[Code of Federal Regulations]

[Title 45, Volume 1]

[Revised as of October 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR96.83]



[Page 515-517]

 

                        TITLE 45--PUBLIC WELFARE

 

                    SUBTITLE A--DEPARTMENT OF HEALTH

                           AND HUMAN SERVICES

 

PART 96_BLOCK GRANTS--Table of Contents

 

           Subpart H_Low-income Home Energy Assistance Program

 

Sec.  96.83  Increase in maximum amount that may be used for 

weatherization and other energy-related home repair.



    (a) Scope. This section concerns requests for waivers increasing 

from 15 percent to up to 25 percent of LIHEAP funds allotted or 

available to a grantee for a fiscal year, the maximum amount that 

grantees may use for low-cost residential weatherization and other 

energy-related home repair for low-income households (hereafter referred 

to as ``weatherization''), pursuant to section 2605(k) of Public Law 97-

35 (42 U.S.C. 8624(k)).

    (b) Public inspection and comment. Before submitting waiver requests 

to the Department, grantees must make proposed waiver requests available 

for public inspection within their jurisdictions in a manner that will 

facilitate timely and meaningful review of, and comment upon, these 

requests. Written public comments on proposed waiver requests must be 

made available for public inspection upon their receipt by grantees, as 

must any summaries prepared of written comments, and transcripts and/or 

summaries of verbal comments made on proposed requests at public 

meetings or hearings. Proposed waiver requests, and any preliminary 

waiver requests, must be made available for public inspection and 

comment until at least March 15 of the fiscal year for which the waiver 

is to be requested. Copies of actual waiver requests must be made 

available for public inspection upon submission of the requests to the 

Department.

    (c) Waiver request. After March 31 of each fiscal year, the chief 

executive officer (or his or her designee) may request a waiver of the 

weatherization obligation limit for this fiscal year, if the grantee 

meets criteria in paragraphs (c)(2)(i), (c)(2)(ii), and (c)(2)(iii) of 

this section, or can show ``good cause'' for obtaining a waiver despite 

a failure to meet one or more of these criteria. (If the request is made 

by the chief executive officer's designee and the Department does not 

have on file written evidence of the designation, the request also must 

include evidence of the appropriate delegation of authority.) Waiver 

requests must be in writing and must include the information specified 

in paragraphs (c)(1) through (c)(6) of this section. The grantee may 

submit a preliminary waiver request for a fiscal year, between February 

1 and March 31 of the fiscal year for which the waiver is requested. If 

a grantee chooses to submit a preliminary waiver request, the 

preliminary request must include the information specified in paragraphs 

(c)(1) through (c)(6) of this section; in addition, after March 31 the 

chief executive officer (or his or her designee) must submit the 

information specified in paragraphs (c)(7) through (c)(10) of this 

section, to complete the preliminary waiver request.

    (1) A statement of the total percent of its LIHEAP funds allotted or 

available in the fiscal year for which the waiver is requested, that the 

grantee desires to use for weatherization.

    (2) A statement of whether the grantee has met each of the following 

three criteria:

    (i) In the fiscal year for which the waiver is requested, the 

combined total



[[Page 516]]



(aggregate) number of households in the grantee's service population 

that will receive LIHEAP heating, cooling, and crisis assistance 

benefits that are provided from Federal LIHEAP allotments from regular 

and supplemental appropriations will not be fewer than the combined 

total (aggregate) number that received such benefits in the preceding 

fiscal year;

    (ii) In the fiscal year for which the waiver is requested, the 

combined total (aggregate) amount, in dollars, of LIHEAP heating, 

cooling, and crisis assistance benefits received by the grantee's 

service population that are provided from Federal LIHEAP allotments from 

regular and supplemental appropriations will not be less than the 

combined total (aggregate) amount received in the preceding fiscal year; 

and

    (iii) All LIHEAP weatherization activities to be carried out by the 

grantee in the fiscal year for which the wavier is requested have been 

shown to produce measurable savings in energy expenditures.

    (3) With regard to criterion in paragraph (c)(2)(i) of this section, 

a statement of the grantee's best estimate of the appropriate household 

totals for the fiscal year for which the wavier is requested and for the 

preceding fiscal year.

    (4) With regard to criterion in paragraph (c)(2)(ii) of this 

section, a statement of the grantee's best estimate of the appropriate 

benefit totals, in dollars, for the fiscal year for which the waiver is 

requested and for the preceding fiscal year.

    (5) With regard to criterion in paragraph (c)(2)(iii) of this 

section, a description of the weatherization activities to be carried 

out by the grantee in the fiscal year for which the wavier is requested 

(with all LIHEAP funds proposed to be used for weatherization, not just 

with the amount over 15 percent), and an explanation of the specific 

criteria under which the grantee has determined whether these activities 

have been shown to produce measurable savings in energy expenditures.

    (6) A description of how and when the proposed wavier request was 

made available for timely and meaningful public review and comment, 

copies and/or summaries of public comments received on the request 

(including transcripts and/or summaries of any comments made on the 

request at public meetings or hearings), a statement of the method for 

reviewing public comments, and a statement of the changes, if any, that 

were made in response to these comments.

    (7) To complete a preliminary waiver request: Official confirmation 

that the grantee wishes approval of the waiver request.

    (8) To complete a preliminary waiver request: A statement of whether 

any public comments were received after preparation of the preliminary 

waiver request and, if so, copies and/or summaries of these comments 

(including transcripts and/or summaries of any comments made on the 

request at public meetings or hearings), and a statement of the changes, 

if any, that were made in response to these comments.

    (9) To complete a preliminary waiver request: A statement of whether 

any material/substantive changes of fact have occurred in information 

included in the preliminary waiver request since its submission, and, if 

so, a description of the change(s).

    (10) To complete a preliminary waiver request: A description of any 

other changes to the preliminary request.

    (d) ``Standard'' waiver. If the Department determines that a grantee 

has meet the three criteria in paragraph (c)(2) of this section, has 

provided all information required by paragraph (c) of this section, has 

shown adequate concern for timely and meaningful public review and 

comment, and has proposed weatherization that meets all relevant 

requirements of title XXVI of Public Law 97-35 (42 U.S.C. 8621 et seq.) 

and 45 CFR part 96, the Department will approve a ``standard'' waiver.

    (e) ``Good cause'' waiver. (1) If a grantee does not meet one or 

more of the three criteria in paragraph (c)(2) of this section, then the 

grantee may submit documentation that demonstrates good cause why a 

waiver should be granted despite the grantee's failure to meet this 

criterion or these criteria. ``Good cause'' waiver requests must include 

the following information, in addition to the information specified in 

paragraph (c) of this section:



[[Page 517]]



    (i) For each criterion under paragraph (c)(2) of this section that 

the grantee does not meet, an explanation of the specific reasons 

demonstrating good cause why the grantee does not meet the criterion and 

yet proposes to use additional funds for weatherization, citing 

measurable, quantified data, and stating the source(s) of the data used;

    (ii) A statement of the grantee's LIHEAP heating, cooling, and 

crisis assistance eligibility standards (eligibility criteria) and 

benefits levels for the fiscal year for which the waiver is requested 

and for the preceding fiscal year; and, if eligibility standards were 

less restrictive and/or benefit levels were higher in the preceding 

fiscal year for one or more of these program components, an explanation 

of the reasons demonstrating good cause why a waiver should be granted 

in spite of this fact;

    (iii) A statement of the grantee's opening and closing dates for 

applications for LIHEAP heating, cooling, and crisis assistance in the 

fiscal year for which the waiver is requested and in the preceding 

fiscal year, and a description of the grantee's outreach efforts for 

heating, cooling, and crisis assistance in the fiscal year for which the 

waiver is requested and in the preceding fiscal year, and, if the 

grantee's application period was longer and/or outreach efforts were 

greater in the preceding fiscal year for one or more of these program 

components, an explanation of the reasons demonstrating good cause why a 

waiver should be granted in spite of this fact; and

    (iv) If the grantee took, or will take, other actions that led, or 

will lead, to a reduction in the number of applications for LIHEAP 

heating, cooling, and/or crisis assistance, from the preceding fiscal 

year to the fiscal year for which the waiver is requested, a description 

of these actions and an explanation demonstrating good cause why a 

waiver should be granted in spite of these actions.

    (2) If the Department determines that a grantee requesting a ``good 

cause'' waiver has demonstrated good cause why a waiver should be 

granted, has provided all information required by paragraphs (c) and 

(e)(1) of this section, has shown adequate concern for timely and 

meaningful public review and comment, and has proposed weatherization 

that meets all relevant requirements of title XXVI of Public Law 97-35 

(42 U.S.C. 8621 et seq.) and 45 CFR part 96, the Department will approve 

a ``good cause'' waiver.

    (f) Approvals and disapprovals. After receiving the grantee's 

complete waiver request, the Department will respond in writing within 

45 days, informing the grantee whether the request is approved on either 

a ``standard'' or ``good cause'' basis. The Department may request 

additional information and/or clarification from the grantee. If 

additional information and/or clarification is requested, the 45-day 

period for the Department's response will start when the additional 

information and/or clarification is received. No waiver will be granted 

for a previous fiscal year.

    (g) Effective period. Waivers will be effective from the date of the 

Department's written approval until the funds for which the waiver is 

granted are obligated in accordance with title XXVI of Public Law 97-35 

(42 U.S.C. 8621 et seq.) and 45 CFR part 96. Funds for which a 

weatherization waiver was granted that are carried over to the following 

fiscal year and used for weatherization shall not be considered ``funds 

allotted'' or ``funds available'' for the purposes of calculating the 

maximum amount that may be used for weatherization in the succeeding 

fiscal year.



[60 FR 21358, May 1, 1995; 60 FR 33260, June 27, 1995]