Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF

State and Tribal LIHEAP Application Requirements and Deadline for Tribal Applications

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THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR CHILDREN AND
FAMILIES IN LIHEAP ACTION TRANSMITTAL NO. LIHEAP-AT-98-03, DATED 7/16/98


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        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; 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 98-19, dated 5/7/98 (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, 1998 for the
               FY 1999 LIHEAP program, and also to remind Tribal
               grantees that their LIHEAP applications for the FY
               1999 funding period are due September 1, 1998.

CONTENT:       The LIHEAP application requirements for the
               FY 1999 funding period were described in LIHEAP-
               IM-98-19 dated May 7, 1998.  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 file a detailed application once
               every three years, and in any year that there are
               significant changes in the grantee's LIHEAP
               program.  In other years, grantees may file
               abbreviated applications.  FY 1998 was the first
               year in which grantees could file an abbreviated
               application.  In order to phase in the new
               procedure, we designated a year -- FY 1998, FY
               1999, or FY 2000 -- when each grantee must file a
               detailed application.  Tribes are to file a
               detailed application in the same year as the State
               in which they are located (or, in the case of Tribes
               in more than one State, the State in which they
               receive their grant award).

               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, 1998, unless the State(s) in which
               the tribe or organization  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.

               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.  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.

               We 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 authoriize 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 Wordperfect 5.1
               and Microsoft Word 6.0 disks, upon request.  It
               may also  be downloaded from the LIHEAP website at
               http://www.acf.dhhs.gov/programs/liheap.

               Required Household Report

               As part of their annual LIHEAP grant applications,
               granteesare required to report data on households
               that applied for and those that received LIHEAP
               assistance during the previous fiscal year.

               Beginning with the report on applicant and
               recipient households for 1998 that must be
               submitted with the FY 1999 applications, new
               requirements will apply.  See LIHEAP IM-97-23,
               dated 7/17/97, for information on these new
               requirements.

               Section 2605 (C)(1)(G) requires grantees
               to report the number and income levels of those
               households applying for and those households
               assisted, 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.

               FY 1999 grant awards will not be made until the
               data for FY 1998 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 1998 to FY 1999 --
               or will have available for reallotment--is still
               due August 1, 1998.  However, please remember that
               the statute states that no grantee will receive its
               FY 1999 grant until it has submitted its carryover
               and reallotment report for its FY 1998 funds.  (See
               LIHEAP AT-98-2, dated 7/14/98 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 1998 LIHEAP
               plan a description of any leveraging activities that
               took place during FY 1998 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 1998 fiscal year, September
               30, 1998.  Leveraging activities that you expect
               to carry out during FY 1999 should  be described
               in your FY 1999 plan and application.  Please
               refer to LIHEAP-AT-97-5 (dated 9/10/97), which
               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 attached model plan and
               include them with their applications.

               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 startthat 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:   LIHEAP Funding Application Reminders

               Implementation of New LIHEAP Application Review Process -
               Detailed & Abbreviated Applications

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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