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Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF
Submission of leveraging reports on FY 2001 leveraging activities,
in order to qualify for FY 2002 leveraging incentive fund grant awards, and
amendment of FY 2001 LIHEAP plans as necessary to add information on leveraging
carried out in FY 2001
THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR
CHILDREN AND FAMILIES IN LIHEAP INFORMATION MEMORANDUM TRANSMITTAL
NO. LIHEAP-AT-2001-8, DATED 8/2/01
TO: LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP)
GRANTEES AND OTHER INTERESTED PARTIES
SUBJECT: Submission of leveraging reports on FY 2001
leveraging activities, in order to qualify for FY
2002 leveraging incentive fund grant awards, and
amendment of FY 2001 LIHEAP plans as necessary to
add information on leveraging carried out in FY 2001
RELATED Low Income Home Energy Assistance Act, title XXVI
REFERENCES: of the Omnibus Budget Reconciliation Act of 1981,
Public Law 97-35, as amended; final rule published
in the Federal Register on May 1, 1995 (60 FR 21322
et seq.) (see LIHEAP-IM-95-20); 45 CFR 96.87 in the
Department of Health and Human Services block grant
regulations (see LIHEAP-IM-99-19).
DUE DATES: (1) September 30, 2001, for amendments to FY 2001
LIHEAP plans to add information on leveraging
activities carried out during FY 2001; and
(2) November 30, 2001, for applications for FY 2002
leveraging incentive fund grant awards based on FY
2001 leveraging activities.
PURPOSE: (1) To remind LIHEAP grantees that they must submit
LIHEAP plan amendments adding and/or revising
descriptions of certain leveraging activities that
took place in fiscal year (FY) 2001 to the Office
of Community Services (OCS) by September 30, 2001,
in order to have them qualify for FY 2002 leveraging
incentive funds.
(2) To remind LIHEAP grantees that they must submit
reports covering leveraging activities that took
place in FY 2001 to OCS by November 30, 2001, in
order to qualify for FY 2002 leveraging incentive
fund awards. The required Leveraging Report forms
and the instructions for their completion are
attached.
BACKGROUND: The LIHEAP leveraging incentive program rewards
LIHEAP state, tribal, and territorial grantees that
have acquired nonfederal home energy resources for
low income households, expanding the effect of their
federal LIHEAP funding.
The Department of Health and Human Services (HHS)
issued final implementing regulations for the LIHEAP
leveraging incentive program on May 1, 1995 (60 FR
21322 et seq.). These leveraging regulations are
included in the HHS block grant regulations at 45
CFR 96.87. They are based closely on the leveraging
requirements in section 2607A of the Low Income Home
Energy Assistance Act.
Under the leveraging incentive program, leveraging
incentive awards in a fiscal year (the award period)
are based on countable leveraged resources/benefits
that were provided to low income households during
the previous fiscal year (the base period). For
example, FY 2002 leveraging incentive awards will be
allocated to grantees based on countable leveraged
resources that were provided to low income
households in FY 2001.
Grantees desiring leveraging incentive funds must
submit an application-the LIHEAP Leveraging
Report-that describes and quantifies the leveraging
activities they carried out during the base period.
HHS then determines whether the reported activities
meet the requirements of the LIHEAP statute and
regulations, and therefore are countable under the
program. Leveraging incentive funds are allocated
using a formula that takes into account the value of
each applicant's countable leveraged resources
compared to its regular LIHEAP allotment and to the
total amount leveraged by all applicants.
CONTENT: Applications for FY 2002 Leveraging Incentive Awards
Grantees that wish to apply for LIHEAP leveraging
incentive funds to be awarded in FY 2002 must submit
a LIHEAP Leveraging Report on their FY 2001
leveraging activities to OCS by November 30, 2001.
The reports must be postmarked or hand-delivered to
OCS by this date, or they will not be accepted. The
reports should cover only countable leveraged
resources/benefits that were provided to low income
households in FY 2001. FY 2001 leveraging
activities must be carried out under 45 CFR 96.87,
consistent with the final rule published May 1, 1995.
The amount of LIHEAP funds that will be available
for leveraging awards in FY 2002 is uncertain. The
amount that will be available will be indicated in
the FY 2002 LIHEAP appropriation. We expect to set
aside for REACH the full 25% allowable out of these
funds earmarked for leveraging.
Leveraging Report Forms
The LIHEAP Leveraging Report consists of two parts.
Part 1, the Resource/Benefit Description Pages, is a
two-page form that is to be completed for each
separate leveraged resource that a grantee proposes
to count for this base period. It requests
information that will enable HHS to determine
whether each resource meets the requirements of the
LIHEAP statute and the May 1995 final rule and is
therefore countable. Part 2 of the Leveraging
Report, the Summary Page, is to show the grand
totals for all of the grantee's proposed leveraged
resources; it also is to include a certifying
signature by the grantee's chief executive officer
or designee. (If a designee signs, the grantee
should be sure that OCS has a copy of the delegation
of authority).
Grantees may use their own versions of Part 1 if
they use the same format and wording as the pre-
printed form. They must use HHS's version of
Part 2. The forms are available on diskette upon
request, and on our LIHEAP web site at
http://www.acf.dhhs.gov/programs/liheap/forms.htm#LEVERAGE
Grantees also may wish to use the Sample Leveraging
Summary Worksheet, to record the financial
information from item 1 of the Resource/Benefit
Description Pages for each resource and to calculate
the grand totals to be entered on the Summary Page.
Completing this worksheet would help ensure that no
amounts are omitted or double-counted and that the
calculations are correct.
Applicants for leveraging incentive funds should
carefully read and follow the Instructions for
Completing LIHEAP Leveraging Report Forms. They
also should consult section 96.87 of the May 1995
final rule (45 CFR 96.87 in the HHS block grant
regulations) and the part of the final rule's
preamble that deals with the leveraging incentive
program.
Grantees should ensure that their Leveraging Reports
are complete and accurate before they submit them,
in order to speed up the review and award process
for everyone. Grantees should be sure that all
submitted resources/benefits meet the requirements
of the LIHEAP statute and regulations and were
provided to low income households between October 1,
2000, and September 30, 2001. They should recheck
their mathematical calculations, and enter the
numbers in items 1B, 1C, 1D, and 1E of the
Resource/Benefit Description Pages, and the numbers
on the Summary Page, as whole numbers rounded to the
nearest whole dollar, or rounded to the nearest
multiple of 10 or 100.
In some of the Leveraging Reports for prior fiscal
years, states' local administering agencies
completed the Resource/Benefit Description Pages for
activities taking place in their areas. The quality
of the reporting varied significantly among the
local agencies. If a state uses this process, it
should review the forms before submitting them to
OCS and ensure that all items are complete and
accurate, that the activities took place during the
proper base period and meet the requirements of the
statute and regulations, and that the state (not the
local agency) is shown as the LIHEAP grantee. The
resources should be numbered sequentially for the
state as a whole, rather than starting over with #1
for each local agency.
Leveraging Requirements
In order to count under the leveraging incentive
program, a resource/benefit must meet all of the
requirements of 45 CFR 96.87(d)(1) and at least one
of the three criteria/requirements of 45 CFR 96.87
(d)(2), consistent with the May 1995 final rule.
To meet criterion (i) of section 96.87(d)(2), the
grantee's LIHEAP program, at the central and/or
local agency level, must have a substantive role in
developing and/or acquiring the resource/benefits
from energy vendor(s) through negotiation,
regulation, and/or competitive bid. Only resources
obtained from energy vendors (for example, utility
companies and delivered fuel vendors) may be counted
under criterion (i). Resources counted under
criterion (i) do not need to be described/covered in
grantees' LIHEAP plans.
To meet criterion (ii) of section 96.87(d)(2), the
grantee must appropriate or mandate the
resources/benefits for distribution to low income
households through (within or as a part of) its
LIHEAP program, in accordance with the LIHEAP
statute and regulations and the grantee's LIHEAP
plan and program policies that were in effect during
this base period. The benefit from the resource is
a part of a household's LIHEAP benefit, not an
additional benefit that is not part of the LIHEAP
program. The plan must include the type of
assistance/benefits that are provided by the
resource, although the leveraged resources/benefits
do not necessarily have to be mentioned by name in
the plan. Under this criterion, for example, a
grantee could not count assistance with cooling
costs or purchase of fans if the plan did not
include these activities for the regular LIHEAP
program. (Leveraged benefits that supplement LIHEAP
benefits that were inadequate, but that are
distributed outside the LIHEAP program, would not
count under criterion (ii). Grantees should look to
criterion (iii) for such resources.)
To meet criterion (iii) of section 96.87(d)(2), the
grantee must appropriate or mandate the
resource/benefits for distribution to low income
households as described in its LIHEAP plan, as a
supplement and/or alternative to its LIHEAP program,
integrated and coordinated with its LIHEAP program,
but outside (not through, within, or as a part of)
its LIHEAP program. Under this criterion, the
resource must meet at least 1 of 8 listed conditions
(conditions (A) - (H)) to demonstrate that it is
integrated and coordinated with the grantee's LIHEAP
program. (A single leveraged resource/benefit
cannot be counted under both criterion (ii) and
criterion (iii), because a single resource/benefit
cannot be provided both through (criterion (ii)) and
outside (criterion (iii)) the grantee's LIHEAP
program.) For resources/benefits to be countable
under criterion (iii), the grantee's FY 2001 LIHEAP
plan must identify and describe the resources/benefits,
their sources(s), and their integration/coordination
with the LIHEAP program.
Submission of Leveraging Reports
Grantees that wish to apply for FY 2002 leveraging
incentive fund awards must submit Leveraging Reports
on their FY 2001 leveraging by November 30, 2001.
These Leveraging Reports must be postmarked or hand-
delivered to OCS by this date.
Grantees should submit the original of the completed
LIHEAP Leveraging Report to OCS. We do not need
additional copies. Grantees should be sure to keep
copies for their own files. The completed forms
should be sent to:
Linda M. Hill, Acting Director
Division of Energy Assistance
Office of Community Services, ACF, HHS
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
HHS may require additional documentation and/or
clarification as it determines necessary to verify
information in a grantee's Leveraging Report, to
determine whether a leveraged resource is countable,
and/or to determine the net valuation of a resource.
If this is the case, an OCS staff member will
contact the grantee during the review of the
leveraging reports to request the necessary
information.
Amendments to FY 2001 Plans
Grantees must submit any FY 2001 LIHEAP plan
amendments adding or revising descriptions of FY
2001 leveraging activities by September 30, 2001.
These amendments must be postmarked or hand-
delivered to OCS by this date.
For leveraged resources/benefits that are provided
to low income households as part of the grantee's
LIHEAP program and that are to be counted under
criterion (ii) of 45 CFR 96.87(d)(2): the grantee's
LIHEAP plan must include the type of assistance/
benefits that are provided by the resource.
For leveraged resources/benefits that are provided
to low income households as a supplement and/or
alternative to the grantee's LIHEAP program, outside
the LIHEAP program but integrated and coordinated
with it, and that are to be counted under criterion
(iii) of 45 CFR 96.87(d)(2): the grantee's LIHEAP
plan must identify and describe each resource, its
source, and how it is integrated and coordinated
with the grantee's LIHEAP program. Grantees should
be sure that each resource meets the integration/
coordination requirements of at least one of
conditions (A) - (H) in section 96.87(d)(2)(iii).
INQUIRIES TO: Linda M. Hill, Acting Director
Division of Energy Assistance
Telephone: (202) 401-9351
Fax: (202) 401-5718
E-mail: lhill@acf.dhhs.gov
(See address above.)
ATTACHMENTS: LIHEAP Leveraging Report Form, Parts 1 and 2, and
Sample Leveraging Summary Worksheet (Form No. ACF-119,
OMB Clearance No. 0970-0121, expiration date 7/31/2003); and
Instructions for Completing LIHEAP Leveraging Report Forms.
________________/s_______________
Linda M. Hill
Acting Director
Division of Energy Assistance
Office of Community Services
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URL: http://www.acf.dhhs.gov/programs/liheap
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