The Federal Perspective – Part 2

1. Grant Guidance • Application Package Review • Client Files • Incidental Repair Measures (IRMs) • Energy Audits & Priority Lists • Health & Safety The Federal Perspective – Part 2 WEATHERIZATION ASSISTANCE PROGRAM – September 2012

2. 2013 Grant Guidance Redesign

3. 2013 Grant Guidance Update The Federal Perspective • Current WPN Format

4. 2013 Grant Guidance Update The Federal Perspective • Section 1: Funding Available and Limits on Grant • Include many sections currently in the annual WPN XX-01. • Section 2: How to Submit your Application • Builds from Section 1 to provide guidance on how Grantees should proceed in developing their Application for the current Program Year, Fedconnect, and Grant Reporting Requirements. • Section 3: Guidance Reference for Implementing the Grant • Lists all relevant/active guidance documents that Grantees are responsible for in implementing the Grant. • Section 4: New Initiatives • Section 5: Websites

5. 2013 Grant Guidance Update The Federal Perspective • Section 1.0 Funding • 1.1 General Funding • 1.2 Federally Appropriated Funds • 1.3 Adjusted Average • 1.4 Funds for Administrative Processes • 1.5 Petroleum Violation Escrow (PVE) Funds • 1.6 Program Income • 1.7 Leveraging and Leveraged Resources • 1.8 Training and Technical Assistance Funds

6. 2013 Grant Guidance Update The Federal Perspective • Section 2.0 Application Submission • 2.1 General • 2.2 Intergovernmental Review • 2.3 Application Package • 2.4 Public Hearing • 2.5 Policy Advisory Council • 2.6 Budget • 2.7 Liability Insurance • 2.8 Financial Audits

7. 2013 Grant Guidance Update The Federal Perspective • Section 3.0 WAP Policy Notices

8. 2013 Grant Guidance Update The Federal Perspective • Section 4.0 New Initiatives • 4.1 Training Center Accreditation • 4.2 Voluntary National Guidelines • 4.3 Weatherization Plus 2015 • 4.4 Multi-family Initiative

9. 2013 Grant Guidance Update The Federal Perspective • Section 5.0 Websites • Energy Efficiency and Renewable Energy: http://www.eere.energy.gov/weatherization; • Weatherization Assistance Program Technical Assistance Center: http://www.waptac.org; • Oak Ridge National Laboratory: http://weatherization.ornl.gov;

10. Procurement Updates and Lessons Learned from 2012 Reviews

11. FedConnect The Federal Perspective • Access and acknowledge awards. • Official approval of award. • Guide: https://www.fedconnect.net/Fedconnect/PublicPages/FedConnect_Ready_Set_Go.pdf • FedConnect Support: 1-800-899-6665 or support@fedconnect.net • Note: PAGE does not provide official approval of award.

12. Lessons Learned The Federal Perspective • SF-424 application • Block 17. Proposed Project Start Date and End Date • Current budget period • Block 18. Estimated Funding • New dollars and cost share • No carry over

13. Lessons Learned The Federal Perspective • SF-424A Budget • Section A – Budget Summary • (c) Federal Estimated Unobligated Funds – Enter Carry Over • (e) New Federal Budget – Enter new allocation for the year • Totals in Section A - Budget Summary and Section B – Budget Categories should match • Round to nearest dollar • Indirect and and Fringe Rates

14. Federal Funding Accountability and Transparency Act (FFATA) The Federal Perspective • Requires information on federal financial assistance and expenditures be made available to the public via a single, searchable website (http://www.fsrs.gov) • Applies to base awards > $25K made on or after October 1, 2010. • FFATA does not apply to the Weatherization Assistance Program Formula awards. • Base awards < $25K and made after October 1, 2010.

15. Recipient Lighting Efficiency Certification The Federal Perspective • Applies to awards with FY 2012, prior year, or a mix of the two funds which is in excess of $1M. • Applies to total award; i.e., Federal share and recipient cost share.  • Facilities mean the room(s), area(s), or building(s) that are used to complete a majority of the work under the project. • Applies only to Grantee’s facility and their workspace

16. Client File

17. Client Files The Federal Perspective Client Files - What we are finding: • Contents of client files vary widely • Consistency may also vary widely – Grantees & Subgrantees • DOE monitors and the DOE IG must assume non-compliance if required documentation can’t be found • QA contractor client file reviewers of ARRA completions experienced difficulty in finding required & accurate info • DOE: Ideal files would be the same: content, forms and file organization – at least throughout a Grantee’s area

18. Client Files The Federal Perspective • Client eligibility • Owner/rental documentation • Signatures authorizing WAP • Energy Audit with prioritized measures; or Priority List • Work order/job write-up • BWR or form with Invoices or material and labor costs • Pre ‘79 homes - Lead paint notification documentation • Lead paint notification. • Lead safe documentation. • Certified renovator documentation. • SHPO documentation. • Insulation disclosure documentation. • Moisture/health assessment form. • LSW & Certified Renovator documentation • Mold/Moisture Assessment • Other Hazardous notifications • SHPO documentation • Blower door results • CAZ/Draft/CO diagnostics • Combustion efficiency tests • Refrigerator replacement form What DOE looks for in Client files:

19. Client Files The Federal Perspective What DOE looks for in client files (Cont.): • Installed measure list with costs, funding sources, and categories of WAP funded measures (ECM, IRM, H&S). • Contractor invoices. • # of units in MF building • # of eligible units in MF building • Client satisfaction form • Final Inspection form

20. Client Files The Federal Perspective File Review QA form - DOE QA on-site visits:

21. Client Files The Federal Perspective What DOE recommends in client files: A file contents checklist or index to the contents of files Job documentation sheet(s) Provides place for documenting justification of installed IRMs and H&S measures Provides history of job flow if entries dated and initialed Client education checklist

22. Incidental Repair Measure

23. Incidental Repair Measures (IRM) – WPN 12-9 The Federal Perspective Why was WPN 12-9 issued? • Response to unclear guidance resulting in inconsistent treatment of incidental repair costs • To provide definitions of relevant, or new terms, and their relationship to WAP procedures • To clarify how incidental repair costs are to be accounted for in the calculation of SIR • To show where the regulations address IRMs: 10 CFR 440 Rules & Preambles • To provide examples and questions and answers to Frequently Asked Questions.

24. Incidental Repair Measures (IRM) – WPN 12-9 The Federal Perspective IRM History: • 1979: IR had a cost limit of $100 (materials only) • 1980 & 84: IRM costs are costs not required for Energy Conservation Measure (ECM) installation; the term “Ancillary” materials used • 1981: Cost limit of $150 per unit • 1985: $150 limit removed, cost of IRM included in total WAP average cost per unit • 1993: Beginning in 1993, IRM costs to be included in the “total conservation investment” for a DOE approved advanced ‘waiver audit’ • 2000: Grantees required to move to use of advanced energy audit outlined in 1993.

25. Incidental Repair Measures (IRM) – WPN 12-9 The Federal Perspective DOE Expectations: • IRMs are only to protect or enhance the effectiveness of ECMs installed during the WAP project • IRMs are for ‘Minor repairs’ only (e.g. not roof replacements) • Clear client file documentation needed for ECMs that are enhanced or protected and why the ECM needs this enhancement or protection. • Clear distinction in client file of costs of IRMs and their inclusion in audit SIR “total package” calculation

26. WPN 12-09 Incidental Repair Measures (IRM) The Federal Perspective DOE Expectations: • Ancillary materials costs that are required for proper installation of an ECM must be added to the individual ECM cost for calculation of the individual ECM SIR • Examples of Ancillary materials: Small items such as hardware, nails/screws, adhesive, sealant, etc. • Examples of Non Ancillary materials (IRMs): dry walling, roof/floor decking, stops, jambs, rough framing, etc.

27. WPN 12-09 Incidental Repair Measures (IRM) The Federal Perspective DOE Expectations (Cont.): • After respective inclusion of IRM and ancillary costs, all individual ECM SIR’s and the total building energy conservation package (all ECMs) SIR must be 1.0 or greater • Audit runs – if package of ECMs is less than 1.0, removal of the combination of the lowest ECM and its IRM that has an SIR less than 1.0 is necessary, and this would continue until the package of measures has an SIR greater than 1.0 • Grantee annual grant application must distinguish allowable ECM, IRM, and H&S measures

28. WPN 12-09 Incidental Repair Measures (IRM) The Federal Perspective IRMs, Audit Procedures, & Priority Lists: • Priority lists are based on applying a DOE approved audit to ‘typical’ housing stock by housing type. • Grantees that use Priority lists must include typical IRMs and cost limitations expected for the housing type or perform site specific audit • Average IRM costs for a priority list housing type may be estimated with justification, and the cost limit becomes a part of the priority list. • If more extensive IRM measures and costs are needed than in approved Priority List then site specific audit must be run

29. Audit Procedures

30. Energy Audits & Priority Lists The Federal Perspective Energy Audit Requirement – Review: • DOE is responsible for ensuring WAP is cost effective • Advanced energy audits and procedures must be used • Building must be assessed as a system • General energy audit requirements outlined in 10 CFR 440.21 • Implementation discussed in 12-8-2000 Final Rule preamble • Details delegated to guidance for flexibility

31. Energy Audits & Priority Lists The Federal Perspective Energy Audit Submittal Guidance: • WPN 01-4: lists detailed requirements for submitting Energy Audits for DOE review and approval • Outlines submittal justification for approval of Priority Lists • Submittal package must include H&S plan, IRM list, and General Heat Waste measure list, if applicable

32. Energy Audits & Priority Lists The Federal Perspective Priority Lists: • Priority Lists – save time on auditing for buildings that would have same measure priorities • Priority Lists are based on approved Grantee advanced Energy Audit • Must have different Priority List for each subset of housing type • Building field assessment must still be similar to full audit, to ensure applicability of Priority List to building type

33. Energy Audits & Priority Lists The Federal Perspective Priority Lists: • Full audit required if building does not conform to approved description of housing type subset. • Auditors training must be current for both use of Priority Lists and use of the approved advanced Energy Audit • Grantees are responsible for ensuring validity of Priority Lists measure costs and fuel costs at least annually

34. Energy Audits & Priority Lists The Federal Perspective Energy Audit Continuing Maintenance: • Separate audit must be approved for each major housing type: Single Family detached, Mobile Homes and Multi-Family units (2013) • Grantee’s without an approved MF audit it must submit proposed project data to its DOE Project Officer for approval • Approved audit may need to be re-approved if significant changes are made affecting calculations • Grantee is responsible for ensuring the priority list is still accurate (taking fuel costs, measure/labor costs) • Audits and priority lists must be submitted for re-approval every five (5) years

35. Weatherization Assistant Update The Federal Perspective Weatherization Assistant — today • NEAT and MHEA only — no multifamily-specific • Locally run on PCs at agency level • Aggregation to state level by agency

36. Weatherization Assistant Update Weatherization Assistant — planned The Federal Perspective • NEAT, MHEA, H&S, NEBs, MulTEA • All run as Internet web service, secure servers • Central data base

37. Weatherization Assistant Update Multifamily Tool for Energy Audits (MulTEA) The Federal Perspective

38. Weatherization Assistant Update The Federal Perspective • Version 1: Simpler Buildings and Systems, Few Extras • Low-rise buildings (four floors or less) including “garden-style” apartments • Individual dwelling unit space conditioning systems • Both dwelling unit and central-plant domestic hot water systems • Basic weatherization measures • Version 2: More Complex Buildings and Systems, Additional Capabilities • High-rise buildings with service cores (elevators, etc.) • Central plant heating and cooling systems • More complex and additional weatherization measures • Rules-based savings

39. Healthy Homes Audit Tool The Federal Perspective Purpose • Performs whole-house health and safety audits including: • Site built single family • Manufactured housing • Individual multifamily units • Provide a comprehensive H&S evaluation tool for use in homes being weatherized • Assess and address multiple H&S hazards in homes • Ensure H&S of occupants and weatherization crews • Help agencies follow WPN 11-6 H&S Guidance • Help implement the Weatherization Plus Health Initiative • Designed by ORNL in collaboration with HUD & DOE

40. Healthy Homes Audit Tool The Federal Perspective

41. Health & Safety

42. Allowance to spend on H&S The Federal Perspective • Authority from 10 CFR 440.21 (c) • Primary goal of WAP is energy efficiency and only allows for “energy-related” H&S • General rehab & hazard remediation are beyond the scope of WAP • DOE issued revised H&S Guidance WPN 11-6 and WPN 11-6a (allowing additional time for training and implementation)

43. H&S Resources The Federal Perspective • Visit a Weatherization Training Center near you • Go to www.WAPTAC.org for H&S resources: • Guidance • Webinars • Training materials/curricula • Support documents • Best practices Hands-on training at the New River Center for Energy Research and Training, VA.

44. H&S Plan Review The Federal Perspective H&S Plan reviewed by Project Officer: • Consistency with guidance • Reasonable costs with justification • ASHRAE 62.2 implementation plan per WPN 12-1

45. H&S Plan Review The Federal Perspective Additional committee review is triggered when: • H&S budgets are 15% or more of Program Operations • Grantee requesting an alteration to ASHRAE 62.2 (requires basis in 62.2-2010 and scientific justification)

47. H&S Guidance Recommendation The Federal Perspective • WPN 11-6 expected to continue for PY 2012 and 2013 • Recommendations for H&S Plans & Implementation: • Budget % of Program Ops and request should match • State-wide H&S assessment and notification • Effective deferral policy • Strengthen referral networks • Get serious about Indoor Air Quality • Get GREAT! at air sealing without BTL

48. H&S Guidance Updates The Federal Perspective • WPN 11-6 expected to continue for PY 2012 and 2013 • What do you want to see for H&S? • Multifamily specific guidance? • More training? • Missing pieces? • Greater flexibility or limitations? • Other? Contact your Project Officer w/questions or visit www.waptac.org for guidance and additional information

49. Weatherization Plus Health The Federal Perspective The U.S. Department of Energy's (DOE) Weatherization Plus Health initiative is a national effort to comprehensively and strategically coordinate resources to improve the energy efficiency, health, and safety of low-income homes. Weatherization Plus Health ensure energy efficient and healthy indoor environments by facilitating the establishment of strong, effective partnerships between DOE's Weatherization Assistance Program (WAP) and healthy homes providers. The National Association for State Community Services Programs (NASCSP) is implementing the project on behalf of DOE. • Key Deliverables: • Regional Conferences • WeatherizationPlusHealth.org • Wx & HH Reports for each Grantee • Grantee Implementation of Wx Plus Health • Best Practices for Referral Systems • Training and Technical Assistance