Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF
State and Tribal LIHEAP Application Requirements and Deadline for Tribal Applications
THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR CHILDREN AND
FAMILIES IN LIHEAP ACTION TRANSMITTAL NO. LIHEAP-AT99-4, DATED 7/23/99
TO: LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP) GRANTEES AND OTHER INTERESTED PARTIES
SUBJECT: State and Tribal LIHEAP Application Requirements and Deadline for Tribal Applications
RELATED
REFERENCES: Law 97-35, the Omnibus Budget Reconciliation Act of 1981), as amended; regulations for the HHS block grant programs, including LIHEAP, published at 45 C.F.R. Part 96; as amended on May 1, 1995 (60 FR 21322); and LIHEAP model plan, as transmitted to grantees by LIHEAP Information Memorandum 99-9, dated 4/9/99 (OMB approval number 0970-0075, for use through 5/31/2000).
PURPOSE: The purpose of this memorandum is to remind grantees of the application requirements for the funding period beginning October 1, 1999 for the FY 2000 LIHEAP program, and also to remind Tribal grantees that their LIHEAP applications for the FY 2000 funding period are due September 1, 1999.
CONTENT: The LIHEAP application requirements for the FY 2000 funding period were described in LIHEAP-IM-99-9 dated April 9, 1999. The Information Memorandum also included copies of both the detailed and abbreviated model plans, along with a chart showing which grantees must submit detailed applications this year. (The chart also is attached to this memorandum.)
Grantees must submit a "detailed application" every 3 years, or sooner if they are making major changes to their LIHEAP programs. Since most grantees do not substantially change their programs in a typical 2- to 3-year period, this frequency will assure that we have a full description of basic plan elements. As part of the detailed application, a full description of how grantees will carry out all of the assurances specified in the statute and the other program-specific information required in Section 2605(c) of the statute must be submitted.
One-third of current grantees must submit detailed applications for FY 2000 while the remaining two-thirds will have the option of filing an abbreviated application for FY 2000. Grantees that submit an abbreviated application for FY 2000 will be required to submit a detailed application for FY 2001 or FY 2002. Attached is a schedule specifying which grantees are required to file detailed applications in FY 2000 and FY 2001 (See Attachment 2.) Except as noted in Attachment 2, Tribes and tribal organizations must file a detailed application in the same year as the States in which they are located.
We wish to remind grantees that they must submit an application each fiscal year in order to receive LIHEAP funds. Indian Tribes and tribal organizations must submit their applications by September 1, 1999, unless the State(s) in which the Tribe or organization is located agrees to a later submission date. States and territories may submit their applications at any time during the fiscal year. However, we encourage you to apply before the start of the Federal fiscal year so that processing and issuance of grant awards can be completed as soon as funds are available. Early receipt and processing of your application also will facilitate your ability to meet the statutory requirement to obligate at least 90 percent of your funds in the fiscal year in which they are appropriated.
999The Cash Management Improvement Act of 1990 (Public Law 101-453, as amended by Public Law 102 -589), is in effect. This statute, which covers States and territories but not Tribes, imposes a requirement for timely transfers of funds between Federal agencies and States. The Department of the Treasury has issued a Final Rule (57 FR 60676-60684, published December 21, 1992) implementing the statute, which affects the LIHEAP program. It is important that we receive your application several weeks before you intend to draw funds from the Payment Management System so that we may comply with the intent of this Act and its implementing regulations.
999We wish to remind grantees which have specific opening dates established for their LIHEAP programs that they should allow four to six weeks for Division of Energy Assistance review of their applications and issuance of grant awards. All necessary information must be included in the application before it can be accepted as complete and we can issue a grant. When we have to ask for additional information, it means that you may not receive the grant award on the schedule you had planned.
Another reason the approval process often takes longer than necessary is the submission of delegations of the governor’s authority that do not specify authority to sign the LIHEAP assurances. LIHEAP regulations at 45 CFR 96.10(b) require that the 16 assurances (15 for Tribes and some territories) in the LIHEAP statute must be signed by the grantee's chief executive officer or "by an individual authorized to make such certifications on behalf of the chief executive officer." A delegation of authority to administer the LIHEAP program, or one that delegates authority to sign assurances but does not specify the LIHEAP program, is not sufficient. The delegation must specifically authorize the delegatee to sign the LIHEAP assurances.
999Please note that the signature requirements and requirements for public participation in developing the application (plus a public hearing requirement for States) apply to Abbreviated as well as Detailed applications. In providing the opportunity for public participation, grantees that will file an abbreviated plan should also make the most recent detailed application available for public review.
999Use of the model plan format continues to be optional. To assist grantees that choose not to use the model plan format, we have attached reminders of the elements necessary for a complete application.
This model plan is available on Wordperfect 5.1 and Microsoft Word 97 disks, upon request. It may also be downloaded from the LIHEAP website at /programs/liheap.
Required Household Report
As part of their annual LIHEAP grant applications, grantees are required to report data on households that applied for and those that received LIHEAP assistance during the previous fiscal year.
Section 2605 (C)(1)(G) requires grantees to report the number and income levels of those households applying for and those households receiving assistance, and the number of assisted households with at least one or more individuals who are in each of 3 categories: (1) 60 years or older, (2) disabled, and (3) under 6 years old. (Territories with block grant allocations of $200,000 or less and tribal grantees are required to submit a report only on the number of households served under each LIHEAP program.)
FY 2000 grant awards will not be made until the data for FY 1999 is received. If final figures are not yet available when you submit
your application, we will accept estimates. Updated figures should be provided as soon as possible thereafter.
Carryover and Reallotment Report
999The required report on the amount of funds each grantee will carry over from FY 1999 to FY 2000 -- or will have available for reallotment --is still due August 1, 1999. However, please remember that the statute states that no grantee will receive its FY 2000 grant until it has submitted its carryover and reallotment report for its FY 1999 funds. (See LIHEAP AT-99-2, dated 6/30/99 for more details.)
999Leveraging Incentive Program
999We remind LIHEAP grantees applying for leveraging incentive funds that the regulations at 45 CFR 96.87, which govern the leveraging incentive program, require you to include in your FY 1999 LIHEAP plan a description of any leveraging activities that took place during FY 1999 that are integrated and coordinated with your LIHEAP program, but that are not administered as a part of LIHEAP. You must submit any necessary amendments to your plan to provide those descriptions to the Division of Energy Assistance by the end of the FY 1999 fiscal year, September 30, 1999. Leveraging activities that you expect to carry out during FY 2000 should be described in your FY 2000 plan and application. Please refer to LIHEAP-AT-98-4A (dated August 1998), which describes the requirements to qualify for leveraging incentive funds for these resources.
999Additional Certifications
999Please remember that all States, whether or not they use the model plan, must file the lobbying certification and, if applicable, Form LLL, which discloses lobbying payments. Tribes and tribal organizations are not required to file the lobbying certification. The debarment and suspension
certification must be filed by all grantees, as must the drug-free workplace certification, unless a State has submitted a Statewide assurance to the Department of Health and Human Services. Grantees that do not
use the model plan should remove these certification forms from the back of the model plan and include them with their applications. (See LIHEAP IM-99-9, dated 4/9/99.)
Certification by the Chief Executive Officer
The Chief Executive Officer of the grantee must "certify" to the assurances in section 2605(b) of the statute (16 assurances for States, 15 for Tribes and some territories). This can be accomplished in two different ways. The chief executive officer may sign either: (1) the assurances contained in the law listed exactly as they appear in the amended statute (copy incorporated in the model plan); or (2) a "blanket assurance" which is a Statement that certifies to the assurances in the law. An example of an acceptable blanket assurance is:
I certify that the (Name of Grantee) will comply with the 16 assurances contained in Title XXVI, section 2605(b) of the Omnibus Budget Reconciliation Act of 1981 as amended, in the administration and operation of its Low Income Home Energy Assistance Program.
The chief executive officer means, in most Tribes, the tribal chairperson or President of the Tribal Council. For States, the chief executive officer is the governor. The assurances may not be signed by any other person, such as the LIHEAP Coordinator, the Business Manager, or the Director of Social Services. There is only one exception to this policy. The chief executive officer may, in writing, specifically authorize another person to sign on his or her behalf. Such an authorization will be accepted only if it States that the designated person is authorized to sign the LIHEAP assurances. Authorization simply to administer the LIHEAP program is not acceptable. The authorization must mention the LIHEAP program by name.
Tribe-State Agreements
Under the LIHEAP statute and implementing regulations, we determine grant amounts to be awarded to Tribes and tribal organizations based on the number of eligible households in the Tribe compared to the number of eligible households for the State, unless the Tribe and the State agree to a larger amount. We encourage Tribes and States to develop an agreement on funding levels.
As in previous years, grants will be issued to tribal grantees based on eligible household numbers unless an agreement between the State and tribal grantee has been made. Therefore, if a State and Tribe are planning to negotiate an agreement, it is important to start that process now.
Inter-Tribal Agreements
If a tribal organization or consortium is applying on behalf of several Tribes, the application must list all Tribes to be served. Any Tribes added to the list after the September 1 application due date must receive the State's approval before HHS can issue funds to the organization or consortium on behalf of the additional Tribes.
A consortium must also have a resolution for each Tribe for which it is applying, authorizing the consortium to apply for and administer LIHEAP funds on the Tribe's behalf. The authorization must be in the form of a resolution duly passed by the tribal council. A letter signed by a program administrator or by a tribal chairperson will not suffice.
Application Submission
Applications should be mailed to:
Division of Energy Assistance
Office of Community Services/ACF/HHS
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
(202) 401-9351
Attachments:
(1) LIHEAP Application Reminders
(2) LIHEAP Application Review Process
INQUIRIES TO:
Division of Energy Assistance
Office of Community Services/ACF/HHS/
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
(202) 401-9351
_______________/s________________
Janet M. Fox
Director
Division of Energy Assistance
Office of Community Services
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