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LIHEAP AT 2011-3 Carryover and Reallotment Report FY 2011

Published: June 24, 2011
Low Income Home Energy Assistance Program (LIHEAP)
Guidance, Policies, Procedures, Action Transmittal
Transmittal No. LIHEAP-AT-2011-3
Date:  June 24, 2011






Carryover and Reallotment Report


Section 2607 Low Income Home Energy Assistance Act, title XXVI of the Omnibus Budget Reconciliation Act of 1981, Public Law 97-35, as amended; 45 CFR 96.81 in the Department of Health and Human Services block grant regulations; and OMB approval 0970-0106, expires X/XX/201X (renewal pending).


To remind LIHEAP grantees of the required Carryover and Reallotment Report due August 1, 2011, to transmit the optional Carryover and Reallotment Report form, to advise grantees that FY 2012 grant awards will not be made until the Carryover and Reallotment Report for FY 2011 is submitted to HHS, and to advise grantees of a new requirement for electronic submission.


Section 2607(b)(2)(B) of the LIHEAP statute as amended by Title III of the Augustus F. Hawkins Human Services Reauthorization Act of 1990, Public Law 101 501, states that:

No amount may be held available under this paragraph for a State from a prior fiscal year to the extent such amount exceeds 10 percent of the amount payable to such State for such prior fiscal year. For purposes of the preceding sentence, the amount payable to a State for a fiscal year shall be determined without regard to any amount held available under this paragraph for such State for such fiscal year from the prior fiscal year.

Grantees may request to carry forward from one fiscal year to the next up to 10% of the amount payable to the grantee for the first fiscal year. The funds that are carried over must be obligated by the grantee by the end of the fiscal year following the year in which they are appropriated. For example, at least 90% of the funds allocated to you for FY 2011 must be obligated by September 30, 2011, the end of FY 2011. Up to 10% may be carried over for use in FY 2012, but those funds must be obligated no later than September 30, 2012. (Please note that this requirement applies to obligation only, not expenditure of funds.)

Any funds carried over are not to be included in the base for calculating carryover in the following year. If more than 10% of a grantee's funds payable remains unobligated at the end of the fiscal year for which they were allotted, these excess funds must be returned to HHS and are subject to reallotment among all grantees in the next fiscal year.

The 10% carryover limit does not apply to LIHEAP leveraging incentive award funds. The period of obligation for the entire amount of leveraging incentive funds awarded to a grantee is the award period (the fiscal year in which these funds were awarded) and the following fiscal year, as explained in our regulations at 45 CFR 96.87(k). [No leveraging funds will be awarded in FY 2011.]

The LIHEAP statute and regulations require LIHEAP grantees to report information to HHS concerning funds to be carried forward and funds subject to reallotment. The 1994 reauthorization of the LIHEAP statute, the Human Services Amendments of 1994 (Public Law 103 252), requires that the Carryover and Reallotment Report for one fiscal year be submitted to HHS by the grantee before the allotment for the next fiscal year may be awarded.

Consequently, HHS will not make a grant award to a grantee for FY 2012 until we have received that grantee's Carryover and Reallotment Report for FY 2011. Attachment C includes tables showing FY 2011 block grant and contingency fund allotments, excluding leveraging awards, and the allowable 10% maximum carryover amounts for each grantee.

Note to States, Territories, and Tribes/Tribal Organizations: The receipt of all FY 2011 block grant funds and any contingency funds should be included in your carryover calculations. Because the Carryover and Reallotment Report is due August 1, before the end of the fiscal year, you may find that your estimates later prove to be inaccurate. If this occurs, please submit a corrected report as soon as possible.

Note to Tribes/Tribal Organizations: Please inform us as soon as possible if you expect to have more than 10% in carryover funds. This will allow us to redirect the excess funds to the States so that they can serve tribal households until the end of FY 2011 with the remaining funds. This would prevent the reallotment of the excess carryover funds. (For suggestions of alternate ways to obligate LIHEAP funds, please see LIHEAP-IM-2001-13, “Uses of LIHEAP Funds”, dated 1/10/01, which can be found on the LIHEAP website under “Guidance, Policies, and Procedures, Special Topics”.)

Report Requirements and Reporting Form
An optional form for submission of the Carryover and Reallotment Report (OMB approval 0970-0106, expiration date - X/XX/201X) is attached (renewal pending).

Completion of this form is voluntary but will clarify what information is to be covered in the report. Instructions for determining carryover are in Attachment A; the report form is included as Attachment B. The report should include the requirements set out in our regulations at 45 CFR 96.81 that the Carryover and Reallotment Report be submitted to HHS by August 1 of each calendar year and contain:

  1. The amount of the grantee's allotment for the current fiscal year that the grantee desires to remain available for obligation in the succeeding fiscal year, not to exceed 10% of the amount payable to such grantee for the fiscal year;
  2. The amount of funds, if any, to be subject to reallotment;
  3. If funds are carried forward, a statement of the reasons that these funds will not be used in the fiscal year for which they were allotted; and
  4. A description of the types of assistance to be provided with the amount held available for the following fiscal year.

The Carryover and Reallotment Report must be made in writing, since it will potentially form the basis for modification of grant awards. All grantees must submit a report, even if no funds are to be carried over or made available for reallotment. Beginning this year, HHS is requiring that all Carryover and Reallotment Reports be submitted in an electronic format (PDF, etc.). These reports must be submitted electronically no later than August 1, 2011 to:

Ms. Imani Moye


(A) Simplified Instructions for Timely Obligation of FY 2011 LIHEAP Funds and Reporting Funds for Carryover and Reallotment
(B) Form for Carryover and Reallotment Report for FY 2011
(C) FY 2011 LIHEAP Allotments and 10% Maximum Carryover Amounts for States/Tribes/Territories


Nick St. Angelo, Director
Division of Energy Assistance
Office of Community Services, ACF, HHS
370 L'Enfant Promenade, S.W.
Telephone: (202) 401-9351
FAX: (202) 401-5661


Yolanda J. Butler,Ph.D.
Acting Director
Office of Community Services


Last Reviewed: June 11, 2019