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Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF
Carryover and Reallotment Report
THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR
CHILDREN AND FAMILIES IN LIHEAP ACTION TRANSMITTAL NO. LIHEAP-
AT-2002-2, DATED 5/29/02
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); 45 CFR 96.81 as amended 5/1/95 (60
Federal Register 21322); LIHEAP Action Transmittal
2000-2, dated November 18, 1999, which transmitted
the Final Rule amending the Block Grant
Regulations, as published in the Federal Register
on October 15, 1999 (64 FR 55843-55858); and OMB
approval 0970-0106, expires 11/30/2004.
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,
2002, to transmit the new Carryover and Reallotment
Report form, and to advise grantees that FY 2003
grant awards will not be made until the carryover
and reallotment report for FY 2002 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 2002 must be obligated by September 30,
2002, the end of FY 2002. Up to 10% may be carried
over for use in FY 2003, but those funds must be
obligated no later than September 30, 2003.
(Please note that this requirement applies to
obligation only, not expenditure of funds.)
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
2002, 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 2002 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 2003 until we have received that
grantee's carryover and reallotment report for FY
2002. 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 and New Reporting Form
A new form for submission of the Carryover and
Reallotment Report (OMB approval 0970-0106,
expiration date - 11/30/2004) is attached. It
includes the requirements set out in our
regulations at 45 CFR 96.81 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,
2002 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: Rosemary Murray
Note: Postal Delays
Due to current situations affecting the receipt
of mail in the Washington, DC metropolitan
area, Federal government agencies are unable to
accept mail through the U.S. Postal service that
has not been processed through special equipment.
Regular deliveries have resumed, but delays continue
due to an irradiation process. Therefore, to ensure
the timely receipt of your Carryover and Reallotment
Report, we recommend that you use a commercial
courier service that can guarantee that the report
is postmarked on or before August 1, 2002 or you may
fax the report to (202) 401-5661 before midnight on
the due date.
ATTACHMENTS: (A) Simplified Instructions for Timely Obligation
of FY 2002 LIHEAP Funds and Reporting Funds
for Carryover and Reallotment
(B) Form for Carryover and Reallotment Report for
FY 2002
INQUIRIES: Nick St. Angelo, Director
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) 401-5661
______________/s_____________
Clarence H. Carter
Director
Division of Energy Assistance
Office of Community Services
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URL: http://www.acf.dhhs.gov/programs/liheap
Posted on 6/24/02
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