Policy 1.1.0: Compiling an Applicant File
NOTE: Documentation is required to verify a household's average monthly income, social security number(s), residence, annual heat cost (if available), crisis situation, and OES situations.
Policy 1.1.0 (A): What The Applicant File Must Include
The contractor will develop a file for each household. All client files must be organized in a logical and consistent order, and they must include:
- A Household Information Form
SEE: Policy 3.4.0, Agency Numbers
Policy 3.5.0, County Numbers
Policy 3.6.0, Vendor Numbers
- Income documentation for all household members, from all sources of income, during the time period specified on the application.
Note: Per LIHEAP IM HHS Guidance on the Use of Social Security Numbers (SSNs) and Citizenship Status Verification 12/12/14 “The income of all household members—regardless of eligibility— must be documented, verified, and included in the calculation of the LIHEAP benefit amount. Ineligible household members must be excluded from the total household count when setting the benefit. In doing so, only eligible household members should be included in the total household count. We encourage grantees to provide those households with a mix of eligible and ineligible members with a pro-rated LIHEAP benefit to assist only the eligible household members.”
SEE:
Policy 1.3.1 (A), Income To Be Counted - Exclusions And Deductions Defined
Policy 1.3.0 (A), Income Must Be Reported For All Household Members
3. Citizenship Status Documentation.
Per 62 FR 61344-61416, an eligible household member must be a U.S. citizen or “qualified alien. That statute also provides an exception for nonprofit charitable organizations. These entities are not required to determine, verify, or otherwise require proof of an applicant’s eligibility based on the applicant’s status as a U.S. citizen, U.S. non-citizen national or qualified alien. (62FR 61345 D) According to HHS guidance, if those exempt entities decide not to perform that eligibility determination then the State is responsible to perform it on their behalf. Exempt agencies must opt in or out of determining this eligibility criteria in their annual LIHEAP application.
Note:
· Children under the age of 1 are exempt from qualified alien status verification.
· Households with eligible children and no eligible adult household members are still qualified to apply for LIHEAP.
· Ineligible household members must be excluded from the total household count when setting the benefit
Each household member’s citizenship status must be documented. Documentation may include:
· U.S. Birth Certificate
· A copy of the social security card; or A copy of other documentation or correspondence that shows both the name and social security number; or The contractor can place in the file a signed statement that documentation proving an applicant's social security number was witnessed.
· See list of acceptable documents
Assign a substitute number: when an eligible applicant does not have a social security number assign one as follows:
The first three digits shall be 999.
The next two digits shall be the agency identifying number.
The last four digits become the "unique identifier" of the applicant, where the first applicant without a social security number is assigned "0001," and the second is assigned "0002," and so on.
Agencies will use the substitute number once per individual.
Note:
A Taxpayer Identification Number (TIN) may be used as a unique identifier for household members.
4. Social security number documentation.
When documenting an applicant's social security number, the contractor must:
-
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Residence documentation.
When documenting an applicant's residence, the contractor can accept one of the following documents, if it shows the applicant's name and address:
- Driver's license
- Fuel or other utility bill in the applicant's name
- Rental receipts or statement from landlord
- Lease agreement
- Mortgage payment receipts
- Home repair bills
- Room and board receipts
- Letters addressed to the claimant with canceled postage
- Tax statement
- Bank statement
- When necessary, the contractor can sign and date a statement for the applicant's file that identifies what documentation was seen.
- Statement from landlord if heat is paid for as part of the household's rental payment.
NOTE: A client statement may not be used when documenting the residence of a household. The only exception to this rule is when serving a household that resides in an RV with no physical address. See Policy 2.2.0 (12) for specific guidance.
- Documentation is also required to support both Crisis and OES clients.
SEE: Policy 1.1.0 (D): Crisis Must Be Proved
Policy 1.1.0 (E): OES Documentation Required
NOTE: Clear copies of all documents are required.
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Policy 1.1.0 (B): Applicants Will Be Informed Of Needed Documentation
Contractors will inform interested individuals what documentation is needed for a pending application. The Ten Day Notice Form may be helpful to the applicant to identify needed information.
SEE: Exhibit 1.1.1 (A): Ten-Day Notice Form
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Policy 1.1.0 (C): File Statements Can Be Used In Lieu Of Documentation
- LIHEAP EAP Staff - "I saw Statements"
ONLY Contractors who make home visits, have outreach offices with no copy machines, or have an inoperative copy machine, can place in the applicant's file, signed and dated statements in lieu of document copies when verifying income, social security number, and residence.
- Income Example:
"I saw the gross income for the applicant on wage stubs reflecting all pay received for each week from Bluestone Brick Company for the following months: August, $110; September, $120; and October, $130. Signed, I. M. Smith; November 2, 2006."
- Social Security Example:
"I saw social security cards for Robert Smith (123-45-6789), and Mary Smith (101-11-2131). Signed, I. M. Smith; November 2, 2006."
SEE: Exhibit 1.1.1 (E): Visual Documentation Form
- Applicant Self Declaration
The contractor can accept an applicant's self-declaration for income, household size, and the primary fuel source. When there is doubt as to the accuracy of the applicant's self-declaration, the contractor can request supporting documentation.
When a contractor determines supporting documentation is required:
- For Income, the contractor can:
- Pull a DSHS BVS report
- Request bank statements
- Statement from the Employment Security Department
- For household size, the contractor can request:
- Birth certificates
- School records
- Social security cards
- Immunization records of children
- Medical identification cards
- For fuel source, the contractor can request:
- Utility or fuel source energy bills
- Statements from rental property owner
SEE: Exhibit 1.1.1 (D): Declaration of No-Income Form
Exhibit 1.1.1 (G): Client Self-Dec Income Form
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Policy 1.1.0 (D): Crisis Must Be Documented
Documentation is required to verify that the applicant is experiencing an energy crisis. The contractor will include in the applicant's file, as applicable:
- A copy of the disconnection notice or bill, or a notation of a telephone call to the vendor that verifies the same.
- Documentation stating the applicant is on a budget and/or average payment plan.
- A copy of the notice or bill that indicates that the applicant is in jeopardy of being terminated from a budget and/or average payment plan.
- A letter from the vendor, or a file notation of a phone call with the vendor that verifies when the applicant could be removed from the budget or average payment plan. (For example, a vendor may indicate that the applicant will be terminated from a budget payment plan after non-payment of the second billing for the same period.)
- A signed statement by the applicant that he/she has less than a ten day supply of oil, wood, or propane and insufficient funds to re-order; or if feasible, written verification from a vendor that the applicant has a fuel supply of ten days or less.
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Policy 1.1.0 (E): OES Documentation Required
If an applicant is awarded an OES benefit, then documentation is required to support the OES benefit awarded. The required documentation is dependent on the type of OES service provided to the applicant.
SEE: Policy 1.4.1 (B), #2: OES Heat Systems Plan - Minimum Requirements
Policy 1.4.2: OES - Other Repairs & Services
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