Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF
THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR CHILDREN AND FAMILIES
IN LIHEAP ACTION TRANSMITTAL NO. LIHEAP-AT-99-2, DATED 6/30/99
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 9/30/2001.
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, 1999, and to advise grantees that
FY 2000 grant awards will not be made until the carryover and reallotment report
for FY 1999 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. For purposes of the preceding
sentence, the amount payable to a 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. For example,
at least 90% of the funds allocated to you for FY 1999 must be obligated by
September 30, 1999, the end of FY 1999. Up to 10% may be carried over for use
in FY 2000, but those funds must be obligated no later than September 30, 2000.
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 1999, 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 1999 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 2000 until we have received that grantee's carryover and reallotment
report for FY 1999. 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.
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, 1999 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 FY 1999
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 1999 LIHEAP FUNDS AND REPORTING
FUNDS FOR CARRYOVER AND REALLOTMENT
1. Add together the funds you received from HHS in FY 1999 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 1999.
You may carry over up to 10% of this total for obligation in FY 2000.
2. At least 90% of the total funds available to you in FY 1999, as calculated
in Paragraph #1, must be obligated by you for use in LIHEAP no later than September
30, 1999, which is the end of FY 1999. (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 1999, as calculated
in Paragraph #1, may be carried over for obligation in FY 2000. These carryover
funds must be obligated by you for use in LIHEAP no later than September 30,
2000, or they must be returned to HHS.
4. FY 1999 funds that are not obligated by you by September 30, 1999, 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 2000.
5. Submit a report to HHS on your estimated carryover and reallotment by
August 1, 1999. 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 2000 grant
awards will not be issued to you until the Carryover and Reallotment Report
for FY 1999 is received by HHS.
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