wap rules and regulations orientation training

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


“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


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


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


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


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


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


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


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


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


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?


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


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


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


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


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


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


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)


Davis-Bacon Act

http://apps1.eere.energy.gov/weatherization/recovery_act.cfm


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


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


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


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


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


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


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


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:


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.


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


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


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


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


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


• 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


• 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


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


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)


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


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


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


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


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


• 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


• 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


• 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


• 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)


• 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


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

https://www.eere.energy.gov/weatherization/

http://www.waptac.org/

http://www.weatherizationplus.org/

http://weatherization.ornl.gov/

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