State and Tribal LIHEAP Application Requirements for FY 2010 and Deadline for All Applications of September 1, 2009
THIS CONTAINS INFORMATION ISSUED BY THE U.S. ADMINISTRATION FOR
CHILDREN AND FAMILIES IN LIHEAP ACTION TRANSMITTAL NO. LIHEAP-
AT-2009-5, DATED 7/13/09
TO: LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP)
GRANTEES
SUBJECT: State and Tribal LIHEAP Application Requirements
for FY 2010 and Deadline for All Applications of
September 1, 2009
RELATED The Low-Income Home Energy Assistance Act, Title
REFERENCES: XXVI of the Omnibus Budget Reconciliation Act of
1981 (Public Law (P.L.) 97-35), as amended;
LIHEAP-IM-2009-6 dated 3/27/09 (Model Plan
Application for LIHEAP Funding for Fiscal Year
2010); OMB Approval Number 0970-0075, approved for
LIHEAP use through 9/30/2011).
PURPOSE: The purpose of this memorandum is to remind
grantees of the application requirements for the
funding period beginning October 1, 2009 for the
FY 2010 LIHEAP program, and also to remind all
grantees that their LIHEAP applications for the
FY 2010 funding period are due September 1, 2009.
CONTENT: The LIHEAP application requirements for the FY 2010
funding period were described in LIHEAP-IM-2009-6,
dated March 27, 2009. That 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 2010 while the remaining two-
thirds will have the option of filing an
Abbreviated application for FY 2010. Grantees
that submit an Abbreviated application for FY 2010
will be required to submit a Detailed application
for FY 2011 or FY 2012. Attached is a schedule
specifying which grantees are required to file
Detailed applications in FY 2010 and FY 2011 (See
Attachment 2).
Tribes and Territories that were not grantees in
the fiscal year immediately prior to the fiscal
year for which application is being made must file
a Detailed application. Otherwise, filing an
Abbreviated application 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 2010
applications should write to this office as soon
as possible 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 may be downloaded from the
"Grantees, Forms, Funding Applications" section of
the Federal LIHEAP website at
http://www.acf.hhs.gov/programs/ocs/liheap/grantee
s/forms.html#funding_applications
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 2010 LIHEAP application must
include a report on FY 2009 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
either 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 2010 grant awards will not be made until the
report for FY 2009 is received. If final figures
are not yet available when you submit your
application, we will accept estimates. Updated
figures should be provided by December 15. The
LIHEAP Action Transmittal on the household
report will be released shortly.
Carryover and Reallotment Report
The required report on the amount of funds each
grantee will carry over from FY 2009 to FY 2010--
or will have available for reallotment--is due
August 1, 2009. Please remember that the statute
states that no grantee will receive its FY 2010
grant until it has submitted its carryover and
reallotment report for its FY 2009 funds. (See
LIHEAP AT-2009-4, dated June 18, 2009 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 2009
LIHEAP Plan a description of any leveraging
activities that took place during FY 2009 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 2009 fiscal year, September
30, 2009, in order to qualify for FY 2010
leveraging grant awards. Leveraging activities
that you expect to carry out during FY 2010 should
be described in your FY 2010 Plan and application.
Please refer to LIHEAP-AT-2008-8 (dated 7/28/08),
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 also submit
these certifications.
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 or Consortium 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 a special 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, 2009. 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: trudy.hairston@acf.hhs.gov
_____________/s_____________
Nick St. Angelo
Director
Division of Energy Assistance
Office of Community Services
