 FFY2013 EAP Annual Training 2 Chapter 4-Applications & Application Processing

3. August 15 & 16, 2012 FFY2013 EAP Annual Training 3 Highlights Documents  Applications  Instructions  Privacy Notice and Rights and Responsibilities Mailing  Status  By the numbers Employee Applications  Intentions  Changes Chapter 4-Applications & Application Processing

4. August 15 & 16, 2012 FFY2013 EAP Annual Training 4 Application Changes Chapter 4-Applications & Application Processing

5. August 15 & 16, 2012 FFY2013 EAP Annual Training 5 Application Changes Part 1  No changes Chapter 4-Applications & Application Processing

6. August 15 & 16, 2012 FFY2013 EAP Annual Training 6 Application Changes Part 2  Reduced list of HH members to 6 Chapter 4-Applications & Application Processing

7. August 15 & 16, 2012 FFY2013 EAP Annual Training 7 Application Changes Part 2  Split employee vs board member Chapter 4-Applications & Application Processing

8. August 15 & 16, 2012 FFY2013 EAP Annual Training 8 Application Changes Part 2 Sources of income  Removed MSA  Expanded Social Security  Added Child Support  Moved Long/Short-term Disability Chapter 4-Applications & Application Processing

9. August 15 & 16, 2012 FFY2013 EAP Annual Training 9 Application Changes Part 3 Chapter 4-Applications & Application Processing

10. August 15 & 16, 2012 FFY2013 EAP Annual Training 10 Application Changes Part 4  Moved Would you like 30% of your energy assistance benefit paid on your electric bill?  Rearranged biofuel questions Chapter 4-Applications & Application Processing

11. August 15 & 16, 2012 FFY2013 EAP Annual Training 11 Application Changes Part 5 - Local Questions  Service Provider questions remain on Page 3  New questions on top of Page 4 Chapter 4-Applications & Application Processing

12. August 15 & 16, 2012 FFY2013 EAP Annual Training 12 Application Changes Part 5 - Local Questions  New question  Check box in eHEAT If you use electricity as a heat source, how is it used in your home? Do not check if electricity is for furnace fan/blower only.  Space Heaters  Baseboard Heat  In Floor System  Electric Furnace  Heat Pump List the rooms where electricity supplies most or all of the heat: Chapter 4-Applications & Application Processing

13. August 15 & 16, 2012 FFY2013 EAP Annual Training 13 Application Changes Part 5 - Local Questions  New question  If HH checks YES – must be treated as an emergency request  Check box in eHEAT Are you having an energy emergency right now?  Yes  No If Yes, check type of emergency below and send a copy of the notice from your energy company:  Already disconnected. Company name:  Received disconnect notice. Company name:  Past due bill. Company name:  Refusal to deliver and less than 20% in tank--what % in tank today? Please contact your energy company to set up a payment plan. Chapter 4-Applications & Application Processing

14. August 15 & 16, 2012 FFY2013 EAP Annual Training 14 Application SP or HH makes changes on application  Must be documented!! Chapter 4-Applications & Application Processing

15. August 15 & 16, 2012 FFY2013 EAP Annual Training 15 Application Changes Limited pre-printed information  Control mechanism to get new and accurate information  Self monitoring to ensure accurate data entry  Information rolled over in eHEAT remains the same Chapter 4-Applications & Application Processing

16. August 15 & 16, 2012 FFY2013 EAP Annual Training 16 Application Changes PreApps and Recerts -- Part 1  Household number  Primary applicant name  Home address  Mailing address  County  Township  Primary language Chapter 4-Applications & Application Processing

17. August 15 & 16, 2012 FFY2013 EAP Annual Training 17 Application Chapter 4-Applications & Application Processing

18. August 15 & 16, 2012 FFY2013 EAP Annual Training 18 Instructions Chapter 4-Applications & Application Processing

19. August 15 & 16, 2012 FFY2013 EAP Annual Training 19 Privacy Notice and Your Rights and Responsibilities Chapter 4-Applications & Application Processing

20. August 15 & 16, 2012 FFY2013 EAP Annual Training 20 Mailing Status  Recerts and PreApps mailed August 27 through September 14  Blank Apps in eHEAT queue mailed September 14-18  Blank Apps mailed daily Chapter 4-Applications & Application Processing

21. August 15 & 16, 2012 FFY2013 EAP Annual Training 21 Mailing Status By the numbers  138,116 PreApps  28,839 Recerts Chapter 4-Applications & Application Processing

22. August 15 & 16, 2012 FFY2013 EAP Annual Training 22 Employee Applications  Intentions  Changes Chapter 4-Applications & Application Processing

23. August 15 & 16, 2012 FFY2013 EAP Annual Training 23 Employee Applications  Intention  Reduce risks related to employees’ EAP benefits  Value  Efficient and effective controls protect the households, the Service Provider and the program  Focus  Improve policies, procedures, controls, monitoring Chapter 4-Applications & Application Processing

24. August 15 & 16, 2012 FFY2013 EAP Annual Training 24 Employee Applications Changes: Definition of Employee  For CAA and non-profit deliverers: all employees functionally or structurally related to EAP or WAP service delivery and board members of the delivering Service Provider Chapter 4-Applications & Application Processing

25. August 15 & 16, 2012 FFY2013 EAP Annual Training 25 Employee Applications Changes: Separation of Duties  An EAP employee cannot perform any tasks in the processing of their own application or the application of an immediate family member Chapter 4-Applications & Application Processing

26. August 15 & 16, 2012 FFY2013 EAP Annual Training 26 Employee Applications Changes: Separation of Duties  Service Providers must reduce conflicts of interest for employees by designing local processes to separate program benefit delivery duties Chapter 4-Applications & Application Processing

27. August 15 & 16, 2012 FFY2013 EAP Annual Training 27 Employee Applications Changes: Separation of Duties  Local processes must separate application handling for:  Extended family  Service Provider employees not functionally related to EAP or WAP  Relationships with vendors, contractors, or other partners  Any others that may be a conflict of interest Chapter 4-Applications & Application Processing

28. August 15 & 16, 2012 FFY2013 EAP Annual Training 28 Employee Applications Changes: Separation of Duties  Service Provider may designate a staff person to handle all employee applications  Small Service Providers may need to have another EAP Service Provider process employee applications  When a Service Provider chooses this option, it must inform DOC of the arrangement Chapter 4-Applications & Application Processing

29. August 15 & 16, 2012 FFY2013 EAP Annual Training 29 Employee Applications Changes: Processing  Primary Heat  Separation of duties  Submit to DOC for approval Chapter 4-Applications & Application Processing

30. August 15 & 16, 2012 FFY2013 EAP Annual Training 30 Employee Applications Changes: Processing  Crisis and ERR  Service Provider processes the request  Service Provider must have a separation of duties to ensure the employee does not process or approve their own benefits Chapter 4-Applications & Application Processing

31. August 15 & 16, 2012 FFY2013 EAP Annual Training 31 Employee Applications Changes: Monitoring  DOC will monitor all Crisis and ERR benefits received by employees  Failure to utilize separation of duties in processing employee applications can result in a finding Chapter 4-Applications & Application Processing

32. August 15 & 16, 2012 FFY2013 EAP Annual Training 32 Q&A Applications & Application Processing

33. August 15 & 16, 2012 FFY2013 EAP Annual Training Local Plan Training Intro 33

34. August 15 & 16, 2012 FFY2013 EAP Annual Training Intention  Set the context for Local Plan training by  Reviewing Local Plan intentions, values, focus  Setting context 34 Local Plan Training Intro

35. August 15 & 16, 2012 FFY2013 EAP Annual Training  SP is contracted to deliver program within the guidelines  Local Plan is the description of SP’s specific internal controls to meet essential requirements  It acts as assurance for the agreement between state and SP by specifying local control activities  Local Plan structure describes 5 Internal Controls areas  This is an internal and external document. It makes EAP transparent and accountable at all levels.  It is a primary tool to monitor the program 35 Local Plan Training Intro

36. August 15 & 16, 2012 FFY2013 EAP Annual Training

37. August 15 & 16, 2012 FFY2013 EAP Annual Training The Framework assesses the internal control maturity for how well an SP:  Identifies its risks  Documents and assigns its control procedures  Monitors the performance and effectiveness of the procedures Defines internal control as a process, affected by individuals within an organization, designed to provide reasonable assurance regarding the achievement of objectives in three categories: 1.Effectiveness and efficiency of operations 2.Reliability of financial reporting 3.Compliance with applicable laws & regulations 37 Internal Controls Framework Local Plan Training Intro

38. August 15 & 16, 2012 FFY2013 EAP Annual Training The 5 categories are: 1.Control Environment 2.Risk Assessment 3.Control Activities 4.Information & Communication 5.Monitoring 38 The Framework Local Plan Training Intro

39. August 15 & 16, 2012 FFY2013 EAP Annual Training 39 EAP Service Control Activities Local Plan Training Intro

40. August 15 & 16, 2012 FFY2013 EAP Annual Training  Local Plan explains specific Service Provider controls  Monitoring examines the actual control environment as planned and executed using the Program Audit (PA)  Examinations are designed to test controls effectiveness  Examinations use the Local Plan for the bases of SP operations to examine 40 Monitoring Tools & Approach Local Plan Training Intro

41. August 15 & 16, 2012 FFY2013 EAP Annual Training  Explains SP’s specific operations  Written for general audience, someone who doesn’t know anything about your operation  Do not repeat EAP manual, add specifics about SP (There are 35 of you and each is unique)  Use the plan to communicate with others in your organization  Have others complete their parts  Make it a tool, not extra paperwork  Plans describe a future ideal world not likely to occur. Make adjustments based on plans. 41 Best Practices Local Plan Training Intro

42. August 15 & 16, 2012 FFY2013 EAP Annual Training  Aman will give a basic training for each section  Q & A will follow each section  A copy of a blank Local Plan is to take notes as you please 42 LP Training Local Plan Training Intro

43. August 15 & 16, 2012 FFY2013 EAP Annual Training 43 Contents Introduction  Local Plan training approach  Local Plan vs BSM and ICF  Local Plan questions and updates Control Environment  Updates  Review questions  Response expectations FFY2013 EAP Local Plan

44. August 15 & 16, 2012 FFY2013 EAP Annual Training 44 Local Plan training approach Local Plan training will be presented in five parts (timelines) of the two day training agenda 1.Control Environment 2.Risk Management 3.Control Activities 4.Communication & Information 5.Monitoring FFY2013 EAP Local Plan

45. August 15 & 16, 2012 FFY2013 EAP Annual Training 45 EAP BSM Elements of a complete Vision EAP ICF Objectives EAP Local Plan Objectives Intentions: Why does our unit or organization exist? Values: What guides the behavior of our organization? Means: What products or services do we provide? To whom do we provide them? Environments: What factors outside our organization must we monitor and adjust to? How should we organize ourselves to meet our intentions, within our values?  Effectiveness and efficiency of operations  Reliability of financial reporting  Compliance with applicable laws & regulations  Verify the SP’s competency  Monitor and evaluate the SP’s performance  Build the SP’s competency FFY2013 EAP Local Plan EAP Local Plan objectives vs BSM vision & ICF

46. August 15 & 16, 2012 FFY2013 EAP Annual Training 46 EAP Local Plan questions  Why do we ask such detailed questions?  Why do we improve them every year? Every year SPs make adjustments to face  Variable funding sizes and timelines  Variable quality and quantity of employees  EAP policy improvements  Experiences learned from previous years EAP Local Plan questions

47. August 15 & 16, 2012 FFY2013 EAP Annual Training 47 EAP Local Plan questions & expectations  EAP Local Plan questions are designed to examine (ensure) the Service Provider’s maturity to set EAP goals, strategies, tasks and schedules in the five ICF control areas  EAP Local Plan responses need to be SMART : S pecific, M easurable, A chievable, R ealistic and T imely  Complete Local Plan demonstrates Service Provider’s  Commitment and competency to provide EAP services  Compliance with EAP policies and procedures as stated in the State Plan and EAP Policy Manual FFY2013 EAP Local Plan

48. August 15 & 16, 2012 FFY2013 EAP Annual Training 48 Advantages of a complete Local Plan  Provides direction and control  Focuses on objectives and results  Establishes a basis for teamwork  Helps anticipate problems and cope with changes  Provides guidelines for decision making  Serves to employ all other management functions FFY2013 EAP Local Plan

49. August 15 & 16, 2012 FFY2013 EAP Annual Training FFY13 Local Plan updates Most Local Plan questions remain the same with some improvements  Clarifications of contents and questions  Additions in Control Activities 49 FFY2013 EAP Local Plan

50. August 15 & 16, 2012 FFY2013 EAP Annual Training 50 1. Control Environment Local Plan question: Does the SP maintain conducive (positive and supportive) environment toward EAP internal control throughout the organization? FFY2013 EAP Local Plan

51. August 15 & 16, 2012 FFY2013 EAP Annual Training 51 1. Control Environment 1. Control Environment (2 parts) 1.1. Service Provider 1.2. SP EAP Organizational Competence FFY13 Updates 1.2. SP EAP Organizational Competence 1.2.4. Program Evaluation changed to Employee Evaluation 1.2.5. Added Upper Management Program Evaluation FFY2013 EAP Local Plan

52. August 15 & 16, 2012 FFY2013 EAP Annual Training 52 1.1. Service Provider 1.1. Service Provider (4 parts) 1.1.1. SP Information  Agency name/address/website/districts/ID# 1.1.2. EAP Information  SP address/phone/fax/counties served etc 1.1.3. SP Primary EAP Contacts  Phone/email address 1.1.4. SP EAP Personnel  Position/qualifications/status FFY2013 EAP Local Plan

53. August 15 & 16, 2012 FFY2013 EAP Annual Training 53 1.2. SP EAP Organizational Competence 1.2. SP EAP Organizational Competence (7 parts) 1.2.1. Environment  Mission, ethical values & integrity 1.2.2. Structure of Authority  Functional relationship, support, delegation of responsibilities 1.2.3. Commitment to EAP  Staff qualifications, training, tools 1.2.4. Employee evaluation  Position descriptions, staff evaluation, eHEAT proficiency FFY2013 EAP Local Plan

54. August 15 & 16, 2012 FFY2013 EAP Annual Training 54 1.2.5. Upper management program evaluation New: evaluating plan, processes and services effectiveness 1.2.6. Employee training in working with diverse populations 1.2.7. FFY 2012 EAP Program Audit Report FFY2013 EAP Local Plan

55. August 15 & 16, 2012 FFY2013 EAP Annual Training 55

56. August 15 & 16, 2012 FFY2013 EAP Annual Training 56

57. August 15 & 16, 2012 FFY2013 EAP Annual Training 57

58. August 15 & 16, 2012 FFY2013 EAP Annual Training 58 Q&A