LIHEAP IM 2011-04 Three Year Compliance Review Schedule: FY 2011 through FY 2013
Low Income Home Energy Assistance Information Memorandum
U.S. Department of Health and Human Services
Administration for Children and Families
Office of Community Services
Division of State Assistance
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
Transmittal No. LIHEAP-IM-2011-04 Date: February 24, 2011
TO: LOW INCOME HOME ENERGY ASSISTANCE PROGRAM (LIHEAP) GRANTEES AND OTHER INTERESTED PARTIES
__X__TRIBES/TRIBAL ORGANIZATIONS< br/> __X__TERRITORIES
SUBJECT: Three Year LIHEAP Compliance Review Monitoring Schedule:
FY 2011 through FY 2013
The Consolidated Appropriations Act, 2008 (Public Law (P.L.) 110-161; the Low-Income Home Energy Assistance Act, Title XXVI of the Omnibus Budget Reconciliation Act of 1981 (Public Law (P.L.) 97-35), as amended.
To inform LIHEAP grantees about plans to conduct on-site compliance reviews, the criteria used for selecting grantees, the schedule of States and Tribes selected for FY 2011, and tentative selections for FY 2012 and FY 2013 reviews.
Section 2608(b)(1) of the LIHEAP statute provides that:
The Secretary shall conduct in several States in each fiscal year investigations of the use of funds received by the States under this title in order to evaluate compliance with the provisions of this title.
The Office of Community Services developed a refined monitoring system for the LIHEAP program in FY 2007, to better assess State adherence to statutory mandates. Several improvements have been made as part of this renewed effort, which includes:
Establishing specific criteria for selecting grantees for LIHEAP compliance reviews each year, considering potential compliance issues found in annual plan application review, independent audits, and complaints and media reports of state or agency mismanagement;
Setting up an enhanced “LIHEAP Compliance Review System”, which will capture all of the policies and procedures with respect to the compliance review process;
Establishing timetables for State reviews for a three year period and informing LIHEAP grantees well in advance of a planned on-site review;
Integrating more on-site reviews each year of Tribes and Tribal organizations that receive direct LIHEAP funding; and
More timely compliance review reporting by OCS to States and Tribes following the on-site reviews. We will make an effort to get back to grantees with our findings within 60 days from the time of the on-site visit.
As your Federal partners, our goal in monitoring your programs is not only to ensure that your programs are operating in accordance with the LIHEAP statute, but also to provide an opportunity to assist you in areas possibly in need of improvement.
The following criteria have been developed that will be used for selecting LIHEAP grantees for future on-site compliance reviews, including:
(1) PLAN REVIEW PROCESS – During the review of applications or amendments to applications, it is determined that
the grantee is not implementing LIHEAP in compliance with the LIHEAP statute.
(2) INDEPENDENT AUDIT FINDINGS – Recurring unresolved serious issues or issues dealing with extreme violations, such as, fraud, waste and abuse of funds, other misuse of funds, or financial insolvency.
(3) SERIOUS COMPLIANCE ISSUES – Issues that arise through other means, such as: multiple complaints from constituents, the news media, representatives from Congress or whistleblowers. Also, change in State administering agency that includes wide-sweeping modifications to the program.
(4) HIGH RISK GRANTEES – Issues identified by the Federal government or through tracking of problematic entities.
(5) NO ON-SITE VISIT IN 10 YEARS OR MORE – Grantees with significant problems will take precedence; however, regardless of the timing of the most recent on-site visit, grantees whose most recent compliance review was completed as a desk review, will be given priority over those completed as on-site visits.
The schedule below provides estimated dates for on-site monitoring reviews of selected grantees for Federal Fiscal Years 2011, 2012, and 2013. We may decide later to adjust States and Tribes tentatively selected for FY 2012 and FY 2013, or add additional grantees if travel funds permit. We will inform grantees of any changes that might later be made to this schedule. Generally, we will conduct LIHEAP on-site reviews from mid-April to mid-September each year.
Questions about the LIHEAP compliance review process and the upcoming schedule may be directed to Karmen Blackwell (202-401-4864; Karmen.Blackwell@acf.hhs.gov) or Zack Poimboeuf (202-401-5544; Zack.Poimboeuf@acf.hhs.gov) in the Division of Energy Assistance.
Federal Fiscal Year 2011 State Approximate Date
Federal Fiscal Year 2012 State Approximate Date
Federal Fiscal Year 2013 State Approximate Date
Yolanda J. Butler, Ph.D.
Office of Community Services