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Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF
Carryover and Reallotment Report
TO: LOW INCOME HOME ENERGY ASSISTANCE PROGRAM
(LIHEAP) GRANTEES AND OTHER INTERESTED PARTIES
SUBJECT: Carryover and Reallotment Report
RELATED
REFERENCES: Section 2607(b) of the Low Income Home Energy
Assistance Act, Title XXVI of Public Law 97-35, the
Omnibus Budget Reconciliation Act of 1981, as
amended; the Augustus F. Hawkins Human Services
Reauthorization Act of 1990 (Public Law 101-501);
the Human Services Amendments of 1994 (Public Law
103-252); and 45 CFR 96.81 as amended 5/1/95 (60
Federal Register 21322); OMB approval 0970-0106,
expires 8/31/98.
Section 155 of Public Law 97-377 (Warner
Amendment); 48 Federal Register 6082, published on
2/9/83; 51 Federal Register 33808 published on
9/23/86; and 51 Federal Register 35566, published
on 10/6/86 (Exxon); 52 Federal Register 26742,
published on 7/16/87 (Stripper Well).
PURPOSE: To remind LIHEAP grantees of the required
carryover and reallotment report due August 1,
1998, and to advise grantees that FY 1999 grant
awards will not be made until the carryover and
reallotment report for FY 1998 is submitted to HHS.
CONTENT: Section 2607(b)(2)(B) of the LIHEAP statute as
amended by Title III of the Augustus F. Hawkins
Human Services Reauthorization Act of 1990, Public
Law 101-501, states that:
No amount may be held available under this
paragraph for a State from a prior fiscal year to
the extent such amount exceeds 10 percent of the
amount payable to such State for such prior fiscal
year and not transferred pursuant to section.
2604(f).states that:
For purposes of the preceding sentence, the amount
payable to a State but not transferred by the
State for a fiscal year shall be determined
without regard to any amount held available under
this paragraph for such State for such fiscal year
from the prior fiscal year.
Grantees may request to carry forward from one
fiscal year to the next up to 10% of the amount
payable to the grantee for the first fiscal year.
The funds that are carried over must be obligated
by the grantee by the end of the fiscal year
following the year in which they are appropriated.
(It should be noted that the authority under
section 2604(f) of the LIHEAP statute to transfer
LIHEAP funds to another HHS block grant expired at
the end of FY 1993. Beginning in FY 1994, no
LIHEAP funds may be transferred to another HHS
block grant.)
If more than 10% of a grantee's funds payable
remains unobligated at the end of the fiscal year
for which they were allotted, these excess funds
must be returned to HHS and are subject to
reallotment among all grantees in the next fiscal
year.
The 10% carryover limit does not apply to LIHEAP
leveraging incentive award funds. The period of
obligation for the entire amount of leveraging
incentive funds awarded to a grantee is the award
period (the fiscal year in which these funds were
awarded) and the following fiscal year, as
explained in our regulations at 45 CFR 96.87(k).
For those States and territories that received
Petroleum Violation Escrow Funds under Public Law
97-377, Section 15 (Warner Amendment), from the
Exxon Oil Overcharge case or from the Stripper Well
settlement agreement for use under LIHEAP in FY
1998, such funds are to be treated like funds
appropriated under LIHEAP with respect to section
2607(b) of Public Law 97-35 and must be reflected
in the carryover and reallotment report. If you
find that unobligated oil overcharge funds will
cause you to exceed the 10% carryover limit, we
suggest you talk to your Department of Energy
support office about de-designating the funds for
FY 1998 and re-designating them for a future fiscal
year. The LIHEAP reporting requirements as they
relate to the Exxon and Stripper Well settlement
funds are included in FSA-IM-87-12 issued July 22,
1987.
The LIHEAP statute and regulations require
LIHEAP grantees to report information to HHS
concerning funds to be carried forward and funds
subject to reallotment. The 1994 reauthorization
of the LIHEAP statute, the Human Services
Amendments of 1994 (Public Law 103-252), requires
that the carryover and reallotment report for one
fiscal year be submitted to HHS by the grantee
before the allotment for the next fiscal year may
be awarded.
Consequently, HHS will not make a grant award to
a grantee for FY 1999 until we have received that
grantee's carryover and reallotment report for FY
1998. Because the Carryover and Reallotment Report
is due August 1, before the end of the fiscal year,
you may find that your estimates later prove to be
inaccurate. If this occurs, please submit a
corrected report as soon as possible. Note:
Tribal LIHEAP applications are due by September 1.
Report Requirements
Our regulations at 45 CFR 96.81 require that the
carryover and reallotment report be submitted to
HHS by August 1 of each calendar year and contain:
1. The amount of the grantee's allotment for the current
fiscal year that the grantee desires to remain available for
obligation in the succeeding fiscal year, not to exceed 10% of
the amount payable to such grantee for the fiscal year;
2. The amount of funds, if any, to be subject to reallotment;
3. If funds are carried forward, a statement of the reasons
that these funds will not be used in the fiscal year for which
they were allotted and a description of the types of assistance
to be provided with the amount held available for the
following fiscal year.
The carryover and reallotment report must be made in writing,
since it will form the basis for modification of grant awards.
All grantees must submit a report, even if no funds are to be
carried over or made available for reallotment. These reports
must be submitted no later than August 1, 1998 to:
Administration for Children and Families
Office of Community Services
Division of Energy Assistance
Aerospace Building - 5th Floor, West
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
Attention: Kathleen Moore
ATTACHMENT: Simplified Timely Instructions for Obligation of 1998
LIHEAP Funds and Reporting Funds for Carryover and Reallotment
INQUIRIES
TO: Division of Energy Assistance
Office of Community Services, ACF, HHS
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
Telephone: (202) 401-9351
FAX: (202) 401-5718 or 4687
_______________/s_______________
Janet M. Fox
Director
Division of Energy Assistance
Office of Community Services
ATTACHMENT
SIMPLIFIED INSTRUCTIONS
FOR TIMELY OBLIGATION OF 1998 LIHEAP FUNDS
AND REPORTING FUNDS FOR CARRYOVER AND REALLOTMENT
1. Add together the funds you received from HHS in FY 1998 in
the form of LIHEAP block grant awards, any emergency
contingency funds that may have been awarded, and any oil
overcharge funds designated for use in LIHEAP for FY 1998.
You may carry over up to 10% of this total for obligation in
FY 1999.
2. At least 90% of the total funds available to you in FY 1998,
as calculated in Paragraph #1, must be obligated by you for
use in LIHEAP no later than September 30, 1998,(Please note
that this requirement applies to obligation only, not
expenditure of funds.)
3. No more than 10% of the funds available to you for FY 1998,
as calculated in Paragraph #1, may be carried over for
obligation in FY 1999. These carryover funds must be
obligated by you for use in LIHEAP no later than September
30, 1999, or they must be returned to HHS.
4. FY 1998 funds that are not obligated by you by September 30,
1998, and that exceed 10% of the total as calculated in
Paragraph #1, must be returned to HHS, which will reallocate
them to LIHEAP grantees in FY 1999.
5. Submit a report to HHS on your estimated carryover and
reallotment by August 1, 1998. Include a brief explanation
of why you want to carry over the funds and how you will use
them. If you later find that your estimates are not
accurate, submit a corrected report as soon as possible. FY
1999 grant awards will not be issued to you until the
Carryover and Reallotment Report for FY 1998 is received by
HHS.
OMB No.: 0970-0106 Expiration Date 8/31/98
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