**[Measuring the Outcomes of]{.smallcaps}**

**[Low-Income Energy Assistance Programs]{.smallcaps}**

**[through a Home Energy Insecurity Scale]{.smallcaps}**

A Publication Prepared for:

LIHEAP Committee on Managing for Results

U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

Office of Community Services, Division of Energy Assistance

July 2003

This document has been prepared for the OCS' LIHEAP Committee on
Managing for Results by Roger Colton of Fisher, Sheehan and Colton,
under subcontract to the National Energy Assistance Directors\'
Association (NEADA) through Contract \# ACF-980163M4. The views and
opinions expressed in this document do not necessarily represent the
views of the Office of Community Services, Administration for Children
and Families, or the U.S. Department of Health and Human Services.

The LIHEAP Committee on Managing for Results in April 1998 as a joint
partnership between the states, local agencies, other program
stakeholders and OCS. The Committee\'s task is to collaborate with OCS
on developing recommendations on cost-effective performance goals and
measures for LIHEAP that will meet the requirements of the Government
Performance and Results Act (GPRA) of 1993. In addition, the
Committee\'s task is to enhance management practices through the
approach known as \"Managing for Results.\" OCS has awarded NEADA small
purchase orders to support the work of the Committee.

+-----------------------------------------------------------------------+
| Additional copies of this publication may be obtained by contacting   |
| the Federal LIHEAP Program at the following address:                  |
|                                                                       |
| Division of Energy Assistance                                         |
|                                                                       |
| Office of Community Services,/ACF/HHS                                 |
|                                                                       |
| 370 L'Enfant Promenade, S.W.                                          |
|                                                                       |
| Fifth Floor West                                                      |
|                                                                       |
| Washington, D.C. 20447\                                               |
| (202) 401-9351                                                        |
+-----------------------------------------------------------------------+

  -----------------------------------------------------------------------
  **[Table of Contents]{.smallcaps}**

  -----------------------------------------------------------------------

Introduction 1

The Internal Structure of the Home Energy Insecurity Scale 2

The Basic Building Blocks of the Scale: The "Thresholds" 3

The Factual Inputs that go into a Scale: The "Indicators" 6

How to Use the Home Energy Insecurity Scale 9

Collecting Indicator Data 9

Using the Data to Scale Survey Respondents 10

Placing the Data into Usable Reports 13

Summary 15

Testing the Home Energy Insecurity Scale 15

Classifying the Population as a Whole 16

Illustrative Threshold Classifications Using Home Energy

Insecurity Scale Indicators 17

Summary and Conclusions 21

Appendix A: Contrasting Family, Community and Agency Scales 22

Appendix B: Basic Attributes of Family-Level ROMA Scales 23

Appendix C: Household Level Home Energy Insecurity Scale 26

Appendix D: Home Energy Insecurity Scale Survey 27

Appendix E: Tying Home Energy Insecurity Scale Survey to

Home Energy Insecurity Scale Indicators 29

Appendix F: Categories of Indicators for Home Energy Insecurity Scale 34

Appendix G: Home Energy Insecurity Scale Reporting Matrix 36

Appendix H: Reviewers 37

Appendix I: Participating Community Action Agencies/Associations 38

Appendix J: Illustrative Survey Responses from Field Testing 39

**[Introduction]{.smallcaps}**

The extent to which an energy assistance program improves the energy
self-sufficiency of a low-income household can be captured through the
use of the Home Energy Insecurity Scale. Accordingly, the Home Energy
Insecurity Scale can be used to quantitatively measure outcomes for home
energy assistance programs.

The scale presented below represents a substantive improvement in
measuring the outcomes generated by low-income energy assistance
programs. Administrators of such programs have long struggled to develop
a mechanism to capture the many facets of home energy unaffordability.
Some efforts have focused on lowering home energy burdens. A household's
"energy burden" is the household bill divided by the household's gross
income.[^1] This process, however, does not capture the circumstances of
a household for whom the receipt of energy assistance results in an
*increase* in the home energy burden because he or she is no longer
required to cut off all rooms of the home but one. Some efforts have
focused on the nonpayment of home energy bills (as well as the
disconnection of service and other collection-related problems). This
process, however, does not capture the circumstances of a customer that
pays his or her bill, but reduces spending on household necessities for
food or medicine in order to do so. Some efforts have focused on
reductions in energy consumption. This process, however, does not
capture the circumstances of a household whose energy unaffordability
problems result from a combination of very low incomes (even though
usage is very low as well).

The proposed Home Energy Insecurity Scale allows the program manager to
capture all aspects of low-income energy affordability. This process of
measuring the outcomes of energy assistance programs is based on an
evaluation tool involving "scales." A scale is a tool that allows
program administrators to place households on a continuum that describes
different conditions of household status. By determining where a
household falls on a scale at different points in time, the scale allows
an agency to quantify the *change* in a household's circumstances.

Consider the federal Low-Income Home Energy Assistance Program (LIHEAP)
as one example. A LIHEAP state program administrator could measure the
outcome of this energy assistance program by comparing where a LIHEAP
recipient falls on the Home Energy Insecurity Scale at two points in
time. When the household enters the program, LIHEAP determines the
household's level of "energy insecurity." The second determination of
"energy insecurity" occurs after the household has participated in
LIHEAP for one full year. The change in status revealed by comparing
those two measurements represents the "outcome" of the program. If the
household's status has improved, the program has generated a positive
outcome. If the household's status has not improved, or has
deteriorated, the program has not generated positive outcomes.[^2]
Additional measurements can be taken, and outcomes tracked, at future
points in time as well.

The use of scales is important in measuring the outcomes of social
service programs because a scale can be used to measure *incremental*
change for program participants. Incremental change involves positive
changes that fall short of 100% success. The proposed Home Energy
Insecurity Scale, for example, has five "conditions of status" where a
household might fall. Let's say, for example, that "1" is the best
condition (most self-sufficient) and "5" is the worst (least
self-sufficient). The objective of LIHEAP in this illustration is to
help make the household energy self-sufficient.

The LIHEAP program might *improve* a household's energy self-sufficiency
by moving the household from "4" to "2" on the Home Energy Insecurity
Scale, even if the household never makes it to the highest possible
level of self-sufficiency. Within the context of home energy, in other
words, moving a household from "in-crisis" to "stable" is a positive
development, but one that does not get tracked if the only outcome that
gets measured is the number of households that reach the ultimate goal
of being "thriving." Improving a household's status from "in-crisis" to
"stable" is a positive outcome of the program even if the ultimate
objective of the program was not realized.

Using the Home Energy Insecurity Scale allows LIHEAP agencies to
recognize that self-sufficiency is a continuum rather than a dichotomous
state. Instead of asking whether or not a household has *become*
self-sufficient, the proposed scale allows agencies to ask whether a
household has become *more* self-sufficient. A scale does not present an
analysis of outcomes as an either/or proposition.

One particularly well-accepted system of measuring outcomes uses the
system of scales developed through the Results Oriented Management and
Accountability (ROMA) process.[^3] ROMA scales represent a system of
outcome measurements developed in collaboration with the Office of
Community Services in the Department of Health and Human Services as a
means to track the outcomes of various social service programs.[^4] Most
Community Service Block Grant (CSBG) grantees now use ROMA scales to
report program outcomes.[^5] While the Home Energy Insecurity Scale is
designed to be used by LIHEAP offices, it has been intentionally
structured so that it can also be used along with other ROMA-based
scales.

# The Internal Structure of the Home Energy Insecurity Scale 

Understanding the structure of the Home Energy Insecurity Scale involves
understanding two basic tools: thresholds and indicators. The
"threshold" tells you where on the scale a household falls. The
threshold is a conclusion. It represents the determination a program
manager reaches about the extent of the energy self-sufficiency of a
household. The "indicators" tell you into which threshold each household
should be placed. The indicators are specific pieces of information
about a household upon which the threshold conclusion is based. These
two tools are discussed in more detail below.

***The Basic Building Blocks of a Scale: The "Thresholds"***

**[What are "thresholds" generally]{.underline}:** As with any scale,
the basic building blocks of the Home Energy Insecurity Scale are called
"thresholds." In their simplest form, "thresholds" are the points along
a scale. Thresholds are the benchmarks along a scale that mark a
household's condition of status. Every scale, in other words, must have
a beginning point and an ending point (or a "top" and a "bottom"). Every
scale must *also* have points between the two endpoints that indicate
"movement" along the scale. These benchmarks are called the scale's
"thresholds."

Consider, for example, how scales might be used to measure income. On an
income scale, the beginning and ending points are the "richest" and the
"poorest" households. The intervening thresholds might be quartiles of
income. As a poor household becomes more wealthy (*i.e.*, moves up the
scale), it moves from the bottom quartile to the third quartile to the
top quartile of income.[^6] At any given point in time, it is possible
to determine where the household falls on the scale (from bottom
quartile to top quartile). By taking repeated measurements of the
household's placement on the scale, the movement of the household along
the scale can be measured and tracked.

**[The Home Energy Insecurity Scale thresholds]{.underline}:** The Home
Energy Insecurity Scale uses the same five thresholds as does ROMA.[^7]
Each of these thresholds measures the self-sufficiency status of a
household at a particular point in time. The same five thresholds are
used for all aspects of a household's well-being (*e.g.*, food and
nutrition, housing, employment, energy). The five ROMA thresholds used
for the Home Energy Insecurity Scale are:

-   Thriving

-   Capable

-   Stable

-   Vulnerable

-   In-Crisis

There is no magic to the actual words used as labels for the thresholds.
Indeed, some agencies change the words at times. For example, some say
"at-risk" rather than "vulnerable," while others say "safe" instead of
"capable." The proposed Home Energy Insecurity Scale uses the same
terminology developed by the federal CSBG Monitoring and Assessment Task
Force (MATF). Using the MATF terminology is intended to promote
uniformity in language and application. It also makes clear that the
intent is to measure the same things whether the scales being used are
for home energy, shelter, food and nutrition, or some other aspect of
household well-being.

##### [What the Thresholds Represent]{.underline}: Each of the five thresholds used in the Home Energy Insecurity Scale represents a conclusion as to the level of energy self-sufficiency by a household. The Home Energy Insecurity Scale has been designed to represent the energy-equivalent of other household scales. Whether it involves energy, or housing, or nutrition, the provision of basic household needs by a self-sufficient household involves certain fundamental similarities. Households that fall within the "capable" threshold of the Home Energy Insecurity Scale, in other words, should demonstrate the same basic attributes relative to energy that a household falling into the "capable" threshold of the food and nutrition scale would demonstrate relative to food and nutrition.[^8] 

The discussion below describes what each threshold on the Home Energy
Insecurity Scale represents. The discussion below differs from the
discussion later in the text describing specifically how to determine
whether a household falls within each threshold. The specific questions
to ask a household, along with the way in which the responses to each
question should be used to place a household in one threshold rather
than another, are discussed in the section below regarding operation of
the scale.

The thresholds that comprise the Home Energy Insecurity Scale indicate
the following about a household:[^9]

-   A *[thriving]{.underline}* household is one that has achieved
    generally accepted standards of well-being. The thriving household
    can engage in the full range of home energy uses of its choice
    without outside assistance and without financial strain. As soon as
    data collection reveals that a household decides to forego desired
    energy uses, the household is no longer considered to be "thriving."
    As soon as evidence of "financial strain" appears, a household is no
    longer considered to be "thriving." Payment problems are one, but
    only one, specific type of household strain. A thriving household
    does not need outside assistance to help pay its home energy
    bills.[^10]

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-   A *[capable]{.underline}* household is secure, even though not
    having achieved the full range of generally accepted standards of
    well-being. A capable household may have arrears because it cannot
    afford to pay its energy bills, but does not have such arrears more
    than occasionally. Those arrears that a capable household
    experiences never place the household's continuing energy service at
    risk. A capable household never experiences an adverse impact on
    basic household necessities because of its energy bills, and no more
    than occasionally foregoes some energy use wanted for comfort or
    convenience because it cannot afford the energy bill.[^11] A capable
    household no more than occasionally experiences financial strain
    because of its energy bills and does not have need to access outside
    help to pay energy bills.

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-   A *[stable]{.underline}* household does not face significant threats
    and is unlikely to be in immediate crisis. The stable household may
    have a need to access outside assistance to pay current energy
    bills, but this need does not arise more than "sometimes." It may
    have more than occasional arrears. Nonetheless, a stable household
    does not experience routine arrears in combination with the
    threatened loss of continuing energy service. A stable household
    never experiences an actual discontinuance of service. Nor does a
    stable household ever forego basic non-energy household necessities
    in order to pay its home energy bill. A stable household may on
    infrequent occasion need to engage in temporary or inappropriate
    actions because it lacks money to pay its home energy bills, but it
    does not do so regularly. Such an action might include, for example,
    not heating/cooling part of the home; turning off the hot water
    entirely; leaving home for all or part of the day in order to turn
    off the heating/cooling; or using an appliance to heat the home when
    that appliance is not intended for such purposes.

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-   A *[vulnerable]{.underline}* household is one that is not in
    immediate danger, but that may avoid this danger only through
    temporary or inappropriate solutions. A vulnerable household may
    occasionally face energy choices that require it to compromise not
    merely on comfort and/or convenience, but on basic household energy
    needs such as heating and/or hot water.[^12] The household may not
    only have arrears, but it may have arrears of sufficient age or
    magnitude to result in the threatened loss of home energy service. A
    vulnerable household may also infrequently experience the actual
    discontinuance of service, but does not experience a frequent or
    regular loss of service. The vulnerable household may occasionally,
    but not frequently, engage in temporary or transitional actions to
    reduce energy use (*e.g.*, turning temperature down to unsafe
    levels; using temporary heating fuels; turning heat down or off and
    leaving home during day; closing off rooms for periods of time), or
    may experience adverse effects on the provision of basic household
    needs in order to pay the home energy bill (*e.g.*, reduce food or
    medicine consumption). These impacts, however, while they may occur
    in "some months," do not happen "nearly every month." A household
    that may routinely need to access outside assistance to help pay its
    energy bills is considered "vulnerable." This dependence places a
    household in the "vulnerable" threshold irrespective of whether the
    household experiences other adverse home energy insecurity impacts.

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-   An *[in-crisis]{.underline}* household faces immediate needs that
    threaten the household's physical and/or emotional safety. An
    in-crisis household may experience recurring periods of going
    without home energy service. In the alternative, this household may
    either routinely engage in energy use choices that compromise basic
    household needs (*e.g.*, hot water, heating); routinely engage in
    temporary or transitional actions; or routinely engage in energy
    bill payment strategies that adversely affect the provision of basic
    household needs (*e.g.*, food, medical care). Note the three
    alternative conditions that might place someone in the "in-crisis"
    threshold: (1) the household goes without energy;
    *[or]{.underline}* (2) the household has energy, but has to
    routinely compromise on its energy use for basic household
    necessities; *[or]{.underline}* (3) the household does not
    compromise on its energy use, but in order to maintain that energy
    use, must compromise on *non-energy­* basic necessities. Any one of
    these attributes places a household "in-crisis."

The specific thresholds that comprise the Home Energy Insecurity Scale
are presented in Appendix C along with their basic attribute. The
specific factual findings that go into concluding whether a household is
in one threshold rather than another \-- these findings are known as
"indicators" \-- are discussed below.

##### The Factual Inputs that Go into a Scale: The "Indicators"

**[What are indicators generally]{.underline}:** The basic pieces of
factual information that are collected and used to determine which
threshold best describes a household are called "indicators." The
indicators used in a scale have no significance ascribed to them
standing alone. They are facts about a household. They may be collected
by survey, by observation, or by a review of program application forms.
The Home Energy Insecurity Scale is based upon survey data.

The most important task in implementing the thresholds that underlie the
Home Energy Insecurity Scale involves ensuring that a household can fit
into only *[one]{.underline}* of the thresholds when data are collected.
Each threshold must be defined so that a household either fits, or it
does not. Conversely, if a household does *not* fit into one threshold,
the household *must* fit into another.

The choice on which threshold a household fits into can be determined by
the presence or the absence of some household attribute. If Attribute A
is present, for example, the household is "capable," and if not, the
household is *not* "capable." If Attribute B is missing, the household
is "vulnerable," and if not, the household is *not* "vulnerable" but
must be something else. The piece of information that is used to
determine where a household fits on the scale is called an "indicator."
Each threshold in the Home Energy Insecurity Scale has more than one
indicator associated with it.

Application of the principles above would appear to dictate that
development of a scale involves a mechanistic application of indicators.
A mechanistic approach to scaling allows evaluators to have confidence
that two people looking at the same household with the same data would
reach the same conclusion about into which threshold the household
should be placed. Creating a mechanistic scale does not allow for anyone
to make a "wrong" decision about where the household falls.

Having said this, however, dealing with people is rarely so neat. There
will always be situations where a household does not fit clearly into
any one level of the scale (*i.e.*, they have some attributes that are
associated with one threshold, but other attributes that are associated
with a different threshold). While the implementation of the Home Energy
Insecurity Scale has been made as objective as possible, the actual use
of the Home Energy Insecurity Scale (as with any scale) must balance the
"science" of scales with some "art."

**[Defining the indicators]{.underline}:** The Home Energy Insecurity
Scale is based on five basic categories of indicators. These indicators
can serve two alternative functions. On the one hand, the presence of an
indicator can mean that, irrespective of any other indicator, the
household is *included* within a certain threshold. If a household has
had home energy service discontinued for nonpayment in more than one or
two months, for example, that household will be classified as being
"in-crisis." On the other hand, the presence of an indicator can mean
that, irrespective of any other indicator, the household is *excluded*
from a certain threshold. If a household has received energy assistance,
for example, irrespective of any other data, that household will *not*
be classified as "thriving."

A variety of factors have been used to select not only the general
categories of home energy indicators, but the specific indicators within
each category as well. These factors include but are not limited to:

-   The indicator enables one to know about the selected condition.

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-   The indicator is defined in the same way over time.

-   The indicator is easily understood and accepted by stakeholders.

-   The indicator is supported by available data. and

-   The indicator is important to most people (both political supporters
    and skeptics).

The Home Energy Insecurity Scale uses five basic categories of
indicators through which to determine home energy self-sufficiency:

-   ***[Receipt of outside assistance.]{.underline}*** This includes
    more than simply energy assistance. The household is asked the
    extent to which the household's "home energy bill became due and
    \[the household\] did not have money to pay it without somebody's
    help."

-   ***[Constraints on energy usage.]{.underline}*** Different questions
    explore different intensities of constraint on energy usage. One
    question, for example, asks whether the household was constrained in
    the energy the household "wanted" to use. A more intense constraint
    involves whether reductions in energy use were to "uncomfortable or
    inconvenient levels." An even more intense constraint involves
    turning hot water heating or space heating/cooling off entirely
    because of the lack of money.

-   ***[Constraints on household necessities.]{.underline}*** Different
    questions explore different levels of impact that home energy bills
    have on the provision of household necessities. On the one hand, the
    involuntary discontinuance of energy service due to nonpayment was
    considered to be an adverse impact on the provision of household
    necessities. On the other hand, households are asked the extent to
    which, if at all, they reduce their expenditures on household
    necessities such as food or medicine because there was not enough
    money to pay for these *and* the home energy bill.

-   ***[Nonpayment of energy bills.]{.underline}*** Again, different
    questions explore different levels of intensity of the response.
    Households were asked whether they ever did "not pay your home
    energy supplier because there was not enough money for the home
    energy bill." A more intense nonpayment issue is raised by the
    question of whether the household ever had its supplier of
    electricity or heating energy threaten to disconnect electricity or
    home heating fuel service, or discontinue making heating fuel
    deliveries, because the household could not afford to pay a past-due
    energy bill. An even more intense response involves the *actual*
    disconnection of service (or discontinuance of deliveries).

-   ***[Financial strain.]{.underline}*** The presence of "strain" is
    measured through a variety of questions, including the extent to
    which, if at all, a respondent "worried whether \[his or her\] home
    energy bill would become overdue before \[he or she\] could get
    money to pay it."

Each question provides the household an opportunity to indicate whether
a statement about the indicator is true within a four-step frequency
scale. At their root, each of the indicators is based on whether, within
the twelve months preceding the survey, the indicated circumstance is
not true, is true infrequently, is true occasionally, or is true
frequently (or nearly always). Appendix D presents the Home Energy
Insecurity Scale Survey that serves as the basis for generating the
factual data on each indicator. Appendix E presents the decision rules
for determining the classification of a household based on the presence
or absence of indicators as revealed by the Survey. Appendix F
summarizes the relationship between the thresholds, the indicators, and
the questions of the Home Energy Insecurity Scale survey. The operation
of the survey and the decision rules is discussed in more detail below
within the text describing the operation of the Home Energy Insecurity
Scale.

The indicators identified above allow the Home Energy Insecurity Scale
to be used in diverse circumstances while maintaining some uniformity of
design and application. The Scale treats the person using air
conditioning in Tucson the same as the person using heating in
Minneapolis. It treats the farmer using propane to heat in Iowa the same
as the apartment dweller using electricity to heat in Manhattan. It
treats the two-parent household with ten children the same as the
widowed retired grandmother the same as the single disabled 25 year old
person.

**[How to Use the Home Energy Insecurity Scale]{.smallcaps}**

Using the Home Energy Insecurity Scale involves three steps:

-   Data collection from energy assistance recipients.

-   Scaling the respondents, which involves using the collected data to
    determine which threshold is applicable to each individual
    respondent. and

-   Repeating the data collection and scaling process a second time to
    determine the movement (if any) of the participants on the Home
    Energy Insecurity Scale.

Each of these steps is separately considered below.

***Collecting Indicator Data***

Indicator data is collected using the Home Energy Insecurity Scale
survey presented in Appendix D. The eleven (11) questions used in the
Home Energy Insecurity Scale have been adapted from the survey used by
the Food Assistance and Nutrition Research Program of the U.S.
Department of Agriculture (USDA) to measure "food insecurity" in the
United States.[^13]

The food insecurity survey provides an ideal model for the Home Energy
Insecurity Scale. The USDA characterizes its food security inquiry as
follows:

> Food security can be thought of as lying along a continuum from
> complete food security to severe hunger. Each household's food
> security status is assessed by a series of 18 questions (10 for
> households without children) that ask about behaviors and experiences
> known to characterize households having difficulty in meeting their
> food needs. The questions. . .ask about conditions in the past 12
> months and cover a wide range of severity, from having worried about
> whether food would run out to going a whole day without eating because
> there was not enough money for food.[^14]

The parallels between food insecurity and home energy insecurity make
the use of the USDA questions an excellent model for use in developing
the Home Energy Insecurity Scale. As with the USDA food questions, the
home energy questions ask about conditions in the past 12 months and
cover a wide range of severity, from having worried about whether home
energy would run out to having home energy service disconnected or
discontinued because there was not enough money for energy.

In addition, as with the USDA food insecurity questions, the Home Energy
Insecurity Scale is concerned only about energy problems associated with
resource constraints. USDA states about its food insecurity scale:

> Each question specifies lack of resources as the reason for the
> behavior or experience ("because we couldn't afford more food," or
> "because there wasn't enough money for food.") This is to ensure that
> the measure does not register as food deprivation any behavior
> associated with dieting to lose weight, fasting for religious reasons,
> or undergoing food shortages for any reason other than resource
> constraints.[^15]

Likewise, home energy experiences can vary based on personal
preferences. Some people prefer it cold in their housing units, while
others have a high tolerance for heat. These decisions are often based
on lifestyle or personal taste rather than on resource constraints. The
data collection questions for the Home Energy Insecurity Scale are
limited to behavior and experience associated with a lack of resources.
As with the USDA questions, these questions specify that the experience
or behavior is related to observations that "because there wasn't enough
money" or "because we could not afford" it.

***Using the Data to Scale Survey Respondents***

Once the Home Energy Insecurity Scale surveys have been completed, the
responses must be reviewed to determine where on the Home Energy
Insecurity Scale a respondent falls. The process of scaling involves an
iterative classification of all respondents. The process of
classification is intended to use a top-down iteration. A top-down
process begins by reviewing the entire population of survey respondents.
All respondents found to exhibit the indicators demarcating a "thriving"
household are removed from the population. The remaining population is
considered again, with all respondents found to exhibit the indicators
demarcating a "capable" household then removed. The process of
classification continues until all households are appropriately
classified.

Appendix E presents the classification process based on the Home Energy
Insecurity Scale survey included with this analysis. A "no" in the
Column Marked "indicator decision" means that a household cannot be part
of the threshold for which screening is currently occurring. The "basis
for the decision" indicates the specific question and response that
forms the factual basis for making that decision.

Consider, for example, the screening for "thriving" households. Question
2 of the Survey asks: "Our home energy bill became due and (I/we) didn't
have money to pay it without somebody's help. Was that often true,
sometimes true, or never true for (you/your household) in the last 12
months?" Since one indicator of a "thriving" household is the fact that
the household does not receive outside assistance to pay for home energy
bills, if the household responds either "often true" or "sometimes
true," the household cannot be characterized as "thriving." A "thriving"
household, in other words, must have "never true" as the response to
Question #2 in the survey. In screening for "thriving" households, all
households who mark "often true" or "sometimes true" are removed from
consideration. To illustrate, assume that Respondent 1001 is removed
from consideration as a "thriving" household because of his/her response
of 2a ("always true") or 2b ("sometimes true") with respect to the need
to use outside assistance.

For everyone else not removed at this point, answering "never true" to
the question about whether the respondent needs outside assistance to
help pay his or her home energy bill does not, unto itself, *make* those
respondents "thriving." The response "never true" merely keeps the
remaining households in the pool of potentially "thriving" households
pending application of additional indicators.

The next step, therefore, is to screen the remaining respondents
relative to Question 4. Question 4 of the survey asks: "(I/we) reduced
our energy consumption to uncomfortable or inconvenient levels because
(I was/we were) running out of money to pay our home energy bill. Was
that often true, sometimes true, or never true for (you/your household)
in the last 12 months." Since one indicator of a "thriving" household is
that the household has a full range of energy choices, if the household
responds either "often true" or "sometimes true," the household cannot
be characterized as "thriving." A "thriving" household, in other words,
irrespective of their use of outside assistance, must have "never true"
as the response to Question #4 in the survey. In screening for
"thriving" households, assume a Respondent 1002 (who marks "often true"
or "sometimes true" for Question 4) is added to the group of program
participants responding "often true" or "sometimes true" to Question 2
as having been removed from consideration as a "thriving" household.

This process of screening continues through the entire set of indicators
for the entire population. At the end of the process, the evaluator will
have two sets of survey respondents. One set will involve households
that cannot be considered "thriving." For each of those households, the
person doing the classification will have one disqualifying "thriving"
indicator cell marked "no" along with the question and response that
serves as the factual basis for that decision.[^16] In our example
above, for the "thriving" threshold, Respondent 1001 will be marked "no"
with a reference to either response 2a or response 2b. For the thriving
threshold, Respondent 1002 will not be classified based on any reference
to Question 2, but will be marked "no" with a reference to either
response 4a or 4b. The staffperson doing the classification should be
able to prepare a report that allows any other person to trace the
threshold classification decision for each survey respondent back to the
specific question and response that serves as the basis for the
decision.

  ----------------- ----------- ----------- ------------------------------
  "Thriving"                                
  Threshold                                 
  Classification                            
  Basis for Home                            
  Energy Insecurity                         
  Scale                                     

  Program           Decision    Decision    Conclusion
  Participant                   Basis       

  1001              No          Q-2a        Not thriving: receives outside
                                            assistance

  1002              No          Q-4b        Not thriving: energy use
                                            constraints present
  ----------------- ----------- ----------- ------------------------------

Once all "thriving" households have been identified, the process begins
anew with all households classified as "thriving" removed from the
population of respondents. The remaining population of respondents
determined to be not "thriving" is screened for indicators relative to
the "capable" threshold. Unlike the thriving household (which may not
experience arrears),[^17] a "capable" household may have an arrears so
long as those arrears are infrequent. Any household reporting more than
an infrequent arrears in response to Question 7 is thus found not to be
"capable." A "capable" household, in other words, may have "no" or "in
only 1 or 2 months" as a response to the statement "did you ever not pay
your home energy supplier because there wasn't enough money for the home
energy bill." The "capable" household may not have "some months" or
"almost every month" marked in response to this question.

As with the screening for thriving households, having set aside those
households that are not capable due to the application of one indicator,
the remaining households are screened for the next indicator. In
screening for "capable" households, the next indicator happens to
involve constraints on energy use. A "capable" household may have some
constraints on energy use, but, if so, may not have constraints on
energy use needed for basic household necessities. As a result, a
household that answers "yes" in response to Question 6 is determined to
be not "capable." Only if the household responds "no" to Question 6 ("in
the last 12 months. . .did you ever leave your home for all or part of
the day because there wasn't enough money for the home energy bill, or,
did you ever turn off your hot water because there wasn't enough money
for the home energy bill?"). Only if the household responds "no" to
Question 6, will the household remain in the pool that will be further
screened to determine whether it is "capable."

After screening for all attributes of a "capable household" has been
completed, and the population of "capable" households has been
identified and removed from the population of respondents, the screening
process begins anew for those respondents that remain. The next level of
screening is for attributes relating to whether a household is "stable."
The process then continues. Once the population of "stable" households
has been identified and set aside, the next level of screening is for
attributes relating to whether a household is "vulnerable." Finally, the
last screening step is to determine those households meeting the screens
for "in crisis."

It is important to apply indicators to the appropriate population and in
the appropriate order. The population of survey respondents narrows as
each threshold is filled through the previous screens. To screen for
"vulnerable," in other words, necessarily implies that screening for
"thriving," "capable" and "stable" has already occurred. It would be
inappropriate to screen for "vulnerable" without having previously
screened out the respondents who fall within thresholds that are above
"vulnerable."[^18]

This process of screening allows the program manager to make definite
decisions about each household. As the MATF Scales Handbook explains it:

> These types of scales lead a case manager in decision making by
> creating a path with continual forks in the road. The case manager
> must either turn right or left: they cannot go both ways at the same
> time.

The screening process is the path. Each screening step represents one of
the forks in the road. At each fork, a household responding to the Home
Energy Insecurity Scale survey must remain either "in" or "out" of the
threshold for which screening is occurring at that particular time. The
household cannot be both "in" and "out," and it cannot be neither. At
the end of the screening process, having applied each indicator, each
respondent will have been classified into a threshold. Each set of
responses will allow such classification to result in one, and only one,
threshold to be applicable to each respondent.

***Placing the Data Into Usable Reports***[^19]

Data collection for the Home Energy Insecurity Scale requires agencies
to periodically gather information. Because the scale defines outcomes
in terms of the *change* in self-sufficiency status, it will require
agencies to gather information on each household twice: (1) first to
measure initial conditions (to establish a base line of data); and (2)
second, to determine to what extent, if at all, household situations
have changed.

The agency should take its first measurement at the time a household
applies for its energy assistance grant (looking retrospectively at the
twelve months prior to the receipt of assistance) and then again twelve
months after assistance is provided (looking at the twelve months
following the receipt of assistance).

The additional data collection requirements will increase burdens on
agencies, particularly the field staff who will most likely have the
primary responsibility for data collection. Data collection should be
performed for a selection of program participants each year.[^20]

The measurements are then combined and presented on a two-dimensional
matrix using a table like that below. The columns of the table
correspond to the beginning level of each household tracked. The rows
represent the ending levels of those households. As a result, each cell
of the table represents all of the possible changes that might occur to
households.

+---------+---------+---------+---------+---------+---------+---------+
| Home    |         |         |         |         |         |         |
| Energy  |         |         |         |         |         |         |
| Ins     |         |         |         |         |         |         |
| ecurity |         |         |         |         |         |         |
| Scale   |         |         |         |         |         |         |
| Matrix  |         |         |         |         |         |         |
+---------+---------+---------+---------+---------+---------+---------+
|         | Be      |         |         |         |         |         |
|         | ginning |         |         |         |         |         |
|         | Status  |         |         |         |         |         |
+---------+---------+---------+---------+---------+---------+---------+
| >       |         | T       | Capable | Stable  | Vul     | In      |
|  Ending |         | hriving |         |         | nerable | -Crisis |
| >       |         |         |         |         |         |         |
|  Status |         |         |         |         |         |         |
+---------+---------+---------+---------+---------+---------+---------+
|         | T       | 1       | 2       | 3       | 4       | 5       |
|         | hriving |         |         |         |         |         |
+---------+---------+---------+---------+---------+---------+---------+
|         | Capable | 6       | 7       | 8       | 9       | 10      |
+---------+---------+---------+---------+---------+---------+---------+
|         | Stable  | 11      | 12      | 13      | 14      | 15      |
+---------+---------+---------+---------+---------+---------+---------+
|         | Vul     | 16      | 17      | 18      | 19      | 20      |
|         | nerable |         |         |         |         |         |
+---------+---------+---------+---------+---------+---------+---------+
|         | In      | 21      | 22      | 23      | 24      | 25      |
|         | -Crisis |         |         |         |         |         |
+---------+---------+---------+---------+---------+---------+---------+

In the table, agencies would simply record the number of households
experiencing each type of change in the cells of the table. For example,
if a household was assessed as "vulnerable" at the first contact, but
was deemed to be "capable" at the second contact, it would fall in Cell
#9 (corresponding to Beginning Status (column 4) and Ending Status (row
4)).

An example of recording data is presented in Appendix G, using purely
hypothetical data. Agencies would simply record the number of households
experiencing each type of change in the cells of the table. Appendix G
simply reports the following outcomes for the hypothetical energy
assistance program underlying that report:

-   2 program participants began the program in the "capable" threshold,
    but moved up to "thriving" by the end of the year.

-   3 program participants began the program in the "stable" threshold
    and remained in the "stable" threshold at the end of the year.

-   2 program participants began the program in the "vulnerable"
    threshold, but moved up to the "stable" threshold by the end of the
    year.

-   5 program participants began the program in the "vulnerable"
    threshold and remained in the "vulnerable" threshold at the end of
    the year.

-   4 program participants began the program in the "vulnerable"
    threshold, but moved down to the "in-crisis" threshold by the end of
    the year. and

-   6 program participants began the program in the "in-crisis"
    threshold, but moved up to the "stable" threshold by the end of the
    year.

A separate report can be kept for households that are tracked over a
multi-year period. In these cases, the beginning assessment may have
been made in a previous program year.[^21]

***Summary***

No question exists but that many issues presented by the Home Energy
Insecurity Scale will need to be worked out during implementation. As
specific issues arise, and are resolved, the scale will be modified. So,
too, there will likely be a need to revisit the scale as evaluators and
analysts begin to take data developed through the Home Energy Insecurity
Scale and assess what lessons are to be found. The objective at this
point, as with the ROMA scales, is to create a language to communicate
with.[^22] Defining the thresholds and creation of the scale is the
first step in what is likely to be a multi-year process.[^23]

######### Testing the Home Energy Insecurity Scale

The design of the Home Energy Insecurity Scale involved a period of
limited field testing of the scale in ten states throughout the
country.[^24] During February through April 2003, community action
agencies in New Hampshire, Massachusetts, West Virginia, Pennsylvania,
Kentucky, Ohio, Missouri, Montana, Oregon and Washington[^25]
administered the Home Energy Insecurity Scale survey to a total of 90
households in their respective agencies.[^26] This field testing of the
survey found that it takes about 10 -- 15 minutes to administer.

The purpose of the testing was not to obtain the substance of the
results, but rather to pilot the survey and screening process described
above using real information. Nonetheless, the ten states were chosen to
generate responses from a variety of respondents and situations: big
states and small states; rural areas and urban areas; natural gas,
electricity, and fuel oil heating areas; East vs. West areas; North vs.
South areas. In addition, both LIHEAP and non-LIHEAP recipients were
included in the respondents. Again, however, the discussion below is not
presented to establish the accuracy of the substance of the information
contained within the results. The testing was performed simply to pilot
the survey and scaling process and to illustrate its operation.

***Classifying the Population as a Whole***

The 84 completed responses from these ten states were scaled using a
top-down approach. As was discussed above, the top-down approach simply
means that the responses were screened to determine the thresholds for
each respondent beginning with "thriving" and continuing down through
"in-crisis."

**["Thriving" households]{.underline}:** Of the 85 respondents in the
test group, none were classified as "thriving." The receipt of outside
assistance to help pay home energy bills (Question 2) was the most
common disqualifying indicator.[^27] Of the 85 respondents, 74 were
determined to be not "thriving" because of the receipt of outside
assistance. Nine (9) more were disqualified as a thriving household
because of constraints on their energy use (Question 3 or Question 4).
One had received a notice of disconnection.

As a result of the screening for "thriving" households, all 85
respondents remained in the pool to be screened for whether they fall
into the "capable" threshold.

**["Capable" households]{.underline}:** Of the 85 respondents in the
test group, four (4) were classified as "capable." The primary reason
for determining that households could *not* be placed in the "capable"
threshold involved the receipt of outside assistance (Question 2)
(n=33); the nonpayment of an energy bill on more than an infrequent
basis (Question 7) (n=19); and the reduction of energy used below that
needed to provide basic household necessities (Question 6) (n=15).[^28]
Other scattered indicators also disqualified households from being
classified as "capable," including five (5) households that received
service disconnection notices even though they reported infrequent
episodes of nonpayment.

As a result of screening for "capable" households, 81 respondents
remained in the pool to be screened for whether they fall into the
"stable" threshold.

**["Stable" households]{.underline}:** Of the 81 respondents remaining
in the test pool, seven (7) were classified as "stable." The primary
reason for determining that households could not be placed in the
"stable" threshold involved the combined presence of more than
occasional arrears (Question 7) *and* at least one notice of service
discontinuance (Question 10) (n=31).[^29] Other common reasons for
disqualifying households from being classified as "stable" involved
reduced household spending on food or medicine (Question 9) (n=24) and
frequently finding their energy bill become due and not having money to
pay it without outside help (Question 2) (n=10). Other scattered
indicators also disqualified households from being considered "stable."

Two households were classified as "stable" despite the presence of
frequent worry about whether his or her home energy bill would become
overdue before he or she could get money to pay for it (Question 1). In
order for a household to drop to "vulnerable" or "in-crisis," such
frequent worry is required to be combined with some other indicator
indicating "vulnerable" or "in-crisis" status.

As a result of screening for "stable" households, 74 respondents
remained in the pool to be screened for whether they fall into the
"vulnerable" threshold.

**["Vulnerable" households]{.underline}:** Of the 74 respondents
remaining in the test pool, 37 were classified as "vulnerable." The
primary reason for determining that households could not be placed in
the "vulnerable" threshold involved their reduction of spending on food
or medicine in "almost every month" because there was not enough money
to pay for these and the home energy bill (Question 9) (n=22). Other
factors that disqualified households from being classified as
"vulnerable" involved the actual disconnection of energy service on more
than an infrequent basis (Question 11) (n=8) and a reduction of energy
use below that needed to provide basic household necessities in "almost
every month" (Question 6) (n=7). Other scattered indicators also
disqualified households from being considered "vulnerable."

As a result of screening for "vulnerable" households, 37 respondents
remained in the pool to be screened for whether they fall into the
"in-crisis" threshold.

**["In-crisis" households]{.underline}:** The 37 respondents remaining
in the test pool exhibited the characteristics assigned to "in-crisis"
households. The characteristics placing households in the "in-crisis"
threshold are the same characteristics that disqualified them from the
"vulnerable" threshold. Fifteen (15) of these households reduced their
spending on food or medicine in "almost every month" because they did
not have enough money to pay for both the food/medicine and their home
energy bill (Question 9). Thirteen (13) of these households reduced
their energy use in "almost every month" below that use needed to
provide basic household necessities (Question 6). Eight (8) of these
households experienced, on more than an infrequent basis, an actual
discontinuance of energy service because they "were unable to pay for an
outstanding home energy bill" (Question 11).[^30] Other scattered
characteristics of "in-crisis" households existed as well.

***Illustrative Threshold Classifications Using Home Energy Insecurity
Scale Indicators***

To further illustrate the process of using the Home Energy Insecurity
Scale survey to identify indicators and scale survey respondents, the
discussion below examines the individual responses of seven illustrative
respondents to the Home Energy Insecurity Scale survey testing discussed
above. The full set of survey responses from these seven individuals is
presented in Appendix J. The discussion below discusses how those
responses were used to apply the Home Energy Insecurity Scale indicators
and presents the final threshold classification into which each
individual would be placed given those responses.

**[Respondent #1013]{.underline}:** Respondent #1013 is a three-person
household (2 adults and 1 child) living in Malta, Ohio. This household
received LIHEAP in Fiscal Year (FY) 2003. The household heats with
electricity. The household is classified as "vulnerable." The household
is disqualified from being "thriving" because it reports that it is
"sometimes true" that it did not have enough money to pay its home
energy bill without somebody's help.[^31] A household receiving outside
assistance cannot be thriving. The household is disqualified from being
"capable" because it responded "yes" to whether it was ever required to
reduce its consumption of energy below that which was needed for
household necessities. A "capable" household experiences no adverse
impacts on the provision of basic energy. The household is disqualified
from being "stable" because it responded "yes" to whether it was ever
required to reduce expenses for basic household necessities (such as
food or medicine) because there was not enough money to pay for these
and the home energy bill. The household was classified as "vulnerable"
because it had no indicators indicating "in-crisis" status and because
it had more than occasional, but not a frequent, need to reduce its
spending on basic household necessities in order to pay its home energy
bill.

**[Respondent #1017]{.underline}:** Respondent #1017 is a two-person
household (2 adults) living in Summersville, West Virginia. This
household did not receive LIHEAP in FY 2003. The household heats with
natural gas. The household is classified as "in-crisis." The household
is disqualified from being "thriving" because it reports that it is
"sometimes true" that it did not have enough money to pay its home
energy bill without somebody's help. The household is disqualified from
being "capable" because it responded "yes" to whether it was ever
required to reduce its consumption of energy below that which was needed
for household necessities. The household is disqualified from being
"stable" because it responded "yes" to whether it was ever required to
reduce expenses for basic household necessities (such as food or
medicine) because there was not enough money to pay for these and the
home energy bill. The household was disqualified from being "vulnerable"
because it reported that its need to reduce expenditures on basic
household needs such as food or medicine in order to pay the home energy
bill was not merely "some months" but was "almost every month." It was
this frequent impact on basic household needs that was the indicator
used to classify this household as being "in-crisis."

**[Respondent #1026]{.underline}:** Respondent #1026 is a two-person
household (2 adults) living in Gloucester, Massachusetts. This household
received LIHEAP in FY 2003. The household heats with natural gas. This
household is classified as "capable." The household is disqualified from
being "thriving" because it reports that it is "sometimes true" that it
did not have enough money to pay its home energy bill without somebody's
help. The household reports no other indicator that would disqualify it
from being "capable." It reports never reducing energy use to
uncomfortable or inconvenient levels. It is never required to reduce
energy use to below that needed for basic household necessities. It
exhibits no payment problems, and reports no adverse impacts on
household necessities.

**[Respondent #1032]{.underline}:** Respondent #1032 is a one-person
household (1 adult) living in Gloucester, Massachusetts. This household
received LIHEAP in FY 2003. The household heats with fuel oil. The
household is classified as "vulnerable." The household is disqualified
from being "thriving," from being "capable," and from being "stable"
because it reports that it is "often true" that it did not have enough
money to pay its home energy bill without somebody's help. A household
that frequently needs to access outside assistance is, at best, placed
in the "vulnerable" threshold. The household was ultimately classified
as "vulnerable" because it reported no indicator placing it in the
"in-crisis" threshold and because it reported a more than occasional,
but not frequent, need to reduce spending on basic household needs such
as food and medicine because it did not have sufficient money to pay the
home energy bill and buy these necessities.

**[Respondent #1040]{.underline}:** Respondent #1040 is a three-person
household (1 adult and 2 children) living in Columbia, Missouri. This
household received LIHEAP in FY 2003. The household heats with natural
gas. The household is classified as "stable." The household is
disqualified from being "thriving" because it reports that it is
"sometimes true" that it did not have enough money to pay its home
energy bill without outside help. A household that needs to access
outside assistance cannot be classified as "thriving." The household is
disqualified from being "capable" because it reports that it was "often
true" that it worried whether the home energy bill would become overdue
before it could get money to pay for it. The household was classified as
"stable" because it did not have indicators indicating that it was a
"vulnerable" household. It did not have consistent arrears. It did not
experience adverse impacts on the use of energy for basic household
necessities. It did not experience adverse impacts on the provision of
household necessities such as food or medicine. It did not more than
occasionally experience constraints on energy use needed for comfort or
convenience.

**[Respondent #1042]{.underline}:** Respondent #1042 is a two-person
household (2 adults) living in Gilford, New Hampshire. This household
did not receive LIHEAP in FY 2003. The household heats with fuel oil.
The household is classified as "vulnerable." The household is
disqualified from being "thriving" and "capable" because it reports that
it is "often true" that it did not have enough money to pay its home
energy bill without somebody's help. The household was disqualified from
being classified as "stable" because it reported having more than
occasional arrears in combination with having received notices of
possible disconnection or discontinuance of home energy service due to
the nonpayment of bills. The mere presence of arrears, standing alone,
does not mean that a household cannot be considered "stable." However,
when the nonpayment of bills heightens to the receipt of notices of
service disconnection of discontinuance, the household moves from
potentially being "stable" to being classified as "vulnerable" instead.
This household remained in the "vulnerable" threshold because it did not
exhibit further indicators of being "in-crisis."

**[Respondent #1044]{.underline}:** Respondent #1044 is a five-person
household (2 adults and 3 children) living in Pembroke, New Hampshire.
This household received LIHEAP in FY 2003. The household heats with
natural gas. The household is classified as "in-crisis." The household
is disqualified from being "thriving" and "capable" because it reports
that it is "often true" that it did not have enough money to pay its
home energy bill without outside help. This household was disqualified
from being classified as "stable" because it reported having more than
occasional arrears in combination with having received notices of
possible disconnection or discontinuance of home energy service due to
the nonpayment of bills. The mere presence of arrears, standing alone,
does not mean that a household cannot be considered "stable." However,
when the nonpayment of bills heightens to the receipt of notices of
service disconnection of discontinuance, the household moves from
potentially being "stable" to being classified as "vulnerable" instead.
This household was ultimately classified as being "in-crisis" because it
reported having a disconnection or discontinuance of home energy service
in "almost every month" because of the household's inability to pay a
past-due energy bill. Having more than an infrequent disconnection or
discontinuance of service places a household in the "in-crisis"
threshold.

**[Respondent #1065]{.underline}:** Respondent #1065 is a four-person
household (2 adults and 2 children) living in Bourbon, Kentucky. This
household received LIHEAP in FY 2003. The household heats with
electricity. The household is classified as "vulnerable." The household
is disqualified from being "thriving" because it reports that it is
"sometimes true" that it did not have enough money to pay its home
energy bill without somebody's help. This household was disqualified
from being "capable" because it reported that it was "often true" that
the household worried whether the home energy bill would become overdue
before they could get money to pay for it. The household was
disqualified from being classified as "stable" because it experienced a
disconnection or discontinuance of home energy service due to the
nonpayment of past due bills. A household having experienced an actual
disconnection or discontinuance of service can, at best, be classified
as "vulnerable." This household was ultimately classified as being
"vulnerable" because it reported no indicator placing it in the
"in-crisis" threshold. The household reported only an infrequent (1 or 2
months) disconnection or discontinuance of service. Moreover, the
household did not report frequent adverse impacts on either the ability
to provide basic energy service or on the provision of basic household
necessities.[^32]

#### Summary and Conclusion

This paper describes the Home Energy Insecurity Scale. This scale
represents a household level scale that is consistent with other
ROMA-based household level outcome scales. The basic structure of a ROMA
scale (thriving, capable, stable, vulnerable, in-crisis) can be directly
applied to home energy situations.

It is evident that a ROMA-based household-level Home Energy Insecurity
Scale can be developed that will be applicable to a broad array of
circumstances. Accordingly, the results of such outcome measurement can
be aggregated on an agency, state and national level and can be
meaningfully compared across and between those jurisdictions.

Implementation of the Home Energy Insecurity Scale should be piloted on
a multi-state basis. This implementation will allow practitioners and
analysts alike to take the next step toward creating a national
mechanism for measuring the outcomes of various low-income home energy
assistance programs.

###### Appendix A

+-----------------+-----------------+-----------------+-----------------+
| ######## Co     |                 |                 |                 |
| ntrasting Famil |                 |                 |                 |
| y, Community an |                 |                 |                 |
| d Agency Scales |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 | Interventions,  |                 |                 |
|                 | Strategies, and |                 |                 |
|                 | Activities      |                 |                 |
|                 | produce change  |                 |                 |
|                 | in:             |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| Outcome Level   | Family          | Community       | Agency          |
+-----------------+-----------------+-----------------+-----------------+
| Monitoring and  | #1 Low-income   | #2 The          | #4 Partnerships |
| Assessment Task | people become   | conditions in   | among           |
| Force National  | more            | which           | supporters and  |
| Goals           | self-sufficient | low-income      | providers of    |
|                 |                 | people live are | services to     |
|                 | #6 Low-income   | improved.       | low-income      |
|                 | people,         |                 | people are      |
|                 | especially      | #3 Low-income   | achieved.       |
|                 | vulnerable      | people own a    |                 |
|                 | populations,    | stake in their  | #5 Agencies     |
|                 | achieve their   | community.      | increase their  |
|                 | potential by    |                 | capacity to     |
|                 | strengthening   |                 | achieve         |
|                 | family and      |                 | results.        |
|                 | other           |                 |                 |
|                 | supportive      |                 |                 |
|                 | systems.        |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| Units of        | Consumers,      | Wards,          | Agency,         |
| Measure         | clients,        | boroughs,       | program,        |
|                 | individuals,    | counties,       | employee        |
|                 | families,       | townships,      | groups,         |
|                 | enrollees,      | parishes,       | departments,    |
|                 | participants,   | census tracts,  | projects,       |
|                 | households.     | districts,      | bargaining      |
|                 |                 | neighborhoods,  | units.          |
|                 |                 | territories     |                 |
+-----------------+-----------------+-----------------+-----------------+
| Type of Change  | Family          | Systems         | Capacity or     |
|                 | functioning,    | function,       | performance     |
|                 | attainment, and | systems         |                 |
|                 | achievement.    | capacity, or    |                 |
|                 |                 | community       |                 |
|                 |                 | conditions.     |                 |
+-----------------+-----------------+-----------------+-----------------+
| Dimensions of   | Income,         | Public policy,  | Governance;     |
| Change          | education,      | equity, civic   | partnerships    |
|                 | family          | capital,        | and alliances;  |
|                 | functioning,    | service &       | compliance;     |
|                 | transportation, | support         | assets and      |
|                 | housing, basic  | systems,        | resources;      |
|                 | needs,          | economic        | workforce       |
|                 | community       | opportunity.    | environment;    |
|                 | involvement,    |                 | planning,       |
|                 | substance       |                 | measurement and |
|                 | abuse, child    |                 | evaluation;     |
|                 | care, health    |                 | public          |
|                 |                 |                 | communications; |
|                 |                 |                 | information and |
|                 |                 |                 | technology      |
|                 |                 |                 | management.     |
+-----------------+-----------------+-----------------+-----------------+
| Threshold       | Thriving, safe, | Thriving, safe, | Thriving, safe, |
| Terminology     | stable,         | stable,         | stable,         |
|                 | vulnerable,     | vulnerable,     | vulnerable,     |
|                 | in-crisis.      | in-crisis.      | in-crisis.      |
+-----------------+-----------------+-----------------+-----------------+
| Aggregation     | Program,        | Community,      | Agency, state   |
| Entities        | agency, state,  | state, or       | or national.    |
|                 | or national.    | national        |                 |
+-----------------+-----------------+-----------------+-----------------+
| U.S. Department |                 |                 |                 |
| of Health and   |                 |                 |                 |
| Human Services, |                 |                 |                 |
| *Community      |                 |                 |                 |
| Scales: A       |                 |                 |                 |
| Ladder to the   |                 |                 |                 |
| Twenty First    |                 |                 |                 |
| Century.*       |                 |                 |                 |
| Washington      |                 |                 |                 |
| D.C.: Office of |                 |                 |                 |
| Community       |                 |                 |                 |
| Services        |                 |                 |                 |
| (1997).         |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+

###### 

###### Appendix B

+-----------------+-----------------+-----------------+-----------------+
| **Basic         |                 |                 |                 |
| Attributes of   |                 |                 |                 |
| Family-Level    |                 |                 |                 |
| ROMA Scale (#1  |                 |                 |                 |
| of 3)**         |                 |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
|                 | Well-Being      | S               | Future-Oriented |
|                 |                 | elf-sufficiency |                 |
+-----------------+-----------------+-----------------+-----------------+
| > Thriving      | Achieved        | Does not        | Plans for       |
|                 | standards of    | receive public  | future.         |
|                 | well-being.     | assistance.     |                 |
|                 | Strong and      |                 |                 |
|                 | healthy family. |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| > Capable       | Generally       | May use public  | Goal oriented   |
|                 | secure.         | assistance, but | and proactive.  |
|                 | Commitment to   | use limited.    |                 |
|                 | improve.        |                 |                 |
+-----------------+-----------------+-----------------+-----------------+
| > Stable        | Does not face   | Most needs met, | Some            |
|                 | significant     | but only        | willingness to  |
|                 | threats.        | through routine | work toward     |
|                 | Unlikely to     | receipt of      | long-term       |
|                 | face immediate  | government or   | change.         |
|                 | crisis.         | other           |                 |
|                 |                 | assistance.     |                 |
+-----------------+-----------------+-----------------+-----------------+
| > Vulnerable    | Not in          | Routinely       | Unable or       |
|                 | immediate       | receives        | unwilling to    |
|                 | danger. But     | government      | develop         |
|                 | reliance on     | assistance and  | long-term       |
|                 | temporary or    | relies on       | solutions.      |
|                 | inappropriate   | temporary or    |                 |
|                 | solutions.      | inappropriate   |                 |
|                 |                 | solutions to    |                 |
|                 |                 | avoid danger.   |                 |
+-----------------+-----------------+-----------------+-----------------+
| > In-Crisis     | Immediate needs | Lacks knowledge | Unlikely to     |
|                 | that threaten   | of, or access   | improve without |
|                 | physical or     | to, outside     | assistance.     |
|                 | emotional       | assistance.     |                 |
|                 | safety. Unable  |                 |                 |
|                 | to meet basic   |                 |                 |
|                 | needs.          |                 |                 |
+-----------------+-----------------+-----------------+-----------------+

**[[Appendix B (]{.smallcaps}continued[)]{.smallcaps}]{.underline}**

+----------------------+-----------------------------------------------+
| **Basic Attributes   |                                               |
| of Family-Level ROMA |                                               |
| Scale (#2 of 3)**    |                                               |
+----------------------+-----------------------------------------------+
| > Thriving           | Family systems are strong and healthy, fully  |
|                      | functional. Family is achieving its own       |
|                      | self-determined goals. Has achieved commonly  |
|                      | accepted standards of family well-being.      |
|                      | Earned income is sufficient to meet current   |
|                      | needs, and it enables family to plan and save |
|                      | for future needs.                             |
+----------------------+-----------------------------------------------+
| > Capable            | Family is strong and has made significant     |
|                      | progress in improving its circumstances. It   |
|                      | is generally secure as a result of its own    |
|                      | efforts. Family is economically               |
|                      | self-sufficient as demonstrated by the        |
|                      | absence of dependency on traditional federal  |
|                      | "welfare" entitlement programs. It has a      |
|                      | clear vision of its ultimate goals.           |
|                      | Intervention is resource oriented toward      |
|                      | further development of the family's internal  |
|                      | resources.                                    |
+----------------------+-----------------------------------------------+
| > Stable             | Family is no longer in danger, is ready and   |
|                      | willing to change, and is planning for its    |
|                      | future. Family seeks supportive services to   |
|                      | assist family in implementing its plans.      |
+----------------------+-----------------------------------------------+
| > Vulnerable         | Family is secure from immediate threats to    |
|                      | health and safety, but has not yet developed  |
|                      | or committed to strategies/plans for          |
|                      | long-term growth and change. Continuing       |
|                      | safety-net intervention provides platform on  |
|                      | which the family can build its plans for      |
|                      | improving its circumstances.                  |
+----------------------+-----------------------------------------------+
| > In Crisis          | Family cannot meet its needs. Unwilling or    |
|                      | unable to work toward positive change. Family |
|                      | systems have collapsed or are in immediate    |
|                      | danger of collapse. Strong, comprehensive     |
|                      | outside intervention is needed to enable the  |
|                      | family to move out of danger.                 |
+----------------------+-----------------------------------------------+
| Michael Jones.       |                                               |
| California Matrix    |                                               |
| Model, at 2-11,      |                                               |
| General Guidelines   |                                               |
| for Defining         |                                               |
| Matrix/Scale Status  |                                               |
| Levels. (Revised May |                                               |
| 2000).               |                                               |
+----------------------+-----------------------------------------------+

**[[Appendix B (]{.smallcaps}continued[)]{.smallcaps}]{.underline}**

+-----------------------------------+-----------------------------------+
| **Basic Attributes of             |                                   |
| Family-Level ROMA Scale (#3 of    |                                   |
| 3)**                              |                                   |
+-----------------------------------+-----------------------------------+
| > Thriving                        | Choices among acceptable and      |
|                                   | palatable options                 |
+-----------------------------------+-----------------------------------+
|                                   | Adequate resources to exercise    |
|                                   | available choices                 |
+-----------------------------------+-----------------------------------+
|                                   | Permanence                        |
+-----------------------------------+-----------------------------------+
| > Capable                         | Fewer choices available. Options  |
|                                   | are acceptable.                   |
+-----------------------------------+-----------------------------------+
|                                   | Resources, sometimes subsidized,  |
|                                   | available to exercise choice.     |
+-----------------------------------+-----------------------------------+
|                                   | Transitional                      |
+-----------------------------------+-----------------------------------+
| > Stable                          | Choices limited but acceptable    |
+-----------------------------------+-----------------------------------+
|                                   | Often subsidy or partial support  |
|                                   | is required to exercise choice    |
+-----------------------------------+-----------------------------------+
|                                   | Temporary                         |
+-----------------------------------+-----------------------------------+
| > Vulnerable                      | Marginally adequate subsidized    |
|                                   | alternative is available.         |
+-----------------------------------+-----------------------------------+
|                                   | Actively working to improve       |
|                                   | situation                         |
+-----------------------------------+-----------------------------------+
| > In Crisis                       | No viable or acceptable options   |
+-----------------------------------+-----------------------------------+
|                                   | Lack of interest or inability to  |
|                                   | change situation                  |
+-----------------------------------+-----------------------------------+
|                                   | Dangerous                         |
+-----------------------------------+-----------------------------------+
| California Matrix Model, at 5-19. |                                   |
+-----------------------------------+-----------------------------------+

####### Appendix C

+----------------------+-----------------------------------------------+
| **[Household Level   |                                               |
| Home Energy          |                                               |
| Insecurity           |                                               |
| Scale]{.smallcaps}** |                                               |
|                      |                                               |
| **[For Home Energy   |                                               |
| Assistance           |                                               |
| Pro                  |                                               |
| grams]{.smallcaps}** |                                               |
+----------------------+-----------------------------------------------+
| > Thriving           | A "thriving" household has achieved generally |
|                      | accepted standards of well-being.             |
+----------------------+-----------------------------------------------+
| > Capable            | A 'capable" household is secure, even though  |
|                      | not having achieved the full range of         |
|                      | generally accepted standards of well-being.   |
+----------------------+-----------------------------------------------+
| > Stable             | A "stable" household does not face            |
|                      | significant threats and is unlikely to be in  |
|                      | immediate crisis.                             |
+----------------------+-----------------------------------------------+
| > Vulnerable         | A "vulnerable" household is one that is not   |
|                      | in immediate danger, but that may avoid this  |
|                      | danger only through temporary or              |
|                      | inappropriate solutions.                      |
+----------------------+-----------------------------------------------+
| > In Crisis          | An "in-crisis" household faces immediate      |
|                      | needs that threaten the household's physical  |
|                      | and/or emotional safety.                      |
+----------------------+-----------------------------------------------+

**[[Appendix D]{.underline}]{.smallcaps}**

**[Home Energy Insecurity Scale Survey]{.smallcaps}**

####### Survey Instructions

Field tests of the survey have found that it is user-friendly. Each
survey should take between 10 and 15 minutes to perform. Survey
questions, however, may prompt conversations with the client, however.
The "conversation making" aspects of the survey are considered to be a
good impact of the survey.

1.  Read this survey to the client and record the responses. Do *not*
    simply provide the survey to the client and let the client fill out
    the survey on his or her own.

2.  Circle the appropriate response after each question.

3.  Do not leave questions unanswered. If a client responds "I don't
    know," prompt them for an answer.

4.  Assure the survey respondent that all responses to the survey will
    be kept confidential.

5.  Record a survey tracking number for each survey that will allow the
    survey to be matched with a case file or LIHEAP application form. In
    this way, questions regarding income, household size and the like do
    not have to be repeated in this survey. That information may instead
    be obtained from case files.

**[[Appendix D]{.underline}]{.smallcaps}**

**[Home Energy Insecurity Scale Survey]{.smallcaps}**

**[Survey Questions]{.underline}**

Survey tracking number: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of survey respondent:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Community of residence:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ State:
\_\_\_\_\_\_\_\_\_\_\_\_

Primary heating fuel:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Received LIHEAP this program year (if known): \_\_\_\_\_\_\_ yes
\_\_\_\_\_\_\_ no

Agency completing form:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

These questions are about the energy used in your household in the last
12 months, since (current month) of last year and whether you were able
to afford the home energy you need.

I'm going to read you several statements that people have made about
their home energy situation. For these statements, please tell me
whether the statement was often true, sometimes true, or never true for
(you/your household) in the last 12 months.

Q1. The first statement is "(I/We) worried whether (my/our) home energy
bill would become overdue before (I/we) could get money to pay it." Was
that often true, sometimes true, or never true for (you/your household)
in the last 12 months?

Q2. Our home energy bill became due, and (I/we) didn't have money to pay
it without somebody's help. Was that often true, sometimes true, or
never true for (you/your household) in the last 12 months?

Q3. (I/We) couldn't afford to heat or cool our home to the temperature
we wanted it to be, or to use our water or appliances to the extent we
wanted to use them." Was that often true, sometimes true, or never true
for (you/your household) in the last 12 months?

Q4. (I/we) reduced our energy consumption to uncomfortable or
inconvenient levels because (I was/we were) running out of money to pay
our home energy bill." Was that often true, sometimes true, or never
true for (you/your household) in the last 12 months?

Q5. (I/we) could not use our entire home because we could not afford to
heat or cool it. Was that often true, sometimes true, or never true for
(you/your household) in the last 12 months?

Q6. In the last 12 months, since last (name of current month), did you
ever leave your home for all or part of the day because there wasn't
enough money for the home energy bill, or, did you ever turn off your
hot water because there wasn't enough money for the home energy bill?
(respond "yes" if one or the other or both is true). Yes No

Q6a. \[IF YES ABOVE, ASK\] How often did one or the other of these
happen---almost every month, some months but not every month, or in only
1 or 2 months?

Q7. In the last 12 months, since last (name of current month), did you
ever not pay your home energy supplier because there wasn't enough money
for the home energy bill? Yes No

Q7a. \[IF YES ABOVE, ASK\] How often did this happen---almost every
month, some months but not every month, or in only 1 or 2 months?

Q8. In the last 12 months, since last (name of current month), did you
ever use your kitchen stove or oven to provide heat because there wasn't
enough money to pay your home heating bills? Yes No

Q8a. \[IF YES ABOVE, ASK\] How often did this happen---almost every
month, some months but not every month, or in only 1 or 2 months?

Q9. In the last 12 months, did you ever reduce your expenses for what
you consider to be basic household necessities because there was not
enough money to pay for these and to pay your home energy bill? Yes No

Q9a. \[IF YES ABOVE, ASK\] How often did this happen---almost every
month, some months but not every month, or in only 1 or 2 months?

Q10. In the last 12 months, did you have a supplier of your electric or
home heating service threaten to disconnect your electricity or home
heating fuel service, or discontinue making fuel deliveries, because you
could not afford to pay a past-due home energy bill? Yes No

Q10a. \[IF YES ABOVE, ASK\] How often did this happen---almost every
month, some months but not every month, or in only 1 or 2 months?

Q11. In the past 12 months, did you have a supplier of your electricity
or home heating fuel disconnect or discontinue your energy supply
because you were unable to pay for a past-due home energy bill? Yes No

Q11a. \[IF YES ABOVE, ASK\] How often did this happen---almost every
month, some months but not every month, or in only 1 or 2 months?

######## [[Appendix E]{.underline} (]{.smallcaps}page 1 of 5[)]{.smallcaps}

######## [Tying Home Energy Insecurity Scale Survey]{.smallcaps}

**[to Home Energy Insecurity Scale Indicators]{.smallcaps}**

+-----------+-------+-------+------------------+---------------------+
| ###       |       |       |                  |                     |
| ##### [Sc |       |       |                  |                     |
| reening f |       |       |                  |                     |
| or "Thriv |       |       |                  |                     |
| ing"]{.sm |       |       |                  |                     |
| allcaps}  |       |       |                  |                     |
|           |       |       |                  |                     |
| **        |       |       |                  |                     |
| Screening |       |       |                  |                     |
| question: |       |       |                  |                     |
| Is this   |       |       |                  |                     |
| household |       |       |                  |                     |
| "thr      |       |       |                  |                     |
| iving"?** |       |       |                  |                     |
|           |       |       |                  |                     |
| **P       |       |       |                  |                     |
| opulation |       |       |                  |                     |
| screening |       |       |                  |                     |
| question  |       |       |                  |                     |
| applied   |       |       |                  |                     |
| to: total |       |       |                  |                     |
| pop       |       |       |                  |                     |
| ulation** |       |       |                  |                     |
+-----------+-------+-------+------------------+---------------------+
| Threshold | Indi  | Basis | Indicator to     | In order presented  |
|           | cator | for   | Apply            | below, screen       |
|           | Dec   | Dec   |                  | respondents as      |
|           | ision | ision |                  | follows:            |
+-----------+-------+-------+------------------+---------------------+
| >         | No    | If 2a | Has no need to   | Which respondents   |
|  Thriving |       | or 2b | access outside   | answered "never     |
|           |       |       | assistance.      | true" (c) to        |
|           |       |       |                  | Question 2?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If 4a | Has no           | Of all remaining,   |
|           |       | or 4b | constraint on    | which responded     |
|           |       |       | choice of energy | "never true" (c) to |
|           |       |       | uses.            | Question 4?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If 3a |                  | Of all remaining,   |
|           |       | or 3b |                  | which responded     |
|           |       |       |                  | "never true" (c) to |
|           |       |       |                  | Question 3?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If 5a |                  | Of all remaining,   |
|           |       | or 5b |                  | which responded     |
|           |       |       |                  | "never true" (c) to |
|           |       |       |                  | Question 5?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    |                  | Of all remaining,   |
|           |       | "yes" |                  | which responded     |
|           |       | to    |                  | "yes" to Question   |
|           |       | Q-6   |                  | 6?                  |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If 8a |                  | Of all remaining,   |
|           |       | or 8b |                  | which responded     |
|           |       |       |                  | "yes" to Question   |
|           |       |       |                  | 8?                  |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    | Has no energy    | Of all remaining,   |
|           |       | "yes" | payment          | which responded     |
|           |       | to    | problems.        | "yes" to Question   |
|           |       | Q-10  |                  | 10?                 |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    |                  | Of all remaining,   |
|           |       | "yes" |                  | which responded     |
|           |       | to    |                  | "yes" to Question   |
|           |       | Q-7   |                  | 7?                  |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    | Has no financial | Of all remaining,   |
|           |       | "yes" | strain.          | which responded     |
|           |       | to    |                  | "yes" to Question   |
|           |       | Q-9   |                  | 9?                  |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    |                  | Of all remaining,   |
|           |       | 1(a)  |                  | which responded     |
|           |       | or    |                  | "often true" (a) or |
|           |       | 1(b)  |                  | 'sometimes" (b) to  |
|           |       |       |                  | Question 1?         |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   |       |                  | All who remain, if  |
|           |       |       |                  | any, after the      |
|           |       |       |                  | above screens, are  |
|           |       |       |                  | categorized as      |
|           |       |       |                  | "thriving."         |
+-----------+-------+-------+------------------+---------------------+

######## [[Appendix E]{.underline} (]{.smallcaps}page 2 of 5[)]{.smallcaps} 

######## [Tying Home Energy Insecurity Scale Survey]{.smallcaps}

**[to Home Energy Insecurity Scale Indicators]{.smallcaps}**

+-----------+-------+-------+------------------+---------------------+
| #         |       |       |                  |                     |
| ####### [ |       |       |                  |                     |
| Screening |       |       |                  |                     |
|  for "Cap |       |       |                  |                     |
| able"]{.s |       |       |                  |                     |
| mallcaps} |       |       |                  |                     |
|           |       |       |                  |                     |
| **        |       |       |                  |                     |
| Screening |       |       |                  |                     |
| question: |       |       |                  |                     |
| Is this   |       |       |                  |                     |
| household |       |       |                  |                     |
| "ca       |       |       |                  |                     |
| pable"?** |       |       |                  |                     |
|           |       |       |                  |                     |
| **P       |       |       |                  |                     |
| opulation |       |       |                  |                     |
| screening |       |       |                  |                     |
| question  |       |       |                  |                     |
| applied   |       |       |                  |                     |
| to: total |       |       |                  |                     |
| p         |       |       |                  |                     |
| opulation |       |       |                  |                     |
| not       |       |       |                  |                     |
| p         |       |       |                  |                     |
| reviously |       |       |                  |                     |
| found to  |       |       |                  |                     |
| be        |       |       |                  |                     |
| "thr      |       |       |                  |                     |
| iving."** |       |       |                  |                     |
+-----------+-------+-------+------------------+---------------------+
| Threshold | Indi  | Basis | Indicator to     | In order presented  |
|           | cator | for   | Apply            | below, screen       |
|           | Dec   | Dec   |                  | respondents as      |
|           | ision | ision |                  | follows:            |
+-----------+-------+-------+------------------+---------------------+
| > Capable | No    | 2a or | Has no more than | Of all respondents  |
|           |       | 2b    | occasional need  | not found to be     |
|           |       |       | to access        | "thriving," which   |
|           |       |       | outside          | responded "often    |
|           |       |       | assistance.      | true" (a) to        |
|           |       |       |                  | Question 2?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | 7a or | No more than     | Of all remaining,   |
|           |       | 7b    | occasionally has | which responded     |
|           |       |       | arrears.         | "almost every" (a)  |
|           |       |       |                  | or "some months"    |
|           |       |       |                  | (b) on Question 7a? |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    | Has no impact on | Of all remaining,   |
|           |       | "yes" | basic household  | which responded     |
|           |       | to    | necessities.     | "yes" to Question   |
|           |       | Q-6   |                  | 6?                  |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    |                  | Of all remaining,   |
|           |       | "yes" |                  | which responded     |
|           |       | to    |                  | "yes" to Question   |
|           |       | Q-9   |                  | 9?                  |
+-----------+-------+-------+------------------+---------------------+
|           | No    | 4a    | No more than     | Of all remaining,   |
|           |       |       | occasionally     | which responded     |
|           |       |       | foregoes some    | "often true" (a) to |
|           |       |       | desired energy   | Question 4?         |
|           |       |       | used for comfort |                     |
|           |       |       | and/or           |                     |
|           |       |       | convenience.     |                     |
+-----------+-------+-------+------------------+---------------------+
|           | No    | 5a    |                  | Of all remaining,   |
|           |       |       |                  | which responded     |
|           |       |       |                  | "often true" (a) to |
|           |       |       |                  | Question 5?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | 8a    |                  | Of all remaining,   |
|           |       |       |                  | which responded     |
|           |       |       |                  | "often true" (a) to |
|           |       |       |                  | Question 8?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | 1a    | No more than     | Of all remaining,   |
|           |       |       | occasionally     | which responded     |
|           |       |       | experiences      | "often true" (a) to |
|           |       |       | financial        | Question 1?         |
|           |       |       | strain.          |                     |
+-----------+-------+-------+------------------+---------------------+
|           | No    | 3a    |                  | Of all remaining,   |
|           |       |       |                  | which responded     |
|           |       |       |                  | "often true" (a) to |
|           |       |       |                  | Question 3?         |
+-----------+-------+-------+------------------+---------------------+
|           | No    | If    |                  | Of all remaining,   |
|           |       | "yes" |                  | which responded     |
|           |       | to    |                  | "yes" to Question   |
|           |       | Q-10  |                  | 10? (see, note 1).  |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   |       |                  | All who remain, if  |
|           |       |       |                  | any, after above    |
|           |       |       |                  | screens are         |
|           |       |       |                  | "capable."          |
+-----------+-------+-------+------------------+---------------------+
| **NOTES** |       |       |                  |                     |
|           |       |       |                  |                     |
| /1/ A     |       |       |                  |                     |
| household |       |       |                  |                     |
| who has   |       |       |                  |                     |
| ex        |       |       |                  |                     |
| perienced |       |       |                  |                     |
| a         |       |       |                  |                     |
| disco     |       |       |                  |                     |
| ntinuance |       |       |                  |                     |
| of        |       |       |                  |                     |
| service   |       |       |                  |                     |
| has a     |       |       |                  |                     |
| notice of |       |       |                  |                     |
| disco     |       |       |                  |                     |
| ntinuance |       |       |                  |                     |
| imputed   |       |       |                  |                     |
| to it.    |       |       |                  |                     |
+-----------+-------+-------+------------------+---------------------+

######## [[Appendix E]{.underline} (]{.smallcaps}page 3 of 5[)]{.smallcaps} 

######## [Tying Home Energy Insecurity Scale Survey]{.smallcaps}

**[to Home Energy Insecurity Scale Indicators]{.smallcaps}**

+-----------+-------+--------+------------------+---------------------+
| ########  |       |        |                  |                     |
| [Screenin |       |        |                  |                     |
| g for "St |       |        |                  |                     |
| able"]{.s |       |        |                  |                     |
| mallcaps} |       |        |                  |                     |
|           |       |        |                  |                     |
| **        |       |        |                  |                     |
| Screening |       |        |                  |                     |
| question: |       |        |                  |                     |
| Is this   |       |        |                  |                     |
| household |       |        |                  |                     |
| "s        |       |        |                  |                     |
| table"?** |       |        |                  |                     |
|           |       |        |                  |                     |
| **P       |       |        |                  |                     |
| opulation |       |        |                  |                     |
| screening |       |        |                  |                     |
| question  |       |        |                  |                     |
| applied   |       |        |                  |                     |
| to: total |       |        |                  |                     |
| p         |       |        |                  |                     |
| opulation |       |        |                  |                     |
| not       |       |        |                  |                     |
| p         |       |        |                  |                     |
| reviously |       |        |                  |                     |
| found to  |       |        |                  |                     |
| be        |       |        |                  |                     |
| "         |       |        |                  |                     |
| thriving" |       |        |                  |                     |
| or        |       |        |                  |                     |
| "ca       |       |        |                  |                     |
| pable."** |       |        |                  |                     |
+-----------+-------+--------+------------------+---------------------+
| Threshold | Indi  | Basis  | Indicator to     | In order presented  |
|           | cator | for    | Apply            | below, screen       |
|           | Dec   | De     |                  | respondents as      |
|           | ision | cision |                  | follows:            |
+-----------+-------+--------+------------------+---------------------+
| > Stable  | No    | If 7a  | May have         | Of all respondents  |
|           |       | or 7b  | consistent       | not found to be     |
|           |       | *      | arrears, but     | either thriving or  |
|           |       | [and]{ | arrears do not   | capable, which      |
|           |       | .under | threaten loss of | responded "almost   |
|           |       | line}* | service.         | every" (a) to       |
|           |       | "yes"  |                  | Question 7?         |
|           |       | to     |                  |                     |
|           |       | Qu     |                  |                     |
|           |       | estion |                  |                     |
|           |       | 10     |                  |                     |
+-----------+-------+--------+------------------+---------------------+
|           |       |        |                  | Of those who        |
|           |       |        |                  | responded (a) to    |
|           |       |        |                  | Question 7, which   |
|           |       |        |                  | responded "yes" to  |
|           |       |        |                  | Question 10? (see,  |
|           |       |        |                  | note 1)             |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 2a     | Has more than an | Of those remaining, |
|           |       |        | occasional need  | which responded (a) |
|           |       |        | to access        | to Question 2?      |
|           |       |        | outside          |                     |
|           |       |        | assistance to    |                     |
|           |       |        | pay current      |                     |
|           |       |        | energy bills.    |                     |
+-----------+-------+--------+------------------+---------------------+
|           | No    | If     | Has no impact on | Of those remaining, |
|           |       | "yes"  | basic household  | which responded     |
|           |       | to Q-9 | necessities.     | "yes" to Question   |
|           |       |        |                  | 9?                  |
+-----------+-------+--------+------------------+---------------------+
|           | No    | If     |                  | Of those remaining, |
|           |       | "yes"  |                  | which responded     |
|           |       | to     |                  | "yes" to Question   |
|           |       | Q-11   |                  | 11? (see, note 2)   |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 6a or  | Does not forego  | Of those remaining, |
|           |       | 6b     | basic household  | which responded     |
|           |       |        | energy           | "almost every" or   |
|           |       |        | requirements.    | "some months" to    |
|           |       |        |                  | Q-6a?               |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 5a     | No more than     | Of those remaining, |
|           |       |        | occasionally     | which responded     |
|           |       |        | foregoes some    | "often true" (a) to |
|           |       |        | desired energy   | Question 5.         |
|           |       |        | used for comfort |                     |
|           |       |        | and/or           |                     |
|           |       |        | convenience.     |                     |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 8a     |                  | Of those remaining, |
|           |       |        |                  | which responded     |
|           |       |        |                  | "often true" (a) to |
|           |       |        |                  | Question 8?         |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   |        |                  | All who remain, if  |
|           |       |        |                  | any, after above    |
|           |       |        |                  | screens are         |
|           |       |        |                  | "stable."           |
+-----------+-------+--------+------------------+---------------------+
| **NOTE:** |       |        |                  |                     |
|           |       |        |                  |                     |
| /1/ If a  |       |        |                  |                     |
| customer  |       |        |                  |                     |
| reports a |       |        |                  |                     |
| t         |       |        |                  |                     |
| hreatened |       |        |                  |                     |
| disco     |       |        |                  |                     |
| ntinuance |       |        |                  |                     |
| of        |       |        |                  |                     |
| service   |       |        |                  |                     |
| due to    |       |        |                  |                     |
| no        |       |        |                  |                     |
| npayment, |       |        |                  |                     |
| a "yes"   |       |        |                  |                     |
| answer is |       |        |                  |                     |
| imputed   |       |        |                  |                     |
| to        |       |        |                  |                     |
| Question  |       |        |                  |                     |
| 7.        |       |        |                  |                     |
|           |       |        |                  |                     |
| /2/ If a  |       |        |                  |                     |
| customer  |       |        |                  |                     |
| reports a |       |        |                  |                     |
| disc      |       |        |                  |                     |
| onnection |       |        |                  |                     |
| of        |       |        |                  |                     |
| service,  |       |        |                  |                     |
| a "yes"   |       |        |                  |                     |
| answer is |       |        |                  |                     |
| imputed   |       |        |                  |                     |
| to        |       |        |                  |                     |
| Question  |       |        |                  |                     |
| 10.       |       |        |                  |                     |
+-----------+-------+--------+------------------+---------------------+

######## [[Appendix E]{.underline} (]{.smallcaps}page 4 of 5[)]{.smallcaps} 

######## 

######## [Tying Home Energy Insecurity Scale Survey]{.smallcaps}

**[to Home Energy Insecurity Scale Indicators]{.smallcaps}**

+-----------+-------+--------+------------------+---------------------+
| ####      |       |        |                  |                     |
| #### [Scr |       |        |                  |                     |
| eening fo |       |        |                  |                     |
| r "Vulner |       |        |                  |                     |
| able"]{.s |       |        |                  |                     |
| mallcaps} |       |        |                  |                     |
|           |       |        |                  |                     |
| **        |       |        |                  |                     |
| Screening |       |        |                  |                     |
| question: |       |        |                  |                     |
| Is this   |       |        |                  |                     |
| household |       |        |                  |                     |
| "vulne    |       |        |                  |                     |
| rable"?** |       |        |                  |                     |
|           |       |        |                  |                     |
| **P       |       |        |                  |                     |
| opulation |       |        |                  |                     |
| screening |       |        |                  |                     |
| question  |       |        |                  |                     |
| applied   |       |        |                  |                     |
| to: total |       |        |                  |                     |
| p         |       |        |                  |                     |
| opulation |       |        |                  |                     |
| not       |       |        |                  |                     |
| p         |       |        |                  |                     |
| reviously |       |        |                  |                     |
| found to  |       |        |                  |                     |
| be        |       |        |                  |                     |
| "         |       |        |                  |                     |
| thriving" |       |        |                  |                     |
| or        |       |        |                  |                     |
| "capable" |       |        |                  |                     |
| or        |       |        |                  |                     |
| "s        |       |        |                  |                     |
| table."** |       |        |                  |                     |
+-----------+-------+--------+------------------+---------------------+
| Threshold | Indi  | Basis  | Indicator to     | In order presented  |
|           | cator | for    | Apply            | below, screen       |
|           | Dec   | De     |                  | respondents as      |
|           | ision | cision |                  | follows:            |
+-----------+-------+--------+------------------+---------------------+
| > V       | No    | 11a or | Affirmative      | Of those not found  |
| ulnerable |       | 11b    | indicators of    | to be thriving,     |
|           |       |        | crisis           | capable or stable,  |
|           |       |        | household.       | which responded     |
|           |       |        |                  | "almost every" (a)  |
|           |       |        |                  | or "some months"    |
|           |       |        |                  | (b) to Question 11? |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 9a     |                  | Of those remaining, |
|           |       |        |                  | which responded     |
|           |       |        |                  | "almost every" (a)  |
|           |       |        |                  | to Question 9?      |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 6a     |                  | Of those remaining, |
|           |       |        |                  | which responded     |
|           |       |        |                  | "almost every" (a)  |
|           |       |        |                  | to Question 6?      |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 8a     |                  | Of those remaining, |
|           |       |        |                  | which responded     |
|           |       |        |                  | "almost every" (a)  |
|           |       |        |                  | to Question 8?      |
+-----------+-------+--------+------------------+---------------------+
|           | No    | 5a     |                  | Of those remaining, |
|           |       |        |                  | which responded     |
|           |       |        |                  | "often true" (a) to |
|           |       |        |                  | Question 5?         |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | 11c    | Faces loss of    | Of those remaining, |
|           |       |        | basic needs, but | which responded     |
|           |       |        | not frequently,  | "only 1 or 2        |
|           |       |        | or faces         | months" (c) to      |
|           |       |        | infrequent       | Question 11?        |
|           |       |        | actual loss of   |                     |
|           |       |        | utility service. |                     |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | 9b or  |                  | Of those remaining, |
|           |       | 9c     |                  | which responded     |
|           |       |        |                  | "some months" (b)   |
|           |       |        |                  | or "only 1 or 2     |
|           |       |        |                  | months" (c) to      |
|           |       |        |                  | Question 9?         |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | 6b or  |                  | Of those remaining, |
|           |       | 6c     |                  | which responded     |
|           |       |        |                  | "some months" (b)   |
|           |       |        |                  | or "only 1 or 2     |
|           |       |        |                  | months" (c) to      |
|           |       |        |                  | Question 6?         |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | If 7a  | Has consistent   | Of those remaining, |
|           |       | or 7b  | arrears, and     | which responded     |
|           |       | *      | arrears threaten | "almost every" (a)  |
|           |       | [and]{ | loss of service  | to Question 7?      |
|           |       | .under | at least         |                     |
|           |       | line}* | occasionally.    |                     |
|           |       | "yes"  |                  |                     |
|           |       | to     |                  |                     |
|           |       | Qu     |                  |                     |
|           |       | estion |                  |                     |
|           |       | 10     |                  |                     |
+-----------+-------+--------+------------------+---------------------+
|           |       |        |                  | Of those who        |
|           |       |        |                  | responded (a) to    |
|           |       |        |                  | Question 7, which   |
|           |       |        |                  | responded "yes" to  |
|           |       |        |                  | Question 10? (see,  |
|           |       |        |                  | note 1)             |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | 10a    | Faces frequent   | Of those remaining, |
|           |       |        | threat of denial | which responded     |
|           |       |        | of service for   | "almost every" (a)  |
|           |       |        | nonpayment.      | to Question 10?     |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | 5b     | More than        | Of those remaining, |
|           |       |        | occasionally,    | which responded     |
|           |       |        | but not          | "some months" (b)   |
|           |       |        | frequently,      | to Question 5?      |
|           |       |        | faces            |                     |
|           |       |        | constraints on   |                     |
|           |       |        | basic-needs      |                     |
|           |       |        | energy choices.  |                     |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | 8b or  |                  | Of those remaining, |
|           |       | 8c     |                  | which responded     |
|           |       |        |                  | "some months" (b)   |
|           |       |        |                  | to Question 8?      |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   | 2a     | Faces frequent   | Of those remaining, |
|           |       |        | bills that       | which responded     |
|           |       |        | cannot be paid   | "often true" (a) to |
|           |       |        | without outside  | Question 2?         |
|           |       |        | help.            |                     |
+-----------+-------+--------+------------------+---------------------+
|           | Yes   |        |                  | All who remain, if  |
|           |       |        |                  | any, after above    |
|           |       |        |                  | screens are         |
|           |       |        |                  | "vulnerable."       |
+-----------+-------+--------+------------------+---------------------+

######## [[Appendix E]{.underline} (]{.smallcaps}page 5 of 5[)]{.smallcaps} 

######## [Tying Home Energy Insecurity Scale Survey]{.smallcaps}

**[to Home Energy Insecurity Scale Indicators]{.smallcaps}**

+-----------+-------+-------+------------------+---------------------+
| ###       |       |       |                  |                     |
| ##### [Sc |       |       |                  |                     |
| reening f |       |       |                  |                     |
| or "In-Cr |       |       |                  |                     |
| isis"]{.s |       |       |                  |                     |
| mallcaps} |       |       |                  |                     |
|           |       |       |                  |                     |
| **        |       |       |                  |                     |
| Screening |       |       |                  |                     |
| question: |       |       |                  |                     |
| Is this   |       |       |                  |                     |
| household |       |       |                  |                     |
| "in-c     |       |       |                  |                     |
| risis"?** |       |       |                  |                     |
|           |       |       |                  |                     |
| **P       |       |       |                  |                     |
| opulation |       |       |                  |                     |
| screening |       |       |                  |                     |
| question  |       |       |                  |                     |
| applied   |       |       |                  |                     |
| to: total |       |       |                  |                     |
| p         |       |       |                  |                     |
| opulation |       |       |                  |                     |
| not       |       |       |                  |                     |
| p         |       |       |                  |                     |
| reviously |       |       |                  |                     |
| found to  |       |       |                  |                     |
| be        |       |       |                  |                     |
| "         |       |       |                  |                     |
| thriving" |       |       |                  |                     |
| or        |       |       |                  |                     |
| "capable" |       |       |                  |                     |
| or        |       |       |                  |                     |
| "stable"  |       |       |                  |                     |
| or        |       |       |                  |                     |
| "vulne    |       |       |                  |                     |
| rable."** |       |       |                  |                     |
+-----------+-------+-------+------------------+---------------------+
| Threshold | Indi  | Basis | Indicator to     | In order presented  |
|           | cator | for   | Apply            | below, screen       |
|           | Dec   | Dec   |                  | respondents as      |
|           | ision | ision |                  | follows:            |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   | 11a   | Faces more than  | Of those not found  |
|           |       | or    | infrequent loss  | to be thriving,     |
|           |       | 11b   | of energy        | capable, stable or  |
|           |       |       | service or faces | vulnerable, which   |
|           |       |       | frequent         | responded "almost   |
|           |       |       | cutbacks in      | every month" or     |
|           |       |       | household        | "some months" (b)   |
|           |       |       | necessities.     | to Question 11?     |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   | 6a    |                  | Of those remaining, |
|           |       |       |                  | which responded     |
|           |       |       |                  | "almost every       |
|           |       |       |                  | month" (a) to       |
|           |       |       |                  | Question 6?         |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   | 9a    |                  | Of those remaining, |
|           |       |       |                  | which responded     |
|           |       |       |                  | "almost every       |
|           |       |       |                  | month" to Question  |
|           |       |       |                  | 9?                  |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   | 5a    | Frequently takes | Of those remaining, |
|           |       |       | temporary or     | which responded     |
|           |       |       | transitional     | "often true" (a) to |
|           |       |       | actions because  | Question 5?         |
|           |       |       | of inability to  |                     |
|           |       |       | afford home      |                     |
|           |       |       | energy           |                     |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   | 8a    |                  | Of those remaining, |
|           |       |       |                  | which responded     |
|           |       |       |                  | "almost every       |
|           |       |       |                  | month" to Question  |
|           |       |       |                  | 8?                  |
+-----------+-------+-------+------------------+---------------------+
|           | Yes   |       |                  | All who remain, if  |
|           |       |       |                  | any, after above    |
|           |       |       |                  | screens are         |
|           |       |       |                  | "in-crisis."        |
+-----------+-------+-------+------------------+---------------------+

######## [[Appendix F]{.underline} (]{.smallcaps}page 1 of 2) 

######## [Categories of Indicators for Home Energy Insecurity Scale]{.smallcaps}

+---------+----------------+------------------------------------------+
|         | Threshold      | Indicator                                |
+---------+----------------+------------------------------------------+
| Outside |                |                                          |
| Ass     |                |                                          |
| istance |                |                                          |
+---------+----------------+------------------------------------------+
|         | Thriving       | No, if (a) or (b) on Question 2.         |
+---------+----------------+------------------------------------------+
|         | Capable        | No, if (a) or (b) on Question 2.         |
+---------+----------------+------------------------------------------+
|         | Stable         | No, if (a) on Question 2.                |
+---------+----------------+------------------------------------------+
|         | Vulnerable     | Yes, if (a) on Question 2. (see note 1). |
+---------+----------------+------------------------------------------+
|         | In-crisis      | Not used                                 |
+---------+----------------+------------------------------------------+
| Fi      |                |                                          |
| nancial |                |                                          |
| strain  |                |                                          |
+---------+----------------+------------------------------------------+
|         | Thriving       | No, if either (a) or (b) on Question 1.  |
+---------+----------------+------------------------------------------+
|         | Capable        | No, if (a) on Question 1.                |
+---------+----------------+------------------------------------------+
|         | Stable         | Not used                                 |
+---------+----------------+------------------------------------------+
|         | Vulnerable     | Not used                                 |
+---------+----------------+------------------------------------------+
|         | In-crisis      | Not used                                 |
+---------+----------------+------------------------------------------+
| Con     |                |                                          |
| straint |                |                                          |
| on      |                |                                          |
| energy  |                |                                          |
| use     |                |                                          |
+---------+----------------+------------------------------------------+
|         | Thriving       | No, if either (a) or (b) on Questions 3, |
|         |                | 4, 5 or 8 or if "yes" on Question 6.     |
+---------+----------------+------------------------------------------+
|         | Capable        | No, if (a) on Questions 3, 4, 5 or 8, or |
|         |                | if "yes" on Question 6.                  |
+---------+----------------+------------------------------------------+
|         | Stable         | No, if (a) on Questions 5 or 8 or if (a) |
|         |                | or (b) on Question 6.                    |
+---------+----------------+------------------------------------------+
|         | Vulnerable     | Yes, if (b) on Questions 5,or if (b) or  |
|         |                | (c) on Questions 6 or 8.                 |
+---------+----------------+------------------------------------------+
|         | In-crisis      | Yes, if (a) on Questions 5, 6 or 8.      |
+---------+----------------+------------------------------------------+
| NOTE:   |                |                                          |
|         |                |                                          |
| /1/ A   |                |                                          |
| "yes"   |                |                                          |
| for a   |                |                                          |
| "vuln   |                |                                          |
| erable" |                |                                          |
| ho      |                |                                          |
| usehold |                |                                          |
| is      |                |                                          |
| con     |                |                                          |
| tingent |                |                                          |
| on the  |                |                                          |
| absence |                |                                          |
| of any  |                |                                          |
| "in-    |                |                                          |
| crisis" |                |                                          |
| ind     |                |                                          |
| icator. |                |                                          |
+---------+----------------+------------------------------------------+

######## [[Appendix F]{.underline} (]{.smallcaps}page 2 of 2) 

######## [Categories of Indicators for Home Energy Insecurity Scale]{.smallcaps}

+---------+---------------+-------------------------------------------+
|         | Threshold     | Indicator                                 |
+---------+---------------+-------------------------------------------+
| Ho      |               |                                           |
| usehold |               |                                           |
| nece    |               |                                           |
| ssities |               |                                           |
+---------+---------------+-------------------------------------------+
|         | Thriving      | No, if "yes" on Question 9.               |
+---------+---------------+-------------------------------------------+
|         | Capable       | No, if "yes" on Question 9.               |
+---------+---------------+-------------------------------------------+
|         | Stable        | No, if "yes" on Question 9.               |
+---------+---------------+-------------------------------------------+
|         | Vulnerable    | Yes, if (b) or (c) on Question 9. (see    |
|         |               | note /1/).                                |
+---------+---------------+-------------------------------------------+
|         | In-crisis     | Yes, if (a) on Question 9.                |
+---------+---------------+-------------------------------------------+
| Non-    |               |                                           |
| payment |               |                                           |
| of      |               |                                           |
| energy  |               |                                           |
| bills.  |               |                                           |
+---------+---------------+-------------------------------------------+
|         | Thriving      | No if "yes" on either Question 7 or       |
|         |               | Question 10.                              |
+---------+---------------+-------------------------------------------+
|         | Capable       | No, if either (a) or (b) on Question 7 or |
|         |               | "yes" on Question 10.                     |
+---------+---------------+-------------------------------------------+
|         | Stable        | No, if (a) or (b) on Question 7           |
|         |               | *[and]{.underline}* "yes" on Question 10  |
|         |               | or if "yes" on Question 11.               |
+---------+---------------+-------------------------------------------+
|         | Vulnerable    | Yes, if (a) on Question 10, or (c) on     |
|         |               | Question 11, or both (a) and (b) on       |
|         |               | Question 7 and "yes" on Question 10.      |
+---------+---------------+-------------------------------------------+
|         | In-crisis     | Yes, if (a) or (b) on Question 11.        |
+---------+---------------+-------------------------------------------+
| NOTE:   |               |                                           |
|         |               |                                           |
| /1/ A   |               |                                           |
| "yes"   |               |                                           |
| for a   |               |                                           |
| "vuln   |               |                                           |
| erable" |               |                                           |
| ho      |               |                                           |
| usehold |               |                                           |
| is      |               |                                           |
| con     |               |                                           |
| tingent |               |                                           |
| on the  |               |                                           |
| absence |               |                                           |
| of any  |               |                                           |
| "in-    |               |                                           |
| crisis" |               |                                           |
| ind     |               |                                           |
| icator. |               |                                           |
+---------+---------------+-------------------------------------------+

###### Appendix G 

###### Reporting Matrix

+------+-------------------+-------+-------+-------+-------+-------+
| ##   |                   |       |       |       |       |       |
| #### |                   |       |       |       |       |       |
| ## [ |                   |       |       |       |       |       |
| Ener |                   |       |       |       |       |       |
| gy A |                   |       |       |       |       |       |
| ssis |                   |       |       |       |       |       |
| tanc |                   |       |       |       |       |       |
| e Pr |                   |       |       |       |       |       |
| ogra |                   |       |       |       |       |       |
| m Ou |                   |       |       |       |       |       |
| tcom |                   |       |       |       |       |       |
| es]{ |                   |       |       |       |       |       |
| .sma |                   |       |       |       |       |       |
| llca |                   |       |       |       |       |       |
| ps}  |                   |       |       |       |       |       |
|      |                   |       |       |       |       |       |
| *    |                   |       |       |       |       |       |
| *(by |                   |       |       |       |       |       |
| nu   |                   |       |       |       |       |       |
| mber |                   |       |       |       |       |       |
| of   |                   |       |       |       |       |       |
| pro  |                   |       |       |       |       |       |
| gram |                   |       |       |       |       |       |
| par  |                   |       |       |       |       |       |
| tici |                   |       |       |       |       |       |
| pant |                   |       |       |       |       |       |
| s)** |                   |       |       |       |       |       |
+------+-------------------+-------+-------+-------+-------+-------+
|      |                   | Begi  |       |       |       |       |
|      |                   | nning |       |       |       |       |
|      |                   | S     |       |       |       |       |
|      |                   | tatus |       |       |       |       |
+------+-------------------+-------+-------+-------+-------+-------+
|      |                   | 1     | 2     | 3     | 4     | 5     |
|      |                   |       |       |       |       |       |
|      |                   | (thri | (cap  | (st   | (v    | (     |
|      |                   | ving) | able) | able) | ulner | in-cr |
|      |                   |       |       |       | able) | isis) |
+------+-------------------+-------+-------+-------+-------+-------+
| > En | 1 (thriving)      |       | 2     |       |       |       |
| ding |                   |       |       |       |       |       |
| > St |                   |       |       |       |       |       |
| atus |                   |       |       |       |       |       |
+------+-------------------+-------+-------+-------+-------+-------+
|      | 2 (capable)       |       |       |       |       |       |
+------+-------------------+-------+-------+-------+-------+-------+
|      | 3 (stable)        |       |       | 3     | 2     | 6     |
+------+-------------------+-------+-------+-------+-------+-------+
|      | 4 (vulnerable)    |       |       |       | 5     |       |
+------+-------------------+-------+-------+-------+-------+-------+
|      | 5 (in-crisis)     |       |       |       | 4     |       |
+------+-------------------+-------+-------+-------+-------+-------+
| N    |                   |       |       |       |       |       |
| OTE: |                   |       |       |       |       |       |
|      |                   |       |       |       |       |       |
| Bec  |                   |       |       |       |       |       |
| ause |                   |       |       |       |       |       |
| one  |                   |       |       |       |       |       |
| i    |                   |       |       |       |       |       |
| ndic |                   |       |       |       |       |       |
| ator |                   |       |       |       |       |       |
| of   |                   |       |       |       |       |       |
| the  |                   |       |       |       |       |       |
| "t   |                   |       |       |       |       |       |
| hriv |                   |       |       |       |       |       |
| ing" |                   |       |       |       |       |       |
| t    |                   |       |       |       |       |       |
| hres |                   |       |       |       |       |       |
| hold |                   |       |       |       |       |       |
| is   |                   |       |       |       |       |       |
| non  |                   |       |       |       |       |       |
| -rec |                   |       |       |       |       |       |
| eipt |                   |       |       |       |       |       |
| of   |                   |       |       |       |       |       |
| out  |                   |       |       |       |       |       |
| side |                   |       |       |       |       |       |
| ass  |                   |       |       |       |       |       |
| ista |                   |       |       |       |       |       |
| nce, |                   |       |       |       |       |       |
| LI   |                   |       |       |       |       |       |
| HEAP |                   |       |       |       |       |       |
| re   |                   |       |       |       |       |       |
| cipi |                   |       |       |       |       |       |
| ents |                   |       |       |       |       |       |
| w    |                   |       |       |       |       |       |
| ill, |                   |       |       |       |       |       |
| by   |                   |       |       |       |       |       |
| def  |                   |       |       |       |       |       |
| init |                   |       |       |       |       |       |
| ion, |                   |       |       |       |       |       |
| not  |                   |       |       |       |       |       |
| be   |                   |       |       |       |       |       |
| "th  |                   |       |       |       |       |       |
| rivi |                   |       |       |       |       |       |
| ng." |                   |       |       |       |       |       |
| The  |                   |       |       |       |       |       |
| c    |                   |       |       |       |       |       |
| ells |                   |       |       |       |       |       |
| in   |                   |       |       |       |       |       |
| dica |                   |       |       |       |       |       |
| ting |                   |       |       |       |       |       |
| a    |                   |       |       |       |       |       |
| "t   |                   |       |       |       |       |       |
| hriv |                   |       |       |       |       |       |
| ing" |                   |       |       |       |       |       |
| b    |                   |       |       |       |       |       |
| egin |                   |       |       |       |       |       |
| ning |                   |       |       |       |       |       |
| st   |                   |       |       |       |       |       |
| atus |                   |       |       |       |       |       |
| are  |                   |       |       |       |       |       |
| thus |                   |       |       |       |       |       |
| sh   |                   |       |       |       |       |       |
| aded |                   |       |       |       |       |       |
| to   |                   |       |       |       |       |       |
| indi |                   |       |       |       |       |       |
| cate |                   |       |       |       |       |       |
| t    |                   |       |       |       |       |       |
| heir |                   |       |       |       |       |       |
| uni  |                   |       |       |       |       |       |
| form |                   |       |       |       |       |       |
| ina  |                   |       |       |       |       |       |
| ppli |                   |       |       |       |       |       |
| cabi |                   |       |       |       |       |       |
| lity |                   |       |       |       |       |       |
| to   |                   |       |       |       |       |       |
| LI   |                   |       |       |       |       |       |
| HEAP |                   |       |       |       |       |       |
| rec  |                   |       |       |       |       |       |
| ipie |                   |       |       |       |       |       |
| nts. |                   |       |       |       |       |       |
| Bec  |                   |       |       |       |       |       |
| ause |                   |       |       |       |       |       |
| LI   |                   |       |       |       |       |       |
| HEAP |                   |       |       |       |       |       |
| re   |                   |       |       |       |       |       |
| cipi |                   |       |       |       |       |       |
| ents |                   |       |       |       |       |       |
| may  |                   |       |       |       |       |       |
| move |                   |       |       |       |       |       |
| to   |                   |       |       |       |       |       |
| not  |                   |       |       |       |       |       |
| nee  |                   |       |       |       |       |       |
| ding |                   |       |       |       |       |       |
| out  |                   |       |       |       |       |       |
| side |                   |       |       |       |       |       |
| as   |                   |       |       |       |       |       |
| sist |                   |       |       |       |       |       |
| ance |                   |       |       |       |       |       |
| wi   |                   |       |       |       |       |       |
| thin |                   |       |       |       |       |       |
| 12   |                   |       |       |       |       |       |
| mo   |                   |       |       |       |       |       |
| nths |                   |       |       |       |       |       |
| a    |                   |       |       |       |       |       |
| fter |                   |       |       |       |       |       |
| ha   |                   |       |       |       |       |       |
| ving |                   |       |       |       |       |       |
| rece |                   |       |       |       |       |       |
| ived |                   |       |       |       |       |       |
| LIH  |                   |       |       |       |       |       |
| EAP, |                   |       |       |       |       |       |
| the  |                   |       |       |       |       |       |
| "t   |                   |       |       |       |       |       |
| hriv |                   |       |       |       |       |       |
| ing" |                   |       |       |       |       |       |
| row  |                   |       |       |       |       |       |
| is   |                   |       |       |       |       |       |
| left |                   |       |       |       |       |       |
| av   |                   |       |       |       |       |       |
| aila |                   |       |       |       |       |       |
| ble. |                   |       |       |       |       |       |
+------+-------------------+-------+-------+-------+-------+-------+

######## [Appendix H: Reviewers]{.smallcaps}

  ----------------------- ----------------------- -------------------------------
  Scott Anglemyer         Kansas Dept. of         Sanglemyer@kansascommerce.com
                          Commerce & Housing      

  Karen Brown             Colorado Energy         kbrown@ceaf.org
                          Assistance Foundation   

  Jack Burch              Community Action        jburch@commaction.org
                          Council (KY)            

  John Burgess            Economic Opportunity    jjburgess@eofkck.org
                          Foundation (KS)         

  Glenn Cooper            Colorado Dept. of       glenn.cooper@state.co.us
                          Social Services         

  Dr. Peter Kettner       Arizona State           peter.kettner@asu.edu
                          University (retired)    

  Jerry McKim             Iowa Dept. of Human     jerry.mckim@dhr.state.ia.us
                          Rights                  

  Dr. Bruce Wade          Spelman College (GA)    bwade@spelman.edu
  ----------------------- ----------------------- -------------------------------

######## [[Appendix I]{.underline}:]{.smallcaps} 

######## [Participating Community Action Agencies/Associations]{.smallcaps}

  ------------- --------------------------------- -----------------------
  Ralph         Community Action Program,         Concord, NH
  Littlefield   Belknap-Merrimack Counties        

  Elliott       Action Energy                     Gloucester, MA
  Jacobsen                                        

  David         West Virginia Community Action    Parkersburg, WV
  Treharne      Directors Association             

  Jack Burch    Community Action Council          Lexington, KY

  Jack Laverty  Corporation for Ohio Appalachian  Athens, OH
                Development (COAD)                

  Ivan Eames    Central Missouri Counties Human   Columbia, MO
                Development Corporation           

  Debra Kennedy Community Action Directors of     Salem, OR
                Oregon                            

  Chuck Eberdt  The Energy Project: The           Bellingham, WA
                Opportunity Council               

  Gene Brady    Commission on Economic            Wilkes-Barre, PA
                Opportunity of Luzerne County     

  Jim Morton    Human Resource Development        Missoula, MT
                Council VI                        
  ------------- --------------------------------- -----------------------

[Appendix J]{.underline}

Illustrative Survey Responses from Field Testing

+----------------------------------+---+---+---+---+---+---+---+---+
| ## Home Energy                   | # |   |   |   |   |   |   |   |
| Insecurity Scale Survey Question |   |   |   |   |   |   |   |   |
|                                  | R |   |   |   |   |   |   |   |
|                                  | e |   |   |   |   |   |   |   |
|                                  | s |   |   |   |   |   |   |   |
|                                  | p |   |   |   |   |   |   |   |
|                                  | o |   |   |   |   |   |   |   |
|                                  | n |   |   |   |   |   |   |   |
|                                  | d |   |   |   |   |   |   |   |
|                                  | e |   |   |   |   |   |   |   |
|                                  | n |   |   |   |   |   |   |   |
|                                  | t |   |   |   |   |   |   |   |
|                                  |   |   |   |   |   |   |   |   |
|                                  | I |   |   |   |   |   |   |   |
|                                  | d |   |   |   |   |   |   |   |
|                                  | e |   |   |   |   |   |   |   |
|                                  | n |   |   |   |   |   |   |   |
|                                  | t |   |   |   |   |   |   |   |
|                                  | i |   |   |   |   |   |   |   |
|                                  | f |   |   |   |   |   |   |   |
|                                  | i |   |   |   |   |   |   |   |
|                                  | c |   |   |   |   |   |   |   |
|                                  | a |   |   |   |   |   |   |   |
|                                  | t |   |   |   |   |   |   |   |
|                                  | i |   |   |   |   |   |   |   |
|                                  | o |   |   |   |   |   |   |   |
|                                  | n |   |   |   |   |   |   |   |
|                                  |   |   |   |   |   |   |   |   |
|                                  | a |   |   |   |   |   |   |   |
|                                  | n |   |   |   |   |   |   |   |
|                                  | d |   |   |   |   |   |   |   |
|                                  |   |   |   |   |   |   |   |   |
|                                  | R |   |   |   |   |   |   |   |
|                                  | e |   |   |   |   |   |   |   |
|                                  | s |   |   |   |   |   |   |   |
|                                  | p |   |   |   |   |   |   |   |
|                                  | o |   |   |   |   |   |   |   |
|                                  | n |   |   |   |   |   |   |   |
|                                  | s |   |   |   |   |   |   |   |
|                                  | e |   |   |   |   |   |   |   |
|                                  | s |   |   |   |   |   |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
|                                  | * | * | * | * | * | * | * | * |
|                                  | * | * | * | * | * | * | * | * |
|                                  | [ | [ | [ | [ | [ | [ | [ | [ |
|                                  | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
|                                  | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
|                                  | 1 | 1 | 2 | 3 | 4 | 4 | 4 | 6 |
|                                  | 3 | 7 | 6 | 2 | 0 | 2 | 4 | 5 |
|                                  | ] | ] | ] | ] | ] | ] | ] | ] |
|                                  | { | { | { | { | { | { | { | { |
|                                  | . | . | . | . | . | . | . | . |
|                                  | s | s | s | s | s | s | s | s |
|                                  | m | m | m | m | m | m | m | m |
|                                  | a | a | a | a | a | a | a | a |
|                                  | l | l | l | l | l | l | l | l |
|                                  | l | l | l | l | l | l | l | l |
|                                  | c | c | c | c | c | c | c | c |
|                                  | a | a | a | a | a | a | a | a |
|                                  | p | p | p | p | p | p | p | p |
|                                  | s | s | s | s | s | s | s | s |
|                                  | } | } | } | } | } | } | } | } |
|                                  | * | * | * | * | * | * | * | * |
|                                  | * | * | * | * | * | * | * | * |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q1. The first statement is "I    | S | O | S | O | O | O | O | O |
| worried whether my home energy   | o | f | o | f | f | f | f | f |
| bill would become overdue before | m | t | m | t | t | t | t | t |
| I could get money to pay it."    | e | e | e | e | e | e | e | e |
| Was that often true, sometimes   | t | n | t | n | n | n | n | n |
| true, or never true for you in   | i |   | i |   |   |   |   |   |
| the last 12 months?              | m |   | m |   |   |   |   |   |
|                                  | e |   | e |   |   |   |   |   |
|                                  | s |   | s |   |   |   |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q2. Our home energy bill became  | S | S | S | O | S | O | O | S |
| due, and I didn't have money to  | o | o | o | f | o | f | f | o |
| pay it without somebody's help.  | m | m | m | t | m | t | t | m |
| Was that often true, sometimes   | e | e | e | e | e | e | e | e |
| true, or never true for you      | t | t | t | n | t | n | n | t |
| household in the last 12 months? | i | i | i |   | i |   |   | i |
|                                  | m | m | m |   | m |   |   | m |
|                                  | e | e | e |   | e |   |   | e |
|                                  | s | s | s |   | s |   |   | s |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q3. I couldn't afford to heat or | O | O | S | O | N | S | O | S |
| cool our home to the temperature | f | f | o | f | e | o | f | o |
| we wanted it to be, or to use    | t | t | m | t | v | m | t | m |
| our water or appliances to the   | e | e | e | e | e | e | e | e |
| extent we wanted to use them."   | n | n | t | n | r | t | n | t |
| Was that often true, sometimes   |   |   | i |   |   | i |   | i |
| true, or never true for you in   |   |   | m |   |   | m |   | m |
| the last 12 months?              |   |   | e |   |   | e |   | e |
|                                  |   |   | s |   |   | s |   | s |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q4. I reduced our energy         | O | O | N | S | N | S | O | N |
| consumption to uncomfortable or  | f | f | e | o | e | o | f | e |
| inconvenient levels because I    | t | t | v | m | v | m | t | v |
| was running out of money to pay  | e | e | e | e | e | e | e | e |
| our home energy bill." Was that  | n | n | r | t | r | t | n | r |
| often true, sometimes true, or   |   |   |   | i |   | i |   |   |
| never true for you in the last   |   |   |   | m |   | m |   |   |
| 12 months?                       |   |   |   | e |   | e |   |   |
|                                  |   |   |   | s |   | s |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q5. I could not use our entire   | S | N | N | S | N | N | O | S |
| home because we could not afford | o | e | e | o | e | e | f | o |
| to heat or cool it. Was that     | m | v | v | m | v | v | t | m |
| often true, sometimes true, or   | e | e | e | e | e | e | e | e |
| never true for you in the last   | t | r | r | t | r | r | n | t |
| 12 months?                       | i |   |   | i |   |   |   | i |
|                                  | m |   |   | m |   |   |   | m |
|                                  | e |   |   | e |   |   |   | e |
|                                  | s |   |   | s |   |   |   | s |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q6. In the last 12 months, since | S | A | N | S | N | N | 1 | N |
| last (name of current month),    | o | l | o | o | o | o | - | o |
| did you ever leave your home for | m | m |   | m |   |   | - |   |
| all or part of the day because   | e | o |   | e |   |   | 2 |   |
| there wasn't enough money for    | t | s |   | t |   |   |   |   |
| the home energy bill, or, did    | i | t |   | i |   |   |   |   |
| you ever turn off your hot water | m | e |   | m |   |   |   |   |
| because there wasn't enough      | e | v |   | e |   |   |   |   |
| money for the home energy bill?  | s | e |   | s |   |   |   |   |
| (respond "yes" if one or the     |   | r |   |   |   |   |   |   |
| other or both is true).          |   | y |   |   |   |   |   |   |
|                                  |   |   |   |   |   |   |   |   |
| Q6a. \[IF YES\] How often did    |   |   |   |   |   |   |   |   |
| one or the other of these        |   |   |   |   |   |   |   |   |
| happen---almost every month,     |   |   |   |   |   |   |   |   |
| some months but not every month, |   |   |   |   |   |   |   |   |
| or in only 1 or 2 months?        |   |   |   |   |   |   |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q7. In the last 12 months, since | N | 1 | N | S | 1 | S | N | S |
| last (name of current month),    | o | - | o | o | - | o | e | o |
| did you ever not pay your home   |   | - |   | m | - | m | a | m |
| energy supplier because there    |   | 2 |   | e | 2 | e | r | e |
| wasn't enough money for the home |   |   |   |   |   |   | l |   |
| energy bill?                     |   |   |   |   |   |   | y |   |
|                                  |   |   |   |   |   |   | e |   |
| Q7a. \[IF YES\] How often did    |   |   |   |   |   |   | v |   |
| this happen---almost every       |   |   |   |   |   |   | e |   |
| month, some months but not every |   |   |   |   |   |   | r |   |
| month, or in only 1 or 2 months? |   |   |   |   |   |   | y |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q8. In the last 12 months, since | 1 | N | N | N | N | N | N | N |
| last (name of current month),    | - | o | o | o | o | o | e | e |
| did you ever use an alternative  | 2 |   |   |   |   |   | a | a |
| appliance or fuel to heat or     |   |   |   |   |   |   | r | r |
| cool your home that was not      |   |   |   |   |   |   | l | l |
| ordinarily intended to be used   |   |   |   |   |   |   | y | y |
| for heating or cooling your home |   |   |   |   |   |   | e | e |
| because there wasn't enough      |   |   |   |   |   |   | v | v |
| money to pay your home energy    |   |   |   |   |   |   | e | e |
| bills?                           |   |   |   |   |   |   | r | r |
|                                  |   |   |   |   |   |   |   | y |
| Q8a. \[IF YES\] How often did    |   |   |   |   |   |   |   |   |
| this happen---almost every       |   |   |   |   |   |   |   |   |
| month, some months but not every |   |   |   |   |   |   |   |   |
| month, or in only 1 or 2 months? |   |   |   |   |   |   |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q9. In the last 12 months, did   | S | A | N | S | N | S | S | S |
| you ever reduce your expenses    | o | l | o | o | o | o | o | o |
| for what you consider to be      | m | m |   | m |   | m | m | m |
| basic household necessities      | e | o |   | e |   | e | e | e |
| (such as food or medicine)       |   | s |   |   |   |   |   |   |
| because there was not enough     |   | t |   |   |   |   |   |   |
| money to pay for these and to    |   | e |   |   |   |   |   |   |
| pay your home energy bill?       |   | v |   |   |   |   |   |   |
|                                  |   | e |   |   |   |   |   |   |
| Q9a. \[IF YES\] How often did    |   | r |   |   |   |   |   |   |
| this happen---almost every       |   | y |   |   |   |   |   |   |
| month, some months but not every |   |   |   |   |   |   |   |   |
| month, or in only 1 or 2 months? |   |   |   |   |   |   |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q10. In the last 12 months, did  | N | S | N | N | 1 | 1 | S | 1 |
| you have a supplier of your      | o | o | o | o | - | - | o | - |
| electric or home heating service |   | m |   |   | - | - | m | - |
| threaten to disconnect your      |   | e |   |   | 2 | 2 | e | 2 |
| electricity or home heating fuel |   |   |   |   |   |   |   |   |
| service, or discontinue making   |   |   |   |   |   |   |   |   |
| fuel deliveries, because you     |   |   |   |   |   |   |   |   |
| could not afford to pay a        |   |   |   |   |   |   |   |   |
| past-due home energy bill?       |   |   |   |   |   |   |   |   |
|                                  |   |   |   |   |   |   |   |   |
| Q10a. \[IF YES\] How often did   |   |   |   |   |   |   |   |   |
| this happen---almost every       |   |   |   |   |   |   |   |   |
| month, some months but not every |   |   |   |   |   |   |   |   |
| month, or in only 1 or 2 months? |   |   |   |   |   |   |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| Q11. In the past 12 months, did  | N | N | N | N | N | N | S | N |
| you have a supplier of your      | o | o | o | o | o | o | o | o |
| electricity or home heating fuel |   |   |   |   |   |   | m |   |
| disconnect or discontinue your   |   |   |   |   |   |   | e |   |
| energy supply because you were   |   |   |   |   |   |   |   |   |
| unable to pay for a past-due     |   |   |   |   |   |   |   |   |
| home energy bill?                |   |   |   |   |   |   |   |   |
|                                  |   |   |   |   |   |   |   |   |
| Q11a. \[IF YES\] How often did   |   |   |   |   |   |   |   |   |
| this happen---almost every       |   |   |   |   |   |   |   |   |
| month, some months but not every |   |   |   |   |   |   |   |   |
| month, or in only 1 or 2 months? |   |   |   |   |   |   |   |   |
+----------------------------------+---+---+---+---+---+---+---+---+
| **[Threshold                     | V | I | C | V | S | V | I | V |
| Classification]{.smallcaps}**    | u | n | a | u | t | u | n | u |
|                                  | l | - | p | l | a | l | - | l |
|                                  | n | C | a | n | b | n | C | n |
|                                  | e | r | b | e | l | e | r | e |
|                                  | r | i | l | r | e | r | i | r |
|                                  | a | s | e | a |   | a | s | a |
|                                  | b | i |   | b |   | b | i | b |
|                                  | l | s |   | l |   | l | s | l |
|                                  | e |   |   | e |   | e |   | e |
+----------------------------------+---+---+---+---+---+---+---+---+

[^1]: A household with a bill of \$1,200 and an income of \$6,000 thus
    has an energy burden of 20% (\$1,200 / \$6,000 -- 0.20).

[^2]: We will set aside for the moment the notion that without the
    program, the status of the household would have deteriorated even
    more. We further set aside the notion that the improvement in the
    status of the household could be attributable to some other program
    alone or in combination with LIHEAP. These issues are common to
    *all* scales, not merely the Home Energy Insecurity Scale.

[^3]: The scale proposed in this paper borrows heavily from other ROMA
    scales. In particular, work in California, Kansas and Virginia has
    informed the development of this home energy family scale.

[^4]: The ROMA process grew out of the 1994 law reauthorizing the
    Community Services Block Grant (CSBG) program for Fiscal Years 1995
    through 1998. That law required state CSBG offices to report
    outcomes in the areas of self-sufficiency, family stability, and
    community revitalization.

[^5]: ROMA scales report outcomes at the family level, the agency level,
    and the community level. A comparison of the attributes of these
    three levels of scales is presented in Appendix A. This comparison
    of the three types of scales is presented simply to demonstrate what
    the *[household-level]{.underline}* Home Energy Insecurity Scale is
    *not* seeking to measure. The attached Home Energy Insecurity Scale
    does not seek to measure outcomes within an agency. Nor does it
    measure outcomes for the community as a whole.

[^6]: Another system of measurement that might be viewed as a "scale"
    involves the annual NCAA college basketball tournament. The "bottom"
    of the scale would be a tournament participant; the "top" of the
    scale would be tournament champion. Intervening "thresholds" would
    be whether a team moves up to being a "Sweet Sixteen" team; then
    moves up to being an "Elite Eight" team; and then moves up to being
    a "Final Four" team.

[^7]: The use of the same five thresholds as ROMA scales use is simply
    to facilitate the incorporation of the Home Energy Insecurity Scale
    into other ROMA data collection.

[^8]: Formulations of the five thresholds for non-energy uses are
    summarized in Appendix B. These formulations are presented as
    illustrations of what others have done to implement a
    household-level scale. The Home Energy Insecurity Scale assistance
    programs is then presented in Appendix C.

[^9]: Again, these attributes are consistent with the attributes of a
    household found to fall within the same thresholds on other scales.

[^10]: The term "outside assistance" is used instead of "public
    assistance" or "government assistance." "Outside assistance" covers
    a broader range of help, including assistance from friends and
    families, assistance from local fuel funds, and the like.

[^11]: If the household "routinely" foregoes energy used for comfort
    and/or convenience, it is not "capable," but only "stable."

[^12]: An earlier version of the Home Energy Insecurity Scale survey
    allowed the household to determine what energy uses were for "basic
    household necessities. The more recent versions, including the
    version made a part of this paper, limits those "basic necessities"
    to heating/cooling and hot water.

[^13]: For a discussion of the ongoing study of food insecurity, see
    generally, Mark Nord and C. Philip Brent (September 2002). ***Food
    Insecurity in Higher Income Households***, U.S. Department of
    Agriculture, Food and Nutrition Service, Alexandria (VA); Gary
    Bickel et al. (2000). ***Guide to Measuring Household Food Security,
    Revised 2000***, U.S. Department of Agriculture, Food and Nutrition
    Service, Alexandria (VA); William Hamilton, et al. (1997).
    ***Household Food Security in the United States in 1995: Summary
    Report of the Food Security Measurement Project***, U.S. Department
    of Agriculture, Food and Consumer Service, Office of Analysis and
    Evaluation, Alexandria (VA); William Hamilton et al. (1997).
    ***Household Food Security in the United States in 1995: Technical
    Report***, U.S. Department of Agriculture, Food and Consumer
    Service, Office of Analysis and Evaluation, Alexandria (VA).

[^14]: ***Food Insecurity in Higher Income Households***, at 21.

[^15]: ***Food Insecurity in Higher Income Households***, at 21.

[^16]: Since the Home Energy Insecurity Scale does not require multiple
    disqualifying indicators to be present, once a household is
    disqualified for a given threshold, that household is removed from
    further consideration with respect to that threshold. A household
    thus should not have more than one disqualifying indicator recorded.

[^17]: Remember, the survey is limited to resource constraints. As a
    result, arrears that may have arisen because someone forgot to pay
    or some such thing are not captured by the survey. The survey
    specifically asks "in the last 12 months. . .did you ever not pay
    your home energy *supplier because there wasn't enough money for the
    home energy bill?*"(emphasis added).

[^18]: One alternative way to view this is that the indicators for any
    given threshold incorporate all indicators for all thresholds above
    it.

[^19]: This discussion of the operation of the Home Energy Insecurity
    Scale is largely taken from the discussion of the operation of the
    Kansas ROMA scales, which the Home Energy Insecurity Scale most
    closely mirrors.

[^20]: While it is necessary to have two measurements for each survey
    respondent, it is *not* necessary to have the same respondents year
    after year.

[^21]: Because one condition of "thriving" is non-receipt of public
    assistance, LIHEAP recipients will, by definition not be "thriving."
    Application of the Home Energy Insecurity Scale outside the LIHEAP
    context will have this column available.

[^22]: We adopt the MATF reasoning: "We must accept that the evolving
    ROMA process is likened to creating a language to communicate with.
    We're looking for common denominators and similarities. Everybody
    knows what a car is. Some people use a car for transportation. Some
    people use their cars to raise income. Some use a car for
    entertainment; others use it to live in. Whatever it is used for, we
    still recognize a car when we see one."

[^23]: The next steps in the development of this Scale involve testing
    it on a broad scale within either the LIHEAP population served in a
    particular year or in a REACH project. The outcomes of the 2002
    Georgia REACH project will be evaluated in part using the Home
    Energy Insecurity Scale. Testing the incorporation of the Home
    Energy Insecurity Scale into ROMA scales, whether or not involved
    directly with LIHEAP, is necessary as well.

    Moreover, the data developed through the Home Energy Insecurity
    Scale is expected to serve as an increasing basis for academic
    inquiry into home energy insecurity in the United States, just as
    the U.S. Department of Agriculture's food insecurity survey has
    prompted more extensive analysis of hunger. Without question, as
    these academic, policy and programmatic studies are performed, the
    scale will become more sophisticated.

[^24]: Before field testing the survey, a number of experts in ROMA
    scales provided reviews and comments on the proposed scale.
    Gratitude is expressed to the reviewers listed in Appendix H for
    their timely and insightful comments..

[^25]: Gratitude is expressed to the Community Action Agency personnel
    (and their staff) identified in Appendix I for their assistance in
    the testing process.

[^26]: Five of those surveys were excluded from this analysis as
    incomplete leaving 85 surveys that were used in the scaling process.

[^27]: Once a household has been disqualified from a threshold based on
    one indicator, it is not further tested for other indicators
    relative to that same threshold.

[^28]: Question 6 now included in the survey presented in Appendix E has
    been narrowed from the question used in the test. The current
    question now asks about specific energy uses rather than a general
    reference to energy needed for household necessities.

[^29]: Only the arrears or only the disconnection notice were
    insufficient to disqualify a person from being classified as
    "stable." It was the combined presence of the two indicators that
    moved a household out of the "stable" threshold.

[^30]: These households reported the actual discontinuance of energy
    service either "almost every month" or "some months, but not every
    month." A household that reported the actual discontinuance of
    service "in only 1 or 2 months" was classified as "vulnerable."

[^31]: As discussed in more detail above, once a household is
    disqualified from a threshold, it is not further screened for other
    indicators within that same threshold.

[^32]: This does not mean that the household had *any* impacts on the
    provision of basic energy needs or basic household necessities. It
    merely means that, once having been placed in the "vulnerable"
    threshold because of the disconnection or discontinuance of service
    due to nonpayment of past-due bills, the only indicators that would
    have reclassified the household as being "in-crisis" were frequent
    adverse impacts. These indicators were not present.