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Low Income Home Energy Assistance Program
Division of Energy Assistance/OCS/ACF
Model Plan Application for LIHEAP Funding for Fiscal Year 2004
(All Applications due September 1)
THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR
CHILDREN AND FAMILIES IN LIHEAP INFORMATION MEMORANDUM TRANSMITTAL
NO. LIHEAP-IM-2003-6, DATED 3/27/03
TO: LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP)
GRANTEES AND OTHER INTERESTED PARTIES
SUBJECT: Model Plan Application for LIHEAP Funding for
Fiscal Year 2004 (All Applications due September 1)
RELATED
REFERENCES: Low Income Home Energy Assistance Act, as amended
(Title XXVI of Public Law 97-35, the Omnibus
Budget Reconciliation Act of 1981, as amended).
BACKGROUND: States, territories, and Indian Tribes/tribal
organizations that wish to administer a Low Income
Home Energy Assistance Program (LIHEAP) must
submit an application for funds each year.
Section 2605(c)(3) of the Omnibus Budget
Reconciliation Act of 1981, as amended, provides
that not later than April 1 of each fiscal year
the Secretary shall make available a model LIHEAP
plan which may be used, at the option of each
grantee, to prepare the application required under
sections 2605(a)(1) and (c)(1).
PURPOSE: To provide LIHEAP grantees with a copy of the
model plan format and to remind State and tribal
grantees that all applications are due September 1.
CONTENT: Attached for your use is the model plan
format for use by States, territories, and Indian
Tribes/tribal organizations in developing your FY
2004 plans. You are not required to use the model
plan format. You may submit your application in
any format you wish, as long as it includes all of
the information required under the statute and
implementing regulations.
For those grantees that choose not to use the
model plan, we have included a list of reminders
that may be helpful in submitting a complete
application.
Deadlines:
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, as always has been the case,
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 section
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.
The final rule also establishes a due date for the
submission of all information required to complete
the LIHEAP application by Tribes, States and
territories as 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.
Detailed and Abbreviated Plans:
In FY 1998, we adopted a new application process
under which a detailed application is due from
each grantee every three years. In the alternate
years, an abbreviated application may be
submitted, consisting of: (1) the statutorily
required assurances signed by the governor/chief
executive officer or his/her designee; (2) a
description of any changes from the last detailed
application; and (3) a report on applicant and
recipient households for the previous year. In
addition, an opportunity for public participation
must be offered, and the carryover/reallotment
report for the previous fiscal year must have been
submitted. The Carryover and Reallotment Report
is due August 1.
Attached to this information memorandum are both a
"Detailed Model Plan" and an "Abbreviated Model
Plan". The detailed model plan is essentially the
same as the model plan that we have used for many
years. The abbreviated model plan is for the
optional use of grantees that are not scheduled to
file a detailed application for FY 2004.
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. Grantees that
are making more than two substantive changes
should complete the detailed application.
Some current grantees must submit detailed
applications for FY 2004 while the remaining
portion of grantees will have the option of filing
an abbreviated application for FY 2004. Grantees
that submit an abbreviated application for FY 2004
will be required to submit a detailed application
for FY 2005 or FY 2006. Attached is a schedule
specifying which grantees are required to file
detailed applications in FY 2004 and FY 2005 (See
Attachment 2.)
Generally, Tribes and tribal organizations must
file a detailed application in the same year as
the States in which they are located. 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.
Assurances:
The assurances printed at the beginning of the
model plan are from the current LIHEAP statute.
Grantees who choose not to use the model plan
still may wish to use these pages. Please be sure
that (1) the Governor or Tribal Chairman signs the
assurances or (2) has specifically delegated
authority to sign the assurances to the person who
signs the assurances. If a grantee has a new
Governor or Tribal Chairman, a new delegation
letter is required.
In applying for LIHEAP funds for FY 2004, please
remember that the statute requires States and
territories receiving more than $200,000 to
describe in their plans how they will carry out
assurance 15 (section 2605(b)(15) of the LIHEAP
statute).
In addition, please note assurance 16, which sets
a 5 percent limit on the amount of LIHEAP funds
that can be used for certain activities designed
to reduce the need for home energy and, thereby,
the need for energy assistance.
Leveraging Activities:
We wish to remind you that the model plan includes
a place to report leveraging activities to take
place during the Federal fiscal year that will be
coordinated with LIHEAP. You should include the
information in your plan that will be necessary
for activities to count for leveraging funds
awarded the next year.
Under the Final Rule on implementing the
leveraging program that was issued on May 1, 1995
(60 FR 21322), additional information must be
included in the plan for those leveraging
activities claimed under criterion
96.87(d)(2)(iii), that is, those resources that
are appropriated or mandated by the State for
distribution under the plan, and are
coordinated/integrated with the grantees' LIHEAP
program, but are not a part of LIHEAP.
The plan must describe not only the
resources/benefits to be counted under criterion
96.87(d)(2)(iii), but the plan must also identify
and describe their sources and the way in which
they are integrated/coordinated with the grantees'
LIHEAP program. See especially the middle column
of page 21339 of the May 1, 1995 Federal Register
(60 FR 21339) for further discussion of these
requirements: These documents are included in
LIHEAP-IM-95-20 dated June 9, 1995 or can be found
on the LIHEAP web page.
If your leveraging activities to be claimed under
criterion 96.87(d)(2)(iii) were fully described in
your most recent detailed plan, you do not need to
describe them again in an abbreviated plan unless
they have changed. If any of the required
information on the resources/benefits have
changed, please be sure to submit new descriptions
with your abbreviated plan.
Households Applying for and Receiving Assistance:
Beginning with FY 1996, the statute requires that
complete LIHEAP applications MUST include a report
for the previous year on households applying for
and assisted by LIHEAP before grant awards are
made.
The LIHEAP statute requires the Secretary to
collect data on the number and income levels of
households assisted and the following additional
household data:
o number of assisted households with at least
one young child and
o number and income levels of households applying
for LIHEAP assistance and
o the number of assisted households with at least
one or more individuals who are 60 years or
older or disabled.
States, the District of Columbia, and territories
with regular allotments of $200,000 or more (i.e.,
Puerto Rico) will need to collect this data on
their FY 2003 applicant and recipient households
in order to submit the data as part of their FY
2004 grant applications. Tribal grantees and
territories with regular allotments of less than
$200,000 are required to submit only information
on the number of households served in each of its
program components (i.e., heating, cooling,
crisis, and weatherization). We will send a
separate Information Memorandum with forms and
instructions.
Carryover and Reallotment Report:
The required report on the amount of funds each
grantee will carry over from FY 2003 to FY 2004 --
or will have available for reallotment -- is still
due August 1. Prompt submission of this report
allows grantees and HHS to identify potential
under obligation of funds in time to make
adjustments before the end of the fiscal year.
However, please remember that the statute provides
that no grantee will receive its FY 2004 grant
until it has submitted its carryover and
reallotment report for its FY 2003 funds. In some
cases, we had to delay grant awards to grantees
with otherwise complete applications because they
had not submitted their carryover and reallotment
report.
Other Certifications:
Please remember that all States, whether or not
they use the model plan and whether or not they
file a detailed application, 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. Please note
that the drug-free workplace and the debarment and
suspension certifications do not require
signatures. Submission of those forms with the
application indicates agreement to adhere to the
specified certifications.
Timely Application Submittal and Completion by
Tribes, States and Territories:
Early receipt and processing of your application
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.
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. A
longer time may be required if we have to request
additional information because an application is
not complete.
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-
606894, 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.
As noted above, 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. We have noticed
that applications often fail to include the kinds
of additional information that we had to request
the previous year in order to make the application
complete.
Because each year's application must be complete,
we often must request -- and the grantee must
furnish -- the same kind of information that was
requested the previous year before a grant can be
awarded. Accordingly, we suggest that you include
in your detailed application answers to the
questions or the information we requested in
previous years.
Another reason the approval process often takes
longer than necessary is the submission of
delegations of the Governor's or Tribal
Chairperson'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.
This model plan is available in Microsoft Word 97
disks, upon request. It can also be downloaded
from the ACF website:
www.acf.hhs.gov/programs/liheap/forms.htm
ATTACHMENTS: (1) LIHEAP Application Reminders
(2) Schedule for Detailed LIHEAP Plans
(3) LIHEAP Detailed Model Plan for FY 2004
(4) LIHEAP Abbreviated Model Plan for FY 2004
INQUIRIES: Trudy Hairston, Program Specialist
Division of Energy Assistance
Telephone: (202) 401-4853
E-mail: thairston@acf.hhs.gov
SUBMISSIONS: 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
E-mail: nstangelo@acf.hhs.gov
_______________/s______________
Clarence H. Carter
Director
Office of Community Services
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URL: http://www.acf.hhs.gov/programs/liheap
Posted on 3/28/03
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