State Grantees Module 1 - Energy Vendors

Attachment 1

Instructions for the LIHEAP Performance Data Form for FY 2020

Introduction

The LIHEAP Performance Data Form (LPDF) is designed for State LIHEAP grantees (the 50 States and the District of Columbia) to complete every federal fiscal year (FY) (October 1 – September 30). The LPDF consists of the following three Modules:

1. LIHEAP Grantee Survey [LPDF Module I]. This Module collects and reports data on sources and uses of LIHEAP funds.

NOTE: This Module is required.

2. LIHEAP Performance Measures [LPDF Module II]. This Module collects and reports data on energy burden targeting, restoration of home energy service, and prevention of loss of home energy service.

NOTE: This Module is required.

3. LIHEAP Performance Measures (Optional Reporting) [LPDF Module III]. This Module collects and reports data from state grantees wishing to report additional data on the more advanced LIHEAP performance measures and indicators.

NOTE: This Module is optional.

The completed LPDF for FY 2020 is to be submitted to the Office of Community Services (OCS) through the Administration for Children and Families’ (ACF’s) Online Data Collection System (OLDC), a component of Grant Solutions, by January 31, 2021. After signing on to OLDC, select the LIHEAP Performance Data Form for FY 2020. When completing the Report in OLDC, changes and updates will only be recorded when “Save” is clicked. Therefore, it is important to regularly click “Save” to retain newly recorded information and prevent the loss of information. The instructions for completing the Report are built into the Report itself through hyperlinks.

The completed LIHEAP Performance Data Form for FY 2020 needs to be submitted to us by January 31, 2021.

OLDC can be accessed on the GrantSolutions website. If you have not yet created an account in OLDC, contact your LIHEAP regional liaison for assistance.

The Paperwork Reduction Act of 1995

This information collection is conducted in accordance with the LIHEAP statute (Title XXVI of P.L. 97-35, as amended). Responses to the first two modules of information collection are mandatory for the States, including the District of Columbia. Information received from this form provides Congress with aggregated and state-specific data on States' financial decision making in administering the LIHEAP program. Information received from this collection is also responsive to Section 2610(b)(2) of the statute, which requires the Secretary to provide for the collection of data on program impact. The burden per State for the Grantee Survey (Module I) is estimated to be 36 hours. Fifty-one (51) State responses at an average of 36 hours per response, results in a total burden of 1,836 hours for all States. The burden per State for Module II (LIHEAP Performance Measures) is estimated to be 150 hours. Fifty-one (51) State responses at an average of 150 hours per response, results in a total burden of 7,650 hours for all States. These estimates of burden hours for Module I and Module II include time for reviewing instructions, gathering data, and completing and submitting the data. The Performance Data Form is conducted once every fiscal year (FY). The information is not considered confidential; therefore, no additional safeguards are considered necessary beyond that customarily applied to routine government information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information that does not display a current and valid OMB control number. (The OMB control number for this information collection is (0970-0449) and the Expiration Date is 3/31/2021.)

Module-by- Module Instructions

LIHEAP Grantee Survey [LPDF Module I]

The LIHEAP Grantee Survey Module of the LPDF (LIHEAP Grantee Survey) is designed to obtain fiscal data from the 50 states and the District of Columbia on the sources and uses of LIHEAP funds, average household benefits, and maximum income cutoffs for a four-person household. It is broken up into the following four sections:

• Section I – Grantee Information,

• Section II – Reporting Requirements,

• Section III – Sources of Funds, and

• Section IV – Uses of Funds. (The State’s obligation of funds, not expenditure of funds. The term "obligation" is as each state defines it).

New Form Changes for FY 2020 Reporting

On March 27, 2020, the President signed into law the Coronavirus Aid, Relief, and Economic Security (CARES) Act (Public Law 116-136). As part of the CARES Act, Congress appropriated supplemental funds for LIHEAP.

On May 8th, HHS awarded the supplemental CARES Act funds to grantees and published a Dear Colleague Letter (DCL) announcing the release of these funds. The DCL notified grantees that “LIHEAP grantees must track, account for, and report on, the LIHEAP CARES Act supplemental funding separate from the rest of their FY 2020 funding. There will be additional reporting requirements specific to this supplemental funding.”

To separately identify the impact of supplemental federal LIHEAP funding, HHS expanded the LIHEAP Grantee Survey for FY 2020 and FY 2021. These changes require grantees to report separately on the sources and uses LIHEAP funding and benefits provided by the following:

1. LIHEAP’s regular FY 2020 appropriations acts, including the Continuing Resolution (i.e., the Continuing Appropriations Act, 2020, and Health Extenders Act of 2019 | P. L. 116-59);

2. LIHEAP’s supplemental appropriations acts from the Coronavirus Aid, Relief, and Economic Security Act (the CARES Act) (P. L. 116-136); and

3. LIHEAP’s supplemental appropriations from any subsequent LIHEAP supplemental appropriation acts (not including CARES Act Funding).

To report this information, grantees will need to identify and separately distinguish each funding source.

During FY 2020, grantees received regular LIHEAP funding and CARES Act supplemental LIHEAP funding, but did not receive other Federal Supplemental LIHEAP funding. Therefore, lines labelled as reserved for other supplemental funding #1 or supplemental funding #2 are not applicable for the FY 2020 Grantee Survey and are locked from editing.

Pre-populated Information

Certain data elements for the Grantee Survey are pre-populated in the On-line Data Collection (OLDC) system. In Section III. Estimated Sources of LIHEAP Funds these consist of the following (each net of set-asides for tribal grantees):

1. Items 1, 11, 12, and 13, which show your state’s current year federal block grant allotments; from ACF’s records; of (1) regular current year LIHEAP appropriations; (2) CARES Act funds; (3) funds from the first of any non-CARES supplemental acts; and (4) funds from the second of any non-CARES supplemental acts;

2. Item Three, which shows ACF’s records of previous-fiscal year block grant funds re-allotted in the current fiscal year;

3. Item Five, which shows your reporting of previous-fiscal year funds that you carried over to the current fiscal year; and

4. Item Six, which shows $0 Petroleum Violation Escrow (Oil Overcharge) Funds because no new inflow of this source became available for the current fiscal year and because no grantee has reported the availability of this source since FY 2012; and

5. Items Two, Four, Seven, Eight, and Nine; which, because of unavailability, show $0 for FY 2020 of (1) current year Emergency Contingency funds; (2) previous-fiscal year Emergency Contingency funds; (3) current year Residential Energy Assistance Challenge (REACH) funds; (4) current year Leveraging Incentive funds; and (5) previous-fiscal year Leveraging Incentive funds.

We set Item 5. All Funds Carried Over From Previous FFY and Item 6. Petroleum Violation Escrow (Oil Overcharge) Funds Obligated in FFY open to editing. We also set Item 10. Sum of Items 1-9 to be an auto-calculated field. However, if you believe that any of Items One through Five, Seven through Nine, or 11 through 13 are incorrect, then please contact your OCS liaison.

Update the following pre-populated data, as necessary, in your State’s LIHEAP Grantee Survey Module:

1. For Item Five: Your state’s carryover of previous-fiscal year LIHEAP funds to the current fiscal year , if any, as reported on your State’s LIHEAP Grantee Survey for the previous fiscal year under “Estimated Uses of Funds” for item B.7; and

2. For Item Six: Any unused Oil Overcharge funds that you obligated for the current fiscal year.

Pointers

Your attention to the pointers below will minimize our need to contact you for clarification of your survey responses, thus expediting the completion of the survey process. This will enhance our timeliness to compile and report the Survey’s results. We request that particular attention be paid to the following pointers:

1. “Uses of Funds” represent a state’s obligation of LIHEAP funds, not expenditure of LIHEAP funds. In some cases, obligated block grant funds are not actually expended until after the end of the Fiscal year.

2. Include funds used to provide “other LIHEAP assistance.” For the most part, this would include LIHEAP funds used to provide “other crisis assistance,” such as furnace or air conditioner repairs or replacements.

3. Report on all funds obligated for “Other permitted uses of LIHEAP funds.” This would include funds used to provide Supplemental Nutrition Assistance Program (SNAP) households with a nominal LIHEAP payment to increase the amount of SNAP benefits that they receive. Typically, such payments are called “heat or eat” and/or “cool or eat.” Report these obligations in Items 6, 20, or 31, or 42—depending on the funds’ source—of Section IV of this module.

4. Exclude Department of Energy weatherization assistance funds in your responses to the LIHEAP weatherization assistance questions Items Four, 18, 29, and 40 of Section IV of this module.

5. Use the annual or annualized maximum income cutoff for a four-person household in effect on the following dates for each type of LIHEAP assistance provided in FY 2020:

   1. For the cutoff applicable to benefits supported by non-CARES Act funds: October 1, 2019;

   2. For the cutoff applicable to benefits supported by CARES Act funds: The date of the first Notice of Award (NOA) that announced your receipt of LIHEAP CARES Act funds (most likely this date was May 8, 2020); and

   3. For the cutoffs applicable to benefits supported by any non-CARES supplemental funds: The date(s) of the first NOAs that announced your receipt of these funds.

6. Except for administrative costs, “funds payable” and “amounts payable” include the State’s net block allotment—including funds from the CARES Act and from other FY 2020 LIHEAP appropriations acts—and realloted funds, and, if any, Petroleum Violation Escrow funds designated for LIHEAP. “Funds payable” for administrative costs consists of those funds and leveraging incentive funds obligated, if any.

7. Unless indicated otherwise, definitions of terms should be those used by the state.

8. Average household benefits should take into account all types of benefits under each type of assistance.

9. The rounding function of OLDC will show whole dollars on this module, even though OLDC allows cents to be entered into the cells. Please type in the rounded whole dollar without cents in such cases. Otherwise, your Survey’s sources and uses of funds may not be equal to each other.

10. Any clarifications of a state’s response should be indicated in the NOTES section of the LPDF along with the Section and Item number that is being noted.

SECTION I: Grantee Information

Enter the full name, telephone number (including area code), and email address of the person who is completing the Survey.

SECTION II: Reporting Requirements

The 50 States and the District of Columbia are required to complete the LIHEAP Grantee Survey for each fiscal year. Grantees are to report obligation, not expenditure, of LIHEAP funds for Federal Fiscal Year (FY) 2020. The data are used in the annual LIHEAP Report to Congress and reporting on program performance to Congress.

SECTION III: Estimated Sources of LIHEAP Funds

The Survey is individualized for your state with pre-populated data. Correct the pre-populated entries for your State’s previous fiscal year carryover or Oil Overcharge funds to the extent necessary. If you believe that any of the pre-populated data for block grant allotment (from regular current year, CARES Act, or any non-CARES supplemental acts), reallotment, Emergency Contingency award, Leveraging Incentive award, or REACH award are incorrect then please contact your OCS liaison.

Items in SECTION III – Estimated Sources of Funds

1. All Funds Except CARES Act and Other Supplemental Funding…

1. FFY LIHEAP Block Grant Allotment (Net of Indian Tribal Set-Asides)--regular funds. This is your state's LIHEAP block grant allotment from regular current year LIHEAP appropriations, including, for FY 2020, those from the Continuing Appropriations Act, 2020, and Health Extenders Act of 2019 (P. L. 116-59) and the Further Consolidated Appropriations Act, 2020 (P. L. 116-94), net of any applicable set-asides to Indian Tribes/Tribal Organizations. (pre-populated and locked)

2. FFY Emergency Contingency Funds (Net of Indian Tribal Set-Asides). This is your state’s current year LIHEAP emergency contingency fund allotment, net of any applicable set-asides to Indian Tribes/Tribal Organizations. (pre-populated and locked)

3. LIHEAP Block Grant Funds from Previous FFY Reallotted to FFY. These are your state’s current year LIHEAP allotment of reallotted previous-fiscal year funds, also net of any applicable set-asides to Indian Tribes/Tribal Organizations. (pre-populated and locked).

4. Previous FFY Unobligated Emergency Contingency Funds, not Subject to 10% Carryover Limit These are your state’s previous-fiscal year Emergency Contingency Funds obligated in the current fiscal year, if any. (pre-populated and locked)

5. All Funds Carried Over from Previous FFY…. These are your state’s previous-fiscal year unobligated block grant funds that were carried over for obligation in the current fiscal year, as reported on your State’s LIHEAP Grantee Survey for the previous fiscal year under “Estimated Uses of Funds” for item B.7. (pre-populated and available for editing).

6. Petroleum Violation Escrow (Oil Overcharge) Funds Obligated in FFY. The Secretary of Energy distributed these funds in the 1980s as "Warner amendment," Exxon, and Stripper Well funds or other oil overcharge distributions such as Diamond Shamrock or AMOCO. Such funds are considered to be federal LIHEAP funds once designated by a state LIHEAP grantee for LIHEAP. (pre-populated and available for editing)

7. FFY Residential Energy Assistance Challenge (REACH) Program. These are your state’s current year Residential Energy Assistance Challenge Program award funds, if any. (pre-populated and locked)

8. FFY Leveraging Incentive Award. These are your state’s current year leveraging incentive award funds (not subject to the 10 percent carryover limit), if any. (pre-populated and locked)

9. Previous FFY Leveraging Incentive Award obligated in FY. These are your state’s unobligated previous-fiscal year leveraging incentive award funds, if any, that were obligated in the current fiscal year. (pre-populated and locked)

2. Estimated Subtotal Sources of Funds--Non-CARES/Supplemental Funding…

10. Once the section is validated, this field sums items 1-9 to indicate the total federal funds available for LIHEAP for the current fiscal year. The total funds available must equal that in the “Total Funds/Awards” column of Item e14. Sum of Items 1-4 and 6-13… of Section IV.

3. All Supplemental Funds…

10. CARES Act Allotment (Net of Indian Tribal Set-Asides)… This is your state's LIHEAP block grant allotment from the Coronavirus Aid, Relief, and Economic Security Act (the CARES Act) (P. L. 116-136), net of any applicable set-asides to Indian Tribes/Tribal Organizations. The amount that appears for this item must equal that in the “Total Funds/Awards” column of Item 25. Sum of Items 15-18 and 20-24… of Section IV.

11. Other Supplemental1 Allotment (Net of Indian Tribal Set-Asides)… This is your state's LIHEAP block grant allotment, if any, from the first non-CARES supplemental act of FY 2020, net of any applicable set-asides to Indian Tribes/Tribal Organizations. The amount that appears for this item must equal that in the “Total Funds/Awards” column of Item 36. Sum of Items 26-29 and 31-35… of Section IV.
    
    HHS will pre-populate this item only if Congress passes a second LIHEAP supplemental, in addition to the CARES Act, for FFY 2020 or FFY 2021.

12. Other Supplemental2 Allotment (Net of Indian Tribal Set-Asides)… This is your state's LIHEAP block grant allotment, if any, from the second non-CARES supplemental act of FY 2020, net of any applicable set-asides to Indian Tribes/Tribal Organizations. The amount that appears for this item must equal that in the “Total Funds/Awards” column of Item 47. Sum of Items 37-40 and 42-46… of Section IV.
    
    HHS will pre-populate this item only if Congress passes a third LIHEAP supplemental, in addition to the CARES Act and Supplemental1, for FFY 2020 or FFY 2021.

4. Estimated Subtotal Sources of Supplemental Funds…

10. Once the section is validated, this field sums items 11-13 to indicate the total federal funds available from LIHEAP supplemental acts for the current fiscal year. The amount that appears for this item will equal that in the “Total Funds/Awards” column of Item 48. Sum of Items 25, 36, and 47… of Section IV.

5. Estimated Total of Sources of All Funds…

10. Once the section is validated, this field sums items 10 and 14 to indicate the total federal funds available from for LIHEAP for the current fiscal year. The amount that appears for this item will equal that in the “Total Funds/Awards” column of Item 49. Sum of Items 14 and 48… of Section IV.

SECTION IV: Estimated Uses of LIHEAP Funds

Except for funds carried over, “Estimated Uses of LIHEAP Funds” represent a state's obligation, not expenditure, of funds. (In some cases, obligated LIHEAP funds are not actually expended until after the end of the fiscal year.) Include information on all funds/awards that were obligated for use in LIHEAP during the current fiscal year, including funds carried over from the previous fiscal year. LIHEAP block grant funds that were not obligated by the end of the current fiscal year are to be reported as funds carried over to the following fiscal year.

The term "obligation" is as each state defines it. The obligation of LIHEAP funds is based on a state’s budgetary planning process, and may change over the fiscal year. Expenditure of funds represents the funds paid out for LIHEAP, and is reconciled when a state closes out its LIHEAP program for each fiscal year in accordance with the Single Audit Act (2 CFR §200.500). Please keep in mind the following points about the use of LIHEAP federal funds when completing SECTION IV:

1. Block grant allotments may only be used for purposes specified in the LIHEAP statute (Low-Income Home Energy Assistance Act, Title XXVI of Public Law 97-35, as amended) and in the HHS block grant regulations (45 CFR 96).

2. States may receive a waiver, if requested, from HHS to use up to 25 percent of the funds for weatherization assistance.

3. This module asks you to separate the reporting of LIHEAP funds and benefits provided by the CARES Act and by any other supplemental appropriations from those provided by the regular current year appropriations acts. Report the funds and benefits from each of these appropriations as follows:

   1. Report funds from all regular current year sources; including any continuing resolution(s), the full-year appropriation, and prior year reallotments; in the appropriate items of subsections A, B, and C;

   2. Report, in Item 5. Average Annual Total LIHEAP Benefit per Household…. of subsection A, average household benefits provided by all regular current year appropriations acts combined;

   3. Report funds from the CARES Act (P. L. 116-136) in the appropriate items of subsections D, E, and F;

   4. Report funds, if any, from the first non-CARES supplemental in the appropriate items of subsections G, H, and I; and

   5. Report funds, if any, from the second non-CARES supplemental in the appropriate items of subsections J, K, and L.

4. A state may have used LIHEAP funds to provide “other LIHEAP assistance” as described in its state's LIHEAP Plan for the current year. For the most part, this would include “other crisis assistance,” such as furnace or air conditioner repairs. Such information would be included in sub-sub-Items d.(1) through d.(3) under Crisis Benefits by Type--… for Items Three, 17, 28, and 39.

5. Other LIHEAP funds may have been used for non-crisis assistance/regular benefits, e.g., SNAP households that were provided a nominal LIHEAP payment to increase the amount of SNAP benefits that they received (commonly referred to as “heat or eat”, or “cool or eat” programs). Report these obligations; from regular current year funds, from the CARES Act, and from any non-CARES Act sources; in Items Six, 20, 31, 42 of this module.

Row Items in SECTION IV – Estimates Uses of Funds

A. Type of LIHEAP Assistance—Non-Supplemental Funds…

1. For Item 1. Heating Assistance Benefits--non-supplemental funds, report the following data about heating assistance that was supported by or applied to regular current year funds:

   1. In the Total Funds/Awards column, the amount of funds from these sources that you obligated for heating assistance benefits. Exclude the cost of administering the heating assistance component; If applicable, include a note that indicates if the benefits include funds for other non-crisis assistance (please describe such assistance).

   2. In the Average Household Benefit column, your average heating assistance benefit from these sources. The average household benefit should take into account all types of benefits under each type of assistance. If the average household benefit includes benefits other than bill payment assistance, please include a description of the benefit types in the Notes section; and

   3. In the Maximum Annual Dollar Income for four-person Household as of the effective date column, your income eligibility cutoff for heating assistance benefits as of the start of the current fiscal year. NOTE: The minimum dollar income cutoff for a four-person household is required by the statute to be at least 110 percent of the HHS Poverty Guidelines (HHSPG) that applied to that year. The maximum dollar income cutoff for a four-person household is required to be no higher than the greater of 150 percent of these guidelines or 60 percent of the same year’s state median income (SMI).

2. For Item 2. Cooling Assistance Benefits--non-supplemental funds, report the following data about cooling assistance that was supported by or applied to regular current year funds:

   1. In the Total Funds/Awards column, the amount of funds from these sources that you obligated for cooling assistance benefits. Exclude the cost of administering the cooling assistance component; If applicable, include a note that indicates if the benefits include funds for other non-crisis assistance (please describe such assistance).

   2. In the Average Household Benefit column, your average cooling assistance benefit from these sources. The average household benefit should take into account all types of benefits under each type of assistance. If the average household benefit includes benefits other than bill payment assistance, please include a description of the benefit types in the Notes section; and

   3. In the Maximum Annual Dollar Income for four-person Household as of the effective date column, your income eligibility cutoff for cooling assistance benefits as of the start of the current fiscal year. NOTE: The minimum dollar income cutoff for a four-person household is required by the statute to be at least 110 percent of the HHS Poverty Guidelines (HHSPG) that applied to that year. The maximum dollar income cutoff for a four-person household is required to be no higher than the greater of 150 percent of these guidelines or 60 percent of the same year’s state median income (SMI).

3. For Item 3. Crisis Assistance Benefits by Type--non-supplemental funds, report, for each applicable type of crisis assistance listed, the following data about crisis assistance that was supported by or applied to regular current year funds:

   1. In the Total Funds/Awards column, the amount of funds from these sources that you obligated for the applicable crisis assistance benefits. Exclude the cost of administering the crisis assistance component; If applicable, include a note that indicates if the benefits include funds for other non-crisis assistance (please describe such assistance).

   2. In the Average Household Benefit column, your average of the applicable crisis assistance benefit from these sources. The average household benefit should take into account all types of benefits under each type of assistance. If the average household benefit includes benefits other than bill payment assistance, please include a description of the benefit types in the Notes section;

   3. In the Maximum Annual Dollar Income for four-person Household as of the effective date column, your income eligibility cutoff for the applicable crisis assistance benefits as of the start of the current fiscal year NOTE: The minimum dollar income cutoff for a four-person household is required by the statute to be at least 110 percent of the HHS Poverty Guidelines (HHSPG) that applied to that year. The maximum dollar income cutoff for a four-person household is required to be no higher than the greater of 150 percent of these guidelines or 60 percent of the same year’s state median income (SMI); and

   4. For sub-items 3.a. through 3.d., additionally report the type of crisis benefit you provided;

The Total Funds/Awards entry for sub-item 3.d. Other Crisis Benefits--non-supplemental funds sums your entries for sub-sub-items 3.d.(1) through 3.d.(3).

Note. The types of crisis assistance listed consist of winter crisis, summer crisis, fiscal year‑round crisis (i.e., crisis programs that operate 10-to-12 months during the fiscal year), and other crisis benefits (such as responses to area‑wide weather and supply-shortage emergencies declared by a public official, an emergency furnace repair/replacement program that is separate from the regular winter crisis assistance program, etc.). If applicable, briefly describe the "other" category, e.g., emergency furnace repairs.

If you don’t provide any funds for crisis fuel assistance, but expedite heating or cooling assistance, indicate such as expedited or fast-track crisis assistance. Also, include a note that indicates, for heating or cooling assistance, the amount of such funds used for expedited or fast-track crisis assistance.

4. For Item 4. Weatherization Assistance Benefits --non-supplemental funds, report the following data about weatherization assistance that was supported by or applied to regular current year funds:

   1. In the Total Funds/Awards column, the amount of funds from these sources that you obligated for weatherization assistance benefits. Exclude the cost of administering the weatherization assistance component; and

   2. In the Maximum Annual Dollar Income for four-person Household as of the effective date column, your income eligibility cutoff for weatherization assistance benefits as of the start of the current fiscal year. NOTE: The minimum dollar income cutoff for a four-person household is required by the statute to be at least 110 percent of the HHS Poverty Guidelines (HHSPG) that applied to that year. The maximum dollar income cutoff for a four-person household is required to be no higher than the greater of 150 percent of these guidelines or 60 percent of the same year’s state median income (SMI).

NOTE: In the past, some grantees have reported LIHEAP and Department of Energy weatherization funds together. Report only on LIHEAP funds. If applicable, include a note that indicates if the benefits include funds for home energy-related home repairs (please describe such assistance).

Section 2605(k) of the LIHEAP statute limits the amount of LIHEAP funds that may be spent on low-cost weatherization or other energy-related home repair to 15 percent of the greater of the funds allotted or the funds available to a state. Under certain conditions, HHS may grant a requested waiver that raises this limit to 25 percent. Please include a note in the “Notes” portion of this module to indicate whether you received such a waiver from HHS for weatherization for the current fiscal year.

The use of leveraging funds for weatherization does not count towards the 15 percent/25 percent limit on the use of LIHEAP funds for weatherization. Please include a note in the “Notes” portion of this module to indicate whether you obligated leveraging incentive funds for weatherization.

5. Item 5. Average Annual Total LIHEAP Benefit per Household (including Heating, Cooling, Crisis, Supplemental Benefits)--non-supplemental funds. This item requires grantees to report the average annual per household LIHEAP Bill Payment Assistance Benefit(s) for those households that received bill payment assistance from regular current year funds and that have 12 consecutive months of both main fuel and electric bill data. The households to be included in calculating these averages constitute all households that received; from regular current year funds; any heating, cooling, crisis, and supplemental assistance that (1) helped pay household energy bills (this includes utility deposits and benefits to assist with secondary fuel payments); and (2) for which the main fuel type is known. Please do not include households that received only (1) non-bill payment assistance; including equipment repair and replacement assistance or weatherization assistance; (2) nominal payments to Supplemental Nutrition Assistance Program (SNAP) households; and (3) assistance solely from supplemental funds.
   
   The average benefits reported should include any bill payment assistance with regular LIHEAP funds, including heating, cooling, crisis, and other assistance benefits used to help pay household energy bills (this includes utility deposits and benefits to assist with secondary fuel payments). In some states, households received multiple bill payment assistance benefits from regular current year funds during the federal fiscal year. For example, a household may have received both a regular heating assistance benefit and a crisis benefit. In these cases, grantees will first need to add together the bill payment assistance benefits each household received, and then calculate the average total LIHEAP benefit per household.
   
   Grantees are asked to report the average bill payment assistance benefit (from regular current year funds) for all households that received bill payment assistance and for which you have complete annual bill data. For the Electricity, Natural Gas, Fuel Oil, Propane, and Other Fuels columns, report the equivalent average benefit for households that use each type of main heating fuel.

B. Other Permitted Uses of LIHEAP Funds--non-supplemental funds…

6. Nominal Payments--non-supplemental funds. Report all regular current year funds obligated for those households that receive a reduced nominal LIHEAP benefit payment that deviates from the state's regular payment matrix because the household is a recipient of the Supplemental Nutrition Assistance Program (SNAP). In other words, only states that have a separate LIHEAP payment amount for SNAP recipient households need to report those households as nominal payment households. Other types of small benefit amounts that are part of the state's payment matrix or targeting other populations should not be included in the nominal payment amount.

7. FFY Unobligated Funds (Excluding Funds in Items 8 & 9) Carried Over to the next FFY--non-supplemental funds. Report regular current year funds that you carried over for obligation in the following fiscal year. This amount should match the amount reported in Section I of your Carryover and Reallotment Report for the current fiscal year.

NOTE: Section 2607(b)(2)(B) of the LIHEAP statute limits to 10 percent the amount of "all funds except leveraging incentive awards" that may be carried over from one fiscal year for obligation in the following fiscal year. The statute requires that 90 percent of that amount must be obligated in the fiscal year for which the funds were awarded and that any excess unobligated funds must be returned to HHS.

8. FFY Allowable Unobligated Emergency Contingency Funds, not Subject to 10% carryover limit, Obligated in next FFY. Report any current year emergency contingency award funds that you plan to obligate in the following year.

9. FFY Leveraging Incentive Award Obligated in the next FFY. Report any current year leveraging incentive award funds that you plan to obligate in the following year.

NOTE: Section 96.87(k) of the HHS block grant regulations provides that leveraging incentive award funds must be obligated in the fiscal year in which they are awarded or in the following fiscal year. These funds are not subject to the 10 percent carryover limit.

10. FFY LIHEAP Block Grant Allotment Used to Identify, Develop, and Demonstrate Leveraging Activities--non-supplemental funds. Report the amount of any regular current year funds that you obligated to identify, develop, and demonstrate leveraging activities.
    
    NOTE: Section 2607A(c)(2) of the LIHEAP statute limits the amount that states may obligate to identify, develop and demonstrate leveraging programs to 0.08 percent of funds payable or $35,000, whichever is greater. Furthermore, this limit applies to the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of regular current year funds for this purpose provided this amount plus the total from all other sources doesn’t exceed the 0.08 percent / $35,000 cap.

11. Assurance 16 Activities--non-supplemental funds. Report the amounts, if any, of regular current year funds that you obligated to carry out "Assurance 16 activities", [i.e., services that encourage and enable households to reduce their home energy needs and thereby the need for energy assistance (including needs assessment, counseling, and assistance with energy vendors)].
    
    NOTE: Section 2605(b)(16) of the LIHEAP statute limits the total amount that you may obligate on these activities to five percent of funds payable. In addition, this limit applies to the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of regular current year funds for this purpose provided this amount plus the total from all other sources doesn’t exceed the five percent cap.

12. FFY Residential Energy Assistance Challenge (REACH) Program Report total REACH funds obligated from regular current year sources, if applicable.

13. Administration/Planning Costs--non-supplemental funds. Report the amounts, if any, of regular current year funds that you obligated for administration and planning costs.
    
    NOTE: These amounts should include, from regular current year funds, (a) all state and local administration and planning costs, and (b) both direct and indirect costs charged as administration and planning costs for the program. Information Technology (IT) expenditures should be included in Administration/Planning costs, even if you define them as program costs. If Administration/Planning costs exceed 10 percent because of this inclusion, it is acceptable for you to include a note in the Notes: section of this module that LIHEAP IM 2000-12, dated 3/15/2000 allows such a scenario.
    
    Section 2605(b)(9) of the LIHEAP statute limits the amount that States obligate in planning and administration to 10 percent of the funds payable to the state. All amounts above 10 percent must come from non-federal funds, except that other federal funds may be used to pay the costs of planning and administering Assurance 16 activities without regard to the 10 percent limit. This cap takes its base from the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of regular current year funds for this purpose provided this amount plus the total from all other allowable sources doesn’t exceed the 10 percent cap.
    
    The cost of administering the state's LIHEAP weatherization assistance is to be included, as well as the cost of administering other LIHEAP activities.
    
    Under the terms of the LIHEAP statute and implementing regulations, leveraging incentive award funds may not be used for administrative and planning costs. However, the amount of the leveraging incentive award may be added to the base with which the maximum amount of administrative and planning costs is calculated.

C. Estimated Total Uses of Funds--non-supplemental funds…

14. Sum of Items 1-4 and 6-13…. Once the form is validated, this field adds the Total Funds/Awards amounts calculated in Items 1 through 4 and 6 through 13 of Section IV of this module. This overall total indicates the estimated total uses of all regular current year federal funds available for LIHEAP. The amount in this item must equal the amount in Item 10. Sum of Items 1-9… of Section III of Module I.

Q1. Select the appropriate answer (‘yes’ or ‘no’) to indicate whether your state obligated regular current year funds for the given type of assistance but will serve households in the following fiscal year. Please include clarifications in the “Notes” section of this module and cross-reference those clarifications with the module’s section and item number that is being noted.

Q2.Select the appropriate answer (‘yes’ or ‘no’) to indicate whether your State’s Average Household Benefit data points are estimated due to unique program operation, rather than directly calculated. Please include clarifications in the “Notes” section of the form and cross-reference those clarifications with the module’s section and item number.

D. Type of LIHEAP Assistance--CARES Act…

15. For Item 15. Heating Assistance Benefits--CARES Act Funds, report, for funds appropriated by the Coronavirus Aid, Relief, and Economic Security Act (the CARES Act) (P. L. 116-136), data equivalent to that which you reported for Item One.

16. For Item 16. Cooling Assistance Benefits--CARES Act Funds, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item Two.

17. For Item 17. Crisis Assistance Benefits by Type--CARES Act Funds, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item Three. Also, enter any of the notes called-for in Item Three that apply to your use of CARES Act funds for crisis assistance.

18. For Item 18. Weatherization Assistance Benefits--CARES Act Funds, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item Four.

19. For Item 19. Average Annual Total LIHEAP Benefit per Household (including Heating, Cooling, Crisis, Supplemental Benefits)-- CARES Act Funds, report, for households that received bill payment assistance from CARES Act funds and that have 12 consecutive months of both main fuel and electric bill data, the average bill payment assistance benefit from CARES Act funds.
    
    Your responses to this item should cover households that received; from CARES Act funds; any heating, cooling, crisis, and supplemental assistance that (1) helped pay household energy bills (this includes utility deposits and benefits to assist with secondary fuel payments); and (2) for which the main fuel type is known. However, your responses shouldn’t cover households that received only (1) non-bill payment assistance; including equipment repair and replacement assistance or weatherization assistance; (2) nominal payments to Supplemental Nutrition Assistance Program (SNAP) households; and (3) assistance solely from non-CARES Act funds.
    
    In the Electricity, Natural Gas, Fuel Oil, Propane, and Other Fuels columns, report the average benefits of the households that use each type of main heating fuel.

E. Other Permitted Uses of LIHEAP Funds--CARES Act Funds…

20. For Item 20. Nominal Payments--CARES Act Funds, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item Six.

21. For Item 21. Unobligated CARES Act Funds Carried Over to next FFY, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item 7. Carryover Funds-non-supplemental funds.
    
    NOTE: The CARES Act allows grantees to obligate any share of LIHEAP CARES Supplemental funds in FY 2020 or FY 2021. Grantees may carry over any amount of CARES funds from FY 2020 to FY 20201.
    This amount should match the amount reported on Line 2.2) Carryover amount - projected unobligated balance (CARES Act funds only) of your Carryover and Reallotment Report for the current fiscal year.

22. For Item 22. FFY LIHEAP Block Grant Allotment Used to Identify, Develop & Demonstrate Leveraging Incentive Activities--CARES Act Funds, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item 10.
    
    NOTE: The 0.08 percent of funds payable to which Section 2607A(c)(2) of the LIHEAP statute limits the amount that states may obligate for this purpose takes its base from the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of CARES Act funds for this purpose provided this amount plus the total from all other allowable sources doesn’t exceed the 0.08 percent / $35,000 cap.

23. For Item 23. Assurance 16 Activities--CARES Act Funds, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item 11.
    
    NOTE: The five percent of funds payable to which Section 2605(b)(16) of the LIHEAP statute limits the amount that states may obligate for this purpose takes its base from the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of CARES Act funds for this purpose provided this amount plus the total from all other allowable sources doesn’t exceed the five percent cap.

24. For Item 24. Administration/Planning Costs--CARES Act Funds, report, for funds appropriated by the CARES Act, data equivalent to that which you reported for Item 13. Also, annotate your report as described in Item 13 to the extent called for by your obligations of CARES Act funds for administration and planning costs.
    
    NOTE: The 10 percent of funds payable to which 2605(b)(9) of the LIHEAP statute limits the amount that states may obligate for this purpose takes its base from the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of CARES Act funds for this purpose provided this amount plus the total from all other allowable sources doesn’t exceed the 10 percent cap.

F. Estimated Total Uses of Funds--CARES Act funds…

25. Sum of Items 15-18 and 20-24… Once the form is validated, this field adds the Total Funds/Awards amounts calculated in Items 15 through 18 and 20 through 24 of Section IV of this module. This overall total indicates the estimated total uses of all CARES Act funds available for LIHEAP. The amount in this item must equal the amount in Item 11. CARES Act Allotment… of Section III of Module I.

Q3. Select the appropriate answer (‘yes’ or ‘no’) to indicate whether your state obligated CARES Act funds for the given type of assistance for the current fiscal year but will serve households in the following fiscal year . Please include clarifications in the “Notes” section of this module and cross-reference those clarifications with the module’s section and item number.

Q4. Select the appropriate answer (‘yes’ or ‘no’) to indicate whether your State’s Average Household Benefit data points for CARES Act funds are estimated due to unique program operation, rather than directly calculated. Please include clarifications in the “Notes” section of the form and cross-reference those clarifications with the module’s section and item number.

G. [RESERVED, if applicable] Other Supplemental Funds1…

HHS will not open this sub-section to grantee entry for FFY 2020 because it is not applicable. For FFY 2021, HHS will open this sub-section to entry only if Congress passes a LIHEAP supplemental for that year.

26. For Item 25. Heating Assistance Benefits--Other Supplemental1, report on funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021. Report data equivalent to that which you reported for Item One.

27. For Item 27. Cooling Assistance Benefits--Other Supplemental1, report on funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021. Report data equivalent to that which you reported for Item Two.

28. For Item 28. Crisis Assistance Benefits by Type--Other Supplemental1, report on funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021. Report data equivalent to that which you reported for Item Three. Also, enter any of the notes called-for in Item Three that apply to your use of these funds for crisis assistance.

29. For Item 18. Weatherization Assistance Benefits--Other Supplemental1, report on funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021. Report data equivalent to that which you reported for Item Four.

30. For Item Average Annual Total LIHEAP Benefit per Household (including Heating, Cooling, Crisis, Supplemental Benefits)--Other Supplemental1 Funds, report on households that (1) received bill payment assistance from the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021; and (2) have 12 consecutive months of both main fuel and electric bill data. Report the extent to which the average benefits issued to those households from these funds differed from average benefits reported in Item Five. For those households, report the average bill payment assistance benefit from the funds appropriated by this act.
    
    Your responses to this item should cover households that received; from these funds; any heating, cooling, crisis, and supplemental assistance that (1) helped pay household energy bills (this includes utility deposits and benefits to assist with secondary fuel payments); and (2) for which the main fuel type is known. However, your responses shouldn’t cover households that received only (1) non-bill payment assistance; including equipment repair and replacement assistance or weatherization assistance; (2) nominal payments to Supplemental Nutrition Assistance Program (SNAP) households; and (3) assistance solely from FFY 2021 funds other than those appropriated by the supplemental(s).
    
    In the Electricity, Natural Gas, Fuel Oil, Propane, and Other Fuels columns, report the average benefits of the households that use each type of main heating fuel.

H. Other Permitted Uses of LIHEAP Funds--Other Supplemental1…

HHS will not open this sub-section to grantee entry for FFY 2020 because it is not applicable. For FFY 2021, HHS will open this sub-section to entry only if Congress passes a LIHEAP supplemental for that year.

31. For Item 31. Nominal Payments--Other Supplemental1, report on funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021. Report data equivalent to that which you reported for Item Six.

32. For Item 32. Unobligated Other Supplemental1 Funds Carried Over to next FFY, report, for funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021, data equivalent to that which you reported for Item 7. FY Funds Carried Over to the next FY--non-supplemental funds.
    
    NOTE: The bills that, if passed, would appropriate additional supplemental LIHEAP funds contain provisions that would override the LIHEAP statute and remove the 10 percent limit on carrying over those funds. If these provisions remain in the final legislation, then grantees would be able to carry over 100 percent of those funds to the following fiscal year.
    
    This amount should match the amount reported on Line 3.2) Carryover amount - projected unobligated balance ([ACT_NAME] funds only) of your Carryover and Reallotment Report for the current fiscal year.

33. For Item 22. FFY LIHEAP Block Grant Allotment Used to Identify, Develop & Demonstrate Leveraging Incentive Activities--Other Supplemental1, report, for funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021, data equivalent to that which you reported for Item 10.
    
    NOTE: The 0.08 percent of funds payable to which Section 2607A(c)(2) of the LIHEAP statute limits the amount that states may obligate for this purpose takes its base from the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of these supplemental funds for this purpose provided this amount plus the total from all other allowable sources doesn’t exceed the 0.08 percent / $35,000 cap.

34. For Item 23. Assurance 16 Activities--Other Supplemental1, report, for funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021, data equivalent to that which you reported for Item 11.
    
    NOTE: The five percent of funds payable to which Section 2605(b)(16) of the LIHEAP statute limits the amount that states may obligate for this purpose takes its base from the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of these supplemental funds for this purpose provided this amount plus the total from all other allowable sources doesn’t exceed the five percent cap.

35. For Item 24. Administration/Planning Costs--Other Supplemental1, report, for funds appropriated by the supplemental appropriations act or, if applicable, the first of the supplemental appropriations acts for FFY 2021, data equivalent to that which you reported for Item 13. Also, annotate your report as described in Item 13 to the extent called for by your obligations of these supplemental funds for administration and planning costs.
    
    NOTE: The 10 percent of funds payable to which 2605(b)(9) of the LIHEAP statute limits the amount that states may obligate for this purpose takes its base from the total of funds payable from allowable sources, not each source individually. Thus, you may obligate any amount of these supplemental funds for this purpose provided this amount plus the total from all other allowable sources doesn’t exceed the 10 percent cap.

I. Estimated Total Uses of Funds--Other Supplemental1…

36. Sum of Items 26-29 and 31-35… Once the form is validated, this field adds the Total Funds/Awards amounts calculated in Items 26 through 29 and 31 through 35 of Section IV of this module. This overall total indicates the estimated total uses of all of the these supplemental funds, if any, available for LIHEAP. The amount in this item must equal the amount in Item 12. [RESERVED, if applicable] Other Supplemental1 Allotment… of Section III of Module I.

Q5. Select the appropriate answer (‘yes’ or ‘no’) to indicate whether your state obligated funds appropriated by the applicable supplemental appropriations act, if any, for the given type of assistance for the current fiscal year but will serve households in the following fiscal year . Please include clarifications in the “Notes” section of this module and cross-reference those clarifications with the module’s section and item number.

Q6.Select the appropriate answer (‘yes’ or ‘no’) to indicate whether your State’s Average Household Benefit data points for funds from the applicable supplemental appropriations act are estimated due to unique program operation, rather than directly calculated. Please include clarifications in the “Notes” section of the form and cross-reference those clarifications with the module’s section and item number.

Sections J-L…

HHS will not open these sub-sections to grantee entry for FFY 2020 because they are not applicable. For FFY 2021, HHS will open this sub-section to entry if needed due to multiple supplemental funding appropriations. The same instructions apply as for Sections G-I.

Survey Edit Checks

OLDC has built-in validations in the LIHEAP Grantee Survey (Module I of the form) to help grantees ensure that data submitted to our office is accurate. Once all data is entered and the Survey is validated in OLDC, state LIHEAP grantees will be notified of validation issues, if any. The OLDC system will not allow grantees to submit their LIHEAP Grantee Survey if it contains certain validation issues. There are two types of issues: A “Warning” and an “Error”.

1. A ‘Warning’ notifies the grantee of a possible inconsistency or mistake in the data. Grantees are encouraged to double check the fields described in the Warning to make sure all information is correct and include a note in the “Notes” section of this module to explain the inconsistency, if necessary. Grantees will be able to Certify and Submit the report without changing any data that led to a Warning.

2. An ‘Error’ notifies the grantee of a mistake that must be corrected prior to the report being submitted to our office. OLDC will not allow a report to be Certified and Submitted until the Error has been addressed.

SAMPLE OF SECTION IV (Estimated USES OF FUNDS) EDIT CHECKS	SURVEY ITEMS/SUB-ITEMS
The maximum annual or annualized household income cutoff for a four-person household must be equal to or greater than 110 percent of the applicable HHS Poverty Guidelines.	Col.III
Weatherization funds may be no greater than 15 percent of funds payable unless you indicate that (1) the amount includes funds designated for Weatherization in the previous year that were carried over to the current year; or (2) you received a waiver that allowed you to obligate up to 25 percent of funds payable.	Items A.4, D.18, G.29, and J.40
Carryover of unobligated non-CARES Act funds is no greater than 10 percent of funds payable.	Items B.7, E.21, H.32, and K.43
Funds payable to identify, develop, and demonstrate leveraging programs are not to exceed 0.08 percent or $35,000, whichever is greater.	Items B.10, E.22, H.33, and K.44
Assurance 16 funds are no greater than five percent of funds payable.	Items B.11, E.23, H.34, and K.45
Administrative/planning cost is no greater than 10 percent of funds payable.	Items B.13, E.24, H.35, and K.46
“Estimated Total Sources of Funds” equals “Estimated Total Uses of Funds.”	Items C.14, F.25, I.36, L.47, M.48, and N.49

LIHEAP Performance Measures [LPDF Module II]

Module II: LIHEAP Performance Measures is required for all state grantees. This section asks state LIHEAP grantees to report on the following LIHEAP outcomes:

• Reduction of Home Energy Burden (Section V)

• Restoration of Home Energy Service (Section VI)

• Prevention of Loss of Home Energy Service (Section VII)

These measures and the reporting form were developed by OCS in collaboration with the LIHEAP Performance Measures Implementation Work Group.

Following the first four sections of the LPDF found in Module I, Module II: LIHEAP Performance Measures includes the following three additional sections:

• SECTION V – Energy Burden Targeting;

• SECTION VI – Restoration of Home Energy Service; and

• SECTION VII – Prevention of Loss of Home Energy Service.

The remainder of this document outlines instructions and data requirements for sections V-VII of the Performance Data Form, addressing LIHEAP Performance Measures. Additional support materials can be found at the LIHEAP Performance Management Website.

There are no changes to Module II for FY 2020 and FY 2021. In this Module II, report the data for all applicable households served regardless of funding source.

SECTION V: Energy Burden Targeting

Energy burden is the percentage of household income spent on home energy costs. For example, high burden households are those that spend more of their income on home energy costs.

The link between energy burden and LIHEAP is important. Section 2605(b)(5) of the Low Income Home Energy Assistance Act of 1981 (42 U.S. C. §8624(b)(5)) requires LIHEAP grantees “to provide, in a timely manner, that the highest level of energy assistance will be furnished to those households that have the lowest incomes and the highest energy costs or needs in relation to income, taking into account family size.” Home energy burden and the presence of a vulnerable household member are the two key priorities Congress intended for the distribution of LIHEAP assistance.

To understand the impacts of LIHEAP on household energy burden, the Performance Measures Report form uses information provided by grantees to evaluate LIHEAP impact on energy burden using the following indicators and measures:

• Change in Energy Burden (Pre-Post LIHEAP) Indicators

• Benefit Targeting Index

• Burden Reduction Targeting Index

The Change in Energy Burden (Indicators) tells us how LIHEAP reduces the percentage of income households spend on their energy bills. We know that low-income households have to make tough choices between paying their energy bills and other essential needs (food, prescriptions). Reducing the amount of income people spend on energy bills decreases the health and safety risks associated with these kinds of decisions.

The Benefit Targeting Index tells us whether high energy burden households receive higher LIHEAP benefits than average households. This is important because the LIHEAP Act requires grantees to provide the highest level of assistance to households with the highest energy burden (highest energy costs in relation to income and family size).

The Burden Reduction Targeting Index tells us whether high energy burden households have a larger share of their energy bill paid with LIHEAP than average households. Once again, the LIHEAP Act requires grantees to target the highest level of assistance to households with the highest energy costs in relation to income. This measure will help grantees identify whether they are effectively using benefits to reduce the percentage of income high burden households pay toward their energy bills.

Which Households should be counted in SECTION V?

SECTION V of Module II counts those households who received LIHEAP bill payment assistance in the current federal fiscal year. “Bill payment assistance” includes any LIHEAP benefits used to pay a share of household energy bills, including utility deposits. This includes heating, cooling, crisis, and supplemental assistance.

Households that should NOT be counted in Section V include:

• Households receiving only LIHEAP weatherization assistance or energy-related home repair (e.g. heating or cooling equipment repair or replacement)

• SNAP households that receive nominal LIHEAP benefits.

What Home Energy Data is needed to complete SECTION V?

Many of the fields in SECTION V require specific information regarding home energy. For example, average annual income and average LIHEAP benefit data is broken out by main heating fuel. Therefore, at the time of application, grantees will need to ask each household to identify their main heating fuel type (i.e., Natural Gas, Electricity, Fuel Oil, Propane, or Other Fuels).

Grantees who offer cooling programs should still ask households for their main heating fuel type, as most cooling program impacts will be captured during analysis of the electric bill data (see below).

SECTION V also requires grantees to collect average annual energy bills for both main heating fuel and electricity. Therefore, at the time of application, grantees will need to ask each household to provide vendor account numbers, as well as sign a waiver that allows the grantee to collect billing information from home energy vendors.

To reduce the burden associated with vendor data collection, grantees are only required to collect annual energy bill data from the top five natural gas companies, top five electric companies, top ten propane vendors, top ten fuel oil vendors, and top ten other vendors, based on the numbers of LIHEAP assisted households within their state.

Grantees may opt to collect data from additional vendors (beyond the largest). However, any grantee wishing to use less than the required number of vendors in any of the fuel categories must contact OCS to obtain prior approval. (Note: Some grantees have fewer than five electric or natural gas vendors. Other grantees have fewer than ten fuel oil vendors.)

Data Requirements

The following outlines the data required to complete SECTION V of Module II. For more information, including strategies and best practices for data collection, grantees should visit the LIHEAP Performance Measures Website.

Reporting Values for “All Households”

SECTION V requires data to be reported by main heating fuel type and for “All Households”. For each main heating fuel type, the statistics that are reported should be calculated using only the households that are identified as having that main heating fuel type. For the “All Households” column, the statistics that are reported should be calculated using all of your households that are used for reporting separately by main heating fuel type. PLEASE NOTE: Calculating the “All Households” statistics by calculating a simple mean of the main heating type statistics is incorrect because each main heating type included a different number of households. Grantees who need assistance with this step should contact APPRISE or their OCS Liaison for assistance.

Section A (of Module II, SECTION V)

Section A includes all households who received LIHEAP bill payment assistance during the reporting period. The total number of households reported in Section A should be the same number reported in your Household Report in Section I, Line 14. Bill Payment Assistance. Bill payment assistance includes any LIHEAP benefits used to pay a share of household energy bills. This includes heating, cooling, and crisis assistance.

As stated above, SECTION I should not include those households who received only weatherization or energy related home repair (including equipment repair and replacement) or households who received only a nominal LIHEAP benefit through the SNAP “Heat or Eat” program.

Section A also asks Grantees to break Bill Payment Assisted Households out by Main Heating Fuel type. To obtain this data, grantees will need to ask each household to identify their main heating fuel type at the time of application. As stated above, the sum of households across the main heating types should be the same total number reported in your Household Report Long Form, in Section One, Line 14. Bill Payment Assistance. Please provide information in the “Notes” section if there is a discrepancy between your total number of households in Section A and the total indicated in your Household Report.

Section B (of Module II, SECTION V)

Section B includes only those households from Section A for which the grantee can obtain the average annual energy bill (12 consecutive months of usage) for both main heating fuel and electricity.

LIHEAP Bill payment assistance households that do not have complete energy billing data (e.g., because they do not have 12 consecutive months of billing history or the grantee does not have an agreement with the vendor) should not be counted in Section B. Households missing either the main heating fuel billing data or the electricity billing data should be excluded.

As noted above, grantees are only required to collect annual bill data for those bill payment-assisted households whose main fuel and electricity are provided by a top five natural gas company, top five electric company, top ten propane vendor, top ten fuel oil vendor, or top ten “other” vendor, based on the numbers of LIHEAP assisted households within their state.

LINE B1: Number of Households with Complete Bill Data. Line B1 requires grantees to report the number of bill payment assisted households for which they can obtain the average annual energy bill (12 consecutive months of billing history) for both main heating fuel and electricity.

Similar to other data in this report, grantees are first asked to report the total number of bill payment assisted households with complete annual bill data, and then break these households down by main heating fuel type.

LINE B2: Average Annual Household Income: Line B2 requires grantees to report average annual household income for those households with 12 consecutive months of both main fuel and electric bill data (as reported on Line B1). Average annual household income should be calculated in the same way it is calculated for the annual LIHEAP Household Report Form, using gross income. Zero income households should be included in this calculation. Grantees are asked to report the average annual income for all households with complete annual bill data, and then further break this data out by main fuel type.

LINE B3: Average Annual Total LIHEAP Benefit per Household: Line B3 requires grantees to report the total average annual per household LIHEAP Bill Payment Assistance Benefit(s) for those households that received bill payment assistance and which have 12 consecutive months of both main fuel and electric bill data. The households to be included in calculating these averages should be the same households reported on Line B1, which are all households that received heating, cooling, crisis, and supplemental assistance used to help pay household energy bills (this includes utility deposits and benefits to assist with secondary fuel payments) and which have 12 consecutive months of both main fuel and electric bill data. Please do not include non-bill payment assistance, including equipment repair and replacement, or weatherization assistance, or nominal payments to SNAP households.

The average benefits reported should include any heating, cooling, crisis, and supplemental assistance benefits used to help pay household energy bills (this includes utility deposits and benefits to assist with secondary fuel payments). In some states, households received multiple bill payment assistance benefits during the federal fiscal year. For example, a household may have received both a regular heating assistance benefit and a crisis benefit. In these cases, grantees will first need to add together the bill payment assistance benefits each household received, and then calculate the average total LIHEAP benefit per household.

Grantees are asked to report the average bill payment assistance benefit for all households that received bill payment assistance and which have complete annual bill data, and then break this data out to report average bill payment assistance benefits for each main fuel type.

LINE B4: Average Annual Main Heating Fuel Bill Data: Line B4 requires grantees to report the average annual main heating fuel bill for those households who have 12 consecutive months of main fuel and electric bill data (as reported in B1). To report this data, grantees will need to collect complete annual bill information (12 consecutive months) from each bill payment-assisted household’s main fuel vendor. This data includes all required customer payments, such as monthly service charge, usage charge, and taxes. However, expenditures should exclude optional charges such as appliance repair contracts, equipment purchases, and other special services.

There may be variation among grantee timeframes for collecting 12 consecutive months of billing histories. For example, many grantees find it optimal to collect bill data from vendors at the end of the federal fiscal year (e.g., request made to vendors in October 2020 for customer bill data from October 2019 through September 2020). However, other grantees collect customer bill data from vendors at the time of LIHEAP intake—which may result in 12 consecutive months of billing data that falls across more than one federal fiscal year. States may consider alternative timeframes for obtaining 12 consecutive months of billing history, as long as methods are consistent and approved by OCS.

LINE B5: Average Annual Electricity Bill: Line B5 requires grantees to report the average annual electricity bill for those households who have 12 consecutive months of main fuel and electric bill data (as reported in B1). To report this data, the grantee will need to collect annual bill information (12 consecutive months) from each bill payment-assisted household’s electricity vendor. This data includes all required customer payments, such as monthly service charge, usage charge, and taxes. However, expenditures should exclude optional charges such as appliance repair contracts, equipment purchases, and other special services. For households whose main fuel is electricity, only the electric bill will need to be collected.

Note: This field is editable and grantees should enter $0.00 for electric main heat households. The average annual bill for electric main heat households should be entered in line B4 only.

The following fields in Section B are auto-calculated for the grantee based on the data entered above:

• Total Annual Residential Energy Bill: Line B6 automatically adds together the average annual Main Heating Fuel and Electricity bill data to calculate average annual residential energy bill.

• Average Annual Energy Burden before Receiving LIHEAP: Line B7 automatically divides the average annual residential energy bill by the average annual income to calculate average annual energy burden before LIHEAP benefits were awarded.

• Average Annual Energy Burden after Receiving LIHEAP: Line B8 automatically subtracts the average annual LIHEAP benefit amount from the annual residential energy bill—then divides the adjusted annual energy bill by the average annual income to calculate energy burden after LIHEAP.

• Percentage Point Change in Energy Burden: Line B9 automatically calculates the percentage point difference between pre-LIHEAP and post-LIHEAP energy burden.

• Percentage Reduction in Energy Burden: Line B10 automatically calculates the percentage difference between pre-LIHEAP and post-LIHEAP energy burden as a proportion of pre-LIHEAP burden.

Section C (of Module II, SECTION V)

Section C contains the same data elements as Section B. However, Section C only includes results for those households from Section B with the highest calculated energy burdens.

To identify the highest burden households from Section B that should be included in Section C, grantees will first need to calculate the energy burden for each individual household included in Section B. Once this is calculated, households can then be sorted from highest to lowest calculated energy burden. Those within the top 25% (e.g. the households from Section B with the highest calculated energy burdens based on being in the top quartile) are counted in Section C.

To calculate home energy burden for each household reported in Section B1, the grantee will need to use their database (or a spreadsheet tool like Excel or Access) to add together each household’s Annual Main Heating Bill + Annual Household Electricity Bill to calculate their total annual residential energy bill. This value is then divided by the household’s Average Annual Income. The calculated energy burden amount should be populated for all households used in Section B and should capped to not exceed 100 percent for any household. Once each household’s energy burden is calculated, those households within the top 25% (e.g. the households from Section B with the highest calculated energy burdens based on being in the top quartile) will be reported in Section C. Please note that the top 25% should be selected from all households reported in Section B1, rather than selecting the top 25% separately for each individual main heating fuel type. This means Section C may include a larger or smaller portion of households from a particular fuel type. Grantees who need assistance with this step should contact APPRISE or their OCS Liaison for assistance.

LINE C1: High Burden Households. Line C1 asks grantees to report the number of high burden households with complete energy bill information, and then the number of high burden households by main heating fuel type.

LINE C2: Average Annual Household Income for High Burden Households: Line C2 asks grantees to report average annual household income for those high burden households identified on Line C1. Grantees are asked to report the average annual income for all high burden households, as well as the average annual income of high burden households within each main fuel type.

LINE C3: Average Annual LIHEAP Bill Payment Assistance Benefit for High Burden Households: Line C3 requires grantees to report the average annual LIHEAP Benefit for those high burden households identified in line C1. Grantees are asked to report the average bill payment assistance benefit for all high burden households, as well as the average bill payment assistance benefit of high burden households within each fuel type.

LINE C4: Average Annual Main Heating Fuel Bill Data for High Burden Households: Line C4 requires grantees to report the average annual main heating fuel bill (12 consecutive months) for those high burden households identified in Line C1.

LINE C5: Average Annual Electricity Bill for High Burden Households: Section C5 requires grantees to report the average annual electricity bill for those high burden households identified in Section C1.

Note: This field is editable and grantees should enter $0.00 for electric main heat households. The average annual bill for electric main heat households should be entered in line C4 only.

The remaining fields in Section C are auto-calculated for the grantee based on the data entered above:

• Total Annual Residential Energy Bill for High Burden Households: Line C6 automatically adds together the average annual Main Heating Fuel and Electricity bill data to calculate average annual residential energy bill for high burden households.

• Average Annual Energy Burden of High Burden Households before Receiving LIHEAP: Line C7 automatically divides the average annual residential energy bill by the average annual income to calculate average annual energy burden of high burden households before receiving LIHEAP.

• Average Annual Energy Burden of High Burden Households after Receiving LIHEAP: Line C8 automatically subtracts the average annual LIHEAP benefit amount from the annual residential energy bill—then divides the adjusted annual energy bill by the average annual income to calculate energy burden for high burden households after receiving LIHEAP.

• Percentage Point Change in Energy Burden among High Burden Households: Line C9 automatically calculates the percentage point difference between pre-LIHEAP and post-LIHEAP energy burden among high burden households.

• Percentage Reduction in Energy Burden among High Burden Households: Line C10 automatically calculates the percentage difference between pre-LIHEAP and post-LIHEAP energy burden as a proportion of pre-LIHEAP burden among high burden households.

Section D (of Module II, SECTION V)

Section D uses information collected in Sections A-C to automatically calculate the Benefit Targeting Index. This index measure tells us whether high energy burden households receive higher LIHEAP benefits than average households. A Benefit Targeting Index of over 100 means that high energy burden households receive a greater LIHEAP benefit than average households.

For more information about how to interpret the targeting index, please see pages 38-40 of the FY 2009 Home Energy Notebook.

Section E (of Module II, SECTION V)

Section E uses information collected in Sections A-C to automatically calculate the Energy Burden Reduction Index. This index tells us whether high energy burden households have a larger share of their energy bill paid with LIHEAP than average households. An Energy Burden Reduction Index of over 100 means that high energy burden households are seeing more of their energy burden reduced with LIHEAP than average households.

For more information about how to interpret the targeting index, please see pages 38-40 of the FY 2009 Home Energy Notebook.

SECTION VI. Restoration of Home Energy Service

One core purpose of LIHEAP is to ensure that low-income households have access to necessary home energy services. By restoring services to clients who do not currently have access to home energy, the program is eliminating a significant risk to the health and safety of low-income households.

Section VI of Module II (LIHEAP Performance Measures) uses data provided by grantees to measure the impact of LIHEAP on restoration of home energy service.

Which Households Do I Count in SECTION VI?

For both Sections VI and VII, grantees should draw from the pool of all LIHEAP households that received assistance during the federal fiscal year. .

For some grantees, this may be different than those households counted in Section V of Module I. This is because Section V only includes households who received Bill Payment Assistance—whereas Sections VI and VII also account for weatherization and equipment repair/replacement benefits.

What Household Information is Necessary to Complete SECTION VI?

The data fields in Section VI of the Performance Data Form require specific information regarding the current status of household home energy service. Many grantees already ask households to report whether or not they currently have home energy service at the time of LIHEAP application. However, to complete this report, grantees would need to go a step further to determine and record whether the household:

• Household does not have service because they are disconnected.

• Household does not have service because they are out of fuel.

• Household does not have service because they have inoperable equipment (inoperable includes red-tagged equipment, or equipment that if powered on, will result in injury or death).

Once this status is known and recorded, a grantee can then track whether a LIHEAP benefit resulted in restoration of home energy service.

It is important to note that in many cases, repair or replacement of inoperable heating/cooling equipment may be administered by LIHEAP Weatherization contractors. Therefore, grantees may need to coordinate with their Weatherization partners to identify inoperable equipment that was repaired or replaced using LIHEAP funds.

Data Requirements

The following outlines the data required to complete Section VI of Module II (LIHEAP Performance Measures). For more information, including strategies and best practices for data collection, grantees should visit the LIHEAP Performance Measures Website.

Section A (of Module II, SECTION VI)

LINE A1: Number of All Occurrences of LIHEAP Assisted Households that had Energy Service Restored after Disconnection: Line A1 requires grantees to report on the number of occurrences for which LIHEAP assistance led to the restoration of a household’s energy service after a disconnection. (Note: Households for whom the primary energy service was restored should be counted even if they were able to heat or cool their home in another way). The total number of occurrences is an auto-calculated sum of occurrences for each applicable energy source. Note: In this case, “energy source” is the fuel source where the LIHEAP benefit is being applied. In some cases, this may not be the household’s primary fuel source.

LINE A2: Number of All Occurrences of LIHEAP Assisted Households that had Fuel Delivered after the Home Ran out of Fuel: Line A2 requires grantees to report on the number of occurrences for which LIHEAP resulted in delivery of fuel after a household had no fuel. (Note: Households should be counted even if they were able to use something other than their main fuel source to temporarily heat their home.) The total number of occurrences is an auto-calculated sum of occurrences for each applicable energy source. Note: In this case, “energy source” is the fuel source where the LIHEAP benefit is being applied. In some cases, this may not be the household’s primary fuel source.

LINE A3: Number of All Occurrences of LIHEAP Assisted Households that received Repair or Replacement of Inoperable Equipment: Line A3 requires grantees to report the number of occurrences of households who had inoperable heating or cooling equipment repaired or replaced with LIHEAP funds. (Note: Households should be counted even if they were able to use something other than their main equipment to temporarily heat or cool their home.) The total number of occurrences is an auto-calculated sum of occurrences for each applicable energy source. Note: In this case, “energy source” is the fuel source where the LIHEAP benefit is being applied. In some cases, this may not be the household’s primary fuel source.

SECTION VII. Prevention of Loss of Home Energy Service

By preventing the loss of home energy service to at-risk households, LIHEAP can eliminate the costs associated with service restoration (e.g., reconnection charges) and can minimize health and safety risks.

Section VII of the Performance Measures Report form uses data provided by grantees to measure the impact of LIHEAP on preventing loss of home energy service.

Which Households Should Be counted in SECTION VII?

For both Sections VI and VII, grantees should count all LIHEAP households identified in the LIHEAP Household Report and Grantee Survey.

For some grantees, this may be different than those households counted in Section V of Module II. This is because Section V only includes households who received Bill Payment Assistance—whereas Sections VI and VII also account for weatherization and equipment repair/replacement benefits.

What Household Information is Necessary to Complete Section VII?

The data fields in Section VII of the Performance Measures Report form require specific information regarding current status of home energy service, and more specifically, whether or not a household is at risk of losing their home energy service. Situations where a LIHEAP benefit would prevent a loss of home energy service include:

• Households with a Utility Past Due or Disconnect Notice: At the time of application, households would be asked whether they currently have a past due or disconnect notice from their energy supplier.

• Households with Limited Fuel: If applicants heat with a delivered fuel (e.g., fuel oil, propane, or wood) and do not have a past due notice, the grantee would ask questions at the time of application to determine whether or not the household is at “imminent risk” of losing their home energy service. In the case of delivered fuels, “imminent risk” should be defined by the grantee based on local conditions, and should correspond with existing state definitions used to determine home energy emergencies (as outlined in the grantee’s State Plan).

• Households in need of Equipment Repair/Replacement: The grantee would determine at the time of application (or home energy audit) whether a LIHEAP household has currently operable heating or cooling equipment that needs to be repaired or replaced to prevent loss of home energy service. It is up to the grantee to determine whether a household is at “imminent risk” of losing their home energy service if heating or cooling equipment is not repaired or replaced. The definition of “imminent risk” should correspond with existing state definitions used to determine home energy emergencies (as outlined in the grantee’s State Plan).

Data Requirements

The following outlines the data required to complete Section VII of Module II (LIHEAP Performance Measures). For more information, including strategies and best practices for data collection, grantees should visit the LIHEAP Performance Measures Website.

Section A (of Module II, Section VII)

LINE A1: Number of All Occurrences of LIHEAP Assisted Households that had a Utility Past-Due or Disconnect Notice and Receipt of LIHEAP Benefits Resulted in Continuance of Home Energy Service: Line A1 requires grantees to report the number of occurrences of households that had a past due or disconnect notice at the time of application and receipt of LIHEAP benefit(s) resulted in continuance of home energy service. Households who are already disconnected should not be counted in this section. The total number of occurrences is an auto-calculated sum of occurrences for each applicable energy source. Note: In this case, “energy source” is the fuel source where the LIHEAP benefit is being applied. In some cases, this may not be the household’s primary fuel source.

LINE A2: Number of All Occurrences of LIHEAP Assisted Households that were at Imminent Risk of Running out of Fuel and Receipt of LIHEAP Benefit Resulted in Delivery of Fuel: Line A2 requires grantees to report the number of occurrences of households that were at imminent risk of running out of fuel at the time of LIHEAP application and receipt of LIHEAP benefit(s) resulted in the delivery of fuel. Households who are already out of fuel should not be counted in this section. The total number of occurrences is an auto-calculated sum of occurrences for each applicable energy source. Note: In this case, “energy source” is the fuel source where the LIHEAP benefit is being applied. In some cases, this may not be the household’s primary fuel source.

LINE A3: Number of All Occurrences of LIHEAP Assisted Households where Repair/Replacement of Operable Home Energy Equipment prevented loss of Home Energy Service: Line A3 requires grantees to report the number of occurrences of households for which LIHEAP Heating/Cooling equipment repair or replacement prevented loss of home energy service. Households whose heating or cooling equipment is inoperable (or red-tagged) at the time of application or home energy audit should not be counted in this section. The total number of occurrences is an auto-calculated sum of occurrences for each applicable energy source. Note: In this case, “energy source” is the fuel source where the LIHEAP benefit is being applied. In some cases, this may not be the household’s primary fuel source.

LIHEAP Performance Measures (Optional Reporting)
[LPDF Module III]

In this Module III, you may report additional data on average energy consumption, service restoration, and service loss prevention. This Module is optional.

The data in this module that is submitted by grantees will be used for more detailed analysis of energy burden reduction.

SECTION I. ENERGY BURDEN TARGETING (OPTIONAL REPORTING)

Section A (of Module III, Section V)

LINE A1: Average Annual Electricity Usage: Line A1 allows grantees to report average annual electricity usage for bill-payment assisted households. This data will be used for more detailed analysis of home energy burden reduction.

Grantees that elect to report this data should report the average annual electricity usage in millions of British thermal units (MMBtus) for each main heating fuel. MMBtus is a common unit for energy usage that will allow for comparison of energy usage across main heating fuel types.

LINE A2: Average Annual Main Heating Usage: Line A2 allows grantees to report average annual main heating fuel usage for bill-payment assisted households. This data will be used for more detailed analysis of home energy burden reduction.

Grantees that elect to report this data should report the average annual main heating usage in millions of British thermal units (MMBtus) for each main heating fuel. MMBtus is a common unit for energy usage that will allow for comparison of energy usage across main heating fuel types.

Section B (of Module III, Section V)

LINE B1: Average Annual Electricity Usage among High Burden Households: Line B1 allows grantees to report average annual electricity usage for high burden households. This data will be used for more detailed analysis of home energy burden reduction.

Grantees that elect to report this data should report the average annual electricity usage in millions of British thermal units (MMBtus) for each main heating fuel. MMBtus is a common unit for energy usage that will allow for comparison of energy usage across main heating fuel types.

LINE B2: Average Annual Main Heating Usage among High Burden Households: Line B2 allows grantees to report average annual main heating fuel usage for high burden households. This data will be used for more detailed analysis of home energy burden reduction.

Grantees that elect to report this data should report the average main heating usage in millions of British thermal units (MMBtus) for each main heating fuel. MMBtus is a common unit for energy usage that will allow for comparison of energy usage across main heating fuel types.

Section C (of Module III, Section V)

LINE C1: Electricity as Supplemental Heating Fuel: Line C1 includes the unduplicated number of LIHEAP bill payment-assisted households that use electricity as a supplemental heating fuel. Grantees that elect to report this data should report this data for all households, as well as for households within each main heating fuel type.

LINE C2: Wood as Supplemental Heating Fuel: Line C2 includes the unduplicated number of LIHEAP bill payment-assisted households that use wood as a supplemental heating fuel. Grantees that elect to report this data should report this data for all households, as well as for households within each main heating fuel type.

LINE C3: Other Supplemental Heating Fuel: Line C3 includes the unduplicated number of LIHEAP bill payment-assisted households that use fuels other than electricity and wood for supplemental heating fuel. Grantees that elect to report this data should report this data for all households, as well as for households within each main heating fuel type.

LINE C4: Central Air Conditioning: Line C4 includes the unduplicated number of LIHEAP bill payment-assisted households with central air conditioning. Grantees that elect to report this data should report this data for all households, as well as for households within each main heating fuel type.

LINE C5: Window/Wall Air Conditioner: Line C5 includes the unduplicated number of LIHEAP bill payment-assisted households with Window/Wall AC (including evaporative coolers). (Note: If a household was already counted as having Central Air Conditioning, they should not be included here.) Grantees that elect to report this data should report this data for all households, as well as for households within each main heating fuel type.

SECTION VI. RESTORATION OF HOME ENERGY SERVICE (OPTIONAL REPORTING)

LINE A: Number of All LIHEAP Assisted Households that had Energy Service Restored: Line A allows grantees to report on the unduplicated number of households for which LIHEAP assistance led to the restoration of energy service. Households that had home energy service(s) reconnected with LIHEAP funds more than one time in FY 2020 should only be counted once. (Note: Households for whom the primary energy service was restored should be counted even if they were able to heat or cool their home in another way).

SECTION VII. PREVENTION OF LOSS OF HOME ENERGY SERVICE (OPTIONAL REPORTING)

LINE A: Number of All LIHEAP Assisted Households where Receipt of LIHEAP Benefits Resulted in Continuance of Home Energy Service: Line A allows grantees to report on the unduplicated number households where receipt of LIHEAP benefit(s) resulted in continuance of home energy service. Households where loss of home energy service was prevented more than one time in FY 2020 should only be counted once. Households who are already disconnected should not be counted in this section.

Notes

This section of the report should be used by grantees to provide notes or clarification regarding reported data. Please include the section number and the item number being referenced for each part of LPDF.