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					                ENERGY
                 ASSISTANCE
                   Programs


                Policy Manual
                      FY 2008
2008
 PROGRAM YEAR




                                MINNESOTA
                                DEPARTMENT OF
                                COMMERCE
                          FY2008 EAP POLICY MANUAL

                                               Table of Contents
                                                                                                                                      Page
Chapter 1, INTRODUCTION....................................................................................................................1
Chapter 2, PRE-BUY.................................................................................................................................7
Chapter 3, GENERAL SERVICE PROVIDER ADMINISTRATIVE RESPONSIBILITIES................15
Chapter 4, CUSTOMER SERVICE, OUTREACH, AND COORDINATION.......................................21
Chapter 5, PROGRAM ELIGIBILITY REQUIREMENTS....................................................................29
Chapter 6, APPLICATIONS ...................................................................................................................45
Chapter 7, HEATING COST DETERMINATION .................................................................................51
Chapter 8, APPLICATION PROCESSING AND BENEFIT DETERMINATION ...............................55
Chapter 9, PAYMENTS AND REFUNDS..............................................................................................61
Chapter 10, VENDORS ...........................................................................................................................69
Chapter 11, CLIENT AND VENDOR NOTIFICATION .......................................................................77
Chapter 12, CRISIS .................................................................................................................................79
Chapter 13, ENERGY RELATED REPAIR PROGRAM.......................................................................89
Chapter 14, ASSURANCE 16 .................................................................................................................99
Chapter 15, DISASTER AND EMERGENCY PLANNING ................................................................109
Chapter 16, APPEALS...........................................................................................................................111
Chapter 17, ERRORS AND FRAUD ....................................................................................................115
Chapter 18, INFORMATION AND REPORTING ...............................................................................119
Chapter 19, DATA PRACTICES AND RECORDS .............................................................................123
Chapter 20, CONTRACTS ....................................................................................................................135
Chapter 21, FUNDING AND CASH.....................................................................................................141
Chapter 22, AUDITS .............................................................................................................................149
Chapter 23, REACH OUT FOR WARMTH (ROFW) ..........................................................................155
Chapter 24, FEDERAL LEVERAGING INCENTIVE PROGRAM ....................................................159
Chapter 25, MONITORING AND TECHNICAL ASSISTANCE........................................................161
Chapter 26, CHANGING PROGRAM PROVIDERS...........................................................................165
                                                          FY2008 EAP POLICY MANUAL


                                       Appendices Table of Contents
                                                                                                                                                  Page
Chapter 1, INTRODUCTION.................................................................................................................................1

Chapter 2, PRE-BUY..............................................................................................................................................7
               Appendix 2A PRE BUY AGREEMENT

Chapter 3, GENERAL SERVICE PROVIDER ADMINISTRATIVE RESPONSIBILITIES.............................15

Chapter 4, CUSTOMER SERVICE, OUTREACH, AND COORDINATION....................................................21
              Appendix 4, Language Line
              Appendix 4B, Statewide Informational And Referral Services

Chapter 5, PROGRAM ELIGIBILITY REQUIREMENTS .................................................................................29
              Appendix 5A Income Inclusions And Exclusions
              Appendix 5B Cafeteria Plan Worksheet
              Appendix 5C Self-Employment Income And Consumption Worksheet
              Appendix 5D Self Employed Worksheet Cash Accounting Method
              Appendix 5E Self Employed Worksheet Farm Cash Accounting Method
              Appendix 5F Worksheet For Households Claiming No Income
              Appendix 5G Sample Eligibility Worksheet
              Appendix 5H 2007 Social Security Benefit Worksheet

Chapter 6, APPLICATIONS.................................................................................................................................45
              Appendix 6A Instructions For Completing Application
              Appendix 6B Application Form
              Appendix 6C Rollover Application Form
              Appendix 6D Your Rights And Responsibilities Privacy Notice

Chapter 7, HEATING COST DETERMINATION ..............................................................................................51
              Appendix 7A Wood Worksheet

Chapter 8, APPLICATION PROCESSING AND BENEFIT DETERMINATION ............................................55
              Appendix 8A Weekly Application Certification Targets (WACT) 2008
              Appendix 8B Cost-Based Matrix
              Appendix 8C Back-Up Assistance Matrix

Chapter 9, PAYMENTS AND REFUNDS...........................................................................................................61
              Appendix 9A Return Service Requested
              Appendix 9B Flow Chart For Vendor Has EAP Money To Return
              Appendix 9C Letter Requesting Information About HH Move
              Appendix 9D State Of Minnesota Affidavit Of Failure To Receive Department Of Finance Warrant
Chapter 10, VENDORS ........................................................................................................................................69
              Appendix 10A Agreement Between Vendor And Service Provider
              Appendix 10B Vendor Monitoring Report Cover Letter
              Appendix 10C Vendor Monitoring Report

Chapter 11, CLIENT AND VENDOR NOTIFICATION ....................................................................................77
               Appendices 11 Notification Letters
Chapter 12, CRISIS ..............................................................................................................................................79

Chapter 13, ENERGY RELATED REPAIR PROGRAM....................................................................................89
              Appendix 13A ERR Completion Certificate
              Appendix 13B ERR Furnace Replacement Inspection Tool
              Appendix 13C ERR Troubleshooting Tool
              Appendix 13D ERR Tracking Form

Chapter 14, ASSURANCE 16 ..............................................................................................................................99
               Appendix 14A Reasonable Payment W/S
               Appendix 14B Sample Letter Soliciting HH Request For EBA
               Appendix 14C Sample Survey For HH To Request EBA

Chapter 15, DISASTER AND EMERGENCY PLANNING .............................................................................109

Chapter 16, APPEALS........................................................................................................................................111

Chapter 17, ERRORS AND FRAUD .................................................................................................................115

Chapter 18, INFORMATION AND REPORTING ............................................................................................119
               Appendix 18A Incident Report Form
               Appendix 18B EAP Financial Status Report
               Appendix 18C ROFW Monthly Financial Status Report
               Appendix 18D Budget Summary for 2008
               Appendix 18E Financial Status Report Form eHEAT

Chapter 19, DATA PRACTICES AND RECORDS ..........................................................................................123
              Appendix 19A Informed Consent for Release of Data Form

Chapter 20, CONTRACTS .................................................................................................................................135
              Appendix 20A EAP Contract FFY2008
              Appendix 20B Certifications Regarding Lobbying; Debarment, Suspension and Other
              Appendix 20C Authorized Cash Sign Form
              Appendix 20D Local Plan and Instructions
              Appendix 20E Service Provider Purchase/Disposition Request

Chapter 21, FUNDING AND CASH..................................................................................................................141
              Appendix 21A Notice of Funds Available Form
              Appendix 21B Request For Additional ERR Funds
              Appendix 21C Cash Request Screen Shot

Chapter 22, AUDITS ..........................................................................................................................................149
              Appendix 22A Audit Report Schedule

Chapter 23, REACH OUT FOR WARMTH (ROFW) .......................................................................................155
              Appendix 23A Request For Matching Funds Form

Chapter 24, FEDERAL LEVERAGING INCENTIVE PROGRAM .................................................................159
               Appendix 24A Leveraging Survey Form (Placeholder)

Chapter 25, MONITORING AND TECHNICAL ASSISTANCE.....................................................................161

Chapter 26, CHANGING PROGRAM PROVIDERS........................................................................................165
                                      CHAPTER 1

                                  INTRODUCTION
The Minnesota Energy Assistance Program (EAP) is a federal block grant funded through the
Low-Income Home Energy Assistance Program (LIHEAP). The block grant legislation (Title
XXVI of the Omnibus Budget Reconciliation Act of 1981, Public Law 97-35, as amended) gives
States broad latitude to develop programs that assist low income households meet their
immediate home energy needs. On the federal level, the program is administered in the U.S.
Department of Health and Human Services. (See Health and Human Services’ web site at
http://www.acf.dhhs.gov/prgrams/liheap/.)

Components of the program that are required by law are:

        1.     Outreach activities;
        2.     Assistance with home energy costs;
        3.     Intervention in energy crisis situations;
        4.     Provision of low-cost residential weatherization and cost-effective energy-related
               home repair; and
        5.     Planning, developing, and administering the State’s program, including leveraging
               programs.

Federal law also requires the State to agree to comply with sixteen assurances. These assurances
are included in the state plan. They provide principles that states must use to develop their
policies and procedures.

In Minnesota, EAP is administered by the Office of Energy Assistance Programs in the
Minnesota Department of Commerce (DOC). The DOC provides grants to local Community
Action Service Providers, counties, tribal governments, and private not for profit agencies to
deliver the program in defined geographic areas.

Every year the Office of Energy Assistance Programs submits a plan or an update to the plan to
the US Department of Health and Human Services. The FFY 2008 Energy Assistance Plan
(referred to as the State Plan) describes how federal Low Income Home Energy Assistance
Program (LIHEAP) funds will be used to help low-income households pay home heating bills
and conserve energy. Then the plan is put before the public for input. Comments received at the
public hearing and in writing during the comment period are considered in the development of
the state plan. The proposed state plan is available for viewing or downloading at
http://www.commerce.state.mn.us, the main site for the Minnesota Department of Commerce.
The plan for FFY2008 modifies the FFY2006 and FFY2007 LIHEAP State Plans. (See more
complete instructions for accessing the Energy Programs information on the web later in this
chapter.)



Chapter 1 – Introduction                                                                    Page 1
MISSION STATEMENT
Assist participating households to maintain affordable, continuous, and safe home energy, while
lowering their energy burdens.


VISION
            Meeting energy needs through collaboration.
            Universally recognized and accepted.
            Safe and comfortable.
            Empowered customers.
            Simple access.
            Quality service.
            Reach those who qualify.


VALUES
First and foremost, the stakeholders in the energy programs respect the right to dignity and
privacy. We acknowledge that households have the right to ease of entry and equitable access
to all components of the program, to the benefits that make energy costs affordable, and to
homes that use energy safely and efficiently. We acknowledge the dynamic conditions that
influence energy programs and value the creativity, flexibility, and advocacy necessary to
maintain and further policies that promote equity and empower people to take control of their
own lives. We value collaboration and teamwork among stakeholders and respect the unique
perspectives we each bring to the table. We are each responsible for contributing to the
conditions that accomplish these values.

“Prudent Person” Principle
The policies and procedures included in the manual are rules for determining eligibility,
delivering benefits and administering the program. It is impossible to foresee and give examples
for all situations; therefore staff is encouraged to use reason and apply good judgment in making
decisions when rare and unusual situations are encountered. Reasonable decision made by staff
based on the best information available using common sense, program knowledge, experience,
and expertise in a particular situation is referred to as the prudent person principle. Document the
rationale used to make a decision and any applicable manual references and policy
interpretations.

Note: Suspicious circumstances should be referred to the fraud investigations procedures.


CORE BELIEFS: WHAT WE HOLD TRUE
Dignity and privacy: We believe all human beings are to be treated with respect, cultural
sensitivity, and courtesy. We believe in treating others as we wish to be treated.

Ease of entry: We believe in increased participation for the program. We believe the
application process should be simple and efficient.



Chapter 1 – Introduction                                                                      Page 2
Equitable access: We believe program policies and design should be based on the principle of
including the largest possible pool of applicants. We believe that populations, which are under-
represented in the program, should be targeted for outreach. We believe that people’s needs
should be met in a fair and equitable manner.

Affordable: We believe that energy and heat in Minnesota are necessities. We believe that
energy costs should be a reasonable percent of income. We believe that access to energy
services should not solely depend on ability to pay for it.

Creativity: We believe that thinking “outside the box” makes more effective solutions possible.

Flexibility: We believe in openness and willingness to be adaptable to those we serve – “There
are many ways to come to the right solution.”

Advocacy: We believe that some people need help to access resources.

Equity: We believe everyone has basic rights in America and we support policies that further
the ideals of fairness.

Collaboration: We believe that people and organizations working together can produce
extraordinary results.

Responsible: We believe that all stakeholders are accountable to assume a personal
commitment to accomplish agreed upon values.


PROGRAM DESCRIPTION
The Energy Assistance Program ensures that households with the lowest incomes and the
highest energy costs receive the greatest benefit. EAP services include:
           Financial aid to pay a portion of heating costs.
           Crisis intervention for threat of or no heat situations.
           Energy Related Repair for home heating system repair or replacement.
           Referral to Weatherization and other human Service Providers.


Reach Out For Warmth (ROFW) is an emergency Energy Fuel Fund established in 1992 by
the Minnesota Legislature and is entirely funded by donations from individuals and corporations,
with match of federal EAP funds.


PURPOSE OF THIS MANUAL
The Energy Assistance Manual is part of the contract to deliver the Energy Assistance Program
(see Chapter 20, Contracts). Service Providers with signed contracts agree that they are
obligated to have manuals in their possession, read and understand it, and comply with it.




Chapter 1 – Introduction                                                                   Page 3
The Energy Assistance Manual translates policy from the State Plan into procedures. The
procedures serve several purposes:
          to restate program policies into procedures;
          to define the principles upon which the policy or procedure are based; and
          to promote consistent application of program policies.

The Energy Assistance Manual is a guide for implementing the program on the State and local
levels. It states policies, the principles upon which the policies are based, and procedures, with
some examples. The policies, procedures and stated principles provide tools that local
administering Service Providers can use to make decisions about specific situations. It is not
meant to provide specific detail in how to deal with all possible circumstances. Use the Values
and Core Beliefs listed above as guides when interpreting policies found in this manual.

The Energizer is an addition to the manual used to inform Service Providers of Energy
Assistance Program policies and procedure updates. Service Providers have an obligation to
read, understand and comply with it. The Energizer serves as an update to the manual only
during the Federal Fiscal Year in which it is published.

Occasionally, it will be necessary to immediately communicate with SPs. DOC will use the
Spark, a supplement to the Energizer. The Spark will also be an official communication from
DOC and hold the weight of policy. Any Spark issues will be fully incorporated into the next
Energizer. Additionally, all Energizer will be posted on the web.


DOC WEB SITE
Finding the state’s energy assistance web page within the Department of Commerce’s web site,
http://www.commerce.state.mn.us, requires following a path. A diagram of the path through the
DOC site from the home page to EAP is:

        Department of Commerce Home Page
           Heating Assistance
           - Assistance Programs
           - Provider Lists
           - EAP Provider Resources
           - Weatherization Provider Resources
           - eHEAT

To reach the state’s energy assistance web page from the main Commerce Web site address:
       1.    Type http://www.commerce.state.mn.us into the Internet browser address box and
             click enter.
       2.    When the Commerce site opens, click on the Heating Assistance tab, which is a tab
             near the top of the main home page.
       3.    The Heating Assistance page opens with five topic areas: Assistance Programs,
             Provider Lists, EAP Provider Resources, Weatherization Provider Resources and
             eHEAT.




Chapter 1 – Introduction                                                                      Page 4
THE eHEAT SYSTEM
The Electronic Household Energy Automated Technology (eHEAT) system is a combination of
software, hardware, and support for the administration of the Energy Assistance Program. The
hardware and software will be physically located at the Minnesota Department of
Administration, InterTechnologies Group. Authorized eHEAT users, including Service Provider
staff, will access the system through the Internet.


APPENDICES
     NONE




Chapter 1 – Introduction                                                              Page 5
Chapter 1 – Introduction   Page 6
                                    CHAPTER 2

                                          PreBuy
The Energy Assistance Program’s PreBuy project’s basic concept is purchasing fuel during
summer expecting the fuel to be more expensive in the winter. Once the heating season begins,
households with participating PreBuy energy vendors receive primary heat benefit using the
previously purchased fuel. The term ‘pre-purchase’ is often used by energy vendors and others,
but EAP uses the term “PreBuy”. EAP is not operating PreBuy in FFY2008.

The state set aside $4 million to pre-purchase fuel for FFY2007. The approach is to spend 50%
of the dollar amount EAP paid to each participating LP dealer during last winter’s program. Fifty
percent is an efficient amount because all of the pre-purchased fuel is more likely to be used,
making reconciliation at the end of the year less costly.

Sixty-three EAP LP vendors were selected to participate in PreBuy for FFY2007. Fifty-six chose
to participate. Vendors were selected by assigning 50% of FFY2006’s EAP payments to EAP LP
vendors, starting with the largest, until the $4 million was depleted. The vendor determined their
best price per gallon on July 11, 2006 and number of gallons purchased by completing a PreBuy
Agreement. The vendor is responsible to acquire and/or reserve the fuel in their pre-purchase
business processes.

EAP PreBuy fuel is distributed to EAP recipients on a first-come, first-served basis. As a PreBuy
vendor’s customer is approved for EAP benefits, the vendor is notified of the use of the EAP
PreBuy fuel through eHEAT. eHEAT deducts the benefits from the purchased amount as the
benefits are distributed. When the PreBuy fund is depleted, the system sends Electronic Funds
Transfers (EFT) like other non-PreBuy benefits. The vendor is able to view transactions on their
PreBuy accounts in eHEAT.

The Department of Commerce has reservations about a pre-purchase program. Pre-purchasing is
a risky endeavor. The core assumption of purchase prices being lower during the summer than
the winter is usually, but not always the case. Because PreBuy uses limited public funds and the
LP market is more volatile than ever, there are no guarantees the PreBuy prices will be lower
than the prices this winter. Thus the PreBuy program may put limited public resources at risk.


PreBuy Intentions
          To provide more fuel per dollar to EAP households using LP gas for heat.
          To serve as many households as can be served with $4 million.
          To operate the project statewide.
          To design a PreBuy model & tools usable year after year.




Chapter 2 – PreBuy                                                                          Page 7
PreBuy Focus
         Purchasing liquid propane.
         Using pre-purchased fuel for only the Primary Heat benefit.
         Establishing PreBuy Agreements.
         Executing payment for fuel, distribution and accounting.
         Evaluating impact.
         Designing PreBuy to be extensible in the future (for use in other years and for other
         fuel types).

Constraint
      This pre-purchase design does not result in serving more households; instead it provides
      more fuel to a household with a PreBuy vendor. To design a program to serve more
      households would require costly program re-engineering and likely negate any benefit.

Excludes
            Crisis or ERR payments.
            Supplemental payments.
            Scheduled payments because delivered fuel are excluded form scheduling.
            PreBuy Agreement and EAP Vendor Agreement are two, separate agreements.

Includes
            Adjusting consumption to reflect market rates.
            Selection of participating vendors.
            Payment of the vendors.

PreBuy Values
         Program sustainability (the ability to do this again year after year).
         Efficient efforts that optimize the return of cost benefit.
         Good stewardship of public funds.

PreBuy Context
         First-come, first-served may result in some agencies getting less pre-buy than others.
         The intention to provide more fuel per dollar to EAP households using LP gas for
         heat assumes that LP is lower cost in the summer than in the winter.
         Households served one year with pre-buy will receive a lower benefit the following
         year unless there is a means of holding them harmless.
         About 1/3 of LP consumers will be served with pre-buy.
         Risk: A vendors could go out of business. Bigger vendors are likely to be purchased,
         while smaller, rural businesses might go out of business.
         The past PreBuy records show that the prices per gallon ranges from $.68 to
         $2.07depending on the vendor.




Chapter 2 – PreBuy                                                                        Page 8
Summary of Steps for Implementing PreBuy
     1. State analyzes vendor list and determines potential PreBuy participants.
     2. State sent letter & agreement to candidate vendors stating intention to purchase fuel
        on a specific day.
     3. State receives and validates agreements with total dollars, number of gallons, price
        per gallon and signature.
     4. State transfers PreBuy payment to each vendor as agreement is validated.
     5. State enters agreement and purchase information into eHEAT.
     6. Benefit distribution utilizes normal EAP application and payment. eHEAT identifies
        PreBuy vendors when the applicant is determine eligible (only when ‘Determine
        Eligibility’ button is clicked) and designates the vendor to us the PreBuy fuel.
     7. Vendors record weekly LP cost averages in eHEAT.
     8. DOC analyzes results for cost effectiveness.

Summary of Steps for Processing PreBuy Agreements for Purchasing Fuel
     1. PreBuy Agreements are received by state office from the vendors.
     2. State validates agreement terms with the vendor.
     3. Appropriate State authority signs agreement.
     4. State pays vendor for the full amount of the pre-purchased fuel.
     5. State mails copy of signed agreement to vendor and maintains original.

PreBuy Agreement Specifications (Sample of PreBuy Agreement is at the end of this chapter)
      1. Defines parties.
      2. Defines roles of state, service providers and vendors.
      3. Details dollar amount of purchase, Gallons purchased.
      4. Defines time parameters.
      5. Requires vendor signer and signature.
      6. Includes vendor contact information.
      7. Requires EAP signer and signature.

Managing PreBuy Household
Several situations which may occur while using PreBuy for EAP benefit
       1. Household receives PreBuy but has arrearage:
                Vendors must work with SP.
                SP helps with Assurance 16 (A16) case management services and Crisis to
                resolve issues.
                SP can use Crisis on arrearage & apply PreBuy (PH) for future needs.
                With Crisis, vendors are asked to bill HH and use PreBuy for future.
                SP can convert PreBuy benefit to benefit payment.
       2. Market Price go below PreBuy Price
                This is the risk of PreBuy. Please apply the PreBuy as assigned.
                A concerned household should speak to the SP about this issue.
       3. Vendor wants to recover arrearages from an ex-customer
                Situation conflicts with program goals of keeping heat on for present heating season.
                The DOC requires SPs to advocates for households based on program goals.
                A16 services is tool to work with households.



Chapter 2 – PreBuy                                                                          Page 9
eHEAT PREBUY FUNCTIONALITY
Agreement details in eHEAT
eHEAT accounts for PreBuy using PreBuy Agreement details. DOC enters the details which are
visible to Service Providers (SP) and Vendor eHEAT. The functions are assigned to eHEAT
Vendor Admin Users, but need to add to the roles of other vendor users. The functions are:
        1. State enters agreement information.
        2. SP and Vendor users can view.
        3. eHEAT deducts used benefits from the amount when distributed and shows
            remaining amount.

Searching and viewing PreBuy Agreement
      1. Under ‘Grant
          Services’ Menu >
          ‘PreBuy’ tab >
          ‘Agreement’ sub-
          link.
      2. A Search screen
          appears.
      3. The ‘Search
          Results’ will
          display basic
          agreement
          information. SP
          view all their PreBuy vendors. Vendors can view theirs only.

Maintaining and viewing PreBuy Agreement
      1. Under ‘Grant
          Services’ Menu >
          ‘PreBuy’ tab >
          ‘Agreement’ sub-
          link > Click
          ‘Agreement’.
          button (Note:
          Only State user
          can update
          fields).
      2. The Agreement
          Details Page will
          appear.
      3. The details
          entered are
          displayed on the
          right.




Chapter 2 – PreBuy                                                                  Page 10
Maintaining and viewing PreBuy Purchase in eHEAT
      1. Under ‘Grant Services’ Menu > ‘PreBuy’ tab > ‘Agreement’ sub-link > Click
          ‘Purchase’ button (Note: Only State user can update fields).
      2. Search screen appears with criteria.
      3. ‘Include Summery Info’ check box criteria will return status information on used and
          available amounts (Right hand columns.
      4. For
          vendor,
          ‘Vendor
          Name’
          field
          defaults
          to
          display
          their
          name.
          Vendors
          only see
          their
          information. SPs default to ‘-select-‘ and can see associated PreBuy vendors.
      5. Clicking ‘Go’ ( ) returns Search Result. ‘Action’ dropdown allows user to select
          ‘Export.’
      6. ‘Total ($)’
          column is for
          this purchase
          while
          ‘Purchased
          Total ($) is if
          we make
          multiple
          purchases from
          a vendor.
      7. Clicking
          ‘Maintain
          PreBuy
          Purchase’ button displays more detail entry screen about the purchase. (For State user
          only)
      8. The DOC enters the agreement details on this screen.
      9. SP and vendor users are only able to view this page.


eHEAT Utilizing PreBuy
When customers are approved for EAP in eHEAT, it checks for availability and applies PreBuy.
The process of approving an application is performed by the service provider user. Upon
approval, eHEAT checks to see if there is available PreBuy for the selected vendor. If available,




Chapter 2 – PreBuy                                                                         Page 11
it then makes the benefit a PreBuy payment. Once the SP certifies the payment, it becomes
payment status ‘In-Progress.’
        1. Under
           ‘Payment
           Services’
           Menu >
           ‘Payment
           ’ tab >
           Search by
           ‘Fund
           Category
           Name:
           PreBuy
           Click
           ‘Go’ ( )
           action
           button.
        2. The
           payment
           becomes
           status ‘paid’ when the eHEAT payment batch runs (Weeknights).
        3. The ‘Warrant/EFT Number’ field display a number starting with ‘PB’ followed by
           calendar year (4 digits), month (2 Digits) and day (2 digits) (Example: PB20061005
           for October 5, 2006).
        4. In the ‘Action’ field the user can export this by selecting ‘Export as CSV’ and
           opening it in Excel or other spreadsheet applications. The exported file has a column
           with the fund source ‘PreBuy.’
        5. eHEAT deducts from the order the used amounts until no PreBuy funds are left, and
           then sends EFTs.
        6. The refund process is the same as other refunds. The vendor enters the refund and the
           SP processes it. But when a PreBuy payment is refunded:
           a. The refund amount goes back into the vendor’s PreBuy fund.
           b. The available benefit goes under ‘EAP Benefit’ Tab for the SP to process.
               (Vendor does not see).
           c. Available benefit is paid:
               i.    By Clicking ‘Pay Remaining Benefit’ action button on ‘EAP Benefit’ tab.
               ii. Process uses normal PH allocation even if you select a PreBuy vendor.
                     (Remember PreBuy is only checked when you ‘Determine Eligibility’)
               iii. Note: If a payment is not in-progress or beyond, SP can make application
                     incomplete, select a PreBuy vendor and re-determine eligibility and it will
                     use the PreBuy fund.




Chapter 2 – PreBuy                                                                       Page 12
Participating vendors record the weekly Monday price.
To measure the impact of the PreBuy program, DOC will compare PreBuy prices to the actual
prices. Because prices vary widely, it is necessary to collect prices from each vendor. DOC has
elected to collect a weekly Monday price from participating PreBuy Vendors. eHEAT is
designed to collect the weekly price.
        1. Under ‘Admin Services’ Menu > ‘Energy Vendor’ tab > ‘Weekly Averages’ sub-link.
        2. Search
            criteria
            appears. SP
            view all
            their
            PreBuy
            vendors.
            Vendors
            can only view theirs.
        3. After clicking ‘Go’ ( ) action the Search Results appear showing previously entered
            records.
        4. Click ‘Add’ action button to enter new record.
        5. Enter data
            and submit.
            Calendar
            icon ( )
            will
            produce a
            pick
            calendar to
            fill in the
            date. (Note: Only Vendor or State Users can update fields).


APPENDICES
     2A - PRE-BUY AGREEMENT




Chapter 2 – PreBuy                                                                      Page 13
Chapter 2 – PreBuy   Page 14
PreBuy Agreement                                                   Vendor MAPS ID          Vendor
                                                                                         eHEAT ID
Minnesota Energy Assistance Program
2006 - 2007

The following agreement is made between the Minnesota Department Commerce, hereinafter “DOC,”
and <<vendor name>>, hereinafter “The Vendor,” <<vendor address>>, <<vendor city, state zip>>.

DOC will purchase liquid propane gas (LP) from The Vendor as follows (enter your terms below):

                   Terms             Instructions
Price per                            Enter your best price on July 11, 2006

Number of                            Enter the maximum number of gallons that can be purchased with
                                     the amount authorized on the cover letter to this agreement.
Total                                Enter the total purchase price. The amount should equal the price
                                     per gallon * the number of gallons.

The Vendor agrees to deliver LP at the terms entered above to vendor customers as authorized by the
Energy Assistance notification on eHEAT or mailed to The Vendor. All provisions of the EAP vendor
agreement are incorporated by reference to this PreBuy Agreement. In addition the following provisions
shall apply:
1. The Vendor will enter the number of gallons, cost per gallon and total purchase price in the blanks
    above, sign the agreement below, and mail it before July 18, 2006 to:

                G. Jeff Mitchell
                Office of Energy Assistance Programs (EAP)
                Minnesota Department of Commerce
                85 E. 7th Place, Suite 500
                St. Paul, Minnesota 55101

2. The Vendor will deliver to customers authorized to receive PreBuy: the number of gallons
   determined by the authorized benefit amount divided by the price per gallon entered above.

3. The Vendor will use standard eHEAT procedures for administering PreBuy, including but not
   limited to: identifying customers to receive PreBuy and the amount of their benefit and providing
   refunds.

4. The Vendor will notify the customer’s local energy assistance service provider of any PreBuy
   obligated to a customer with an outstanding bill so the PreBuy authorization can be reviewed.

5. Customers receiving delivery of PreBuy LP will receive all the same services available to customers
   who contract individually for pre-purchased fuel.

6. The Vendor will charge the customer for fuel costs that are not covered by the customer’s EAP
   grant.

Chapter 2 Pre-Buy Agreement                                                                Appendix 2A
7. The Vendor will enter their LP residential credit price effective on the first day of each week into
   eHEAT.
8. DOC reserves the right to monitor the use of funds with The Vendor in order to ensure compliance
   with the provisions of this agreement.


9. Immediately upon signing the agreement, DOC will authorize an EFT payment to The Vendor in the
   amount of the total purchase price, entered above. DOC will mail a signed copy of the agreement to
   The Vendor.

10. This agreement is effective when signed by DOC and shall terminate on September 30, 2007.

11. The Vendor will return all PreBuy funds remaining unspent on May 31, 2007 to DOC by June 30,
    2007.

12. OPTIONAL: ___ Yes, I agree to sell fuel to EAP customers at either the PreBuy price or at the
    current retail price, whichever is lower. ___ No, I will only sell the PreBuy fuel at the PreBuy price.

SIGNED:
Typed Name:
Vendor Authorizing Signature:


Date:


Typed Name:


DOC Authorizing Signature:

Date:


               Vendor Contact Information                     DOC Contact Information
Name                                                          G. Jeff Mitchell

Telephone                                                     651-296-2458

e-mail                                                        jeff.mitchell@state.mn.us




Chapter 2 Pre-Buy Agreement                                                                    Appendix 2A
                                          CHAPTER 3

  GENERAL SERVICE PROVIDER ADMINISTRATIVE
              RESPONSIBILITIES
Community action agency, county department of social/human services or tribe is the Local
Service Provider (SP) responsible for the local operation of EAP. The responsible service
provider must ensure eligible households living within their service area have access to all EAP
benefits and services. The service provider must comply with all requirements of federal, state
and local laws, regulations and rules. The service provider must meet all of the requirements in
the EAP contract and in this manual, as well as all of the directives, The Energizer, Spark, forms,
applications and letters developed by the Office of Energy Assistance Programs within the
Minnesota Department of Commerce (DOC).


REQUIRED SERVICE PROVIDER SERVICES
Public Information at the Local Level
Service Providers must provide public information about Energy Assistance at the local level.
To achieve this goal, each Service Provider must:
           Establish and publicize a telephone number which persons can call, on a 24 hour
           basis, for EAP during the heating season (see Chapter 20, Contracts).
           Ensure that all community groups and other local stakeholders receive updated
           information on policy changes and the availability of any additional emergency funds
           or contingency funds that become available during the program year.

Local Outreach
Service Providers must do outreach to applicants and potential applicants to encourage
applications and to make the services accessible and responsive:
           Provide outreach services to targeted population groups, high-risk households, elderly
           and disabled.
           Ensure that all households, including non-English speaking applicants have access to
           services.
           Publicize eligibility requirements, how to apply, location of application sites, times to
           apply, and any other appropriate information that assists households in making an
           application.
           Publicize the availability of heating assistance, crisis assistance, and Energy Related
           Repair and supply application materials to community organizations and other high
           traffic areas.
           Publicize the availability of home visits to assist homebound applicants in completing
           an application.




Chapter 3 – General Service Provider Administrative Responsibilities                         Page 15
             Publicize the availability of appointments and face to face application services to
             those households who request them.
             Provide for voter registration as required by Minnesota Statutes §256.925.

Intake
Local administering Service Providers must ensure that:
          Application sites are available throughout their service area.
          Application sites are accessible to persons with physical disabilities.
          Applicants are able to receive home visits if requested.
          Applications are available and accepted from October 1 through May 31.

Eligibility Determination
Service Providers must use the application, eligibility determination and payment processes and
timelines as prescribed by the State to help assure that program services are uniform and equally
available throughout the State. Following is a list of State prescribed policies and procedures.
            The Department of Commerce will mail a rollover application to the previous year’s
            eligible households who are on a fixed income. Eligible households from the previous
            program year will receive a preprinted application. This includes households who
            were not paid due to the end of the program year or if the program was out of funds.
            Service Providers must use the State’s application form for all new applicants.
            Service Providers must work with vendors to ensure heating costs and consumption
            information is provided for all applicants who have a consumption history.
            Service Providers must log in incomplete applications. Notify households of
            information needed to complete their applications.
            Service Providers must verify income and supporting documents and certify that the
            application is correct.
            Service Providers must send completed, but not certified, applications from Service
            Provider staff or board members to the State for certification.
            Service Providers must ensure that completed applications are certified and paid to
            meet the Weekly Application Certification Targets (WACT) or the 30-day
            requirement, whichever is in effect. Service Providers must log in all applications
            when they are received.

Crisis Assistance and Energy Related Repair
Service Providers must use the crisis assistance and energy related repair eligibility
requirements, processes and timelines as prescribed by the State to help assure that program
services are uniform and equally available throughout the State. (See Chapter 12, Crisis, and
Chapter 13, Energy Related Repair Program.)

Service Providers must coordinate with vendors to ensure that they will respond with emergency
fuel deliveries and/or heating system repairs after regular business hours, including weekends
and must have staff available to provide advocacy services to households in crisis.

Coordination, Collaboration and Cooperation Described In Local Plan
Local administering Service Providers must coordinate with:
          Service Providers serving low income persons.


Chapter 3 – General Service Provider Administrative Responsibilities                          Page 16
             Community Action Agencies.
             Service Providers providing weatherization services.
             Agencies on aging, housing authorities and special purpose agencies providing
             services to low income persons.
             Utility programs providing services to low income persons.
             Energy vendors, fuel suppliers and others who have signed vendor agreements.

Staffing
Staffing must be adequate during the heating season to provide the following:
           Program information and application services for heating assistance, crisis assistance
           and energy related repair.
           Outreach activities.
           Heating assistance services as long as funds are available.
           Crisis assistance, including Energy Related Repair services for as long as funds are
           available.
           Respond to households needing advocacy services.
           Crisis response 24 hours, seven days a week.

Staffing must be adequate throughout the year to provide the following:
           Conducting vendor monitoring and managing vendor relationships.
           Preparing vendor relationships activities for the next year.
           Conducting EB/EBA processing, monitoring, reviewing etc.
           Update household records for next year (Including eHEAT mailing update check
           box).
           Seeking non-public funds for ROFW.
           Working with other community organizations (developing, strengthening improving).
           Conducting participant follow up and satisfaction survey.
           Planning for upcoming activities including preparations for the next year.
           Conducting capacity building training for staff.
           Reviewing process with stakeholders including internal stakeholders such as agency
           fiscal staff, agency Director, and other internal programs.
           Maintaining and advancing referral system.
           Outreach activities.

Data Privacy
Minn. Stat. §216C.266 provides that data collected maintained, or created because an individual
applies for energy assistance is private data for the purposes of the Minnesota Government Data
Practices Act, Minn. Stat. §§13.02 et seq. (MGDPA). The collection, storage, use and release of
the information shall be limited to that necessary for the administration and management of the
program. The information may not be released except as permitted by the MGDPA.

Records
The Service Provider must maintain a record management system that retains applications and
supporting documents for a period of three years from the date of the final audit (see Chapter 19,




Chapter 3 – General Service Provider Administrative Responsibilities                         Page 17
Data Practices and Records, and Chapter 22, Audits). Service Provider’s retention policies
should not exceed three years to protect the data privacy of applicants.

Record and Data Security
The Service Provider must execute a plan for maintaining the security of private data maintained
locally and for access to eHEAT. Refer to Chapter 19, Data Practices and Records for minimal
requirements for the protection of locally maintained data.

Reports to the Energy Assistance Program
Local grantees must maintain accurate and timely data entry into eHEAT and provide the
following information and reports to the State:
           A detailed local plan.
           Closeout package.
           Copy of agency audit.
           Financial Status Reports (FSRs).
           Incident reports.
           Response to monitoring findings.
           Other general information which may be requested by the State.

Use of Funds
Administrative Funds may be used for the cost of EAP staff and associated costs. Allowable
costs include:
            Program planning and preparation.
            Taking an application and verifying information.
            Entering data into eHEAT.
            Advocacy services.

Primary Heat Funds may be used to pay for the heat source for eligible households in
residential dwellings.

Emergency Benefits may be used, in addition to primary heat funds, for eligible households
who are experiencing a heating fuel crisis (see Chapter 12, Crisis).

Energy Related Repair Funds may be used to respond to no heat situations and hazardous
energy related problems for EAP eligible homeowners (see Chapter 13, Energy Related Repair
Program).

Assurance 16 Funds may be used to fund the cost of staff salaries and fringe benefits for time
spent on allowable activities, including advocacy services. Service Providers must track,
document, record and report the use of Assurance 16 funds (see Chapter 14, Assurance 16).

Operating Energy Assistance When Funds Are Limited. When program funding is too scarce
to allow full operation, the state Office of Energy Assistance will issue a directive describing its
fallback operation requirements. The fallback operations will vary depending upon whether
additional federal funding is expected.




Chapter 3 – General Service Provider Administrative Responsibilities                        Page 18
Additional federal funding is expected. The Minnesota Energy Assistance Program year
begins on October 1. Federal funds are usually not available for some time after that date. When
federal funds do become available, the program often operates under a continuing resolution that
releases only small amounts of funding at a time. As a result, the Office of Energy Assistance
expects to start each year using the method of operation described in this section. Inadequate
funding may cause this procedure to be implemented at any time during the year.

Service Providers will enter applications and eHEAT will identify that no funds are available.
Applicants will not receive an “out of funds” letter. When funding is entered into eHEAT, the
system will run a batch process and obligate funds. Service Providers will/can complete the
process by authorizing payment to the household.

No additional federal funding is expected. Service Providers will enter applications and
eHEAT will identify that no funds are available. Applicants will receive an “out of funds” letter.
Most activities will remain the same, with emphasis on continuing to provide services and
assuring that reported activities and obligations are correct:
       1. Continue to encourage, accept and process applications using the usual methods for
           primary heat, crisis, and energy related repair.
       2. Continue to reduce the number of applications pending, to the degree possible.


Appeals
Households may appeal decisions made regarding their energy assistance application (see
Chapter 16, Appeals). Service Providers must ensure that applicants are informed of this right
when they receive their application and again in the notification letter and provide information
regarding appeals to the State upon request.


Errors
             Service Providers must describe local quality control procedures in writing (see
             Chapter 20, Contracts, and Chapter 17, Errors and Fraud).
             Service Providers must describe in writing procedures for recovery of overpayments
             to vendors and contractors that are not eHEAT users (see Chapter 20, Contracts).
             Service Providers must investigate credible complaints of suspected fraud. When
             fraud is found, the Service Provider must report it to the Minnesota Department of
             Commerce, Office of Energy Programs (see Chapter 17, Errors and Fraud).
             The Service Provider must recover misspent funds due to error of fraud by household,
             vendor, contractor or Service Provider. The Service Provider must have a written
             procedure for recovery of misspent funds (see Chapter 20, Contracts, and Chapter
             17, Errors and Fraud).


Monitoring
All Service Providers administering EAP have some responsibility to monitor and be monitored.
On the local level, Service Providers monitor vendors’ compliance with program policies and the
vendor agreement (see Chapter 10, Vendors). State staff monitor Service Providers’ management



Chapter 3 – General Service Provider Administrative Responsibilities                       Page 19
of heating assistance, crisis assistance and furnace replacement and repairs (ERR) to ensure that
the program delivery Service Provider is adhering to the directives in the State Policy and
Procedures Manual (see Chapter 25, Monitoring and Technical Assistance). Federal staff
monitors program administration on both the State and local levels. Carrying out these activities
and cooperating with them is a required activity on every level.


APPENDICES
     NONE




Chapter 3 – General Service Provider Administrative Responsibilities                      Page 20
                                        CHAPTER 4

                 CUSTOMER SERVICE, OUTREACH,
                      AND COORDINATION
Energy Assistance Programs provide a continuum of services for income eligible consumers
seeking affordable heating energy. Most of the services are direct, such as payment of a portion
of a heat bill. Outreach, Coordination and Customer Services are also significant services that
must be offered to EAP applicants and to the community. These activities maximize public
energy efforts that impact community attitudes toward the program and encourage households to
apply.


CUSTOMER SERVICE
Customer satisfaction is a cornerstone of the Energy Assistance Program. Quality customer
service is a key component of a customer satisfaction program. While the State can suggest or
require systems to improve customer service, most components of good customer service are
dependent upon a Service Provider culture emphasizing respect for individual and helpful
attitudes of EAP staff. The Department of Commerce encourages Service Providers to hold
regular gatherings to build morale and provide support for line staff.

Service Providers must:
           Provide 1-800 numbers OR allow for “collect” calls from clients throughout the year.
           Provide safe and convenient access for applicants, including applicants with
           disabilities to any Service Provider location.
           Accept requests for crisis over the phone.
           Provide a mechanism and review process for complaints and feedback.

Examples of some customer service best practices are:
          Ensure adequate telephone coverage throughout the business day, a voice or voice
          mail message by the third ring, and opportunity to speak to a live person.
          Respond to all telephone, fax, written or e-mail correspondence requesting routine
          information within one business day.
          Provide the applicant with all relevant information during the first call or letter and
          ensure all questions are answered using clear and understood language.
          Provide an interim response to all inquiries when a complete response requires extra
          time to research or if there is a heavy workload which prevents an immediate
          response.
          Provide an applicant with a face to face appointment interview at the scheduled time
          for on time arrivals.
          Execute agreements with appropriate organizations for after hours requests for crisis.


Chapter 4 – Customer Service, Outreach, and Coordination                                   Page 21
            Accept vendor referrals for crisis and verify by phone with the client.

Not acceptable: Requiring households to apply in person for primary heat, crisis or ERR.


Accessibility
Federal and state laws require Energy Program services be accessible. At a minimum, the
following accessibility services must be provided:
           Intake sites must be physically accessible to disabled applicants.
           Service Provider must have procedures to allow non-English speakers and people
           with literacy problems to apply for assistance and comply with application
           requirements (see Appendix 4A Language Line).
           Service Providers must make provisions to provide services to people with visual
           impairment. At a minimum, program publications printed must include this
           statement: “This publication is available in alternative formats upon request.” Upon
           request, these publications must be made available in large print and Braille.
           Service Provider must have procedures to allow hearing or speech impaired
           applicants to inquire about and apply for the energy programs. If your Service
           Provider has TDD/TTY capability, publicize this number as you publicize the Energy
           Programs. Staff should be trained to operate the equipment.
           The Minnesota Relay Service enables communication between a hearing and/or
           speech impaired person's TDD/TTY and the Service Provider. The Service Provider
           may contact a hearing impaired person with TDD/TTY capability through this
           service. An operator relays your words to a TDD/TTY user, and translates the
           hearing impaired person’s responses back in spoken form. All calls are confidential.
           Contact this service at 1-800-627-3529 or 711.

Many accessibility services are difficult to secure for low-incidence populations. Service
Providers are encouraged to collaborate across EAP service areas to make EAP accessible.


Questions and Complaints
Many EAP applicants and recipients have questions about how the program works or how their
benefits were determined. Others have complaints about their benefit or how they were treated.
Good customer service requires both types of inquiries be treated seriously.

Service Providers must have written procedures for responding to questions and complaints.
These written procedures must be part of the training process for EAP staff and any other staff
who answer the telephones or interact with EAP applicants or recipients. The procedures and
training must promote maintaining good customer relations and stress the advantage of keeping
the question or complaint at the lowest level, including:
           Telephone procedures to give applicants and recipients access to a person who can
           respond to their questions and complaints.
           Designation of staff who can respond to questions and complaints.




Chapter 4 – Customer Service, Outreach, and Coordination                                   Page 22
            Information and training about how to respond to questions about eligibility
            requirements and how benefits were determined, including sample letters, if a letter
            should be needed.
            Information and training about how to follow up with questions when a customer
            calls and the question or complaint is unclear.
            Training on how to deal with difficult or angry clients.
            The Service Provider procedure for complaining about the quality of service
            (sometimes called a grievance).
            The procedure for a formal appeal at the local level.


Customer Service Feedback
Service Providers must develop and implement a customer service feedback procedure. This
procedure must include mechanisms to solicit and collect feedback from applicants and
recipients, document complaints and their resolution, and analyze results. The analysis must
include identification of any patterns or results that show strengths and weaknesses in the
delivery of the program.


OUTREACH
Outreach to eligible populations is a major activity of the Energy Assistance Program. A
continuum of outreach activities is necessary to target those households most vulnerable to the
effects of cold, especially young children, the elderly and disabled, those for whom access to
assistance programs is especially difficult, and the lowest income households with the highest
energy burdens. Outreach activities must be conducted at both the state and local level.
Effective outreach requires state leadership to develop the consistent message in conjunction
with Service Providers and other low income based programs and vendors.

Outreach definitions and division of responsibilities is as follows:

         State role in outreach                               Local role in outreach
     Develop a message to promote universal                Encourage income eligible households to
     recognition and acceptance of the                     apply for the program.
     program.                                              Assist households to apply.
                                                           Reinforce state outreach efforts.
                                                           Maintain local program identity.



The following are typical outreach activities:
          Publish articles in local newspapers or broadcast media announcements.
          Include inserts in energy vendor billings to inform individuals.
          Execute interagency agreements with other low income program offices to provide
          outreach to target populations.



Chapter 4 – Customer Service, Outreach, and Coordination                                     Page 23
            Provide intake service through home visits or by telephone for the physically infirm
            (elderly or disabled).
            Place posters, flyers, or applications in local and county social service offices, offices
            of aging, Social Security offices, and VA offices.
            Mail reminders to past recipients of EAP.
            Inform applicants of the availability of other types of assistance as requested.
            Accept applications for energy crisis assistance at sites geographically accessible to
            all households in the area to be served (required by the LIHEAP Act).


State Outreach Activities
State Outreach activities for FFY07 will include:
           Preparing and distributing a statewide application form for Energy Assistance.
           Putting the Energy Assistance Program application on the DOC Web site.
           Maintaining a toll-free referral telephone line at 1-800-657-3805.
           Coordinating with fuel funds including Reach Out for Warmth and Heat Share.
           Providing Service Providers with census data for locating specific populations within
           their service delivery area.
           Provide Language Line Services to Service Providers through the Minnesota
           Department of Administration, Office of Enterprise Technology (see Appendix 4A
           Language Line, for codes and instructions for accessing the Language Line).


Local Outreach Activities
Local Outreach Activities Log
Document each outreach activity. A best practice is to keep up on the documentation, perhaps
doing it weekly, to maintain an accurate record of activities and time spent. The same task can
be recorded several times, if the task takes several steps. For example, setting local targets may
take several meetings, research time, document preparation, and approval of the Board of
Directors. Each would be a task to be documented. To document an outreach activity:
        1) Select the task (required). Possible tasks are:
             a) Complete goals. Complete goals established by Service Provider to provide
                   Outreach.
             b) Cross Train in Service Provider. All training activities for non-EAP local
                   service provider staff, including preparation time, go in this category.
             c) Cross Train Outside Service Provider. Any training or education activities,
                   including preparation time, for any outside individual, group, or service
                   provider, goes in this category.
             d) Make Applications Available. Include activities to plan, prepare and
                   distribute applications. If time is spent explaining the program to other
                   service provider staff, please record it in “Cross Train.”
             e) Build Vendor Relationships. Include any activities spent strengthening
                   vendor relationships, but not actual negotiations for a specific household.
             f)    Provide ESL Applications. Include all activities to plan, prepare and
                   actually distribute applications. If time is spent explaining the program to
                   other service provider staff, please record it in “Cross Train.”


Chapter 4 – Customer Service, Outreach, and Coordination                                       Page 24
              g)    Cultural and Diversity Training. Include time meeting with staff that is
                    spent emphasizing, learning or discussing cultural diversity and problem
                    solving.
              h) Information Brochures. Include all planning, preparation and distribution
                    activities.
              i)    Cataloging Case Histories. Include time spent on eHEAT documenting
                    advocacy activities.
              j)    Customer service training. Include time, including staff meetings, spent
                    emphasizing, learning or discussing customer service and problem solving.
              k) Public Official education. Include activities related to educating public
                    officials about the EAP program.
        2)    Describe (required). Enter a description of the task/activity being documented. Be
              specific. If the task is a big one, such as Information brochures, there may be
              several entries for the task, each with a different description, such as, “Met with the
              printer to identify printing options such as colors, paper, folds, etc.”
        3)    Enter the amount of time spent in minutes on the specific task being described
              (required).
        4)    If the task has an identifiable cost, not staff time, please enter it here. An example
              is printing brochures.
        5)    Count is not required because eHEAT counts it.


COORDINATION
Coordination and collaboration with other energy related service providers and community
resources is essential to maximizing services and to the vision of a universally recognized and
accepted program. Coordination and collaboration must be designed to meet program and local
needs, and service providers should have an on-going process for evaluating and improving their
approaches to these activities.

Cooperation Between EAP Delivery Service Providers
Service Providers are encouraged to share resources to maximize services available to applicants.
Shared resources could include:
           Assisting non-English speaking households to access energy programs.
           Sharing outreach materials and resource information among Service Providers within
           neighboring geographical areas.
           Cost-sharing of 1-800 referral services.
           Sharing cost of program application materials (especially those printed in an alternate
           format).
           Periodic meetings between neighboring Service Providers to discuss mutual concerns.
           Car pooling to statewide meetings.

Community Coordination
In July 2000, the FCC assigned telephone number 2-1-1 for human services information and referral
nationwide. 2-1-1 service is available in Minnesota statewide. In Minnesota, 2-1-1 is answered by
First Call for Help Minnesota. This service provides Service Providers an efficient and convenient
way to refer households to services. Service Providers must be included on the First Call Minnesota



Chapter 4 – Customer Service, Outreach, and Coordination                                      Page 25
web site as an energy assistance provider for each county in their service area and insure information
regarding local services is correct (see Appendix 4B Statewide Information and Referral Services).

The written plan addressing coordination, cooperation and referrals to other community
organizations and businesses is included in the Local Plan (see Chapter 20, Contracts). This
plan should include:
           A list of community organizations to receive application materials.
           A list of community groups that will receive updated information on policy changes
           and the availability of EAP, EAP Crisis, ERR and any additional emergency or
           contingency funds that may become available during the program year. This includes
           the availability of ERR funds during the summer months.
           Methods of coordinating with emergency services and other service organizations to
           implement a crisis procedure.
           Methods of offering applicants the opportunity to register to vote.

Examples of interagency cooperation best practices are:
          Meet with agencies before the program begins to plan the integration and
          implementation of services.
          Formalize cooperative agreements in writing.
          Provide partner agencies with current program information including income
          guidelines and applications.
          Provide partner agencies with regular funding updates.
          Develop methods for referral.
          Identify a staff person to act as a liaison between your agency and other providers.
          Develop a list of agencies. Include telephone number and name of contact person.
          Include at a minimum the following providers:
              Basic Subsistence – Food, housing, telephone, water, transportation.
              Income Maintenance – MFIP, General Assistance, Emergency Assistance, SSI,
              MSA, SS, and VA.
          Establish follow-up procedures to be used to evaluate successful partnerships.
          Ensure partner agencies are able to respond effectively to expressed need.

Weatherization Coordination
Coordination with local Weatherization program staff is necessary for smooth operation of both
programs. By policy, a household that is income eligible for Energy Assistance is also income
eligible for Weatherization. Weatherization may have additional eligibility criteria. To identify
the details of the local coordination, local EAP Service Providers must execute a coordination
agreement with the Weatherization programs that serve their area.

These are the programs’ responsibilities to accomplish coordination:
   Applications
   The Energy Assistance Service Providers will:
           Determine income based on EAP policies.

    The Weatherization Service Provider will:
         Identify one or two individuals who are authorized to access Energy Assistance files.


Chapter 4 – Customer Service, Outreach, and Coordination                                   Page 26
            Agree to pay the Energy Assistance Service Provider the costs of duplicating
            documents and records.

    Energy Related Repair
          If EAP does ERR: Weatherization agrees to identify and refer eligible households
          and fax or e-mail the Energy Related Repair Tracking and Referral Form the same
          day the problem is identified.

            If Weatherization does ERR, Weatherization agrees to:
                Document ERR services on eHEAT.
                Follow crisis timelines when providing ERR services.
                Assure a certified EAP application is on file before proceeding with the work
                using the list sent by EAP (see preceding section, Applications, above) or by
                calling the EAP Service Provider;


    EAP Agrees to:
          Fax or e-mail the Energy Related Repair Tracking and Referral Form immediately
          upon a request from Weatherization.
          Identify and refer eligible households and fax or e-mail the Energy Related Repair
          Tracking and Referral Form the same day the problem is identified.


Cooperation – State and Delivery Service Provider
Communication between the State and delivery Service Providers is essential for the smooth
operation of energy programs. Direct phone numbers and e-mail addresses for all Service
Provider energy staff must be included in the Local Plan. Service Providers are responsible for
keeping the directory information current and correct.


RESOURCE INFORMATION
The Service Provider must provide by mail or in person a community resource list to each
applicant.


APPENDICES
     4A - LANGUAGE LINE
     4B - STATEWIDE INFORMATION AND REFERRAL SERVICES




Chapter 4 – Customer Service, Outreach, and Coordination                                   Page 27
Chapter 4 – Customer Service, Outreach, and Coordination   Page 28
Language Line
The State Department of Administration contracts with Language Lines Services and makes the
service available to state agencies and their contractors and service providers. All Language
Line calls made by Energy Assistance and Weatherization agencies will be charged to the State
Energy Office.

There is no minimum or monthly fee for the service. We will only be charged for the calls we
make. The cost is approximately $2 a minute. There are 147 different languages available.

All agencies must have conference call ability on at least one phone. Conference call ability
allows you to hold someone on your line while connecting to another number.
If you do not have conference call ability on your phone, you will not be able to access the
Language Line Service.

Language Line can be used for both incoming and outgoing calls. The phone number for
Language Line is 1/800/367-9559.

When a non-English speaking client calls in, you must first determine the language. If you are
unable to determine the language, you should call the Language Line and press 0 for assistance.

After you call the 1/800 number, you must enter the state ID number which is 509052.

Each EAP agency has its own access code, which must be entered after the State ID number.
The Energy Assistance Office has given the agency code to the agency’s EAP Coordinator.

All weatherization calls to Language Line will use a common code. If the caller needs to talk to
weatherization, weatherization staff must call Language Line, enter the state ID number, 509052,
and then enter the Weatherization access code, which is 849936.
Weatherization staff must have conference call ability on their phones to access Language Line.

For service or questions, please call the Service Center at 651-296-7833.




CHAPTER 4 – LANGUAGE LINE INFORMATION                                             Appendix 4A
EAP Policy Manual FFY2008
Statewide Information and Referral Services
Agencies can access lists of referral services in two ways. Households can be referred as well.

211 System:
In July 2000, the FCC assigned 2-1-1 for human services information and referral nationwide.
2-1-1 is the national abbreviated dialing code for free access to health and human services information
and referral (I&R). 2-1-1 is an easy-to-remember and universally recognizable number that makes a
critical connection between individuals and families in need and the appropriate community-based
organizations and government agencies. 2-1-1 makes it possible for people in need to navigate the
complex and ever-growing maze of human services’ agencies and programs. By making services easier to
access, 2-1-1 encourages prevention and fosters self-sufficiency. In Minnesota, 2-1-1 is answered by First
Call for Help Minnesota.


2-1-1 provides callers in need with information about and referrals to human services such as:

    Basic Human Needs Resources: food banks, clothing closets, shelters, rent assistance, utility
    assistance.

    Physical and Mental Health Resources: health insurance programs, Medicaid and
    Medicare, maternal health, Children’s Health Insurance Program, medical information lines,
    crisis intervention services, support groups, counseling, drug and alcohol intervention and
    rehabilitation.

    Work Supports: financial assistance, job training, transportation assistance, education
    programs.

    Support for Older Americans and Persons with Disabilities: adult day care, congregate
    meals, Meals on Wheels, respite care, home health care, transportation, homemaker services.

    Children, Youth and Family Supports: child care, after school programs, Head Start,
    family resource centers, summer camps and recreation programs, mentoring, tutoring,
    protective services.

    Volunteer opportunities and donations.

The 2-1-1 service is available statewide.

First Call Minnesota
Agencies and individuals can also contact First Call Minnesota, either on the Web or through their toll
free number. First Call Minnesota is a statewide information and referral system that has regional offices
located around the state. First Call Minnesota works with many state and local agencies to provide
comprehensive information about human services. Their database currently contains information on over
12,000 agencies, which provide 45,000 services. Their web address is www.211unitedway.org.

Agencies should review the website, or contact First Call Minnesota to insure that information
regarding local services is correct.




Chapter 4 – Statewide Information and Referral Services                                       Appendix 4B
EAP Policy Manual FFY2008
                                         CHAPTER 5

           PROGRAM ELIGIBILITY REQUIREMENTS
ELIGIBILITY EFFORT DEFINITION
Background: A major function of local Energy Assistance Program deliverers is determining
eligibility for each component of the program. The LIHEAP Block Grant has left up to the
States the task of resolving the huge number of details entailed in the eligibility determination
process. In Minnesota, the basis of the task (called the “Effort Definition”) has been mostly
agreed upon. Written values, intentions, focus and context are tools for policy and procedure
development and interpretation.

Focus: What we do
        Collect and process applications
        Use information provided on and supplied with the (complete) application to
        determine eligibility
        o Minnesota residency
        o Vulnerability to rising heat costs
        o Household size
        o Income sources and income
        o Application date
        Identify and document income based on program policies
        Determine eligibility based on program policies and available information
        o (Corollary) Do the best we can with what we have
        Communicate with applicants about applications and eligibility
        Use eHEAT as the eligibility tool

Intentions: What we want to accomplish; our outcomes
Summary: Simple and Fair
       Advocacy (eligibility determination outcomes)
             Policies are equitable for applicants statewide.
             Procedures include flexibility to respond to changing situations.
             Policies require only the information needed to administer the program.
       Administrative (policy development outcomes)
             Procedures are simple to do.
             Policies and procedures are easy to understand and explain.
             Policies and procedures promote good stewardship of public funds.

Values: What we believe or think is important.
         Consistent interpretation and implementation of policies and procedures statewide
         Focusing or targeting eligibility criteria to households with the lowest income and
         highest energy burdens and households with vulnerable members.



Chapter 5 – Program Eligibility Requirements                                                Page 29
            Being good stewards of public funds
            Households’ rights to make decisions about their money and about applying for
            Energy Assistance
            o (Corollary) We expect people to target themselves.
            o (Corollary) Service Providers and social service agencies have an obligation to
                tell people about the program.
            Program rules and staff practices facilitate, rather than impede, eligibility
            determination.

Context:
            Eligibility determination is not an exact science.
            Sometimes applicants’ decisions will affect their eligibility.
            SP staff must find the balance between advocacy and caretaking.




Chapter 5 – Program Eligibility Requirements                                             Page 30
ELIGIBILITY POLICY AND PROCEDURES
The Application
One application suffices for determining eligibility for all components of EAP. Households
eligible for EAP may also be eligible for Crisis, Energy Related Repair (ERR) and the Low-
Income Weatherization Assistance Program (WAP). Crisis, ERR and WAP are special programs
that have additional eligibility requirements.

A household is eligible for one primary heat grant during the program year. Once determined
eligible, a household is eligible until September 30, the end of the program year.

Households that move can transfer their eligibility to the new location. This will not increase or
decrease the benefit.


Application Date Requirements
The EAP program year is between October 1 of one year and September 30 of the next. To be
eligible for EAP, all households must apply during the heating season between October 1 of one
year and May 31 of the next.


Minnesota Residence
Anyone residing in Minnesota at the time of application for primary heat or request for crisis or
ERR may be determined eligible. Receipt of a LIHEAP grant in another state in FFY05 does not
disqualify a household from receiving a grant from Minnesota LIHEAP and will not affect the
household’s grant.

VULNERABILITY TO RISING ENERGY COSTS
Households must be vulnerable to increased energy costs in order to be eligible for EAP.
Vulnerability means that an increase in energy costs results in additional shelter costs for the
household.
       These households are vulnerable:                                Because:
    One that pays a vendor for home heating
    energy
    One that pays the actual heat bill to the           The household’s energy bills will rise and
    landlord                                            fall with the market
    One that lives in Section 8 housing and pays
    for heat or electricity based on usage.

    One that pays for heat as part of the rent
    One that lives in HUD 236 or FHA 515 and            The household’s rent may increase with
    pays the greater of 30 percent of their             an increase in energy costs
    income or the base rent of the unit.




Chapter 5 – Program Eligibility Requirements                                                 Page 31
SOCIAL SECURITY NUMBERS
Energy Programs use social security numbers in program administration and to assure that
eligible applicants and their household members receive only allowable benefits. Federal law
allows us to ask applicants to provide their social security numbers in order to process
applications quickly and to prevent detect and correct fraud and abuse. 45 CFR 96.84; 42 U.S.C.
405 (c)(2)(C)(i). Applicants are not required to provide their Social Security Numbers.

The primary applicant (usually the person who signs the application) and all other household
members with countable income need a Social Security Number on the application in eHEAT.
Best practice is to use Social Security Numbers issued by the Social Security Administration.
The Social Security Number used by a household member is also acceptable.

Social Security Numbers are an available unique identifier available to individuals in the United
States. Providing this number will ensure that eligible applicants and household members
receive only one primary heat benefit per year and will allow the program to integrate with client
intake and eligibility systems in the future.


HOUSEHOLD SIZE
Household size means the number of people who reside in the household on the date a household
member signs the application. Some people may be members of more than one household.

Household members activated to the military and deployed are household members. College
students living away from home during the school year are household members if the household
dwelling is their legal residence. Children of divorced parents may be claimed as members of
both households. Proof of joint custody is not required.


HOUSEHOLD DEFINITION
A household includes all individuals who:
          Live together as one economic unit.
          One economic unit is individuals who:
              Occupy a residence, which has not been subdivided,
              Share a living area (bathroom, kitchen, living room).
AND
          Are customarily provided residential energy in common or who make undesignated
          energy payments in rent.
AND
          Do not live in an institution.

Persons living in a room and board facility do not live in an institution. A room and board
facility is licensed only by the Minnesota Department of Health. Examples: transitional
housing, shelters, and some group homes.




Chapter 5 – Program Eligibility Requirements                                                  Page 32
Persons living in a board and care facility do live in an institution. Both the Department of
Health and the Department of Human Services license a board and care facility. Service
Providers are responsible for knowing the board and care facilities in their service area.

A person who rents a room, does not share living area and does not share other dwelling or
household costs is not a member of the landlord household. This renter may apply as a separate
household. Examples of other dwelling or household costs are food, shelter, heat and utilities.

An applicant who rents a room to this renter must count the rental income, may deduct rental
expenses and, if included, must have residential consumption costs reduced by the renter’s
percent of living space in the dwelling.


ATTENDANTS FOR ELDERLY AND/OR DISABLED PEOPLE
Live-in care attendants for elderly or disabled people are not household members. Do not
include an attendant’s income. An attendant’s service must be:
           Provided daily.
           Required for adequate care.
           The primary reason the attendant resides in the household.


FOSTER CARE
Households may choose foster family members as household members or not, whichever is the
most beneficial:
          Count foster care payments in household income and include the person(s) in foster
          care as household members.
          Exclude foster care payments from household income and exclude the person(s) in
          foster care as household members.


INCOME DEFINITION AND DETERMINATION
Income is defined according to the Department of Health and Human Services Update of the
Estimated State Median Income for Four Person Families. Income means a household’s gross
cash receipts, before taxes. Certain kinds of money the household receives are not, by their
natures, income. Both income inclusions and income exclusions are described below.

Households must provide verification of all members’ incomes for the eligibility period. State
developed forms must be used for households claiming zero income. Follow-up with households
with very low income is an A16 activity.

The standard used to determine maximum eligible income for most household sizes is state
median income guidelines, issued annually by the federal Department of Health and Human
Services. The income guidelines equal 50 percent of the Minnesota State Median Income. 110%
of the federal poverty guideline becomes the standard when it is greater than 50 percent of the
state median income for a household size.




Chapter 5 – Program Eligibility Requirements                                                Page 33
Eligibility is based on household income using the following criteria:
             Gross payments for the 3 complete months prior to signing the application for most
             earned and unearned income, and/or
             The previous year’s months profit divided by 4 for self-employment and certain
             regular annual payments.

2008 MAXIMUM ENERGY ASSISTANCE INCOME GUIDELINES
              2008 Maximum Energy Assistance Income Guidelines
                          Based on 50% SMI or 110% of poverty, whichever is greater
House-                       3 month Maximum           House-                         3 month Maximum
 hold                           Guidelines              hold                             Guidelines
 Size       50% SMI             Exact*     Rounded      Size       50% SMI            Exact*    Rounded
   1       $20,122.44        $5,030.61       $5,030       9       $54,562.77      $13,640.69     $13,640
   2       $26,313.96        $6,578.49       $6,578      10       $55,723.68      $13,930.92     $13,930
   3       $32,505.48        $8,126.37       $8,126      11       $56,884.59      $14,221.15     $14,221
   4       $38,697.00        $9,674.25       $9,674      12       $58,045.50      $14,511.38     $14,511
   5       $44,888.52       $11,222.13      $11,222      13       $59,206.41      $14,801.60     $14,801
   6       $51,080.04       $12,770.01      $12,770      14       $60,995.00      $15,248.75     $15,248
   7       $52,240.95       $13,060.24      $13,060      15       $64,823.00      $16,205.75     $16,205
   8       $53,401.86       $13,350.47      $13,350      16       $68,651.00      $17,162.75     $17,162
*eHEAT calculates benefits based upon the exact amount of income entered with the application.
For each additional household member, add $957 to the 3-month income and $3,828 to the
annual income.




Chapter 5 – Program Eligibility Requirements                                                     Page 34
INCOME INCLUSIONS AND EXCLUSIONS
                Income Types                                        Definition                         Count
                                                                                                     YES NO
 Earned income for minors or K-12 students     This is never counted
                                               This is never counted. Sometimes an EIC Advance
                                               will be on a payroll check. It should not be added
 Earned Income Credit
                                               into the gross, but sometimes it is. Deduct it from
                                               the gross when determining eligible income.
 Wages, Salaries, Commissions, Bonuses,
 Profit Sharing, Tips, Vacation pay;
 Severance pay; Sick Leave; Royalties and      Count all gross income received in 3 months
 honoraria which result from the client’s
 work or service.
                                               When a household member is deployed, that person
                                               remains a household member. The deployed
 Military pay                                  person’s income is counted as household income,
                                               except that portion paid directly to the deployed
                                               person for expenses.
 Jury duty pay
 Employer paid fringe benefits, including
 the employer portion of cafeteria benefits
 Food or rent received instead of wages
 Gambling or wagers
                                               Title V of the Older Americans Act: Green Thumb,
                                               Senior Health Aides, Senior Companions, Domestic
                                               Volunteer Service Act: VISTA, AmeriCorps, UYA,
 Program Participation income
                                               Urban Crime Prevention Program, RSVP, Foster
                                               Grandparent Program, Senior Health Aides, Senior
                                               Companions, ACE.
                                               Resulting from occasional work such as income from
 Irregular income
                                               lawn mowing or snow shoveling.
                                               From Federal and State Employment programs, only
 Training allowances                           the portion that pays or reimburses for living
                                               expenses.
 Assistance Payments                           RSDI/SSI/MSA, TANF, MFIP, General Assistance.
 Cash gifts                                    Must provide regular support for the family.
 Payments on behalf of the household           Must provide regular support for the family.
                                               These payments may be cash payments to the
 Section 8 Mortgage Payments                   household or regular payments on behalf of the
                                               household.
 Irregular cash gifts or payments on behalf
 of the household
 Adoption Assistance
                                               Do not deduct child support from the household
 Spousal support and child support
                                               paying it.
 Strike Benefits
 Worker’s Compensation
 Unemployment Insurance
 Payments from government sponsored
                                               Such as agricultural programs.
 programs




Chapter 5 – Program Eligibility Requirements                                                           Page 35
               Income Types                                         Definition                           Count
                                                                                                       YES NO
 Indian per capita judgment payments
                                               If annual or regular lump sum payments, total for the
 Tribal per capita payments from casinos       past 12 months then divided by four. If monthly, use
                                               the last three months.
                                               If over $50 per quarter or $200 a year. If payments
                                               are made annual or regularly but not monthly, use
 Dividends, Interest and Royalties
                                               the 12-month total divided by four. If monthly, use
                                               the last three months.
                                               If payments are made annual or regularly but not
 Annuities, Pensions, Retirement               monthly, use the 12-month total divided by four. If
                                               monthly, use the last three months.
 Veteran’s Benefits
                                               If payments are made annual or regularly but not
 Trust Disbursements                           monthly, use the 12-month total divided by four. If
                                               monthly, use the last three months.
                                               Net amount of the check (gross amount minus
                                               amount deducted for Medicare and Medicare Part
 Social Security Benefits
                                               D). Count for all household members (even minors
                                               and students).
 Student Income (Grants)                       Only the portion that pays for living expenses.
 Student Income (Loans)
 Loans                                         Includes cash draw downs on credit cards.
 Regular lump sum payments                     Consider the annual payment divided by four.
 Non-recurring lump sum payments
 Overpayments & refunds
                                               Such as: For job related expenses such as mileage or
 Reimbursements                                uniforms; for medical expenses; income tax refunds
                                               or rebates.
 Draw-down on assets                           Includes reverse mortgages
 Business Income                               Income from a business less business expenses
 Capital Gains or Losses                       For Self-employment only – see Form 4797
                                               Deduct job-related expenses from gross income for
                                               employed individual who pays business expenses
 Job-related expenses for non-self-employed
                                               comparable to self-employment, such as a sales
                                               person, truck driver, or cab driver.
                                               Consider rental to be a business. Rental income is
                                               rent collected minus expenses. Use income tax
 Rental Income                                 return or Self-Employment Income Worksheet: Cash
                                               Accounting Method. Determine equivalent 3-month
                                               income.
 Contract for Deed                             Count annual interest payment divided by 4.
 Income passed through to creditors            Such as: Forced sales.
 In-kind income




Chapter 5 – Program Eligibility Requirements                                                             Page 36
By law, the following cannot be considered income:
          Student loans or grants to any undergraduate student made or insured through
          programs administered by the Commissioner of Education under Title V, Sec. 507 of
          the Higher Education Amendments of 1968. (Public Law 90-575, 883 Statute 1063)

            Indian per capita judgment payments made to any tribe or group whose trust
            relationship with the federal government has been terminated and for which
            legislation in effect before October 12, 1973 authorized the disposition of its
            judgment funds.

            Non-cash Federal or State Benefits.

            Agriculture Nutrition Act of 1949 Section 416: Value of federally donated food
            acquired through price support operations for school lunch or other distribution to
            needy people.

            Child Nutrition Act of 1966. The value of assistance to children under this Act.

            Title I of the Workforce Investment Act of 1998 (WIA): Supportive services to
            participants. Supportive services include assistance that enables people to participate
            in the program, e.g., transportation, health care, child care, handicapped assistance,
            meals, temporary shelter, counseling, and other reasonable expenses or participation
            in the program. Exclude all WIA-supported income received by dependent household
            members who are 18 years old or younger or attending school K-12.

            Conveyance of Submarginal Lands to Indians: The value of land taken from and
            later added back to Indian reservations must not be considered income.

            Reparation payments to Aleut people and people of Japanese ancestry under Public
            Law 100-383.

            Food Stamp Act of 1964: The value of the coupon allotment provided to any
            eligible household in excess of the amount charged to that household.

            National School Lunch Act: The value of assistance to children under this Act.

            WIC: Benefits from the Women, Infant, and Children (WIC) nutrition program,
            Child Nutrition Act.

            Older Americans Volunteer Act of 1965 (P.L. 96-478): Income paid to participants
            in programs carried out under the Community Service Employment Program (Title V
            of the Older Americans Act), including Green Thumb, Senior Health Aides, Senior
            Companions.

            Domestic Volunteer Service Act of 1973 (P.L.93113): Income paid to
            participants. Title 1: Volunteers in Service to America (VISTA), Americorps,


Chapter 5 – Program Eligibility Requirements                                               Page 37
            University Year for Action (UYA), Urban Crime Prevention Program. Title II:
            Retired Senior Volunteer Program (RSVP), Foster Grandparent Program, Older
            Americans Community Service Program (Senior Health Aides, Senior Companions).
            Title III: Service Corps of Retired Executives (ACE).

            Payments received from youth incentive entitlement projects, youth community
            conservation and improvement projects.

            Subsidized Housing: The value of any assistance paid with respect to a dwelling
            under the U.S. Housing Act of 1937, the National Housing Act, Section 101 of the
            Housing and Urban Development Act of 1965, or Title V of the Housing Act of 1949.

            Medicare/Medicaid: The value of medical expenses paid directly to a health care
            provider on behalf of the household.

            Medicare deductions from Social Security.

            Veteran’s Benefits: Vietnam Agent Orange Benefits. Benefits for the children of
            woman-Vietnam veterans who suffer from certain birth defects must not be
            considered as income or resources in determining eligibility or benefits. If a child
            receives a benefit from the Veteran’s Administration because of a birth defect, it is
            likely this benefit (P.L. 106-419).

            Veteran’s educational allowance.

            Job Related Expenses for Non Self-Employed Applicants: If you determine that
            an applicant is justifiably self-employed but does not file income tax as self employed
            (a sales person or a truck driver/taxicab driver) and who pays business expenses and
            also receives a paycheck, deduct those business expenses from household’s total
            gross income.

            Note: Service Providers must determine whether the applicant’s job related expenses
            are comparable to self-employment. One possible source for these expenses is IRS
            Form 2106, “Employee Business Expense.”

            Reimbursements from the Uniform Relocation Assistance and Real Property
            Acquisition Policy Act of 1970.

            Payments made under the Radiation Exposure Compensation Act (Public Law 101-
            426).

            Payments made by federal Service Providers under a presidential declaration of
            disaster including, but not limited to, individual family grants from the Federal
            Emergency Management Agency (FEMA).




Chapter 5 – Program Eligibility Requirements                                                 Page 38
Cafeteria Benefits
Most employers who provide benefits make a contribution to the cost of the benefit, with the
remaining cost paid by the employee through payroll deduction. The employer contribution is
not income. The payroll deduction is income.
Some employers provide benefits using a cafeteria plan. IRS rules treat cafeteria plan benefits
the same way they treat “regular” fringe benefits. The employer contribution is not income. The
payroll deduction is income. In addition, cash received under a cafeteria plan in lieu of benefits is
wages, while cash received as a reimbursement for qualified-benefit expenses, such as child care,
is not income.

Determining income for applicants with cafeteria benefits is more complex than for “regular”
benefits. Due to the difficulty of identifying employer-paid benefits when the employer uses a
cafeteria plan, the policy of the Minnesota Energy Programs regarding benefits provided under a
cafeteria plan is:

        Do not include employer-paid cafeteria-plan benefits in gross income when they can be
        identified with reasonable administrative effort.


Identify Cafeteria Benefits
Use these three procedures to identify employer-paid cafeteria benefits and exclude them from
gross income:
        1. When determining eligibility, get cafeteria plan information if it is clearly indicated
           on income documentation. Do not request additional information from the household
           to identify cafeteria benefits.
        2. If the household is over-income, review the income documentation using the
           Cafeteria Plan Worksheet to identify cafeteria benefits.
        3. If the household appeals based on the income amount, ask the household if the fringe
           benefits include a cafeteria plan. If the household asserts they do, ask the household
           or employer to provide information about the employer-paid cafeteria benefits.

The following terms on the pay slip suggest the existence of a cafeteria plan:
          Flex
          Choices
          Sec. 125
          Café Plan

If the pay slip has one of the terms listed above, identify the amount of the gross income less the
employer-paid fringe benefits. Caution: pay slips that appear to show payroll deductions may
actually show how funds from a cafeteria plan agreement have been allotted among qualified
benefits.

The Minnesota Energy Assistance Program policy for identifying and counting income when the
employee has a cafeteria plan is consistent with Social Security Administration Policy SI
00920.102 Cafeteria Benefit Plans. See



Chapter 5 – Program Eligibility Requirements                                                 Page 39
https://s044a90.ssa.gov/apps10/poms.nsf/lnx/0500820102 for the complete text of the Social
Security Administration policy.


SOURCES OF INCOME VERIFICATION
Qualified Eligibility
Households who have only one of the following sources of income and no other income are
eligible at the lowest level of income under the state median income guidelines. These
households must document the sources of their income but must not be required to provide proof.
             MFIP (Minnesota Family Investment Program)
             TANF (Temporary Assistance For Needy Families)
             SSI (Supplemental Security Income)
             MSA (Minnesota Supplemental Aid)--see Exception below
             General Assistance

In addition, households with any of the sources listed above must document their income for
each source for only one month. Consider payments for the other two months to be the same as
the documented month when determining eligibility.

Exceptions:
Include MSA at the maximum amount ($81 per month per person) without requiring
documentation if the household receives SSI and has checked MSA on the application as a
source of income.

Document MFIP benefits for the past three months if:
         If the household has both MFIP and wages
         If an MFIP benefit is less than the full amount expected for the household size

Household Employment Income Documentation
         Consecutively dated pay stubs received or the first and last pay stubs when year-to-
         date wages are included for the past 3 months prior the date the application is signed.
         A signed and dated letter from the employer on letterhead stating the employee’s
         gross wages for the past three months prior the date the application is signed.
         Public records, some of which may only be released with an applicant(s) signed
         authorization.
         Affidavits or statements obtained by the applicant that documents eligibility, when
         the above are not obtainable.

Self-Employment Income Documentation: Business
Use tax forms and the Self-Employment Worksheet (see Appendix 5C Self Employment
Worksheet) to determine income and expenses from self-employment. Total income on the Form
1040, lines 12, 13 (positive numbers only – enter a zero if the amount on line 13 is negative), 14,
17, and 18. If total of the five lines on the form is negative, enter the total as 0. A business loss
does not offset gains from other EAP countable income. If households have multiple Form
1040s that include self-employment income, use two forms and add the results. A loss from one
Form 1040 is not subtracted from another Form 1040.


Chapter 5 – Program Eligibility Requirements                                                 Page 40
Use the Appendix 5D Self-Employment Worksheet: Cash Accounting Method to determine
income and expenses for rental property, if needed, and for new businesses started the year the
application is signed. Compute the 3 month average income based on the number of reported
months. The individual income is the gross remaining after the cost of doing business.

Self-Employment Income: Farm
Farm income includes:
          Proceeds from sale of crops, livestock or products.
          Soil conservation payments and other subsidies.
          Proceeds from machine rental, including wages to the farmer/operator.
          Proceeds from land rental.

Use the tax forms and the Self-Employment Worksheet (see Appendix 5C Self Employment
Worksheet) to determine income and expenses from self-employment. Total income on the Form
1040, lines 12, 13 (positive numbers only – enter a zero if the amount on line 13 is negative), 14,
17, and 18. If total of the five lines on the form is negative, enter the total as 0. A business loss
does not offset other EAP countable income. If households have multiple Form 1040s that
include self-employment income, use two forms and add the results. A loss from one Form 1040
is not subtracted from another Form 1040.

Use the Appendix 5E Self-Employed Worksheet Farm Cash Accounting Method, for new
farming operations started the year the application was signed. Compute the 3 month average
income based on the number of reported months. The individual income is the gross remaining
after the cost of doing business.

Households Reporting No Income
Some applications report no household income. Households claiming no income must reveal
their source(s) of support. The first year an application claims no income, the household may
declare their sources of support. In succeeding years, support claims, like income, must include
documentation or sources for verification.

1st year ...................................If every adult in the household reports no income for the income
                                            eligibility period, the applicant must complete the Worksheet for
                                            Households Claiming No Income form (see Appendix). SPs must
                                            determine eligibility based on the reported income.

2nd Year and Later ...............When a household reports no income for two or more years, the
                                  applicant must complete the Worksheet for Households Claiming
                                  No Income form and provide documentation where requested. The
                                  SP must obtain written or verbal verification of regular support
                                  from others reported on the form. SPs must determine eligibility
                                  based on documentation sent with the form or verified during the
                                  follow-up. Inadequate information on the form is cause for
                                  “Incomplete” status of the application.




Chapter 5 – Program Eligibility Requirements                                                          Page 41
Households With Low Income
If the reported household income is inadequate to meet basic household expenses make a referral to
advocacy and support services. (Note: Do not deny assistance on the basis of this information.)

Fully Employed Household Members With Seasonal Income
Household members who work on a twelve month contract but will be paid over a period of less
than twelve months may not report zero income for the months they receive no pay. They must
report one fourth of their annual gross income for the contract year that coincides with their
application. School district employees may be the most common example of this situation.

To identify these individuals:
           If they report zero income for all months, use the Worksheet for Households Claiming
           No Income to identify them.
           If they report income for some months but not for others, the income documentation
           will identify their employer. In addition, these workers will not receive
           unemployment insurance during their off season.

Other Reported Income
       Veterans Benefits
          Bank statements
          Benefit payment checks.
          Veteran’s Administration award notice.
          Records of County Veteran’s Service Office.
          VA records.

        Unemployment Compensation Insurance
        In August 2006, the Minnesota Department of Employment and Economic Development
        (DEED) changed the way it provides Unemployment Insurance payment information.
        Unemployment recipients no longer receive paper stubs, though the information is
        available to them on the Internet. Each recipient uses a PIN and their Social Security
        Number to access the information.

        SPs can get verification by:
           1. Requiring the individual to request their payment history on-line or by phone.
               DEED gladly sends it out to the individual but not to a third party.
           2. Getting a signed, written authorization for the payment history and fax it to the
               unemployment office. DEED can then send the information directly to the
               agency.

        Union Benefits
           Award of benefit notice.
           Union records.

        Child Support
           Copies of support checks.



Chapter 5 – Program Eligibility Requirements                                               Page 42
            Court, probation office or attorney checks.
            Canceled checks in possession of parent contributing support.
            Bank records.
            Copy of county warrant.

        Workers’ Compensation
          Benefit award notice.
          Copies of canceled workers’ compensation checks.
          Workers’ Compensation records.
          Attorney’s records.

        Pensions, Railroad Retirement, Annuities and other Retirement Accounts
           Railroad Retirement award letter.
           Benefit check.
           Record of pension or benefit fund.

        Social Security/SSI/RSDI
           Bank statement showing direct deposit
           Check stubs or award letters showing Social Security and/or Supplemental Security
           income
           Computation of current benefit amount based on the previous year’s benefit amount.
           Mail-in request to Social Security
           Telephone verification (emergency only)

Note: Annual cost of living increases take effect on January 1 each year for both Social Security
and SSI income recipients. If you know the applicant’s current benefit amount (January 1
through December 31 of this year) and you know the amount of the cost of living increase, you
can compute the previous year’s monthly benefit amount. (See Worksheet.)

        PERA
        Some former public employees who pay Public Employees Retirement Association
        (PERA) do not pay into Social Security. However, they are able to receive the Medicare
        benefit if they pay for it out of pocket. Just as the amount taken out of a social security
        check for the Medicare benefit is not included in a household’s gross income for the
        purposes of the energy assistance, neither is the amount paid out of a household’s PERA.
        For example, if a person gets PERA of $1,000 and must pay $43 for Medicare, their
        gross income for the purposes of the energy assistance program is $957.


EXPEDITED VERIFICATION
To authorize assistance in the event of a crisis, expedite income verification and eligibility
determination as much as possible. Note: To expedite verification, obtain a verbal statement
from the applicant, which states that:
           To the best of the applicant's knowledge, the household's income qualifies for energy
           assistance.


Chapter 5 – Program Eligibility Requirements                                                Page 43
            An emergency exists.
            The applicant promises to return emergency assistance funds if the household is
            found to be ineligible.

After the immediate crisis has been addressed:
           Obtain the applicant's signature.
           Verify household income to confirm eligibility.
           Inform the applicant about your Service Provider's procedures and the applicant's
           responsibility.

If the household is ineligible for the assistance, begin recoupment proceedings as described in
Chapter 17, Errors and Fraud.


APPENDICES
     5A - INCOME INCLUSIONS AND EXCLUSIONS
     5B - CAFETERIA PLAN WORKSHEET
     5C - SELF-EMPLOYED INCOME AND CONSUMPTION WORKSHEET
     5D - SELF EMPLOYED WORKSHEET CASH ACCOUNTING METHOD
     5E - SELF EMPLOYED WORKSHEET FARM CASH ACCOUNTING METHOD
     5F - WORKSHEET FOR HOUSEHOLDS CLAIMING NO INCOME
     5G – SAMPLE ELIGIBILITY WORKSHEET
     5H - 2007SOCIAL SECURITY BENEFIT WORKSHEET




Chapter 5 – Program Eligibility Requirements                                               Page 44
INCOME INCLUSIONS AND EXCLUSIONS
                Income Types                                       Definition                           Count
                                                                                                      YES NO
 Earned income for minors or K-12 students    This is never counted
                                              This is never counted. Sometimes an EIC Advance
                                              will be on a payroll check. It should not be added
 Earned Income Credit
                                              into the gross, but sometimes it is. Deduct it from
                                              the gross when determining eligible income.
 Wages, Salaries, Commissions, Bonuses,
 Profit Sharing, Tips, Vacation pay;
 Severance pay; Sick Leave; Royalties and     Count all gross income received in 3 months
 honoraria which result from the client’s
 work or service.
                                              When a household member is deployed, that person
                                              remains a household member. The deployed
 Military pay                                 person’s income is counted as household income,
                                              except that portion paid directly to the deployed
                                              person for expenses.
 Jury duty pay
 Employer paid fringe benefits
 Food or rent received instead of wages
 Gambling or wagers
                                              Title V of the Older Americans Act: Green Thumb,
                                              Senior Health Aides, Senior Companions, Domestic
                                              Volunteer Service Act: VISTA, AmeriCorps, UYA,
 Program Participation income
                                              Urban Crime Prevention Program, RSVP, Foster
                                              Grandparent Program, Senior Health Aides, Senior
                                              Companions, ACE.
                                              Resulting from occasional work such as income from
 Irregular income
                                              lawn mowing or snow shoveling.
                                              From Federal and State Employment programs, only
 Training allowances                          the portion that pays or reimburses for living
                                              expenses.
 Assistance Payments                          RSDI/SSI/MSA, TANF, MFIP, General Assistance.
 Cash gifts                                   Must provide regular support for the family.
 Payments on behalf of the household          Must provide regular support for the family.
                                              These payments may be cash payments to the
 Section 8 Mortgage Payments                  household or regular payments on behalf of the
                                              household.
 Irregular cash gifts or payments on behalf
 of the household
 Adoption Assistance
                                              Do not deduct child support from the household
 Spousal support and child support
                                              paying it.
 Strike Benefits
 Worker’s Compensation
 Unemployment Insurance
 Payments from government sponsored
                                              Such as agricultural programs.
 programs
 Indian per capita judgment payments
                                              If annual or regular lump sum payments, total for the
 Tribal per capita payments from casinos      past 12 months then divided by four. If monthly, use
                                              the last three months.
 Dividends, Interest and Royalties            If over $50 per quarter or $200 a year.
 Annuities, Pensions, Retirement
 Veteran’s Benefits


Minnesota Department of Commerce                                                                      Appendix 5A
Revised 6-07
               Income Types                                        Definition                          Count
                                                                                                     YES NO
 Trust Disbursements
                                              Net amount of the check (gross amount minus
 Social Security Benefits                     amount deducted for Medicare). Count for all
                                              household members (even minors and students).
 Student Income (Grants)                      Only the portion that pays for living expenses.
 Student Income (Loans)
 Loans                                        Includes cash drawdowns on credit cards.
 Regular lump sum payments                    Consider the annual payment divided by four.
 Non-recurring lump sum payments
 Overpayments & refunds
                                              Such as: For job related expenses such as mileage or
 Reimbursements                               uniforms; for medical expenses; income tax refunds
                                              or rebates.
 Draw-down on assets                          Includes reverse mortgages
 Business Income                              Income from a business less business expenses
 Capital Gains or Losses                      For Self-employment only – see Form 4797
                                              Deduct job-related expenses from gross income for
                                              employed individual who pays business expenses
 Job-related expenses for non-self-employed
                                              comparable to self-employment, such as a sales
                                              person, truck driver, or cab driver.
                                              Consider income tax return or Self-Employment
 Rental Income                                Income Worksheet: Cash Accounting Method
                                              Determine equivalent 3-month income.
 Contract for Deed                            Count annual interest payment divided by 4.
 Income passed through to creditors           Such as: Forced sales.
 In-kind income




Minnesota Department of Commerce                                                                     Appendix 5A
Revised 6-07
                     Name                                              HHD #




                             CAFETERIA PLAN WORKSHEET
                     Use this worksheet to calculate the EAP Income taking
                     cafeteria plan benefits into account.

                     Instructions: Enter data from each pay slip you are
                     checking for EAP income. See the "Instructions" worksheet
                     included in this workbook.
                     Employer:




                                       Total Gross
                                      Income (Enter                       Calculated
                            Date Paid from pay slip)   Flex Benefits     EAP Income
                       1
                       2
                       3
                       4
                       5
                       6
                       7
                       8
                       9
                     10
                     11
                     12
                     13


                                     Total calculated EAP Income




Chapter 5 -Cafeteria Plan
Revised 7-07                                                                           Appendix 5B
EAP Policy Manual FFY2008
  SELF-EMPLOYMENT INCOME AND CONSUMPTION WORKSHEET

                    SELF-EMPLOYMENT INCOME WORKSHEET
         Use for households reporting self-employment income from the prior year's tax form. Enter the line
         item amounts in eHEAT or the positive total on line 8 on the eligibility worksheet.

                    Household Number: ________________________

                    Household Name: __________________________

  From 1040
  Total the amounts from the following lines:                                        Self-Employment Income

            12       Business Income or loss

            13       Capital gains or losses (positive amounts only)

            14       Other gains or losses
            17       Rental real estate, royalties, partnerships, etc.

            18       Farm income or loss



                    SELF EMPLOYMENT INCOME - Annual Income
                         Add lines 12, 13, 14, 17, and 18 and enter here:
           Total

         3 Months               3 Months (Divide Annual Income by 4)

          TOTAL      3-month self employment income (positive amounts only)


         *TOTAL to be added to income from all sources to determine EAP
         eligible income




                    SELF-EMPLOYMENT CONSUMPTION ADJUSTMENT

  Information from Application (Contact HHD if this information is incomplete on the application, if needed.)
  1. Does your heating cost include a business? Yes___No___.
        (If "No," there is no adjustment. If "Yes," continue.)

   2. If you checked yes, what % of your heating costs are for the business?________%


  3. Calculating the Adjusted Residential Heating Cost
  Residential Heating Consumption Cost from vendor:                              A
  % of your heating const for the business from No. 2 above:                  B
  Business portion of the Residential Heating Cost:                      A x B=C                        $0
  Adjusted Residential Heating Cost                                      A-C=D                                Enter into eHEAT




Chapter 5 - Program Eligibility Requirements                                                                            Appendix 5C
EAP Policy Manual FFY2008
                                   SELF-EMPLOYMENT INCOME WORKSHEET: CASH ACCOUNTING METHOD
               EAP Household Number
                                                                                          I understand that I must complete this worksheet to apply for energy assistance.
                                   Name                                                   I declare that this information is true and accurate.
                      Name of Business                                                    I understand that I may be prosecuted for fraud and perjury under Minnesota
                   Address of Business                                                    statutes if I knowlingly provide false information.
       New Business Beginning Month
                                                                                          Signature:___________________________________ Date:_____________
  New Business-Month before signing


                                                                                              MONTH
DESCRIPTION                                      Jan.          Feb.   Mar.   Apr.   May      June July              Aug.        Sept.       Oct.        Nov.        Dec.         Total
INCOME
                 Gross Receipts/Sales
                   Other Gains/Income
              Less Returns/Allowances
              Less Cost of Goods Sold
                Materials/Supplies, etc.
GROSS INCOME

EXPENSES
                           Advertising
     Car, truck exp/freight/gas/fuel oil
                   Commissions/Fees
          Insurance (not incl in fringe)
                                Interest
                   Legal/Professional
                       Office expense
   Rent/lease on land/bldg/equipment
            Repairs and Maintenance
                  Taxes and Licenses
  Travel/meals(tax deductible portion)
                                Utilities
           Wages/Casual labor/Fringe
                 Other Miscellaneous
TOTAL EXPENSES
NET INCOME: Gross Income minus
Total Expenses




  Chapter 5 - Self Employed Worksheet Cash Accounting Method
  Revised 8/1/07                                                                                                                                                             Appendix 5D
                                         SELF-EMPLOYMENT CONSUMPTION ADJUSTMENT                                                       (FOR OFFICE USE ONLY)


                                         1. Is the residence or residential property used for any self-employment, rental or other business purposes?
                                              ___Yes         ___No          (If “No” There is no adjustment. If “Yes” Continue)


                                         2. Percent of residential heating used for HHD’s own living space? _________ %

                                             Percent determined from ___ application    ___ rental agreement ___ asked HHD member,

                                            ___other _______________________________________________________________________


                                         3. If No. 2. above is 100 %, explain (separate meter or tank, unheated storage, shop electricity only with no electric

                                            heating in the residence, etc.): __________________________________________________________________


                                         Residential Heating Consumption Cost from vendor:               A
                                         % used for HHD’s own living space from No. 2 above:             B
                                         Adjusted Residential Consumption Cost:            AxB=          C                  Enter into eHEAT




Chapter 5 - Self Employed Worksheet Cash Accounting Method
Revised 8/1/07                                                                                                                                                    Appendix 5D
                       SELF-EMPLOYMENT WORKSHEET FOR FARM INCOME: CASH ACCOUNTING METHOD

                  EAP Household Number:
                                                                                      I understand that I must complete this worksheet to apply for energy assistance.
                                     Name:
                                                                                      I declare that this information is true and accurate.
                          Address of Farm:                                            I understand that I may be prosecuted for fraud and perjury under Minnesota
                                                                                      statutes if I knowlingly provide false information.

               New Farm Beginning Month:                                              Signature:___________________________________ Date:_____________

         New Farm - Month before signing:


                                                                                        MONTH
DESCRIPTION                                      Jan.     Feb.    Mar.   Apr.   May    June July          Aug.      Sept.     Oct.      Nov.     Dec.        Total
INCOME
   Cash from Sale of Livestock,etc.
                Co-op Distribution
            Ag Program Payments
              Farm Rental Income
                   Interest Income
               Other Farm Income
TOTAL INCOME

EXPENSES
  Car, truck exp/freight/gas/fuel oil                                                                                                                         Total
   Ag Supplies: Seed/plants/chemicals
            Wages/casual labor/fringe
                 Livestock Purchased
             Livestock Supplies: feed
   RE Tax/Insurance (farm portion only)
                            Interest
 Rent/lease on land/bldg/equipment
          Repairs and Maintenance
             Storage/Warehousing
                      Farm Utilities
      Veterinary/breeding/medicine
               Other Miscellaneous
TOTAL EXPENSES:
NET INCOME: Gross Income minus
Total Expenses




Chapter 5 - Self Employed Worksheet Farm Cash Accounting Method
Revised 7/07                                                                                                                                               Appendix 5E
 SELF-EMPLOYMENT CONSUMPTION ADJUSTMENT                                                                                 (FOR OFFICE USE ONLY)
1. Is the residence or residential property used for any self-employment, rental or other business purposes?
                                              ___Yes      ___No (If “No” There is no adjustment. If “Yes” Continue)


2. Percent of residential heating used for HHD’s own living space? _________ %
    Percent determined from ___ application ___ rental agreement, ___ asked HHD member,
   ___other _______________________________________________________________________

3. If No. 2. above is 100 %, explain (separate meter or tank, unheated storage, electricity for shop only & all
residential electric is non-heating, etc.):_________________________________________________

Residential Heating Consumption Cost from vendor:                                                   A
% used for HHD’s own living space from No. 2:                                                       B
Adjusted Residential Consumption Cost:                                           AxB=               C             Enter into eHEAT




Chapter 5 - Self Employed Worksheet Farm Cash Accounting Method
Revised 7/07                                                                                                                                    Appendix 5E
Service Provider Name & Phone                                                                                          SP Logo
Address

                                                          Energy Assistance Program
                                      WORKSHEET FOR HOUSEHOLDS CLAIMING NO INCOME

Applicant Name: ___________________________________________________________ Household Number: _________________

Address: ______________________________________________________________ Phone number: __________________________
Your application for Energy Assistance did not show enough income to pay your monthly bills. Please complete this form to tell us how
your living expenses were paid for these three months: ___________________________________________________.
Yes No Section I. Did you have sources of income you did not think to report?
              During the three months listed above, has anyone in your household been employed part time?
                   If yes, give dates of work for each household member employed part time. Use the back of this form.
                   If yes, provide proof of income for each household member’s part time employment with this form.
              During the three months listed above, has anyone in your household been self-employed or working for cash?
                   If yes, send your Income Tax for proof of income. If a tax form is not available, contact us for more information.
              During the three months listed above, did your household receive: (circle any that apply) Workers Compensation
              Unemployment Government Sponsored Program Child Support Other (If yes, send proof of income with this form.)
              In the last year, did your household receive (If yes, circle any that apply) Insurance Benefits       Annuity Payments
              Pension Tribal Casino Payments Rental Income (Explain on back of form and send proof of payment with this form.)
Yes     No Section II. Are you spending down your assets or borrowing money? You may be required to provide proof.
               Are you using savings or a home equity loan? (circle any that apply)
               Are you using some other asset? If yes, please explain on back of this form.
               Are you borrowing from credit cards?
               Are you borrowing from some other source? If yes, please explain on back of this form.
Yes      No     Section III. Are you receiving support from others?
                During the three months listed above, have you received loans or gifts from family or friends? (circle any that apply)
                If yes, List all sources here Name:                                                    Phone:
                and please explain on the      Name:                                                   Phone:
                back of this form.             Name:                                                   Phone:
                Do you live with a friend or relative?
                If yes, list name and phone number      Name:                                          Phone:
Please tell us how you paid these monthly expenses during the three months listed above:
              Monthly       How has the expense                          Name and Addresses                               Phone Number
Expense
                Cost             been paid?                      of Individual Who Pays the Expense                     (include area code)
Rent or                                               Name:
Mortgage                                              Address:
Lot rent                                              Name:
(if any)                                              Address:
                                                      Name:
Food
                                                      Address:
                                                      Name:
Heat
                                                      Address:
                                                      Name:
Electric
                                                      Address:

If none of the above applies to you, please explain how your monthly expenses were paid (example: Earned Income Credit = $1,000).
____________________________________________________________________________________________
____________________________________________________________________________________________
Payments made by others to provide regular support for your household are considered income. Your application may be denied if you
do not provide the names, addresses and phone numbers of those who are providing money to you or making payments for you. If there
is additional information about your household income that you think we should know, please use the back of this sheet.
By signing this form, I affirm that I believe these facts are accurate and true. I give the Service Provider my permission to verify this
information. I may be held civilly or criminally liable under federal or state law for knowingly making false or fraudulent statements.

Applicant’s Signature: ___________________________________________________                    Date: ________________________________
Chapter 5 - Worksheet For Households Claiming No Income                                                                           Appendix 5F
Revised 7/07
EAP Policy Manual FFY2008
Energy Assistance
Eligibility Worksheet
Applicant’s Name______________________________________ HH#:_____________

 Member’s Name

 Income Source

 Month 1:

 Month 2:

 Month 3:

 Total Income


Gross Household Income (Excluding Self-Employment): ____________________

Self-Employment Income (From Worksheet of 1040):           ____________________

EAP Eligible Income:                                       _____________________



Intake Signature/Initials:_______________________Date:______________________

Certifier’s Signature:         _______________________ Date:______________________




Chapter 5 – Sample Eligibility Worksheet                                      Appendix 5G
Revised 7/07
EAP Policy Manual FFY2008
FFY 2007 Social Security Benefits Worksheet
Use the top part of this worksheet for Social Security benefits, and the bottom part to determine SSI
benefits. If this worksheet produces a 2006 check amount larger than the 2007 check amount, use the lower
amount for both years.

Social Security Benefits

Recipients of Social Security received a cost of living increase effective January 1, 2007. If you know the
EAP applicant’s 2007 benefit amount, you can compute the monthly benefit amount received in 2006:

1.    Determine the 2007 benefit amount:
       a. Enter the amount of the 2007 monthly check:                               $__________________

        b. Add the amount of the Medicare Part B Premium:                                        93.50 + $

        c. Total 2007 Social Security Benefit = 1.a + 1.b:                          $__________________


2.      Determine the 2006 monthly benefit amount:
        a. Divide the amount in # 1.c by 1.033:                                                     / 1.033

        b. Result = 2006 Total Social Security Benefit:                             $__________________

        c. Subtract 2006 Medicare Part B Premium:                                                - $ 88.50

        d. Total 2006 Social Security Benefit for EAP eligibility: 2.b – 2.c:     = $__________________




SSI Benefits
Recipients of Supplemental Security Income (SSI) also received a cost of living increase effective January
1, 2007. If you know the EAP applicant’s 2006 SSI benefit amount, you can compute the SSI benefit
received in 2006.

1. Enter the amount of the 2007 SSI check:                                           $_________________

2. Divide the amount in #1 by 1.033:                                                                 / 1.033

3. Amount of the 2006 SSI monthly check:                                        = $__________________




Chapter 5 – 2007 Social Security Benefits                                                        Appendix 5H
Revised 12/06
EAP Policy Manual FFY2008
                                     CHAPTER 6

                                   APPLICATIONS
Any Minnesota resident may apply for Energy programs from October 1, 2007 to May 31, 2008.
The same application form will apply for Energy Assistance and Weatherization programs and
the Cold Weather Rule. Energy Assistance deliverers must begin processing applications for
Energy Assistance no later than October 1, 2007.

The last date to apply for Energy programs is May 31, 2008. Requests for applications may be
logged as telephone or incomplete applications. As May 31 approaches, this practice can give
households extra time to complete their applications. Households that apply on or before May
31, 2008, must submit completed applications on or before June 30, 2008. All applications must
be approved or denied by July 15, 2008.

Households that have not applied by the deadlines listed in the previous paragraphs may still
receive Assurance 16 (advocacy and referral) services. Although their applications must be
denied because the program has ended, phone calls from these households after May 31can be
logged with the minimum information needed for a telephone application; this will also enable
these households to receive an application the following year.

Service Providers must use a variety of techniques for applications, including mail applications,
appointments, re-certifications, and home visits. Services such as bilingual assistance must be
available as needed.

The Energy Programs application for new applicants, the Pre-Application and the Rollover are
made up of the instructions, the application form including signature page, and “Your Rights and
Responsibilities.” The application provides the information necessary to determine eligibility,
and the applicant’s signature verifies that it is true. The Pre-Application is in the same format as
the application with household information and vendor information pre-entered. The Rollover
verifies that information the applicant has previously provided remains true. “Your Rights and
Responsibilities” provides the required Tennessen Warning, which notifies them of their rights
and obligations under the programs. The instructions are a separate publication that guides
completing of the application information. Use of Rollovers and Pre-Printed Application forms
for households who have previously applied simplifies the application process for applicants and
Service Providers.

Households can receive only one regular heating assistance benefit during the program year
(between October 1 and September 30). If an applicant was previously denied LIHEAP 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. Applicants will
usually receive a benefit letter or letter of explanation of nonpayment within 30 days of
submitting a complete application. The exception to that timeline may be during the period



Chapter 6 – Applications                                                                     Page 45
when target completion numbers (see Chapter 8, Application Processing and Benefit
Determination, Weekly Application Certification Targets Appendix) are in effect.


STATUTORILY REQUIRED APPLICATION COMPONENTS
“Your Rights and Responsibilities”
The “Your Rights and Responsibilities” handout meets the requirements of the Tennessen
Warning contained in Minnesota Statues §13.04, subd. 2. This information must be included
with each application, including telephone applications. To ensure that each applicant clearly
understands the “Your Rights and Responsibilities” handout, Service Providers must be willing
to explain it to potential applicants who call and ask to have it explained. “Your Rights and
Responsibilities” includes the following:
            Eligibility restrictions
            Notification Rights
            Appeal rights
            Privacy rights


Consent to Share Private Data
All EAP household data is protected by the Minnesota Government Data Practices Act (Minn.
Stat. §13.01 et seq.). Requirements for release of this data are specifically described in this Act.

The Data Practices Act requires that individuals asked to supply private data about themselves be
informed of the following:
          The private data that is being requested.
          The purpose and intended uses of the requested data within the collecting Service
          Provider.
          Any known consequence from supplying or refusing to supply the private data.
          The identity of other persons or entities authorized by State and/or Federal law to
          receive data.

The applicant authorizes release of personal data on the application. The application must be
signed by the applicant to be effective. You must have the applicant’s explicit permission to share
private data with someone who is not specifically described in the statement on the application.
Get the applicant’s signature on a separate consent form that meets the requirements of the Act.


APPLICATION
The Minnesota Energy Assistance Program will authorize the following:
         The State Application
         The Rollover Application
         The Pre-printed Application




Chapter 6 – Applications                                                                      Page 46
The full Application includes the cover letter, instructions, the application form, and “Your
Rights and Responsibilities (Tennessen Warning).”


THE STATE APPLICATION
The State Application is a standardized form that provides all the information needed from
households to determine eligibility for the Energy Assistance Program (Appendix 6B). It is
designed allow easy data entry. It includes the cover letter, instructions, (Appendix 6A)
application form, (Appendix 6B) and “Your Rights and Responsibilities (Appendix 6D).

The State will mail all Rollover Applications (Appendix 6C) and all Pre-printed Applications.
The application is sent to most applicants not receiving a Rollover or Pre-printed application via
the “Request for Application” on the eHEAT system. Service Providers may send or give an
application in the case of a walk-in or an emergency.

Use of the “For Office Use Only” box is determined locally.

The State Application is available on the Department of Commerce web page and may be
downloaded by individuals to apply for Energy Assistance and by organizations to make the
application available to their customers or consumers. The State Application includes
instructions, application form, and “Your Rights and Responsibilities.”

To access the URL site for the fill in application go to:
http://www.state.mn.us/mn/externalDocs/Commerce/Active_ApplicationEnergy_Assistance_120
406041542_Eapwapappfillable.pdf

The Energy Assistance Application is also available in Spanish and large print and can be found at:
http://www.state.mn.us/mn/externalDocs/Commerce/Active_ApplicationEnergy_Assistance_1204
06041542_Eapwapappfillable.pdf

The applications and other Energy Assistance information can also be accessed by going to:
Minnesota Department of Commerce and navigate to it via Heating Assistance > EAP Provider
Resources > Client Application Forms

The web page also lists delivery Service Providers by county.

Service Providers must accept applications downloaded from the web page and those printed by
other Service Providers if the applicant lives in their service area. Applications received from
another Service Provider’s service area must be forwarded to the appropriate Service Provider
within two working days.


RECERTIFICATION—ROLLOVER APPLICATION
Households with fixed incomes offered recertification (called Rollover) without completing a
new application unless they have already been recertified during the two previous years. To
qualify for a Rollover application, household income must include one or more of these income



Chapter 6 – Applications                                                                    Page 47
types and no others: Social Security, Supplemental Security Income (SSI), and Pension/Annuity.
The Office of Energy Assistance will send a letter to these households asking for verification of
previous information. Instructions and “Your Rights and Responsibilities” will be part of the
mailing. Households who have not had changes in their income or household members will be
recertified when they return the signed Application. Households with changes in income or
household members must complete a full application. Households who were certified in FFY06
must complete a full application for FFY08.


PRE-PRINTED APPLICATIONS
The Office of Energy Assistance will mail a Pre-printed Application to households that were
determined eligible in FFY07 but will not receive the Rollover. The Pre-printed Application
Form will be identical to the State Application. The Pre-printed Application will print
information from the FFY07 application, except income. Instructions and “Your Rights and
Responsibilities” will be part of the mailing.


NEW APPLICANTS
Use the Request for Application process in eHEAT to respond to application requests except in
the case of walk-ins and emergencies. Use the Service Provider copy to prepare applications for
walk-ins, emergencies, and for distribution as part of a local outreach strategy. The Office of
Energy Programs will distribute to each Service Provider a copy of the instructions, application
form, and “Your Rights and Responsibilities.”


APPOINTMENTS, WALK-INS AND TELEPHONE APPLICATIONS
When a household requests an appointment to give their application information in person, send
a letter confirming the date and time of the appointment. Include a list of the information they
will need when they apply.

Individuals who come to the office without an appointment requesting an application may prefer
or need to give their application in person. If possible, try to arrange for a meeting with an
intake person. If a meeting cannot be arranged in a reasonable time set up an appointment or
home visit for the individual. If the individual is willing to complete the application at home,
provide him/her an application.

Some individuals may call with needs that require an application be taken at that time. An
example is individuals who need expedited verification. Take enough information over the
telephone to initiate the application process. Mark the application “Incomplete” and either send
an application form to the household using the Request for Application process on eHEAT or
refer the household to the website if they have internet access. Follow the timelines for action on
applications.


HOME VISITS
At a minimum, provide home visits when the applicant cannot:



Chapter 6 – Applications                                                                    Page 48
            Physically access your intake site, or
            Complete a mail-in application.


APPENDICES
     6A - INSTRUCTIONS FOR COMPLETING APPLICATION
     6B - APPLICATION FORM
     6C - ROLLOVER APPLICATION FORM
     6D - YOUR RIGHTS AND RESPONSIBILITIES




Chapter 6 – Applications                             Page 49
Chapter 6 – Applications   Page 50
          INSTRUCTIONS FOR COMPLETING
MINNESOTA ENERGY PROGRAMS APPLICATION 2007-2008
This is an application for the 2007-2008 Energy Assistance Program, Weatherization Assistance
Program and Conservation Improvement Program. It also asks for information about Cold
Weather Rule protection. The Minnesota Energy Programs Application is available in large
print, Braille and Spanish by asking for them from your agency.
To apply, you must send us:
               This application signed, dated and all questions answered.
               Copies of proof of income for each household member for the past three months (or
               tax forms for self-employment or rental income).
               A copy of your heating bill and your electric bill.
Failure to provide the required documents will delay the processing of your application.
Instructions
PART 1. Personal Information
Fill in your name, address, phone number, and        Authorized Representative:
contact information, or correct it if the            An “Authorized Representative” is someone
information shown is wrong. Please provide           you give permission (in writing) to act for you.
your social security number for identification       This person will get all of your mail for this
purposes (optional, but this will assist us in       program.
processing the application faster.)

PART 2. Household Information                        The Social Security Number is requested for
Fill in all of the information for everyone living   each person in the household who has income.
in your household. ALL people living in the          Non-custodial parents may include their
home are household members.                          children as household members.
Sources of Income and Other Assistance               Mark (x) all Sources of Income for all members
Please let us know if you had any changes in         of your household.
your income during the past three months.
  Report income for each member of the               Income is any and all money being paid to
  household.                                         anyone living in the house.
  Attach proof of all household income for 3 full Please send copies of your income proof.
  months before the month you apply.              Originals will not be returned.
EXAMPLES OF PROOF OF INCOME:
  Employed: Check stubs or a written statement signed by employer stating gross wages.
  MFIP, TANF, MSA, GA: Letter showing monthly grant award.
  Child Support, Alimony: Checks, printout from the child support office, bank deposits or a
  signed note stating the amount and dates of received payments.
  Disability Payments, Veteran’s Benefits, Workers’ Compensation, Social Security, RSDI
  and SSI: Award letters, bank statements showing direct deposits, copy of the check(s)
  Unemployment Compensation: Award letter or unemployment statement or copy of UI check
  Self Employed, Farm, Rental Income: A complete copy of last year’s Federal Tax Return.
  Interest, Dividend: Bank statements or copy of your IRS-1099.
  Student Income Grants: Award letter with the amount used for living expenses.
  Pension and Annuities: Copy of benefit check(s) or record of pension or benefit fund.
PART 3. Housing Information.
Mark the Type of Housing you live in, how long      If you are a renter, tell us if you receive a
you have lived in your current home, whether        housing subsidy from the government,
you own or rent and monthly housing costs.          whether you pay heat or electricity, and your
                                                    landlord’s name, phone number and address.

PART 4: Heating Sources
  Put “1” by the heating fuel that you use the      If you heat your home with more than one
  most and “2” by all other heating fuel you use    heating source please let us know. (Electric is
  in your home.                                     not a heat source if just running a furnace.)
  Wood users, tell us the number of bedrooms,
  whether you cut your own wood, and how            Circle the percent of wood that you use.
  much of your heat the wood provides.
  Enter the name of the heating or electric         Include the name on the account and the
  company where you want your payment sent.         account number. Correct the information if it
                                                    is entered and wrong.
PART 5. Local Questions                             Please answer all Local Questions

PART 6. Cold Weather Rule Protections
Complete this section if you use natural gas or     You MUST contact your natural gas or electric
electricity to heat your home or if you need        companies and arrange for a payment plan to
electricity to operate your thermostat or furnace   be covered by the Cold Weather Rule. People
fan.                                                at this agency can help you arrange a
                                                    reasonable payment.

PART 7. Permissions and Signature
Read the permissions part carefully. Go to the      ANY missing information may delay decisions
end of the application. Sign and date!              about your eligibility and benefit amount.

                                                    We must receive your application
                                                    within 60 days of the date signed and
                                                    no later than May 31, 2008.


                   Remember that the Energy Assistance Program cannot pay
                          for all of your heating and electric bills.

Arrange for a payment plan with your vendor and make the payments. We will process your
application as quickly as we can. We will send you a letter when your application is completed.

Call us only if:
     you are shut-off,
     you are unable to get a delivery of fuel, or
     you own your home and your furnace does not work.
                                                                                                                For office use only

                                                                                                           HH#: __________
                                                                                                           Rep #__________
                                                                                                           Grant amount_________




                              Manual
                    2007 - 2008 MINNESOTA ENERGY PROGRAMS APPLICATION




                              Sample
  Before completing this application, read the attached “Your Rights and Responsibilities” form
Part 1. Personal Information
 Your Social Security Number:           The disclosure of Social Security Numbers is voluntary. If you do not give your social security number, it
                                        may cause delays in processing your application AUTHORITY: 45 CFR 96.84 (c); 42 U.S.C. 405(C) (2) (C)
                                        USE: The State will use Social Security Numbers in the administration of the LIHEAP to verify
                                        information supplied on the application, to prevent, detect, and correct fraud, waste, and abuse, and for
                                        the purpose of responding to requests for information from agency program funded by block grants to
                                        states for temporary assistance for needy families.
 Your Name:




                              Do Not
 _________________________________________       ______            ______________________________________
 First Name                                      M.I.              Last Name
 Home Address:
 ____________________________ ____                      ________________                 _MN_          ___________-_______
 Street                                 Apt. #          City                             State         Zip Code
 Mailing Address (if different from Home Address):
 ____________________________ ____                      ________________                 _MN_           ___________-_______




                               Use
 Street or PO Box                       Apt. #          City                             State          Zip Code

 County: _____________________________                    Township: _____________________________
 Home Phone:                                                   Other Phone:
 ( __   _   )   ____ ____                                      (   __ _   )   ______________________
 Primary language spoken in home:                                    E-mail address
 _____________________________                                       _____________________________
 Authorized Representative: An “Authorized Representative” is someone you give permission (in writing) to act for you.
 This person will get all of your mail for this program.
 First Name __________________ Last Name ____________________________ Phone (____) __________________
____________________________ ____                    ________________                  _MN_            __ ________-_______
 Street or PO Box                       Apt. #          City                            State          Zip Code

            YOU MUST SIGN AND DATE THIS APPLICATION AT THE BOTTOM OF THE LAST PAGE.
Part 2. Household Information
Is anyone in your household currently a board member or employee of this agency?                            Yes   No

INCLUDING YOURSELF, LIST ALL HOUSEHOLD MEMBERS.
Household member names                                                          His- Sex Dis- Years Have
                                Social Security Number
First Name, Middle Initial, and (of any member in household  Date Of Birth      panic   ability Of  Income
Last Name                              who has income)      MM / DD / YYYY Race Y/N M/F Y/ N School Y/N
1. (self)
                                                               /    /

2.
                                                                       /    /

3.
                                                                       /    /

4.
                                                                       /    /




                              Manual
5.
                                                                       /    /

6.
                                                                       /    /

7.
                                                                       /    /

8.




                              Sample
                                                                       /    /

 Attach a separate sheet if necessary for any additional household members
 Race: A=Asian       B=Black or African American         I=American Indian or Native Alaskan
       O= Native Hawaiian or Other Pacific Islander W= White
 Disability: a physical or mental impairment that substantially limits one or more major life activities.


How many people in your household had income in the past 3 months? _________




                              Do Not
SOURCES OF INCOME AND OTHER ASSISTANCE (Check all that apply for your household)
  Wages                       Social Security/SS Disability                School Grants
  Self-Employment/Farm Income Supplemental Security Income (SSI)           Diversionary Work (DWP)
  Rental Income               Long/Short-term Disability                   MFIP/TANF
  Unemployment Comp.          Pension/Annuity (quarterly and annual)       General Assistance (GA)
  Workers’ Comp.              MN Supplemental Aid (MSA)                    Child or Spousal Support




                               Use
  Interest or Dividend Income Veterans’ Benefits                           Tribal Casino Payments
  Contract for Deed Interest                                               Other
      Send Proof of Gross Income
    for the Past 3 Complete Months                     If you sign       Send Proof of income for the            You must not
                                                      application in             months of:                       exceed these
       for all household members
except wages for children in grades K-12                                                                       income guidelines
                                                    August 2007         May, June, July 2007                      for 3 months:
                                                    September 2007      June, July, August, 2007
 If self employed send a complete copy
                                                    October 2007        July, August, Sept., 2007                  Household
         of your Federal tax return
                                                    November 2007       Aug., Sept., Oct., 2007                 Size          Income
 Your application will be delayed if you            December 2007       Sept., Oct., Nov., 2007                    1           $5,030
    do not include proof of income                  January 2008        Oct., Nov., Dec., 2007                     2           $6,578
                                                    February 2008       Nov., Dec., 2007, Jan., 2008               3           $8,126
  Applications must be signed                       March 2008          Dec, 2007, Jan., Feb, 2008                 4           $9,674

  and received by May 31, 2008                      April 2008          Jan., Feb., March, 2008                    5          $11,222




                             Manual
                                                    May 2008            Feb., March, April, 2008                   6          $12,770

Part 3. Housing Information
Type of Housing:                              How long have you lived in your current home?                      _____________
  House             Apartment/Condo           Do you own or are you buying your home?                              Yes      No
  Townhouse         Mobile Home               What do you pay every month for your mortgage?                     $ ____________
  Duplex            Triplex
  Fourplex          Other                     Homeowners: Are you having problems with your furnace?                   Yes      No




                             Sample
                                              Describe problem:_____________________________________________
                                              (Keep our number and call us if you have furnace problems)
Answer these questions if you Rent:      What do you pay every month for rent: $ ____________
Do you have a rent subsidy from the government or live in subsidized housing?     Yes     No
Is your heat included in your rent?   Yes   No Is electricity included in your rent? Yes      No
Landlord’s name __________________ Phone _____________ Address ____________________________________________

Part 4. Heat Sources (electric is not a heat source if just running a furnace)




                             Do Not
Put “1” by the heating fuel that you use the most and “2” by all other heating fuel you use in your home.
          Oil                 Propane/LP                      Wood               Municipal Steam
Natural Gas                     Electricity                   Other             St. Paul Dist. Htg.
 Would you like 30% of your grant sent to your electric company?                                 Yes    No
If you heat with wood, answer these 3 questions:        3. About what percent of wood do you use? (please circle)
1. How many bedrooms are in your home?_____             10%      20%   30%     40%    50%      60%     70%   80%        90%     100%




                              Use
2. Do you cut your own wood? Yes         No             Use small amount       Burn wood half the time       Use all wood

WHAT COMPANIES SUPPLY HEAT AND ELECTRICITY TO YOUR HOME?
                        Heating No. 1           Heating No. 2                Electric
    Company name:
  Name on Account:
   Account number:
 SEND A COPY OF YOUR ELECTRIC BILL AND HEATING BILL OR FUEL RECEIPT WITH THIS APPLICATION.
If you are not registered to vote, would you like a voter registration card?    Yes      (You do not have to answer this question)
Part 5. Local Questions
Does your heating cost include a business? Yes___No___. If you checked yes, what % of your heating
costs are for the business?_____%
                                       Please sign and date the last page
Part 6. Cold Weather Rule Protections
If you are able to get energy assistance, you may be able to get Cold Weather Rule protection from October 15 to
April 15. You must make and keep payment plans with your energy companies for shut-off protection or to restart
service for the heating season. Energy assistance does not replace what you need to pay.
                                                                                           YES     NO
I did contact my energy companies and have agreements to pay under the
Cold Weather Rule program or another payment plan. If No, please contact
 your energy companies at once to make agreements and pay plans.

I need Cold Weather Rule information to help me choose plans.

Does anyone in your home have an illness that requires
home heat and/or electricity? If YES, you may need to provide proof.




                                 Manual
If you do not pay your energy companies in the winter, they can shut off your heat.
If you do not make a payment or if you get a disconnection notice, call your energy companies at
once and start a payment plan in order to keep your heat on.



                                   Part 7. Consent and Signature




                                 Sample
            For the program year between October 1, 2007 and ending September 30, 2008:

1. I give my consent for my heating and electric             4. My signature below affirms the data in this application
companies to give data about my account and energy           is correct. I agree to share this data, as stated above. I
use to the Minnesota Department of Commerce (DOC)            know:
and DOC’s contractors for the Energy Assistance and               I may have to prove my statements.
Weatherization Programs and for the Conservation                  I may be held civilly or criminally liable under federal




                                 Do Not
Improvement Program.                                              or state law for knowingly making false or fraudulent
                                                                  statements.
2. I also allow the Social Security Administration and            I have rights under the energy programs. I have
the Minnesota Department of Human Service and its                 received a copy of “Your Rights and Responsibilities.”
agencies to share data concerning my public benefits              I may appeal agency decisions about my benefits.
received within the last year for eligibility for benefits        I understand that filling out this application does not
with DOC and DOC’s contractors for the Energy                     guarantee that my household will receive assistance.
Assistance and Weatherization Programs.




                                  Use
3. I allow Minnesota Energy Assistance Program to:
   Contact my employer to verify my income.
    If I rent, to contact my landlord to confirm my
    residency and/or heating source.




 Signature:                                                                    Date:

 We must receive your application within 60 days of the date signed and
                      no later than May 31, 2008.
                                                                                                         For Office Use
<<Agency Name>>                                                                                               O l
                                                                                                     HH#: <<HHID>>
<<Agency Address>>
                                                                                                     Rep #__________
<<Ag City State Zip
                                                                                                     Grant amt.______

                                                        <<Household First, Last Name>>
                                                        <<Household Address>>
                                                        <<HH City, State Zip>>


<<Agency Name>>
<<Agency Address>>
<<Ag City State Zip>>




                               Manual
      This Is Your Minnesota Energy Programs Application
      Please return as soon as possible. We must receive this application no later than May 31, 2008.
             Before completing this application, read the attached “Your Rights and Responsibilities” form.

Dear <<First Name>> <<Last Name>>:




                               Sample
The 2007-2008 Energy Assistance Program will begin on October 1, 2007. Based on your application for last
winter’s program, you may be eligible for help with your energy bills this winter.
Your
Social Security
Number:
If you have questions please call us at: Phone: (xxx) xxx-xxxx          Toll free: (xxx) xxx-xxxx




                               Do Not
                                            Fax: (xxx) xxx-xxxx    TTY: (xxx) xxx-xxxx
                                            Web Address: xxxxxxxxxxxxxxxxxxxxxxxxxxxx

Please circle Yes or No to the following questions.

Yes     No     Have you moved in the last 12 months? If yes, write your new address above.

               Does your household receive fixed benefits, such as Social Security, Supplemental Security
Yes     No




                                Use
               Income, Veterans Benefits or Pensions?
Yes     No     Did you earn over $50 interest or dividends in the last 3 months? Amount: $______ (Send proof)

Yes     No     Are these your only sources of income? If No, call the number above for a new application.

Yes     No     Do you own or are you buying your home?

Yes     No     Do you purchase your heat from the same company you did last winter?

Yes     No     Would you like 30% of your grant sent to your electric company?
               Homeowners: Are you having problems with your furnace?
Yes     No      Describe problem:_____________________________________________
               (Keep our number and call us if you have furnace problems)
         YOU MUST SIGN AND DATE THIS APPLICATION AT THE BOTTOM OF THE LAST PAGE.

 Home Phone                                             Other Phone:
  (___) _____________________                            (___) ________________________
 Primary language spoken in home:                               E-mail address
 __________________________                                     ________________________

 Authorized Representative: An “Authorized Representative” is someone you give permission (in writing) to act
 for you. This person will get all of your mail for this program.
 First Name _____________ Last Name ____________________                     Phone (____) ___________
 Authorized Representative’s Address:________________________________________________




                               Manual
Is anyone in your household currently a board member or employee of this agency?           Yes           No
If you are not registered to vote, would you like a voter registration card? Yes (You do not have to answer this question)

Make sure the names of your heating and electric company and your account numbers are correct. Please
make any changes as needed. Please send in a copy of your heating and your electric bill.


 WHAT COMPANIES SUPPLY HEAT AND ELECTRICITY TO YOUR HOME?




                               Sample
                                  Heating No. 1                     Heating No. 2                        Electric
     Company name:
  Name on Account:
   Account number:




                               Do Not
 If you heat with wood                 About what percent of wood do you use? (please circle percentage)
                                       10% 20% 30% 40%              50% 60% 70% 80% 90% 100%
 Do you cut your own wood?              Use small amount       Burn wood half the time          Use all wood
    Yes      No

Review the names below. If the number of household members changed from what is listed below, please call




                                Use
the phone number on the first page and request a new application.
                                                                                                    Have
             Name                    Social Security Number       Race Hispanic Disability        Income
                                                                         Y/N           Y/N          Y/N
Race: A=Asian B=Black or African American I=American Indian or Native Alaskan
      O= Native Hawaiian or Other Pacific Islander W= White

Disability: a physical or mental impairment that substantially limits one or more major life activities.



Cold Weather Rule Protections
If you are able to get energy assistance, you may be able to get Cold Weather Rule protection from October 15
to April 15. You must make and keep payment plans with your energy companies for shut-off protection or to
restart service for the heating season. Energy assistance does not replace what you need to pay.
                                                                                  YES      NO
I did contact my energy companies and have agreements to pay under the
Cold Weather Rule program or another payment plan. If No, please contact
 your energy companies at once to make agreements and pay plans.




                           Manual
I need Cold Weather Rule information to help me choose plans.

Does anyone in your home have an illness that requires
home heat and/or electricity? If YES, you may need to provide proof.

If you do not pay your energy companies in the winter, they can shut off your heat.




                           Sample
If you do not make a payment or if you get a disconnection notice, call your energy companies at once
and start a payment plan in order to keep your heat on.




                           Do Not
                            Use
Local Questions
Does your heating cost include a business? Yes___No___. If you checked yes, what % of your heating costs are
for the business? _____%




                           Manual
                           Sample    Please sign and date the last page




                           Do Not
 To mail your application, use the enclosed return envelope. Make sure that the address for your local agency
 office shows in the window. Make sure you have included:
       The application completed and signed.
       A copy of your heating and your electric bill.

 We will contact you if we need more information. If your facts have changed since last year, we may send




                            Use
 you a new application. If you do not include all the required information it may delay decisions about your
 eligibility and benefit amount.

 Keep paying your bills. We will process your application as quickly as we can! We will send you a letter when
 your application is processed.

   Call us only if:
      you have a change of income source
      you are shut-off
      you are unable to get a delivery of fuel, or
      you own your home and your furnace does not work.



                                    Part 7. Consent and Signature
              For the program year between October 1, 2007 and ending September 30, 2008:
1. I give my consent for my heating and electric
companies to give data about my account and              4. My signature below affirms the data in this
energy use to the Minnesota Department of                application is correct. I agree to share this data, as
Commerce (DOC) and DOC’s contractors for the             stated above. I know:
Energy Assistance and Weatherization Programs                I may have to prove my statements.
and for the Conservation Improvement Program.                I may be held civilly or criminally liable under
                                                             federal or state law for knowingly making false or
2. I also allow the Social Security Administration           fraudulent statements.
and the Minnesota Department of Human Service                I have rights under the energy programs. I have
and its agencies to share data concerning my public          received a copy of “Your Rights and
benefits received within the last year for eligibility       Responsibilities.”
for benefits with DOC and DOC’s contractors for              I may appeal agency decisions about my benefits.
the Energy Assistance and Weatherization                     I understand that filling out this application does
Programs.




                              Manual
                                                             not guarantee that my household will receive
                                                             assistance.
3. I allow Minnesota Energy Assistance Program
to:
    Contact my employer to verify my income.
    If I rent, to contact my landlord to confirm my
    residency and/or heating source.




                              Sample
 Signature:                                                               Date:


  We must receive your application within 60 days of the date signed and no
                         later than May 31, 2008




                              Do Not
                               Use
EAP Policy Manual FFY2008
                                   Your Rights and Responsibilities
                                        PRIVACY NOTICE
                                       Also known as the Tennyson Warning

Privacy Act Provisions: Federal and state law requires us to tell you about your rights and responsibilities before we
collect and use information about you that is classified as private or confidential. This form provides you with
important information that complies with the federal Privacy Act of 1974, 5 USC section 552a (e) (3) and the
Minnesota Government Data Practices Act, Minn. Stat. §13.04 subd. 2.

Please read this Privacy Notice carefully before completing and signing the Minnesota Energy Programs Application,
and keep this Privacy Notice in your records for future use. This Privacy Notice applies to the Energy Assistance
Program, Weatherization Assistance Program and Conservation Improvement Program, also known as Energy
Programs.

Why do we collect the information on the application?
We will use your information to research, evaluate and administer the energy assistance programs.
We need the information:
       To know you from other individuals
       To see if you qualify for assistance
       To allow us to get federal or state funds for the assistance you receive
       To meet federal or state reporting requirements

What happens if you do not give us the information?
You have the right to not give us the information we ask for; however, if you do not provide the information, you may
not be able to get services or help with energy bills.

Who will see this information?
Staff working in the following agencies or companies who need access to the application information to do their jobs
in connection with the Energy Assistance, Weatherization and Conservation Improvement Programs will see and share
information related to your energy assistance application:
        Local Energy Programs agencies under contract with the Minnesota Department of Commerce
        Local Energy Programs’ auditors as required by OMB circulars
        Minnesota Departments of Commerce, Administration, Human Services and the Office of
        Enterprise Technology
        United States Departments of Health and Human Services and Energy
        Minnesota Public Utilities Commission
        Minnesota Legislative Auditor
        Minnesota Attorney General’s Office, as needed for litigation purposes
        Your energy vendor for affordability and Energy Assistance Programs
        Federal and State law enforcement authorities, as needed for litigation purposes
        Other agencies or entities as allowed by federal or state law

Why do we collect social security numbers?
We use social security numbers in the administration of the energy assistance programs and to assure that eligible
applicants and their household members receive only allowable benefits. Federal law allows us to ask you to provide
your social security number in order to process your application more quickly and to prevent, detect and correct fraud
and abuse. 45 CFR 96.84; 42 U.S.C. 405 (c)(2)(C)(i). You are not required to provide it but it will assist us in
processing your application more quickly.




Chapter 6 – 2007-2008 Your Rights and Responsibilities – Revised 8/07                                     Appendix 6D
Why do we ask for information about your race?
This is voluntary information. It is compiled and recorded for statistical purposes only. The program can not
discriminate for reason of race or ethnic background, religion, gender, sexual orientation or political affiliation.

What if you think the facts in your file are wrong?
Talk to your Energy Assistance Program (EAP) Service Provider about what you think is wrong in your file.

What happens is you give false information?
The EAP or the department may check out any of the information you give. You may be held civilly or criminally
liable under federal or state law for knowingly making false or fraudulent statements in your application.

You have these responsibilities:
You must tell us if you:
      Received help with your energy bills earlier this winter
      Move to a new address (tell us within 30 days of the move)
      Change your fuel dealer or gas or electric companies
You must pay your fuel bills. This program will pay only part of your bills. You must pay the rest.

You have certain rights to get help:
You have the right:
       To apply again if you get turned down
       To apply for more help if you need it
       To know what the rules are and how we decide what help you get
       To receive a response within a reasonable time of submitting all information
       To appeal within 30 days after you know the results of your application if:
                You get turned down.
                You think we used the wrong facts to make the decision.
                You do not get the help you were promised.

How do you complain?
If you think your energy payment was not what it should be, or you did not get the services you thought you would,
you may write to the local EAP agency listed on the application. Keep a record of the address and telephone number.

If you are not satisfied with their response, write to:
        Appeals Officer
        Energy Assistance Program
        Minnesota Department of Commerce
        85 East 7th Place, Suite 500
        St. Paul, MN 55101-2198

If you feel you have been treated differently because of your color, race, national origin, religion, sex, age, marital
status, political beliefs, or physical, mental or emotional disability, write to one of the following:

        Minnesota Department of Human Rights                        U.S. Department of Health and Human Service
        190 East 5th Street                               -OR-      Office for Civil Rights, Region V
        St. Paul, MN 55101                                          233 North Michigan Avenue, Suite 240
                                                                    Chicago, IL 60601

Ask for Assistance:
Call the local EAP Service Provider listed on the application to request the application in large print or Braille. If you
do not understand the information in this document, call the local EAP Service Provider listed on the application and
ask to have it explained to you.


Chapter 6 – 2007-2008 Your Rights and Responsibilities – Revised 8/07                                         Appendix 6D
                                         CHAPTER 7

                  HEATING COST DETERMINATION
As one of the three elements of the eligibility determination formula, establishing applicant
households’ heating costs for the previous season is a key program activity. Consumption is
entered and stored in the eHEAT system. Vendor eHEAT users enter consumption directly into
eHEAT. Service Providers continue to request and enter consumption for vendors that do not
use the system. Service Providers must establish procedures with vendors for notifying vendors
of the need for consumption in emergency situations.


COLLECTING HEATING COSTS FROM VENDORS
To determine costs, collect actual primary and secondary heating costs for the household’s
primary dwelling. Collect heating costs on the dwelling for up to 12 consecutive months of the
previous heating season. Allowable months are from June 1 through September 30.

(See eHEAT Users Manual.)
Note: Heating costs from the current heating season cannot be included in heating consumption
costs for the current program year. In addition, the costs of penalties for late payment, short
notice deliveries and tank rental cannot be included in heating consumption. These are
considered a reimbursable cost, but cannot be included in the total consumption for the
household.



CONSUMPTION ADJUSTMENTS AND CLARIFICATIONS
Commercial/Residential Accounts
The Energy Assistance Program does not serve households having only a commercial account
except under the following circumstances:
          Farm with commercial meter only:
               Collect heating costs. Ask applicant what percentages of the heating costs were
               for personal/residential use.
               Use this percentage to determine heating costs.
          Storefront operations:
               Collect heating costs.
               Identify the percent of heat costs used for residential on the application. The
               question is in Local Questions for FFY2008 and reads: Does your heating cost
               include a business? Yes___No___. If you checked yes, what % of your heating
               costs are for the business?_____%
               Use the percentage to determine the residential heating costs to enter into eHEAT.




Chapter 7 – Heating Cost Determination                                                    Page 51
It will probably be necessary to contact the household by letter or by phone to get this additional
information.

Households with self-employment including rental income, that file Schedule C, will include IRS
Form 8829 if they claim expenses for rental or business use of the home. When there are not
separate meters or fuel tanks, a household that operates a small business or has renters in the
personal residence or on their residential property has to file Form 8829 in order to deduct
expenses for business use. Ask the applicant what percentage of the heated portions of the
building is used for their own living quarters, if tax forms do not indicate, seem unreasonable or
are not available. Use the percentage to determine the residential heating costs to enter into
eHEAT.


ELECTRIC HEAT WITH A SEPARATE METER
The electric category on the benefit tables assumes that part of the electric consumption is for
household use other than home heating and makes the appropriate calculation and payment.
When a household heats with electricity and has more than one electric meter, all residential
electric costs must be combined and entered in the software as the heating cost to determine the
grant amount.


HEATING COST INFORMATION NOT AVAILABLE
When an applicant or vendor cannot provide heating cost information (new home, new
residence, or previous vendor unknown), eHEAT will recognize that consumption is not
available and determine assistance from the “Backup Benefit Table” (commonly called the
Backup Matrix).


RENTAL HOUSEHOLDS WITH UNDESIGNATED HEATING COSTS
Rental households with undesignated heating costs are eligible for a grant using the Backup
Matrix.


SUBSIDIZED HOUSING
Rent payments for subsidized housing are not based upon the market, but upon the income of
residents. As a result, residents will experience an increase in heat costs only if they pay energy
costs directly. Only those costs that are vulnerable to market increases in heating fuel cost can
be subsidized by the Energy Assistance Program.
            Residents of subsidized housing who are responsible for their heating costs are
            eligible for grants based on their consumption.
            Residents of subsidized housing who are responsible for electric costs only are
            eligible for a flat grant of $100 which will be paid directly to their electric vendor.
            Residents of subsidized housing who pay neither heat nor electric costs to a vendor
            are not eligible to receive an Energy Assistance benefit.




Chapter 7 – Heating Cost Determination                                                       Page 52
WOOD AS A PRIMARY HEATING FUEL
When a household declares wood as the primary heating fuel, use the following procedure to
determine assistance:
           Determine how many bedrooms are in the dwelling.
               An “efficiency” will count as one bedroom
               Bedrooms in the basement, attic, etc. also count.
               Other main living spaces (living room, dining room) used, as sleeping spaces do
               not count as bedrooms.

            Use the table below to identify the number of cords it would take to heat the house if
            no other heating source is used.

                       No. of Bedrooms = Cords of Wood
                               1................................ 6.5
                               2................................ 7.0
                               3................................ 7.5
                               4................................ 8.0
                               5................................ 8.5
                               6................................ 9.0

Add 0.5 cords per additional bedroom. Enter the number of cords on the Wood Worksheet (see
Appendix to Chapter 7, Heating Cost Determination). Multiply the number of cords of wood by
the local average cost of wood to determine the wood cost.


WOOD AS A SUPPLEMENTAL HEATING FUEL
If the household supplements with wood, the percentage of heating costs that are wood must not
exceed 50 percent. To determine how much of the heat is provided by wood, use the Wood
Worksheet (see Appendix to Chapter 7, Heating Cost Determination).
To determine heating costs, enter on the software:
           Total wood cost determined by the Wood Worksheet.
           Other heating costs collected from vendors.

The software will identify wood as a supplemental heating source if the portion of heating costs
that are wood do not exceed 50 percent.


STEAM AS A HEATING FUEL
There are two kinds of steam heat: one kind uses a boiler in a residential building that is fueled
with oil, LP or natural gas. The other kind has a steam vendor, where steam is generated at a
central location and piped to residential buildings. Indicate steam heat ONLY when the vendor
directly provides steam. Only households that live in certain areas of the following cities can
claim steam heat: Virginia, downtown Duluth, Willmar and New Ulm. Service Providers in
these areas must contact their steam vendor for a comprehensive description of their service area
and attempt to accurately record applicants with this heat source by marking “Municipal Steam”
as the source of fuel.



Chapter 7 – Heating Cost Determination                                                      Page 53
Residents of Lowertown and Mount Airy in St. Paul who are on District Energy have a unique
heating source. The Service Provider must contact St. Paul District Energy for a comprehensive
description of their service area and attempt to accurately record applicants with this heat source
by marking “District Energy” as the source of fuel.


MISCELLANEOUS FUEL TYPES
When a household uses an unusual fuel type such as corn pellets, or other biomass products, try
to collect heating costs for the previous year and serve using “Biomass.” If the data is not
available, serve the household using the Backup Matrix.


APPENDICES
     7A - WOOD WORKSHEET




Chapter 7 – Heating Cost Determination                                                      Page 54
WOOD WORKSHEET
To determine assistance amounts for households which burn wood as a primary or secondary
fuel:

    _____        1. Enter the number of bedrooms (household declaration).

    _____        2. Determine wood consumption using the table below:


                     Number of bedrooms         Cords of Wood
                                1                      6.5
                                2                      7.0
                                3                      7.5
                                4                      8.0
                                5                      8.5
                                6                      9.0
                     Add 0.5 cords per additional bedroom

X _____ % 3. Estimate the percent of heating costs that are wood.

= _____          4. Determine the number of cords of wood used. To do this, multiply the
                    number of cords (#2) by the percent of heating costs that are wood (#3).

X $_____         5. Enter the local average cost per cord.

= $ _____        6. Determine the wood cost. To do this, multiply the number of cords of
                    wood used (#4) by the cost per cord (#5).

+ $ _____        7. Enter any other heating cost (collected from vendor).




Chapter 7 – Wood Worksheet                                                      Appendix 7A
Revised 9/01
EAP Policy Manual FFY2008
                                         CHAPTER 8

                   APPLICATION PROCESSING AND
                     BENEFIT DETERMINATION
Application processing and benefit determinations are two key functions of EAP. Both activities
are ultimately completed by eHEAT, but appropriate business practices and protocols are
necessary to assure that households are treated equitably and in accordance with program
policies.

The primary business practices affecting application processing and benefit determination are
related to the application and benefit priorities. It is a policy of EAP that households in need of
immediate service in order to get or keep heat in their homes must be served immediately. This
prioritizes the application process.

It is also a policy of EAP that primary heat benefits are, to the extent possible, targeted to energy
costs for the current year.


APPLICATION PROCESSING PROTOCOL
Application processing involves several steps. In its simplest form, it involves entering the
application data on the computer and letting eHEAT determine eligibility and benefit amounts.
The protocol for prioritizing households and making payments determines when information is
ultimately entered into the software.


Prioritizing Applications
Prioritizing applications means sorting out those that need immediate attention and providing
that attention. Process applications for households experiencing an emergency first. Use
Assurance 16 to provide negotiations services to those who are not experiencing an immediate
emergency. Then serve these and all remaining households based using first in, first out
protocol.
         1.   Emergencies include households with:
                  No heat
                  No electric service
                  A refusal to deliver
                  An impending no heat, no electric, or refusal deliver situation that you cannot
                  negotiate and will not be able to serve using the first in, first out protocol before
                  it becomes an emergency
         2.   All other households including those with final notices and other impending but not
              an immediate emergency must be served in the first-in, first-out priority process,


Chapter 8 – Application Processing and Benefit Determination                                    Page 55
              with necessary vendor negotiations. An impending but not immediate emergency is
              one that will not result in a no-heat or no-electric situation before the household is
              determined eligible or that you will be able to alleviate with vendor negotiations.
        3.    Serve any other households on a first in, first out basis with all Rollovers and
              applications.


ENTERING APPLICATIONS
The application form contains all household information needed for eligibility determinations for
EAP and the client signature.

Informational Data on Application

Some questions are on the application but are not recorded in the software.
Voter registration          Use your local procedures and software to record answers to this
                            question.

How long have you lived          Use this information to decide whether to request consumption
here?                            information from the household’s vendors. Use consumption for
                                 the dwelling if it gives better data than the back-up matrix.

[local questions]                Use your local procedures and software to record answers to these
                                 questions.

Information to Have Available When Entering Applications

When entering the application, you will need to know:
Three Months Income:        Use the three complete months before the application was signed.
                            If the documentation is not for the past 3 complete months or is not
                            the same for all members, treat the application as incomplete.

Income:                          Check all sources of income and other assistance received by each
                                 household member (except for students in kindergarten through
                                 twelfth grade). If household reports “no income” due to a loss
                                 incurred by self-employment, check both the “No Income” box and
                                 the “Self-employment” box.


PROCESSING THE APPLICATION
Logging in Applications Received
Each application received, whether complete or not, must be logged into eHEAT to record the
date the application was received. Timely logging in of applications is a required activity. The
process will build electronic documentation of action on applications. This information will be
included on the EAP Production Report in eHEAT.




Chapter 8 – Application Processing and Benefit Determination                                 Page 56
Handling Incomplete Applications
Incomplete applications must be logged in as an application received. Telephone applications
may be considered to be incomplete applications.

Follow up with households whose applications are incomplete. Proactively consider the
household's need for a mail application, appointment or home visit. After 30 days, deny
incomplete applications, so that the household will receive a denial letter. Allow households that
have received a denial based on an incomplete application to complete their applications at any
time prior to June 30, 2008. When an incomplete application is returned, log it in again as a new
application.

Applications Received 60 days after the Signature Date
Applications must be received for the first time within 60 days of signing. After 60 days the
application is void and will be denied. The household may still reapply but a new signed and
dated application and income verification will be required.


APPLICATIONS FROM AGENCY EMPLOYEES
Applications from agency employees must be approved by DOC before they can be paid or
denied. “Employee” is defined as:
           For CAA and non-profit deliverers: all CAA and private non-profit employees and
           board members of the delivering agency.
           For County and Tribal deliverers: all employees in the same department as the Energy
           Assistance Program and agency board members.

When feasible, a staff person at your agency may be assigned to handle all employee
applications.

The employee must apply at the local Service Provider, providing all necessary household data
and income information.

Service Providers must:
   1. Enter all application information into eHEAT.

        IMPORTANT: this box on eHEAT MUST be checked:

          Are you or anyone in your household a board member or employee of this service provider?



    2. Make the application complete:
                                                                  Yes
                                       Application Complete:


    3. Click the “Determine Eligibility” button :
                                              Determine Eligibility




Chapter 8 – Application Processing and Benefit Determination                                         Page 57
The application will go into an approval screen available to authorized DOC staff. This will
happen ONLY if all three steps above are complete.

Mail copies of eligible and in-eligible employee applications (rollover, pre-printed, and regular
applications) and supporting documentation, including an Eligibility Worksheet, a sample of
which is in the Appendix) to the address below. Address the envelope to the confidential
attention of a staff person authorized to receive the applications. Mail applications to:

        CONFIDENTIAL – ENERGY ASSISTANCE APPLICATION
        John M. Harvanko, Director
        Office of Energy Assistance Programs
        Minnesota Department of Commerce
        Golden Rule Building
        85 East 7th Place, Suite 500
        St. Paul, Minnesota 55101

DOC will approve the employee’s eligibility within fourteen working days of receiving the
application and all required documentation. When the application is approved, it goes to the
Payment Certification screen on eHEAT. Please check for the application on this screen before
calling DOC to ask the status of the approval process. Once the application is on the Payment
Certification screen, process it like any other application. Timelines must follow State EAP
guidelines.

Emergency Employee Applications
If an employee-applicant is experiencing an immediate crisis, the application may be faxed to
651-297-7891. For security purposes, you must telephone the Energy Assistance Program at
651-215-1791 first to alert a staff person to receive your fax. Your fax cover sheet must state the
name of the person authorized to receive the return fax.

No Heat Emergencies (After Hours, Holidays And Weekends)
If an agency employee who has not yet applied for energy assistance experiences an after
hours, no heat emergency, your service provider must address this emergency using the
following procedure:

Enter the complete information and indicate that it is an expedited application, and resolve the
emergency. Immediately at the start of business, follow the procedure for “Emergency
Employee Applications.”


APPLICATION TARGETS
The LIHEAP statute requires that applications be acted upon in a reasonable time. A reasonable
time is considered to be within 30 days. Because of the large volume of Rollover and PreApp
applications, many service providers cannot meet the 30-day requirement. The Weekly
Application Certification Targets (WACT) (see Appendix) replaces the 30-day requirement at
the beginning of the program year. The WACT go into effect at the end of the day on Friday,
October 5, 2007. When the WACT expires January 11, 2008, applications must be certified and
paid within 30 days of receipt of a complete application.


Chapter 8 – Application Processing and Benefit Determination                                Page 58
Meeting WACT for your agency ensures applications are approved at a consistent statewide
percentage. The WACT is also used to monitor application processing and prepares service
providers for the 30-day timeline.


BENEFIT DETERMINATION
The Energy Assistance Program determines benefit levels for primary heat using a matrix of
income, household size and heating cost for the previous year. For households that pay directly
for heat, their actual costs for the previous year are the preferred method for establishing their
benefit amounts.

When there is more than one heating fuel, the software totals the heating costs from primary and
secondary heat. Then it applies the benefit level for the fuel type with the highest cost from the
previous year. When a household has electric and oil heating fuels and the cost of electric heat is
higher than the oil cost, the resulting benefit may be lower than if only oil costs are computed.
Do not include electric heating costs with oil, if the result is a lower primary heat benefit.

If partial costs for the previous year are available, the software applies the highest benefit from
the Cost-Based Matrix and the Back-up Matrix. If no actual costs for the previous year are
available, benefit levels are determined using the Back-up Matrix based on average costs to heat
different housing types with different fuels. Benefits for households that pay heat costs indirectly
with their rent payment are based on the Back-up Matrix. Using these matrices, the highest
benefits go to households with the lowest incomes and the highest energy costs in relation to
income, taking into account family size.


DESCRIPTION OF THE BENEFITS TABLES
Income and Household Size in the Matrix
The Cost Based and Backup Matrices are based on income and household size. The first column
down the left side of the matrix contains the household size. The next five columns are
developed based on the State Median Income (SMI) and contain the maximum income the
household can have to be placed in that column. From the right, the maximum income equals 25
percent SMI, 30 percent, 35 percent, 40 percent and 50 percent, as show in the example below:

 Household size     50 percent SMI     40 percent SMI     35 percent SMI   30 percent SMI   25 percent SMI
        1


Cost Based Matrix
The Eligibility Guideline Table for Cost Based Matrix is the preferred method for determining
benefits for households that pay directly for heating, including wood heat. The Cost Based
Matrix looks at the household’s size, income, fuel type, and heating costs (not fuel costs) for the
previous year. Households whose incomes are the same percent of the State Median Income
(SMI) receive a benefit that is the same percent of their heating costs for the previous year.




Chapter 8 – Application Processing and Benefit Determination                                      Page 59
Because some fuel types have non-heating uses, benefits are determined by fuel type. Fuel types
that do not usually have non-heating uses include oil, wood, coal, district steam and other
biomass fuels. The oil line on the Cost Based Matrix is the base line. Base line means the
percents in this line indicate what percent of heating costs households in each income category
will receive as benefits. Service providers can use this line for any fuel that is used only for heat.

Other heating fuels, such as propane, natural gas, electricity, and St. Paul District Energy have
non-heating uses. Each of these fuels has a separate line on the Cost Based Matrix, except that
electricity and St. Paul District Energy share a line. The percent of fuel costs that will be used to
calculate benefits is lower for each of these fuels than it is for oil. These percents take into
account the average use of each fuel for heat.

To use the matrix, find the fuel type percent in the column for household’s size and income.
Multiply this percent by the household’s consumption.

In this example, which uses figures from a prior year, consider a household of 1 with an income
of $3,000 who heats with natural gas and had costs last year of $ 800.

Household size    50 percent SMI     40 percent SMI     35 percent SMI   30 percent SMI   25 percent SMI
       1              $4,586             $3,668            ❷ $3,210          $2,751           $2,253
Natural gas            25%                38%               x51%              63%              77%

To determine the assistance amount:
      1. Find the row with the household’s size.
      2. Find the column with the household’s income.
      3. Move down that column to the row with the household’s fuel type.
      4. Multiply the fuel type percentage (51%) by $800, the household’s costs for last year.

The household’s benefit amount is $408.

Backup Matrix
The Eligibility Guideline Table for the Backup Benefit Matrix is for use when a household’s
costs for the previous year are not available (see Chapter 7, Heating Cost Determination, for a
definition of acceptable consumption data). Benefits from the Backup Benefit Matrix are based
on average heating costs of participant households during the previous heating season. The
Backup Benefit Matrix breaks up benefits according to the same fuel types as the Cost Based
Matrix. In addition, the Backup Benefit Matrix breaks natural gas and electricity into housing
types to better target the heating cost averages.

The format of the Backup Benefit Matrix is similar to the Cost Based Matrix, but it contains
actual benefit amounts, not percentages, in the fuel type, housing type rows.


APPENDICES
     8A - WEEKLY APPLICATION CERTIFICATION TARGETS (WACT)
     8B - COST BASED BENEFIT MATRIX
     8C - BACKUP BENEFIT MATRIX


Chapter 8 – Application Processing and Benefit Determination                                     Page 60
FFY 2008 Weekly Application Certification Targets
                          6/11/2007
SP_ID       AGENCY NAME  Apprvd     5-Oct 12-Oct 19-Oct      26-Oct   2-Nov   9-Nov 16-Nov 23-Nov 30-Nov        7-Dec 14-Dec 21-Dec 28-Dec        4-Jan 11-Jan
1       NORTHWEST            1,346     67    135    202         269     337     404    471    511    579          646    713    713    781          848    915    68.0%
2       TRI-VALLEY           1,770     89    177    266         354     443     531    620    673    761          850    938    938  1,027        1,115 1,204     68.0%
3       INTER-COUNTY         1,467     73    147    220         293     367     440    513    557    631          704    778    778    851          924    998    68.0%
4       BI-CAP               3,244    162    324    487         649     811     973  1,135  1,233  1,395        1,557  1,719  1,719  1,882        2,044 2,206     68.0%
5       KOOTASCA             2,967    148    297    445         593     742     890  1,038  1,127  1,276        1,424  1,573  1,573  1,721        1,869 2,018     68.0%
6       ARROWHEAD            8,464    423    846 1,270        1,693   2,116   2,539  2,962  3,216  3,640        4,063  4,486  4,486  4,909        5,332 5,756     68.0%
7       LAKES & PINES        5,666    283    567    850       1,133   1,417   1,700  1,983  2,153  2,436        2,720  3,003  3,003  3,286        3,570 3,853     68.0%
9       OTTERTAIL-WADENA     1,019     51    102    153         204     255     306    357    387    438          489    540    540    591          642    693    68.0%
10      MAHUBE               3,069    153    307    460         614     767     921  1,074  1,166  1,320        1,473  1,627  1,627  1,780        1,933 2,087     68.0%
12      WEST CENTRAL         4,996    250    500    749         999   1,249   1,499  1,749  1,898  2,148        2,398  2,648  2,648  2,898        3,147 3,397     68.0%
13      TRI-CAP              6,043    302    604    906       1,209   1,511   1,813  2,115  2,296  2,598        2,901  3,203  3,203  3,505        3,807 4,109     68.0%
15      ANOKA                3,814    191    381    572         763     954   1,144  1,335  1,449  1,640        1,831  2,021  2,021  2,212        2,403 2,594     68.0%
16      CAPRWC              14,271    714 1,427 2,141         2,854   3,568   4,281  4,995  5,423  6,137        6,850  7,564  7,564  8,277        8,991 9,704     68.0%
17      CA OF MPLS          10,559    528 1,056 1,584         2,112   2,640   3,168  3,696  4,012  4,540        5,068  5,596  5,596  6,124        6,652 7,180     68.0%
18      S-C-D                4,959    248    496    744         992   1,240   1,488  1,736  1,884  2,132        2,380  2,628  2,628  2,876        3,124 3,372     68.0%
19      HEARTLAND            2,439    122    244    366         488     610     732    854    927  1,049        1,171  1,293  1,293  1,415        1,537 1,659     68.0%
20      PRAIRIE 5            2,151    108    215    323         430     538     645    753    817    925        1,032  1,140  1,140  1,248        1,355 1,463     68.0%
21      WESTERN              2,266    113    227    340         453     567     680    793    861    974        1,088  1,201  1,201  1,314        1,428 1,541     68.0%
22      SMOC                 1,928     96    193    289         386     482     578    675    733    829          925  1,022  1,022  1,118        1,215 1,311     68.0%
24      MINNESOTA VALLEY     5,641    282    564    846       1,128   1,410   1,692  1,974  2,144  2,426        2,708  2,990  2,990  3,272        3,554 3,836     68.0%
25      THREE RIVERS         1,887     94    189    283         377     472     566    660    717    811          906  1,000  1,000  1,094        1,189 1,283     68.0%
26      SEMCAC               5,693    285    569    854       1,139   1,423   1,708  1,993  2,163  2,448        2,733  3,017  3,017  3,302        3,587 3,871     68.0%
30      BOIS FORTE             122      6     12     18          24      31      37     43     46     52           59     65     65     71           77     83    68.0%
31      FOND DU LAC            407     20     41     61          81     102     122    142    155    175          195    216    216    236          256    277    68.0%
33      LEECH LAKE             998     50    100    150         200     250     299    349    379    429          479    529    529    579          629    679    68.0%
36      MILLE LACS             222     11     22     33          44      56      67     78     84     95          107    118    118    129          140    151    68.0%
37      GRAND PORTAGE           56      3      6      8          11      14      17     20     21     24           27     30     30     32           35     38    68.0%
39      RED LAKE             1,158     58    116    174         232     290     347    405    440    498          556    614    614    672          730    787    68.0%
41      WHITE EARTH            806     40     81    121         161     202     242    282    306    347          387    427    427    467          508    548    68.0%
44      WRIGHT CO CAP        1,558     78    156    234         312     390     467    545    592    670          748    826    826    904          982 1,059     68.0%
52      CLEARWATER             562     28     56     84         112     141     169    197    214    242          270    298    298    326          354    382    68.0%
53      LSS                  2,717    136    272    408         543     679     815    951  1,032  1,168        1,304  1,440  1,440  1,576        1,712 1,848     68.0%
58      OLMSTED              2,368    118    237    355         474     592     710    829    900  1,018        1,137  1,255  1,255  1,373        1,492 1,610     68.0%
59      OTTERTAIL            2,391    120    239    359         478     598     717    837    909  1,028        1,148  1,267  1,267  1,387        1,506 1,626     68.0%
61      RENVILLE               661     33     66     99         132     165     198    231    251    284          317    350    350    383          416    449    68.0%
64      TODD                 1,413     71    141    212         283     353     424    495    537    608          678    749    749    820          890    961    68.0%
65      CASH                 8,683    434    868 1,302        1,737   2,171   2,605  3,039  3,300  3,734        4,168  4,602  4,602  5,036        5,470 5,904     68.0%
69      BROWN                  901     45     90    135         180     225     270    315    342    387          432    478    478    523          568    613    68.0%
        TOTAL               120,682   6,034 12,068 18,102    24,136 30,171 36,205     42,239   45,859   51,893 57,927   63,961   63,961   69,996 76,030 82,064    68.0%
                                      5.0%   10.0%   15.0%   20.0%    25.0%   30.0%   35.0%    38.0%    43.0%   48.0%   53.0%    53.0%    58.0%   63.0%   68.0%

Chapter 8 - WACT 2008
Revised 8/07                                                                                                                                                  Appendix 8A
EAP Policy Manual FFY2008
Appendix 8B
Cost Based Benefit Matrix
You will be notified when it becomes available
(Expected October 1, 2007)
Appendix 8C
Back Up Benefit Matrix
You will be notified when it becomes available
(Expected October 1, 2007)
                                    CHAPTER 9

                         PAYMENTS AND REFUNDS
Federal law and the State Energy Assistance Plan mandate time lines for making assistance
payments. This chapter describes the procedures for authorizing payments based on household
circumstances.

The policies for scheduled payments are also described in the chapter. “Scheduled Payments” is
an initiative originally introduced into the Minnesota Energy Assistance Program in FFY07. The
policy responds to an identified need for EAP recipients to use the primary heat benefit to
establish an affordable budget payment plan. Scheduling payments provides the EAP benefit in
smaller, periodic payments. The result is the bill from the energy vendor states the household’s
obligation to pay and the amount is more likely to be within the household’s ability to pay.

From the moment a payment is made, a refund becomes a possibility. Like payments, the refund
process is dependent upon household circumstances. This chapter describes how to manage
refunds, depending upon the situation.


PAYMENTS TO VENDORS
Payments for most Energy Assistance benefits are made to the customer’s account with utility
and fuel vendors. Payment activities occur at the local and State levels: Service providers
authorize Primary Heat and Crisis payments using eHEAT, and the Minnesota Department of
Finance (Finance) makes the payments using electronic fund transfers (EFT) or warrants.

Service providers authorize payment in eHEAT using local procedures and best practices to assure
payment information is correct. Once the payment is authorized, the payment status on eHEAT is
“payable.” Payment information can be edited when the payment status is “payable.”

eHEAT sends payment information to Finance using a batch process run at night. When the
batch process runs, the payment status becomes “in progress.” No edits can be made when the
payment status is “in progress.”

Finance takes 1 day to process EFTs. The next night (1 day after the batch file), eHEAT and
Finance run a batch file to:
           Send EFTs to vendors’ banks.
           Produce warrant checks to vendors unable to receive EFTs.
           Produce warrant checks to households receiving direct pay.
           Provide payment information to eHEAT such as date, activity number, and warrant
           number.
           Change the household’s payment status (in eHEAT) to “paid.”



Chapter 9 – Payments and Refunds                                                         Page 61
DESIGNATION OF VENDORS
Households must designate their heating and electric vendors on their applications. All vendors
designated by a household have access in eHEAT to the household’s eligibility and payment
status. This designation also makes it possible to authorize a primary heat or crisis payment to
that vendor on behalf of that household.


PRIMARY HEAT PAYMENTS TO VENDORS
Authorize primary heat payments to the household’s account with primary or secondary heating
vendors or directly to the household. The household may request thirty percent (30%) of the
primary heat payment be paid to the household’s electric non-heating account. Other households
may have benefits awarded to non-heating electric accounts in lieu of direct payments. eHEAT
distributes the grant to the heating vendor with the highest consumption costs. If requested 30%
of the grant is distributed to the non-heating electric vendor. Service Providers manage the
payment designation and distribution in eHEAT.


SCHEDULED PRIMARY HEAT PAYMENTS
Scheduled payments involve dividing Primary Heat benefits into smaller payments to vendors.
Primary Heat benefits for connected/metered utilities are scheduled in multiple payments. Direct
payments and benefits for delivered fuels are distributed in one payment. Crisis benefits are not
be scheduled. Scheduled payments are a program requirement. Households may not elect out of
the schedule.

Primary Heat benefits for connected/metered utilities are distributed in equal monthly payments.
The number of payments is usually four. As the payment deadline (July 31) nears, the number of
payments decrease to allow the full benefit to be paid before the required end date. eHEAT
establishes the number, amount and dates of payments. The software has provision for managing
the payment schedule.

Intentions
             To promote bill payment among participants
             To make payments more affordable.
             To reduce the number of refunds
             To avoid large credits on bills

Values
             Energy bills should be affordable
             EAP should encourage bill payment among participants

Focus
             Scheduling four monthly payments for all connected/metered fuels
             Excludes:
                Payments for delivered fuels
                Crisis payments
                Direct payments


Chapter 9 – Payments and Refunds                                                          Page 62
Context
            The ability to make scheduled payments was built into eHEAT for PH not Crisis
            The outcomes of scheduled payments are highly integrated with crisis and A16
            activities.
            In FFY2006, about 36,000 HH receive Crisis and about 134,000 receive PH. So
            98,000 are paying their bills or are not in crisis
            Some of these may be seniors and may be averse to asking for crisis.
            Many refunds happen because the EAP population moves frequently.
            Scheduled payments are required
            Most/many delivered fuel vendors require cash on delivery.


MANAGING SCHEDULED PAYMENTS
Changes to the number, amount and dates of scheduled payments must be made only when
immediate primary heat money is the only way to resolve issues with a vendor. eHEAT allows
flexibility in these situations and maintain data on reasons for the changes. The data is used to
evaluate the scheduled payment initiative and to provide information for future improvement.

The trigger for changing Scheduled Payments is often the amount of past-due energy bills.
Coordinate Scheduled Payments with the Emergency Benefit, the Emergency Benefit
Adjustment, and A16 to determine when to manage scheduled payments.
           Use A16 to identify a reasonable payment amount and sign the household up for the
           Cold Weather Rule. If necessary, advocate for the household with the vendor to
           accept the scheduled payment amount plus the household budget payment to retain
           service.
           Use the Emergency Benefit up to $300, if necessary.
           Use the possibility of the Emergency Benefit Adjustment during negotiations, if
           necessary.
           Increase the initial payment due to a past due bill only if these efforts fail.


CRISIS PAYMENTS TO VENDORS
Authorize crisis payments to the household’s account with primary heat or electric non-heating
vendors. The Emergency Benefit and Emergency Benefit Adjustment are distributed in one
payment and not scheduled.


PAYMENT TO A PREVIOUS VENDOR
If a household has changed vendors and still owes a balance to a previous vendor, the household
may request a portion of the grant be sent to the previous vendor. You may not pay any portion
of a household's grant to a previous vendor unless the applicant requests you do so. To receive
payment, the vendor must be included in the household’s vendor list on eHEAT.

Make the initial payments to the previous vendor and make vendor changes as needed. Target
these households for payment plans.


Chapter 9 – Payments and Refunds                                                            Page 63
Payments to Applicants
Households may receive direct payments under circumstances that make payment to vendors
difficult or impossible. Direct payments will be distributed in one payment and not scheduled.
Make direct payments to:
             Households who cut their own wood for primary heat. Self cut wood households
             receive only the amount remaining after their benefit is distributed to energy vendors
             based on the previous year’s consumption.
             Households with all energy utilities, electric and heat included in the rent.
             Households with heat included in rent, and only the amount that exceeds their electric
             costs for the previous year.
             Households whose vendors refused to sign the vendor agreement.

Note: Reimbursements to applicants are not allowed.

Payments To Households Whose Account Is In Landlord’s Name
If the account is in a landlord’s name, payments are made to the account on behalf of the
household.

Reach Out for Warmth (ROFW) Payments
Payments for ROFW are considered crisis payments and rules regarding payment are the same as
crisis. ROFW payments are made by Service Providers.

Ownership of Assistance
The EAP benefit belongs to the household to purchase energy during the heating season. Any
unspent EAP benefit must remain on the household account to the end of the program year
(September 30). After September 30, the funds lose their EAP designation and are fully owned
by the household, with no restrictions from the EAP program.

Once the household wholly owns the funds, they may decide what to do with them. Utilities and
fuel dealers must return EAP funds remaining on a household’s account after September 30 to
the household upon request. Service Providers must inform households of this right and should
encourage them to retain the funds on their account for the next heating season. See Appendix
9B - Flowchart for Vendor has EAP Money to Return to determine whether the refund goes to
the household or to the program.

Property purchased with EAP funds, in accordance with program policies, becomes the property
of the applicant or their estate. Examples are:
            Delivered fuel.
            Deposits for start-up or restoration of energy services.
            Dividends that a co-op pays (even if part of the dividend was earned with energy
            program funds).
            Mechanical equipment.




Chapter 9 – Payments and Refunds                                                            Page 64
Refunds From Vendors
Refunds are a continuing process in the payment system of the Energy Assistance Program.
Many variables affect the circumstances surrounding refunds. In most cases, circumstances must
occur during the program year the money was awarded (between October 1 and September 30)
to result in a refund. The exceptions are in cases of errors and fraud.

Service Providers may request refunds using eHEAT. Vendors may also make the refund by
entering into eHEAT the amount of the refund and the reason. While the program is paying
Primary Heat and Crisis benefits, the refund takes the form of a deduction in the next payment to
the vendor. When the program is no longer paying primary heat and crisis benefits, vendors
must send a check to the Minnesota Department of Commerce.

Vendors that are not eHEAT users must continue to provide refund information by email or
letter, and Service Providers must enter the refund information into household records.

All vendors who are sending a refund check must send it to the:

        Minnesota Department of Commerce
        85 7th Place East, Suite 500
        St. Paul, MN 55101-2198
        ATTN: Mark Kaszynski

Along with the refund check, the vendor must include the household’s name, eHEAT household
number and the amount of refund for the household if more than one household is included on
the check. The department then enters the refund information into eHEAT.

Accurate accounting of refunds requires EAP delivery Service Providers and vendors coordinate
carefully.


REFUNDS FOR DIRECT PAYMENTS TO AN APPLICANT
An applicant eligible to receive a direct payment by state warrant but has not received their
warrant after a normally expected period of time should contact their local service provider. The
service provider should confirm the applicant’s current mailing address and cross reference that
address against the address as shown in eHEAT. A Minnesota Department of Finance warrant
can only be delivered to the address on the warrant. A warrant cannot be forwarded. A service
provider should contact Mark Kaszynski (651) 297-4521 or email mark.kaszynski@state.mn.us
to determine the whereabouts or the status of the warrant.

A warrant returned to the Department of Finance will remain there until DOC is contacted about
a missing warrant. A service provider should contact Mark Kaszynski (651) 297-4521 or email
mark.kaszynski@state.mn.us to determine the whereabouts or the status of the warrant. If the
applicant has changed mailing address’ since applying for EAP or the mailing address is
unacceptable by the U.S. Post Office for delivery, then the applicant will need to submit a signed
and notarized “State of Minnesota Affidavit of Failure to Receive Department of Finance
Warrant.” A copy of the Affidavit can be found in the appendix.


Chapter 9 – Payments and Refunds                                                           Page 65
All undelivered warrants are deposited by the Department of Finance into the Minnesota
Department of Commerce Energy Assistance Program account after December 31st. These
deposits also include any uncashed warrants.


HOUSEHOLD CHANGES VENDOR
If a household needs a vendor change after eligibility certification and vendor payment, contact
the original vendor to find out how much of the assistance remains on account and request a
refund of the unused funds.

Household Situation Changes
Many times a household joins together or splits apart during the EAP program year. Two
policies come into play when this happens. First, there is no reassessment policy, so benefit
amounts is not reassessed. The other policy is that only one grant can be credited to a
household’s account. If two households each received EAP benefits and then move in together,
request a refund of the grant with the smaller remaining amount.

Household Moves within the Service Area
When a household moves within the service area and has a new vendor, request a refund from
the original vendor and authorize the remaining benefit amount to the new vendor. When the
household maintains the original vendor, the vendor changes the account number on the
household account.

Household Moves to a New Service Area
When a household notifies a Service Provider the household is moving, use the following
procedure:
           Encourage the household to make immediate contact with the new delivery service
           provider. Provide the household with contact information.
           Using eHEAT, transfer the household account to the new Service Provider.
           Request the household’s vendors immediately refund any EAP funds remaining on
           the household’s account unless the household continues to be a customer of the same
           vendor at the new residence. In the later case, the vendor changes the household
           account number in eHEAT.

When a currently certified household notifies a Service Provider the household has moved into
the service provider’s service area:
            Request information needed to update the application:
                Address
                Phone
                Vendor names and addresses
                Vendor account numbers
                Service Provider that originally provided the benefit
            Contact the household’s previous Service Provider and request a service provider
            transfer.
            Authorize payment of the remaining grant balances to the household’s new primary
            heat vendor.


Chapter 9 – Payments and Refunds                                                           Page 66
Household Moves to a Nursing Home Or Other Institution, Including Jail or Prison
If a household moves permanently to a nursing home or other institution, the new residence does
not qualify for EAP benefits. If only one member of a household moves permanently to the
institution, the remaining household member(s) continue to be served according to their most
recent notification letter.

A person is temporarily in the institution or nursing home as long as there is an expectation he or
she will be moving back home within the next year. If there is no such expectation, consider the
move to be permanent.

When a household moves permanently to a nursing home, request a refund of remaining funds
from the vendor and de-obligate the refunded amount. Contact the household and tell them that
their current residence does not qualify for EAP assistance and that their remaining benefit has
been refunded to your Service Provider.

Household Member Moves
If any, but not all members move to a new dwelling, the EAP grant stays with the remaining
household members. The members that move are considers a new household and may apply for
an EAP grant at their new residence.

If those same members move into a dwelling with a current EAP household, they cannot reapply.
There is no reassessment when more people move into a served EAP household.

Household Members Die
If all members of a household die, request a refund of remaining funds from the vendor and
deobligate the refunded amount. If household members remain in the dwelling, they continue to
be served according to their most recent notification letter.

Household Moves Out Of State
If a household moves out of State, advise them to apply there; request a refund of remaining
funds from the vendor and deobligate the refunded amount.

Household With Deobligated Grant Reappears
If a household moved out of State then back to Minnesota and requests their remaining benefit,
look in eHEAT, Client Services, EAP Benefit to determine the household’s available benefit.
Assign the benefit to a vendor and make payments if funds are available or deny due to lack of
funds

Household Moves From Another State
If a household received an EAP benefit from another State during the same program year, take
an application and provide a Minnesota benefit based on program requirements.

Household Moves and Cannot Be Located
When a vendor refunds a benefit before October 1, 2007 because the household is no longer a
customer, the household may already have notified you of the change in their vendor or address.
If not, you must make an effort to find the household by calling and, if calling is not successful,


Chapter 9 – Payments and Refunds                                                             Page 67
by registered mail. Maintain documentation of the effort to find the household. Thirty-one
calendar days after the registered letter is sent, the funds must be de-obligated.
The specific procedure for contacting the household is:
       1) Call the household using any and all phone numbers available on the application.
             a) If the phone is answered, request the information.
             b) If the person cannot provide the information, send a letter using the
                    instructions below.
             c) If no one answers, the phone is answered by voice mail, or the phone is
                    disconnected, send a letter using the instructions below.
       2) Send a letter to the household:
             a) Use the text for “Letter Requesting Information About a Household Move”
                    (see Appendix to Chapter 9, Payments and Refunds).
             b) Send it to the last address that you know for the household.
             c) Send it “Return Service Requested” (see Appendix to Chapter 9, Payments
                    and Refunds).
       3) If you receive a response from the household within 30 days, follow the procedure
             for serving a household that has moved.
       4) If you receive no response from the household by the thirtieth calendar day after the
             letter is mailed, on the 31st calendar day, deobligate the refund so it is available in
             Primary Heat or the single fund, whichever is in effect.


REBATES
Rebates must be paid to EAP if ERR paid for a furnace that was eligible for a rebate. A best
practice is to deduct the amount of the rebate from the bill. Service providers should use the
following procedures:
             Validate the furnace to be installed is eligible for a rebate.
             Consider the rebate in determining the lowest responsible bid, if applicable.
             Submit the necessary forms to the vendor offering the rebate.
             Credit the rebate to ERR as program income.
             Retain documentation of the rebate process in the client file.


APPENDICES
    9A - RETURN SERVICE REQUESTED
    9B - FLOWCHART FOR VENDOR HAS EAP MONEY TO RETURN
    9C - LETTER REQUESTING INFORMATION ABOUT HH MOVE
    9D - STATE OF MINNESOTA AFFIDAVIT OF FAILURE TO RECEIVE DEPARTMENT
         OF FINANCE WARRANT




Chapter 9 – Payments and Refunds                                                             Page 68
MAIL RETURN SERVICE REQUESTED:
EAP delivery agencies must send the letter requesting information about a household move using
a postal service that will result in the your receiving information that the household has moved
and, if available, the new address. At a minimum, use Return Service Requested. First class
postage is required for this service.

Agencies may also wish to send award letters, applications and other EAP correspondence in
envelopes marked Return Service Requested using first class postage. The U.S. Postal Service
will not forward envelopes marked Return Service Requested but will return it with the new
address, if available. This information will notify you of a household’s move and alert you to
begin the process of finding the household or deobligating the funds. By using this service, you
will also be able to help determine the number of households who move during a given program
year.

In order to use this service, you must send the letters or other correspondence first class. The
envelopes must contain the following statement placed in one of four positions:
1. Directly below the return address.
2. Directly above the delivery address area.
3. Directly to the left of the postage area and below any rate marking.
4. Directly below the postage area and below any rate marking.


Your agency’s name and return address must be in the upper left corner of the address side of
the envelope and Return Service Requested must read the same direction as the agency and
delivery address. This statement must be in print no smaller than 8 point and stand out clearly
from the background. There must be at least ¼ inch clear space around Return Service
Requested.

Example:

  North Pines CAC                                                               Presorted
  516 E. River Road                                                             First-Class Mail
                                                                         3      U.S. Postage Paid
  Anyton, MN 55555                       RETURN SERVICE REQUESTED
                                                                                Anyton MN
                                                                                Permit No. 1
  RETURN SERVICE REQUESTED1
                                                    RETURN SERVICE REQUESTED4

                                         RETURN SERVICE REQUESTED2

                                                John Doe
                                                10 Elm St.
                                                Anyton, MN 55555




Chapter 9 – Return Service Requested                                                      Appendix 9A
EAP Policy Manual FFY2008
VENDOR HAS EAP MONEY TO RETURN
(Does the EAP refund go to the household or to the program?)



       In what fiscal year was the payment made?




    Current fiscal year                                         A previous fiscal year


      Vendor refunds the money to EAP program


                                                                                Any fiscal year after the payment was made

                                                                                The vendor send the money to the
                                                                                Household. If the household
                                                                                cannot be found, the vendor treats
                                                                                money as unclaimed cash (see
                                                                                Chapter 9, “Ownership of
                                                                                Assistance” and Chapter 10, “Refunds”

    If these procedures are not followed the vendor may be out of compliance with the vendor agreement. Include in vendor
    monitoring and inform the field representative.




    Chapter 9 – Flow Chart for Vendor has EAP Money to Return                                                                Appendix 9B
EAP Policy Manual FFY2008
Letter Requesting Information about HH Move

Site AA
Address AA
City AA MN 55111

Date

HH Name
Address
City, State ZIP

Dear HH Name:

(NAME OF VENDOR) has returned your Energy Assistance Program grant. This has
happened because you moved or changed vendors

Please contact us within 30 days with your new vendor’s name and your new address. If
we hear from you in this time, we will transfer your EAP grant.

If we do not hear from you within 30 days, your EAP grant will be cancelled. You will
have to reapply to receive the rest of your grant. This is the only notification you will
receive.

Sincerely


Energy Assistance Coordinator
Agency




Chapter 9 – Letter Requesting Information About HHD Move                         Appendix 9C
EAP Policy Manual FFY2008
                                                  STATE OF MINNESOTA
                        AFFIDAVIT OF FAILURE TO RECEIVE DEPARTMENT OF FINANCE WARRANT

                                                             Made Pursuant to Minnesota Statutes, Section 16A.46
                                                                         (FOR INDIVIDUAL(S))

STATE OF                                     )
                                         ) ss.
County of                                    )

Name:
           (AFFIANTS NAME)
Name:                                                  residing at
           (AFFIANTS NAME)                                                       (PRESENT ADDRESS)

State of Minnesota Warrant Number:                                                            for

Issued:                                               , to
           (INSERT DATE OF WARRANT)                                   (INSERT NAME ON THE ORIGINAL WARRANT)



           (INSERT MAILING ADDRESS ON THE ORIGINAL WARRANT)


in the amount of                                                                                                      dollars ($                               ) Dollars,



           was never received by claimant

           was received by claimant in the usual course of business; that *




* NOTE: Use space to describe in detail what you did with or what happened to the warrant, giving correct names, addresses, dates, etc., in every instance. If additional space
is required, use reverse side.

That if said original warrant ever comes into claimant's possession, said warrant will be promptly returned, in the same condition as when
received, to the Department of Finance, 400 Centennial Building, 658 Cedar Street, St. Paul, Minnesota 55155, and that claimant will
reimburse the State for any loss which may be sustained by reason of any false statement, fault, or act on claimant's part concerning the
aforesaid matter; and,

That this affidavit is made for the purpose of securing the issuance of a duplicate warrant in the amount aforesaid.

Subscribed and sworn to me before this

            day of                               ,

                                                                                                                                (SIGNATURE      OF AFFIANT)




           NOTARY PUBLIC                                                                                                        (SIGNATURE OF AFFIANT)


My commission expires

FI-00060




   NOTE:                          A duplicate warrant will be issued 1-3 days after the Finance Department receives this affidavit.
EAP Policy Manual FFY2008
                                    CHAPTER 10

                                        VENDORS
Vendor participation is essential to efficient operation of the Energy Assistance Program. Most
significantly, they provide cost information used to determine each household's grant amount.
Service Providers authorize payments to vendors on behalf of eligible households. eHEAT
includes information about the household's eligibility for the program and the grant amount that
is authorized for the household's account. Vendors who do not use eHEAT receive information
through correspondence and direct contact.

Vendor involvement is subject to federal and State statute and regulation. The federal, State or
Service Providers may audit vendor records pertaining to this program. Audits may occur for
program activity up-to three years after the program year has closed and until action conducted
during this period has ended.


LEGAL REQUIREMENTS
Non-Discrimination
Vendors cannot penalize or discriminate against customers for participating in the Energy
Assistance Program [P.L 97-35, Sec. 2605(b)(7)(C)]. EAP eligible household must not be
treated adversely from other households because of receiving EAP assistance and will not
discriminate in services provided to the eligible household on whose behalf payments are made.
Oil and propane dealers are required to comply with the Discrimination Prohibition in Minn.
Stat. §325E.027.

No services available to a vendor's customers in general can be denied to a household solely
because of the household's EAP eligibility. These services may include:
           Deferred payments.
           Budget payment plans.
           Conditions of sale, credit, delivery or price.
           Discounts for cash or prompt payment.
           Any service designed to benefit or assist the vendor's customer.

It is not discrimination under the statute to provide additional benefits for households receiving
Energy Assistance. Additional benefits, especially those that increase the buying power of
Energy Assistance grants, are desirable and encouraged (see “Leveraging” below).

Data Privacy
Vendors are bound by data privacy. The application and eligibility status of households is private
data (Minn. Stat. 13.01 et seq.). Vendors must take appropriate steps to assure that the identity




Chapter 10 – Vendors                                                                         Page 69
of households that are eligible for EAP remains private. Service Providers must report alleged
violations to the Office of Energy Assistance Programs immediately upon learning of them.

When applying for EAP, applicants give their permission to vendors to release certain
information. The signature on the application authorizes vendors to provide information about
the applicant's account and energy consumption to the Energy Assistance Program. This
authorization is documented in the household's file.


PARTICIPATING IN EAP
The Vendor Agreement
The vendor agreement is a list of requirements vendors must sign and agree to follow to receive
Energy Assistance payments to their customers’ accounts. A copy of the Agreement Between
Vendor and Service Provider is included in the appendix to this chapter.

Note: Service Providers must send a copy of this manual chapter to the EAP vendor along with
the Agreement Between Vendor and Service Provider.

Changing the Vendor Agreement
Changes in the language of the vendor agreement are possible when such changes do not alter
the content of the agreement or its intent. If changes that alter the content or intent of the
agreement are necessary in order to effect an agreement with a vendor who will otherwise not
sign, those changes must be approved in advance by the State Office of Energy Assistance
Programs.

Non-Cooperating Vendors
Vendor agreements are signed and monitored by the local EAP Service Providers. If a vendor
objects to terms of the vendor agreement, the service provider may contact the State for
assistance in affecting the vendor’s cooperation.

When a vendor refuses to sign or abide by the terms of the vendor agreement, the service
provider must notify the State at once by e-mail (eap.mail), letter or fax. This correspondence
must be addressed to the service provider’s field representative and must describe the following:
          Vendor’s name and address.
          Reason(s) the vendor is not cooperating.
          Approximate number of households affected.
          How the service provider will serve the households.


PROGRAM REQUIREMENTS
Consumption and Cost Information
Vendors participating in the program must provide accurate client and consumption information
(Including cost data) for each EAP eligible applicant or landlord who requests it for the purpose
of determining grant amounts. The State has prescribed processes for entering consumption into
eHEAT. The data may include up to 12 consecutive months between May 1, 2006 and
September 30, 2007. The data also identifies the beginning and ending dates of the data.



Chapter 10 – Vendors                                                                       Page 70
Data must include consumption and costs for identical time periods. Cost data must include
costs of fuel, taxes, and fees that are typically a part of a heating bill. They must not include
penalties for late payment, short notice deliveries, tank rental, merchandise, etc. Consumption
data must be in the typical unit of measure used by the industry:
        Natural gas: ...................................ccf
        Wood:........................................cords
        Oil: ...............................................gal.
        Liquid Propane Gas: ....................gal.
        Electricity:..................................kWh

Vendors must be able to reproduce the cost information they provided on each household.


PAYMENT GUARANTEES AND EMERGENCIES
Vendors must have systems for expediting service to households who are eligible for Energy
Assistance. Vendors that use eHEAT must check their eHEAT account regularly to assure
service can be expedited. All vendors must have arrangements to accept an application status on
eHEAT of “approved” or Service Provider payment authorization by telephone, e-mail or fax
verifications of eligibility for assistance, service deposits, and requests for emergency fills of
delivered fuels, continuation or reconnection of connected utilities.


ASSIGNMENT OF PAYMENTS
Vendors must apply Energy Assistance primary heat and crisis payments only to the accounts of
households who have been assigned the payments by the EAP Service Provider. Those
payments may be used only for the costs of home heating, as required by federal law. No EAP
payments may be used to pay for other billable items such as service contracts, water, sewer,
garbage or other merchandise. EAP credits made to a vendor account must agree with the EAP
Service Provider's records of the payment amount. Charges against credits must be verifiable.

If a vendor provides heat and non-heating energy and their billing system does not allow them to
separate the two, EAP payments may be paid on the account as billed. Heating energy may be
discontinued only when heating costs have exceeded payments made by EAP, the household and
other sources, and only in accordance with the Cold Weather Rule (see Minnesota Statues
§216B.095, and §216B.097).


CREDITS
Vendors must credit EAP payments to the authorized account. Only one primary heat EAP
credit and one crisis credit, in addition to supplemental payments as issued, are allowable on
each account. If a second primary heat or crisis credit is received for an account, the vendor
must enter it as a refund and notify the Service Provider with an explanation that contains the
name of the person whose name is on the account, the address of the household, the account
number, and the reason the money is being returned. If non-EAP credits exist on an account, the
EAP credit must be applied first.



Chapter 10 – Vendors                                                                        Page 71
REFUND CHECKS
Refunds During FFY 2008
During the FFY 2008 Program Year (October 1, 2007 to September 30, 2008), vendors must
refund all EAP payments remaining on the accounts of households that are no longer customers
or at the request of the local delivery Service Provider. The refund must be made within 30 days
of the termination of the account or the Service Provider request. All vendors that use eHEAT
will enter the amount of the refund into eHEAT.

Refund checks from vendors to DOC for customers who terminated their accounts prior to
September 30, 2008 will not be accepted by DOC after December 15, 2008. This includes the
previous year’s refunds or any refunds prior to that. Any checks received by the department
after December 15, 2008 will be returned to the vendor.

Refunds After FFY 2008
After September 30, 2008, EAP funds lose their EAP identity and belong exclusively to the
customer.

EAP credits remaining on individual accounts after September 30, 2008, MUST be returned to
the customer at his or her request. In the absence of a request, the credit must remain on the
account.

If the customer terminates his or her account after September 30, 2008, the vendor must apply
the same procedures to return the money to the customer as would be used for a credit that had
been paid directly by the customer.

Any EAP credits from prior to FFY 2008 remaining on individual accounts, MUST be returned
to the customer at his or her request. In the absence of a request, the credit must remain on the
account. If the customer terminates his or her account containing EAP funds from prior to FFY
2008, the vendor must apply the same procedures to return the money to the customer as would
be used for a credit that had been paid directly by the customer.

See Flowchart for Vendor has EAP Money to Return (see Appendix to Chapter 9, Payments and
Refunds) to determine whether the refund goes to the household or to the program.

The vendor has the responsibility of locating the household to whom the funds in the account
belong. If the funds are presumed abandoned, then the vendor must file a Holders Report. See
Minnesota Statutes §345.31 and §345.34. A link to the Department of Commerce’s Unclaimed
Property decision can be found at http://www.commerce.state.mn.us/.


PAYMENTS MADE IN ERROR
A vendor who suspects a household has received assistance in error must report those suspicions
to the local administering Service Provider. This includes receiving more than one EAP
payment for the same account.




Chapter 10 – Vendors                                                                       Page 72
VENDOR OUT OF BUSINESS
It is the responsibility of the service provider to monitor whether a vendor who has received
eHEAT payments is actively in business. If a vendor ceases to be in business during the energy
assistance program year with energy assistance funds on account for individual households, the
funds need to be recaptured and forwarded to the household’s new vendor. The service provider
must work with the vendor to facilitate the return of funds. If the SP is unable to contact the
vendor or the vendor does not respond, the SP should contact their local municipal or county
attorney.


VENDOR REGISTRATION AND CHANGE OF VENDOR INFORMATION
A vendor must be registered in eHEAT to receive an Energy Assistance Payment on behalf of an
applicant. There are two parts to being registered in eHEAT for the Energy Assistance Program:
first, the vendor must be registered as an approved vendor with the Minnesota Department of
Finance (DOF). A vendor is given an eleven digit Vendor Registration number by DOF. And,
after being an approved vendor, the vendor information is registered eHEAT. A vendor
payment is directed to the DOF Vendor Registration Number. Both registrations occur through
the Department of Commerce. To receive eHEAT payments, a vendor must submit via by mail
to Mark Kaszynski or Eheat.Doc@state.mn.us.

Vendor registration information must include:
          Vendor legal Business Name (TIN Name)
          Vendor Name Doing Business As (if appropriate)
          Business Address
          Business Phone Number
          Contact Person
          Service Provider Referral
          Federal Tax Number
          State Identification Number (nine digit number)
          Is the Business a Corporation, Partnership or Individual SS #
          MN Department of Finance Vendor ID Number (if already approved DOF Vendor):
          11 digit number.

If a vendor wants to change their vendor information, i.e. change of address, change payment
information, mergers, or buyouts, they are to submit that information in the same format.

If a vendor is not currently an approved vendor with the Minnesota Department of Finance, by
registering with eHEAT, the department of Commerce will register that vendor with Finance.
The MN Department of Finance does not register vendors. It is the responsibility of the
Department that uses a vendor to register that vendor with DOF.

                 A SERVICE PROVIDER MAY SEND AN EMAIL
      VIA EHEAT.DOC@STATE.MN.US TO INFORM THE ENERGY ASSISTANCE
      PROGRAM OF ANY VENDOR CHANGES THAT NEED TO BE ADDRESSED.




Chapter 10 – Vendors                                                                     Page 73
COLLABORATION
The vendor must work with the administrating Service Providers to develop methods of
identifying potential applicants for the Energy Assistance Program, including EAP crisis and
Energy Related Repair and to work with customers to reduce home energy costs.


LEVERAGING
The vendor will provide, upon request by the State or local administrating Service Provider, the
dollar amount or value of any discount rate, late forgiveness fee, or CIP funds used to assist EAP
eligible households. The State will use this information to leverage additional federal money for
the program.


ACCESS TO RECORDS
Vendors must allow the local delivery Service Provider and the Energy Assistance Program
access to their records for the purpose of compliance monitoring. Monitoring can include
verifying all transactions between the vendor and the local administering Service Provider, cost
information, application of payments to household accounts, billing to eligible households,
providing equal services to EAP eligible households, and all other activities agreed to in the
vendor agreement.


VENDOR AUDITS
Monitoring vendors is essential in ensuring program quality. Because benefit levels are
determined in part on the actual heat cost for the previous year, correct energy costs are an
essential part of determining the appropriate benefit to the household. Monitoring can ensure
cost and consumption information provided by the vendor was accurate and true.

Once the benefit has been paid to the vendor, the vendor is bound by the requirements of the
LIHEAP Act and the vendor agreement. Monitoring can also ensure vendors follow these rules.
Service Providers are encouraged to do on site monitoring whenever possible.

Include these steps when you audit vendors:
       1) Select 5 percent of the vendors including a variety of fuel providers in the sample.
       2) Select a portion of each vendor’s household accounts for review.
       3) Obtain household records from vendors or visit vendors and review appropriate
             records on site.
       4) Use vendor records to trace the payments your Service Provider made for
             households. Confirm households received full credit from your Service Provider's
             payment to the vendor.
       5) Trace vendor delivery records. Confirm that households received the proper
             amounts of energy, materials or services.
       6) Through vendor records, confirm that households used Energy Assistance payments
             for home heating costs only.




Chapter 10 – Vendors                                                                       Page 74
        7)    Confirm household's own payments to vendors do not overlap with energy program
              assistance. Vendors must not charge households twice for the same service.
        8)    Confirm vendors provided services within the appropriate period of time.
        9)    Confirm vendors do not penalize households that receive Energy Assistance
              payments.
              a) Make certain energy program households receive the same discount for cash
                    when payments are made on a line of credit or when bills are paid within the
                    same time frame as the vendor's non-Energy Assistance households.
              b) Make certain the vendor negotiates payment arrangements for energy program
                    households in the same way as non-energy program households.
              c) Make certain the vendor applies the same conditions under which refusal to
                    deliver or notice of intent to discontinue service are made to energy program
                    households and non-energy program households.


APPENDICES
     10A – AGREEMENT BETWEEN VENDOR AND SERVICE PROVIDER
     10B - VENDOR MONITORING REPORT COVER LETTER
     10C - VENDOR MONITORING REPORT




Chapter 10 – Vendors                                                                      Page 75
Chapter 10 – Vendors   Page 76
                                           Minnesota Energy Assistance Program FFY 2008
                            Agreement Between Vendor and Service Provider
______________________(energy supplier), ______________________________________(address), and successor home energy
providers, hereafter referred to as “the vendor”, hereby agrees to cooperate with ___________________, hereafter referred to as “the
service provider”, and the Minnesota Department of Commerce, Energy Assistance Programs, hereafter referred to as “the State” to
deliver the Minnesota Energy Assistance Program for Federal Fiscal Year 2008 (FFY 2008), October 1, 2007 through September 30,
2008.

The vendor and the service provider will:
    1. Follow Energy Assistance Program (EAP) policies and procedures.
    2. Maintain accurate client and consumption information.
    3. Comply with the Minnesota Government Data Practices Act (MGDPA), Minn. Stat. Ch. 13, as it applies to all data provided
        by the state under this agreement and as it applies to all data created, collected, received, stored, used, maintained or
        disseminated by the vendor or the service provider, in performing the duties under this agreement. In the administration of
        this program, the vendor and the service provider have access to a protected data base containing private information on
        individuals protected under the MGDPA. The vendor and the service provider agree not to release any private data,
        including from the database, to any third party without written authorization from the subject of the data.
    4. Share information with each other as may be needed to perform the duties under this agreement.
    5. Establish a dispute resolution process to resolve issues that may arise during the term of this agreement.
    6. Collaborate in working with customers to do all that is possible to ensure the customer will have access to home energy, to
        reduce home energy costs, minimize the risks of a customer’s home energy crisis and encourage regular payments from the
        household.

The Service Provider will:
     1. Determine customer eligibility.
     2. Provide new and existing vendors with information about the eHEAT software system.
             Encourage all vendors to become an eHEAT user, allowing them access to eligibility and benefit data “online”.
             Provide necessary and/or ongoing training to vendors using eHEAT.
     3. Negotiate with the vendor for continuation or reconnection of service to households who have applied and are eligible for
        EAP primary and/or EAP Crisis payments.
     4. Make payment authorization by telephone, fax or e-mail for:
                 a. Electricity, heating fuels and delivery of fuel.
                 b. Continuation or reconnection of connected utilities.
                 c. Service deposits, pressure tests, line bleeding, tank rental, membership fee, if applicable.
                 d. Removal from load limiters.
                 e. Due and past due amounts for electricity and heating fuels.
    5. Insure that payments are made through the State within 10 days of guarantee or notification of eligibility.
    6. Maintain a file of customer authorizations for exchange of private data between the service provider and the vendor.

The vendor will:
    1. Insure that the EAP eligible household will not be treated adversely from other households because of receiving EAP
       assistance and will not discriminate in services provided to the eligible household on whose behalf payments are made. Oil
       and propane dealers are required to comply with the Discrimination Prohibition in Minn. Stat. §325E.027.
    2. Provide consumption data at least once a week within 5 business days of the request.
    3. Apply all EAP payments to the account for which authorization is received and accept all customer payments.
    4. Supply account format to the service providers.
    5. Consider the warrant or EFT date to be the payment date for the household.
    6. Use EAP payments for the current fiscal year to pay for household energy costs incurred during the fiscal year before applying
       other payments. Upon customer request, return any funds remaining on the household’s account after September 30, 2008.
    7. Use EAP funds to pay for costs of home energy costs, including costs of fuel and other routine and required services.
       Expenses for items such as service contracts, water, garbage, sewer, gasoline, machine parts, engine oil, etc. will not be paid
       with funds from this program.
    8. Negotiate with the customer, or the service provider working on behalf of the customer, regarding all aspects relating to
       continuation of service, upon notification through eHEAT or direct contact with the service provider of application or
       eligibility for EAP.
    9. Accept a household application status on eHEAT of “approved” or service provider payment authorization by telephone, fax
       or e-mail for delivery of fuel, continuation or reconnection of connected utilities, or service deposits if applicable, and removal
       from load limiters.
    10.Continue service, reconnect or deliver fuel to households eligible for EAP crisis payments.
                                                   EAP FFY2008 Agreement Between Vendor and Service Provider Page 1 of 2
Chapter 10 - EAP FFY2008 Agreement Between Vendor and Service Provider                                   Appendix 10A
    11.Notify the service provider if the vendor believes EAP funds have been misused, including but not limited to:
             benefits from more than one household have been assigned to an account
             other members live in the household in addition to those reported on the application
             EAP benefits are going to an abandoned house
             EAP benefits are used for unauthorized purposes
             fraud or abuse is suspected or alleged
    12.Allow the service provider or the state access to books and supporting fiscal records for EAP audit purposes for period of three
       (3) years.
    13.Provide, at the request of the customer, the service provider or the state, information on applicant households’ home energy
       costs, consumption data for a twelve month period which includes the previous heating season, dates of delivery, bill payment
       history, or arrearage history. This information will be provided in a format designated by the State.
    14.Complete and submit the EAP leveraging report to the State.
    15.Refund to the State all credits attributable to EAP payments made during FFY 2007 remaining on a customer’s account within
       30 days after a client ceases to be a customer.
    16.Provide to the service provider a written price list for normal and customary services that are home energy costs eligible for
       payment with EAP funds, including leak seek and pressure tests and bleeding lines.
    17.Report dangerous heating or delivery situations to the service provider
    18.Register with EAP to receive payments.
    19.Use eHEAT when possible to administer EAP program business, including but not limited to:
             providing consumption
             maintaining vendor account numbers
             monitoring eligibility and payments
             recording refunds
             ensuring access to MDOC’s eHEAT system is limited to authorized personnel only
             disabling company users immediately upon termination of their role in the service delivery of EAP

Either party to this agreement may terminate it at any time, with or without cause, upon thirty days written notice to each other and the
State. Upon termination, the vendor must provide an estimated final invoice for the vendor’s services performed. Upon termination
and submission of a final invoice, and upon acceptance of the final invoice by the state, the vendor will be entitled to payment for
services satisfactorily performed.

Signatures:

__________________________________________                               ___________________________
Authorized Vendor Representative                                         Date

___________________________________________
Company Contact Person

(____)___________________(___)______________
Telephone                Fax

(____)______________________________________
24 hour emergency number

___________________________________________
E-mail address

___________________________________________                              ____________________________
Authorized Service Provider Representative                               Date

___________________________________________
Energy Assistance Coordinator

(____)_____________________(____)___________
Telephone                  Fax
(____)______________________________________
24 hour emergency number
____________________________________________
E-mail address
                                                   EAP FFY2008 Agreement Between Vendor and Service Provider Page 2 of 2
Chapter 10 - EAP FFY2008 Agreement Between Vendor and Service Provider                                   Appendix 10A
Re: EAP Vendor Monitoring Report Cover Letter

Dear Vendor:

All energy agencies are required to periodically monitor a portion of their fuel vendors to assure they
are complying with the Vendor Agreement.

Please take a few moments to complete the enclosed Vendor Monitoring Report. This form lists some
households who received EAP and possibly Crisis under the EAP 200__ Program. For the households
listed on this report, please do the following:

1. Consumption Amount: List consumption costs from__________, through________. (Attach
   copies of statements that verify these costs.)
2. Original EAP Grant: The amount of the household EAP grant, and Crisis grant (if they received
   Crisis) is listed under #2 column on the Monitoring Report.
3. Remaining EAP Grant: Of the total grant listed under #2 on the Report--list any portion of this
   grant that still remains on the household’s account, and has not yet been spent for heat costs.
4. Balance Owing for Heat Costs: If the household currently owes you for any heat bills, list the
   amount here. (List only the portion owing for heat). Note: Electric companies--please list amount
   owing for total electric costs only. Do not include water, sewer, garbage, or loans, which are listed
   on any electric account.
5. Provide a computer printout sheet for each household listed on the Vendor Report from the date the
   household received their EAP grant until the date the household spent their entire EAP grant for
   heat costs.

I would appreciate if you could return this information to our office no later than _______.I would like
to get this taken care of before I start gathering consumption costs from all fuel vendors for next year’s
EAP program.

Sincerely,


Energy Assistance Director




Chapter 10 - EAP Vendor Monitoring Reports Cover Letter                                      Appendix 10B
EAP Policy Manual FFY2008
                                        VENDOR MONITORING REPORT
                                        Energy Assistance Program – FY__________


Energy Vendor: _________________________________________Vendor #: _______________

Vendor Address: _______________________________________________________________

Contact Person:                                                  Phone #: _____________________

Number of EAP clients served by vendor:_________ Number of client records checked:______

If Vendor is not complying with EAP regulations, please provide an explanation.

EAP Payments
Were all EAP payments properly credited to client(s) account?         Yes / No (If no explain below)
(Note: EAP payments can be credited only to home energy costs. No EAP payments can be credited to items such as water,
garbage, sewer, gasoline, machine parts, engine oil, etc.)

Was EAP client billed through the standard billing process, and given any cash discounts when applicable?
Yes / No (If no explain)

Refunds
When customer moves, are refunds made to agency within 45 days after client moved? Yes / No

At customer’s request, did vendor refund remaining EAP grant after September 30th? Yes / No

Disconnects/Refusal to Deliver Fuel
Does vendor advise customers who are facing either a disconnect situation or refused fuel delivery because of
an unpaid bill that they may be able to receive assistance through their local energy assistance agency and
should immediately contact their EAP agency? Yes / No

Consumption
Did consumption information match vendor(s) records? Yes / No
Consumption Period: _______ to_________.


Did vendor comply with program regulations? Yes / No




Vendor comments regarding operation of Energy Assistance Program:




Chapter 10 – Vendor Monitoring Report                                                                      Appendix 10C
Revised 7/07
                                                                   VENDOR MONITORING REPORT
                                                                   Energy Assistance Program - FY _______



       Energy Vendor: _______________________________________                               Vendor #: ___________         Phone #:    ________________________

       Vendor Address: ______________________________________                               Contact Person: ____________________________________________

                                                                                                     (1) Consumption   (2) Original   (3) Remaining   (4) Balance Owing
HH #             Household Name                Household Address           Account Number     Fuel
                                                                                              Type        Amount        EAP Grant        EAP Grant    for heat costs only




       INSTRUCTIONS: All agencies are required to monitor major fuel vendors and a sampling of smaller vendors to assure compliance with our
       vendor agreement. Please do the following:
       (1)Fill in the heat consumption costs for a twelve month period that includes the heating season from 2006 - 2007 (attach copies of statements to
       verify these costs).
       (2) Amount of household’s EAP grant is listed in this column.
       (3) List remaining EAP funds from original EAP grant that still remains on household’s account, and has not yet been spent for heat costs.
       Note: Provide computer printout for each household listed on the Vendor Report from the date household received their EAP grant until the date the
       household spent their entire EAP grant for heat costs.
       (4) List amount household currently owes for heat costs only. Electric companies—please list amount owing for total electric costs only. Do not
       include water, sewer, garbage, or loans that are listed on any electric account.
       Chapter 10 – Vendor Monitoring Report                                                                                                                 Appendix 10C
       Revised 7/07
                                        CHAPTER 11

              CLIENT AND VENDOR NOTIFICATION
The LIHEAP Act requires households and vendors be notified of assistance amounts. Clients
receive letters informing them about the results of their applications, requests for crisis, and
requests for Energy Related Repair services. Most household notifications require a letter
produced by eHEAT, although the letter requesting additional information can be produced
locally. Vendors are notified about their customers who receive an EAP benefit for primary heat
or crisis. The form of vendor notification varies for those that use eHEAT and those that do not.


CLIENT NOTIFICATION
eHEAT-generated letters include the Service Provider name, address, phone number and logo
(see Appendix to Chapter 11, Client and Vendor Notification). There is a different letter for
each of these situations:
           Additional Information Request Letter Format
           Approval Letter – ERR
           Approval Letter for Primary Heat Homeowners
           Blank Application – 2008 Regular EAP-WAP App
           Denial Letter With Denial Reasons
           eHEAT Vendor Letter Overlay
           End of Program Letter


VENDOR NOTIFICATION
eHEAT produces a list of benefits by household, address, and account number in conjunction
with payments. Vendors that use eHEAT access their notifications on eHEAT. Vendors that do
not use eHEAT receive a letter of notification, and a printed spreadsheet containing the same
benefit information, generated by eHEAT and mailed by the State office.


APPENDICES
     SAMPLE LETTERS




Chapter 11 – Client and Vendor Notification                                               Page 77
Chapter 11 – Client and Vendor Notification   Page 78
Appendices for Chapter 11
Notification Letters
You will be notified when the letters become available.
EAP Policy Manual FFY2008
                                    CHAPTER 12

                                           CRISIS
Since FFY2006, the Minnesota Energy Assistance Program (EAP) has employed a “Coordinated
Responsibility Model” for heating energy payments. The Model assumes households, vendors,
and the government all have a role in assuring heat for low-income households during the winter.
Government responsibility includes providing heating payment supplements, case management
and advocacy for households, and maintaining influence with vendors. Vendor responsibility is
to be as flexible as possible so energy payments leverage the highest possible level of service to
the household. Household responsibility is to make reasonable and planned payments for energy
service, access government aid when necessary and communicate with vendors and government
service providers.

Several components of EAP are designed to work together to improve household payments:
          Primary heat payments are scheduled over four months so vendor billing is more
          likely to show an amount due;
          An Emergency Benefit (EB) pays the past due plus current bill up to $300 so
          more/most/all the primary heat benefit addresses this year’s heat bills;
          Assurance 16 case management helps households establish and maintain regular or
          planned payments for energy; and
          An Emergency Benefit Adjustment (EBA) provides an incentive to establish and
          maintain regular or planned payments for energy and reduces the amount still owed to
          the vendor.

A16 AND CRISIS EFFORT DEFINITION
Intentions:
            To minimize shut-offs for natural gas and electricity during the heating season.
            To minimize refusals to deliver.
            To serve the crisis population made up of households that can not pay, not those that
            did not pay.
            To develop an A16/Crisis program that requires household payments.

Values:
            Energy bills should be affordable.
            All households should have heat and electricity.
            All stakeholders (government, advocacy organizations, vendors and households)
            should contribute to assuring that all households have heat during the heating season.
            Consistency
            Flexibility




Chapter 12 – Crisis                                                                        Page 79
Focus
            Determine and deliver Emergency Benefits (EB or basic Crisis). EB is an amount up
            to $300 used to eliminate or reduce past-due energy payments. Or
            Providing A16 services to assist the household (coordinating resources like CWR,
            Scheduled Payment, Crisis, negotiated household payments):
                Identify a reasonable payment
                Enter into payment agreements
                Educate households about energy program components and changes
                Verify payment plan compliance
                Educate households about their rights and responsibilities in relationship to their
                energy service
                Verify payment plan compliance
                Educate households about their rights and responsibilities in relationship to their
                energy service
            Determine and Deliver Emergency Benefit Adjustments (EBA).
            Measure impact
            Provide incentives to participating households
            Encourage households to pay energy bills.
            Provide information and support to stakeholders about A16 policies and procedures

Context
            Early on the PAC suggested FFY2006 would be a transition year to an innovative
            Crisis Program implemented in FFY2007. The Crisis Program for FFY2007 includes
            some changes, but the foundation of the Crisis Program for FFY2006 remains.
            The state expects consistency in the delivery of the Crisis and Assurance 16 Programs
            in FFY2007.
            A16 can not pay household energy bills.
            There is more to A16 than Crisis administration.
            There is concern about total funding for FFY2007.

EB, EBA and A16 Integration
A summary of the steps for implementing EB and EBA are:
      1.   Household requests crisis.
      2.   Service Provider confirms the amount(s) past due or needed for a refused delivery.
      3.   Service Provider awards crisis:
               enters one crisis event for the EB,
               distributes the EB payment between vendors if necessary,
               completes the event and
               makes the EB payable.
      4.   Service Provider initiates EBA activities for household:
               solicits household for EBA participation,
               determines reasonable payments,
               enters one crisis event for the EBA,
               obligates funds and distributes funds between vendors, if needed, and
               notifies household.



Chapter 12 – Crisis                                                                          Page 80
        5.    Service Provider follows up with EBA participants:
                 initiates follow up,
                 identifies completion of affordable payment agreement,
                 identifies past due, funds needed due to a refused delivery and current bills,
                 determines and authorizes EBA payment (within 3 weeks of the date of the last
                 affordable payment), and
                 notifies household.




Chapter 12 – Crisis                                                                      Page 81
CRISIS POLICIES AND PROCEDURE
The Emergency Benefit
Intentions:
          To apply Primary Heat payments to the winter’s heat costs to the degree possible
          To prevent shut-off of residential heat-related energy sources
          To reinstate service of residential heat-related energy sources
          To enable delivery of residential heat-related fuel

The Emergency Benefit (EB) is a payment to eligible households for past due bills (connected or
delivered fuel). In addition, EB can provide a minimum delivery for households with no past
due if they have less than 20 percent of fuel remaining and are on a cash-only basis. The amount
of the EB is the sum of the past due and current bill or minimum delivery up to $300.

Emergency Benefit Eligibility
Each household is allowed up to two EB events, each with payments to one or more vendors.
The total of the two events cannot exceed $300. In addition, to receive EB, a household must
       1.     Request crisis
              BY
                  Including a bill showing an amount past due with the Energy Programs
                  Application, or
                  Calling or writing to notify the SP of a past due or disconnection notice
And
       2.     Be eligible for primary heat
And
       3. Need fuel or fuel bill payment
              BY
                  Having a past-due bill or
                  Having used up Primary Heat, having less than 20 percent of fuel tank capacity
                  remaining in their tank and being on a cash basis with the vendor or
                  Having a current bill and an inability to pay determined by the Reasonable
                  Payment Worksheet

Note: there is no requirement for the household to sign up for the Cold Weather Rule to receive
EB. Households receiving crisis benefits will be referred to A16 services and be required to
explore CWR protection.




Chapter 12 – Crisis                                                                       Page 82
Here is a process for identifying crisis eligibility and payment amount:
 Step #                                              Response     Action
                                                          Yes     Go to Step 2
 1.        Did the household request crisis?
                                                          No      Do not provide crisis
                                                          Yes     Go to Step 3
                                                      Eligibility
           Is the household eligible for                          Determine eligibility and repeat
 2.                                                      isn’t
           primary heat?                                          step 2.
                                                      determined
                                                          No      Do not provide crisis
 3.        Does the household have an EB                  Yes     Go to Step 4
           amount available?                              No      Do not provide crisis
 4.        Does the household have a verified             Yes     Go to Step 8
           past due bill?                                 No      Go to Step 5
 5.        For delivered fuels, does the                  Yes     Go to Step 8
           household have less than 20% of
           the fuel tank capacity remaining, is
           the available primary heat benefit
           inadequate for a minimal delivery              No      Go to Step 6
           and is the household on a cash
           basis with their delivered fuel
           vendor?
 6.                                                               Determine inability to pay using
                                                                  the Reasonable Payment
                                                                  Worksheet for Assurance 16.
                                                                  “Inability to pay” means RPW
                                                                  identifies the household cannot
                                                                  reasonably pay the amount of the
                                                                  current bill. Go to Step 7
 7.        Does the HOUSEHOLD have an                     Yes     Go to Step 8
           inability to pay?                              No      Do not provide crisis
 8.                                                               Determine EB amount and pay

The EB Amount
In all cases the amount of the Emergency Benefit is the amount of the past due plus the amount
of the current bill or minimum delivery, up to $300. No credit can be generated by a crisis
payment.


THE EMERGENCY BENEFIT ADJUSTMENT (EBA)
Intentions:
            To encourage households to make regular or planned payments to their energy
            providers

EBA Eligibility
The Emergency Benefit Adjustment is an additional energy bill payment to households that have
made regular or planned payments to their energy providers. A16 case managers will:


Chapter 12 – Crisis                                                                        Page 83
             help households determine the amount of their reasonable payment
             provide support to the household to encourage payment.
             follow up with the household and vendor to verify payment is made.
             Refer households that made payments for an EBA payment.

To be eligible for an EBA, a household must:
       1.    Be a recipient of the EB
And
       2. Make regular or planned payments to their energy providers
             BY:
                  Agreeing to and complying with a vendor payment plan or
                  Agreeing to and complying with a Reasonable Payment Agreement with the SP
                  (at least $10 per month or $40 for 4 months split between vendors according to
                  prior years’ consumption) or
                  Maintaining regular or planned payments as part of a personal plan of financial
                  responsibility.

The EBA Amount
In all cases the amount of the EBA will be the amount of the past due plus the amount of the
current bill and minimum delivery up to $500 less the total amount of both EBs. No credit can be
generated by a crisis payment (EB or EBA).


CRISIS CATEGORIES AND TIMELINES
Crisis has three categories, depending on the level of customer service required:
        1. A household in a life-threatening situation needs the highest level of service. The
              law requires that the threat to life be removed within 18 hours of a household
              requesting crisis. Life threatening situations include:
                  No heat in the house.
                  No heat distribution.

        2.    The second level of service is for households experiencing immediate energy
              emergencies that are not life threatening. For example, a household may be
              scheduled for a shut-off within 2 days or have less than 20% of the tank fuel
              capacity remaining. EB for these households must be approved within 48 hours of
              the crisis request.

              When the household has adequate fuel remaining and to avoid additional fees for
              crisis delivery, the vendor can be notified to provide the crisis fill during the regular
              route.

        3.    The third level of service is for households with a past due who are not in danger of
              disconnect or who have more than 20% of tank capacity remaining. They can be
              served in the normal priority/delivery order.




Chapter 12 – Crisis                                                                             Page 84
CRISIS ASSISTANCE - ACCESSIBLE 24/7
Households must be able to access Crisis assistance 24 hours a day, seven days a week from
October 1 through May 31. Agencies must have a 24-hour emergency number. Service Provider
staff must be available to address a life-threatening situation within 18 hours.

Examples of 24-hour response capacity may include:

            Service Provider staff can be assigned to access answering machines or voice mail on
            a rotating basis. You can add a message on the answering machine asking clients to
            leave a message and that the message will be responded to within a certain period of
            time. Assigned staff can check for messages on a schedule, for example, every four
            hours.
            You may acquire a beeper and put the number on your answering machine or give the
            number to your referral service. Clients or referral agencies can call the beeper and
            assigned staff can respond.

Using eHEAT for CRISIS
All households requesting EB and EBA need to have a crisis event entered into the eHEAT.

            Create and maintain a Crisis event each time an EB is promised to a client or vendor.
            Create and maintain another Crisis Event for each household receiving an EB and
            agreeing to a payment plan. The reason should be “EBA.” The event status should
            be “In Progress.”

Do not go to the next screen to enter or obligate payment amounts until notified by DOC to do so.




Chapter 12 – Crisis                                                                        Page 85
Crisis is entered into eHEAT from Client Services>>Crisis Benefits:




                                        2
  1




                                SSN and Name
                                SSN and Name
                                SSN and Name
                                SSN and Name
                                SSN and Name
                                SSN and Name
                                SSN and Name
                                SSN and Name




The “Search by Application” link ( ) allows you to maintain a crisis event from a list of all
applications for Energy Programs (see above). The “Search by Crisis Event” link ( ) allows
you to search for and maintain a crisis event from a list of existing crisis events.

A “Crisis Event” is one determination that a crisis exists. The crisis may involve more than one
vendor and a crisis event may result in payment to more than one vendor.

To maintain a Crisis Event:
Click the Button “Maintain Crisis Event” at the bottom of the Search Results for “Search by
Application” or “Search by Crisis Event.” The result will be this “Crisis Event Information
screen:


                                                           Phones
                  Name

                      Address




In the screen above, there is no crisis event. To add a crisis event, click the “Add” button. The
result is the screen below:




Chapter 12 – Crisis                                                                        Page 86
                                                               4
                                           3


                                                                    5


Note there is now a crisis event, called “New Event.”
Click on the “ ” ( ) to the right of the field “-Select-“to bring up the drop-down box. With
your cursor, select the reason for the crisis. Enter details about the crisis up to 255 characters
into “Notes” ( , required).

Enter the “Reported Date” in the format mm\dd\yyyy 24hh:mi.
Click “Submit.” You will get a green Status Message: “Event Saved Successfully” and the
Crisis Event Id will change from “New Event” to a five digit number.

Next, distribute the EB benefit by clicking on the “Distribute Crisis Benefit” ( ) button.
Distribute the EBA event in the same way when DOC has authorized obligating EBA funds.




Then click “Add Distribution.”




                      Name

                         Name




                                                   1                                     2


                                                                3


Chapter 12 – Crisis                                                                           Page 87
Select one vendor to receive the EB benefit ( ), enter the Crisis Amount ( ) and Save ( ). If
you want to pay EB to more than one vendor, repeat the process.

When DOC has authorizes obligating EBA, use this screen, but follow these steps: enter the
Crisis Amount ( ) and Save ( ). (Do not enter the vendor until it is time to pay the EBA. By
leaving off the vendor name, vendors will not see the obligated EBA amount and will not count
on the payment.)

When it is time to pay the EBA, come back to this screen. Add one or more vendor names and
distribute the EBA Crisis amount among them, as needed.




                                                                                     4
When the payment distribution is saved, the payment status becomes “Obligated” unless the
When the payment distribution is saved, the payment status becomes obligated, unless the crisis
allocation is inadequate to pay the crisis amount. Use the Obligate button to obligate a crisis
amount when funds become available.

Select Complete ( ) to change the status in the “Client Services” section to “Complete” and
send the benefit to the payment section with a status “Certifiable.”


APPENDICES
     NONE




Chapter 12 – Crisis                                                                      Page 88
                                      CHAPTER 13

              ENERGY RELATED REPAIR PROGRAM
ERR EFFORT DEFINITION
Background
The Energy Related Repair (ERR) benefit is a crisis benefit addressing hazardous and life
threatening safety or no heat problems due to malfunctioning or nonfunctioning heating systems.
As a crisis program, response to ERR requests must be immediate and the purchasing process is
expedited.

Intention
       o Assure safe adequate heat for eligible households
       o Resolve health and safety crisis situation

           by
         o Addressing hazardous and life threatening safety or no heat problems due to
           malfunctioning or nonfunctioning essential non-redundant heating systems.

Values
         o   Immediately addressing the life threatening condition caused by no heat situations
         o   Using energy efficient solutions whenever possible
         o   Responsible management of resources
         o   Balancing available resources for serving many households with future energy
             savings to one household. When it is necessary to choose, EAP prefers to assure more
             households have adequate heat restored.

Focus (Business areas included in doing ERR service):
       o ERR Eligibility
       o Assessment of ERR situation
       o Repairing and replacing mechanical systems
       o ERR Event management (Includes, but not limited to coordinating activities, proper
          documentation in eHEAT and accounting)
       o Vendor/Contractor Management
       o Managing assistance costs

Excludes: ERR may not be used for:
      o non emergency repairs or replacements
      o repairs or a replacement not initiated by the EAP Service Provider
      o unoccupied dwellings
      o installation of furnaces in dwelling without currently installed furnace.
      o renters



Chapter 13 – Energy Related Repair Program                                                Page 89
        o portable heaters are not to be considered furnaces
        o installation or setting propane tanks
        o installation or repair of furnaces in non-qualified dwellings (See definition of
          dwelling)
        o Secondary and redundant heating systems

Context
      o For simplicity purpose, all heating units are referred to as furnaces
      o Households must be EAP eligibility to receive ERR
      o ERR funds may serve a household that:
            Is currently eligible for EAP assistance, and
            Is a homeowner and occupies the home, and
            Occupies a qualified dwelling and
            Has a hazardous and life threatening or no heat situation, or a malfunctioning
            heating system.
      o ERR response to calls must be immediate, in compliance with federal law
      o Qualified installers make mechanical and safety repairs and installations
      o 50% of installation work is inspected
      o ERR expenditures must average $2000 or less per ERR household ($2,500 or less for
        Service Providers with total ERR allocations less than $20,000)
      o Each Service Provider is guaranteed an ERR allocation of at least $8,000
      o Not only is there more ERR need than ERR resources, but the resources are
        unpredictable
      o If ERR is administered by a different program or service provider than EAP, the
        administering manager must be given a copy of this chapter.




Chapter 13 – Energy Related Repair Program                                                   Page 90
ERR POLICIES AND PROCEDURES
Referrals for ERR
Service Providers can solicit qualifying referrals for ERR from Weatherization agencies and
other social service organizations. When a household initiates a contact about a no heat problem
furnace, use the ERR Troubleshooting Tool to determine the households need.

Eligibility
The EAP income eligibility process serves as the income eligibility determination process for
ERR. ERR funds may serve a household that:
            Is currently eligible for EAP assistance, and
            Is a homeowner and occupies the home, and
            Has a hazardous and life threatening or no heat situation, or a malfunctioning heating
            system.

Furnace terms and definitions
EAP ERR benefits focus on essential non-redundant furnaces. In assessing an ERR event, the SP
should consider the specifics of the dwelling’s furnace and deliver services to restore the primary
or essential non-redundant furnace. Common terms used include (But not limited to):
            Furnace - any heating unit/system
            Primary – the main furnace for the dwelling
            Secondary – a redundant or additional furnace.
            Dual Systems – A furnace that uses more than one fuel source.
            Off-Peak – Electric discount programs utilizing another fuel type during high electric
            demand periods.
            Back up – A secondary furnace used to supplement the primary furnace.
            Non-Traditional – Furnaces not in general use.

ERR Assessment
ERR is only allowable for primary furnaces. The intention of ERR is to restore heat where there
was once heat. In determining the appropriate ERR activity, the SP should assess the structure of
the dwelling and how the furnace functions to heat the house. This assessment allows the SP to
decide on the validity of the ERR event using the intentions and definitions. Examples include:
           ERR focuses on the primary furnace and not secondary or back up furnaces unless the
           secondary furnace is required to resolve a no heat situation or/and is a cost effective
           solution.
           In considering Off-peak, back-up or dual furnaces, the SP must determine the extent
           the dwelling is configured to rely on these systems.
           A household may have a secondary furnace that could be used as a primary furnace if
           the secondary furnace is both a legitimate option to restore heat and is a cost effective
           alternative. A secondary system can only be replaced as a cost control measure.
           Non-traditional furnace may not be replaced with ERR funds if it is redundant or a
           less expensive traditional furnace is possible. Examples are heat pumps, outdoor
           biomass furnaces/boilers, radiant floor, and fireplace inserts.
           Because most off-peak programs are voluntary, ERR repairs or replaces the primary
           furnace to restore heat. ERR restores the primary furnace while households are
           responsible for participation in vendor programs.


Chapter 13 – Energy Related Repair Program                                                  Page 91
Dwelling Unit Definition
“Dwelling Unit” means a residential housing structure, including, without limitation, a mobile
home and a modular home when permanently connected to the required utilities (including
plumbing, heating and electrical systems contained therein) and designed to be used as a
permanent residence. Dwelling Unit does not include a camper, boat, railroad car, bus or other
structure designed and constructed as temporary living quarters.

Proof of Ownership
Home ownership is self declared for repairs. Replacements require proof that at least one
household member is an owner. Purchasing a home under any definition including Contract for
Deed, mortgage, and other payment arrangements is considered ownership. Ownership also
includes arrangements through Life Estate and Quit Claim Deeds.

The home ownership requirement is a means of holding landlords responsible for repairs, as the
law requires (see Minn. Stat. Ch. 504B). It is not meant to deny a household the resources for
furnace repairs and replacement. For this reason and because there are many options for
becoming a home owner, SPs can accept any documentation that proves home ownership. Proof
of ownership can include, but is not limited to:
           Property tax statement
           Documentation of Mortgage or mortgage payments
           Payment coupon
           On-line information from the county recorder or assessor (or over the phone, with
           documentation)

SPs can accept any documentation that proves home ownership. This allows flexibility for the SP
to validate the applicant as the homeowner. On tribal land there may be no property tax or
ownership records. In these situations, validation options include a signed statement declaring
the applicant owns the home or a short questionnaire asking such questions as, “Who is
responsible for repairs on your house?” and “If you sold your house, who would get the money?”

Example 1:
In some areas, applicants may lease a home owned by a Housing Authority under a home
ownership program. Proof of participation in a home ownership program is proof of ownership
for ERR furnace replacement.

Example 2:
Applicants may have a mobile home sitting on land owned by someone else. The mobile home
may have been purchased by bartering or given as a gift. There will likely be no ownership trail
for the mobile home. If the home is taxed, consider the person responsible for taxes to be the
owner.

ERR may not be used for:
         Non emergency repairs or replacements.
         Repairs or a replacement not initiated by the EAP Service Provider.
         Unoccupied dwellings.
         If the dwelling currently does not have an installed furnace.


Chapter 13 – Energy Related Repair Program                                                Page 92
            Structures not meeting the definition of a “Dwelling Unit” (See above )
            Rental units.


TIME FRAMES FOR ERR SERVICE
ERR is a crisis program, and timelines for service must comply with the federal crisis
requirements. A grantee must take immediate action to restore households in no heat/life
threatening conditions to safe situations within 18 hours.

Local deliverers must implement a process to ensure the safety of the client.
       1. Secure vendors that know the program timelines and can reliably meet them.
       2. Secure vendors that have the capacity and commitment to supply the client with
             adequate temporary heat if the work will take longer than 18 hours. As an
             alternative, Service Providers may supply temporary heat sources. Check with your
             Service Provider attorney regarding liability.
       3. If the household must leave their dwelling:
             a. The Service Provider and the vendor must take steps to protect the client’s
                   water system.
             b. The Service Provider must utilize community organizations and resources to
                   secure housing for the client.
       4. If temporary living quarters cannot be secured through community resources, the
             Service Provider can request a waiver from their Field Representative to expend
             ERR funds for temporary housing up to 48 hours.

No Heat and Life Threatening Conditions
A no heat situation is where a furnace or distribution system is inoperable. A life threatening
condition is an immediate, unsafe condition directly related to the heating system that threatens
life. Some examples include:
            Non-working or red tagged furnaces include non-working furnaces due to inadequate
            maintenance and can be made operable with cleaning and tuning or repair.
            Gas leaks.
            Dangerous combustion gases leaking out of the furnace, vent or flue system into the
            dwelling.

Health and Safety and Operational Hazards
A health and safety hazard is an unsafe condition directly related to the mechanical system.
Service Providers must arrange corrective action for health and safety hazards within 48 hours.
Examples include, but are not limited to:
           Yellow tagged furnace.
           Improper drafting.
           Carbon monoxide levels in the flue measured at between 200 and 400 parts per
           million.
           Insufficient clearance between combustible materials (such as walls or ceilings) and
           combustion appliances.
           Electrical wiring problems directly related to the furnaces safe operation.




Chapter 13 – Energy Related Repair Program                                                 Page 93
            Distribution system (e.g., ductwork or radiators) repairs or additions needed because
            of insufficient heat in the dwelling (but not unheated rooms) or because it is affecting
            the draft of the furnace or other combustion appliances.
            Control system repairs or replacements e.g., thermostats, zone control valves where
            existing equipment is inoperable.
            Required regulators and pressure tests on LP equipment when tank has run out of
            fuel.
            Damaged fuel storage tank/vessel.
            Venting repairs/replacements such as:
                Clearing of blocked chimneys or flues.
                Repair of damaged chimneys, flues or collars.
                Correction of inadequate clearance between flues and combustibles.
                Chimney replacements and chimney liner installations.
                Domestic water heater venting if the heater was vented into the same vent as the
                old furnace.
            Elimination of fuel leaks within the dwelling and between the fuel storage vessel and
            the furnace for delivered fuel systems. This includes leaks not repaired free of charge
            by gas utilities.
            Pressure testing and bleeding lines when required by a vendor delivering fuel or
            required as part of a repair or furnace installation.
            In wood burning heating systems, the following additional repairs are allowed:
                Installation of protective screening where occupants face danger from burns or
                injury.
                Installation of smoke detectors.

Note: Water heater replacements are allowed only if more cost effective measures are not
available to insure proper venting of the water heater after the installation of a furnace with ERR
funds.


ELECTIVE FUEL TYPE CHANGES
Upon request of the homeowner, ERR funds may be used to change fuel types during a
replacement provided the following conditions are met:
          The cost of a new heating system with a new fuel type does not exceed the cost of a
          new existing fuel type heating system by more than 5%. Cost consideration includes
          consideration of chimney and other repair.
          Program funds must not be used to bring the new fuel line or pipe to the dwelling.
          The household may pay to bring the fuel line to the dwelling.


MEDICALLY NECESSARY FUEL TYPE CHANGES
ERR funds may be used to change fuel types in medically necessary situations provided the
household supplies a written doctor’s letter stating the need or disability. Examples of medically
necessary fuel type changes include but are not limited to elderly or disabled clients who heat
with wood and are no longer able to handle wood. All related costs including gas line



Chapter 13 – Energy Related Repair Program                                                   Page 94
installation, fuel tanks and ductwork may be charged to ERR when the fuel type change is
medically necessary.


ASSISTANCE LIMIT
The ERR expenditures for the program year must average $2,000 or less per ERR household
($2,500 or less for Service Providers with total ERR allocations less than $20,000). The average
is computed by the total amount spent on program activity (including audit and inspection costs
charged to program) divided by the number of households receiving ERR benefits. The data to
determine averages comes from eHEAT. Current ERR average is a key performance indicator
on the eHEAT Dashboard.

The Service Provider is responsible for managing the average ERR benefit. The Department of
Commerce actively monitors average ERR expenditures. The initial monitoring visit includes a
discussion of the local plan/process to end the program year with ERR expenditures at or below
the average. Field Representatives also use the EAP Production Report to track ERR averages
and follow up on concerns.

There are no specific dollar limits per household in ERR, however, Field Representatives will
select client ERR files over $5000.00 for review during their monitoring visits to the Service
Providers.


PROCUREMENT
The Service Provider is required to obtain ERR services for the household. The obligation to
obtain ERR services can not be passed on to households. A preferred practice is contracting with
the household’s choice of vendor, according to Service Provider’s policy, but contact with the
vendor must be initiated and completed by the Service Provider to assure proper program
management, procurement, monitoring and oversight is conducted.

The Service Provider must have written procurement procedures to comply with the standards in
federal OMB (Office of Management and Budget) guidelines. The Service Provider must follow
its agency procurement policies, including policies on competitive bidding where applicable. In
life threatening no heat and life threatening safety situations, the Service Provider is authorized
to waive its normal competitive bidding process to provide immediate service if the household is
in immediate danger.

Mechanical Equipment and Work Standards
All furnace repairs and replacements must be performed by a bonded vendor who can conduct
pressure tests when required and meet the following mechanical equipment and work standard:

Repairs
            If a proposed repair has a life expectancy of less than five years and would normally
            last much longer, replace the heating system. This standard does not include routine
            maintenance, such as a nozzle replacement.
            Repairs must meet code and be completed in a workman-like fashion.



Chapter 13 – Energy Related Repair Program                                                  Page 95
Replacements
         Furnace models for all fuel types must meet the Energy Assistance Program
         specifications for energy efficiency. These furnaces must meet performance,
         reliability, and cost-effectiveness standards. This means that furnace must:
             Have an efficiency level of 90+ AFUE (Annual Fuel Utilization Efficiency) or
             80% for oil.
             Have a manufacturer's limited warranty.
             Be manufactured by a reputable dealer.

Exceptions:     Where a physical condition exists that prevent the installation of a high
                efficiency furnace or wood burning furnaces or heating unit of a type that
                cannot be designed to be 90+ AFUE.

            In mobile homes, the replacement must:
                 Be certified for use in a mobile home.
                 Be installed as one complete unit from the base of the furnace to the top of the
                 vent on the roof.
                 Be approved by the Minnesota Department of Administration if it is an alteration
                 to the mobile home.
                 Use the same method for supplying combustion air and venting as the original
                 equipment, unless it is a pre-code mobile home.
            If the domestic hot water heater was vented into the same flue as the old furnace then
            it must be vented in such a way as to assure proper drafting after the new furnace is
            installed.
            All mechanical repairs and heating system replacements must conform to the
            standards set forth in the following;
                 International Mechanical Code (IMC)
                 International Fuel Gas Code (IFGC).
                 National Electrical Code (NEC).
                 State Fire Code with (currently 2006 IFC with amendments).
                 Local codes and ordinances.
                 2000 Minnesota Energy Code, Chapter 7672.0900, sub. 8, par. 9
            Structural repairs necessary to repair or replace mechanical systems in compliance
            with manufacturer’s specifications
            The unit must be properly sized and installed to ensure maximum comfort and
            efficiency using industry accepted sizing protocols.
            Ductwork must be designed and installed properly, and leaks minimized through the
            use of permanent leak reduction technologies (duct tape alone is insufficient).
            Any thermostats or controls installed with the equipment must be designed for use
            with such equipment.
            Contractors must:
                 Be licensed and bonded as required by pertinent laws, ordinances, regulations or
                 codes.
                 Be well trained in the proper installation of furnace.




Chapter 13 – Energy Related Repair Program                                                 Page 96
               Warranty work and materials in each household where service is provided. The
               warranty must be in writing, with the original provided to the household and a
               copy to the Service Provider.
               Follow state law concerning the disposal of controls containing mercury.
               Meet the following minimum insurance coverage requirements:
            Property damage: $50,000.
            Bodily injury and liability: $100,000/$200,000.
            Basic workers compensation where required.


VERIFICATION/COMPLETION CERTIFICATES/PAYMENTS
On Site Inspections
On site post inspections by the Service Provider are required for 50 percent of completed furnace
replacements and oil retrofits and a minimum of one inspection per contractor. The inspections
must be completed prior to paying for the work. On site post inspections are part of the
installation process and costs may be included in the cost of the unit installation. The allowable
charge to ERR funds is limited to the Service Provider mileage rate, employee travel time at the
employee’s cost and one-half hour inspection charge at the employee cost or contractor’s
invoiced amount. All additional costs must be charged to EAP administrative funds. Inspection
costs will be documented using the ERR Furnace Replacement Inspection Tool.

Inspections must verify that:
           Replaced units and or retrofits are those contracted for in the bid;
           Billed work was completed.

ERR Furnace Replacement Inspection Tool
The Service Provider must use the ERR Furnace Replacement Inspection Tool to document all
on site inspections for ERR. (See Appendix to Chapter 13, Energy Related Repair Program, for
Furnace Replacement Inspection Tool). In addition, Service Providers are required to update the
appropriate fields in eHEAT.

ERR Completion Certificates
All replacements and repair work over $1,000.00 completed with ERR funds must have a
completion certificate signed by the contractor and household stating that the specified work has
been completed and the client is satisfied with the work. The Completion Certificate must be
signed and dated by the homeowner and the heating contractor. The Completion Certificate must
include the model and serial numbers of replacements and test date and results of the contractor
pressure tests. For furnace installations or oil retrofits, the Service Provider’s inspector must also
sign, if inspected.


PAYMENTS
All payments for services must be made to contractors or vendors. The Energy Assistance
Program Office does not allow direct ERR payments to households. No payments for furnace
installations can be made until the Service Provider has a signed completion certificate and




Chapter 13 – Energy Related Repair Program                                                     Page 97
inspection tool, if inspected. Document any instance where the household will not return a signed
Completion Certificate.


ERR FILE DOCUMENTATION
All ERR household files must include the following documentation:
          The completed ERR Tracking Form.
          Documentation the household was eligible at the time the service was performed.
          Copies of any purchase orders or other work orders.
          Itemized invoices for work completed.
          A completed ERR Furnace Replacement Inspection Tool, if applicable.
          An ERR Completion Certificate for each contractor or service, if applicable.


APPENDICES
     13A ERR COMPLETION CERTIFICATE
     13B ERR FURNACE REPLACEMENT INSPECTION TOOL
     13C ERR TROUBLESHOOTING TOOL
     13D ERR TRACKING FORM




Chapter 13 – Energy Related Repair Program                                                Page 98
Completion Certificate                      ENERGY RELATED REPAIR

__________________________________              ________________
Homeowner Name                                  Household Number
_______________________________________________________________________
Address

Contractor:
I certify that the work authorized by _________________________________________
is complete. All work conforms to all standards and codes that apply. All work meets the
agreements between this firm and the Energy Assistance Program Service Provider. All the
work performed by this firm is subject to and follows manufacturer and contractor warranties.

__________________________________                           _______________________
Name of Firm                                                 Contractor License Number
_________________________                ________________       ____________________
Authorized Signature of Firm             Date Signed            Date Work Started

Number to Call if Problems (___) _____ - ________               _ ___________________
                                                                Date Work Completed

FOR REPLACEMENTS ONLY:

____________________ ________________                ____________________________
Manufacturer         Model Number                    Serial Number


Date of pressure test (If appropriate)          Pressure test results (If appropriate)

Test Comment(s):


Homeowner:
I certify that the contractor has delivered the materials and completed the work listed on the work
order. The EAP Service Provider may pay the contractor on my behalf.

__________________________                                     ______________________
Signature of Homeowner                                         Date

Inspector: (WHEN REPLACEMENT IS SELECTED FOR INSPECTION)
I certify that the contractor has delivered the materials and completed the work listed on the work
order. The EAP Service Provider may pay the contractor.
__________________________                        ______________________
Signature of Inspector                            Date
Notes: _________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
Give a copy of this form to homeowner.
Chapter 13 – Energy Related Repair                                                      Appendix 13A
                                                                                  Revised July 25, 2007
EAP Policy Manual FFY2008
ERR FURNACE REPLACEMENT INSPECTION TOOL
Household Name:_______________________________________Household #________
Address: ________________________________________________________________
City: ___________________________________________________________________
Telephone: _________________
Directions to Home: _______________________________________________________
________________________________________________________________________
Name of Contractor /Installer:__________________________________________
Contractor/Installer Telephone:__________________________________________
Date Installation Completed: ________________
Make and Model #______________________________ Serial #__________________________
Efficiency Rating: __________ Warranty____________________________________________
Were all activities listed on the bid completed? _______________________________________
Does the furnace seem to be working properly? Y / N
If no, explain the problem: ________________________________________________________
If no, was the Contractor/Installer called back? Y / N

                                Questions to ask the homeowner:
Did the contractor leave the owners/installation manual with you? Y / N
Do you know what size the filter is? Y / N / NA Filter size: _______________
Do you know how to change the furnace filter? Y / N / NA
(If no, show the client how to change the filter.)

For Delivered Fuels: Can you check your fuel gauge to see how much fuel is in the tank?
Y / N (If the client does not know, show them how.)

For LP and Natural Gas furnaces: Has your fuel vendor supplied you with information on
what to do in the event that you should smell has in your home? Y / N

Inspection completed by: _________________________Date: ________________
                           Signature of Inspector

Inspection charges:

Mileage: _________X____________=_$______________________

Travel Time: _________X________=__$______________________

Inspection charge: ½ hour X______=__$______________________

TOTAL CHARGE: $_________________________________
Chapter 13 – Energy Related Repair                                                Appendix 13B
                                                                            Revised August 2005
EAP Policy Manual FFY2008
ERR TROUBLESHOOTING TOOL
Name:                         Telephone: __________________ Date:_________
Address ________________________________________________ HH # _________

 Have you applied for and received energy assistance?         Yes             No
 Do you own or are you buying your home?                      Yes             No

What is the problem?__________________________________________________________________
 Do you have any heat from the furnace/heating system?        Yes             No
 Do you have back up heat?                                    Yes             No
 Do you currently have electric power/gas/fuel?               Yes             No
 Have you checked the fuse box or circuit breakers?           Yes             No
 Is the switch for the furnace in the on position?            Yes             No
 Are the front covers (doors) on the furnace?                 Yes             No
 Does the furnace have a pilot light?                         Yes             No
    If yes, is the pilot light burning?                       Yes             No

What is your thermostat set at? _____
How old is the furnace/boiler? ______ Years
Have you already called a service person Y / N ____________________________________
When was the last time a service person worked on your furnace? _____________________
What type of fuel does the furnace use? __________________________
What type of furnace do you have? ______________________________
Does heat go through heating ducts or pipes? _____________________________
  If pipes, is anything leaking? Y / N If yes, what/where________________________________
  If heat ducts, when did you last change the furnace filter? ______________________________
 Does anyone in your home have frequent headaches? (or) are   Yes             No
 any of your animals sick?
 Do you feel better when you are away from home?              Yes             No
 Do you smell gas? (oil?)                                     Yes             No
 Is your chimney plugged?                                     Yes             No

Preferred furnace contractor: ________________________________Phone:________________
When will you be home? ______________________________________________________________
Directions to your home? (if outside the city, get the fire number) ________________________
______________________________________________________________________________
Type and color of house? _________________________________________________________
Other questions: ________________________________________________________________
______________________________________________________________________________

Comments:______________________________________________________________
_______________________________________________________________________
Referral to:
______________________________________________________Date:_____________
Chapter 13 – Energy Related Repair                                                       Appendix 13C
                                                                                   Revised July 25, 2007
EAP Policy Manual FFY2008
MINNESOTA ENERGY ASSISTANCE PROGRAM
ENERGY RELATED REPAIR TRACKING FORM
                                            HOUSEHOLD INFORMATION
 NAME                                                   HH NUMBER

 ADDRESS


 PHONE                                                        EMERGENCY PHONE

                                            DESCRIPTION OF NEED
                               Check the correct box and fill in the corresponding blank
 CHECK        Heating System Problem           Explain the existing conditions that make the request necessary.

             Household has no heat

             Household has heating-
             related hazard.
                                    ATTACH SUPPORTING DOCUMENTATION
                                     DESCRIPTION OF PROPOSED ACTIVITY
  Explain how the problem (existing condition) will be fixed so that the household has a safe and reliable source of heat.




                                    ATTACH SUPPORTING DOCUMENTATION
                                  PROPOSALS FOR FURNACE REPLACEMENT
 Does the household have secondary heat or is temporary heat available? Y / N
 Number of contractors contacted to request proposals?
 Number of timely proposals received?
                                                    FUNDS USED
                        List the amount of ERR and any other funds used to correct the problem
           Fund                       Amount                               Fund                          Amount
                                                                   Oil
 ERR
                                                                   Propane
 DOE
                                                                   Other (specify)
 EAPWX
                                   ATTACH SUPPORTING DOCUMENTATION
                                          ERR SERVICE INFORMATION
                                     Please provide dates for the following activities
 Activity                          Date        Staff             Activity                              Date
 Client Request                                                   Inspection

 Agency Response to Client                                        Re-Inspection (if needed)
 Work order or authorized
                                                                  Payment
 proposal to contractor.
 Repairs/replacement complete




Chapter 13 – Energy Related Repair                                                                          Appendix 13D
                                                                                                      Revised July 25, 2007
EAP Policy Manual FFY2008
                                     CHAPTER 14

                                   ASSURANCE 16
In 1994, “Assurance 16” was added to the LIHEAP Act. It allows States to spend up to five
percent (5%) of their LIHEAP Block Grant funds on “services encouraging and enabling
households to reduce their home energy needs and thereby the need for energy assistance,
including needs assessment counseling, and assistance with energy vendors.” Assurance 16
funds may also be used for Assurance 16 reporting.

The Energy Assistance Program budgets five percent (5%) of LIHEAP funds for Assurance 16
(A16). All of these funds are allocated to local delivery agencies. The formula for the allocation
is the same as for administrative funds (see Chapter 21, Funding and Cash). The local allocation
is earmarked for allowable A16 activities. Agencies are required to carry out these activities and
must assign specific staff for advocacy activities.

A16 AND CRISIS EFFORT DEFINITION
Intentions:
           To minimize shut-offs for natural gas and electricity during the heating season.
           To minimize refusals to deliver.
           To serve the crisis population made up of households that can not pay, not those that
           did not pay.
           To operate an A16/Crisis program requiring household payments.

Values:
             Energy bills should be affordable.
             All households should have heat and electricity.
             All stakeholders (government, advocacy organizations, vendors and households)
             should contribute to assuring that all households have heat during the heating season.
             Consistency
             Flexibility

Focus
        1.    Determine and deliver Emergency Benefits (EB or basic Crisis). EB is an amount
              up to $300 used to eliminate or reduce past-due energy payments.
        2.    Providing A16 services to assist the household (coordinating resources like CWR,
              Scheduled Payment, Crisis, negotiated household payments):
                  Identify a reasonable payment
                  Enter into payment agreements
                  Educate households about energy program components and changes
                  Verify payment plan compliance



Chapter 14 – Assurance 16                                                                   Page 99
                 Educate households about their rights and responsibilities in relationship to their
                 energy service
        3.    Determine and Deliver Emergency Benefit Adjustments (EBA).
        4.    Measure impact
        5.    Provide incentives to participating households
        6.    Encourage households to pay energy bills.
        7.    Provide information and support to stakeholders about A16 policies and procedures

Context
             Early on the PAC suggested FFY2006 would be a transition year to an innovative
             Crisis Program implemented in FFY2007. The Crisis Program for FFY2007 includes
             some changes, but the foundation of the Crisis Program for FFY2006 remains.
             The state expects consistency in the delivery of the Crisis and Assurance 16 Programs
             in FFY2007.
             A16 can not pay household energy bills.
             There is more to A16 than Crisis administration.
             There is concern about total funding for FFY2007.


The Responsibility Model
Since FFY2006, the Minnesota Energy Assistance Program (EAP) has employed a
“Responsibility Model” for heating energy payments. The Responsibility Model assumes
households, vendors, and the government all have a role in assuring heat for low-income
households during the winter. Government responsibility includes providing heating payment
supplements, case management and advocacy for households, and maintaining influence with
vendors. Vendor responsibility is to be as flexible as possible so energy payments leverage the
highest possible level of service to the household. Household responsibility is to make
reasonable and planned payments for energy service, access government aid when necessary and
communicate with vendors and government service providers.

Several components of EAP are designed to work together to improve household payments:
          Primary heat payments are scheduled over four months so vendor billing is more
          likely to show an amount due and the requested payment is more likely to be
          affordable for households;
          An Emergency Benefit (EB) pays the past due plus current bill up to $300 so
          more/most/all the primary heat benefit addresses this year’s heat bills;
          Assurance 16 case management helps households establish and maintain regular or
          planned payments for energy; and
          An Emergency Benefit Adjustment (EBA) provides an incentive to establish and
          maintain regular or planned payments for energy and reduces the amount still owed to
          the vendor.

Assurance 16 Description
As one of four components of “The Coordinated Responsibility Model” described above, A16
case management is a key component of the Minnesota Energy Assistance Program. Any
activity providing “services that encourage and enable households to reduce their home energy



Chapter 14 – Assurance 16                                                                   Page 100
needs and thereby the need for energy assistance, including needs assessment counseling, and
assistance with energy vendors” may be charged against A16 allocations. Agencies are
encouraged to determine each local Assurance 16 activity is clearly within the definition, by
local or accepted practice. The State will not determine an activity fits the Assurance 16
requirements unless the local Service Provider is “clearly erroneous” in their interpretation of the
allowable activities.

The statewide focus of A16 for FFY2008 continues to be case management in support of the
Responsibility Model. These activities are required of all Service Providers.


A16 Case Management Intentions
The intentions of A16 Case Management activities in support of the Responsibility Model are to:
           Increase knowledge about utility billing, laws and budgeting
           Aid the household in relationship with a vendor
           Promote household self sufficiency in energy bills management
           Provide information to help stabilize households’ economic situation with a focus on
           energy burden
           Assist household to identify and access other services to help with energy related
           challenges
           Build relationships to other services and resources available in community
           Reduce the energy burden (cost divided by income) by increasing income or reducing
           costs.
           Use case management method, including:
               Referral
               Outreach
               Advocacy


A16, EB and EBA Integration
A summary of the steps for implementing EB and EBA are:
      1.   Household requests crisis.
      2.   Service Provider confirms the amount(s) past due or needed for a refused delivery.
      3.   Service Provider awards crisis:
               enters one crisis event for the EB,
               distributes the EB payment between vendors if necessary,
               completes the event and
               makes the EB payable.
      4.   Service Provider initiates EBA activities for household:
               solicits household for EBA participation,
               determines reasonable payments,
               enters one crisis event for the EBA,
               obligates funds and distributes funds between vendors, if needed, and
               notifies household.
      5.   Service Provider (if needed) awards crisis:



Chapter 14 – Assurance 16                                                                   Page 101
                 enters one crisis event for the EB,
                 distributes the EB payment between vendors if necessary,
                 completes the event and
                 makes the EB payable.
        6.    Service Provider follows up with EBA participants:
                 initiates follow up,
                 identifies completion of affordable payment agreement,
                 identifies past due, funds needed due to a refused delivery and current bills,
                 determines and authorizes EBA payment (within 3 weeks of the date of the last
                 affordable payment), and
                 notifies household.




Chapter 14 – Assurance 16                                                              Page 102
A16 AND CRISIS POLICIES AND PROCEDURES
Initiating A16 With Households
All households requesting crisis assistance are offered A16 case management services. The
Crisis Award Letter includes a description of A16 case management services, including EBA and
offers the opportunity to participate by contacting the SP to request it.

When a household calls to request information about A16 case management services, record the
information in Outreach tab, Referral.




If the household receives information about reasonable payment, select “Provide Reasonable
Payment Information.”

If the call is referred to an A16 caseworker, select, “Refer for Payment Negotiation” and click
“Need Action.”


A16 CASE MANAGEMENT ACTIVITIES
Primary Heat and Crisis EB policies are designed to make household heating payments
affordable. The Crisis EB pays past due plus the current bills up to $300, freeing Primary Heat
and household payments to address upcoming costs, while scheduled payments result in a small
amount due each billing period for most households. Assurance 16 activities are central to
making the most of opportunities made available to households as a result. Assurance 16
activities include:
             Encouraging all households to sign up for the Cold Weather Rule (CWR), where
             applicable, for heat and electricity.
             Helping households identify a reasonable payment amount for their budgets.
             Helping households negotiate a reasonable payment amount with vendors.
             Advocating for households with vendors when necessary.
             Encouraging vendors of connected fuels to agree to reasonable payment amounts for
             Cold Weather Rule protection
             Encouraging vendors to implement a no-shut-off policy for households who sign up
             for the Cold Weather Rule and to maintain heat during the heating season for all
             households with reasonable payment agreements.
             Encouraging vendors of delivered fuels to accept reasonable payments from households.



Chapter 14 – Assurance 16                                                                 Page 103
            Follow up with household payments and payment status of households with
            Reasonable Payment Plans.


REASONABLE PAYMENT
Energy vendors base their payment amount on the expected cost of energy plus past due
amounts. These payment amounts are often too high for households’ budgets, so they discourage
household payment.

Use Assurance 16 to help households identify a reasonable payment amount for energy and/or
sign up for a payment plan with their energy vendors. EAP’s definition of a reasonable payment
amount for energy is based on household income. It assumes energy payments are among the
highest priority payments. The method of determining a reasonable payment amount deducts
other high priority costs from gross income to determine a net income, then assigns a portion of
the net income, based on income, to energy payments. Establishing a reasonable payment
amount is one method to encourage household payments.

Reasonable Payment Plan (RPP)
Use the Reasonable Payment Worksheet to identify a household’s reasonable payment amount.
Worksheet intentions
To:
          Identify reasonable energy payments
          To establish similar eligibility requirements for all households aspiring to EBA
          To provide a basis for financial counseling
          (See: Appendix 14C - Reasonable Payment Worksheet)

Use this general process for establishing the reasonable payment amount.
       1. Ask the household what they can pay.
       2. Do the worksheet using “estimated expenses” until you know an estimated amount
             the household can pay.
       3. If the estimated amount is less than the household says they can pay:
             a. Determine if the payment amount the household suggests is realistic;
                    i. If so, set up the payment agreement.
                   ii. If not, talk to them about it and establish the agreement at a lower amount
                        with the understanding they can pay more.
       4.    If the estimated amount is more than the household says they can pay:
             a. Ask assessment questions to determine financial conditions, or
             b. Do a full worksheet
       5.    Discontinue the full worksheet when you know the household can’t pay (no need to
             complete the worksheet). Document in Outreach, Advocacy Services, Description.
       6. Calculate the likelihood of a past due at the end of the heating season once
             reasonable payments are made and use the data to counsel the household.
       7.    Give or mail a copy of the payment agreement to the household.
       8.    Document the activity
             a. Use Outreach, Advocacy Services, Task dropdown selection, “Help Calculate
                  Reasonable Payment”



Chapter 14 – Assurance 16                                                                 Page 104
              b. Provide documentation—put a note in comments
        9.    Obligate the EBA on eHEAT.

FOLLOW UP ON HOUSEHOLD PAYMENTS
To complete the A16 case management for the year, identify household payments to vendors.
Households in both situations below may be eligible:
          Household applies for EB and sets up a RPP.
          Household applies for EB and has already made payments

Authorize EBA payments to households that:
       1. Comply exactly to the RPP
       2. Pay the reasonable amount during the four to five month billing cycle from the
           initiation of the RPP
       3. Independently pay the equivalent reasonable amount for the current heating season

In all cases the amount of the EBA will be the amount of the past due and/or current bill(s) up to
$500 less the amount of the EB. No credit can be generated by a crisis payment.

One way to initiate follow up with EBA participants is to make them responsible for requesting
EBA. Send a letter (use A16 to cover costs) to remind them of their participation and explain
what they have to do to claim the incentive. Send a second letter to all respondents describing
the result of their payment and EBA effort.

Contents of the first letter could include:
      o Restate the payment agreement and the incentive
      o The requirements to receive EBA
      o How and when to contact you
      o How you will follow up on their contact
           (See: Appendix 14A - Sample Letter Soliciting Household Request for EBA and
           Sample Survey for Household to Request EBA)



   If the vendor practice is:                Verify payment by:
1. Vendor makes households records
                                             Looking up the household record on the Web
   available via the Web
2. Vendor supplied a spreadsheet
                                             Verify payment completion on the spreadsheet
   detailing household payments
3. Vendor makes information available        Call or e-mail the vendor on a case-by-case basis,
   on a case-by-case basis                   batching as much as possible
4. Vendor makes information available
                                             Collect and use the vendor payment information
   in some other way.
5. Vendor does not make payment
                                             Use the household declaration on the Survey.
   information available




Chapter 14 – Assurance 16                                                                 Page 105
Practices for Verifying Reasonable Payment
Each Service Provider will probably need to implement more than one process for verifying the
EBA payment because vendor practices can be so different. As a best practice, DOC
recommends verifying payment only for those households reporting completed payments. The
verification process will depend upon the vendor practice:

Maintain documentation of A16 case management by filing all correspondence in the household
file and recording contacts with the household in eHEAT under Advocacy.


CHARGING FOR A16 ACTIVITIES
All activities related to EBA are case management activities, so related costs can be charged to
Assurance 16. The one exception is the actual payment of EBA, which is an administrative
activity.


OTHER A16 ACTIVITIES
Some Service Providers may choose to expand A16 activities beyond the A16 case management.
Agencies are encouraged to determine that each local Assurance 16 activity is clearly within the
definition, by local or accepted practice. The State will determine that an activity fits the
Assurance 16 requirements unless the Service Provider is “clearly erroneous” in their
interpretation of the allowable activities.

Outcomes of Assurance 16 activities can provide powerful confirmation of EAP effectiveness.

Document each referral activity. A best practice is to keep up on the documentation, perhaps
doing it as the activity occurs, to maintain an accurate record of activities and time spent. To
document Referral Activities:
        1) Identify one of the following tasks:
              a) Interview client. Select this task when time is spent discussing the client
                    situation to identify appropriate, specific referral needs. This is a needs
                    determination activity.
              b) Train staff to elicit client needs. Include all activities for training staff on
                    eliciting client needs, including research, preparation, presentation and follow-
                    up.
              c) Build database of local resources. All activities necessary to build the
                    database can be included here.
              d) Familiarize staff with local resources. Any activities carried out to help staff
                    develop familiarity with local resources count, including items on the agenda,
                    e-mails, etc.
              e) Provide client with specific referrals. This activity may be a part of activity
                    (a), above; include it here, too, if the needs determination resulted in specific
                    referrals.
              f)    Provide applicants with list of referral agencies. Include time and cost for
                    developing and distributing the list.




Chapter 14 – Assurance 16                                                                   Page 106
              g)     Familiarize staff with government resources databases. Any activities carried
                     out to help staff develop familiarity with government resources count,
                     including items on the agenda, e-mails, etc. Include non-government, general
                     sources, too, if they are available in your area.
        2)    Enter a description of the task/activity being documented. Be specific. If the task is
              a big one, such as Familiarize Staff with Local Resources, there may be several
              entries for the task, each with a different description, such as, “Held a staff retreat”
              and “Sent e-mail to staff about new Heat Share activity.”
        3)    Enter the amount of time spent in minutes on the specific task being described. If
              the task involves 10 staff for an hour, say that in the description and identify the
              time as 10 hours.
        4)    If the task has an identifiable cost, not staff time, please enter it here. An example
              is hiring a consultant to work with staff on eliciting client needs.

Document each Advocacy Activity. A best practice is to keep up on the documentation, perhaps
doing it as the activity occurs, to maintain an accurate record of activities and time spent. To
document Advocacy Activities:
        1) Identify one of the following:
              a) Resolve energy crisis: Working with the vendor and the household, get fuel
                     delivered or reconnected through coordination of resources. Resources must
                     include resources in addition to EAP benefits.
              b) Access services: Helping the household access services that the household is
                     unable to access alone. Activities can include making calls on the
                     household’s behalf, making calls with the household on the household’s
                     behalf, helping the household complete an application, helping the household
                     manage a series of events needed to access services, etc.
              c) Build self-sufficiency skills: Helping the household build self-sufficiency
                     skills using methods such as classes, financial counseling, or case
                     management. Energy self-sufficiency must be a key component of the activity
                     to qualify for A16 funding.
              d) Stabilize household situation: Helping the household manage a series of crises
                     that have the potential to spin out of control. This is a case management
                     activity for households in crisis. The crisis must have an energy component to
                     qualify for A16 funding.
        2) Enter a description of the task/activity being documented. Be specific. There may
              be several entries for advocacy with one household, with the same or different
              tasks. Each should have a new description. If program money resolves the energy
              crisis, please say so here.
        3) Enter the amount of time spent in minutes on the specific task being described. If
              the task involves 10 staff for an hour, say that in the description and identify the
              time as 10 hours. Do not count household time.
        4) If the situation being counseled on is Energy Related, put a check mark in the box.
              For example, if the household has a shut-off notice, it is energy related. If they
              have an eviction notice for non-payment of rent, it is not Energy Related, though
              EAP resources may be used to help resolve the crisis.




Chapter 14 – Assurance 16                                                                    Page 107
        5)    If the household receives an active referral to another organization, enter the name
              here. An active referral is one for which the referring worker will make contact or
              help make contact, follow up and use as part of a case plan for assisting the
              household resolve their emergency or improve their situation.


APPENDICES
     14A - SAMPLE LETTER SOLICITING HOUSEHOLD REQUEST FOR EBA
     14B - SAMPLE SURVEY FOR HOUSEHOLD TO REQUEST EBA
     14C - REASONABLE PAYMENT WORKSHEET (RPWS)




Chapter 14 – Assurance 16                                                                  Page 108
Sample Letter
Soliciting Household Request for EBA

Dear xxx:


On [date], in a [meeting or telephone call] with [name] of [agency], you agreed to make
[#] regular energy payments. You agreed to pay [vendor] and [vendor]. In return [Name]
promised to make another crisis payment of up to [$] if you still owe money on your bill
or have a refusal to deliver fuel you currently need because your fuel is low or empty.

Please tell us how you did. Fill out and return the enclosed survey and copies of your
most recent bills. We will confirm your [#] regular payments. If you are eligible, we will
pay more to your vendors. We will also send you a letter telling you what we have done.

You must complete and return the survey form by [date] or we will not be able to assist
you.

Please continue to make payments to your energy company every month.



Sincerely,
[name]




Chapter 14 – Sample Letter Soliciting Household Request for EBA               Appendix 14A
EAP Policy Manual FFY2008
Sample Survey for Household to Request EBA
The sample survey below may be revised and formatted as needed for use by Service
Providers. Many of the fields could be completed by the agency in advance of sending it
to the EBA household.


Request for an Adjustment in the EAP Emergency Benefit

Name
HH#
Address
Phone


Please fill in this form after you have made all the agreed payments to your energy
companies. We will use this survey to confirm that you are eligible for the second crisis
payment. We will also determine the amount of the second payment, if you are eligible.
We will notify you about any services or funds we are able to provide to your energy
companies. You must complete and return this form by [date] or we will not be able to
assist you.




Chapter 14 – Sample Survey for Household for EBA                              Appendix 14B
Today’s date                      Date of the agreement to pay your energy companies


Energy Company 1                                             Acct. Number:
Name


Address


City, State Zip



Enter the following information about your payments to your energy companies:
Due Date                          Amount Due                Amount Paid
1.
2.
3.
4.
Total Paid
Amount of Past Due
Total amount (current
and past due) owed
Energy Company 2                             Acct. Number:
Name
Address
City, State Zip
Enter the following information about your payments to your energy
companies:
Due Date                  Amount Due          Amount Paid
1.
2.
3.
4.
Total Paid
Amount of Past Due
Total amount (current
and past due) owed

By signing this survey, I am agreeing that the information above is true and
correct.

Signature: ____________________________________


Date:             _________________


Chapter 14 – Sample Survey for Household for EBA                                       Appendix 14B
                   2007-2008 REASONABLE PAYMENT WORKSHEET
                                                    Household Details                                                Worksheet Date:
                                                                                                         Month to Review Payments:
Name:          0                                                              HH# 0                                    Yellow items - eHEAT Download

Address:       0                                                           Phone: 0                                    Grey items - Calculated

    Amount of Grant:           $          -                              HH Size: 0                                    Blue items - Enter
                                                    Household Payment
                                                                                   Amount from HH                       HH Income Adjustment By
                     Amount Household says they can pay:                           ($10 min.)                                    Size

                                                                                                                          HH Size       Expense %
                                     Adjusted Net Income Worksheet - Fast Track                                                    1                65
Total EAP Inc. from appl:     $           -     ÷     3      =    $           -    Net Adjusted Monthly Income                     2                70
         Fast Track expenses: $           -     X            =                     Estimated Expenses                              3                75
                                                                                    Net Income After Expenses                      4                80
                                                                                                                            5 & over                85
   Net Income After Expenses
     Reasonable payment %                       % Percent of Monthly Net Income after Estimated Expenses for Energy Costs
  Total Reasonable Payment                     From Fast Track Payment Calculation

If Total Reasonable Payment above is more than HH says they can pay - go to Page 2 and work with HH to review Essential Expenses.
If Total Reasonable Payment above is less than HH says they can pay or less than $10 - go to Payment agreement below.

                               Net Income Worksheet - using Essential Expenses from Page 2
                                     Net Adjusted Income                            using Essential Expenses from Page 2
                                    Reasonable payment %                            %     See RP % SMI for Reasonable Payment % entered here.
                               Total Reasonable Payment:                            Using Essential Expenses


                                                          PAYMENT AGREEMENT

This is the greater of what HH says they can pay or the lesser of the Fast Track amount(above) or amount using Essential Expenses (Page 2)

                                   Total Reasonable Payment:                  $0     (Minimum $10 - Enter an adjusted Reasonable Payment, if needed)


                                                                                                                                          Date of
     Reasonable Payments To Vendors                               Energy Cost for                 Payment per            Date of 1st      Payment
                 Vendors                                            Prior Year    % Total PY Cost   Vendor               Payment          Review
                                                                  $           -
                                                                  $           -
                                                                  $           -

                                                 Total PY Cost: $             -                   0% $           -



Notes:
I understand that I must pay on my energy bills. The payments shown above are within my ability to pay each month. If my circumstances change, I
will immediately contact *********** to decide a new payment amount. I understand that if these payments do not cover my whole bill, ***********
may have additional funds to help me with the past due amount or a fuel delivery, if my tank is at 20% or less. I also understand this agreement does no
preclude disconnection by the vendor.

  Signature:                                                                                     Date:


The household agrees to pay vendors the reasonable payments as shown above. The household realizes that the reasonable payments
are a minimum payment.

A16 Signature:                                                                                   Date:
                              REASONABLE PAYMENT WORKSHEET - Page 2
                                                              Household details
                                                                                                     Worksheet Date

   Name: 0                                                             HH# 0                                          Yellow - eHEAT Download

 Address 0                                                           Phone 0                                          Grey items - Calculated

  Amount of Grant: $                   -                          HH Size: 0                                          Blue items - Enter




      Net Adjusted Monthly Income              $          -       from Page 1
Essential Expenses reviewed with Household
                EXPENSES                       Payment Amount                          Description

Mortgage/Rent                                  $          -       Rent or mortage from housing on Application

Food                                                              USDA Thrifty Food Plan (calculated)

Taxes

Non-energy Utilities ie. water/ garbage, etc                                    Other expenses to collect for local use only

Phone                                                                       Credit Card

Medical Insurance                                                           Phone- other

Medical Bills/Prescriptions                                                 Other

Child Support Payments

Car Payment                                                                 Total Other Expenses                      $                    -

Car Insurance

Gas
Parking/Public Utilities

Car Maintenance                                                                   Amount Household stated they

Day Care                                                                          $0       can pay (From Page 1)

Other

Total Essential Expenses                       $          -       (Including Mortage/Rent and Food)

           Net Adjusted Income                                    Net adjusted income using Essential Expenses
Reasonable payment %                                              See RP % SMI for Reasonable Payment %

Total Reasonable Payment:                                         Using Essential Expenses


If "Total Reasonable Payment" is less than $10 or less than Amount Household says they can pay, stop entering
expenses, return to Page 1 and finish the bottom of the worksheet. Otherwise, complete page 2.
                                        90 Day Income Levels
                                                    FY 2008

                          50%                       40%                       30%                       20%                      10%
% SMI                  >40% - 50%                >35% - 40%                >30% - 35%                >25% - 30%                0% - 25%
HH Size

      1    $5,030.61                 $4,024.49                 $3,521.43                 $3,018.37                 $2,515.31
      2    $6,578.49                 $5,262.79                 $4,604.94                 $3,947.09                 $3,289.25
      3    $8,126.37                 $6,501.10                 $5,688.46                 $4,875.82                 $4,063.19
      4    $9,674.25                 $7,739.40                 $6,771.98                 $5,804.55                 $4,837.13
      5   $11,222.13                 $8,977.70                 $7,855.49                 $6,733.28                 $5,611.07
      6   $12,770.01                $10,216.01                 $8,939.01                 $7,662.01                 $6,385.01
      7   $13,060.24                $10,448.19                 $9,142.17                 $7,836.14                 $6,530.12
      8   $13,350.47                $10,680.37                 $9,345.33                 $8,010.28                 $6,675.23
      9   $13,640.69                $10,912.55                 $9,548.48                 $8,184.42                 $6,820.35
     10   $13,930.92                $11,144.74                 $9,751.64                 $8,358.55                 $6,965.46
     11   $14,221.15                $11,376.92                 $9,954.80                 $8,532.69                 $7,110.57
     12   $14,511.38                $11,609.10                $10,157.96                 $8,706.83                 $7,255.69
     13   $14,801.60                $11,841.28                $10,361.12                 $8,880.96                 $7,400.80
     14   $15,248.75                $12,199.00                $10,674.13                 $9,149.25                 $7,624.38
     15   $16,205.75                $12,964.60                $11,344.03                 $9,723.45                 $8,102.88
     16   $17,162.75                $13,730.20                $12,013.93                $10,297.65                 $8,581.38
     17   $18,119.75                $14,495.80                $12,683.83                $10,871.85                 $9,059.88
     18   $19,076.75                $15,261.40                $13,353.73                $11,446.05                 $9,538.38
     19   $20,033.75                $16,027.00                $14,023.63                $12,020.25                $10,016.88
     20   $20,990.75                $16,792.60                $14,693.53                $12,594.45                $10,495.38
USDA Food
HH Size    Cost per Month
    1      $     155
    2      $     284
    3      $     408
    4      $     518
    5      $     615
    6      $     738
    7      $     816
    8      $     932
    9      $ 1,049
   10      $ 1,166
   11      $ 1,283
   12      $ 1,400
   13      $ 1,517
   14      $ 1,634
   15      $ 1,751
   16      $ 1,868
   17      $ 1,985
   18      $ 2,102
   19      $ 2,219
   20      $ 2,336

(USDA Reasonable amount per month for food)
   Jun-06

This Thrifty Food plan information is included in all Social Service manuals throughout
Minnesota. Thes USDA figures are computed monthly and averaged once a year.
                                      CHAPTER 15

           DISASTER AND EMERGENCY PLANNING
Many types of disasters and emergencies can affect the delivery of the EAP program. At both
the state and local levels, the program must be able to adjust and respond to disastrous conditions
if needed. Planning for a disaster or emergency before it occurs is the most effective method to
address the needs of households and local agencies. In the event of a disaster or emergency, the
state will direct Service Provider response using EAP resources.

In case of a statewide, regional or localized disaster or emergency, the Energy Assistance
Program Director shall define the scope of the disaster and, at the Director’s discretion, shall:
            Declare an EAP major disaster, local disaster or emergency.
            Declare geographic limits of the disaster or emergency.
            Determine temporary alternative EAP service delivery strategies.
            Implement long-term solutions for continued EAP service delivery.

In most cases, the Director shall follow state and federal disaster declarations, including the
designation of geographic areas of disasters.

Service Providers are required to implement all directives from the State, which may include
coordination with other agencies providing disaster relief or emergency assistance.


DEFINITIONS
Major Disaster: For the purpose of this policy, major disasters may include: any catastrophe,
any tornado, storm, high water, wind driven water, earthquake, landslide, mudslide, snowstorm,
or drought, or, regardless of cause, any fire, flood, or explosion, in any part of Minnesota, which
in the determination of the Energy Assistance Program Director, causes damage of sufficient
severity and magnitude to require waiver of EAP policies to alleviate the damage, loss, hardship,
or suffering.

Local Disaster: Any catastrophe, see list in “Major Disaster” above, experienced in a local area.
For example, a local disaster might include a fire or tornado that destroys the building housing
the EAP delivery Service Provider or loss of local computer data.

Emergency: An event that limits the ability of a state or Service Provider to fully perform EAP
contracted services at the state or local level. Emergencies may include: dramatic fuel price
increases, loss of key personnel, fraud, abuse or administrative malfeasance which results in the
EAP delivery Service Provider’s inability to provide program services.




Chapter 15 – Disaster and Emergency Planning                                                Page 109
STATE LIHEAP DISASTER OR EMERGENCY WAIVER
In the event of any disaster or emergency, the Energy Assistance Program Director may
temporarily modify or waive any state EAP procedures to alleviate potential hardship or
suffering, save lives and protect property and health and safety. The Director shall, if needed,
modify the Minnesota State Plan for Energy Assistance and notify the U.S. Department of Health
and Human Services.


SERVICE PROVIDER DISASTER AND EMERGENCY PLANS
Service Providers are required to develop local plan strategies for major and local disasters or
emergencies.

Service Providers must:
           Identify their county’s Emergency Management Office.
           Have access to or a have a copy of their county’s disaster plans.
           In the event of a disaster that affects EAP, contact their local Emergency
           Management Offices and use whatever appropriate resources are available.


SERVICE PROVIDER DISASTER AND RECOVERY PLAN
Develop a local disaster/emergency plan in order to continue program services in the case of loss
of local building facilities:
            Provide a secure facility for critical data such as client files, financial records, and
            confidential information, computer files, etc.
            Provide for an alternative processing site for both administrative services and
            computer processing
            Provide regular (at least weekly) off-site storage for essential data processing files
            such as regular back-ups at a bank vault, off-site storage facility, etc.

Disaster and emergency planning efforts by EAP Service Providers will be reviewed by Field
Representatives during their initial monitoring visit.


DISASTER NOTIFICATION REQUIREMENTS
In the event of major or local disasters or emergencies, Service Providers are required to inform
the Energy Assistance Program Director of any disaster or emergency, which interferes with the
Service Provider’s ability to operate the program within 12 hours of onset.

APPENDICES
     NONE




Chapter 15 – Disaster and Emergency Planning                                                Page 110
                                   CHAPTER 16

                                         APPEALS
The appeals process is designed to ensure applicants and recipients of energy assistance
programs receive fair consideration and appropriate assistance. The appeals process is designed
to be non-confrontational and to resolve disputes reasonably.


GENERAL APPEAL PROCEDURES
Households have 30 days from the day they receive their notification letter to appeal decisions
made regarding their energy assistance application. Applicants are informed of this right when
they receive their application and again in the notification letter.

The energy assistance program follows a four-level appeals process, beginning with the Service
Provider, then to the State Office, and finally to the Office of Administrative Hearings (OAH).
The remedies available at one level must be exhausted before an appeal can be made to the next
level. An applicant may withdraw an appeal at any time with written notice.

Applicants may initiate an appeal if:
           The application was denied, or
           The application received no action in the appropriate time, or
           Incorrect facts were used to determine eligibility, assistance amounts, or services, or
           The energy related repair services at the time of completion or final inspection were
           not adequate or were inappropriate.


SERVICE PROVIDER PROCEDURE
The Service Provider is responsible for the first two levels of the appeal process.
          The first level is the informal complaint level to which the Service Provider may
          respond verbally.
          The second level is the formal local appeal.

The Service Provider must have a local written procedure for responding to complaints and
appeals to:
            Tell applicants how to appeal. They should be given the option of filing a written
            complaint or filing by telephone.
            Tell applicants how you will help them prepare appeals.
            Assign a person who receives and responds to appeals.
            Describe how the appeal will be checked out.
            Tell the applicants how you will make a decision about the appeal, and the process
            may take 14 days (see Local Plan).


Chapter 16 – Appeals                                                                       Page 111
Informal Complaint
Households may initiate informal complaints verbally by phone or in person, or in writing by
letter or e-mail. Complaints may address virtually any aspect of the program. The first response
to a complaint may be verbal, if this satisfies the household. Service Providers are encouraged to
have a complaint or grievance procedure to address this level.

Formal Appeal
The formal appeal can be initiated by a letter or phone call from the applicant household, but it
must be in writing before the Service Provider takes action.

Service Provider Appeal Review
When you receive an appeal, follow this procedure:
           Read the pertinent manual instructions.
           When an oral request is received, assist the client to put the information in writing.
           Notify the State Appeals Officer an appeal is in progress, the household number of
           the appellant, and the maximum amount of funds that should be held in escrow
           pending the outcome of the appeal.
           Maintain documentation of events relating to the appeal, including records of
           telephone calls, e-mails, correspondence, etc., and file in the household’s file.
           Review the issue and state the facts.
           Ensure the records are complete and all documents are present.
           State your findings based on and cite state policy.
           State how the issue will be resolved.
           Include information on how to take the appeal to the next level, including the address
           of the Minnesota Department of Commerce/Energy Assistance Program, and the
           name and telephone number of the Energy Assistance Program Coordinator.
           Notify the State Appeals Officer of the outcome of the appeal, including whether the
           household has accepted the Service Provider determination or wishes to continue to
           appeal to the State level.
           If the household accepts the appeal, implement the decision.

You must make a determination within 14 days of receipt of appeal. Notify the applicant, in
writing, using certified mail, “Return Receipt Requested.”


STATE OFFICE APPEAL REVIEW PROCESS
An appeal to the State Office is the third level in the appeals process. If the applicant is not
satisfied with the Service Provider’s determination, he or she may file a written appeal at the
State level. The appeal must be postmarked within 14 days of receiving the local Service
Provider’s decision.

The State Energy Assistance Program will:
           Notify the Service Provider and the Service Provider’s field representative that an
           appeal has been received.
           Request the Service Provider forwards all documents in the applicant’s file, either by
           fax or overnight mail, including, but not limited to:


Chapter 16 – Appeals                                                                        Page 112
                Copy of Energy Assistance Application.
                Copies of documentation used to determine income.
                Mechanical system audit, if applicable.
                Energy audit, if applicable.
                Documentation of the Service Provider’s investigative process.
                A copy of the Service Provider’s response to the complaint.

After receipt of the requested documents from the Service Provider, the Energy Assistance staff
will:
           Review the details relevant to the appeal.
           Check compliance with the state energy assistance plan, procedures and statutes.
           Issue a written decision to the applicant by certified mail within 14 days of receipt of
           all appeal materials.
           Include with the written appeal decision instructions on how to request the next level
           of the appeal process.


OFFICE OF ADMINISTRATIVE HEARINGS
If the applicant is not satisfied with the Energy Assistance Program’s determination, he or she
may write to the Director of Energy Assistance to request an appeal to the Office of
Administrative Hearings (OAH).

When the state office receives a request for an OAH appeal, the state office will:
          Arrange a hearing date that allows the applicant enough time to receive notice of the
          hearing.
          Call your Service Provider to reserve a room for the hearing.
          Prepare and mail the proper forms and documents.
          Prepare the State Energy Assistance Program’s testimony.
          Send a copy of the application file to the applicant and to your Service Provider.

OAH Hearing Description
An OAH hearing is a public activity. All information, including an applicant’s file, becomes
public information at this hearing. Applicants may have an attorney represent them. An attorney
is not required or necessary. Hearings with an Administrative Law Judge are not adversarial.
The judge seeks all the facts in a case before making a decision.

The people who attend an OAH hearing include the complainant, an Administrative Law Judge,
someone from the Office of Energy Assistance Programs, and an attorney from the Minnesota
Attorney General’s Office. A Service Provider representative and an attorney for the
complainant may also be present.

When the hearing is completed, the Judge writes an opinion. The opinion recommends action to
the Commissioner of Commerce. The Commissioner considers the recommendation and writes a
response. The Commissioner’s decision is final.




Chapter 16 – Appeals                                                                        Page 113
This is the final level in the administrative appeals process. A court of law is the next option if
the complaint is not resolved.


RESTITUTION TO HOUSEHOLDS
If in the course of investigation of an appeal the state learns a Service Provider did not follow
procedures, the Service Provider may be required to provide restitution to the complainant
household from nonfederal funds.


APPENDICES
     NONE




Chapter 16 – Appeals                                                                         Page 114
                                    CHAPTER 17

                                ERRORS AND FRAUD
Service Providers must take reasonable steps to prevent fraud and error. Local Service Provider
error, applicant error, or vendor error can cause the misuse of EAP funds. When EAP funds are
misspent because of fraud or error, your Service Provider must notify your field representative of
the situation using the “Incident Report Form” (see Appendix 18A Incident Report) and take
steps to recover those funds.


ERRORS
Service Provider Errors: Prevention
Errors may be made on the local level during intake, verification and certification, and
bookkeeping. Service Providers must use local procedures to prevent Service Provider errors.
Two methods of preventing errors are the division of staff responsibility and household cross-
referencing.

Where feasible, divide responsibility for applicant intake, verification, and certification. This
separation between functions can prevent situations that allow error. Service Providers must
describe local quality control procedures in writing. (See Chapter 20, Contracts.)

Household Errors
Common household errors include failure to report income (without intent to commit fraud), and
other unintentional application or reporting errors resulting in overpayment to vendors and
contractors.

Overpayment to Vendors/Contractors
If it’s discovered a vendor has been paid too much on a household account, document the facts of
the situation and recall the excess money before program closeout. If, due to Service Provider
error, recall of funds results in the applicant receiving a shut off notice or the household being
charged for a fuel delivery, the Service Provider must repay the vendor the amount recalled out
of the Service Provider’s non-federal funds.


FRAUD
SPs must take every reasonable step to prevent fraud by clients, employees, contractors and
vendors. They must investigate suspected fraud, respect due process, and resolve or prosecute
fraud according to your local procedures.




Chapter 17 – Errors and Fraud                                                               Page 115
Application Fraud: When to Investigate
Investigate credible complaints and findings of suspected fraud. A complaint is credible when
the complainant identifies him/herself, states that a household appears to violate some aspect of
an energy program’s policy and provides evidence in support of the claim.

Types of complaints to investigate may include:
           A credible complaint that contradicts application information that affects eligibility or
           benefits.
           If it becomes known a household has applied in more than one location, the Service
           Provider where the household applied last is in charge of the investigation.
           Public information from law enforcement activity or the news media.
           A vendor or contractor complains household misuses assistance or materials.

Follow these steps as you investigate:
      1.    Notify the Minnesota Department of Commerce, Energy Assistance Program of the
            potential fraud using the Incident Report Form.
      2. Verify facts to prove or disprove the complaint.
      3.    Conduct follow-up interviews to obtain additional information, if necessary.
      4.    Contact the Minnesota Department of Commerce, Energy Assistance Programs
            with the findings after your local investigation is complete.
      5.    Work with your attorney to decided future steps.

Service Provider Staff Fraud: Internal Controls
Service Providers must use reasonable internal controls to prevent misappropriation of EAP
funds. These controls may include divisions between intake, certification for payment, and
procurement functions.

Refer to Service Provider personnel policies when Service Provider staff may have
misappropriated EAP funds. Service Providers are responsible for misappropriated funds not
returned according to the contractual agreement with the State.

Your Service Provider must report an active investigation of staff fraud to the Director of Energy
Assistance Programs using the Incident Report Form within one working day of beginning the
investigation.

Vendor/Contractor Payments: Quality Control
Service Providers must monitor local vendors and contractors annually to verify compliance with
EAP regulations. If you suspect or have received reports of vendor fraud or misuse of energy
program funds, you must investigate. Report any investigations to the Director of Energy
Assistance Programs using the Incident Report Form. The Department of Commerce will advise
and assist in the investigative process.




Chapter 17 – Errors and Fraud                                                               Page 116
Vendor Fraud
When an investigation indicates vendor or contractor fraud, the State recommends follow-up
activity. Continue with the following procedures:
           Protect the privacy rights of the vendor’s or contractor’s clients. You must not
           release client files or supporting documents to anyone who is not a party to the
           Energy Assistance Contract until you receive a subpoena or valid court order (see
           Chapter 20, Contracts).
           Terminate payments to vendors or contractors under investigation until the matter is
           resolved.
           Any vendor found guilty of fraud will be removed from eHEAT and be unable to
           receive EAP payments until reinstatement.

Applicant Fraud
When an investigation indicates applicant fraud, the State recommends follow-up activity.
Continue with the following procedures:
          Protect the privacy rights of the household. If legal action commences, the privacy
          rights change. Consult your attorney before taking any action.
          Terminate payments to the household under investigation and hold assistance in
          escrow until the matter is resolved.
          Deny the household for the program year if the applicant is found guilty of fraud.


RECOVERY OF MISSPENT FUNDS
You must use recovery procedures when funds have been misspent. This includes household,
vendor, contractor, or Service Provider error or fraud.
       1.    Write to the client to notify them, to request repayment and clarify their rights and
             responsibilities. Offer to meet with them. Try to agree on a repayment schedule
             with the household. Allow installment payments. If you and the client can agree on
             a reasonable timetable, include this in your repayment request.
       2.    When your Service Provider makes an error and recovery poses hardship for the
             household, you must terminate recovery procedures when the household declares
             and describes the hardship in writing and signs and dates their statement. Place this
             letter in the household’s file and do not pursue litigation to force recovery from a
             household that declares hardship.
       3.    Document these efforts for audits.

Costs and Responsibility
Service Provider recovery costs (legal action, fees, investigations, etc.) are allowable
administrative expenses. Document these expenses for audits.


APPENDICES
     NONE




Chapter 17 – Errors and Fraud                                                              Page 117
Chapter 17 – Errors and Fraud   Page 118
                                         CHAPTER 18

                   INFORMATION AND REPORTING
Reports of local EAP activity provide the Department of Commerce with information needed to
administer the program statewide and to meet federal reporting requirements. Reports also
provide information to vendors as required by state law or contracts. Accurate and timely entry
of data into eHEAT and accurate and timely submission of reports are essential to the efficient
operation of energy programs.

The following reports are essential to EAP operations:
          A detailed EAP Local Plan (see Chapter 20, Contracts).
          Financial Status Reports (FSR).
          Response to monitoring findings (see Chapter 25, Monitoring and Technical
          Assistance).
          Incident reports (see Chapter 17, Errors and Fraud).
          All closeout documents.
          The Service Provider’s audit (see Chapter 22, Audits).
          Leveraging report (see Chapter 24, State Leveraging).

To complete these reports, Service Providers must:
          Submit reports on or before the close of business on the due date.
          Submit accurate information.
          Use the state report software for reporting data and state report forms for fiscal
          activity (see Chapter 21, Funding and Cash).


TIMELINESS AND ACCURACY OF REPORTS
Providing accurate data is a mandatory function of the grant agreement. Timely and accurate
information aids client services and program decisions and builds public confidence and
accountability. Late or incorrect information is costly to the management of the program and its
customers. To this end, Service Providers are required to enter accurate data into eHEAT and
submit complete and correct reports on time, and in the proper format.

Service Providers must designate a backup for data entry and reporting activities.
The data entry activities included in this standard are daily logging of applications received,
accurate and timely entry of application data, entry of crisis and ERR requests as they happen,
and documentation of outreach, referral and advocacy. The reports included in this standard are
the EAP Local Plan, FSR, responses to monitoring findings, request for corrective action,
closeout package, Leveraging Report, and agency audit. The closeout package and the agency
audit are considered during the program year they are submitted. The State keeps records of
submissions. Late or inaccurate information or reports are resolved in a three-stage process:


Chapter 18 – Information and Reporting                                                     Page 119
            The first late or incorrect report results in a notice to the EAP Coordinator indicating
            a report date was missed or information is late, incorrect or incomplete, resulting in a
            violation of a mandatory program activity.

            The second instance of late or incorrect data entry or reporting results in a notice to
            the Service Provider’s Executive Director of the information and reporting rules of
            the program violated a second time and a response to our Request for Corrective
            Action must be submitted within 15 working days from date of the notice.

            The third instance of late or incorrect data entry or reporting results in a notice to the
            Service Provider’s Governing Board and a visit from the monitor to meet with the
            Executive Director and Coordinator to assist in a corrective action plan. The notice
            informs the Board the program information and reporting has been late or incorrect
            three times. It states future violations of the information and reporting requirements
            will result in an administrative fine of $500. The notice informs the Board that the
            Energy Assistance Program has the authority to consider program violations of this
            type when determining if a program deliverer should be changed for subsequent
            program years.

            Service Providers reaching the penalty stage are in a situation that may eliminate the
            Service Provider from being a program deliverer in subsequent program years.


EXCUSED LATE REPORTS
Late data entry or reports are only excused for the following reasons:
           Internet or computer failure
           Reasonably unforeseeable Service Provider emergency which prevents staff from
           reporting to work

If information entry or a report will be late, you must contact the following on the due date or
before, in order for it to be excused:
              Mark Kaszynski for FSRs, Closeouts and Audits
              Your field representative for all other essential information and reports


FINANCIAL STATUS REPORTS
The Financial Status Report (FSR) provides for the uniform reporting of expenditures. Use the
FSR forms on eHEAT designated for EAP and ROFW, respectively. Both of these forms have
the same format but are customized for the program.

FSRs are used by the State to monitor, review, and report expenditures of the grantee on an
ongoing basis. Each FSR must match the grantee’s accounting records and documents.

An FSR for each program, using month end data, must be entered and submitted on eHEAT by
the 15th of each month or the first business day after if the 15th falls on a holiday or weekend



Chapter 18 – Information and Reporting                                                         Page 120
until the Final FSR is submitted. This requirement holds true regardless of the amount (or lack)
of fiscal activity that occurred during the previous month. FSRs are subject to the timeliness
requirements referred to at the beginning of this chapter. The FSR due dates for FFY07 are:
      Nov. 15, 2007            Feb. 15, 2008         May 15, 2008         Aug. 15, 2008
      Dec. 17, 2007            Mar. 17, 2008         June 16, 2008        Sept. 15, 2008
       Jan.15, 2008            Apr. 15, 2008         July 15, 2008         Oct. 15, 2008


Financial information used on the FSRs must be submitted on eHEAT. To complete an FSR
form on eHEAT, refer to the eHEAT users manual UC16.

Final paper FSRs with original signatures are required at the end of the program year and must
be mailed with the Closeout Package. FSR forms may be exported from eHEAT into an Excel
format.


CLOSEOUT
At the close of each program year, EAP grantees must close out their programs and submit final
documents, called the “closeout package,” to the Energy Assistance Program. The final closeout
package is due on November 1 after the end of each program.

The final closeout package for EAP must include:
            Final Financial Status Report (FSR) in eHEAT, showing cumulative expenditures of
            program funds for the program year, marked Yes under Final and submitted through
            eHEAT. A final FSR must be signed and mailed to the department by the grantee
            authorized representative. A signature on printed copy of the eHEAT final is
            acceptable. The final FSRs reported expenditures, column D, Total, must only report
            the expenditure of funds on your last Commerce NFA. This "Total" should not
            include the expenditure of local funds, interest received or program income.
            A check for the balance of any funds the Service Provider drew down that remain
            unspent and unobligated. Make checks payable to: “Minnesota Department of
            Commerce.” The check record must contain the Fund ID # and program name.
            A list of any continuing liabilities on the grant or a statement that there are no
            continuing liabilities. A liability is any grant obligation that continues at the time of
            the report. This statement may be typed into the Service Provider Note Box on the
            FSR.
            An inventory of non-expendable personal property purchased during the program
            year or a statement pertaining to inventory. This statement may be typed into the
            Service Provider Note Box on the FSR.
            A Budget Summary Report.

The grantee should also be able to produce a reconciliation of cash draws and expenditures if
requested by the State. The reconciliation must identify each cash payment received dates
received, and the corresponding monthly total of FSR expenditures reported for the grant.




Chapter 18 – Information and Reporting                                                       Page 121
Call your field representative with questions about the closeout process. Submit the final
closeout packages for the FFY05 EAP contract (EAP and ROFW) to:
       Minnesota Department of Commerce
       Energy Division
       Attn: EAP Closeout Package
       85 7th Place East, Suite 600
       St. Paul, MN 55101-2198


APPENDICES
     18A - INCIDENT REPORTING FORM
     18B - EAP FINANCIAL STATUS REPORT
     18C - ROFW MONTHLY FINANCIAL STATUS REPORT
     18D - BUDGET SUMMARY FOR 2008
     18E - FINANCIAL STATUS REPORT FORM eHEAT




Chapter 18 – Information and Reporting                                                       Page 122
INCIDENT REPORT FORM                   Minnesota Energy Assistance Program
                                INCIDENT INFORMATION
 NAME OF AGENCY:

 DATE OF INCIDENT:

 AGENCY STAFF IN CHARGE:              PHONE NUMBER:

 FIELD STAFF REP:

 TYPE OF INCIDENT:
                                Explain the Incident:
    AGENCY DISASTER
    VENDOR FRAUD
    CONTRACTOR FRAUD
    HOUSEHOLD FRAUD
    EMPLOYEE EAP FRAUD
     OTHER___________
 WHAT ACTION HAS BEEN TAKEN BY AGENCY?




                               FOR STATE OFFICE USE ONLY
     REPORT NUMBER:
     DATE:
     FORWARDED TO:
 WHAT ACTION HAS BEEN TAKEN BY STATE?




Chapter 18 – Incident Report                                             Appendix 18A
EAP Policy Manual FFY2008
MINNESTOTA DEPARTMENT OF                                                                                              MONTHLY
                                                                                                              FINANCIAL STATUS REPORT
Commerce                                                                                                          Report Due: 15th of Each Month

(SUB)GRANTEE:                                                                        GRANT NAME:
                                                                                         ENERGY ASSISTANCE PROGRAM
                                                                                     GRANT/ FUND ID NUMBER:                                      MOD#


ADDRESS:                                                                             GRANT PERIOD:
                                                                                                                           TO
                                                                                     REPORT MONTH:


PREPARED BY:                             PHONE:                                      REPORT NO:                       FINAL:

                                                                                                                       [ ] YES          [ ] NO

                                                   A.                              B.                           C.                             D.
        COST CATEGORIES                     APPROVED BUDGET                     PREVIOUS                     ACCRUED                  ACCRUED CUMULATIVE
     (PER APPROVED BUDGET)                                                    EXPENDITURES               EXPENDITURES THIS             EXPENDITURES THRU
                                                                               REPORTED                    REPORT MONTH                   THIS REPORT
Administration
Assurance 16
Energy Related Repair
ROFW - Federal HHS
ROFW - State Private




TOTAL

Program Income Received
Interest Income Earned
Program Income Expended
Interest Income Expended


Agency cash on hand at end of the month.


REMARKS:                                                                                               Submit via eHEAT to:
                                                                                                       Minnesota Department of Commerce
                                                                                                       Fiscal Division
                                                                                                       Attn: Mark Kaszynski
                                                                                                       85 7th Place East, Suite 500
                                                                                                       St. Paul, MN 55101-2198
                                                                                                       Or Fax To: (651) 296-5819

Certification: I hereby certify that the expenditures reported are taken from the books of original entry and all information reported is correct and consistent
with the terms of the grant agreement.




Subgrantee Authorized Signature                      Date                                              Commerce Approval                         Date



Typed Name & Title                                                                                                                                   DOC 10/04
EAP Policy Manual FFY2008
MINNESTOTA DEPARTMENT OF                                                                                              MONTHLY
                                                                                                              FINANCIAL STATUS REPORT
Commerce                                                                                                          Report Due: 15th of Each Month

(SUB)GRANTEE:                                                                        GRANT NAME:
                                                                                                     Reach Out For Warmth
                                                                                     GRANT/ ID NUMBER:                                           MOD#


ADDRESS:                                                                             GRANT PERIOD:
                                                                                                                           TO
                                                                                     REPORT MONTH:


PREPARED BY:                             PHONE:                                      REPORT NO:                       FINAL:

                                                                                                                       [ ] YES          [ ] NO

                                                   A.                              B.                           C.                             D.
        COST CATEGORIES                     APPROVED BUDGET                     PREVIOUS                     ACCRUED                  ACCRUED CUMULATIVE
     (PER APPROVED BUDGET)                                                    EXPENDITURES               EXPENDITURES THIS             EXPENDITURES THRU
                                                                               REPORTED                    REPORT MONTH                   THIS REPORT


State Private
Federal HHS EAP




TOTAL

Program Income Received
Interest Income Earned
Program Income Expended
Interest Income Expended


Agency cash on hand at end of the month.


REMARKS:                                                                                               Submit to:
                                                                                                       Minnesota Department of Commerce
                                                                                                       Fiscal Division
                                                                                                       Attn: Mark Kaszynski
                                                                                                       85 7th Place East, Suite 500
                                                                                                       St. Paul, MN 55101-2198
                                                                                                       Or Fax To: (651) 296-5819

Certification: I hereby certify that the expenditures reported are taken from the books of original entry and all information reported is correct and consistent
with the terms of the grant agreement.




Subgrantee Authorized Signature                      Date                                              Commerce Approval                         Date



Typed Name & Title                                                                                                                                   DOC 10/02
EAP Policy Manual FFY2008
                           FY 2008 BUDGET SUMMARY - ENERGY ASSISTANCE PROGRAM
  OFFICE OF ENERGY PROGRAMS, ENERGY DIVISION, DEPARTMENT OF COMMERCE, 85 7TH PLACE EAST, SUITE 600, ST. PAUL, MN 55101-2198

                         THE BUDGET SUMMARY IS DUE WITH THE EAP CLOSEOUT PACKAGE, NOVEMBER 3, 2008.


FUNDING PERIOD                                        DATE SUBMITTED            CONTACT PERSON                  PHONE



                                                                                  B. Program Interest and
                                                                                 Income (Non-NFA LIHEAP         C.  Total Program
COST CATEGORY                                              A. EAP FY 2008                 Funds)                Expenditures (A+B)


                       Administration
1.1 Salary & Wages (Full Time)
1.2 Salary & Wages (Part-Time, Seasonal, etc.)
1.3 Other Benefits
2.1 Space Costs & Rentals and Repairs
2.2 Printing and Advertising
2.3 Professional/Technical Services Outside Vendors
2.4 Computer and Systems Services
2.5 Communications
2.6 Travel
2.7 Supplies and Equipment
2.8 Employee development
2.8 Other Direct Charges
3.0 Indirect Costs
ADMINISTRATION SUBTOTAL                                                     0                               0                        0


                       Assurance 16
4.1 Salary & Wages (Full Time)
4.2 Salary & Wages (Part-Time, Seasonal, etc.)
4.3 Other Benefits
5.1 Space Costs & Rentals and Repairs
5.2 Printing and Advertising
5.3 Professional/Technical Services Outside Vendor
5.4 Computer and Systems Services
5.5 Communications
5.6 Travel
5.7 Supplies and Equipment
5.8 Employee development
5.8 Other Direct Costs
6.0 Indirect Charges
7.0 Assurance 16 Other (Explain)
PROGRAM SERVICES SUBTOTAL                                                   0                               0                        0

GRAND TOTAL                                                                 0                               0                        0
EAP Policy Manual FFY2008
Financial Status Report in eHEAT




Chapter 18 – FSR in eHEAT          Appendix 18E
EAP Policy Manual FFY2008
                                      CHAPTER 19

                  DATA PRACTICES AND RECORDS
DATA PRACTICES EFFORT DEFINITION
Identity theft has heightened people’s awareness of the dangers of giving out personal
information. Yet to receive benefits from the Energy Assistance Program, the Weatherization
Program, and the Conservation Improvement Program, also known as Energy Programs,
applicants must reveal their private information. In recognition of its need for private
information about citizens, government has responded with laws like the Minnesota Government
Data Practices Act (MGDPA), which regulates how governmental agencies can collect and use
information.

Federal and state data practices requirements include several regarding the use, storage and
retention of records. The MGDPA restricts unnecessary access to household information
supplied in the application process. It requires that program records be secure and maintained in
an accessible form, allowing access to household files by members of the household and by
Service Provider, state and federal staffs who may need to review them. It also requires that
holders of the data assist applicants when they seek information about their household file.

Values: We value--
         Protecting vulnerable citizens
         Individuals’ right to privacy and dignity
         Providing the best possible service to participants

Intentions: To--
           Follow laws regulating the use of private data about applicants
           Be extremely protective with private data
           Deliver the program efficiently
           Provide the same levels of protections for all types of data requests
           Gather only the information we need to deliver the program
           Balance the needs to share data to better serve participants and to protect the privacy
           and dignity of the individual
           Be clear about DOC practices for sharing information

Focus:
            Limit staff access to private data to those who need it to do their jobs
            Train staff with access to private data about their responsibilities under MGDPA
            Prescribe and maintain practices to keep private data secure
            Develop and disseminate clear information about data sharing practices
            Maintain accessibility to data, as required by MGDPA, OMB and other relevant state
            and federal laws, rules and regulations



Chapter 19 – Data Practices and Records                                                    Page 123
            Strictly follow MGDPA requirements for providing private data to the data subject
            and third parties
            Retain records as required by Energy Programs and OMB Circulars

Context
            Data practices are strictly regulated by state and federal laws, rules and regulations,
            including the Minnesota Government Data Practices Act (MGDPA), Minn. Stat. Ch.
            13.
            The Information Policy Analyst Division (iPAD) of the Minnesota Department of
            Administration is responsible for interpreting data practices statutes and regulations
            and issuing opinions about data practices issues.
            For Energy Programs, consent to provide private data terminates on the last day
            (September 30) of the federal fiscal year in which it was given.




Chapter 19 – Data Practices and Records                                                     Page 124
DATA PRACTICES POLICIES AND PROCEDURES
PRIVATE DATA
Minnesota Statues (Minn. Stat.) §216C.266 says, “Data on individuals collected, maintained, or
created because an individual applies for benefits or services provided by the Energy Assistance
and Weatherization programs is private data on individuals and must not be disseminated except
pursuant to section 13.05, subdivisions 3 and 4.” Information about a data subject may be
released to the individual or to a third party if the data subject gives his/her informed consent.


SOCIAL SECURITY NUMBER FOR LIHEAP AND WAP APPLICATIONS
Social security numbers are used in the administration of the Energy Programs and to assure that
eligible applicants and their household members receive only allowable benefits. Federal law
allows the energy assistance program to ask applicants and household members to provide social
security numbers in order to process applications quickly and to prevent, detect and correct fraud
and abuse. 45 CFR 96.84; 42 U.S.C. 405 (c)(2)(C)(i). Applicants are not required to provide it to
receive assistance.


RESPONSIBILITY FOR DATA PRIVACY
Individuals with access to private data must be aware of their responsibilities under the MGDPA.
A best practice is to document regular training on data practices to each staff with access to
applications or household information.

The website http://www.ipad.state.mn.us/other_infomat.html is designed to help understand the
MGDPA, Chapter 13. Included are explanations, summaries or specific guidance about:
          Who must comply with this law and what they must do;
          How the law controls the collection, use and release of data by government offices;
          How data are classified and what the classifications mean;
          What rights you have to see and have copies of public government data;
          What fees government offices may charge for providing copies of data they keep;
          What rights you have if a government office keeps data about you;
          How to challenge the accuracy and completeness of government data about you; and
          Who may access disciplinary data about public employees.


APPLICATION DOCUMENTATION
Collecting, creating and maintaining data about individuals and households is a necessary
outcome of the Energy Programs’ processes for application, eligibility determination and benefit
and services provision. Information can be collected, created, and maintained using manual or
electronic means. Whatever method is used, information must be accessible for the purposes of
program administration, evaluation and research.

eHEAT is one source of electronic files. eHEAT software is an on-line database incorporating
most of the business practices needed to operate the Energy Assistance Program, especially
collecting, creating and maintaining data about individuals and households and providing




Chapter 19 – Data Practices and Records                                                   Page 125
eligibility and household information for the Weatherization and Conservation Improvement
Programs.

Electronic files include but are not limited to:
           eHEAT files accessible using the household number, a unique identification number
           assigned by eHEAT to each applicant household.
           Scanned electronic copies of hard (paper) documents
           Electronic documents created using entered or downloaded private information about
           an applicant or household, e.g., the Reasonable Payment Worksheet, and maintained
           in an SP network, PC directories or electronic storage media.

All of the items listed in this section must be in the household’s hard copy file or easily identified
and accessed electronic files:

Electronic (computer) copies of the following items:
          Copies of any correspondence with the applicant not documented by eHEAT
          Documentation of research and responses to a question, complaint or appeal
          Pertinent program forms

Hard copies of the following items:
         A signed signature page from the application (or, rarely, a copy).
         The paper application or rollover.
         Documentation of income.
         Income calculations not completed in eHEAT.
         Case notes if they are not kept on eHEAT.
         Pertinent program forms if they are not maintained electronically
         Copies of any correspondence with the applicant not documented by eHEAT or
         maintained using electronic storage media
         Documentation of research to a question, complaint, or appeal not maintained in
         eHEAT or using electronic storage media.

eHEAT will document the following for each household by household ID:
        Application information, including income calculations
        Completed household application summary
        Home heating energy information collected from vendors
        Verification that notification letters were sent
        Case notes
        Payments

All Energy Programs’ records about an individual or household are private data. Hard
and electronic copies of the application and the application summary on eHEAT are
private.




Chapter 19 – Data Practices and Records                                                      Page 126
SECURITY OF RECORDS
Develop local procedures that keep your records secure. Many of these procedures are required
in your Local Plan. Your agency’s procedures must:
           Only allow access to private data to those who are authorized by law or by written
           permission from the applicant (see “Informed Consent for Release of Information”
           below).
           Use passwords on all electronic documents containing private data.
           Ensure that e-mails don’t contain private information, or, if they must, have an
           acceptable process for encrypting them. NOTE: Household numbers are not private
           information. Names and addresses and other identifying information are private.
           Implement policies prescribing transportation of private data on laptops, electronic
           storage media, paper, etc.
           Ensure that duplicate, secure records back up electronic records maintained by the SP.
           Duplicate eHEAT records are maintained by the State of Minnesota.
           Ensure that duplicate, secure records back up financial data records.
           Ensure that statistical reports, annual reports, or other data compiled, produced or
           published by your agency or any representative of your agency do not reveal or
           connect any applicant's private data to any public information.


RECORDS ACCESSIBILITY
Retain records in an accessible form, as described below. Records retained on electronic media
must remain accessible after any changes in computer hardware or software:
           A household must be able to access and use information in their file (see “Requesting
           Release of Information to the Data Subject,” below).
           The SP must be able to access and use records for reporting requirements.
           State or federal staff must be able to access and use records for monitoring or audits.


RECORD RETENTION REQUIREMENTS
Maintain energy programs records for at least three years after the program has been closed out
and audited. Upon written notice from the state or federal agency, retain records for the period
of time stated in the written notice. Note: Should your agency be required to keep these records
for a longer period of time, you will receive written notice to do so.

Requirements allow flexibility in the way SPs retain these records (see Chapter 22, Audits).
Retain records related to:
           Contracts
           The complete household files
           Administrative action on an application such as records of complaints or
           administrative hearings, and/or SP actions to resolve issues
           Procurement records detailing the history of procurement with all energy program
           funds.
           Monitoring letters and resolution documents
           Audit records and work reports. Retain financial records, supporting documents and
           all other records pertinent to your agency's agreement with the state energy programs



Chapter 19 – Data Practices and Records                                                   Page 127
            Records related to a dispute, complaint, investigation or litigation for three years after
            the action is resolved.


PROVIDING INFORMATION ALLOWED BY THE TENNYSON WARNING
The Tennyson Warning in the Rights and Responsibilities document attached to the application
describes who may use private data about individuals collected, created or maintained from the
Energy Programs application and program processes for Energy Programs’ administration,
research and evaluation.

Program and vendor staff may have access to private Energy Programs’ data they need to carry
out job responsibilities for Energy Program administration, research and evaluation. eHEAT
manages distribution and control of private data to the following:
            SP staff and auditors
            Energy Assistance and Weatherization staff of the Minnesota Department of
            Commerce (DOC)
            Staff of energy vendors (companies providing connected or delivered heating fuel or
            electricity) who provide heating fuel or electricity to at least one Energy Programs
            applicant
            Staff of vendors who operate PUC-approved affordability programs


Staff of other organizations may also have access to private Energy Programs data they need to
carry out job responsibilities for Energy Programs’ administration, research and evaluation.
These situations will usually involve use of data in ways that are not routine. Please contact your
DOC Field Representative before providing information to these agencies:
            Minnesota Public Utilities Commission
            An agent of DOC, including appropriate law enforcement personnel, who are acting
            in an investigation or prosecution of a criminal or civil proceeding relating to the
            administration of Energy Programs (Minn. Stat. §13.462)
            Staff of vendors who operate PUC-approved affordability programs
            Minnesota Departments of Administration and Human Services and the Office of
            Enterprise Technology
            United States Departments of Health and Human Services and Energy
            Minnesota Legislative Auditor
            Other agencies or entities as allowed by federal or state law

Private data on an individual or household may be released to federal and state law enforcement
agencies pursuant to a court order (Minn. Stat. §13.462). Please submit an Incident Report to
your DOC Field Representative when you receive a court order to provide private data.




Chapter 19 – Data Practices and Records                                                       Page 128
“APPLICATION CONSENT” TO REQUEST INFORMATION
A signed application gives consent to SP staff to request and receive the following information
for the purposes stated:
            Data about the household’s energy account and energy use from the household’s
            energy vendors for determining eligibility for benefits and benefit amounts.
            Data concerning public benefits received by household members within the last year
            from the Minnesota Department of Human Services and its agencies for determining
            eligibility for benefits
            Data concerning public benefits received by household members within the last year
            from the Social Security Administration for determining eligibility for benefits
            Verification of income from household members’ employers for determining
            eligibility for benefits
            Confirmation of household residency and heat source from the household’s landlord
            for determining eligibility for benefits and benefit amounts

If the applicant names an Authorized Representative, the signed application also gives consent
for state and SP program staff to provide and receive information from the Authorized
Representative on behalf of the applicant.

Local procedures must be in place to request information allowed by the application consent so
the request is done in a consistent manner and so each request is documented. Best practice is
for the local procedures to include a form for requesting information by letter or e-mail and a
format for documenting a request by telephone. Security procedures for e-mails containing
private information must be in place.


REQUESTING RELEASE OF INFORMATION TO THE DATA SUBJECT
Original application information is maintained by the SP. A data subject may ask and be told
whether an SP has stored data about him or her, what data is stored and whether it is classified as
public, private or confidential. (Energy Programs’ data on individuals is always private. See
Minn. Stat. §216C.266.) Requests by the data subject to view or obtain a copy of his/her private
data or a list of private data maintained about him/her should be directed to the local SP. The SP
must maintain documentation of such requests.

The data subject may request over the telephone information about the status of the application.
The data subject may see or obtain a copy of accurate, current and complete data without any
charge and, if desired, be informed of the meaning of the data. The data subject need not provide
a reason for requesting the data. The SP may ask the reason in order to clarify the data the
requestor wishes to see or obtain.

SPs must take great care to assure the data is released only to the subject of the data. Efforts
should include:
           Confirming the identity of the data requester.
           Mailing copies of data by certified and restricted delivery mail to the data subject at
           his/her address.




Chapter 19 – Data Practices and Records                                                     Page 129
SPs must also maintain documentation of all private data releases:
          For phone requests, maintain a log or put a note in the file.
          Get the viewer’s signature on a list of data viewed or picked up.
          Maintain a list of data mailed and copies of the certified mail receipt, record of
          delivery and signature confirmation.

The topic “Handling Data Requests,” below, contains specific, step-by-step procedures for
releasing data to the data subject.

Viewing the data should happen during regular office hours. Viewing should occur immediately,
if possible, but must happen within 10 business days of the request.

Copies of the data must also be provided within 10 business days of the request. The copies
must be provided using the media requested, if the data is available in the media. For example, if
the data subject requests a paper copy of data stored electronically, the data can easily be printed.
If the data subject requests an electronic copy of data available only on paper, it cannot easily be
transferred and may be made available on paper.


INFORMED CONSENT FOR RELEASE OF INFORMATION
Informed consent is necessary when data will be released to a “third party.” A third party is an
individual or organization not included in the Tennyson Warning in the Rights and
Responsibilities document (see Appendix) or in the Application Consent of the Energy Programs
Application, Part 1, Authorized Representative, and Part 7, Consent and Signature. Informed
consent is also necessary before the organization or agency that collected or created the private
data can use it for a purpose not included in the Tennyson Warning or Application Consent.

“Informed consent” means the data subject knows and understands the new uses of the data and
the consequences of allowing the data requester to use the data in the new way(s). This requires
the data subject to possess and exercise sufficient mental capacity to make an informed decision.

Applicants sign the Energy Programs application to authorize use of their private data to provide
Energy Programs services. New uses of the data require a new authorization from the data
subject.

Requesting Release of Information to a Third Party
A data subject may request the release of private data about him or her to a third party using the
Informed Consent to Release Private Data form (Informed Consent). The Informed Consent
form is a written agreement signed by the data subject authorizing the holder of the data to
release data about him or her collected, maintained, or created by Energy Programs in connection
with the household’s application for energy benefits. Informed Consent is needed so DOC and
SPs can verify what specific private data to release and what private data to protect. DOC and
Energy Programs’ SPs will release private data only as the signed Informed Consent authorizes.




Chapter 19 – Data Practices and Records                                                     Page 130
Generally, completed Informed Consent forms should be submitted to the local SP. Please
contact your DOC Field Representative if you receive a large number of Informed Consent forms
with information released to the same third party.

Content of Informed Consent Request Form
An Informed Consent form must include all of the following characteristics to meet the
requirements of Minn. Stat. §13.05, subd. 4:
           Be written in plain language
           Be dated
           Designate the particular agencies or person who will get the information
           Specify the information to be released
           Indicate the specific agencies or person who will release the information
           Specify the purposes for which the information will be used immediately and in the
           future
           Contain a reasonable expiration date of no more than one year

DOC requests this additional information to identify the requestor:
         The printed or typed name, social security number (if provided on the Energy
         Programs application) and birth date of the data subject so the information provided is
         the requestor’s private data.
         Notarized signature of the data subject or picture id presented at the time of request to
         verify the data requestor’s identity.
         o Entities should assume both parents have access rights to data about a minor child
             and authority to sign consents for the minor, even if the parents are divorced or
             separated, unless the agency is given court documents specifying otherwise. If
             parental rights are terminated, access and consent rights are also terminated.

DOC will accept requests only on the Informed Consent to Release Private Data for the
Minnesota Energy Assistance Program form (see Appendix). SPs may develop variations on the
prescribed form and may, at their discretion, accept requests in other forms as long as the request
meets the requirements of Minn. Stat. §13.05, subd. 4.

When a Signed Consent Form Is Not Required
         To disseminate information for purposes previously communicated to the individual
         on the Tennyson Warning or the Application Consent
         When federal or state law authorizes dissemination of data after the Tennyson
         Warning has been given
         When the Commissioner of Administration, upon application, approves a new use or
         dissemination of the data

Revocation of Release Form
The individual may revoke the consent to release private data at any time by writing to the local
SP or DOC, whichever received the original Informed Consent. The revocation goes into effect
on the date it is available to the local SP or DOC. It will not affect information released prior to
receipt of the revocation.




Chapter 19 – Data Practices and Records                                                      Page 131
Handling Data Requests
Local SPs must take special care in responding to requests for information and Informed Consent
forms. Steps in responding to data requests are:
       1.   Receive request at the local SP
       2.   Document date of request
       3.   Verify the request is for private data
       4.   Confirm availability of data
       5.   Confirm the request is for release of data to the data subject
            a.     Verify identity of data subject/requestor. Acceptable confirmations of identify
                   include:
                   i.    Birth date and last four digits of the requestor’s social security number
                         (for phone requests)
                   ii.   A notarized signature
                   iii. A picture id presented at the time of the request
            b.     Prepare and redact data, as necessary. Only private data about the requestor
                   may be released. The application itself may need to be redacted if it contains
                   data about others. Redact: to edit or revise something in preparation for
                   publication. Encarta Dictionary: English (North America)
            c.     Fulfill request within 10 business days.
                   i.    Make data available for viewing by data subject at the office during
                         office hours immediately, if possible, but no later than 10 business days
                         after the request.
                   ii.   Send data copies to the data subject by certified and restricted delivery
                         mail or arrange for the data subject to pick it up.
                   iii. Document release of data.
                         1.    For phone requests, maintain a log or put a note in the household
                               file.
                         2.    Prepare a dated list of data the requester sees or receives.
                         3.    Get viewer’s signature on a dated list of data the requester sees or
                               picks up.
                         4.    Collect copies of the certified mail receipt, record of delivery and
                               signature confirmation and file with the dated list of mailed data.
       6.   Confirm the request is for release of private data to a third party.
            a.     Confirm the Informed Consent form is complete.
            b.     Verify the identity of data subject/requestor. Acceptable confirmations of
                   identify include:
                   i.    A notarized signature
                   ii.   A picture id presented at the time of the request
            c.     Prepare and redact the data, as necessary.
            d.     Fulfill request within 10 business days by certified mail, pickup or e-mail.
            e.     Verify the identity of third party data recipient using a picture id presented
                   when the information is picked up, mailing the information by certified mail
                   to the Third Party’s address, with restricted delivery mail if the data is
                   released to an individual; or e-mailing the encrypted data to the Third Party’s
                   official e-mail address.
            f.     Document release of data.



Chapter 19 – Data Practices and Records                                                    Page 132
                    i.     Prepare a dated list of data the third party receives.
                    ii.    Get third party’s signature on dated list, if picked up.
                    iii.   Collect copies of the certified mail receipt, record of delivery and
                           signature confirmation and file with the dated list of mailed data.
                    iv.    Maintain file of e-mail and included data.


APPENDICES
     19A - INFORMED CONSENT FOR RELEASE OF DATA FORM




Chapter 19 – Data Practices and Records                                                       Page 133
Chapter 19 – Data Practices and Records   Page 134
Informed Consent to Release Private Data
For Minnesota Energy Programs

Part 1. Explanation of Informed Consent
This informed consent document (“Consent”) is a written agreement signed by you telling the
Department of Commerce and its contractors (“Department”) you want the Department to release
the information you submitted to or that was collected or created by the Energy Assistance
Program, Weatherization Program or Conservation Improvement Program (Energy Programs) in
connection with your household’s application for energy benefits/payments/services. This
Consent is needed to allow the Department to verify what specific private data about you or your
minor children you want released and what private data you want protected. If you sign this
Consent form, the Department will release only the private data you authorize below.

With your consent, the Department will release the information to another person.

YOUR SIGNATURE ON THIS CONSENT FORM IS VOLUNTARY.

Part 2. Authorization for Release of Data

I,                                          , (Requester’s name as it appears on EAP Application), hereby
authorize the Department or the Energy Programs Service Providers (SPs) to release Energy
Programs records pertaining to me as indicated in Part 3 of this Consent (below). Select ONE of
these options:
Initials
           I authorize the Department or SPs to deliver the documents identified below to me:
           (Initial the box at left.)
           Name
           Address
           City, State and Zip
           Telephone or Cell
           To contact you if we have
           questions
           Social Security                                                                            Date of
           Number*                                                                                    Birth
           *The disclosure of Social Security Numbers is voluntary. If you do not give your social security number, it may cause delays in
           processing your data request. AUTHORITY: 45 CFR 96.84 (c); 42 U.S.C. 405(C) (2) (C). USE: The State will use your Social
           Security Number to verify the identify of the data requestor .

Initials
           I authorize the Department or SPs to deliver the documents identified below to the
           following company or person (initial the box at left)
           Person/Company
           Address
           City, State and Zip

Chapter 19 – Informed Consent to Release Private Data                                                                        Appendix 19A
          Contact Person                                                         Phone
 Part 3. Identification of Specific Documents to be Released
 I authorize the Department or the SPs to release to the persons identified in Part 2 only the
 current program year information I have marked below (check appropriate boxes and initial).

Initial    Data                                          Initial   Data
           Your Social Security Number                             Authorized Representative (First &
                                                                   last Name, Street, Apt. City State Zip,
                                                                   phone)
           Your full name                                          Primary Language spoken at home
           Sources of your income and other                        Whether any household member is
           assistance                                              a Board member or employee of the
                                                                   SP
           Your total income                                       Number of household members
           Income (Details—Whatever                                Household member information
           documents were submitted)                               (names, SSN, DOB, Race, Hispanic,
           Each household member with                              Sex, Disability, Years of school,
           income must sign a separate                             Income Y/N)
           agreement authorizing release of                        Each household member must sign
           their income information. See                           a separate agreement authorizing
           Part 4 below.                                           release of their personal
                                                                   information. See Part 4 below.
           Home Address                                            Type of Housing
           Township or City of residence                           Whether you own or are you buying
                                                                   your home
           County                                                  What you pay every month for your
                                                                   mortgage
           Home Phone numbers                                      What you pay every month for rent
           Other Phone Number                                      Whether you have a rent subsidy
           Email Address                                           Landlord’s name (Name, Phone,
                                                                   Address)
           How long you have lived in your                         Whether your heat is included in
           current home                                            your rent
           Date of application for Energy                          Heat Sources (types of fuel you
           Programs’ assistance                                    heat with)
           Energy Programs’ application                            Energy Vendors (company names,
           status                                                  name on account and account
                                                                   number, phone)
           Eligibility Status for Energy                           Consumption (amount and cost of
           Programs                                                fuel usage report and whether it was
                                                                   for heating or non-heating)
           Primary Heat Benefit amount                             Did you authorize 30% of your
                                                                   grant to your electric company?
           Emergency Benefit amount                                Priority for Weatherization
           Emergency Benefit Adjustment                            CWR information
           amount
           ERR Benefits                                            Notes

 Chapter 19 – Informed Consent to Release Private Data                                           Appendix 19A
Initial   Data                                           Initial   Data
          Reasonable Payment Worksheet                             Payment record for Emergency
                                                                   Benefit Adjustment
  Other - please specify:
 _________________________________________________________________________
 _________________________________________________________________________
 _________________________________________________________________________
 Initial _______

 Part 4. Consent of Other Members in the Household
 The application for Energy Programs and related documents may include private information on
 persons who live in the household other than the person signing the application. To protect their
 rights, each adult who was named on the application must sign a separate Consent for the release
 to any party of any private data on them contained in the application or related documents.
 Parents and guardians can sign consent for their minor children.

 Part 5. Informed Consent Approval
 I understand that the information listed above includes information which is classified as private
 on me or my minor children under the Minnesota Government Data Practices Act, including
 Minn. Stat. § 13.32. I understand that, at my request, the Department must provide me with a
 copy of any records it has on me or my minor children, including any record or data releases.

 I understand that by signing this Consent, I am authorizing the Department to release to the
 persons named above information which would otherwise be private and not accessible to them.
 I understand I am not legally obligated to provide this information to any third party and I may
 revoke this Consent at any time.

 This Consent expires after September 30, 2008 or if I withdraw my Consent, whichever comes
 first. I am giving this Consent freely and voluntarily and I understand the consequences of my
 giving this Consent.

 I understand the person to whom I am releasing the information listed above will use it to:
 __________________________________________________________________
 __________________________________________________________________

 ____ No one has forced me to sign this consent form.

 ____ I understand that if I consent to the data release that the Department will have no control
 over how the data will be used by those you have authorized.


 Signed: _______________________________________
 Dated: ________________________________________
 Notary or Date: ______________________________________________
 (notarized signature is required unless the signature is witnessed by Energy Programs’ staff upon
 presentation of photo ID)


 Chapter 19 – Informed Consent to Release Private Data                                     Appendix 19A
Chapter 19 – Informed Consent to Release Private Data   Appendix 19A
                                   CHAPTER 20

                                    CONTRACTS
The Low Income Home Energy Assistance Program Grant Contract (also referred to as the EAP
Contract) serves as the written agreement between the State and all grantees who deliver EAP
and ROFW. The contract contains no dollar amounts. Funds for grant activities allowed in the
contract are provided on a Notice of Funds Available (NFA), which are incorporated as part of
the contract.


DEFINITIONS
Definitions of the following terms may be helpful in understanding contracts, grant agreements
and circulars (some funding sources may use different terms or use these differently):

Contract: A written document that contains an offer, an acceptance, and a consideration to
which the State is a party. Grant contracts are a class of contracts.

Department: Also “State,” “Department of Commerce,” and “DOC.” The agency within the
State of Minnesota which has a contract with a grantee.

EAP: Energy Assistance Program, which is the State’s name for the federal Low-Income Home
Energy Assistance Program (LIHEAP).

Financial Status Report (FSR): A standardized form that a grantee submits to the State
reporting grant expenditures by cost category covering a specific time period.

Grant: Specific program funds that the State pays or furnishes to its grantees for provision of
program services.

Grant Agreement: A contract between the State and a grantee identifying program
requirements for the use and /or disbursement of grant funds.

Grantee: Local government, private non-profit organization, or reservation government that
receives a grant (contract) from the State.

Grantor: The agency that provides a grant (contract) to another entity.

HHS: U.S. Department of Health and Human Services, which provides federal funding for
LIHEAP.




Chapter 20 – Contracts                                                                    Page 135
LIHEAP: Low Income Home Energy Assistance Program, a block grant funded by U.S.
Department of Health and Human Services.

NFA: Notice of Funds Available, a contractual document that provides funds for individual
grants or programs and denotes the funding effective dates and expiration dates.

OMB: U.S. Office of Management and Budget, a federal agency that maintains financial
management policies for the Federal Government and works cooperatively with federal grant
making agencies. It leads the development of government wide policies to assure that grants are
managed properly and that Federal dollars are spent in accordance with applicable laws and
regulations.

Recipient: The direct recipient of federal funds. This term is used in federal OMB circulars.
(Note: “Grantee” may be used instead of “recipient” in the circulars).

Subgrant: A grant that the State awards to another entity. That second entity is considered the
State’s subgrantee.

Subgrantee: The legal entity, which receives a grant from the State. The subgrantee is
accountable to the grantee for the use of provided funds; it also includes all additional tiers of
subgrantee.

Subrecipient: The State grantees and subgrantee; this term is used in federal OMB circulars.

Weatherization: The short name given to the Department of Energy’s Low-Income
Weatherization Assistance Program.


CONTRACT COMPONENTS
Contract Numbering
All EAP contracts use a standardized numbering system preceded with the letter A. This
contract number can be found on the signature page and is used at the state level to track the
contract and is not for financial reporting.

Contract Language
The contract addresses three general areas:
          Grant administration.
          Fiscal management.
          Program performance requirements.

The grant contract language incorporates all the requirements contained in the standard
Minnesota State Contract, Admin, 1051. It also addresses the three general areas listed above by
referring to applicable federal or state laws, regulations, policies and procedures, which bind the
grantee. Federal references include OMB Circulars A87, A122, A110, Common Rule, A128,
A133, and Treasury Circular 1075. Some program specific requirements are referenced in the
contract as well. Grantees must be familiar with and adhere to all contract requirements.



Chapter 20 – Contracts                                                                       Page 136
BUDGET, MANUAL AND WORKPLANS
The Department of Commerce will budget the State’s program funds and allocate them to
Service Providers using program rules. Service Providers will:
           Know the amounts of their allocations.
           Request cash, as needed (the three-day-cash-on-hand rule applies).
           Report their expenditures.

The State will reconcile reported expenditures with cash requests. The State will also mail NFAs
for those fund categories that Service Providers will pay directly: administration, Assurance 16,
ERR, and ROFW.

The EAP contract includes agency obligational authority in the form of NFAs, the Minnesota
State Plan for the Energy Assistance Program (EAP) for fiscal year 2008 (i.e., the State Plan),
and the FY 2008 Energy Assistance Policies and Procedures Manual and the Service Provider
Local Plan. This connection is described in the contract in Section 2, Grantee’s Duties, and
Section 4.1 Consideration. The EAP manual, EAP State Plan and Service Provider Local Plan
describe what activities will happen, while the Service Provider’s obligational authority (NFAs)
allocate funds by program activity. Grantees may be called upon to justify duties performed and
expenditures to their boards of directors, federal officials, auditors, the State, or others. Specific
and concise text or other documentation should substantiate budget line items so anyone can
evaluate each item


WORKPLANS
The Minnesota State Plan for the Energy Assistance Program and the Energy Assistance
Policies and Procedures Manual are the standardized, umbrella work plan covering all
grantees. The program also requires grantees to develop Local Plans. These are local work
plans describing local program delivery. Work plans are part of the contract review process and
require Energy Assistance Program approval before the contract can be encumbered. State
encumbrance is required before cash may be requested for those activities under the program.

Delivery Service Provider Local Plans
Each Delivery Service Provider’s Local Plan will describe how that Service Provider operates
within the Minnesota State Plan for Energy Assistance, the Energy Assistance Manual, and the
EAP Contract. The Delivery Service Provider Local Plan will be the local component of the
contract work plan. The local plan must be approved by the Energy Assistance Program before
the contract is considered complete and before EAP funds can be released to the Service
Provider. To be approved, every field in the Delivery Service Provider’s Local Plan must be
completed clearly, in compliance with program policies and procedures, and approved by the
Office of Energy Assistance Programs. (See Chapter 20, Contracts.)




Chapter 20 – Contracts                                                                        Page 137
PERSONAL PROPERTY, STATE PROPERTY AND EXCEPTIONS (CONTRACT 14.1)
Non-expendable personal property procurement or disposition (including capital leases):
All Service Providers must obtain purchase or disposition approval for items having a unit
acquisition cost of $5,000 or more. Service Providers using Department of Energy funds must
seek approval for all vehicle purchases.

A Service Provider Purchase/Disposition Request Form is the mechanism to obtain DOC
approval for purchase or disposition of non-expendable personal property. Service Provider’s
must follow the standards found in OMB Circulars A-110 Attachment N. Property Management
Standards and Attachment O. Procurement Standards; A-102 Common Rule Section .31 Real
Property, .32 Equipment and .36 Procurement as applicable. Further, specific programs such as
DOE Weatherization have restrictions found in 10 CFR 440.18 and 10 CFR Part 600.


PART 1 – Request To Purchase Form
Complete the form by filling in the Service Provider’s name, address, phone number, and contact
person. Indicate the proposed unit acquisition price of the property you wish to purchase.
Indicate by check mark the type of property you are requesting to purchase. Fill in the block
titled “Funding Source” with the name(s) of the grant(s) to which you intend to charge the
purchase. Provide the grant number(s). Complete the next three blocks of Part 1 as accurately as
possible.

PART 2 – Property Purchase Record
After receiving approval for the purchase from DOC and after the property has been purchased,
complete Part 2.

PART 3 – Disposal or Transfer
Approval must be obtained for disposal of equipment that has a fair market value in- excess of
$5,000. In Part 1, indicate the unit acquisition price and funding source(s) and grant number(s).
If you wish to transfer the property to another not-for-profit entity, provide that entity’s name
and address in Part 3. If the property is transferred in a trade-in agreement, provide the business
name and address. Complete the remaining blocks in Part 3.

All correspondence or inquires should be directed to:

        Minnesota Department of Commerce
        State Energy Office
        85 7th Place East
        Suite 500
        St. Paul, MN 55101-2198

The Service Provider Purchase/Disposition Request Form can be found in the appendix.




Chapter 20 – Contracts                                                                     Page 138
PROCEDURE FOR COMPLETING GRANT CONTRACT
Contract Processing
          Return all copies of the contract along with original signatures.
          Return to the address indicated.

The components of the contract that must be completed are:
      1.   Signature page of the contract with original signature of the President of the Board
           of Directors or the authorized signatory.
      2.   The Delivery Service Provider Local Plan.
      3.   Signature authority for the contract. This is a document that must be signed and
           must accompany the grant contract ONLY IF that person signing the grant contract
           is not the President of the Board of Directors. It gives signature authority from the
           grantees Board of Directors to the person signing the contract.
      4.   Signature authority for cash requests. This is a form to be signed by a person
           authorized to draw cash under the contract.
      5.   Certifications. All Grantees must sign and return this form: “Certifications
           Regarding Lobbying; Debarment, Suspension And Other Responsibility Matters;
           And Drug-Free Workplace Requirements.”

Timeline For Contract Approval
Specific timelines for contract approval are included with the cover letter sent with grant
contracts. Grant contract packages are sent to Service Providers in late June. Local Plans are due
at DOC in mid-July. The contract cannot be authorized unless the Local Plan is approved by
DOC, as it is part of the contract. Contract packages are due in mid-August, after the Local Plan
is approved. Carefully check the contents of the contract package for necessary signatures and
forms. Incomplete contract packages cannot be processed. The Energy Assistance Program’s
contract process is scheduled for completion in mid-September.


SUBCONTRACTING THE ENERGY ASSISTANCE PROGRAM
The grantee must receive written permission from the DOC to subgrant or assign any or all of a
program (see Chapter 20, Contracts).


APPENDICES
     20A - EAP CONTRACT FY2008
     20B - CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND
           OTHER
     20C - AUTHORIZED SIGNATURE FORM FOR CASH REQUESTS
     20D - LOCAL PLAN AND INSTRUCTIONS
     20E - SERVICE PROVIDER PURCHASE/DISPOSITION REQUEST




Chapter 20 – Contracts                                                                    Page 139
Chapter 20 – Contracts   Page 140
                                              STATE OF MINNESOTA
                                           ENCUMBRANCE WORKSHEET

CFMS Contract No.

Agency: B13                               Fiscal Year: 2008 and 2009           Vendor Number:
Total Amount of Contract: $1.00           Amount of Contract First FY: $1.00
Commodity Code:                           Commodity Code:                      Commodity Code:
 Object Code:                             Object Code:                         Object Code:
 Amount: $1.00                            Amount:                              Amount:

Accounting Distribution 1:                Accounting Distribution 2:           Accounting Distribution 3:
Fund: 300                                 Fund:                                Fund:
Appr: EA6                                 Appr:                                Appr:
Org/Sub: 1563                             Org/Sub:                             Org/Sub:
Rept Catg:                                Rept Catg:                           Rept Catg:
Amount: $1.00                             Amount:                              Amount:

Contract Start Date:              10/01/2007

Expiration Date:                  09/30/2008

Contractor Name and Address:              «AGENCY»
                                          «ADDRESS_1»
                                          «CITY», «STATE» «ZIP»


Social Security No. or Federal Employer I.D. No.:

Minnesota Tax I.D. No. (if applicable):

                                             This Page Contains Private Data
                                                    Do Not Circulate

                                         DO NOT REPRODUCE
                             OR DISTRIBUTE EXTERNALLY WITHOUT EXPRESS
                              WRITTEN PERMISSION OF THE CONTRACTOR
                                           STATE OF MINNESOTA
                               LOW INCOME HOME ENERGY ASSISTANCE PROGRAM
                                        FFY 2008 GRANT CONTRACT

This grant contract is between the State of Minnesota, acting through its Department of Commerce ("State") and
«AGENCY», «ADDRESS_1», «CITY», «STATE» «ZIP» ("Grantee").

                                                          Recitals
    1. The State has been granted funds by the United States Department of Health and Human Services (USDHHS)
       for the purpose set forth in the Low-Income Home Energy Assistance Act, as amended 42 U.S.C.A 8621 to
       8629.
    2. Under Minnesota Statutes section 216C.02, the State is empowered to enter into this grant contract.
    3. The Grantee represents that it is duly qualified and agrees to perform all services described in this grant contract
       to the satisfaction of the State.

                                                      Grant Contract
1. Term of Grant Contract
   1.1 Effective date: 10/01/2007, or the date the State obtains all required signatures under Minnesota Statutes Section
       16C.05, subdivision 2, whichever is later.
            The Grantee must not begin work under this grant contract until this contract is fully executed and the State
            has issued and the Grantee has received a Notice of Funds Available (NFA) to the Grantee. Each NFA
            issued by the State will specify the time period during which the Grantee may perform work and incur
            eligible costs under this contract. Such time period specified in an NFA may begin on or after the effective
            date of this contract and may end on or before the expiration date of this contract.
   1.2 Expiration date: 09/30/2008, or until all obligations have been satisfactorily fulfilled, whichever occurs first.
   1.3 Survival of Terms. The following clauses survive the expiration or cancellation of this grant contract: 4.3
       Repayment; 8. Liability; 9. Reporting; 12. Audits; 13. Government Data Practices and Intellectual Property; 14.2
       State Property; 18. Governing Law, Jurisdiction, and Venue; 19. Termination, Repayment and Cooperation; and
       20. Data Disclosure.

2. Grantee’s Duties
   The Grantee will perform duties and expend funds in accordance with the terms and conditions set forth in the
   Minnesota Energy Assistance Program (EAP) Plan for Federal Fiscal Year (FFY) 2008, the FFY 2008 Energy
   Assistance Manual and the Service Provider’s Local Plan, which are incorporated into this grant contract.

    The Grantee will maintain access to and utilize the State’s Electronic Household Energy Automated Technology™
    (eHEAT) system through the Grantee’s connection(s) to the Internet.

3. Time
   The Grantee must comply with all the time requirements described in this grant contract. In the performance of this
   grant contract, time is of the essence.

4. Consideration, Payment, Federal Funds, Repayment and Program Income
   4.1 Consideration. The State will pay for all services performed by the Grantee under this grant contract as follows:
        The Grantee will be paid for eligible costs actually and necessarily incurred in the performance of its duties. As
        funds become available to the State for the purposes of this grant contract, the State will issue to the Grantee
        NFAs specifying the amount of funding available to the Grantee under this contract. The NFA is incorporated
        into this contract. The Grantee will expend funds only within the cost categories and amounts specified in
        NFA(s) and in eHEAT.
   4.2. Payment
        4.2.1 Invoices. The State will promptly pay the Grantee after the Grantee presents an itemized cash request
                 (invoice), in a form prescribed by the State, and the State's Authorized Representative accepts the
                 invoiced services. Invoices must be submitted as frequently as necessary to effectively manage cash to
                 ensure that the timing and amount of cash received is as close as is administratively feasible to the actual

        Commerce/Energy Assistance
        July 2007 (FFY 08)                                 «AGENCY»                                                 1
                disbursement of program costs. The amount of money on hand must not exceed the amount needed for 3
                days’ business activity, which complies with Section 5 of the Cash Management Improvement Act of
                1990 and OMB Common Rule A122 Payment (b) Basic Standard.
        4.2.2 Federal funds. Payments under this grant contract will be made, in whole or in part, from federal funds
                obtained by the State through the USDHHS under the Low-Income Home Energy Assistance Act of
                1981, as amended, 42 USC 8621 to 8629, CFDA Number 93.568 (Acts). The Grantee is responsible for
                compliance with all federal laws, rules and requirements imposed on these funds and accepts full financial
                responsibility for any requirements imposed by the Grantee’s failure to comply with federal laws, rules or
                requirements. In addition to the Acts, applicable federal laws, rules, and requirements may include, but
                are not limited to:
                4.2.2.1 OMB Circulars Numbers A-21, A-87, A-110, A-122 and A-133;
                4.2.2.2 OMB Common Rule as codified at 29 CFR 97;
                4.2.2.3 ASMB C-10 (Implementation Guide for OMB Circular A-87);
                4.2.2.4 Non-discrimination requirements under the Civil Rights Act of 1964 (42 USC 2000d) as amended
                         by the Equal Employment Opportunity Act of 1972, the Rehabilitation Act of 1973 (29 USC
                         794), the Age Discrimination Act of 1975 (42 USC 794), and the Americans with Disabilities Act
                         of 1990 (42 USC 12101);
                4.2.2.5 President’s Executive Order 12549 and the implementation regulation Nonprocurement,
                         Debarment and Suspension, Notice and Final Rule and Interim Final Rule found at 53 FR 19189,
                         May 26, 1988, as amended at 60 FR 33041, June 26, 1995, including Appendix B, Certification
                         Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion – Lower Tier Covered
                         Transactions”;
                4.2.2.6 New Restrictions on Lobbying, 45 FR 93, Subpart A, Revised 10/1/1999;
                4.2.2.7 Political Activity provisions of Title 5 of the United States Code;
                4.2.2.8 Drug-Free Workplace Act of 1988; and
                4.2.2.9 Fair Labor Standards Act.
    4.3 Repayment. The Grantee will repay the State any funds paid to the Grantee by the State for costs which:
        4.3.1 the State determines are not eligible under this contract;
        4.3.2 the Grantee has been or will be compensated by another entity;
        4.3.3 the Grantee’s records do not clearly substantiate as eligible under this contract; or
        4.3.4 are identified as a financial audit exception;
        4.3.5 the State assesses as administrative fines for late reports as specified in the FFY 2008 Energy Assistance
                Manual, Chapter 18.
    4.4 Program Income. All interest or other income earned by the Grantee on funds advanced to the Grantee by the
        State will be considered program income, and must be reported to the State. Program income may only be
        expended for activities and costs that are eligible under this grant contract.

5. Conditions of Payment
   All services provided by the Grantee under this grant contract must be performed to the State’s satisfaction, as
   determined at the sole discretion of the State’s Authorized Representative and in accordance with all applicable
   federal, state, and local laws, ordinances, rules, and regulations. The Grantee will not receive payment for work found
   by the State to be unsatisfactory or performed in violation of federal, state, or local law.

6. Authorized Representative
   The State's Authorized Representative is John M. Harvanko, Director, Office of Energy Assistance Programs,
   Minnesota Department of Commerce, 85 Seventh Place East, Suite 500, Saint Paul, MN 55101, 651-284-3275 or his
   successor, and has the responsibility to monitor the Grantee’s performance and the authority to accept the services
   provided under this grant contract. If the services are satisfactory, the State's Authorized Representative will certify
   acceptance on each invoice submitted for payment.

    The Grantee’s Authorized Representative is «FIRST_NAME» «2nd_NAME», «TITLE», «AGENCY». If the
    Grantee’s Authorized Representative changes at any time during this grant contract, the Grantee must immediately
    notify the State.


        Commerce/Energy Assistance
        July 2007 (FFY 08)                                «AGENCY»                                                 2
7. Assignment, Amendments, Waiver, and Grant Contract Complete
   7.1 Assignment. The Grantee may neither assign nor transfer any rights or obligations under this grant contract
        without the prior consent of the State and a fully executed Assignment Agreement, executed and approved by the
        same parties who executed and approved this grant contract, or their successors in office.
   7.2 Amendments. Any amendment to this grant contract must be in writing and will not be effective until it has been
        executed and approved by the same parties who executed and approved the original grant contract, or their
        successors in office.
   7.3 Waiver. If the State fails to enforce any provision of this grant contract, that failure does not waive the provision
        or its right to enforce it.
   7.4 Grant Contract Complete. This grant contract contains all negotiations and agreements between the State and
        the Grantee. No other understanding regarding this grant contract, whether written or oral, may be used to bind
        either party.

8. Liability
   The Grantee must indemnify, save, and hold the State, its agents, and employees harmless from any claims or causes
   of action, including attorney’s fees incurred by the State, arising from the performance of this grant contract by the
   Grantee or the Grantee’s agents or employees. This clause will not be construed to bar any legal remedies the Grantee
   may have for the State's failure to fulfill its obligations under this grant contract.

9. Reporting
   The Grantee will provide all reports as may be required by the State from time to time, including but not limited to:
   9.1 A detailed Local Plan
   9.2 Monthly Financial Status Report (FSR), in a form prescribed by the State, as prescribed in the FFY 2008 Energy
       Assistance Manual, Chapter 18, pages 2 and 3;
   9.3 Final Financial Status Report and other closeout documents, in a form prescribed by the State, no later than 30
       days following the expiration of this grant contract, including a listing of unliquidated obligations of grant funds,
       if any.
   9.4 Leveraging Report specified in the FFY 2008 Energy Assistance Manual Chapter 18.
   9.5 A copy of the Service Provider’s fiscal audit.
   9.6 Incident reports.
   9.7 Requested responses to monitoring findings.

10. Monitoring and Corrective Action
    10.1 Monitoring. The Grantee will allow the State access to its business site(s) and will secure written permission
         from its subgrantees to allow the State access to subgrantees’ sites and records for the purpose of monitoring
         Grantee performance, compliance with contract requirements. The Grantee will cooperate with the State in the
         performance of such monitoring activities.
    10.2 Corrective Action. If the State finds that the Grantee’s performance is deficient or has not complied with
         contract requirements, the Grantee will implement any corrective action determined by the State. Failure to
         implement corrective action may void this contract.

11. Financial Records
    The Grantee will use such fiscal, audit and accounting procedures as may be necessary to assure and promote sound
    financial management, including effective internal controls, and will maintain business records in conformance with
    generally accepted accounting and auditing principles, to fully evidence its costs and expenses.

12. Audits
    12.1 State Audits. Under Minn. Stat. § 16C.05, subd. 5, the Grantee’s books, records, documents, and accounting
         procedures and practices relevant to this grant contract are subject to examination by the State and/or the State
         Auditor or Legislative Auditor, as appropriate, for a minimum of three years from the end of this grant contract.
    12.2 Federal Audits. The Grantee’s books, financial records, programmatic records, documents, and accounting
         procedures and practices relevant to this grant contract are subject to examination by the USDHHS and the
         Comptroller General of the United States, or their designated representatives, for the greater of a period three


        Commerce/Energy Assistance
        July 2007 (FFY 08)                                «AGENCY»                                                 3
         years after the expiration date of this contract or on completion of a federal audit if one is commenced within
         three years after the expiration date.
    12.3 Single Audit. The Grantee must comply with the financial and compliance audits requirements of the Single
         Audit Act Amendments of 1996 and OMB circular No. A-133, “Audit of States, Local Governments and Non-
         Profit Organizations.”
    12.4 Program Specific Audit. In addition to Clause 12.3, the Grantee must, upon request from the State, conduct a
         program specific audit of the Grantee’s Low-Income Home Energy Assistance Program using the guidelines set
         forth in CFDA 93.568 and OMB Circular A-133 Compliance Supplement, “Audit of States, Local Governments
         and Non-Profit Organizations.”

13. Government Data Practices and Intellectual Property
    13.1.1. Minnesota Government Data Practices Act. The Grantee and State must comply with the Minnesota
            Government Data Practices Act (“MGDPA”), Minn. Stat. Ch. 13, as it applies to all data provided by the
            State under this grant contract, and as it applies to all data created, collected, received, stored, used,
            maintained, or disseminated by the Grantee under this grant contract. The civil remedies of Minn. Stat.
            §13.08 apply to the release of the data referred to in this clause by either the Grantee or the State. The
            Grantee shall notify its program applicants and subgrantees that it will provide applicant and subgrantee
            data to the State, and that the State may share applicant and subgrantee data with other agencies for the
            purpose of eligibility and program evaluation.

    13.1.2.    Private Data on Individuals. Under Minn. Stat. §216C.266, data on individuals collected, maintained or
               created because the individual applies for benefits or services provided by the energy assistance or
               weatherization programs is private data on individuals. In accordance with the MGDPA, the Grantee must
               not disseminate or use private data on individuals for purposes other than those stated to the individual at
               the time of collection unless the individual subject or subjects of the data have given their informed consent.
               This prohibition of dissemination of private data includes but is not limited to the disclosure or use of
               information regarding an applicant’s eligibility for benefits under the energy assistance or weatherization
               programs to identify individuals who may be eligible for other benefits or programs unless the individuals
               are informed of that use at the time the information is collected or unless they subsequently give their
               informed consent.

     13.2.     Intellectual Property Rights
               13.2.1. Intellectual Property Rights. The State owns all rights, title, and interest in all of the intellectual
                        property rights, including copyrights, patents, trade secrets, trademarks, and service marks in the
                        Works and Documents created and paid for under this contract. Works means all inventions,
                        improvements, discoveries (whether or not patentable), databases, computer programs, reports,
                        notes, studies, photographs, negatives, designs, drawings, specifications, materials, tapes, and disks
                        conceived, reduced to practice, created or originated by the Grantee, its employees, agents, and
                        subgrantees, either individually or jointly with others in the performance of this contract. Works
                        includes “Documents.” Documents are the originals of any databases, computer programs, reports,
                        notes, studies, photographs, negatives, designs, drawings, specifications, materials, tapes, disks, or
                        other materials, whether in tangible or electronic forms, prepared by the Grantee, its employees,
                        agents, or subgrantees, in the performance of this contract. The Documents will be the exclusive
                        property of the State and all such Documents must be immediately returned to the State by the
                        Grantee upon completion or cancellation of this contract. To the extent possible, those Works
                        eligible for copyright protection under the United States Copyright Act will be deemed to be
                        “works made for hire.” The Grantee assigns all right, title, and interest it may have in the Works
                        and the Documents to the State. The Grantee must, at the request of the State, execute all papers
                        and perform all other acts necessary to transfer or record the State’s ownership interest in the
                        Works and Documents.
               13.2.2. Obligations
                        13.2.2.1. Notification. Whenever any invention, improvement, or discovery (whether or not
                                   patentable) is made or conceived for the first time or actually or constructively reduced to
                                   practice by the Grantee, including its employees and subgrantees, in the performance of

        Commerce/Energy Assistance
        July 2007 (FFY 08)                                 «AGENCY»                                                  4
                                  this contract, the Grantee will immediately give the State’s Authorized Representative
                                  written notice thereof, and must promptly furnish the Authorized Representative with
                                  complete information and/or disclosure thereon.
                        13.2.2.2. Representation. The Grantee must perform all acts, and take all steps necessary to ensure
                                  that all intellectual property rights in the Works and Documents are the sole property of
                                  the State, and that neither Grantee nor its employees, agents, or subgrantees retain any
                                  interest in and to the Works and Documents. The Grantee represents and warrants that
                                  the Works and Documents do not and will not infringe upon any intellectual property
                                  rights of other persons or entities. Notwithstanding Clause 8, the Grantee will indemnify;
                                  defend, to the extent permitted by the Attorney General; and hold harmless the State, at
                                  the Grantee’s expense, from any action or claim brought against the State to the extent
                                  that it is based on a claim that all or part of the Works or Documents infringe upon the
                                  intellectual property rights of others. The Grantee will be responsible for payment of any
                                  and all such claims, demands, obligations, liabilities, costs, and damages, including but
                                  not limited to, attorney fees. If such a claim or action arises, or in the Grantee’s or the
                                  State’s opinion is likely to arise, the Grantee must, at the State’s discretion, either procure
                                  for the State the right or license to use the intellectual property rights at issue or replace
                                  or modify the allegedly infringing Works or Documents as necessary and appropriate to
                                  obviate the infringement claim. This remedy of the State will be in addition to and not
                                  exclusive of other remedies provided by law.

14. Personal Property, State Property and Exception
    14.1 Personal Property. Any purchase of non-expendable personal property that has a useful life greater than one
         year and a per unit cost of Five Thousand dollars ($5,000.00) or greater must have prior written approval of the
         State.
    14.2 State Property. Non-expendable personal property that has a useful life greater than one year that is purchased
         with funds provided under this grant contract shall be the property of the State. Such property in the possession
         of the Grantee may be subject to an annual inventory audit. The Grantee will deliver such property to the State
         within thirty days after the expiration or termination of this contract, if requested in writing by the State.

15. Workers’ Compensation
    The Grantee certifies that it is in compliance with Minn. Stat. § 176.181, subd. 2, pertaining to workers’ compensation
    insurance coverage. The Grantee’s employees and agents will not be considered State employees. Any claims that
    may arise under the Minnesota Workers’ Compensation Act on behalf of these employees and any claims made by
    any third party as a consequence of any act or omission on the part of these employees are in no way the State’s
    obligation or responsibility.

16. Affirmative Action
    If applicable, the Grantee certifies that it has received a Certificate of Compliance from the Commissioner of Human
    Rights pursuant to Minn. Stat. § 363.073.

17 Publicity and Endorsement
      17.1 Publicity. Any publicity regarding the subject matter of this grant contract must identify the State and
             United States Department of Energy (“USDOE”) as the sponsoring agencies and must not be released
             without prior written approval from the State’s Authorized Representative. For purposes of this provision,
             publicity includes notices, informational pamphlets, press releases, research, reports, signs, and similar
             public notices prepared by or for the Grantee individually or jointly with others, or any subcontractors, with
             respect to the program, publications, or services provided resulting from this grant contract.
      17.2 Endorsement. The Grantee must not claim that the State or USDOE endorses its products or services.

18. Plain Language - State Statute reference
    To the extent reasonable and consistent with the goals of providing easily understandable and readable materials and
    complying with federal and state laws governing the programs, all written materials relating to services and
    determinations of eligibility for or amounts of benefits that will be given to applicants for or recipients of assistance

        Commerce/Energy Assistance
        July 2007 (FFY 08)                                  «AGENCY»                                                   5
     under a program administered or supervised by the commissioner must be understandable to a person who reads at the
     seventh-grade level, using the Flesch scale analysis readability score as determined under section 72C.09. All written
     materials relating to determinations of eligibility for or amounts of benefits that will be given to applicants for or
     recipients of assistance under programs administered or supervised by the Commissioner of Commerce must be
     developed to satisfy the plain language requirements of the Plain Language Contract Act under sections 325G.29 to
     325G.36.

19. Governing Law, Jurisdiction, and Venue
    Minnesota law, without regard to its choice-of-law provisions, governs this grant contract. Venue for all legal
    proceedings out of this grant contract, or its breach, must be in the appropriate state or federal court with competent
    jurisdiction in Ramsey County, Minnesota.

20. Termination, Repayment, and Cooperation
    20.1 Termination by the State. The State may terminate this grant contract at any time, with or without cause, upon
         written notice to the Grantee. Upon termination, the Grantee will be entitled to payment, determined on a pro
         rata basis, for services satisfactorily performed, except as limited by this clause.
    20.2 Termination for Insufficient Funding. The State may immediately terminate this contract if it does not obtain
         funding from or funding is withdrawn by the Minnesota Legislature or other funding source; or if funding cannot
         be continued at a level sufficient to allow for the payment of the services covered here. Termination must be by
         written or fax notice to the Grantee. The State is not obligated to pay for any services that are provided after
         notice and effective date of termination. However, the Grantee will be entitled to payment, determined on a pro
         rata basis, for services satisfactorily performed to the extent that funds are available. The State will not be
         assessed any penalty if the contract is terminated because of the decision of the Minnesota Legislature or other
         funding source not to appropriate funds. The State must provide the Grantee notice of the lack of funding within
         a reasonable time of the State’s receiving that notice.
    20.3 Termination by the Grantee. The Grantee may terminate this grant contract at any time, with or without cause,
         upon thirty days written notice to the State. Such written notice must include proposed terms for the
         discontinuation of the Grantee’s services and an estimated final invoice for the Grantee’s services performed.
         No later than thirty days after termination, the Grantee must submit a final invoice to the State. The State may
         accept or reject in whole or in part the Grantee’s proposed terms, estimated final invoice or final invoice, and
         shall notify the Grantee of its decision within five business days of its receipt of the Grantee’s termination notice,
         and within fifteen business days of its receipt of the Grantee’s final invoice. Upon termination and submission of
         a final invoice, and upon acceptance of the final invoice by the State, the Grantee will be entitled to payment,
         determined on a pro rata basis, for services satisfactorily performed.
    20.4 Repayment for Ineligible costs. If the State or the Grantee terminates this contract, the State may withhold
         payment for outstanding invoiced costs pending its determination of the eligibility of all costs for which the
         Grantee has been paid by the State. If the State determines that total payments to the Grantee under this contract
         exceed eligible costs actually incurred by the Grantee, the Grantee will repay to the State all funds received in
         excess of eligible costs. This clause shall not be construed to bar any other legal remedies the State may have to
         recover funds expended by the Grantee for ineligible costs.
    20.5 Cooperation. In the event of termination under this clause, the Grantee will fully cooperate with the State in the
         transfer of program information, records and equipment to the State and/or any other entity designated in writing
         by the State to receive such information, records and equipment.

21       Disclosure of Grantee Tax Identification Numbers
         Under Minn. Stat. § 270C.65, and other applicable law, the Grantee consents to disclosure of its social security
         number, federal employer tax identification number, and/or Minnesota tax identification number, already
         provided to the State, to federal and state tax agencies and state personnel involved in the payment of state
         obligations. These identification numbers may be used in the enforcement of federal and state tax laws which
         could result in action requiring the Grantee to file state tax returns and pay delinquent state tax liabilities, if any.

22       Minn. Stat. §181.59
         The vendor will comply with the provisions of Minn. Stat. §181.59 which requires:


         Commerce/Energy Assistance
         July 2007 (FFY 08)                                  «AGENCY»                                                    6
           Every contract for or on behalf of the state of Minnesota, or any county, city, town, township, school, school
           district, or any other district in the state, for materials, supplies, or construction shall contain provisions by which
           the contractor agrees: (1) That, in the hiring of common or skilled labor for the performance of any work under
           any contract, or any subcontract, no contractor, material supplier, or vendor, shall, by reason of race, creed, or
           color, discriminate against the person or persons who are citizens of the United States or resident aliens who are
           qualified and available to perform the work to which the employment relates; (2) That no contractor, material
           supplier, or vendor, shall, in any manner, discriminate against, or intimidate, or prevent the employment of any
           person or persons identified in clause (1) of this section, or on being hired, prevent, or conspire to prevent, the
           person or persons from the performance of work under any contract on account of race, creed, or color; (3) That a
           violation of this section is a misdemeanor; and (4) That this contract may be canceled or terminated by the state,
           county, city, town, school board, or any other person authorized to grant the contracts for employment, and all
           money due, or to become due under the contract, may be forfeited for a second or any subsequent violation of the
           terms or conditions of this contract.

23. Equal Treatment for Faith-Based Organizations
    All agencies must comply with the USDHHS rules regarding nondiscrimination of faith-based organizations as found
    within 45 CFR Parts 74, 87, 92, and 96.



1. STATE ENCUMBRANCE VERIFICATION                                          3.MINNESOTA DEPARTMENT OF
   COMMERCE
      Individual certifies that funds have been encumbered as
      required by Minn. Stat. § 16A.15 and 16C.05.                         By:
                                                                                               (with delegated authority)
Signed:
                                                                           Title:
Date:
                                                                           Date:
CFMS Grant contract No.

2. «AGENCY»
The Grantee certifies that the appropriate person(s)
have executed the grant contract on behalf of the Grantee as
required by applicable articles, bylaws, resolutions, or ordinances.

By:

Title:

Date:




           Commerce/Energy Assistance
           July 2007 (FFY 08)                                   «AGENCY»                                                    7
           CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND OTHER
             RESPONSIBILITY MATTERS; AND DRUG-FREE WORKPLACE REQUIREMENTS

Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants
should also review the instructions for certification included in the regulations before completing this form. Signature of this form
provides for compliance with certification requirements under 34 CFR Part 82, "New Restrictions on Lobbying," and 34 CFR Part
85, "Government-wide Debarment and Suspension (Nonprocurement) and Government-wide Requirements for Drug-Free
Workplace (Grants)." The certifications shall be treated as a material representation of fact upon which reliance will be placed when
the Department of Health and Human Services determines to award the covered transaction, grant, or cooperative agreement.



1. LOBBYING                                                                      making false statements, or receiving stolen property;
                                                                             (c) Are not presently indicted for or otherwise criminally or
The undersigned certifies, to the best of his or her knowledge and               civilly charged by a government entity (Federal, State or
belief, that:                                                                    local) with commission of any of the offenses enumerated
                                                                                 in paragraph (1)(b) of this certification; and
(1) No Federal appropriated funds have been paid or will be paid,
    by or on behalf of the undersigned, to any person for                    (d) Have not within a three-year period preceding this
    influencing or attempting to influence an officer or employee of             application/proposal had one or more public transactions
    any agency, a Member of Congress, an officer or employee of                  (Federal, State or local) terminated for cause or default.
    Congress, or an employee of a Member of Congress in
    connection with the awarding of any Federal contract, the            (2) Where the prospective primary participant is unable to certify to
    making of any Federal grant, the making of any Federal loan,             any of the statements in this certification, such prospective
    the entering into of any cooperative agreement, and the                  participant shall attach an explanation to this proposal.
    extension, continuation, renewal, amendment, or modification
    of any Federal contract, grant, loan, or cooperative agreement.
                                                                         3. DRUG-FREE WORKPLACE
(2) If any funds other than Federal appropriated funds have been
    paid or will be paid to any person for influencing or attempting     This certification is required by the Drug-Free Workplace Act of
    to influence an officer or employee of any agency, a Member of       1988 (Pub. L. 100-690, Title V, Subtitle D) and is implemented
    Congress, an officer or employee of Congress, or an employee         through additions to the Debarment and Suspension regulations,
    of a Member of Congress in connection with this Federal              published in the Federal Register on January 31, 1989, and May 25,
    contract, grant, loan, or cooperative agreement, the undersigned     1990.
    shall complete and submit Standard Form-LLL, "Disclosure
    Form to Report Lobbying," in accordance with its instructions.
                                                                         ALTERNATE I
(3) The undersigned shall require that the language of this              (GRANTEES OTHER THAN INDIVIDUALS)
    certification be included in the award documents for all
    subawards at all tiers (including subcontracts, subgrants, and       (1) The grantee certifies that it will or will continue to provide a
    contracts under grants, loans, and cooperative agreements) and           drug-free workplace by:
    that all subrecipients shall certify and disclose accordingly.
                                                                             (a) Publishing a statement notifying employees that the
This certification is a material representation of fact upon which               unlawful manufacture, distribution, dispensing, possession,
reliance was placed when this transaction was made or entered into.              or use of a controlled substance is prohibited in the grantee's
 Submission of this certification is a prerequisite for making or                workplace and specifying the actions that will be taken
entering into this transaction imposed by section 1352, title 31, U.S.           against employees for violation of such prohibition;
Code. Any person who fails to file the required certification shall
be subject to a civil penalty of not less than $10,000 and not more          (b) Establishing an ongoing drug-free awareness program to
than $100,000 for each such failure.                                             inform employees about:

                                                                                 (1) The dangers of drug abuse in the workplace;
2. DEBARMENT, SUSPENSION,                   AND      OTHER       RE-
   SPONSIBILITY MATTERS                                                          (2) The grantee's policy of maintaining a drug-free
                                                                                     workplace;
(1) The prospective primary participant certifies to the best of its
    knowledge and belief, that it and its principals:                            (3) Any available drug counseling, rehabilitation, and
                                                                                     employee assistance programs; and
    (a) Are not presently debarred, suspended, proposed for
        debarment, declared ineligible, or voluntarily excluded from             (4) The penalties that may be imposed upon employees for
        covered transactions by any Federal department or agency;                    drug abuse violations occurring in the workplace;

    (b) Have not within a three-year period receding this proposal           (c) Making it a requirement that each employee to be engaged
        been convicted of or had a civil judgment rendered against               in the performance of the grant be given a copy of the
        them for commission of fraud or a criminal offense in                    statement required by paragraph (a);
        connection with obtaining, attempting to obtain, or
        performing a public (Federal, State, or local) transaction           (d) Notifying the employee in the statement required by
        under a public transaction; violation of Federal or State                paragraph (a) that, as a condition of employment under the
        antitrust statutes or commission of embezzlement, theft,                 grant, the employee will:
        forgery, bribery, falsification or destruction of records,


                                                                                                                               FA-CERTS (3/97)
        (1) Abide by the terms of the statement; and
        (2) Notify the employer in writing of his or her conviction
            for a violation of a criminal drug statute occurring in the
            work-place not later than five calendar days after such       4. Lobbying      Disclosure     Act    of   1995,    Simpson-Craig
            conviction.                                                   Amendment

    (e) Notifying the agency, in writing, within ten calendar days        Applicant organizations which are described in section 501(c)(4) of
        after receiving notice under subparagraph (d)(2) from an          the Internal Revenue Code of 1986 and engage in lobbying
        employee or otherwise receiving actual notice of such             activities after December 31, 1995, shall not be eligible for the
        conviction. Employers of convicted employees must                 receipt of Federal funds constituting an award, grant, or loan.
        provide notice, including position title, to EAP grant officer    Section 501(c)(4) of the Internal Revenue Code of 1986 covers:
        or other designee on whose grant activity the convicted
        employee was working, unless the Federal agency has                   Civic leagues or organizations not organized for profit but
        designated a central point for the receipt of such notices.           operated exclusively for the promotion of social welfare, or
        Notice shall include the identification number(s) of each             local associations of employees, the membership of which is
        affected grant;                                                       limited to the employees of a designated person or persons in a
                                                                              particular municipality, and the net earnings of which are
    (f) Taking one of the following actions, within 30 calendar               devoted exclusively to charitable, educational, or recreational
        days of receiving notice under subparagraph (d)(2), with              purposes.
        respect to any employee who is so convicted:
                                                                          As set forth in the Lobbying Disclosure Act of 1995 (Public Law
        (1) Taking appropriate personnel action against such an           104-65, December 19, 1995), as amended ["Simpson-Craig
            employee, up to and including termination, consistent         Amendment," see Section 129 of The Balanced Budget
            with the requirements of the Rehabilitation Act of 1973,      Downpayment Act, I (Public Law 104-99, January 26, 1996)],
            as amended; or                                                lobbying activities is defined broadly. (See section 3 of the Act.)

        (2) Requiring such employee to participate satisfactorily in      The undersigned certifies, to the best of his or her knowledge and
            a drug abuse assistance or rehabilitation program             belief, that: it IS NOT an organization described in section
            approved for such purposes by a Federal, State, or local      501(c)(4) of the Internal Revenue Code of 1986; OR that it IS an
            health, law enforcement, or other appropriate agency;         organization described in section 501(c)(4) of the Internal Revenue
                                                                          Code of 1986, which, after December 31, 1995, HAS NOT engaged
    (g) Making a good faith effort to continue to maintain a drug-        in any lobbying activities as defined in the Lobbying Disclosure Act
        free workplace through implementation of paragraphs (a),          of 1995, as amended.
        (b), (c), (d), (e), and (f).
                                                                          ALTERNATE II (GRANTEES WHO ARE INDIVIDUALS)
(2) The grantee may insert in the space provided below the site(s)
    for the performance of work done in connection with the               (1) The grantee certifies that, as a condition of the grant, he or she
    specific grant:                                                           will not engage in the unlawful manufacture, distribution,
                                                                              dispensing, possession, or use of a controlled substances in
Place of Performance:                                                         conducting any activity with the grant.
(Street address, city, county, state, zip code)
                                                                          (2) If convicted of a criminal drug offense resulting from a
                                                                              violation occurring during the conduct of any grant activity, he
                                                                              or she will report the conviction, in writing, within 10 calendar
                                                                              days of the conviction, to every grant officer or other designee,
                                                                              unless the Federal agency designates a central point for the
                                                                              receipt of such notices. When notice is made to such a central
                                                                              point, it shall include the identification number(s) of each
    Check if there are workplaces                                             affected grant.
    on file that are not identified here.




As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications.


 NAME OF APPLICANT                                                 PROJECT AWARD NUMBER AND/OR PROJECT NAME

                                                                 FFY 2008 Low Income Home Energy Assistance Program

 PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE




 SIGNATURE                                                                           DATE
                MINNESOTA DEPARTMENT OF

                Commerce
                Fiscal Management
                     th
                85 7 Place East, Suite 500
                St. Paul, Minnesota 55101-2198




              AUTHORIZED SIGNATURE FORM FOR CASH REQUESTS

 GRANT RECIPIENT NAME AND ADDRESS                 WARRANT MAILING ADDRESS:
                                                  (if different from grant recipient)




 SIGNATURES OF INDIVIDUAL AUTHORIZED TO DRAW CASH:
                         __ Only one signature required.
                         __ Any two signatures required.


 Typed Name: ___________________________          Typed Name: ___________________________


 Signature: _____________________________         Signature: _____________________________


 Typed Name: ___________________________          Typed Name: ___________________________


 Signature: _____________________________         Signature: _____________________________


 I certify that the signatures above are of the
 individuals authorized to draw cash for all      Approved:
 Commerce Energy Program funding or as listed
 in remarks.

 Typed Name: ___________________________


 Title: __________________________________

                                                  ____________________________________
 _______________________________________          Dept. of Commerce Approval
 Signature of Authorizing Official DATE

 REMARKS:




DOC (06/07)                                         Please return with LIHEAP Grant Agreement
                                     AUTHORIZED SIGNATURE FORM

Send the completed original form with your LIHEAP Grant Contract. Please obtain at least two authorized
signatures to facilitate back-up.

Submit new forms when there is a change in personnel authorized to sign requests, or in an address. A
change in the title or position of an authorized person does not require new forms if their authority remains
unchanged. Send new forms to:

                 Minnesota Dept of Commerce
                 Fiscal Management
                 85 7th Place East, Suite 500
                 St. Paul, Minnesota 55101-2198


Grant Recipient Name and Address: Enter the legal name and complete address of the Grant Recipient to
which the warrant will be issued. All warrants must be made payable to the recipient organization.

Warrant Mailing Address: Enter the address where the warrant will be mailed (warrants can be mailed to the
grant recipient, or directly to the grant recipient's bank.)

Typed Name and Signature: Enter the original signature and the typed name(s) of the individual(s)
authorized to request cash. Facsimile signatures are not permitted. If more than four persons are authorized,
use additional forms and annotate: 1 of 2, 2 of 2, etc.

Certification of Authorizing Official: Enter the date, signature, and title of the official authorized to certify
the signatures.

Approved: Leave blank.
          Minnesota Department of Commerce
          Office of Energy Assistance Programs

         EAP LOCAL PLAN
                        FFY 2008

I. SERVICE PROVIDER INFORMATION                                EAP Service Provider Number:
Legal Name:
Agency Common Name:
Address 1:
Address 2:
City:                                                Zip:
Mail Address (if different):
Mail City (if different):                                               Mail Zip:
Agency Phone (include area code and extensions):
Agency Fax:                                          Toll Free Phone:
EAP Phone with area code:                            EAP Toll Free:
EAP Fax with area code:                              EAP Toll Free Fax:
                                                     Congressional
Grantee Web Site URL:
                                                     District(s):
                                                     Legislative
EAP Counties/Area Served:
                                                     District(s):
Federal ID Number:                                   State Tax ID:


Dates of Local Board Meetings Outline the dates of your service providers scheduled Board
Meetings. Note: If meetings are scheduled the 1st Monday of each month – enter 1st Monday of Month.
You do not need to enter 12 monthly dates.
  Scheduled Dates                 Month/Yr               Scheduled Dates               Month/Yr




II. Accessibility
Business Days (example: Monday – Friday):
Time EAP Office Opens:                              Time EAP Office Closes:
If staff is not available during the noon hour to
assist households, explain why.
List All Special Holidays - Dates other than
those observed by the State of Minnesota:
                                  Local Plan FFY 2008
Intake Sites
Enter the service area information for each EAP intake/county site other than the main office.
Service Area
Contact Name

Phone Number with area code

Fax Number with area code

Email Address

Days of the week office is open

Time Office open for business

Time Office closes for business
Indicate the months the intake
site is open, if not full year
Are Apps & Pre-apps
addressed to site?



III. Primary EAP Contacts – (Please include area codes and extensions with Phone numbers.)
Executive Director:
Phone with area code:                                    E-mail:
Board or Tribal Chair:
Phone with area code:                                    E-mail:
Fiscal Director:
Phone with area code:                                    E-mail:
EAP Coordinator:
Phone with area code:                                    E-mail:
MIS/Technology Director:
Phone with area code:                                    E-mail:
ERR Coordinator:
Phone with area code:                                    E-mail:
Weatherization Coordinator:
Wx Coordinator’s Agency (if different from above):
Wx Coordinator’s Phone:                                  E-mail:
Wx Coordinator’s Toll Free:
EAP Security Administrator:
Phone with area code:                                    E-mail:




                                            Page 2                                Rev. 06/25/07
                                     Local Plan FFY 2008
                                       EAP Personnel (Enter number of staff)
                                                               Full-time, all               Part-time and Part-
 Number of Staff paid with EAP:                                year EAP:                    time Seasonal:
 (Include all staff paid with EAP funds)                       Full-time
                                                                                            Other EAP-Paid:
                                                               Seasonal:
 Number of EAP Volunteers: (estimated)                                   Hours Volunteered (estimated):




 IV. Fiscal
 Grantee Fiscal Year Dates:                           to                        Most Recent Year Audited:

 Dates of Last Audit:                                                           Next Audit Date:

 Name of Audit Firm:

 City and State:                                                                    Telephone:
 Findings/Recommendations
 with relevance to EAP:


 V. FFY 2007 Energy Assistance Program Monitoring Report
 List Findings and Recommendations from the FFY 2007 Monitoring Report:



 Describe how your Agency corrected FFY 2007 findings and how the Findings and Recommendations
 are being implemented for FFY 2008.



VI. Program Duties and Functions
 List the position title and backup title for the staff responsible for completing each of the following activities.
 SP must ensure that these activities are assigned to staff positions and are completed for EAP. Indicate the
 number of staff that perform the duty or function, if there is more than one. SP must have back-up staff to
 ensure the continuous administration of EAP at the local level.
  Applications                 Staff Title/Position            # of Staff       Back-up Title/Position        # of Staff
  Date-stamping
  applications
  Logging applications
  Entering application data
  on eHEAT
  Determining household
  income
  Determining eligibility on
  eHEAT
  Employee applications


                                                      Page 3                                       Rev. 06/25/07
                                     Local Plan FFY 2008

Payments/Refunds               Staff Title/Position            # of Staff   Back-up Title/Position    # of Staff
Certifying payments

Processing payments

Approving crisis payments

Processing refunds



Crisis                         Staff Title/Position            # of Staff   Back-up Title/Position    # of Staff
Determine crisis eligibility

Crisis 24/7 response

18/48 hr fuel response
Entering crisis event data
in eHEAT
Obligating funds in
eHEAT



ERR                            Staff Title/Position            # of Staff   Back-up Title/Position    # of Staff
Determine ERR eligibility
Manage the ERR intake
and referral process so
timeframes are met &
complete tracking form

Verify homeownership
Tracking and maintaining
$2,000/$2,500 average
Assuring local and state
procurement procedures
are followed
Entering event data into
eHEAT
Obligating funds in
eHEAT
Making ERR events
“Payable”, Payment in
Progress and “Paid” in
eHEAT
Complete Completion
Certificate and Inspection
Tool
Reconciling ERR eHEAT
and FSR information
ERR bid process and
contracts

ERR 24/7 Response

ERR Inspections



                                                      Page 4                               Rev. 06/25/07
                                 Local Plan FFY 2008

Assurance 16               Staff Title/Position            # of Staff   Back-up Title/Position    # of Staff
Performing Outreach
activities

Crisis negotiation
Refer HHD to crisis for
EB/EBA
Recording Assurance 16
activities on eHEAT
Referring HH’s to
Outreach worker
Setting up Reasonable
Payment Worksheet
Verify HHD reasonable
payments with vendor



Reports/Security           Staff Title/Position            # of Staff   Back-up Title/Position    # of Staff
Submitting FSRs

Submitting Cash Requests

Submitting Closeout
Submitting Local Audit
Report
Submitting Leveraging
Report
Reviewing and responding
to appeals
Investigating possible
fraud
Submitting Incident
Reports
Information security



Service Provider Approach. Explain any unique program approaches utilized by your agency in order to
comply with EAP policies and procedures as stated in the State Plan and EAP Policy Manual. Flexible
approaches may be due to geographic area, eligible population, targeted populations, available community
services and resources, type of service provider and other local conditions.




VII. Performance Measures and Quality Assurance
How does your agency manage the following activities?

Activity                                                           Describe
Monitoring
applications for


                                                  Page 5                               Rev. 06/25/07
                                 Local Plan FFY 2008
timeliness

Check applications
for accuracy
Verify accuracy and
completeness
Coordination for after
hours emergencies
Accurate and timely
reports to the State
What are other
performance
measures do you use?



VIII. Diversity Training. When did energy programs staff, particularly those interacting with the
public in person or by telephone, have training in working with the following populations? (Enter a date)
Population               Date                                    Describe
People with little
or no English

Hearing or
speech impaired
persons
Developmentally
disabled or
mentally ill
persons

Many cultures




IX. Program Access
Application techniques: Which of the following application techniques will be standard practice in your
agency in FY 2008? Be prepared for follow up questions during monitoring.
                                Technique                       Yes/No

                                Mail applications from office
                                Home visits
                                Same day appointments
                                Appointments in advance
                                Scheduled off-site locations




                                                Page 6                           Rev. 06/25/07
                                      Local Plan FFY 2008
How will you assure equal access to EAP information and applications, as well as funds for Primary Heat,
Crisis, ERR, ROFW, voter registration and other collaborative services to the following (be sure your answer
addresses all these services for the two groups listed below):

Activity                                                    Describe
Accessibility for
Disabled

Limited or non-
English speaking



Phone Service: Describe the use of personal contact and automated answering for client phone calls.
Activity                                   Describe how calls are answered and redirected.
                          Business
Calls for information,    hours -
application or referral   Office is
                          closed -
                          Business
People with an ERR        hours -
or no fuel Crisis         Office is
                          closed -
After hour Crisis -       Describe -
Calling Toll Free
                          Business
Speech or hearing         hours -
impairments               Office is
                          closed -
                          Business
Non-English               hours -
speaking                  Office is
                          closed -



X. Outreach, Targeted Populations and Collaboration
Describe outreach activities and partnerships that are successful in reaching targeted populations.




What new outreach activities will you initiate to increase participation by targeted groups in your area?




                                               Page 7                              Rev. 06/25/07
                              Local Plan FFY 2008
Date of most recent agency-wide community assessment:




Briefly describe the agency’s areas of priority to meet the identified needs of the community:




Customer Satisfaction Feedback: Describe mechanisms to solicit and collect feedback from EAP
households, document complaints and their resolution, and analyze results. What patterns or results show
strengths and weaknesses in the delivery of EAP?




Does your agency have collaborative/cooperative relationships with:
                                                                                  SP administers
              Name of Entity/Program                         YES        NO        YES       NO
 Child Care Providers
 Child Care Resource and Referral
 Child Support
 Continuum of Care
 Displaced Homemaker Program
 Early Education Programs (non-Child Care)
 Emergency Food Programs (food shelf, etc.)
 Weatherization
 Faith-Based Organizations
 Family Service Collaboratives
 Head Start
 Housing Redevelopment Authority (HRA)
 Human Service Agencies
 Law Enforcement/Neighborhood Policing
 Migrant Seasonal Farmworker Services
 Surplus Commodity Distribution Programs
 Tax Assistance
 Transitional Housing/Homeless Programs
 Transportation Services
 Vocational Rehabilitation Programs
 WorkForce Centers
 Other ( )
 Other ( )



                                            Page 8                                Rev. 06/25/07
                            Local Plan FFY 2008
XI. ERR
Describe procedures implemented to control ERR costs.



Describe procedures to ensure that the average ERR expenditure per ERR household is not exceeded by the
end of the program year or when your agency’s ERR funds are depleted.



Describe procedures implemented to ensure timely inspections and timely payments to contractors.



Describe procedures for accurate and timely entry into eHEAT.




XII. Weekly Application Certification Targets (WACT)
Does your agency agree to the WACT for your agency from the attached list as a performance measure for
approving applications?     Yes    No
Please refer to the Weekly Application and Certification Targets sheet.
Explain if you do not agree with the WACT and provide an alternative Targets for approval WACT if you
changed your WACT.
                                            DOC                 Service provider
                      Date                  WACT                Proposed WACT
               October 26, 2007
               November 30, 2007
               December 28, 2007
               January 11, 2008


Describe how your agency will ensure meeting the 30-day requirement at the end of the WACT period.




                                          Page 9                               Rev. 06/25/07
                              Local Plan FFY 2008
   XIII. Assurance 16 –
Items below are listed in eHEAT and explained in the EAP Policy Manual, Chapter 4. Please review each
of the items and indicate whether your agency will perform the Assurance 16 activity listed.
                                                                     Perform Activity?
                                  Outreach Log                             Y/N
                 Complete Goals established by the agency
                 Cross training in service providers
                 Cross training outside service providers
                 Make applications available
                 Build vendor relationship
                 Provide ESL Application
                 Cultural Diversity Training
                 Information Brochure
                 Cataloging Case History
                 Customer Service Training
                 Public Official education
                 Other


                                   Referral Log                      Perform Activity?
                                                                           Y/N
                 Interview Client
                 Train staff to elicit client needs
                 Build database of local resources
                 Familiarize staff of local resources
                 Provide client with specific referrals
                 Provide applicants with list of referrals service
                 providers
                 Familiarize Staff with Gov’t Resource database
                 Other


                                                                     Perform Activity?
                                Advocacy Services                          Y/N
                 Resolve energy crisis
                 Access Service
                 Build self sufficiency skills
                 Stabilize Household situation
                 Other



XIV. Disaster Planning
Service Provider Disaster: Describe procedures in place to continue EAP local services in the case of loss
of building facilities and/or equipment due to fire, theft, natural disaster, etc.




                                              Page 10                            Rev. 06/25/07
                              Local Plan FFY 2008
Community Disaster: Does you agency have or have access to a Community Disaster Plan? Is your agency
included in the plan and does the agency participate in the emergency response and services. Please explain:




XV. Attachments to Include With This Plan
Does your agency have the following documents/policies listed below? (If yes, send an electronic
(preferred) or hard copy with your completed Local Plan to eap.mail@state.mn.us.)
                               Documents/policies                     Yes        No
                  Organizational Chart
                  Fraud and Abuse Policy
                  Data Privacy Policy
                  Client Complaints/Appeals Policy
                  Employee Complaint Policy
                  Employee Rights Policy
                  ROFW Plan
                  Weatherization Coordination Plan
                  Agency Disaster Plan (Internal)



XVI. Additional Changes not included above
Please list any other changes to your agency or LIHEAP program that are not included above, which may
affect the program performance or delivery? (Additional staff, additional training, new office processes or
procedures, updated equipment or software, etc.)




Acknowledgement and Certification
 The grantee acknowledges this Local Plan for FFY 2008 of the LIHEAP FFY 2008 Grant Contract and
 certifies that the information provided is accurate to the best of their knowledge.


Signed                                                 DOC Approved by_____________________

Agency Title                                           Title   _______________________________

Date                                                   Date ______________________________



                                             Page 11                              Rev. 06/25/07
                                  Local Plan FFY 2008

                       eHEAT Security Administrator Agreement
                       For Service Provider Administrator

Description: This outlines the expectations and responsibilities of the eHEAT Service Provider Administrator. It also
serves as an agreement to carry out those responsibilities.

The eHEAT system security allows only authorized users to perform the tasks and processes necessary to deliver
Energy and Weatherization Assistance Programs. Administrators authorize users by giving them access to the
necessary system function(s).

Background: The security authorization assigns each user one or more roles that parallel employee functions for
Energy Assistance and Weatherization program delivery.

The eHEAT system has one central State Security Administrator. The State Security Administrator establishes roles for
Department of Commerce users and Service Provider Security Administrators and Energy Vendor Security
Administrators.


Roles and Responsibility: The Service Provider Security Administrator is responsible to manage agency users. The
Service Provider Security Administrator is authorized to perform the following tasks:
            Creating new users
            Editing existing users
            Resetting password for the users
            Disabling existing users
            Enabling already disabled users
            Creating new roles
            Editing existing roles
            Deleting existing roles
            Assign functions to roles

        Terms
           A user is the individual who can log on and view or act on eHEAT data.
           A group is a named collection of eHEAT users. eHEAT has four groups: DOC, DOC Fiscal, Service
           Providers, and Vendors.
           A role is a named collection of functions in the eHEAT System.
           A function is an action or set of actions, such as “View Application” or “Enter Consumption.”

To ensure security the Service Provider Security Administrator agrees to:
    Create users only for individuals authorized to deliver the program. A user is limited to individuals who participate in
    the delivery of the programs.
    Manage Service Provider User Security Agreements and make available to State Staff upon request.
    Follow program data sharing policies and practices so stated:
    Minnesota Statutes §119A.425 provides that data collected maintained, or created because an individual applies for
    energy assistance is private data for the purposes of Minnesota’s Data Practices Act (Minn. Stat. §§13.02 et seq.).
    The collection, storage, use and release of the information shall be limited to that necessary for the administration

                                                 Page 12                                     Rev. 06/25/07
                                         Local Plan FFY 2008
     and management of the program. The information may not be released except as permitted by the State’s Data
     Practice Act.
     Disable users immediately upon termination of role in service delivery.
     Report known or suspected security breeches to State Security Administrator.
     Monitor user roles for appropriate usage.
     Report changes to his or her status to the State Security Administrator.


Service Provider Security Administrator’s Printed Name:

Service Provider Security Administrator’s Agency:

Service Provider Security Administrator’s Phone:

Service Provider Security Administrator’s Email:

Service Provider Security Administrator’s Signature:

Date Signed:

Effective for Federal Fiscal Year 2008

By signing this you agree to abide by the roles of the Service Provider Security Administrator described above, and the following:
This eHEAT system is the property of the Minnesota Department of Commerce (DOC). Access to this service is for authorized personnel only.
Use of this system without authority from DOC, or in excess of authority, may result in disciplinary action, civil and criminal sanctions and other
appropriate action. Any activity on this system may be monitored or accessed by DOC or other authorized officials at any time. This includes any
data created or stored using this system. All such data is subject to the Minnesota Government Data Practices Act. If you do not have the
expressed authorization of the administrator, you may face the consequences of violating Chapter 13 of the Minnesota Statutes and other laws.
Further, the State of Minnesota prohibits unauthorized access, disclosure, duplication, modification, diversion, destruction, loss, misuse, or theft
of its information in accordance with the Minnesota Statutes Sections 609.87 - 609.891 and other laws.




                                                           Page 13                                            Rev. 06/25/07
                                                               FFY 2008 Weekly Application Certification Targets
                         6/11/2007
                                                                                             16-      23-       30-               14-      21-      28-
 ID         SP NAME      Approved    5-Oct   12-Oct   19-Oct   26-Oct   2-Nov    9-Nov      Nov      Nov       Nov    7-Dec      Dec      Dec      Dec     4-Jan   11-Jan
1     NORTHWEST             1,346       67      135      202      269      337      404      471      511       579      646      713      713      781      848      915   68.0%
2     TRI-VALLEY            1,770       89      177      266      354      443      531      620      673       761      850      938      938    1,027    1,115    1,204   68.0%
3     INTER-COUNTY          1,467       73      147      220      293      367      440      513      557       631      704      778      778      851      924      998   68.0%
4     BI-CAP                3,244      162      324      487      649      811      973    1,135    1,233     1,395    1,557    1,719    1,719    1,882    2,044    2,206   68.0%
5     KOOTASCA              2,967      148      297      445      593      742      890    1,038    1,127     1,276    1,424    1,573    1,573    1,721    1,869    2,018   68.0%
6     ARROWHEAD             8,464      423      846    1,270    1,693    2,116    2,539    2,962    3,216     3,640    4,063    4,486    4,486    4,909    5,332    5,756   68.0%
7     LAKES & PINES         5,666      283      567      850    1,133    1,417    1,700    1,983    2,153     2,436    2,720    3,003    3,003    3,286    3,570    3,853   68.0%
9     OTTERTAIL-WADENA      1,019       51      102      153      204      255      306      357      387       438      489      540      540      591      642      693   68.0%
10    MAHUBE                3,069      153      307      460      614      767      921    1,074    1,166     1,320    1,473    1,627    1,627    1,780    1,933    2,087   68.0%
12    WEST CENTRAL          4,996      250      500      749      999    1,249    1,499    1,749    1,898     2,148    2,398    2,648    2,648    2,898    3,147    3,397   68.0%
13    TRI-CAP               6,043      302      604      906    1,209    1,511    1,813    2,115    2,296     2,598    2,901    3,203    3,203    3,505    3,807    4,109   68.0%
15    ANOKA                 3,814      191      381      572      763      954    1,144    1,335    1,449     1,640    1,831    2,021    2,021    2,212    2,403    2,594   68.0%
16    CAPRWC               14,271      714    1,427    2,141    2,854    3,568    4,281    4,995    5,423     6,137    6,850    7,564    7,564    8,277    8,991    9,704   68.0%
17    CA OF MPLS           10,559      528    1,056    1,584    2,112    2,640    3,168    3,696    4,012     4,540    5,068    5,596    5,596    6,124    6,652    7,180   68.0%
18    S-C-D                 4,959      248      496      744      992    1,240    1,488    1,736    1,884     2,132    2,380    2,628    2,628    2,876    3,124    3,372   68.0%
19    HEARTLAND             2,439      122      244      366      488      610      732      854      927     1,049    1,171    1,293    1,293    1,415    1,537    1,659   68.0%
20    PRAIRIE 5             2,151      108      215      323      430      538      645      753      817       925    1,032    1,140    1,140    1,248    1,355    1,463   68.0%
21    WESTERN               2,266      113      227      340      453      567      680      793      861       974    1,088    1,201    1,201    1,314    1,428    1,541   68.0%
22    SMOC                  1,928       96      193      289      386      482      578      675      733       829      925    1,022    1,022    1,118    1,215    1,311   68.0%
24    MVAC                  5,641      282      564      846    1,128    1,410    1,692    1,974    2,144     2,426    2,708    2,990    2,990    3,272    3,554    3,836   68.0%
25    THREE RIVERS          1,887       94      189      283      377      472      566      660      717       811      906    1,000    1,000    1,094    1,189    1,283   68.0%
26    SEMCAC                5,693      285      569      854    1,139    1,423    1,708    1,993    2,163     2,448    2,733    3,017    3,017    3,302    3,587    3,871   68.0%
30    BOIS FORTE              122        6       12       18       24       31       37       43       46        52       59       65       65       71       77       83   68.0%
31    FOND DU LAC             407       20       41       61       81      102      122      142      155       175      195      216      216      236      256      277   68.0%
33    LEECH LAKE              998       50      100      150      200      250      299      349      379       429      479      529      529      579      629      679   68.0%
36    MILLE LACS              222       11       22       33       44       56       67       78       84        95      107      118      118      129      140      151   68.0%
37    GRAND PORTAGE            56        3        6        8       11       14       17       20       21        24       27       30       30       32       35       38   68.0%
39    RED LAKE              1,158       58      116      174      232      290      347      405      440       498      556      614      614      672      730      787   68.0%
41    WHITE EARTH             806       40       81      121      161      202      242      282      306       347      387      427      427      467      508      548   68.0%
44    WRIGHT CO CAP         1,558       78      156      234      312      390      467      545      592       670      748      826      826      904      982    1,059   68.0%
52    CLEARWATER              562       28       56       84      112      141      169      197      214       242      270      298      298      326      354      382   68.0%
53    LSS                   2,717      136      272      408      543      679      815      951    1,032     1,168    1,304    1,440    1,440    1,576    1,712    1,848   68.0%
58    OLMSTED               2,368      118      237      355      474      592      710      829      900     1,018    1,137    1,255    1,255    1,373    1,492    1,610   68.0%
59    OTTERTAIL             2,391      120      239      359      478      598      717      837      909     1,028    1,148    1,267    1,267    1,387    1,506    1,626   68.0%
61    RENVILLE                661       33       66       99      132      165      198      231      251       284      317      350      350      383      416      449   68.0%
64    TODD                  1,413       71      141      212      283      353      424      495      537       608      678      749      749      820      890      961   68.0%
65    CASH                  8,683      434      868    1,302    1,737    2,171    2,605    3,039    3,300     3,734    4,168    4,602    4,602    5,036    5,470    5,904   68.0%
69    BROWN                   901      45        90      135      180      225      270      315      342      387       432      478      478      523      568      613   68.0%
      TOTAL               120,682    6,034   12,068   18,102   24,136   30,171   36,205   42,239   45,859   51,893    57,927   63,961   63,961   69,996   76,030   82,064   68.0%
                                     5.0%    10.0%    15.0%    20.0%    25.0%    30.0%    35.0%    38.0%    43.0%     48.0%    53.0%    53.0%    58.0%    63.0%    68.0%
                                  DEPARTMENT OF COMMERCE
                       STATE ENERGY OFFICE/ENERGY ASSISTANCE PROGRAM
                        SERVICE PROVIDER PURCHASE/DISPOSITION REQUEST
                                                    (Instructions on Reverse)


PART 1: PURCHASE APPROVAL
SERVICE PROVIDER ___________________________________________                        PLANNED ACQUISITION

ADDRESS ____________________________________________________                        COST ___________________

            ____________________________________________________                    TYPE OF PURCHASE ( ) EDP
                                                                                                     ( ) NON-EDP
                                                                                                     ( ) VEHICLE
PHONE ______________________ CONTACT ______________________

FUNDING SOURCE(S) ___________________________________ GRANT NUMBER(S) _____________________

AMOUNT TO BE CHARGED TO EACH SOURCE _____________________________________________________


DESCRIPTION OF PROPERTY:




EXPLAIN WHY PROPERTY IS NEEDED AND HOW IT WILL BE USED:




METHOD OF PROCUREMENT:          ( ) Competitive Proposal (attach copies of bids)   ( ) Non-Competitive Proposal (sole source)


________________________________________________________           SUBMIT TO:       Department of Commerce
SERVICE PROVIDER AUTHORIZED SIGNATURE              DATE                             Energy Division/Energy Assistance Program
                                                                                         th
                                                                                    85 7 Place East, Suite 500
                                                                                    St. Paul, MN 55101-2198
________________________________________________________
TYPED SERVICE PROVIDER AUTHORIZED SIGNATURE


APPROVED: DEPARTMENT OF COMMERCE
BY: ________________________ DATE: _____________ BY: ________________________ DATE: _____________



PART 2: COMPLETE THIS SECTION AFTER                                   PART 3: DISPOSITION/TRANSFER APPROVAL
EQUIPMENT IS RECEIVED.
ALL PROPERTY RECORDS MUST BE RETAINED
DESCRIPTION OF PROPERTY & FUNDING SOURCE                                       REQUEST FOR DISPOSITION/TRANSFER APPROVAL
(If different from above)

                                                                      PROPERTY TRANSFER (Receiving Entity and Address)




MANUFACTURER’S SERIAL NUMBER                                          DATE                                  CURRENT FAIR MARKET VALUE


MODEL NUMBER                    STOCK OR IDENTIFICATION               CONDITION                             ESTIMATED REMAINING
                                NUMBER                                                                      USEFUL LIFE


USE                             CONDITION (if used equipment)         REASON FOR REQUESTING DESPOSITION/TRANSFER



UNIT COST                       % OF FEDERAL/STATE FUNDING            APPROVAL
This form is the mechanism to obtain DOC approval for purchase or disposition of non-expendable
personal property. Service Provider (SP) must follow the standards found in OMB Circulars A-110
Attachment N. Property Management Standards and Attachment O. Procurement Standards; A-102
Common Rule Section .31 Real Property, .32 Equipment and .36 Procurement as applicable.
Further, specific programs such as DOE Weatherization have restrictions found in 10 CFR 440.18
and 10 CFR Part 600.

NON-EXPENDABLE PERSONAL PROPERTY PROCUREMENT OR DISPOSITION (including
capital leases):

Service Provider must obtain purchase or disposition approval for items having a unit acquisition cost
of $5,000 or more. Service Provider’s using Department of Energy funds must seek approval for all
vehicle purchases.

The sealed bid method is the preferred method for large purchase that total individually or in-the-
aggregate $100,000 for governments and non-profit organizations. In the aggregate means all
procurements from an individual supplier or all procurements of like products or services which occur
during the course of a program year.

A competitive proposal will become a non-competitive proposal (sole source) in any situation where
only one response is received, regardless of whether the original proposal required approval.

INSTRUCTIONS (PARTS 1, 2, AND 3)

PART 1 – REQUEST TO PURCHASE

Fill in local Service Provider’s name, address, phone number, and contact person. Indicate the
proposed unit acquisition price of the property you with to purchase. Indicate by check mark the type
of property you are requesting to purchase. Fill in the block titled “Funding Source” with the name(s)
of the grant(s) to which you intend to charge the purchase. Provide the grant number(s). Complete
the next three blocks of Part 1 as accurately as possible.

PART 2 – PROPERTY PURCHASE RECORD

After receiving approval for the purchase from DOC and after the property has been purchased,
complete Part 2.

PART 3 – DISPOSAL OR TRANSFER

Approval must be obtained for disposal of equipment that has a fair market value in- excess of
$5,000. In Part 1, indicate the unit acquisition price and funding source(s) and grant number(s). If
you wish to transfer the property to another not-for-profit entity, provide that entity’s name and
address in Part 3. If the property is transferred in a trade-in agreement, provide the business name
and address. Complete the remaining blocks in Part 3.

All correspondence or inquires should be directed to:

                        Minnesota Department of Commerce
                        State Energy Office/Energy Assistance Program
                        85 7th Place East
                        Suite 500
                        St. Paul, MN 55101-2198

Revised 08/02/06
                                   CHAPTER 21

                                FUNDING AND CASH
The two steps for funding programs under the EAP contract are granting obligational authority
and paying cash. The Department of Commerce grants obligational authority using the Notice of
Funds Available (NFA). The Department of Finance makes cash payments using a warrant
check or electronic funds transfer. Both processes are highly regulated and require attention to
detail to maintain compliance.

A less formal but still important allocation process uses eHEAT. Each Service Provider’s
allocations for Primary Heat and Crisis are entered into eHEAT. Because payments for Primary
Heat and Crisis are made centrally, Service Providers do not need more formal obligational
authority to expend funds in those two categories

DOC budgets the State’s program funds from the Department of Health and Human Services and
other sources and allocate them to Service Providers using program rules. Service Providers
will:
           Know the amounts of their allocations.
           Request cash, as needed (the three-day-cash-on-hand rule applies).
           Report their expenditures.

The State will reconcile reported expenditures with cash requests.


ALLOCATIONS
The State allocates funds to each Service Provider for primary heat, crisis, administration,
Assurance 16, energy related repairs (ERR) and Reach Out for Warmth (ROFW). All of these
allocations are entered into the agency allocation page on eHEAT (Grant Services > Allocate
Fund). The eHEAT allocation page and the Dashboard tracking of spending contain the amounts
of primary heat and crisis allocations. Allocation amount for the other categories—
administration, Assurance 16, energy related repairs and ROFW—are also located on the eHEAT
allocation page, and, in addition, require an NFA.

Allocation amounts for administration, Assurance 16 and ERR are determined by agency
production. Service Providers must request ROFW matches using the Request for Matching
Funds form in 23A Request For Matching Funds Form in Chapter 23. The State proactively
increases allocations for Primary Heat and Crisis. Service Providers have the ability to request
more or less money than the State provides based upon




Chapter 21 – Funding and Cash                                                             Page 141
NOTICE OF FUNDS AVAILABLE (NFA)
The Notice of Funds Available (NFA) is an official part of the EAP Contract (see Chapter 20,
Contracts). It is the only document that designates the contractual obligational authority for
energy assistance programs.

The NFA lists the maximum dollar amounts the grantee may expend for certain types of budget
categories, such as administration, Assurance 16, and energy related repairs. Any changes in
spending authority in these categories must be approved through a newly issued NFA or a
written waiver from the Energy Assistance Program. NFA obligational authority is effective the
day the NFA is signed by the Department of Commerce. The Energy Assistance Program faxes
the NFA with original signature and date to the grantee. The grantee must file it with the EAP
Contract.


OBLIGATIONAL AUTHORITY
Grantees may obligate funds by line item up to the maximum amount allocated on the eHEAT
system for Primary Heat and Crisis and on the NFA for administration, Assurance 16, and
energy related repairs. These obligations must be for services performed and described in State
of Minnesota Grant Contract, Section 2, Grantee’s Duties under Exhibits A and B. The Energy
Assistance Program provides cash to the grantee for obligations up to, but not to exceed, the
amount certified on the NFA. Cash payments will be allowed provided the grantee maintains
and demonstrates the willingness and ability to maintain procedures to minimize the time
elapsing between the receipt of funds and their disbursement.


CONTRACTUAL ALLOCATIONS
The NFA grants contractual authority to obligate funds in three categories for EAP and one
category for ROFW. The EAP categories are administration, Assurance 16, and ERR. The
ROFW category is federal match.

Allocation Determination
Allocations for each funding category are established using a predetermined process.
           Aggregate allocations for administration assign eight percent (8%) of the initial
           federal allocation for local delivery. These allocations are divided proportionally to
           Service Providers based on the number of households provided these services during
           the two previous program years: primary heat, crisis, err, and denied due to over
           income, incomplete applications, or lack of program funds.

            If additional federal money increases Minnesota’s EAP program allocation, local
            administrative allocations may increase proportionate to increased workloads.

            The Energy Assistance Program assigns 5 percent (5%) of the initial federal LIHEAP
            allocation to grantees for Assurance 16 activities. These funds are divided
            proportionately to Service Providers using the same formula as used for
            administration.




Chapter 21 – Funding and Cash                                                             Page 142
            Service Providers receive initial allocations of energy related repair program funds in
            amounts dependent upon federal funding and Service Provider spending history. For
            FFY2007, the formula uses the average expenditure for the last five years, dropping
            the high and low expenditure. .


NFA FORMAT
The NFA includes the following information:
         An NFA number to the right of the document title Notice of Funds Available. NFAs
         are numbered sequentially. NFA# 08-01 is an example of the numbering format. It
         reads, “NFA, fiscal year 2008, first NFA for the year.” NFA# 08-02 is the second
         NFA issued for fiscal year 2008 and so on.
         Grantee and Grantor’s names, Grant Contract name and Grant Agreement Contract
         Number (this is the number of the grant agreement that authorizes the NFA).
         Title: The title of each program is listed in a column down the right under this
         heading.
         Fund ID #: An identification number for use in the Department of Commerce
         accounting system.
         Program Period: Beginning and ending dates of program/grant operation.
         Expenditures for each program are authorized only during the program period.
         Prior Level: The previous NFA funding amount.
         Change: Funding actions occurring with this NFA. The increase or decrease from
         the prior level.
         New Level: The total funding amount now available. This is the sum of the Prior
         Level and Change amounts.
         CFDA #: The number assigned to the program by the Code of Federal Regulations
         (if appropriate).

Funding is listed by budget categories for each program and provides a Total Funding by
Program.


ENERGY ASSISTANCE PROGRAM USE OF THE NFA
The Energy Assistance Program uses the NFA to:
          Provide program funding for line items paid through SP fiscal processes;
          Change program funding for a grantee as a result of a change in statewide funding;
          Change funding due to available funding, local funding issues, changing
          circumstances, the Energy Assistance Program’s spend down determinations; or fund
          specific projects, based on mutual agreement between the Energy Assistance Program
          and the grantee.

If you have questions about your NFA, you may contact Mark Kaszynski




Chapter 21 – Funding and Cash                                                              Page 143
REQUESTING ADDITIONAL EAP FUNDS
Grantees must maintain adequate obligational authority for EAP programs throughout the
program year, as long as the Energy Assistance Program says funds are available. The State
proactively increases allocations for EAP Primary Heat and Crisis, as needed. Generally,
the grantee should request additional energy related repair funding when the "New Level" on the
NFA will not allow the grantee to maintain funding needs through the next two weeks. As
funding becomes scarce, the grantee may be instructed to use a shorter time period for
determining funding needs.

Grantees must use the state form to request additional funding. E-mail the request to
eap.mail@state.mn.us by noon on Wednesday. Emergency requests can be e-mailed or faxed on
any day, but must include “Emergency NFA Request” in the subject.


REQUESTING ADDITIONAL ROFW FUNDING
The NFA process for the Reach Out For Warmth Program (ROFW) allows for funding increases
when the grantee meets match requirements. The grantee may request additional ROFW funds
under the "Federal Match Request" budget category to receive a 2-to-1 match of the privately
donated funds that are used for local ROFW activities and follow the Energy Assistance
Program’s ROFW procedures.

Requests for matching funds will be processed as follows:
          Requests for ROFW matching funds submitted separately must be received by noon
          on the 1st and third Tuesdays of the month for processing.

Use the ROFW Matching Request form to request Reach Out For Warmth federal match (see
Chapter 23, Reach Out For Warmth (ROFW)).


SUBMITTING FUNDING REQUESTS
The ROFW Matching Request forms must be e-mailed to eap.mail@state.mn.us.


CASH MANAGEMENT
The Department of Commerce, under federal regulations, must monitor cash draw downs by
grantees to assure that grantees conform substantially to the same standards of timing and
amount as apply to the department. To comply, the Energy Assistance Program has
implemented policy agreement language and forms for administering, monitoring, and reporting
departmental grantee cash activity. The EAP Contract, Section 4, Consideration, Payment,
Federal Funds, Repayment and Program Income, identifies the federal requirements for use of
funds and cash management. All grantees must follow federal regulations regarding cash
management. These requirements must also be included in any grant agreements between the
grantee and all tiers of subgrantees. Grantee staff involved in financial activity must become
familiar with the procedures and necessary forms.




Chapter 21 – Funding and Cash                                                          Page 144
DEVELOPING CASH MANAGEMENT SYSTEMS
The Energy Assistance Program holds grantees to a three day standard for the time between the
transfer of funds to the grantee and disbursement of those funds by the grantee. This three-day
standard is the average clearance requirement the department is held to under the FFY 2007
Agreement between the State of Minnesota and the (U.S.) Secretary of Treasury. The amount of
money on hand must not exceed the amount needed for 3 days’ business activity.

To implement this policy, a grantee must have a cash management system that ensures the timing
and amount of cash received is as close as is administratively feasible to the actual disbursement
of program costs. The 3 day standard complies with Section 5 of the Cash Management
Improvement Act of 1990, and OMB Common Rule ___. 21 Payment (b) Basic Standard, which
states “methods and procedures for payment shall minimize the time elapsing between the
transfer of funds and disbursements by the grantee or subgrantee in accordance with Treasury
regulations at 31 CFR, Part 205.”


INSTRUCTIONS FOR REQUESTING CASH
A grantee must use the Cash Request Form for the Energy Assistance Program and the
Weatherization Program found in the eHEAT system. The instructions for the completion of the
information needed on the screen are found in the eHEAT Manual under “UC15-Maintain Cash
Request Use Case Specification.”( In eHEAT: Manuals > eHEAT Users Manual > Manage
Grants > Maintain Cash Request )

Cash requests must be submitted electronically through the eHEAT system and must be from a
person authorized to request cash and issued an eHEAT ID. A cash request will be processed
only when there is a current Authorized Signature Form for Cash Request on file. Cash
requests have no specific due dates or times. Requests will be reviewed for reasonableness and
processed on a first-in, first-out basis along with other processing demands on Department fiscal
staff. If the cash request form Reasonableness indicates a “No,” then indicate in the “Service
Providers Note Box” any extraordinary expenditure for this time period. Every effort will be
made to process cash requests on the day they are received. A grantee may submit cash requests
as frequently as necessary to effectively manage cash.

Energy Assistance eHEAT cash requests that include the month of June must end no later than
the last day of June. If the request “From Date” starts in June or prior and includes June, then the
“To Date” must be no later than June 30th. The cash request payments made for the month of
June must be consistent with the state fiscal year which ends June 30th.

The Energy Assistance Program reserves the right to offset overpayments and disallowances by
reducing cash payments on any grant with the grantee.




Chapter 21 – Funding and Cash                                                              Page 145
Grantees may direct questions about cash requests to:

        MN Department of Commerce
        Fiscal Management
        Attn: Shauna Jundt
        85 7th Place East, Suite 500
        St. Paul, MN 55101-2198
        (651) 297-7538
        shauna.jundt@state.mn.us or

        Mark Kaszynski
        (651) 297 –4521
        mark.kaszynski@state.mn.us


AUTHORIZED SIGNATURES FOR CASH REQUESTS
A grantee must complete an Authorized Signature Form for Cash Requests and submit it with
the EAP Contract. The Energy Assistance Program recommends that the grantee provide at least
two authorized signatures for each grant to ensure that the grantee can request cash as needed.
List the limits for each signature authority in the "Remarks" block. The Authorized Signature
Form for Cash Request Form must match the Service Providers access to eHEAT FSR and
Cash Request Forms. Submit new forms when there is a change in personnel authorized to sign
requests or a new address. A change in the title or position of an authorized person does not
require new forms if their authority remains unchanged (see Appendix to Chapter 20, Contracts,
for Authorized Signature Form for Cash Requests and instructions).


STATE OF MINNESOTA ELECTRONIC FUNDS TRANSFER
The State of Minnesota pays grantees by Electronic Funds Transfer (EFT) and warrants (checks).
All EAP grantees must receive their cash automatically through EFT (House File No. 351,
Section 29, Minnesota Statutes 2000, and section 16A.40). EFT takes the State one day to
process. The funds are transferred electronically as soon as the processing is complete. If the
cash request is approved and paid by noon on a Monday, then on Tuesday. the EFT would take
place.


SIGN UP FOR EFT
A grantee may sign up for EFT by getting a copy of the Direct Deposit Authorization Form
from the Department of Finance Home Page at http://www.finance@state.mn.us/.

To do this:
       1.   Click on the Vendor Payment Information, found along the right hand margin under
            State Finance Information.
       2.   Then click on the EFT Information at the bottom of the menu.
       3.   On the MAPS-EFT Information page, click on the Direct Deposit Authorization
            Form. Follow the instructions.



Chapter 21 – Funding and Cash                                                          Page 146
VENDOR PAYMENT INFORMATION
Grantees with a Personal Identification Number (PIN) and a Tax Payer Identification Number
(TIN) can use the Minnesota Department of Finance Vendor Payment Information Web Site at
http://www.financ@state.mn.us/ to review their payments for the last three months. Grantees are
assigned a PIN when enrolling in the EFT system.

To access the vendor information, click on the Vendor Payment Information Site found along the
right hand margin under State Finance Information. Enter your PIN and TIN to access the
payment made to your Service Provider.


APPENDICES
     21A - NOTICE OF FUNDS AVAILABLE FORM
     21B - REQUEST FOR ADDITIONAL ERR FUNDS
     21C - CASH REQUEST SCREEN SHOT




Chapter 21 – Funding and Cash                                                          Page 147
Chapter 21 – Funding and Cash   Page 148
                                       Notice of Funds Available                         NFA # 08 - _ _
                                          Minnesota Department of Commerce
                                          ENERGY ASSISTANCE PROGRAM
                                                   CMS No. Axxxxx                   Vendor No.
GRANTEE: Agency Name                                                  GRANTOR: MN Dept of Commerce
         Address                                                               85 7th Place East, Suite 500
         Address 2                                                             St. Paul, MN 55101-2198
         City, MN, Zip
                                                  FUNDING SUMMARY
                                       Grant /      Program                 Prior                           New
  Title                                 ID #          Period                Level          Change          Level
ENERGY ASSISTANCE PROGRAM               1563     10/1/06 to 9/30/07                               CFDA # 93.568
Primary Heat                                                                        Located in eHEAT
Crisis                                                                              Located in eHEAT
Energy Related Repair                                                         $0                 $0           $0
Assurance 16                                                                  $0                 $0           $0
Administration                                                                $0                 $0           $0
Reach Out For Warmth                                                          $0                 $0           $0

 TOTAL:    EAP                                                                $0                 $0           $0

TOTAL CONTRACT - ALL SOURCES                                                  $0                 $0           $0


APPROVED BY________________________________________________________ DATE_____________________


 If you have any questions concerning this NFA, please contact Mark Kaszynski at 651/297-4521.
EAP Policy Manual FFY2008
Request for Additional Energy Related Repair Funds
Minnesota Energy Assistance Program
FFY2008

Use this form to request additional Energy Related Repair funds. Complete the form using Microsoft
Word. The EAP Coordinator must e-mail it to eap.mail@state.mn.us. Please do not mail or fax.

Allocation of additional funds is dependent upon up-to-date processing of application in eHEAT.

Requests for additional ERR funds must be received by Tuesday noon. They will be acknowledged by including the
proposed allocation increase in the Allocation Worksheet attached to The Energizer e-mail each Tuesday.

Allocations will be entered into eHEAT by Thursday and the funds will be available on Friday. NFAs will be signed by Friday
in most cases.

Agency Name                                                                                       Date


EAP Coordinator                                                                                   Phone




     Current ERR Allocation                              # of Events waiting for obligation
Amount Currently Obligated                               Estimated cost of waiting events
          Average ERR Cost
       If the next month is
                  "normal,"
 how many new events will
              you obligate?                                                  Amount needed                              $0
Estimate next month's cost                       $0
                                                                   Amount of your request*
*Comments (Do not use enter or return). Explain if amount of request is different from amount needed.
EAP Policy Manual FFY2008
Cash Request Screen Shot
This shows the eHEAT screen used for executing cash requests




Chapter 21 – Cash Request Screen Shot                          Appendix 21C
EAP Policy Manual FFY2008
                                  CHAPTER 22

                                        AUDITS
EAP records are subject to regular audits and special examinations. Audits must be conducted or
performed by the Office of the State Auditor or by independent certified public accountants.
Energy Assistance Program staff review audit recommendations and develop corrective action
plans to audit findings (see Single Audit Act Amendments of 1996).

In addition to the regular audit, grantees must maintain books, financial records, programmatic
records, documents and accounting procedures and practices relating to EAP for possible state or
federal special examinations (see Chapter 19, Records, OMB Circular A-133 and Minn. Stat.
§16C.05, subd. 5).


TYPE OF AUDIT REQUIRED
EAP grantees must comply with the Single Audit Act Amendments of 1996 and OMB Circular
A-133, “Audits of States, Local Governments, and Non-Profit Organizations.” These documents
define whether a grantee must be audited, and, if so, what type the audit must be. The type of
audit is dependent upon the total amount of federal money the grantee receives from all sources.
The instructions below are verbatim from OMB Circular A-133:
        (a) Audit required. Non-federal entities that expend $300,000 or more a year in
             Federal awards shall have a single or program-specific audit conducted for that
             year in accordance with the provisions of this part. Guidance on determining
             Federal awards expended is provided in §___.205.
        (b) Single audit. Nonfederal entities that expend $300,000 or more a year in Federal
             awards shall have a single audit conducted in accordance with §___.500 except
             when they elect to have a program-specific audit conducted in accordance with
             paragraph (c) of this section.
        (c) Exemption when Federal awards expended is less than $300,000. Nonfederal
             entities that expend less than $300,000 a year in Federal awards are exempt from
             Federal audit requirements for that year, except as noted in §___.215(a).

The Department of Commerce requires that federally funded performance-based contracts are
included in the definition of federal assistance.


MINNESOTA AUDIT REQUIREMENTS
Grantees who expend $100,000 or more in state funds are required to have an annual financial
statement audit per generally accepted auditing standards.




Chapter 22 – Audits                                                                     Page 149
Energy Assistance Program grantees and all tiers of subgrantees must use the federal OMB
Circulars A21, A87, A110, A122, Common Rule and others as applicable (including
modifications) in the administration of EAP grants. General modifications in the circulars:
            The State of Minnesota stands in the place of the federal agency in the language of
            the circulars.
            Grantees may use their own rules and procedures if they meet the above standards
            or are more restrictive.
            Where choices are available, the grant agreement must clearly indicate the required
            choice (i.e., program income treatment).
            Grantees' ethics codes must include real, apparent, or potential conflicts of interest
            regarding procurement.
            Grantees must have a written cost allocation plan that clearly explains how joint
            costs are to be charged to each program that the organization operates, or a federally
            approved indirect cost rate.


MINNESOTA ENERGY ASSISTANCE PROGRAM SPECIFIC AUDIT REQUIREMENTS
The Low Income Home Energy Assistance Program Contract under the audit section requires
service providers to conduct a program specific audit upon request from the DOC. Some SPs,
based on the amount of the federal grants they receive, must conduct a program specific audit
annually. To comply with this contract section, the Service Provider’s auditors should follow the
Department of Health and Human Services Low-Income Home Energy Assistance, CFDA
93.568, A-133 Compliance Supplement.


General Audit Compliance Requirement and Suggested Audit Procedures–
      A. Types of Services Allowed and Un-allowed
               The program requirements are set forth in the MN Energy Assistance Program
               Policy Manual FFY08 (EAP Manual).
               The contracts and manuals should be reviewed prior to beginning the audit.
      B. Eligibility
               Determine whether eligibility requirements set forth in the EAP manual is being
               followed.
               Test the supporting documentation and certifications that are used to support
               eligibility.
               Review a sample of client appeals and complaints.
               Review procedures for application processing, i.e. prioritizing applications,
               entering applications, processing applications and handling special requests
               such as expedited services and no heat emergencies.
      C. Reporting Requirements
               Test whether reports to the MN Department of Commerce are accurate.
      D. Special Tests and Provisions
               Determine whether expenditures are properly classified in accordance with the
               final budget shown in the contact and with allowable costs as set forth in the
               EAP Manual.



Chapter 22 – Audits                                                                       Page 150
                      Review Service Provider procedures for monitoring vendor activities.
                      Review eHEAT software security risks.
                      Review Service Provider procedures for recovering incorrect payments and
                      potential payments to ineligible households


ACCESS TO RECORDS
The Department of Commerce and the Comptroller General of the United States, or any of their
authorized representatives, shall have the right to access any pertinent books, documents, papers,
or other program records of the grantee or its subgrantees which are pertinent to the grant, in
order to make audits, examinations, excerpts, and transcriptions. Unless otherwise noted,
program records must be retained for three years and starts on the day the final program and
expenditure reports are due or when the grantee submits its final program and expenditure
reports, which ever is later. If any litigation, claim, negotiation, audit or other action involving
the records has been started before the expiration of the three year period, the records must be
retained until completion of the action and the resolution of all issues which arise from it, or until
the end of the regular 3 year period, which ever is later.

The following groups or their designated representatives must have access:
          the U.S. Department of Health and Human Services
          the U.S. Department of Energy
          the Comptroller General of the United States
          the Minnesota Department of Commerce
          the legislative auditor
          the state auditor


REQUIRED AUDIT CONTENTS
The Department of Commerce requires that the audit report contain, in the notes to the financial
statements:
       1.   A brief summary of the methods used to allocate joint costs or a statement that the
            agency has a federally approved indirect cost rate.
       2.   A list of all organizations to which the grantee subgranted $25,000 or more in EAP
            state or federal funds or a note that no EAP funds are subgranted.
       3.   Cash management reviews for both state and federal EAP grants. Federal cash
            management guidelines also apply to state funds. Violations must be disclosed in
            the audit report.
       4.   Disclosure of all material related party transactions. This includes separate
            corporations if they have been set up by a staff or board member of the grantee, if a
            staff or board member of the grantee is on the board of the corporation, or if a staff or
            board member of the grantee is actively involved in the day to day operations of the
            corporation. Example: related party ownership of buildings, equipment, services, etc.
       5. Review of subgrantee audit reports.




Chapter 22 – Audits                                                                          Page 151
SUBMITTING AUDITS
Auditors are required to immediately report allegations of fraud and abuse, and investigations
initiated and completed by the grantee and its subgrantees, and send a written report to the
Director of State Office of Energy Assistance.

The Energy Assistance Program requires a copy of the audit be submitted by the auditor and or
grantee submitted within nine (9) months after the end of the audit period. In addition, when
requested by the Energy Assistance Program, grantees must provide copies of all audits
conducted even though the audits were not required. Send audits to:

        Minnesota Department of Commerce
        Office of Energy Assistance
        Attn: EAP Audits
        85 7th Place East, Suite 500
        St. Paul, MN 55101-2198

A county government, in lieu of submitting an audit, may send a notice to the department stating
that their completed audit can be located on their website and provide the website address. A
sample schedule of due dates can be found in the appendix.


FINANCIAL AUDITS
For Financial Statement Audits Only (A-133 audit not required), auditors must send two copies
of the financial statement audits and management letter (with responses).

Grantees must submit with their audit any management letter issued by their CPA firm and a
written response to the items addressed in the letter.


SINGLE AUDITS
For A-133 Audits (including financial statement audits that accompany the A-133 audits),
auditors must send:
           Two copies of the single audit reporting package, as defined in A-133 section 320 (c),
           financial statement audits and management letter (with responses).
           One copy of the reporting package to the Office of the State Auditor Single Audit
           Division, 555 Park Street, St. Paul, Minnesota 55103, within nine (9) months from
           fiscal year end.
           One copy of the reporting package within 30 days after issuance to: Federal Audit
           Clearinghouse, Bureau of the Census, 1201 East 10th Street, Jeffersonville, Indiana
           47132.

Grantees must submit comments on the findings and recommendations in the single audit report
and management letter, including corrective action taken or planned, and comments on the status
of corrective action taken on prior findings.




Chapter 22 – Audits                                                                      Page 152
REPAYMENT OF DISALLOWED COSTS
The Energy Assistance Program will review the audits, management letters and Service Provider
responses. If costs are disallowed, grantees must repay costs disallowed by the Energy
Assistance Program in cash from non-EAP sources (state or federal) or as stated in the grant
agreement.


APPENDICES
     22A - AUDIT REPORT SCHEDULE




Chapter 22 – Audits                                                                  Page 153
Chapter 22 – Audits   Page 154
Audit Report Schedule
                                                         Audited Period         Audit Report
Service Provider Name                                    Ending As Of "..."     Submission
Anoka County Community Action Programs                   December 31        (1) September 30 (2)
Arrowhead Economic Opportunity Agency, Inc.              June 30                March 31
Bi-County Community Action Program, Inc.                 September 30           June 30
Bois Forte Reservation Tribal Council                    September 30           June 30
Brown County Family Services                             December 31            September 30
Clearwater County Department of Human Service            December 31            September 30
Community Action Partnership for Suburban Hennepin, Inc. December 31            September 30
Community Action of Minneapolis                          June 30                March 31
Community Action Partnership of Ramsey and Washington CouSeptember 30           June 30
Fond du Lac Reservation                                  September 30           June 30
Grand Portage Reservation Tribal Council                 September 30           June 30
Heartland Community Action Agency, Inc.                  December 31            September 30
Inter-County Community Council, Inc.                     September 30           June 30
KOOTASCA Community Action, Inc.                          March 31               December 31
Lakes and Pines Community Action Council, Inc.           September 30           June 30
Leech Lake Reservation Tribal Council                    June 30                March 31
Lutheran Social Services of Minnesota (Brainerd)         September 30           June 30
Mahube Community Council, Inc.                           September 30           June 30
Mille Lacs Band of Ojibwe Indians                        September 30           June 30
Minnesota Valley Action Council, Inc.                    March 31               December 31
Northwest Community Action, Inc.                         August 31              May 31
Olmsted County Community Services                        December 31            September 30
Otter Tail County Department of Social Services          December 31            September 30
Otter Tail-Wadena Community Action Council, Inc.         September 30           June 30
Prairie Five Community Action Council, Inc.              December 31            September 30
Red Lake Band of Chippewa Indians                        December 31            September 30
Renville County Human Services                           December 31            September 30
Scott-Carver-Dakota CAP Agency, Inc.                     September 30           June 30
SEMCAC                                                   September 30           June 30
Southwestern Minnesota Opportunity Council, Inc.         December 31            September 30
Three Rivers Community Action, Inc.                      September 30           June 30
Todd County Social Services                              December 31            September 30
Tri-County Action Programs, Inc.                         September 30           June 30
Tri-Valley Opportunity Council, Inc.                     December 31            September 30
West Central Minnesota Communities Action, Inc.          September 30           June 30
Western Community Action, Inc.                           December 31            September 30
White Earth Reservation Tribal Council                   September 30           June 30
Wright County Community Action, Inc.                     September 30           June 30


(1) Audit Period Ending "As of … " is based on previous audits submitted
(2) Audit report is to be submitted "within nine months after the end of the audit period."
(2) Example: If the audit period ended "As of December 31,"
i.e. (12/31/2007), the the report is then due
by September 30, 2008.




Chapter 22 - Audit Report Schedule                                                            Appendix 22A
EAP Policy Manual FFY2008
                                    CHAPTER 23

              REACH OUT FOR WARMTH (ROFW)
The Reach Out for Warmth (ROFW) fuel fund was established by Minnesota Statutes §119A.42,
which requires the Commissioner to establish a statewide fuel fund account. The statute also
created the Emergency Energy Assistance Advisory Council, with members appointed by the
Commissioner.

The mission of the Emergency Energy Assistance Advisory Council is to advise the
Commissioner on Reach Out For Warmth Fuel Fund policy and coordination with the Low
Income Energy Assistance Program for the benefit of low-income households.

EAP collaborates with ROFW on many levels. For example, the State EAP office also
administers ROFW at the State level, and local EAP offices administer it locally. Eligibility for
ROFW uses EAP applications and eligibility criteria. Administrative activities for the fuel fund
on both levels are paid by EAP administrative funds. EAP funds allocated to ROFW are used to
provide a match to private funds.


LOCAL ROFW FUEL FUND PROGRAMS
Soliciting funds is a significant activity for a fuel fund, so maximizing public awareness is a
priority. Service Providers accepting donations in the name of ROFW must spend those funds in
accordance with ROFW policy. Service Providers should also refer to this fuel fund as ROFW
or Reach Out for Warmth Fuel Funds.


ELIGIBILITY
To be eligible for ROFW, the household must:
           Have income at or below 60 percent of the State Median Income (SMI) for the past
           three complete months. Determine income using EAP eligibility criteria.
           Be in a crisis situation. They must be disconnected from their heat or electric source,
           have a disconnection notice, or be unable to have fuel delivered; or they must have a
           heating system crisis consistent with the requirements of ERR (see Chapter 13,
           Energy Related Repair Program).
           Have received EAP primary heat if they are eligible and if money remains available.

To receive a benefit using the ROFW federal matching money, households must, in addition to
the above:
           Have received no EAP crisis. If they have received EAP crisis, they are still eligible
           to receive a benefit from local ROFW funds.



Chapter 23 – Reach Out For Warmth (ROFW)                                                  Page 155
To apply for ROFW, households must complete an application for EAP primary heat. The non-
local ROFW program runs from October 1, 2007 through June 30, 2008.

Income Guidelines
The maximum income to be eligible for ROFW is the greater of sixty percent (60%) of the State
Median Income (SMI) or 110% of poverty. Eligibility is based on household income using the
following criteria:

           The past 3 complete months prior to signing the application and/or
           The self-employment worksheet for self-employed household members for the prior
           year.
                          Number in     60% of State Median*
                          Household     Income for 3 Months
                             1                 $ 6,036
                             2                 $ 7,894
                             3                 $ 9,751
                             4                 $ 11,609
                             5                 $ 13,466
                             6                 $ 15,324
                             7                 $ 15,672
                             8                 $ 16,020
                      * 60% of SMI or 110% of poverty, which is greater
                         110% of poverty is greater for households of 14 or more.

BENEFITS
ROFW benefits include crisis payments for the primary fuel or electricity. Benefit amounts
cannot exceed maximums, as follows:

           $350 for households who pay their own heat.
           $150 for households who pay for heat in their rent.
           $100 for subsidized households with heat in rent but who pay for electricity.

In addition, ROFW can repair heating systems that are faulty or not working. The maximum
ROFW ERR benefit is $300. Use ERR guidelines to provide this benefit (see Chapter 13,
Energy Related Repair Program).

Households may receive both ROFW crisis and ROFW ERR. All ROFW payments are made
directly to the vendor.


MATCHING FUNDS
ROFW operates with local, State and federal money. The federal money is from the State’s EAP
allocation, and is only available to agencies that receive State or local ROFW funds. Federal
Match and State funds are distributed by NFA.




Chapter 23 – Reach Out For Warmth (ROFW)                                                   Page 156
Local Funds: These funds are raised locally or donated to your Service Provider’s ROFW
program by anyone except the State. They are eligible for a two-to-one federal match. Do not
send these funds to the State.

Local funds that provide energy related benefits but are not designated ROFW are not eligible
for a federal match. You might be able to report them as leveraged funds. Contact the ROFW
Coordinator for specific leveraging requirements.

Federal Match: The local money that Service Providers raise can be matched two to one using
federal money. For example, if a Service Provider receives $1,000 from a contributor, the federal
match will be $2,000. To receive a federal match, complete the Request for Match form (see
Appendix) and e-mail it to eap.mail@state.mn.us ATTN: ROFW.

Procedures for requesting matching funds for ROFW have been modified. All ROFW funds
raised locally will be matched two to one. Requests for matching funds will be processed as
follows:
           ROFW requests submitted with other requests for program funds will be processed
           weekly on a single NFA.
           Requests for ROFW matching funds submitted separately must be received by noon
           on the 1st Wednesday of the month for processing.
           ROFW requests that exceed $3,000 may be submitted prior to the 1st Wednesday if
           funds are urgently needed.

State Funds: State funds are private money donated at the State level. These funds can
represent customer donations to a vendor, sales or proceeds from other activities. State ROFW
funds are usually distributed to geographical areas specified by the donor, along with federal
matching funds. In that case, allocations are proportional to the number of donor customers in
the service area.

Administrative Funds: There are no separate administrative dollars available for ROFW
activities. The cost of taking the application and making payment may be charged to regular
EAP administration or other appropriate Service Provider funds.

Assurance 16: Use Assurance 16 dollars to negotiate with vendors or to assist the household
with budget management issues.


REPORTING AND ACCOUNTING
Service Providers must establish separate accounts for each of the three types of ROFW funds.
The Request for Federal Match forms will provide a report of the local money raised.

ROFW must be closed out (see Chapter 18, Information and Reporting).


APPENDICES
     23A - REQUEST FOR MATCHING FUNDS FORM



Chapter 23 – Reach Out For Warmth (ROFW)                                                 Page 157
Chapter 23 – Reach Out For Warmth (ROFW)   Page 158
                                               REACH OUT FOR WARMTH



Request for Matching Funds: Please e-mail requests to eap.mail@state.mn.us.
Date                                                             Agency Name


Contact                                                          Telephone



Please list the amount and source of locally raised funds. Include the name and address of the individual or institution
contributing to ROFW at your agency


SOURCE                          ADDRESS                                                           Amount

Example Source                  Address or PO Box
                                City, State, Zip                                                               $example amount




                                Total $ Donated                                                     $                        -


                                Total Amount Requested                                              $                        -
EAP Policy Manual FFY2008
                                  CHAPTER 24

         FEDERAL LEVERAGING INCENTIVE FUND
Since 1991, state grantees of the federal LIHEAP program have had the opportunity to
participate in the Leveraging Incentive Program. States are rewarded with supplemental funds
for acquiring non-federal home energy resources for low-income households. Leveraging
Incentive Funds are awarded to those grantees that use their own or other non-federal resources
to supplement or leverage federal LIHEAP dollars.

Each year, the State of Minnesota submits a report to the Department of Health and Human
Services (HHS) that quantifies the amount of leveraged resources. HHS awards leveraging
incentive funds to states on a formula basis.


DETERMINING LEVERAGED RESOURCES
Each October the state mails a leveraging survey to vendors, EAP Service Providers, and
numerous non-profit, social services and governmental agencies asking for information on
nonfederal funds which assisted LIHEAP eligible households. The leveraging survey asks for
description of the activity, funding used and number of households served (see Appendix 24A
for a sample Leveraging Survey Form). The report covers the previous Federal Fiscal Year. (See
Chapter 18, Information and Reporting). The leveraging survey must be returned to DOC by
November 1.

Three categories of resources and benefits can count as leveraged funds:
           Cash.
           The value of home energy discounts and waivers, and
           The value of third party in-kind contributions.

These resources must result in measurable home energy benefits to federally eligible
households. Federally eligible households need not be EAP recipients. Leveraged resources
must be coordinated and integrated with LIHEAP.


SERVICE PROVIDER RESPONSIBILITIES
EAP Service Providers must submit a leveraging report to the state. If the Service Provider had
no leveraging activity during the program year, they must report zero activity.

Service Providers must coordinate with their vendors to insure that leveraging activities are
reported by only one entity. For example, if a Service Provider contracts with a vendor for CIP
activities, determine whether the vendor or the Service Provider will be reporting the amount.




Chapter 24 – State Leveraging                                                            Page 159
To maximize the leveraged resources in Minnesota, local EAP delivery Service Providers should
identify programs within their communities that may be related to LIHEAP. For example:
            Coordination with a homeless prevention program, a rental assistance program or a
            foreclosure prevention program may count as leveraging, if the eviction or
            foreclosure was caused by unaffordable energy bills and the household received
            heating assistance as part of an overall assistance package.
            Programs within your communities may provide energy assistance, such as the Urban
            League, community churches, local service clubs, and non-profit organizations.
            State or local housing rehab programs which may include weatherization or
            conservation improvements.

Information on these organizations must be sent to the state so they can be counted on the
leveraging reporting forms.


EXAMPLES OF LEVERAGED RESOURCES
The majority of resources leveraged by state grantees come from state or local government funds
and energy vendor low income financial assistance and weatherization programs. Other
resources include landlords, weatherization suppliers, churches, charities and community groups,
including fuel funds. Examples of funds eligible for leveraging include, but are not limited to:
           In-kind contributions of energy related materials, fans, blankets, etc.
           Local non-profit assistance, through churches, small community groups.
           Vendor discounts on heating fuels.
           Vendor discounts on weatherization materials.
           In-kind services, such as furnace clean and tunes.
           Cash contributions to Reach Out for Warmth and Service Provider fuel funds.
           Non-cash contributions such as goods and prizes for raffles, printing fundraising
           materials, labor.
           Contractor discount or rebate on furnace installations if given to LIHEAP eligible
           households only.
           State Supplements to LIHEAP.
           Fuel Funds.
           Emergency assistance and vendor payments made by the Minnesota Department of
           Human Services.
           Salvation Army Heat Share utility payments.
           Conservation Improvement Program (CIP) activities.


APPENDICES
     24A - LEVERAGING SURVEY FORM




Chapter 24 – State Leveraging                                                            Page 160
Insert   Leveraging Survey Form here
EAP Policy Manual FFY2008
                                       CHAPTER 25

      MONITORING AND TECHNICAL ASSISTANCE
Compliance with the EAP contract, the Minnesota State Energy Assistance Plan and the EAP
Policy and Procedures Manual is required. The efficient operation of the program depends on
adherence to these requirements. Compliance monitoring activities provide a crucial link
between the State and the grantee. Information gathered through these activities assures the
regulations are being complied with uniformly and helps the State focus technical assistance on
those grantees that need the most attention. In addition, aggregate information can be used to
make program improvements.

There are several categories of compliance monitoring activities, including on site inspections,
record reviews and targeted information gathering.


FIELD REPRESENTATIVES
Field representatives are designated state staff assigned to provide monitoring and technical
assistance to Service Providers. Field representatives serve as the chief liaison between Service
Providers and the State. Specific individuals are assigned to each Service Provider, but any field
representative can provide information or technical assistance to any Service Provider.

The designated Field Representative is the primary contact for the Service Provider with the
State. Service Providers are expected to direct any and all questions about program policies and
procedures to their designated field representative.

Note: Send reports and official requests, such as for NFA changes or cash, as described
elsewhere in this manual.


COMPLIANCE MONITORING
The State is required by OMB Common Rule, subp.(c) 40 to monitor the grants it administers.
By signing the EAP contract, the grantee agrees to allow certain federal and state agencies or
their designees access to its business site and all program records (see Appendix to Chapter 20,
Contracts, for State of Minnesota Low Income Home Energy Assistance Program FFY05 Grant
Contract, §10).

Desk Reviews and Targeted Information Gathering
The State has authority to request any information regarding the operation of the program. In
addition, the State regularly analyzes –eHEAT and other data for patterns and information. This
information may lead to questions about an Service Provider’s program delivery. When




Chapter 25 – Monitoring and Technical Assistance                                          Page 161
questions arise, the designated Field Representative or other designated staff may contact the
Service Provider to follow up.

On Site Monitoring
The State will perform routine, on site compliance monitoring at each EAP Service Provider’s
business location twice a year. Field Representatives will schedule visits from one to two
months in advance. The Field Representative will make every effort to accommodate the
Service Providers’ schedules. Service Providers must make the compliance visit a scheduling
priority.

Initial Visit
General procedures: On site compliance monitoring will be a program review using the EAP
Monitoring Tool, with follow up questions appropriate to the local situation. Field
Representatives may request that the EAP Coordinator complete and submit the monitoring tool
prior to the compliance visit. In order to complete the compliance monitoring, the Field
Representative will need and has authority to interview: the EAP Coordinator, the fiscal director,
and any other staff whose work is integral to the program.

Full Visit
On site compliance monitoring will include these activities:
           Entrance interview: This interview must include the Field Representative and the
           Service Provider EAP Coordinator. It may include other staff upon request of the
           Field Representative or at the discretion of the Service Provider. The entrance
           interview will describe the monitoring activities that will take place, review the
           monitoring tool and schedule interviews with other Service Provider staff, as
           requested by the Field Representative.

            General procedures: On site compliance monitoring will be a program review using
            the EAP Monitoring Tool, with follow up questions appropriate to the local situation.
            Field Representatives may request that the EAP Coordinator complete and submit the
            monitoring tool prior to the compliance visit. In order to complete the compliance
            monitoring, the Field Representative will need and has authority to interview: the
            EAP Coordinator, the fiscal director, the processing coordinator, the outreach
            coordinator, and any other staff whose work is integral to the program, as well as
            applicants.

            Exit interview: This interview will include the Field Representative and the EAP
            Coordinator. Other staff may be included at the request of the Field Representative or
            at the discretion of the Service Provider. In the event of compliance issues, the Field
            Representative will request that the Executive Director attend. The agenda of the exit
            interview is to review positive and questioned findings, resolve misunderstandings,
            and agree to a timeline for corrective action.




Chapter 25 – Monitoring and Technical Assistance                                          Page 162
Compliance Visit
The third late or incorrect report will result in a notice to the Service Provider’s Governing Board
and a visit from the monitor to meet with the Executive Director and Coordinator to assist in a
corrective action plan.

Field Representatives may do additional on site compliance monitoring when the routine
monitoring or other compliance activities, e.g., record review, identify findings that require
attention.

Record Reviews and Targeted Information Gathering
The State has authority to request any information regarding the operation of the program. In
addition, the State continually analyzes – e-HEAT and other data for patterns and information.
This information may lead to questions about a Service Provider’s program delivery. When
questions arise, the designated Field Representative or other designated staff may contact the
Service Provider to follow up.

Reports
The Executive Directors of EAP Service Providers will receive reports of routine and special
compliance monitoring within 45 calendar days of the visit or other contact. Compliance reports
are a letter summarizing program operation, compliance findings and instruction and timelines
for corrective action. A copy of the completed monitoring tool is available on request.

Corrective Action
Monitoring reports may require the Service Provider to send a report of the status of corrective
actions by a specific date. This report is required and must be submitted by the due date. Failure
to meet any due date will count as one late report (see Appendix to Chapter 18, Information and
Reporting).


TECHNICAL ASSISTANCE
While the grantee is ultimately responsible for complying with EAP policies and procedures, the
State provides many opportunities for technical assistance, from general meetings to individual
training. The State needs assessment process for this technical assistance includes analyzing
monitoring findings, Service Provider questions and program shortcomings.

Minnesota Community Action Association (MCAA) And Energy Assistance Coordinator’s
Association (EACA)
The State attends and presents program information at MCAA and EACA meetings when the
meetings are called by the association. The State is also available for questions at both meetings.

State Initiated Meetings
The State may initiate program policy and procedure meetings, as needed. Attendance may be
required or optional, as the situation warrants.




Chapter 25 – Monitoring and Technical Assistance                                            Page 163
The State will sponsor a mid summer meeting to discuss changes in the EAP Policies and
Procedures Manual. This meeting will give EAP Coordinators the opportunity to comment or
make suggestions about the manual content or language.

EAP Updates
The State issues a newsletter called The Energizer. The Energizer is published and distributed to
EAP Coordinators. Additionally, the State may offer EAP information needing immediate
attention through Sparks as necessary. These communication devices may clarify information,
provide new information, or include reminders about program procedures. They are e-mailed to
EAP Coordinators. Policy updates contained in The Energizer and Spark are considered policy
from the time of publication. For this reason, EAP Coordinators are required to know the content
and distribute it to other stakeholders. All communications for the current program year will be
available on the EAP Web site.

Web Page
The EAP Web page contains all basic EAP documents, including state plans, the manual,
application forms, Service Provider referrals and links, and eligibility information. e-HEAT data
reports will be posted weekly. EAP Updates will be posted as they are released.

Questions
Questions about policies and procedures must come from EAP Coordinator and be directed to
the Field Representative.

Individual Service Provider Technical Assistance
Field Representatives or other qualified designees may provide training to individual Service
Providers or groups of Service Providers as the need is identified through compliance monitoring
or upon Service Provider request.


APPENDICES
     NONE




Chapter 25 – Monitoring and Technical Assistance                                         Page 164
                                     CHAPTER 26

                CHANGING PROGRAM PROVIDERS
From time to time, program providers become unable or unwilling to deliver the Energy
Assistance Program. The decision to change providers for a service area is a serious one from
program and contract perspectives. The decision itself must be made formally by those
empowered by their Service Provider to make it, usually a Service Provider board of directors.
A decision by the Office of Energy Assistance to withdraw a contract will strictly follow contract
requirements. Whether the program provider’s resignation is voluntary or involuntary, the State
must then select a new provider or providers for the service area being vacated.


RESIGNATION FROM EAP DELIVERY
Resignation from EAP delivery can be a voluntary or involuntary process. The provider may
decide that delivering EAP is no longer in its best interests, a voluntary resignation. An
involuntary resignation happens when the Office of Energy Assistance determines that an
Service Provider can no longer provide the level of service that is necessary and withdraw a
contract. In either situation, the resigning Service Provider must complete all contractual
obligations to complete the resignation.

Voluntary Resignation
To resign from EAP program delivery, grantees must resign by submitting a letter stating the
Service Provider’s intent. This letter must state intent to resign and contain attached
documentation of a formal board resolution, both signed and dated by the chair of the governing
board or the chair’s designee. The letter must indicate whether the resignation will discontinue
program operations while the contract is in effect or declare intent not to renew program
operations for the next program year.

Involuntary Resignation
When the Office of Energy Assistance determines that an Service Provider can no longer provide
EAP delivery as required by the contract, the Service Provider will receive a letter stating the
decision and describing remaining obligations for both parties.


SELECTING SUCCESSOR SERVICE PROVIDERS
Upon learning an existing grantee will resign or has resigned as EAP provider, the Department of
Commerce will, in this order:
       1.   Solicit a letter of intent with attached documentation of a formal board resolution,
            both signed and dated by the chair of the governing board or the chair’s designee,
            from Service Providers in the categories described in 1 and 2 in “Identification of a
            Successor Grantee,” below.



Chapter 26 – Changing Program Providers                                                  Page 165
        2.    Issue a request for proposals to Service Providers in the categories described in
              category 3 in “Identification of a Successor Grantee,” below.
        3.    Issue a general request for proposals.

The successor Service Provider will be the one which most closely matches these criteria:
          Is in the highest priority category as listed in 1 “Identification of a Successor
          Grantee,” below.
          Has demonstrated quality administration of programs, as shown by audits, reports to
          grantor Service Providers, and customer satisfaction.
          Has a strong history of successful program level advocacy.
          Has identified staff capable of operating the program.


IDENTIFICATION OF A SUCCESSOR GRANTEE
The recommendation of the community and the resigning grantee will hold considerable weight
choosing a successor grantee. Current grantees in good standing and other private not-for-profit
organizations will be considered for the position of successor Service Provider. The priority
order for consideration of the successor grantee will be:
        1.   A current grantee serving the same service territory as the resigning grantee.
        2.   A current grantee serving a territory surrounding the resigning grantee’s service
             territory.
        3.   A current grantee serving a territory contiguous to the resigning grantee’s service
             territory.
        4.   A current grantee serving a non-contiguous territory for Energy Assistance, but
             providing Service Provider services in the resigning grantee’s full service territory;
             and a private not-for-profit organization that provides services similar to EAP
             services in the resigning grantee’s full service territory.
        5.   A current grantee serving a non-contiguous territory for Energy Assistance but
             providing Service Provider services in a significant portion of the resigning
             grantee’s service territory; and a private not-for-profit organization that provides
             services similar to EAP services in a significant portion of the resigning grantee’s
             service territory.
        6.   A private not-for-profit organization that provides services similar to EAP
             services that demonstrates ability to provide EAP services in the resigning grantee’s
             service territory.


TRANSFERRING PROGRAM ACTIVITY
Upon identifying the successor grantee, the Office of Energy Assistance will require:
          The resigning Service Provider to provide to both the Office of Energy Assistance
          and the successor grantee a list of supplies, equipment, files, and other items to be
          transferred to the successor grantee. The list must comply with federal OMB
          requirements relating to ownership of property purchased with program money and
          must be sufficient to promote a seamless transition of program services to clients.




Chapter 26 – Changing Program Providers                                                     Page 166
            The successor grantee to negotiate timelines for transfer of property and other items
            to guarantee a seamless transition of program services, and to provide the timeline to
            the Department of Commerce.

            The successor grantee to consult as needed with their assigned DOC field
            representative for information and training as necessary to assure a seamless
            transition of program services.


The Office of Energy Assistance sends a contract for the period beginning on the date of
program acquisition to the end of the program year to the successor Service Provider. No
contract following the transition date will be offered to the resigning grantee.

`
APPENDICES
     NONE




Chapter 26 – Changing Program Providers                                                     Page 167
MINNESOTA
DEPARTMENT OF
COMMERCE




                ENERGY
                 ASSISTANCE
                   Programs

				
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