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Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF
State and Tribal LIHEAP Application Requirements and Deadline
for All Applications of September 1, 2004
THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR
CHILDREN AND FAMILIES IN LIHEAP INFORMATION MEMORANDUM TRANSMITTAL
NO. LIHEAP-AT-2004-3, DATED 6/17/04
TO: LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP)
GRANTEES AND OTHER INTERESTED PARTIES
SUBJECT: State and Tribal LIHEAP Application Requirements and
Deadline for All Applications of September 1, 2004
RELATED Low Income Home Energy Assistance Act of 1981
REFERENCES: (Title XXVI of Public Law 97-35, the Omnibus Budget
Reconciliation Act of 1981), as amended; 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);
LIHEAP model plan, as transmitted to grantees by
LIHEAP Information Memorandum 2001-19, dated 3/28/01;
(OMB approval number 0970-0075, for use through
2/28/2005).
PURPOSE: The purpose of this memorandum is to remind
grantees of the application requirements for the
funding period beginning October 1, 2004 for the
FY 2005 LIHEAP program, and also to remind all
grantees that their LIHEAP applications for the
FY 2005 funding period are due September 1, 2004.
CONTENT: The LIHEAP application requirements for the
FY 2005 funding period were described in LIHEAP-
IM-2004-06 dated April 12, 2004. 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.
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 2005 while the remaining two-
thirds will have the option of filing an
Abbreviated application for FY 2005. Grantees
that submit an Abbreviated application for FY 2005
will be required to submit a Detailed application
for FY 2006 or FY 2007. Attached is a schedule
specifying which grantees are required to file
Detailed applications in FY 2005 and FY 2006 (See
Attachment 2).
Tribes and Territories that were not grantees in
the year immediately prior to the year for which
application is being made must file a Detailed
application. Filing an Abbreviated application in
the scheduled years is optional; a grantee that
wishes to do so may file a Detailed application in
any year. In some cases, Tribes and States are
not on the same 3-year cycle if a Tribe applied
with a Detailed plan during a year in which the
State submitted an Abbreviated plan.
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, unless the State(s) in which the
Tribe or organization is located agrees to a later
submission date. A Final Rule published on
October 15, 1999 in the Federal Register (64 FR
55843) states in 45 CFR 96.10(c)(2) that
applications from States and territories must also
be submitted by September 1 unless the Department
agrees to a later date.
States and territories that will not be able to
meet the deadline for submitting FY 2005
applications should write to this office at the
address at the end of this transmittal. The
letter should state the reason(s) that the
deadline cannot be met and a projected date for
submission.
The final rule also establishes a deadline for the
submission of all information required to complete
the LIHEAP application by Tribes, States and
territories. All information requested by this
office in order to make a grantee's application
complete must be submitted by December 15 of the
fiscal year for which funds are being requested,
unless the State(s) in which a Tribe is located
(in the case of tribal grantees) or the Department
(in the case of States and territories) agrees to
a later date.
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.
The 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. The receipt of your application several
weeks before you intend to draw funds from the
Payment Management System will allow us to comply
with the intent of this Act and its implementing
regulations.
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.
Please 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.
Use 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 Microsoft Word 97
disks, upon request. It may also be downloaded
from the LIHEAP website at
http://www.acf.hhs.gov/programs/liheap/forms.htm#AP
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.
Therefore, your FY 2005 LIHEAP application must
include a report on FY 2004 applicant and
recipient households.
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 component).
FY 2005 grant awards will not be made until the
report for FY 2004 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
The required report on the amount of funds
each grantee will carry over from FY 2004 to
FY 2005 -- or will have available for reallotment
-- is due August 1, 2004. Please remember that the
statute states that no grantee will receive its FY
2005 grant until it has submitted its carryover
and reallotment report for its FY 2004 funds.
(See LIHEAP AT-2004-2, dated 6/17/04 for more
details.)
Leveraging Incentive Program
We 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 2004 LIHEAP plan a
description of any leveraging activities that took
place during FY 2004 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 2004 fiscal year,
September 30, 2004, in order to qualify for FY 2005
leveraging grant awards. Leveraging activities
that you expect to carry out during FY 2005 should
be described in your FY 2005 plan and application.
Please refer to LIHEAP-AT-2003-5 (dated 8/7/03),
that describes the requirements to qualify for
leveraging incentive funds for these resources.
Additional Certifications
Please 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-2004-6, dated
4/12/04.
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.
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 application for LIHEAP,
we recommend that you use a commercial courier
service that can guarantee that the application is
postmarked on or before September 1, 2004. You
may fax Abbreviated Model Plans only to (202) 401-
5661.
Application Submission
Applications should be delivered to:
Nick St. Angelo, Director
Division of Energy Assistance
Office of Community Services/ACF/HHS
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
ATTACHMENTS: (1) LIHEAP Funding Application Reminders
(2) Schedule for Detailed LIHEAP Plans
INQUIRIES TO: Trudy Hairston, Program Specialist
Division of Energy Assistance
Telephone: (202) 401-4853
Fax: (202) 401-5661
E-mail: thairston@acf.hhs.gov
______________/s_____________
Nick St. Angelo
Director
Division of Energy Assistance
Office of Community Services
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Posted on 6/21/04
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