wap rules and regulations orientation training
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WAP Rules and Regulations Orientation Training. 2012 NASCSP Training Conference WAP Regulations and Program Guidance. Weatherization Assistance Program. Holly Ravesloot & Greg Reamy. Program Mission. - PowerPoint PPT PresentationTRANSCRIPT
1 | Weatherization Assistance Program: Overview eere.energy.gov
WAP Rules and Regulations Orientation Training
Weatherization Assistance Program
2012 NASCSP Training Conference WAP Regulations and Program Guidance
Holly Ravesloot & Greg Reamy
2 | Weatherization Assistance Program: Overview eere.energy.gov
“To reduce energy costs for low-income families, particularly for the elderly, people with disabilities, and
children, while ensuring their health and safety.”
Program Mission
3 | Weatherization Assistance Program: Overview eere.energy.gov
Increase energy efficiency of dwelling units owned or occupied by low-income persons
Reduce total residential energy expenditures
Improve the health and safety of low-income persons, especially the elderly, persons with disabilities, and families with children
10 CFR 440, 10 CFR 600, DOE Program Notices, other policy documents
Statutory Purpose
4 | Weatherization Assistance Program: Overview eere.energy.gov
Weatherization is a categorical formula grant program administered by DOE under a regulatory framework laid out in 10 CFR Part 440.
Authority for the Program resides in Title 42 Public Health and Welfare U.S.C. 6861 and 7101.
Program was reauthorized under Title 1, Section 122 of the Energy Policy Act of 2005.
Energy Independence and Security Act of 2007 reauthorized the Program and expanded the definition of “State” to include U.S. Territories and also established the Sustainable Energy Resources for Consumer Grants.
The American Recovery and Reinvestment Act of 2009 (Recovery Act), signed February 17, 2009, made significant changes to the Program.
Weatherization Program Legislation
5 | Weatherization Assistance Program: Overview eere.energy.gov
Department of EnergyHeadquarters and
Project Management Center
50 State Energy Offices, The District of Columbia,
Native American Tribal Organizations, and 5 U.S. Territories
Note: ITCA Tribe does not receive Recovery Act funds
Low-Income Americans
Single, Multi-Family,Mobile Homes
1,007 Local Subgrantees Serving All 3,054 Counties in the US
The Team Approach
6 | Weatherization Assistance Program: Overview eere.energy.gov
Grantee: State, U.S. Territory, or Certain Native America Tribes
Subgrantee: Community Action Agency, Community Action Partnership, Local Action Agency, or Local Unit of Government
T&TA: Training and Technical Assistance
HQ’s T&TA & State T&TA
Appendix A
WAPTAC - Weatherization Assistance Program Technical Assistance Center
Program Year/Fiscal Year
440.3 Definitions of Program Terms
ARRA or Recovery Act Funds
Frequently Used Terms
7 | Weatherization Assistance Program: Overview eere.energy.gov
DOE HQ – U.S. Department of Energy, Headquarters & Golden Locations
ARRA or “Recovery Act” Funds – The American Recovery & Reinvestment Act of 2009
REGs - Program Regulations/Rules
OMB – Office of Management & Budget
IG – Inspector General
HHS – U.S. Department of Health & Human Services
LIHEAP – Low-Income Home Energy Assistance Program
HUD – U.S. Department of Housing & Urban Development
DOL – U.S. Department of Labor
WPN – Weatherization Program Notice
Frequently Used Acronyms
8 | Weatherization Assistance Program: Overview eere.energy.gov
Where Does the Money Come From?
Congressional Appropriations (Energy and Water Appropriations Subcommittees in the House and Senate) – 2009 Allocation & Supplemental - $450 Million– 2009 Stimulus - $5 Billion– 2010 Allocation - $210 Million– 2011 Allocation - $174.3 Million– 2012 Allocation - $68 Million
States Transfer Funds from Low-Income Home Energy Assistance Program
Other Sources like Utilities, Landlords, State Appropriations, and Private Grants
9 | Weatherization Assistance Program: Overview eere.energy.gov
The WAP is the largest residential energy efficiency program in the nation.
DOE provides core program funding and infrastructure for low-income energy efficiency For many programs
Grantees contract with local agencies to deliver services to single-family, multi-family, and mobile homes
Grantees can also leverage funds from utilities and other sources.
Program Funding
10 | Weatherization Assistance Program: Overview eere.energy.gov
Low-Income Population
Climatic Conditions
Residential Energy Expenditures by Low-Income Households in each State
Revised Formula Impacts States at $233+M
Allocation Formula to States
11 | Weatherization Assistance Program: Overview eere.energy.gov
Nation’s core program for delivering energy efficiency services to low-income homes
Operates in every state, District of Columbia, among Native American tribes, and U.S. Territories
Services delivered to single-family, multi-family, and mobile homes
What is Weatherization?
12 | Weatherization Assistance Program: Overview eere.energy.gov
38.6 Million families are eligible for assistance
Approximately 15 million ‘good candidate’ homes need weatherization
Through 2011 approximately 20% of the 38.6 million eligible families had received weatherization services
The Need For Services
13 | Weatherization Assistance Program: Overview eere.energy.gov
Customer applies for services
Agency determines eligibility
Energy audit conducted; technicians identify energy-related problems & Health & Safety issues
List of cost-effective measures developed
Energy efficiency measures installed
Client education
Post-work inspection
How Does the Program Work?
14 | Weatherization Assistance Program eere.energy.gov
10 CFR 440.16(b) (1-5)
Elderly
Persons with disabilities
Families with children
High energy burden
High residential energy use
Determining Priority Service
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DOE Revised Poverty Income Guidelines (PIGS) and Definition of Income (WPN 12-8)
Revised Version is More “User/Reader Friendly”
Breaks out Cash Receipts and Exclusions
Discusses Proof of Eligibility Including Self-Certification
Defines Child Support – Payee vs Payor
Defines Annualization of Income
Discusses Re-Certification
Defining Income
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10 CFR 440.22 (a)
Recovery Act – raised DOE’s income eligibility guideline to up to 200% of poverty
May also use LIHEAP guidelines
Recipient of cash assistance payment under Title IV or XVI of the Social Security Act is an automatic qualifier
State selected criteria must be used state-wide
Multi-Family HUD Eligibility Outlined in WPN 10-15 & 11-9
Determining Eligibility
17 | Weatherization Assistance Program: Overview eere.energy.gov
Must meet income eligibility guidelines
May receive priority
Elderly, disabled, family with children, household with high energy burden or high energy usage
Renters eligible, must get approval from property owner
When demand is high, customer may be added to waiting list
Customer Application
18 | Weatherization Assistance Program: Overview eere.energy.gov
Increased Training and Technical from 10% to up to 20% maximum
Hundreds of thousands of additional homes projected to be weatherized annually
Increased number of eligible homes by raising income level to 200%
Expected level of production for the three-year period for Recovery Act funding is approximately 600,000 units
Reweatherization date extended by one year from 1993 to 1994
Recovery Act Impact on Weatherization
19 | Weatherization Assistance Program: Overview eere.energy.gov
Required for all Recovery Act Funds
Does NOT Apply to Any Regular Appropriated Funds
Native American Tribes and Territories are Exempt
DBA Labor Rates Applies only to Laborers and Mechanics
Special “Weatherization Worker” Job Classification Created
Energy Auditors, Administrative or Support Workers Exempt
Labor Standards Clauses With Flow-Down Responsibilities
Subgrantees and Contractors Must Submit Certified Weekly Payrolls
Wages Must be Paid Weekly – NO EXCEPTIONS
Davis-Bacon Act (DBA)
20 | Weatherization Assistance Program: Overview eere.energy.gov
Davis-Bacon Act
http://apps1.eere.energy.gov/weatherization/recovery_act.cfm
21 | Weatherization Assistance Program: Overview eere.energy.gov
Energy audits conducted
Air infiltration reduction using blower doors
Attic and floor insulation
Dense-pack wall insulation
Duct sealing
Domestic hot water heater improvements
Furnace service
Furnace replacements
New refrigerators
Duct system balance and sealing
Energy efficient lighting retrofits (CFL)
Incidental repairs
And more………..
Types of WAP Services
22 | Weatherization Assistance Program: Overview eere.energy.gov
Client education is a critical component
Prolongs life of measures/equipment
Conducted before and after measures are installed
Instructions on equipment operation and maintenance
Tips on energy-saving activities
Information on carbon monoxide and other hazards
Client Education
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10 CFR 440.18(e)(2)(i-iii)
Date moved from September 30, 1985 to September 30, 1994 – Change Made in the American Recovery and Reinvestment Act
Homes weatherized prior to 1994 did not use advanced audits
Reweatherization
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10 CFR 440.22 (b) (2) (i-ii)
66% of units must be income eligible
50% of units must be income eligible for duplex, 4-unit, and certain large multi-family buildings.
– Certain Large Multifamily criteria should take into consideration size, leveraged resources, significant energy efficiency improvements
HUD/DOE Final Rule establishing lists of income-qualified properties
WPN 10-15 Posted 3 Eligibility Lists to DOE website.
WPN 11-09 Updated and Expanded Eligibility List
Guidance Regarding Prioritizing Weatherization Work based on Housing Type (WPN 11-04)
Multi-family Eligibility
25 | Weatherization Assistance Program eere.energy.gov
10 CFR 440.22 (b) (3) – Benefits accrue to low-income tenants– Rent will not be increased as a result of WX– Complaint procedures in place – No undue excessive enhancement to property
DOE encourages discussion of the rental plan as a part of public hearing
WPN 10-15A Discusses Accrual of Benefits Issue
Rental Requirements
26 | Weatherization Assistance Program eere.energy.gov
Annual State Plan requires rental plan
Multi-family buildings require 66% eligibility to qualify entire structure
Certain large multi-family buildings can reduce eligibility from 66% to 50%
Must be: large, leveraged resources, have significant energy saving potential
DOE encourages discussion of the rental plan as a part of public hearing
Rental Properties
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Section 10 CFR 440.21 provides criteria for minimum energy audit standards
All energy audits must be revalidated every 5 years
All priority lists must be revalidated every 2 years
Energy Audit requirements are defined in WPN 01-4 Revised Weatherization Program Energy Audit Approval Procedures
Energy Audit Criteria
AKWarm(AK)
TREAT(WA)
REM/Design*(OR)
REM/Design
(CA)
REM/Design(NV)
REM/Design(AZ)
HI
NEAT(NM)
NEAT(CO)
NEAT(UT)
NEAT(WY)
EA5(ID)
MontanaComputerizedEnergy Audit
(MT)
WXEOR(ND)
NEAT(SD)
NEAT(NE)
REM/Design (KS)
NEAT(OK)
NEAT(TX)
(LA)
NEAT(AR)
NEAT(MN) NEAT
(WI)
WXWorks
(IL)
NEAT(MS)
NEAT(IA)
NEAT(MO)
NEAT(MI)
NEAT(IN)
NEAT (KY)
NEAT (TN)
NEAT(AL)
NEAT(OH)
NEAT(GA)
NEAT(FL)
NEAT(NC)
NEAT(PA)
TIPS, TREAT (NY)
NEAT(SC)
NEAT(VA)
Meadow 96*(ME)
NEAT(VT)
NEAT*(NH)
NEAT(MA)
NEAT (RI)RealHomeAnalyzer
(CT)EA-QUIP*(NJ)
NEAT* (DC)
NEAT(MD)
NEAT(WV)
NEAT (DE)
Does not use audit NEAT
DOE Review is required every 5 years for Audit Tools
Single-Family Energy Audit ToolsUsed by the Weatherization Network
Updated 01/28/2011
U.S. Territories:American SamoaGuamNorthern Mariana IslandsPuerto RicoU.S. Virgin Islands
States with * listed next to their current audit tool have submitted a request to switch to another audit tools.
AK
WA
OR
CANV
AZNM
COUT
WYID
MT ND
SD
NE
KS
OK
TX LA
AR
MN
WIMI
IL INOH
KY
TN
MS AL GA
FL
NC
PA
NY
MEVTNH
MA
RICT
NJDE
DC
HI
IA
MO
SC
VAWV MD
States That Use A Priority List*As Part of Their Energy Audit Procedures
For Single-Family Homes
* A priority list is a list of weatherization measures that analysis has shown to be be cost-effective for typical housing stock.
Priority list used to select measures on typical housing stock
Computerized energy audit used on every house weatherized
Updated 01/28/2011
Priority List:American SamoaGuamNorthern Mariana IslandsPuerto RicoU.S. Virgin Islands
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A dwelling unit on which a DOE-approved energy audit or priority list has been applied and weatherization work has been completed.
As funds allow, the appropriate measures installed on this unit have an SIR of 1.0 or greater, but also may include any necessary energy-related health and safety measures.
The use of DOE funds on this unit may include but are not limited to auditing, testing, measure installation, inspection and/or administration.
A DOE Weatherized Unit is:
31 | Weatherization Assistance Program eere.energy.gov
Reporting a DOE Completed Unit
A dwelling unit that meets the definition of a DOE weatherized unit must be counted as a DOE completed unit.
32 | Weatherization Assistance Program eere.energy.gov
Every home must receive a quality control inspection for workmanship and appropriateness
Blower door tests are conducted to ensure proper air sealing– Identifies any remaining air leaks – Indicates need for ventilation
Insulation and other measures checked for quality and completeness
Post-Work Inspection
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Limited to 10% (440.18(d))*
No more than 5% for the State*
At least 5% to Subgrantees*
Local agencies with grants at or below $350K may receive up to an additional 5%
Additional flexibility offered by previous memorandum issued by DOE in 2004
Administrative Costs
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10 CFR 440.17 Responsible for advising the Grantee on Weatherization Program
Composition of the PAC – Broadly Representative
• Low-income• Elderly• Disabled• Native Americans• Geographical Areas
PAC’s have “preference” over state councils or commissions Grantees may use “council or commission”
Policy Advisory Council
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10 CFR 440.18(b)(6)
Still part of Average Cost Per Home (ACPH)
Includes equipment purchase over $5,000
Project Officer approves
State & local agencies may amortize cost over the life of the vehicle
For additional details refer to WPN 09-1B section 5.15 in the Recovery Act Grant Guidance
Vehicle & Equipment Purchase
36 | Weatherization Assistance Program eere.energy.gov
10 CFR 440.21 (c)
DOE Issued Revised H&S Guidance WPN 11-6 Response to concerns with clarity and consistency in how health and safety
issues are approached by Grantees. DOE reconvened Health and Safety Committee to review trends and practices of
the WAP network to update guidance.
Primary goal of Program remains “energy efficiency”. Energy-related health & safety measures are those actions necessary to
maintain the physical well being of both the occupants and/or weatherization workers where:
Costs are reasonable as determined by DOE in accordance with the Grantee’s approved Grantee Plan; AND
The actions must be taken to effectively perform weatherization work; OR The actions are necessary as a result of weatherization work.
Encourage separate line item and not part of the average cost per home limitation
WAP Health & Safety
37 | Weatherization Assistance Program eere.energy.gov
• Grantees Must Establish a H&S Average per Unit Spending Limitation and Justification
• Identify H&S Hazards and Approaches• Process to Inform Clients of Identified Hazards• Create Deferral and Referral Policies• Process to Request Occupant Health Concerns• Associated Testing, Training, and Client Education• And more…
Grantee Health & Safety Plan Minimum Requirements
38 | Weatherization Assistance Program eere.energy.gov
• Addresses Action/Allowability, Testing, Client Education, and Training for the following Health and Safety Categories:
• Air Conditioning/Heating Systems• Appliances/Water Heaters• Asbestos• Biologicals/Unsanitary Conditions• Building Structure/Roofing • Code Compliance • Combustion Gases • Drainage• Electrical• Fire Hazards• Air Pollutants • Injury Prevention• Lead Based Paint • Mold/Moisture
Health & Safety Guidance
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Grantees MAY use up to 15% of their DOE grant to leverage non-federal additional resources
In the Annual State Plan Grantees must describe leveraging activities in detail and indicate how additional units leveraged will be reported
Aim is a minimum dollar for dollar return
Leveraging is not considered program income; however, program income is a form of leveraging
Leveraging
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10 CFR 440.14(c)(xiv): The State Plan must describe “The amount of Federal funds and how they will be used to increase the amount of weatherization assistance that the State obtains from non-federal sources, including private sources, and the expected leveraging effect to be accomplished.”
Leveraging is….any non-Federal resources (other than funds earned under program income) which are used to supplement the program or are used to run a parallel program (regardless of who initiates the action) and expands energy efficiency services and/or increases the number of dwelling units completed for Weatherization eligible clients.
Leveraging (Con’t)
41 | Weatherization Assistance Program eere.energy.gov
Program Income is…gross income generated by a grant-supported activity; it is earned only as a result of the grant agreement during the grant period
State & Local Governments-10 CFR 600.225
Non-Profit Organizations-10 CFR 600.124
Vehicles and Equipment used for non-DOE Weatherization purposes must be appropriately reimbursed back to the program
This does not include landlord contributions
Program Income
42 | Weatherization Assistance Program eere.energy.gov
DOE is revising WPN 08-5
DOE funds may only be use for weatherization-related activities as a result of disaster
Grantees with Disaster Relief Plans Previously Approved by DOE must revise their plans accordingly
State Agency on Disaster Relief has Lead Responsibility to Develop a Response Plan and Identify Potential Funding Sources
Disaster Relief
43 | Weatherization Assistance Program eere.energy.gov
WPN 10-17 Issued July 26, 2010
No Federal Sources of Funds Including LIHEAP or CSBG May be Used for Buy-Down
When Performing the Energy Audit, the Total Costs of Eligible Measures can be Discounted by the Amount of Non-Federal Resources Leveraged for that Particular Measure in Determining the SIR
Types of Non-Federal Sources Include: Landlord Contributions, Utility Funds, Donations from Private Sources, and/or State Resources That Supplement Other Similar Funds
Buy-Down of Material Costs for Meeting SIR of 1.0
44 | Weatherization Assistance Program eere.energy.gov
WPN 11-3 Issued December 10, 2010
Generally Once Unit is Reported to DOE as Complete Then no DOE Funds May be Used for “Call-Back” or “Add-On” Work
Only Method Available is to Have Unit Taken out of the DOE Reporting System and Subtract Associated DOE Costs
Project Officer Must be Notified in Writing to Begin This Process
After Necessary Repairs, Unit Must be Re-inspected, Then Placed Back Into the DOE Reporting System by Grantee
Use of DOE Funds to Pay for Call-Back/Add-on Work
45 | Weatherization Assistance Program eere.energy.gov
WPN 11-4 Issued December 22, 2010
Grantees Required to Have Procedures in Place Which Identify Weatherization Services to all 5 Priority Groups
DOE to Review Plans to Ensure the Required Priorities are Met
Plans That Exclude Multi-Family Would Appear to be Contrary to This Requirement
Weatherizing a Single Unit Within a Multi-Family Building Does Not Meet the 66% Requirement in 10 CFR 440.22
Prioritizing Weatherization Work Based on Housing Type
46 | Weatherization Assistance Program eere.energy.gov
• WPN 11-13
• Grantees must ensure Subgrantees obtain, verify and maintain, as required, the proper documentation on demographics for properties to be weatherized.
• Subgrantees are not required to gather any additional information for reporting purposes beyond the demographics
• When a building is on the DOE posted list the Subgrantee must indicate which list it is on and the eligibility percentage.
• Generally, resident demographics must be reported on a unit-by-unit basis.
• However, rent rolls or other such building owner records provided on an entire building or project basis are sufficient.
DOCUMENTATION REQUIRED FOR ELIGIBLE
MULTIFAMILY PROPERTY LISTINGS
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• WPN 11-14 Supercedes WPN 96-4
• Grantees are reminded to comply with sections 440.14 and 440-15• CAA’s have “preference” but this does not constitute a “guarantee”• When NOT selecting a current Subgrantee under a future award, the
Grantee must provide a detailed analysis as part of the public hearing. • 1) The analysis must include existence and effectiveness of any Subgrantee
carrying out any program.• 2) An explanation of the method used to select each area to be served.• 3) Follow 440.15 to provide Subgrantee reason for termination and an
opportunity for redress.• 4) DOE will perform appropriate oversight and review.
WPN 11-14 Subgrantee Selection
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• WPN 10-8
• 10 CFR 600.153(f) Retention and Access to Records, requires DOE to place no restrictions that limit public access, except
• That where DOE can demonstrate these records shall be kept confidential if the records has belonged to DOE
• Under the FOIA, DOE would be legally required to keep confidential all specifically identifying information on receipients of WAP services such as name, address, or income
• Grantees and subgrantees should extend that same protection to their client records for WAP
Privacy of WAP Receipients
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• Grantees and Subgrantees should treat all requests for information concerning applicants and receipients of WAP funds consistent with the Federal Government’s treatment of such requests under the FOIA
• DOE published a final rule in the Federal Register (Vol. 75 No. 108) June 7, 2010 addressing this concern.
• Disclosure of information relating to an individual’s eligibility application in the program, such as name, address, or income information are generally exempt from disclosure.
• Given a legitimate, articulated public interest in the disclosure, Grantees and Subgrantees may release information regarding receipients in the aggregate that does not identify specific individuals.
Requests for Information Under the Freedom of Information Act (FOIA)
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• DOE Issued WPN 12-03• All Subgrantee Contracts/Awards Must be Closed Out Prior to the
Grantee Closing Out the Grant with DOE• The Term “Performance Period End Date” is Same for Both Regular
Recovery Act Grants and SERC Grant Awards• WTC Grants Have a 9/30/12 End Date• DOE Has Approved Certain Individual Recovery Act Grant
Extension Requests • DOE Has Established a set of Frequently Asked Questions for
Recovery Act Closeout:
http://www1.eere.energy.gov/wip/closeout.html
Recovery Act Grant Closeout
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Contact your DOE Project Officer or Refer to the follow Websites:
– Weatherization Assistance Program Website • https://www.eere.energy.gov/weatherization/
– WAPTAC Website • http://www.waptac.org
– Weatherization Plus Website• http://www.weatherizationplus.org
– Oak Ridge National Lab Website• http://weatherization.ornl.gov
More HELP and RESOURCES