wap monitoring & quality control

Weatherization Assistance Program eere.energy.gov

WAP Monitoring & Quality Control

Thursday, September 23, 2010

Weatherization Assistance Program eere.energy.gov

Agenda

• DOE Monitoring Approach

• IG/GAO Trends

• DOE Field Implementation

• Quality Assurance

• Grantee Monitoring

Weatherization Assistance Program eere.energy.gov

DOE Monitoring Approach

• Monthly

– Timeliness

– Accuracy

– Production

• Planned vs. Actual

• Previous Month vs. Current Month

– Expenditures

• Planned vs. Actual

• Previous Month vs. Current Month

Weatherization Assistance Program eere.energy.gov

DOE Monitoring Approach

• Quarterly

– Completeness

• OMB 1512

• DOE 504.3 Program Report

• SF-425 Federal Financial Report

– Timeliness

– Accuracy of Data

– Performance Targets

• Production

• Expenditures

• Monitoring

• Training

Weatherization Assistance Program eere.energy.gov

DOE Monitoring Approach

• On-Site Visits (Minimum frequency/Year)

– Grants over $100 Million – Quarterly

– Grants between $100 Million - $40 Million – Three visits

– Grants under $40 Million – (Semi-Annual)

• On-Site Visit Content

– Program Administrative Management

– Program Technical Management

– Program Financial Management

Weatherization Assistance Program eere.energy.gov

IG/GAO Trends

• Quality of Oversight of Programs, Contractors, and Program Staff

• Substandard installation of energy saving materials

• Davis-Bacon non-compliance

• Low Spending Rates/Grant recipients fell short of goals to weatherize homes

Weatherization Assistance Program eere.energy.gov

IG/GAO Trends

• Inadequate systems capable of tracking overall performance by individual contractors and local agencies

• Insufficient Internal Controls to Prevent Fraud, Waste, and/or Abuse of Funds:

– Poor workmanship

– Incomplete client files

– Lack of qualified staff

– Incomplete vehicle and equipment inventories

– Onsite monitoring and/or inspection

Weatherization Assistance Program eere.energy.gov

A Snapshot of IG Conclusions and Observations

The State X CAA had not implemented financial and reporting controls needed to ensure Weatherization Program funds are spent effectively and efficiently.

Specifically, State X CAA had not:

• Performed on-site financial monitoring of any of its sub-grantees under the Recovery Act;

• Reviewed documentation supporting sub-grantee requests for reimbursements to verify the accuracy of amounts charged;

• Periodically reconciled amounts paid to sub-grantees to the actual cost to weatherize units;

• Maintained vehicle and equipment inventories as required by Federal regulations and state and Federal program directives; and,

• Accurately reported Weatherization Program results to the Department.

Weatherization Assistance Program eere.energy.gov

DOE Field Implementation

• Grantee Level State Plan Implementation

Grantee Policy and Procedures Manual and Field Standards

Reporting Systems (Financial, Administrative, and Programmatic)

Training and Technical Assistance

• Subgrantee Level Program and Financial Management

Production Planning and Quality Control Process

Procurement

File Management

Weatherization Assistance Program eere.energy.gov

DOE Field Implementation

• Dwellings

Training Requirements

Application Process

Initial Inspection/Audit

Health and Safety

Technical Standards and Installation

Quality Control

Job Costs and Funding Sources

Weatherization Assistance Program eere.energy.gov

Federal – QA Reviews

• All agencies to be visited by contractors

• Contractors may NOT be “weatherizers”

• Home Inspectors that are BPI credentialed; RESNET/HERS; or Weatherization Trained

• Captures information for PO to determine where attention needs to be focused

• Strategy

• “SMS version” -- Hit the state with 3-6 staff – disrupt operations for a week in lots of agencies – then get out

• “QA Contractor” – PO schedules reviews, depending on need, could be continuously (xx% a week)

• Results

• Aggregated results/discussion will lead to focused attention by the Project Officer

Weatherization Assistance Program eere.energy.gov

The Process is a Cycle

Weatherization Assistance Program eere.energy.gov

Quality Assurance Reviews

• The unit review form has 3 major sections:

1.Agency/unit identification

2.File review

3.On-site work assessment

1.Attic

2.Sidewalls/kneewalls

3.HVAC

4.Subspace

5.Windows/doors

6.Other measures

7.Additional attention needed?

Weatherization Assistance Program eere.energy.gov

Unit identification and file review

• The unit identification and desk file review sections should be completed at the State or sub-grantee office prior to the site visit.

– We usually spend half a day reviewing 8-12 files then a day and a half in the field

• 45 minutes for the first one; 35 minutes for the next; 15-20 minutes for the rest… (we are trainable!)

• 45 minutes (on average) going through a unit

Weatherization Assistance Program eere.energy.gov

Example:

FILE REVIEW

Unit Assessed Using: (select one) Energy Audit Priority List None Evidenced

Energy Audit or Priority List is included and aligns with expected audit/list (approved by DOE)

Energy Audit or Priority List is included, but does NOT align with approved audit/list

No clear indicator of use of site specific audit or approved priority list in assessment

Work Order/Building Weatherization Report Yes No

DOE Investment: $_________________________ Total Job Investment: $_____________________

Yes, work order is included in file and appears to follow the audit/list

Yes, work order is included but does NOT follow approved audit/list

No, work order is not in file

Quality Assurance

Weatherization Assistance Program eere.energy.gov

Trends in Quality within State

• With reviews of 4-6 different agencies in a state

– We look for isolated issues for specific agencies

• Agency may be mis-entering information in the audit tool

(e.g., door = infiltration measure reduction)

• Missed opportunities for savings -- sometimes the “low hanging fruit” (e.g., no refrigerator replacements allowed)

– We look at what may be an area for the state to affect change (peer-to-peer, training needs)

Weatherization Assistance Program eere.energy.gov

Electric Base Load Measures

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Regional Trends and Opportunities

• With reviews of 4-6 different states in a region

– We look for isolated issues for specific states

• Statewide concerns (e.g., windows sans justification)

– We look for trends that might be housing stock or climate based

• Air sealing challenges based on a specific housing stock

• How solar screens are being implemented in the program in some of the hot climates

– We think about how best to pass information from one state to another

Weatherization Assistance Program eere.energy.gov

Window Sunscreens

Weatherization Assistance Program eere.energy.gov

National Trends and Opportunities

• After seeing about 20 states, you start to think about national opportunities/conversations

– Audits and Priority Lists

• Clarifying when states with a priority list need to run a site specific audit

• Multi-family misunderstandings – what states need to do if they do not have an approved multi protocol in place

– Health and Safety

• What does that mean, how does it get implemented

Weatherization Assistance Program eere.energy.gov

Passing along “Best Practices”

• We see opportunities to share with others

– Colorado – Passport for crew advancement

– Iowa – Agency photo files were superb

– Idaho – Best LSW documentation we’ve seen

– North Carolina – Agency has amazing file documentation, should be replicated

– Vermont – Great use of two-part foam

– Mississippi, Alabama, Illinois, Georgia, New (all)…

Weatherization Assistance Program eere.energy.gov

And, building up our “can you believe” library

Cardboard box used for fan enclosure

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Can you figure this one out??

Weatherization Assistance Program eere.energy.gov

Personal Favorite

Agency assured us, this is not their typical method

Weatherization Assistance Program eere.energy.gov

What do we know

• We know:

– 30,000 houses are going to be reviewed

• To date 2000 have been done

– Every local agency is going to be visited

• Maybe multiple times, depending on production levels

– Local agencies are going to be asked to go with the contractor on reviews (Grantee is welcome)

• At their discretion, agency can send the contractor out without local agency staff; that is the choice of the agency

Weatherization Assistance Program eere.energy.gov

Grantee/Subgrantee Scheduling is Not Random

Factors• Levels of Grantee and mandatory

visits/year requirement and % requirements

• Factors in last (most recent) review dates

• Current state of Actual production, units weatherized vs. Planned

• Number of units to be inspected per Subgrantee based on the “inherited” schedule from the Grantee – even considers some Subgrantees with disproportionately higher number of units than others in state

• Factors in the net number of reviews done already

• Need to balance to @ 2000-2200 units/month over several years

Scheduling Approach• Schedule 3 months in advance• Advise PO’s and Contractor

– PO’s can confirm schedules with Grantees/sub-grantees• Problems on timing or availability

can be accommodated with schedule adjustment (which, when)

• Vacations can be worked around– Contractor can identify resources

as required• Finalize schedule @2 weeks prior to

start of next month

Weatherization Assistance Program eere.energy.gov

What we DON’T Know

• We don’t know:

– Who – contract hasn’t been awarded

– When – when is predicated on determining who…

– What – (I just threw this in since I was on a roll)

– Where – DOE hasn’t determined priority points of what states will go first

• Will it be states that haven’t been visited by SMS?

• Will it be large states with high production?

– How – training of contractors STILL must occur, even after award

• Let’s make sure they know what they are looking at

Weatherization Assistance Program eere.energy.gov

We’re all in this together

• Weatherization Plus goal

– The quality of work would be the same regardless of locale

• Evaluation… Quality Assurance Reviews… PO increased monitoring efforts…

– These equal lots of opportunities to get it right and affect change… together!

Weatherization Assistance Program eere.energy.gov

• Questions/Comments?