Review of WAP Regulations and Program Guidance

WAP Rules and Regulations Orientation Training
2012 NASCSP Training Conference WAP
Regulations and Program Guidance
Weatherization Assistance Program
1 | Weatherization Assistance Program: Overview
Holly Ravesloot & Greg Reamy
Program Mission
“To reduce energy costs for low-income families,
particularly for the elderly, people with disabilities, and
children, while ensuring their health and safety.”
2 | Weatherization Assistance Program: Overview
Statutory Purpose
 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
3 | Weatherization Assistance Program: Overview
Weatherization Program Legislation
 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
4 | Weatherization Assistance Program: Overview
The Team Approach
Department of Energy
Headquarters and
Project Management Center
50 State Energy Offices,
1,007 Local
The District of Columbia,
Subgrantees Serving All
Native American
3,054 Counties in the US
Tribal Organizations,
and 5 U.S. Territories
Note: ITCA Tribe does not receive Recovery Act funds
5 | Weatherization Assistance Program: Overview
Single, Multi-Family,
Mobile Homes
Frequently Used Terms
 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
6 | Weatherization Assistance Program: Overview
Frequently Used Acronyms
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
7 | Weatherization Assistance Program: Overview
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
8 | Weatherization Assistance Program: Overview
Program Funding
 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 singlefamily, multi-family, and mobile homes
 Grantees can also leverage funds from utilities and other sources.
9 | Weatherization Assistance Program: Overview
Allocation Formula to States
 Low-Income Population
 Climatic Conditions
 Residential Energy Expenditures by Low-Income
Households in each State
 Revised Formula Impacts States at $233+M
10 | Weatherization Assistance Program: Overview
What is Weatherization?
 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
11 | Weatherization Assistance Program: Overview
The Need For Services
 38.6 Million families are eligible for assistance
 Approximately 15 million ‘good candidate’ homes need
 Through 2011 approximately 20% of the 38.6 million eligible
families had received weatherization services
12 | Weatherization Assistance Program: Overview
How Does the Program Work?
 Customer applies for services
 Agency determines eligibility
 Energy audit conducted; technicians identify energyrelated problems & Health & Safety issues
 List of cost-effective measures developed
 Energy efficiency measures installed
 Client education
 Post-work inspection
13 | Weatherization Assistance Program: Overview
Determining Priority Service
 10 CFR 440.16(b) (1-5)
 Elderly
 Persons with disabilities
 Families with children
 High energy burden
 High residential energy use
14 | Weatherization Assistance Program
Defining Income
 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
15 | Weatherization Assistance Program
Determining Eligibility
 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
16 | Weatherization Assistance Program
Customer Application
 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
17 | Weatherization Assistance Program: Overview
Recovery Act Impact on
 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
18 | Weatherization Assistance Program: Overview
Davis-Bacon Act (DBA)
 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
19 | Weatherization Assistance Program: Overview
Davis-Bacon Act
20 | Weatherization Assistance Program: Overview
Types of WAP Services
 Energy audits conducted
 Furnace service
 Air infiltration reduction using
blower doors
 Furnace replacements
 Attic and floor insulation
 Duct system balance and
 Dense-pack wall insulation
 Duct sealing
 Domestic hot water heater
21 | Weatherization Assistance Program: Overview
 New refrigerators
 Energy efficient lighting
retrofits (CFL)
 Incidental repairs
 And more………..
Client Education
 Client education is a critical
 Prolongs life of
 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
22 | Weatherization Assistance Program: Overview
 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
23 | Weatherization Assistance Program
Multi-family Eligibility
 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 multifamily 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)
24 | Weatherization Assistance Program
Rental Requirements
 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
 WPN 10-15A Discusses Accrual of Benefits Issue
25 | Weatherization Assistance Program
Rental Properties
 Annual State Plan requires rental plan
 Multi-family buildings require 66% eligibility to qualify entire
 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
26 | Weatherization Assistance Program
Energy Audit Criteria
 Section 10 CFR 440.21 provides criteria for minimum energy audit
 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
27 | Weatherization Assistance Program
Single-Family Energy Audit Tools
Used by the Weatherization Network
Energy Audit
WorksNEAT (OH)
(IL) (IN)
Meadow 96*
U.S. Territories:
American Samoa
Northern Mariana
Puerto Rico
U.S. Virgin Islands
DOE Review is required every 5 years for Audit Tools
Does not use audit
States with * listed next to their current audit tool have submitted a request to switch to another audit tools.
Updated 01/28/2011
States That Use A Priority List*
As Part of Their Energy Audit Procedures
For Single-Family Homes
Priority List:
American Samoa
Northern Mariana
Puerto Rico
U.S. Virgin Islands
Priority list used to select measures
on typical housing stock
Computerized energy audit used
on every house weatherized
* A priority list is a list of weatherization measures that
analysis has shown to be be cost-effective for typical
housing stock.
Updated 01/28/2011
A DOE Weatherized Unit is:
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.
30 | Weatherization Assistance Program
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.
31 | Weatherization Assistance Program
Post-Work Inspection
 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
32 | Weatherization Assistance Program
Administrative Costs
 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
33 | Weatherization Assistance Program
Policy Advisory Council
 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”
34 | Weatherization Assistance Program
Vehicle & Equipment Purchase
 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
35 | Weatherization Assistance Program
WAP Health & Safety
 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
36 | Weatherization Assistance Program
Grantee Health & Safety Plan
Minimum Requirements
• 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…
37 | Weatherization Assistance Program
Health & Safety Guidance
• Addresses Action/Allowability, Testing, Client Education, and
Training for the following Health and Safety Categories:
Air Conditioning/Heating Systems
Appliances/Water Heaters
Biologicals/Unsanitary Conditions
Building Structure/Roofing
Code Compliance
Combustion Gases
Fire Hazards
Air Pollutants
Injury Prevention
Lead Based Paint
38 | Weatherization Assistance Program
 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
39 | Weatherization Assistance Program
Leveraging (Con’t)
 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.
40 | Weatherization Assistance Program
Program Income
 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
41 | Weatherization Assistance Program
Disaster Relief
 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
42 | Weatherization Assistance Program
Buy-Down of Material Costs for Meeting
SIR of 1.0
 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
 Types of Non-Federal Sources Include: Landlord Contributions,
Utility Funds, Donations from Private Sources, and/or State
Resources That Supplement Other Similar Funds
43 | Weatherization Assistance Program
Use of DOE Funds to Pay for
Call-Back/Add-on Work
 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
44 | Weatherization Assistance Program
Prioritizing Weatherization Work
Based on Housing Type
 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
45 | Weatherization Assistance Program
WPN 11-13
Grantees must ensure Subgrantees obtain, verify and maintain, as required,
the proper documentation on demographics for properties to be
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.
46 | Weatherization Assistance Program
WPN 11-14 Subgrantee Selection
• 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.
47 | Weatherization Assistance Program
Privacy of WAP Receipients
• 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
48 | Weatherization Assistance Program
Requests for Information Under the
Freedom of Information Act (FOIA)
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.
49 | Weatherization Assistance Program
Recovery Act Grant Closeout
• 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:
50 | Weatherization Assistance Program
Contact your DOE Project Officer or Refer to the follow
– Weatherization Assistance Program Website
– WAPTAC Website
– Weatherization Plus Website
– Oak Ridge National Lab Website
51 | Weatherization Assistance Program

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