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LIHEAP AT Attachment on Grantee Survey Instructions for FY 2012

Published: December 4, 2012
Audience:
Low Income Home Energy Assistance Program (LIHEAP)
Category:
Guidance, Policies, Procedures, Action Transmittal

Grantee Survey Instructions for Federal Fiscal Year (FFY) 2012

December 4, 2012

 

The Paperwork Reduction Act of 1995...............................................1

General Instructions............................................................................2

Pre-printed Information............................................................................2

Page Protection.......................................................................................2

Pointers....................................................................................................3

Section II Instructions:  Sources of LIHEAP Funds (Items 1-6)..........3

A.  All Funds except Leveraging Incentive Funds.....................................4

B.   Leveraging Incentive Awards............................................................ .4

C.   Total Funds available........................................................................ 4

Section III Instructions:  Uses of LIHEAP Funds (Items 1-10)........... .4

Row Items............................................................................................... 5

A.  Types of LIHEAP Assistance............................................................... 5

B.   Other Permitted Uses of LIHEAP Funds............................................. 6

C.   Total Uses of Funds...........................................................................7

Column Items........................................................................................ 7

  I.  Total Funds/Awards........................................................................... 7

 II.  Average Household Benefit................................................... .............7

III. Maximum Annual Dollar Income for 4-person Household................... ..7

Survey Edit Checks ...............................................................................7

 

The Paperwork Reduction Act of 1995

This information collection is conducted in accordance with the LHEAP statute (Title XXVI of P.L. 97-35, as amended).  Responses to the information collection are mandatory for the States, including the District of Columbia.  Information received from this data collection 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 each Survey is estimated to be 3.4 hours.  Fifty-one (51) State responses per Survey, at an average of 3.4 hours per response, results in a total burden of 173.4 hours for all States.  The estimates of burden hours include time for reviewing instructions, gathering data, and completing and submitting the Survey data.  The Survey is conducted once every Federal Fiscal Year (FFY).  This 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 0970-0076 that expires on April 30, 2014.)


 

General Instructions

The LIHEAP Grantee Survey for FY 2012 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 4-person household for FFY 2012.

Each State’s Survey has been prepared in a Microsoft Excel workbook which includes the Survey spreadsheets and Survey Edit Check spreadsheet.  This will minimize our data entry, and will increase the accuracy of the data through built-in formulas and edit checks.

Please note that we are asking for the State’s obligation of funds, not expenditure of funds.  The term "obligation" is as each State defines it.

Please e-mail your State’s completed Survey to Josephine (Jojie) Rago-Adia by December 14, 2012 at josephine.ragoadia@acf.hhs.gov (202-401-4710).  Do not delay submitting your State’s Survey.  The timeliness of the data is very important in responding to questions from the Congress, Department, and the White House.

If necessary, please contact Josephine (Jojie) Rago-Adia with regards to the following:

  1. comments about the design of the electronic LIHEAP Grantee Survey for FFY 2012,
  2. changing the format of your State’s LIHEAP Grantee Survey for FFY 2012, or
  3. issues about the accuracy of the Federal FFY 2012 data on the State’s block grant allotment, reallotment, or, if any, leveraging incentive awards that are included on your State’s LIHEAP Grantee Survey for FFY 2012.

Pre-printed Information

Your State’s FFY 2012 Federal block grant allotments (net of Indian set-asides), realloted FFY 2011 block grant funds (net of Indian set-asides) in FFY 2012, and FFY 2012 leveraging incentive awards, if any, are listed in items 1, 2 and 5 under “Sources of Funds” in Section II.  The amount of these funds should be correct as those amounts are reported by our office.  There were no Emergency Contingency funds available to award in FFY 2012.

Update the following pre-printed data, as necessary, on your State’s LIHEAP Grantee Survey for FFY 2012:

  1. Your State’s carryover of FFY 2011 LIHEAP funds to FFY 2012, if any, for item 3 under "Sources of Funds" in Section II, as reported under “Uses of Funds” in your State’s LIHEAP Grantee Survey for FFY 2011 under “Uses of Funds” for item B.5.
  2. Your State’s carryover of FFY 2012 LIHEAP funds to FFY 2013, if any, for item 5 under “Uses of Funds” in Section III, as reported in your State’s FFY 2012 LIHEAP Carryover and Reallotment Report that was due on August 1, 2012.

Page Protection

There are a number of page-protected items in the Survey’s Excel workbook, including the Survey Edit Check page.  Page protection ensures that formulas are not overwritten accidentally, and that the Survey’s format remains consistent.  Therefore, please do not change the electronic format of your State’s Survey by adding or deleting rows or columns.  If the Survey cannot accommodate information that you need to display, consider using the note section or contact Josephine (Jojie) Rago-Adia in our office to discuss the matter.

Pointers

  1. Please review and respond to all items in the Survey, as appropriate.  The types of information requested are noted by the following symbols:
  • $0 for financial data and
  • ? for text information, e.g., about other types of crisis assistance, if any.
  1. Items which are not to be filled in are noted by xxxxxx's.
  2. Existing data are pre-printed on the Survey.
  3. 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 Federal Fiscal Year.
  4. 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.  Also, this would include funds to provide Supplemental Nutrition Assistance Program (SNAP) households with a relatively small 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.”
  5. Exclude Department of Energy weatherization assistance funds in response to the LIHEAP weatherization assistance in Section III, A. 4.
  6. Use the annual or annualized maximum income cutoff for a 4-person household in effect on October 1, 2011 for each type of LIHEAP assistance provided in FY 2012.
  7. Except for administrative costs, “funds payable” includes the State’s net block allotment and realloted funds , and, if any, and Petroleum Violation Escrow funds designated for LIHEAP.  “Funds payable” for administrative costs consists of those funds and leveraging incentive funds obligated in FFY 2012, if any.
  8. Unless indicated otherwise, definitions of terms should be those used by the State.
  9. Round off financial data to the nearest dollar; each dollar amount should end with $.00.

NOTE:  The rounding function of Excel will show whole dollars on the spreadsheet.  However, cents may be included in 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.

  1. Any clarifications of a State’s response should be indicated in the “Notes” section of the Survey along with the Survey’s Section and item # that is being noted.
  2. Do not change the format of your State’s grantee survey or household report without first contacting  Josephine (Jojie) Rago-Adia in our office.

SECTION I INSTRUCTIONS:  Respondent Data

Please enter the full name and telephone number (including area code) of the person who is completing the Survey and the date that the Survey was completed.  Include the date(s) that the Survey was revised subsequent to the initial submission to Josephine (Jojie) Rago-Adia in our office. 

SECTION II INSTRUCTIONS:  Sources of LIHEAP Funds

The Survey is individualized for your State with pre-printed data, as indicated on the second page of the instructions.  If you believe that the Federal data on the State’s block grant allotment, reallotment, and/or leveraging incentive award, if any, are incorrect, please contact Josephine (Jojie) Rago-Adia in our office.

A.  All Funds Except Leveraging Incentive Awards (items 1-4).

1.   Block Grant Allotment.  State's FFY 2012 LIHEAP block grant allotment, net of any applicable set-asides to Indian Tribes/Tribal Organizations.  (pre-printed)

2.   Block Grant Reallottment.  State’s FFY 2012 LIHEAP block grant reallottment, net of any applicable set-asides to Indian Tribes/Tribal Organizations.

3.   Unobligated Block Grant Funds, subject to the 10% Carryover Limit.  State’s FFY 2012 unobligated block grant funds, not subject to the 10 percent carryover limit.  (pre-printed)

  1. Oil Overcharge (Petroleum Violation Escrow) Funds Designated for LIHEAP.  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.

B.  Leveraging Incentive Awards (item 5).

  1. Leveraging Incentive Award.  State's FFY 2012 leveraging incentive award funds, if any.  (pre-printed)

C.  Total Funds Available (item 6).

  1. Estimated Total Funds Available.  Sum items (1-5) to indicate the total Federal funds available for LIHEAP for FFY 2012.  The total funds available should equal the Estimated Total Uses of Funds in item 10 under Column A of Section III.

SECTION III INSTRUCTIONS:  Uses of LIHEAP Funds

“Uses of 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 FFY.)  Include information on all funds/awards that were obligated for use in LIHEAP during FFY 2012 or that were obligated in or carried over to FFY 2013.  LIHEAP block grant funds that were not obligated by the end of FFY 2012 are to be reported as funds carried over to FFY 2013.

NOTE:  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 FFY.  Expenditure of funds represents the funds paid out for LIHEAP, and is reconciled when a State closes out its LIHEAP program for each FFY in accordance with the Single Audit Act (31 U.S.C. 7501 et seq.).

Please keep in mind the following points about the use of LIHEAP Federal funds when completing Section III:

  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. A State may have used LIHEAP funds to provide “other LIHEAP assistance” as described in its State's LIHEAP Plan for FY 2012.  For the most part, this would include “other crisis assistance,” such as furnace or air conditioner repairs.  Such information would be included in items 3a. – 3c. under “Total Crisis Benefits” (item A.3).  Other LIHEAP funds may have been used for non-crisis assistance/regular benefits, e.g., Supplemental Nutrition Assistance Program (SNAP) households that were provided a relatively small LIHEAP payment to increase the amount of SNAP benefits that they received (commonly referred to as heat or eat, or cool or eat programs). Add a note to indicate how much of the regular assistance funds include other non-crisis assistance funds.  A corresponding note would also need to be included in the LHEAP Household Report for FY 2012.

Row Items

A.  Types of LIHEAP Assistance (items 1-4)

  1. Heating Assistance Benefits.  Indicate the amount of funds used to provide 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. Cooling Assistance Benefits.  Indicate the amount of funds used to provide cooling assistance benefits, if any.  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).
  3. Total Crisis Assistance Benefits.  In this section, indicate the total amount of crisis assistance benefits broken out by each applicable type of crisis assistance listed:  winter crisis, summer crisis, year‑round crisis (i.e., crisis programs that operate 10‑12 months during the FFY), 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.  Exclude the cost of administering the crisis assistance component.
  4. Weatherization Assistance Benefits.  Indicate the amount of funds used for low-cost residential weatherization or other-energy-related home repairs, if any.  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 other non-crisis assistance (please describe such assistance).  Exclude the cost of administering the LIHEAP weatherization assistance component—Edit Check #2.

NOTE:  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 waiver that raises this limit to 25 percent.  Place an x under “Yes” or “No” in the grid to the right of Edit Check # 2 in the Edit Check spreadsheet to indicate whether the State received such a waiver from HHS for weatherization for FFY 2012.

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.  Place an x in the grid to the right of Edit Check # 2 in the Edit Check spreadsheet to indicate whether the State obligated leveraging incentive funds for weatherization.

B.   Other Permitted Uses of LIHEAP Funds (items 5-9)

  1. FFY 2012 Funds Carried Over to FFY 2013.  This amount has been pre-printed from the amount reported either on your State’s August 1, 2012 LIHEAP Carryover and Reallotment Report for FFY 2012.  Please update this amount as necessary—Edit Check # 3. (pre-printed)

NOTE:  Section 2607(b)(2)(B) of the LIHEAP statute limits to 10 percent of the amount of "all funds except leveraging incentive awards" that may be carried over from one FFY for obligation in the following FFY.  The statute requires that 90 percent of the amount payable must be obligated in the FFY in which the funds are awarded.

  1. FFY 2012 Leveraging Incentive Award Obligated in FFY 2013.  Indicate FFY 2012 leveraging incentive award funds obligated in FFY 2013, if any.

NOTE:  Section 96.87(k) of the HHS block grant regulations provides that leveraging incentive award funds must be obligated in the FFY in which they are awarded or in the following FFY. 

  1. Amount of FFY 2012 LIHEAP Block Grant Allotment Used to Identify, Develop, and Demonstrate Leveraging Activities.  Indicate the amount of the State’s FFY 2012 LIHEAP block grant allotment that was used, if any, to identify, develop, and demonstrate leveraging activities—Edit Check # 4.

NOTE:  Section 2607A(c)(2) of the LIHEAP statute limits the amount that States may spend to identify, develop and demonstrate leveraging programs to not exceed 0.08 percent of funds payable or $35,000, whichever is greater.

  1. FFY 2012 Amount for Assurance 16 Activities.  Indicate the amount, if any, of the LIHEAP block grant allotment used 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)—Edit Check # 5.

NOTE:  Section 2605(b)(16) of the LIHEAP statute limits the amount that may be spent on these activities to 5 percent of LIHEAP funds payable.

  1.  FFY 2012 Amount for Administration/Planning Costs.  Indicate the amount of funds obligated for administration and planning costs.  The amount should include (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—Edit Check # 6.

NOTE:  Section 2605(b)(9) of the LIHEAP statute limits the amount that States use in planning and administration to 10 percent of the funds payable to the States.  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 (exclude other Federal funds).

NOTE:  The cost of administering the State's LIHEAP weatherization assistance is to be included, as well as the cost of administering other LIHEAP activities.

NOTE: Under the terms of the LIHEAP statute and implementing regulations, leveraging incentive award funds may not be used for administrative and planning costs.  The amount of the leveraging incentive award may be added to the base in which the maximum amount of administrative and planning costs is calculated.

C.  Total Uses of Funds (item 10).

  1. Sum items 1-9 to indicate the total uses of all Federal funds available for LIHEAP for FFY 2012.  The “Total Uses of Funds” should equal the “Total Funds Available” in Section II—Edit Check # 7.

Column Items

 I.   Total Funds and Awards.  Indicate the amount obligated for each type of assistance and the amounts for other allowable activities for FFY 2012.

 II.   Average Household Benefit.  Indicate the average benefit amount for households assisted during the entire FFY for each type of assistance provided by the State.  This is not requested for weatherization assistance because of the wide variety of allowable activities among the States.

III.  Maximum Annual Dollar Income for 4-Person Household.  For each type of assistance provided, list the maximum annual or annualized dollar income cutoff for a 4-person household that was in effect at the beginning of FFY 2012, i.e., October 1, 2011.  If your State used a higher dollar income cutoff for a specific group of households (such as elderly households) and a lower dollar income cutoff for everyone else, report the lower of the two income cutoffs.  Indicate in the Notes section what the higher income cutoff is and to which specific group(s) it applies.

NOTE:  The maximum dollar income cutoff for a 4-person household is required by the statute to be at or above 110 percent of the 2011 HHS Poverty Guidelines, as of the beginning of FFY 2012—Edit Check # 1.

Survey Edit Checks

The Excel workbook includes a Survey Edit Check tab at the bottom of the Survey.  The data from the Survey has been entered automatically into its corresponding edit check.  Please click on the tab to review and correct any erroneous data, if any, indicated by the Edit Checks spreadsheet after the survey is completed.  Then recheck the corrected Survey Edit Checks.

Edit Check #

Section III (Uses of Funds) Edit Checks

Survey Item #

1.

The maximum annual or annualized household income cutoff for a 4-person household is equal to or greater than 110 percent of the 2011 HHS Poverty Guidelines.

Col. III

2.

Weatherization funds are no greater than 15 percent of funds payable unless your State indicates that the amount includes leveraging incentive funds or that your State has received a waiver to obligate up to 25 percent of funds payable.

A. 4

3.

Carryover of unobligated funds is no greater than 10 percent of funds payable.

B. 5

4.

Funds payable to identify, develop, and demonstrate leveraging programs are not to exceed 0.08 percent or $35,000, whichever is greater.

B. 7

5.

Assurance 16 funds are no greater than 5 percent of funds payable.

B. 8

6.

Administrative/planning cost is no greater than 10 percent of funds payable.

B. 9

7.

“Total Funds Available” equals “Total Uses of Funds.”

C.10