PY 2017 Home Weatherization State Plan attachments 1.pdf · PY 2017 Home Weatherization State Plan attachments ... Quality Control Inspection Checklist ... regarding Ohio’s Home

PY 2017 Home Weatherization State Plan attachments

1. Summary of changes

2. QCI Form

3. Administrative Quality Assurance Form

4. Data Collection Form

5. Final Certification Form

6. HWAP Administrative Monitoring Instrument form

7. Priority Waiver Form

8. PY 2017 HWAP PAC meeting schedule

9. PY 2017 HWAP Training and Certification Requirements

10. Revised Policy and procedures manual

U.S. Department of Energy Weatherization Assistance Program

State Plan PY2017 Summary of Changes

Annual File:

Updated Policy Advisory Committee Council Members

An evaluation of the HWAP program will be conducted during 2017 to determine energy savings.

Minimum average unit cost increase from $7,105 to $7,212 Master File Worksheet (Program Information):

V.1.2 Approach to Determining Building Eligibility o When multi-family units receive weatherization, the landlord must provide

financial contribution (as allowed per WPN 16-5, attached page 9) for any identified health and safety measure for units that are vacant, ineligible or common areas (multi-family units must have at least 66% occupancy eligibility). If documentation is provided that the landlord is eligible for weatherization services, the financial contribution will be waived.

V.2 Selection of Areas to Be Served o Ohio completes an annual Risk Assessment of subgrantees to evaluate

performance and to determine if a subgrantee is administering an effective weatherization program. The Risk Assessment evaluates subgrantees based on administrative, technical and fiscal management.

o A draft of the Risk Assessment was sent to current HWAP subgrantees for input and suggestions. Attached is the final version of the Risk Assessment after reviewing comments and feedback from subgrantees.

o A rating of “high risk” for two consecutive years on the annual Risk Assessment performed by ODSA, would result in a competitive proposal process for subgratee’s territory after the current contract expires. subgrantee.

o Should the Risk Assessment rating result in a competitive proposal process for any subgrantee’s territory, Ohio will proceed in accordance with 10 CFR 440.15.

V.6 Weatherization Analysis of Effectiveness o Costing of Measures: All vehicles and equipment with an acquisition cost of

$5,000 or more requires prior approval from ODSA.

V.8.4 Training and Technical Assistance Approach and Activities Training and Technical Assistance

o The Ohio Weatherization Training Center has received IREC accreditation for Retrofit Installer, Crew leader and Energy Auditor in September 2016.

o Technical Monitoring also includes review of annual grant applications, analysis of tools/equipment inventories, and compliance with required written procedures.

6/1/2015 1:42 PM

ODSA Administrative Quality Assurance Form

Grantee and Grant No. _________________________________ OCEAN Job # _________________ No. Units _______

Client Name _____________________________ Primary Fuel Type: Nat Gas Propane/Oil Elec. Other

Year Built ____________ OWN or RENT Circle if replaced: FURNACE HWT REFRIGERATOR Housing Type: SF Mobile 2-4 Unit 5+ Units Reporting Month/Year ______________________

Initial Inspector ___________________________________ QC Inspector ______________________________________

Pre Blower Door ___________ Post Blower Door ____________ Date Initial ____________ Date Final _____________

Financial Information

____ Photographs or Disk

____ File Checklist/Quality Assurance Form

____ OCEAN BWR/BWR Revisions

____ QCI Final Certification Form

____ QCI Final Inspection Checklist

____ Contractor/Vendor POs and Invoices

____ Daily Logs/Timesheets (if crew-based)

____ Job Cost Report/Materials List (if crew-based)

Data Collection

____ Data Collection Form

____ Worst Case Draft for each day on job

____ ASHRAE Testing/Calculation Documentation

____ Manual J (if applicable)

____ Energy Audit (Input and Recommended Measures Reports)

____ Priority List of Measures

____ Work Order/Proceed Order

____ Change Orders/Additional Work

____ Mold Notification/Assessment Form

____ Lead Paint Notification (if structure pre-1978)

____ Certified Renovator Documentation (if LSW is required)

____ Lead Certification Checklist (if LSW is required)

____ State Historic Preservation Form (if structure 50+ yrs. old)

____ Certificate of Insulation

____ Permits (if applicable)

Intake

____ Client OCEAN Application (App Date: ______________)

____ Eligibility Documentation

____ Re-verification ( f app is > 12 months) (Date: ____________)

____ Proof of Ownership (if applicable)

____ Priority for Service Delivery Documentation

____ EIA 29 D (Homeowner Authorization Form)

____ Landlord/Tenant Agreement (Contribution $ ____________)

____ Consumer Ed. Documentation/ESPP/Home Visit Survey

____ ASHRAE Notification/Consent Form

Additional Information

____Client Satisfaction Form (Signed/Dated)

____ Follow-Up Form (3-6 mos. After Final)

____ Leveraged Funds Information (if applicable)

____ Deferral Form (if applicable)

____ Client Correspondence

Funding Sources Amount

HWAP HHS $

HWAP DOE $

HWAP Health & Safety $

Leveraged: $

Leveraged: $

Leveraged: $

Total Job $

To be Completed by the Local HWAP Provider:

JOB/FILE COMPLETE

Certified by: ______________________________

Date: __________________

To be Completed by OCA Administrative Monitor:

Monitored by: ______________________________

Date: __________________

Notes:

Page 1 of 5

Quality Control Inspection Checklist

Date of Quality Control Inspection: __________ Quality Control Inspector: ________________ Date Unit Completed: ____________________ Energy Auditor: _________________________ Client Name: ___________________________ Job#: __________________________________ Address: ______________________________ HVAC Contractor: ________________________ City: __________________________________ WX Contractor: __________________________ FILE REVIEW Housing Type: A B C D E F G H I BWR: Yes / No DCF: Yes / No Work Order: Yes / No SHPO Form: Yes / No / NA Lead Notification: Yes / No / NA Mold Form: Yes / No Manual J: Yes / No / NA Lead Safe Doc.: Yes / No / NA Cert. of Insulation: Yes / No ASHRAE Form Yes / No Change Order(s): Yes / No / NA Eligibility Doc.: Yes / No WCD: (Initial) Yes / No (Daily) Yes / No (Final) Yes / No NEAT/MHEA: Yes / No / NA Accurate/All Measures Installed: Yes / No / NA INITIAL INSPECTION REVIEW

Auditor inspected all areas of the home? Yes / No

Auditor completed all testing procedures? Yes / No

Auditor accurately completed all sections of the Data Collection Form? Yes / No

Auditor issued a complete and thorough Work Order? Yes / No

Auditor accurately addressed the HVAC and energy conservation work? Yes / No

Auditor made an in-progress visit while measures were being installed? Yes / No

Auditor provided detailed and accurate consumer education? Yes / No

________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________

Page 2 of 5

ON-SITE WORK ASSESSSMENT Heating

Work meets Standards: Yes / No SWS Reference#_______________ Manufacturer/ Model: _________________________________________ Unit Replaced: Yes / No Fuel: NG Elec. Propane Oil Other ____________________________ Tune-up: Yes / No Heating Contractor: ___________________________________________ Gas Leak: Yes / No BTU Rating ________ Volume CAZ ________ Confined: Yes / No Rated Temp Rise _______ Stack Temp ______ Oxygen ______ CO ______ SSE _______ Actual Tem Rise _______ Stack Temp ______ Oxygen ______ CO ______ SSE _______ Venting Correct: Yes / No Stack Temp ______ Oxygen ______ CO ______ SSE _______ Ducts Sealed: Yes / No Stack Temp ______ Oxygen ______ CO ______ SSE _______ ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ Water Heating Work meets Standards: Yes / No SWS Reference#______________ Manufacturer/ Model: ________________________________________ Unit Replaced: Yes / No Fuel: NG Elec. Propane Oil Other ____________________________ Tune-up: Yes / No Heating Contractor: ______________________ Gas Leak: Yes / No Venting Correct: Yes / No BTU Rating _______ Volume CAZ _______ Confined: Yes / No Water Temp ____________ Stack Temp _____ Oxygen ______ CO _____ SSE______ Pipe wrap: Yes / No Stack Temp _____ Oxygen ______ CO _____ SSE______ Tank Insulation: Yes / No / N/A

________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________

Page 3 of 5

Ventilation Work meets Standards: Yes / No SWS Reference#______________ Fan required: (ASHRAE) Yes / No Proper Switch/Setting: Yes / No Continuous Yes / No CFM ______ Intermittent CFM ______ Minutes/Hr. ________ Exhaust Fans Properly Insulated/Vented: Yes / No Clothes Dryer vented correctly: Yes / No ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ Attic Work meets Standards: Yes / No SWS Reference#_____________ Attic Insulation Installed: Yes / No Proper R-Value Installed: Yes / No Insulation Certificate Signed/ Complete: Yes / No Heat Source/ Vent Damming: Yes / No Attic Access Insulated and Secured: Yes / No Attic Ventilation Installed: Yes / No / NA Insulation type installed: Cellulose / Fiberglass / batts

________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ Sidewalls & Kneewalls Work meets Standards: Yes/ No SWS Reference#_____________ Walls Insulated: Yes / No Dense Pack Method: Yes / No Interior Drill: Yes / No Patching & Painting Appropriate: Yes / No Siding Re-installed Properly: Yes / No Insulation type installed: Cellulose / Fiberglass / batts ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________

Page 4 of 5

Subspace Work meets Standards: Yes / No SWS Reference#______________ Foundation/Perimeter Insulation Added: Yes / No Floor Insulation Added: Yes / No Vapor Barrier Added; Coverage & Secure: Yes / No Basement Wall Insulated Yes / No ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ Windows/Doors Work meets Standards: Yes / No SWS Reference#_____________ Window(s) Replaced: Yes / No Quantity: _______ Proper Installation: Yes / No Storm Window(s) Installed: Yes / No Quantity: _______ Proper Installation: Yes / No Doors Replaced: Yes / No Quantity: _______ Proper Installation: Yes / No Proper Energy Audit Justification: Yes / No / NA (SIR 1.0+)

Door Weather Stripping Installed: Yes / No Threshold(s) ____ Sweep(s) ______ Jammer ______

________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ Baseload Work meets Standards: Yes / No SWS Reference#______________ Low Flow Showerheads: Yes / No Lighting – CFLs Installed: Yes / No Refrigerator Replacement: Yes / No Metering/Other Documentation: Yes / No ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________

Page 5 of 5

Diagnostic Testing SWS Reference#______________ Blower Door: Pre: _______ Post: _______ Site: __________ Reduction % _________ Connectivity Test(s): Attic/Main Body ______Pa. Subspace/Main Body ______Pa. Room to Room: Bath#1 ____ Bath#2 ____ Bed#1_____ Bed#2 _____ Bed#3____ Other____

Other ____ Other ____ Pressure Pan Test(s): S1 ____ S2 ____ S3 ____ S4 ____ S5 ____ S6 ____

R1 ____ R2 ____ R3 ____ R4 ____ R5 ____ Subtraction Test: Ducts unsealed ________ CFM50 Ducts sealed ________ CFM50 Worst Case Draft: Enclose completed form in client file ________________________________________________________________________________ Additional Health and Safety Meets Standards: Yes / No SWS Reference#______________ Carbon Monoxide Detectors Installed Properly: Yes / No Cook Stove: Tested: Yes/No LF ____RF ____LR ____RR ____Oven ____ Electric: Yes / No Comments: _____________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ ________________________________________________________________________________ This unit needs additional attention from the agency/contractor: Yes / No

This unit passed the Quality Control Inspection: Yes / No CERTIFICATION I certify that the work completed on this job meets all requirements of the Ohio Standard Work Specifications and installation procedures as described in the Ohio Weatherization Field Guide – SWS-Aligned Edition. ____________________________ ____________________________ ____________ QCI Printed Name QCI Signature Date

CERTIFICATION

I certify that the work completed on job number __________ meets all requirements of the Ohio Standard Work Specifications and installation procedures as described in the Ohio Weatherization Field Guide – SWS-Aligned Edition. I grant the Ohio Development Services Agency (ODSA) and its designees permission to use information associated with this job for the purpose of conducting weatherization studies or statistical analyses. I understand that no information obtained for job number __________ shall be made public in such manner that the dwelling or its occupants may be identified, except with written consent by the occupant. _________________________________________________ ____________________ Quality Control Inspector Date

_________________________________________________ ____________________

Customer Signature Date

If chosen by a Technical Monitor for review, please complete the following:

☐ I certify that the work on this house has been completed in compliance with the Ohio

Standard Work Specifications.

☐ This house is not in compliance with the Ohio Standard Work Specifications. Call-back(s)

have been issued for compliance.

__________________________________________________ ____________________

Technical Monitor Signature Date

I certify that all call-back(s) have been corrected and this home is now in compliance with the

Ohio Standard Work Specifications.

_________________________________________________ ____________________ Quality Control Inspector Date

For additional information on the State of Ohio Home Weatherization

Assistance Program, please call the ODSA Business Response Line.

Ohio Means YES Development Business Response Line

Consumer hotline - call if you have questions or concerns regarding Ohio’s Home Weatherization Assistance Program.

(800) 848-1300

ODSA Administrative Review Instrument

a.

b.

c.

d.

e.

a.

b.

c.

d.

e.

a.

b.

c.

d.

Required

Action

Recommended

Action

This section is to ensure the grantee has an adequate pool of applicants to choose from for weatherization services.

Does the grantee have an adequate appeals process?

Is the grantee meeting overall production goal as of the date of

the visit?

Is the grantee meeting production goals in each county/territory

served, if applicable?

This section reviews production status and expenditures.

3. Production and Expenditure Goals

Has the grantee served all priority applicants before serving

traditional applicants?

Has the grantee Re-weatherized any homes this year?

Number of Files Reviewed:

Does the grantee have a waiting list?

Number of eligible applications?

If the wait list is one year or less, what activities is the grantee

engaged in to increase eligible applicants?

Grantee :

Grant Number:

Date of Monitoring:

ODSA Monitor:

1. Client Intake and Outreach Required

Action

Recommended

Action

2. Prioritization of Eligible Clients

Is the grantee serving the first 25% of priority applicants (or

traditional applicant if not priority applicants available) for each

county by earliest eligibility date?

Has the grantee selected a secondary criteria other than the

earliest eligibility date?

Is the grantee correctly using the secondary criteria for eligible

clients once the first 25% of eligible clients have been served?

This section is to ensure eligible applicants are being served by priority status.

Is the grantee expending DOE funds and will all DOE funds be

expended by the end of the grant cycle?

Is the grantee exceeding the average unit cost?

Is the appeals process displayed in an area accessible to

clients?

Required

Action

Recommended

Action

DRAFT

Page 1 of 7


e. CountyAnnual Unit

GoalYTD completed In progress Units % of Goal

#DIV/0!

#DIV/0!

#DIV/0!

#DIV/0!

#DIV/0!

#DIV/0!

#DIV/0!

a.

b.

c.

a.

b.

c.

d.

e.

f. Does the agency have and adequate confidentiality

agreement/policy in place for contractors?

Does the agency advertise for contractors each year?

Average Unit Cost

0

Did the grantee dispose of any tools/equipment/vehicles?

0

0

Total YTD and In

progress

Production and Expenditure Goals (continued)

0

0

Did the grantee make any Large Purchases (more than

$150,000) this program year? If yes, did the meet the

minimum requirements?

0

0

Required

Action

Recommended

Action

Required

Action

Recommended

Action

4. Procurement and Disposition

This section reviews procurement goods and services, and disposition of equipment or vehicles

Did the grantee make any Small Purchases (more than

$3000 less than $150,000)? If yes, did they get written quotes?

5. Contracting

This section reviews procurement of contractors

Are fully executed contracts on file for each contracted service?

Does the contract specify acceptable payment arrangements

and pricing (price list, bids, etc.)?

Are adequate methods uses to solicit for contracted services?

Newspaper/posted notices/mailings/other

Are all contractors listed in the Agency Profile approved by

ODSA?

DRAFT

Page 2 of 7


a.

b.

c.

d.

e.

f.

g.

h.

i.

j.

7. Purchase Order/Invoice Tracking Required

Action

Recommended

Action

PO #: PO Date: PO Issuer:

Have NEAT/MHEA fuel costs been updated?

PO Approval Date: PO Approver:

Invoice#: Invoice Date: Invoice Total:

Vendor:

Materials:

Job#: Client Last Name:

Check #: Check Date: Check Clear Date:

Does the agency have a system for tracking contractor/crew

performance? If so, describe it below. If not, detail the plan to

put one into place, including a timeline.

How is follow-up documented?

What is the process for ordering callbacks/additional work?

Has the grantee submitted all monthly financial reports by the

10th of the month?

Are client files adequately secured?

Is there an adequate client complaint policy?

Have NEAT/MHEA libraries been updated?

Required

Action

Recommended

Action

Does the agency have an adequate confidentiality

agreement/policy in place for employees?

6. Program Management

This section reviews overall program management

What funding source(s) is/are used for Callbacks/Additional Work

on DOE reported jobs? Reference documents: WPN 11-3.

How does the agency ensure separation of duties between the

initial and final inspectors per the OIG’s OAS-RA-12-13 report

and IU 2012-054?

What is the agency’s system for ensuring a customer follow up

is completed for at least 25% of completed jobs? DRAFT

Page 3 of 7





Vendor:

Materials:






Vendor:

Materials:






Vendor:

Materials:



Required

Action

Recommended

Action




Vendor:

Materials:



Purchase Order/Invoice Tracking (continued)

DRAFT

Page 4 of 7


a.

b.

c.

d.

e.

f.

OCEAN Number

9. Exit Interview Attendees

These compliance issues have been met

If no, what is unresolved?

8. Resolution of previous monitoring issues

Compliance issues from recent monitoring reports:

Required

Action

Recommended

Action

9. File Review Required

Action

Recommended

ActionClient Number Name

DRAFT

Page 5 of 7


OCEAN Number

File Review (Continued) Required

Action

Recommended


DRAFT

Page 6 of 7


OCEAN Number

Notes:

File Review (Continued) Required

Action

Recommended


DRAFT

Page 7 of 7

Home Weatherization Assistance Program Priority Waiver Request Form

When an HWAP provider wishes to combine funds and weatherize the home of a client who may not

yet be eligible to receive HWAP services due to location on the wait list, a waiver request may be

submitted to OCA. Please complete the following form and submit it to your HWAP Administrative

Monitor. OCA approval must be provided in writing prior to starting work. Work performed without

prior OCA approval may be disallowed.

1. Provider: _______________________________________________ Grant #: ______________

2. Client Name: ______________________________________ Date of Request: _____________

Client Address: _________________________________________________________________

County: __________________ Client Number: _____________ Application Date: ___________

# of Clients Ahead of Applicant on Wait List: ___________

3. Check all that apply (household must meet one of the following conditions):

____ One or More Elderly Household Member (60+ years)

____ One or More Child (6 years or younger) in Household

____ One or More Disabled Household Member

____ High Energy User (175% of FPG)

____ High Energy User (175% of FPG)

4. Primary Heat Source as Registered with the Utility Company: ____________________________

Primary Heat Source Utility Provider: ________________________________________________

Electric Utility Provider (if not main): _________________________________________________

5. Please provide a brief explanation as to why they client/household should receive services before

other clients who have been assigned a higher priority on the Priority Points List report.

_______________________________________________________________________________________________

_______________________________________________________________________________

_______________________________________________________________________________

6. List all leveraged funding sources to be used in conjunction with HWAP for this client/household.

______________________________________________________________________________

______________________________________________________________________________

7. In addition, please attach the following:

HWAP Units Completed vs. Planned Grantee OCEAN report (with a date range of program

year start date up though the previously reported month). Note: Agencies must meet a

minimum of 75% of planned production in order to apply for a waiver.

Copy of the Data Collection Form showing the initial inspection data for the residence (if

applicable).

HWAP 2017 meeting Dates

1/24/2017 Twp

January 27, 2017 –Riffe, 31st FL West B&C 9am‐11am, Public hearing to solicit input for the

development of the 2017 HWAP state Plan

January 27, 2017 –Sheraton Columbus Hotel at Capital Square‐ Congressional room, 75 E. State St,

Columbus, Oh 43216 11:30am‐1pm, Public hearing to solicit input for the development of the 2017

HWAP state plan

March 24, 2017 –Riffe, 31st FL South B&C 11am‐1pm, Home Weatherization Assistance Program, Policy

Advisory Council

April 7, 2017 –Riffe, 31st FL South A 12pm‐3pm, Public hearing for 2017 HWAP state Plan

May 8, 2017 –Ohio Ag center, West Broad St. 9am‐4pm, All Providers meeting for 2017 HWAP state

Plan

June 9, 2017 –Riffe, 31st FL West B&C 10am‐12pm, Home Weatherization Assistance Program, Policy

Advisory Council

September TBD, 2017 –Riffe, 31st FL West B&C 10am‐12pm, Home Weatherization Assistance Program,

Policy Advisory Council

December 1, 2017 –Riffe, 31st FL West B&C 10am‐12pm, Home Weatherization Assistance Program,

Policy Advisory Council

HWAP Program Year 2017 Training and Certification Requirements

2017 Ohio HWAP Training and Certification Requirements – 2.13.2017

Retrofit Installer Series Contact Days Required Recertification Course s Hours Presented Pre-requisites Texts Requirement Lead Renovation, Repair & Paint Initial 8 1 None None Lead RRP-Refresher 5 years Blower Door Use 16 2 None None None Basic Weatherization Tactics 24 3 Blower Door Use None None Mobile Home Weatherization 8 1 Basic Weatherization Tactics None None

Blower Door Use

OSHA 10 10 2 None None None Recommend /Optional Courses (upon request by agencies, contractors, or state monitoring staff) OSHA 30 30 4 None None None Recertification Requirements: Lead RRP – Refresher 4 ½ Lead RRP – Initial None 5 years



Crew Leader Series

Contact Days Required Recertification Course Hours Presented Pre-requisites Texts Requirement Lead Renovation, Repair & Paint Initial 8 1 None None Lead RRP-Refresher 5 years Blower Door Use 16 2 None None None Basic Weatherization Tactics 24 3 Blower Door Use None None Mobile Home Weatherization 8 1 Basic Weatherization Tactics None None

Blower Door Use

ASHRAE 62.2/Indoor Air Quality 8 1 None None None OSHA 10 10 2 None None None Recommend /Optional Courses (upon request by agencies, contractors, or state monitoring staff) OSHA 30 30 4 None None None Recertification Requirements: Lead RRP – Refresher 4 ½ Lead RRP – Initial None 5 years





Quality Control Inspector Series

Contact Days Required Re/certification Course Hours Presented Pre-requisites Texts Requirement Codes & Standards 8 1 None SWS Field Guide None Lead Renovation, Repair & Paint Initial 8 1 None None Lead RRP-Refresher 5 years Introduction to Inspection 8 1 None None None ASHRAE 62.2/Indoor Air Quality 8 1 None None None Blower Door Use 16 2 None None None Basic Weatherization Tactics 24 3 Blower Door Use None None Consumer Energy Education 8 1 None None None Heating Unit Inspection 48 6 Introduction to Inspection None None Codes & Standards Initial Inspection* 32 4 Introduction to Inspection None In-field follow up 60 days*

ASHRAE 62.2 Blower Door Use Basic Weatherization Tactics

Heating Unit Inspection

Codes & Standards

*Certificate is held until student completes in-field follow up with OWTC within 60 day period.



Infrared Camera 8 1 None None None Mobile Home Weatherization 8 1 Basic Weatherization Tactics None None

Blower Door Use

Mobile Home Weatherization Inspection 8 1 Basic Weatherization Tactics None None Blower Door Use Mobile Home Weatherization National Energy Audit Tool/ 8 1 None None None Mobile Home Energy Audit BPI Quality Control Inspector Certification Written Exam and Field Exam are required for certification. OSHA 10 10 2 None None None Recommend /Optional Courses (upon request by agencies, contractors, or state monitoring staff) OSHA 30 30 4 None None None QCI Prep Course 24 3 None None None Recertification Requirements: Inspector Refresher 24 3 Inspector Series None 3 years Lead RRP – Refresher 4 ½ Lead RRP – Initial None 5 years BPI Quality Control Inspector - - BPI QCI Certification BPI Scheme Book 3 years



Energy Auditor Series

Contact Days Required Re/certification Course Hours Presented Pre-requisites Texts Requirement Codes & Standards 8 1 None SWS Field Guide None Lead Renovation, Repair & Paint Initial 8 1 None None Lead RRP-Refresher 5 years Introduction to Inspection 8 1 None None None ASHRAE 62.2/Indoor Air Quality 8 1 None None None Blower Door Use 16 2 None None None Basic Weatherization Tactics 24 3 Blower Door Use None None Consumer Energy Education 8 1 None None None Heating Unit Inspection 48 6 Introduction to Inspection None None Codes & Standards Initial Inspection* 32 4 Introduction to Inspection In-field follow up 60 days*

ASHRAE 62.2 Blower Door Use

Heating Unit Inspection Basic Weatherization Tactics



Codes & Standards Infrared Camera 8 1 None None None *Certificate is held until student completes in-field follow up with OWTC within 60 day period. Mobile Home Weatherization 8 1 Basic Weatherization Tactics None None

Blower Door Use

Mobile Home Weatherization Inspection 8 1 Basic Weatherization Tactics None None Blower Door Use Mobile Home Weatherization National Energy Audit Tool/ 8 1 None None None Mobile Home Energy Audit OSHA 10 10 2 None None None Recommend /Optional Courses (upon request by agencies, contractors, or state monitoring staff) OSHA 30 30 4 None None None Recertification Requirements: Inspector Refresher 24 3 Inspector Series None 3 years Lead RRP – Refresher 4 ½ Lead RRP – Initial None 5 years





Heat Technician Series Ohio State Licensed agency or contractor personnel repairing or replacing heating systems

Contact Days Required Re/certification Course Hours Presented Pre-requisites Texts Requirement Combustion for Contractors 8 1 None None None Recommend /Optional Courses (upon request by agencies, contractors, or state monitoring staff) OSHA 10 10 2 None None None OSHA 30 30 4 None None None Boiler Heating Systems Inspection 8 1 Heating Unit Inspection None None Heat Technician Heat Pump/Air Conditioner 8 1 Heating Unit Inspection None None Heat Technician Oil Furnace Maintenance and Repair 16 2 Heating Unit Inspection None None HT Lead Renovation, Repair & Paint Initial 8 1 None None Lead RRP-Refresher 5 years Lead RRP – Refresher 4 ½ Lead RRP – Initial None 5 years



Non-Ohio State Licensed agency or contractor personnel repairing or replacing heating systems

Contact Days Required Re/certification Course Hours Presented Pre-requisites Texts Requirement Codes & Standards 8 1 None SWS Field Guide None Heating Unit Inspection 48 6 Intro to Inspection None None Codes & Standards Heat Technician^ 40 5 Heating Unit Inspection None In field follow up 60 days^ Oil Furnace Maintenance and Repair 16 2 Heating Unit Inspection None None Heat Technician Lead Renovation, Repair & Paint Initial 8 1 None None Lead RRP-Refresher 5 years OSHA 10 10 2 None None None Boiler Heating Systems Inspection 8 1 Heating Unit Inspection None None (required if repairing/installing equipment) Heat Technician Heat Pump/Air Conditioner 8 1 Heating Unit Inspection None None (required if repairing/installing equipment) Heat Technician Recommend /Optional Courses (upon request by agencies, contractors, or state monitoring staff) OSHA 30 (crew leader) 30 4 None None None



Recertification Requirements: Heat Technician Refresher 24 3 Heat Technician None 3 years Lead RRP- Refresher 4 ½ Lead RRP – Initial None 5 years ^ Students are required to complete all courses in the Heat Technician Series AND in-field follow up within 60 days to receive certificate.

Ohio Home Weatherization Assistance

Program (HWAP)

Policies and

Procedures

Manual REVISED/EFFECTIVE 7.2017

Ohio Development Services Agency

Community Services Division

Office of Community Assistance

OHIO HWAP POLICIES AND PROCEDURES MANUAL

Page 2 of 70

The Ohio Home Weatherization Assistance Program (HWAP) Policies and Procedures Manual (Manual) has been prepared by the Ohio Development Services Agency (ODSA) Office of Community Assistance (OCA) and is intended for use by ODSA and HWAP Grantee staff. The Manual incorporates information contained in federal and state regulations and in the Ohio Weatherization Assistance Program State Plan. This Manual was designed to be a comprehensive reference on policies and procedures for the management of HWAP. Failure to comply with requirements set forth in this manual may result in a default of the grant agreement. Grantees that fail to comply may be subject to penalties. The Manual also: Provides information regarding HWAP policies mandated by the state and federal

government; Outlines required procedures necessary for operation of HWAP; Includes exhibits and charts to clarify requirements and procedures; and Provides instruction for completion of required forms.

The Manual will be reviewed and revised as needed and reissued when revised. Policy changes identified in the annual WAP State Plan or state-issued guidance may modify the contents of this Manual. Should there be a discrepancy; the most recent guidance would take precedent.

Notice of Enforceability

Ohio’s HWAP includes funds from the U.S. Department of Energy (DOE) and the U.S. Department of Health and Human Services (HHS) Low-Income Home Energy Assistance Program (LIHEAP). HWAP collaborates with a variety of utility-sponsored and other programs to provide comprehensive and cost-effective weatherization services to eligible clients. For the purposes of this Manual, an entity that receives an HWAP grant consisting in whole or in part of funds from DOE or HHS is considered the Grantee for purposes of federal accountability. ODSA enters into grants with individual Grantees to perform HWAP services within specified service areas throughout the state. ODSA also may select Grantees on a temporary or permanent basis to serve specific territories as needed. All dwelling units completed by Grantees, private contractors, partner agencies or any other entity paid with HWAP funds shall comply with all federal regulations including 10 Code of Federal Regulations (CFR) 440 and 2 Code of Federal Regulations (CFR) 200, Ohio Standard Work Specifications (SWS), the Ohio Weatherization Field Guide for installation of measures, this Manual, and any other applicable federal, state and/or local policies pertaining to HWAP as designated in the applicable grant agreement. These above-mentioned requirements shall apply to all installed measures paid in part or in full with HWAP funds. The Grantee is required to comply with all applicable provisions for the HWAP program, unless a waiver is granted in writing by ODSA. Grantees must also ensure that all contractors, partner agencies, and subcontractors performing work comply with all applicable HWAP provisions. Specific provisions of this Manual, the Ohio SWS, and Ohio Weatherization Field Guide subsequently amended or rescinded by administrative, legislative, or judicial action shall not negate the force and effect of the remaining provisions.


Page 3 of 70

Table of Contents A. Grant Application, Budgeting, and Planning Considerations....................................................... 6

1. Grant Application ............................................................................................................................... 6

2. Minimum Production and Average Cost Per Unit ......................................................................... 6

3. Advertisement for Private Contractors ............................................................................................ 7

4. Budget Process .................................................................................................................................. 7

5. Budget Revisions ............................................................................................................................. 10

6. Interest Income ................................................................................................................................. 11

7. Program Income ............................................................................................................................... 11

B. Reporting Requirements ................................................................................................................. 12

2. Quarterly Reports ............................................................................................................................. 13

3. Annual Reports ................................................................................................................................. 13

C. Prior Approvals ............................................................................................................................. 14

1. Procurement ..................................................................................................................................... 14

2. Contracting ........................................................................................................................................ 14

3. Production/Special Projects ........................................................................................................... 14

4. Training .............................................................................................................................................. 14

5. Program Management .................................................................................................................... 14

D. Client Files and Administrative Requirements ......................................................................... 15

1. Standardized Client File .................................................................................................................. 15

2. Client Eligibility and Application Process ..................................................................................... 16

3. Priority for Service Delivery ............................................................................................................ 18

4. Re-Weatherized Units ..................................................................................................................... 19

5. Consumer Education and Follow-Up ............................................................................................ 19

6. Rental Policies .................................................................................................................................. 20

7. Client Complaints and Resolutions ............................................................................................... 27

E. Weatherization Work Flow and Requirements ............................................................................ 28

1. Building Eligibility ............................................................................................................................. 28

2. Building Classifications and Descriptions .................................................................................... 29

3. Initial Assessment ........................................................................................................................... 30

4. Priority Lists of Measures ............................................................................................................... 31

5. Energy Audits ................................................................................................................................... 31


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6. Measure Buy-Down ......................................................................................................................... 32

7. Disallowed Costs/Measures ........................................................................................................... 33

8. Split Measures .................................................................................................................................. 33

9. Change Orders/Additional Work .................................................................................................... 33

10. Lead Safe Work ............................................................................................................................. 34

11. State Historic Preservation ........................................................................................................... 34

12. OSHA and Hazard Communication Plans ................................................................................. 35

13. Deferral of Services ....................................................................................................................... 36

F. Quality Control and Monitoring ....................................................................................................... 38

1. Quality Control Inspector ................................................................................................................ 38

2. Standard Work Specifications ........................................................................................................ 38

3. Final Inspection Requirements ...................................................................................................... 38

4. Grantee Monitoring .......................................................................................................................... 39

G. Training and Technical Assistance ............................................................................................ 43

1. Training and Technical Assistance Funding ................................................................................ 43

2. Ohio Weatherization Training Center ........................................................................................... 43

3. On-site Technical Assistance ......................................................................................................... 44

H. Procurement and Disposition ..................................................................................................... 45

1. General Requirements .................................................................................................................... 45

2. Procurement Methods and Thresholds ........................................................................................ 46

3. Non-Competitive Proposals (Sole Source) .................................................................................. 46

4. Competitive Proposals .................................................................................................................... 46

5. Bid Process ....................................................................................................................................... 48

6. Private Subcontractors .................................................................................................................... 50

7. Vehicle and Equipment Purchases ............................................................................................... 51

8. Disposition of Vehicles, Supplies, and Equipment ..................................................................... 53

I. Vehicles, Equipment, and Property Management ....................................................................... 55

1. Minimum Requirements .................................................................................................................. 55

2. Records and Logs ............................................................................................................................ 55

3. Storage .............................................................................................................................................. 56

4. Sharing Vehicles, Tools, and Equipment ..................................................................................... 56

J. Accounting and Financial Procedures .......................................................................................... 57


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1. Applicable Circulars, Federal Policies, and Standards .............................................................. 57

2. Internal Accounting Controls .......................................................................................................... 57

3. Legal Compliance ............................................................................................................................ 57

K. Progressive Corrective Action ........................................................................................................ 58

1. Causes............................................................................................................................................... 58

2. Continuous Improvement Plan (CIP) ............................................................................................ 58

L. Closeout or Termination of Local HWAP Grantee ...................................................................... 59

1. ODSA Responsibilities ................................................................................................................... 59

2. Grantee Responsibilities ................................................................................................................ 59

3. Emergency Provider ....................................................................................................................... 60

4. Public Hearing ................................................................................................................................. 60

M. Definitions ...................................................................................................................................... 61

N. Attachments .................................................................................................................................. 70

Reference Materials and Websites

Weatherization Assistance Program Technical Assistance Center: www.waptac.org

Weatherization Program Notices and Memorandums, DOE:

http://www.waptac.org/Program-Guidance/2011002D2014-Program-Guidance-

Documents.aspx

HWAP Federal Regulations: http://www.waptac.org/Rules-and-Regulations/Federal-

Regulations.aspx

OCEAN: https://ocean.ohio.gov

Ohio Weatherization Training Center: http://www.coadinc.org/owtc


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A. Grant Application, Budgeting, and Planning Considerations

1. Grant Application

The Home Weatherization Assistance Program (HWAP) Grant Application must be completed in the Ohio Community and Energy Assistance Network (OCEAN) online database by the designated due date each program year. Any outstanding reports due to ODSA must be submitted and approved by ODSA prior to grant approval for the next program year. Funding for the next program year may be delayed to Grantees that fail to submit requirements prior to grant approval. Grantees are required to operate as described in the approved application and signed grant agreement. Changes in the method of operation require a budget revision and prior written approval by ODSA.

2. Minimum Production and Average Cost Per Unit

Grantees are expected to meet a minimum planned production level by county and/or territory as established by ODSA. This minimum production level will be established annually and shared with Grantees prior to submittal of grant applications. Reimbursement of expenditures by ODSA is predicated upon the Grantee meeting or exceeding its production goals each month as established in the approved grant application. The maximum average cost per unit is established at the beginning of each Program Year and that information is disseminated with grant applications. During the year, because of production fluctuations, it is common to see average costs that exceed the maximum on a monthly basis. However, under no circumstances can the maximum average cost per unit be exceeded at the end of the Program Year. Average cost per unit is determined by adding DOE and HHS funds expended for materials and support and dividing those expenditures by the total units completed. The HWAP Units Completed vs Planned Grantee report to track average cost can be accessed through the report launcher function in OCEAN. Production is monitored on an ongoing basis. Quarterly, if any Grantee fails to achieve at least 75 percent of required planned production units year-to-date, reimbursement may be held until 75 percent of planned production units year-to-date are completed. Agencies will be notified when production goals fail to meet this expectation. If the cost per unit exceeds the average, or if the Grantee fails to meet its production requirements, then its performance shall be subject to review. ODSA reserves the right to determine the level of expenditure reimbursement in its absolute discretion within the federal program guidelines and/or Grantee's ability to continue in the program.


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3. Advertisement for Private Contractors

Advertisement for private contractors is required prior to the Program Year for which the contractor will be utilized. This can be accomplished through social media, mailed bid packets, newspaper advertisement or other means as approved by ODSA. To the greatest extent possible, Encouraging Diversity, Growth and Equity (EDGE) and Minority Business Enterprise (MBE) contractors should be given the opportunity to participate in the program.

4. Budget Process

The HWAP budget consists of the following categories:

A. Administration – “Administrative Costs” are those costs which a Grantee incurs that are not in direct support of individual weatherization projects, but are necessary for the organization to operate the HWAP. Please refer to the HWAP Grant Budget Guidelines provided annually in the HWAP grant application for current DOE/HHS administrative allocation caps. Typical expenditures found in this category are wages, fringe benefits and related costs associated with the following functions: executive (not directly installing or supervising the installation of materials), finance/accounting, human resources and planning. Other typical administration cost category expenditures include payroll processing costs, costs to administer health insurance programs, data processing costs, indirect costs as allowable, and bank service fees. As with the other weatherization cost categories, those costs applied to administration must be actual and allowable under applicable Federal regulations. No more than 25 percent of any membership costs may be charged to HWAP.

“Indirect Costs” will be an allowable expenditure only when written approval of the indirect cost rate has been obtained by the Grantee from the Grantee’s cognizant Federal agency. Indirect costs are considered administrative costs. Audit and liability insurance costs may be pro-rated and included in their respective cost categories only if they are NOT already included in the indirect cost pool. Sub-grantees utilizing the 10 percent de minimis indirect cost rate must attach a schedule detailing total direct costs, less any exclusion, multiplied by the de minimis rate, in the Grant Application on the Grant Documents page in OCEAN.

B. Liability Insurance – Types of insurance referenced in the grant agreement must be listed and itemized in this budget category. They include contractor’s liability, completed operations, theft, fire, bonding, Pollution Occurrence, etc. Vehicle liability is not included in this budget category, it should be listed under item G. Support in the Grant Application, G-5 Vehicle Maintenance and Insurance.

C. Single Agency Audit – HWAP’s share of the Single Agency Audit costs are assigned here only if it is not included in the indirect cost rate. An explanation as to how the Single Agency Audit charge was calculated shall be documented (i.e. last year’s cost, percentage to be paid by HWAP, etc.).


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D. Training and Technical Assistance (T&TA) – It is encouraged that all training and

technical assistance funds be budgeted to meet mandatory training requirements. All out-of-state travel must be approved by ODSA and names and titles of staff persons attending must be submitted with the grant application for approval. Administrative staff training must be charged to the administrative category. Support staff training may be charged to the training and technical assistance category. Refer to the annual HWAP grant application budget guidelines for the current DOE T&TA allocation cap.

Unspent T&TA funds may be moved to the materials or support categories via a budget revision at any point in the program year, with ODSA approval. However, once moved from the T&TA budget category (regardless of amount or percentage of budget category), funds may not be moved back. Sub-grantees should use discretion when making changes in this category.

D-1 OWTC Training: Identify per diem amounts and travel costs for staff to attend classes, meetings or seminars at the Ohio Weatherization Training Center. This applies only to support staff, as specified in the definitions section of this manual. D-2 Monitoring: Only Grantees that partner with other non-profit agencies to carry out the work of the grant may charge monitoring salaries and related costs to this Training and Technical Assistance category. Other costs associated with the monitoring of partner agencies charged to this category are subject to ODSA approval. D-3 Supplemental Training: In each subcategory, budget all the costs associated with the particular heading, including registration, travel, and per diem costs. Please note: training charged to this budget category must be for staff paid from the HWAP support category and must directly relate to the person’s HWAP job. Any such training must be identified specifically enough to allow ODSA to determine the appropriateness of the training. General management and administrative training for staff not eligible to be paid from the support category cannot be charged to this category, but may be charged to the administration category. D-4 Training Materials, OSHA Training: Funds may be budgeted here to pay for training materials and to pay for training and testing for staff necessary to comply with OSHA requirements. D-5 Training Oversight Salary Offset: Up to 10 percent of salary and fringes for one staff person who is responsible for ensuring that training requirements and needs are met and conducts basic in-house training. The person designated must have the skills necessary to conduct trainings and must have completed an approved "Train the Trainer" course.

E. Health and Safety – Costs for Health and Safety measures are reviewed annually by

ODSA and maximum allowable costs are announced with the grant application. Agencies may budget up to the allowable maximum. OCEAN will not allow agencies to budget more than the allowed maximum Health and Safety funding for the program. Eligible costs under this category include: salaries and fringes for staff time spent abating health and safety hazards, contractor labor for time spent abating health and safety hazards, and materials related to health and safety measures. Refer to the


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annual HWAP grant application budget guidelines for current DOE/HHS health and safety allocation caps.

F. Materials – Identify the total amount budgeted for weatherization materials. Materials must meet the requirements listed in 10 CFR 440, Appendix A or be used for incidental repairs as defined in 10 CFR 440.3. The grant may only be charged for materials actually installed in homes. Please note: health and safety materials must be charged to the Health and Safety category. Refer to the annual HWAP grant application budget guidelines for current DOE/HHS materials allocation.

G. Support – Breakdown of this category is as follows:

G-1 Labor: Support staff persons are defined as staff that performs specific HWAP duties including inspections, the installation of materials, and supervision or direct support (scheduling of appointments, coordinating jobs and work orders, etc.) of those who install materials or perform inspections. This category includes initial inspectors, quality assurance persons, field supervisors, private contractors and crew personnel who are engaged in handling and installing materials. Only the percentage of time spent on these functions may be charged to the Support category. Salaries of administrative staff (Executive Director, Planner, Fiscal, etc.) may not be paid from the support labor category. Job descriptions must correctly reflect assigned HWAP duties. Refer to the annual HWAP grant budget guidelines for current DOE/HHS Support allocation limits.

Support-Labor category expenditures are limited to those defined in 10 CFR 440.19 including: Payments to employ on-site laborers; or Payments to engage contractors to install weatherization materials including:

– Payments to sub-contractors – Salaries and fringes of crew members; and – Salaries and fringes of crew leaders who actually install weatherization

materials in dwelling units.

**Please note that fringes must be charged to the funding source from which the salaries are paid. Indirect Costs may not be charged to the Support budget category. All Indirect Costs must be charged to the administrative budget category. If costs are allocated to “Salary Enhancements,” a plan must be attached to the grant with explanation and details of how the enhancements will be assigned. Salary Enhancements are only available for staff paid from the Support Category who exceed program goals as outlined in the plan and in their job descriptions.

G-2 Transportation to Job: This category is specifically for the cost of transportation to/from the job site. Other transportation costs CANNOT be charged to this category. G-3 Purchase/Lease of Tools/Vehicles: Purchase or lease of tools or vehicles is only allowable using HHS funds. The tools purchased or leased in this category must be directly related to the work done on units. This category cannot be used to purchase office-related equipment, including furniture. Prior approval is needed for all vehicle


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purchases regardless of cost and for purchases of tools costing more than $5,000 (single item or aggregate purchase). Computers assigned to support staff may be charged to this category and must be cost-shared proportionate to the salary cost-share for the individual. G-4 Maintenance of Tools: Cost of repairing/maintaining Tools and Equipment which are allowable to be purchased or leased in category G.3. G-5 Vehicle Maintenance and Insurance: Vehicle tune-ups, general and body repair, supplies, oil, filters, etc., insurance, license plates are charged to this category. G-6 Storage/Operating Costs: The costs of space rent for HWAP support staff, utilities, building maintenance, phone, copying and supplies may be charged to this category. Charges are only for space occupied by staff that meet the definition of HWAP Support Staff and who are engaged in handling and installing materials. Annual maintenance charges for HWAP-specific computer software may be charged within this cost category. Annual fees for accounting software are considered Administrative Costs and may not be charged to this category.

Grantees are expected to operate within the amounts budgeted for each category. Changes, such as shifting funds between budget categories, cannot be made without written approval from ODSA. Some categories (i.e. Support) have sub-categories. Funds may be moved from one sub-category to another sub-category within the same category without written approval. However, indirect and direct administrative funds cannot be moved between these sub-categories. Grantees shall follow Generally Accepted Accounting Procedures (GAAP) which sufficiently and properly reflects all costs incurred by Grantee. Grantees shall manage all funds received through Weatherization funding sources in accordance with 2 CFR 200. Expenses charged against the grant funds shall not be incurred by the Grantee except during the terms of the Grant Agreement (no expenditures outside the grant period), and may be incurred only as necessary in the performance of the work and activities allowable by the DOE and HHS weatherization programs. All expenses incurred for the work and activities must be supported by approved contracts, invoices, or other evidence of liability consistent with established procurement procedures. Grantees shall require delivery before payment is made for purchased goods, equipment, or services. The Grantor shall determine the disposition of any and all project assets at the termination of the Grant Agreement.

5. Budget Revisions

Budget Revisions are allowable and must be completed in OCEAN by Grantees. Below are general requirements and planning considerations for budget revisions: Providers must operate within the amounts in each category on the current approved

Financial Reimbursement Request unless prior written approval is received from ODSA.

Charges for shared space or equipment shall be allocated by program and are in accordance with 2 CFR 200.


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Providers may make changes to sub-categories of a category without ODSA approval.

6. Interest Income Interest income is income earned on advances of program funds. Grantees shall maintain unspent advance balances in interest bearing accounts. The accounts shall be liquid and carry no penalty for early withdrawal.

Interest shall be allocated to the appropriate weatherization funding source based on the advance funding at the time the interest was earned. Grantees shall report interest earned on the Quarterly Earned Income Report.

To the extent possible, interest earned after June 30 of any Program Year, but associated with that year’s contract shall be included in the closeout report. Any necessary amendments to the interest reported in the closeout may be conveyed to the weatherization section supervisor by email.

Grantees may retain up to $500 of interest income for all federal funds. The HWAP share of interest income must be returned to ODSA.

7. Program Income

Prior approval is required for any expenditure of program income. Grantees will estimate and request anticipated program income earnings/expenditures with the grant application each program year. Revisions may be necessary should the estimated amount of program income change during the program year. Program income must be spent prior to program funds as it is earned throughout the program year. Grantees must certify annually that all program income is spent at the close of the program year. Under no circumstances can program income be carried over into the following program pear. Grantees shall report Program Income earned/expended on the Quarterly Earned Income Report.

Per 2 CFR 200.80, Program Income is defined as gross income received by Grantee directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. The grant period is the time between the effective date of the award and the ending date of the award reflected in the final financial report. Program income includes but is not limited to income from fees for services performed, the use or rental or real or personal property acquired under Federal awards, the sale of commodities or items fabricated under a Federal award, license fees and royalties on patents and copyrights, and principal and interest on loans made with Federal award funds. Interest earned on advances of Federal funds is not Program Income.


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B. Reporting Requirements

Submitting timely and accurate financial and production reports is required in Exhibit II of the grant agreement. There are a number of HWAP reports required on a monthly, quarterly, and annual basis. Monthly reports fall into two categories: Production Reports and Financial Reimbursement Requests. The Production Reports provide ODSA with information to analyze individual agency and statewide performance on a monthly and cumulative basis. Production Reports must accurately reflect activity occurring during the period. The Financial Reimbursement Requests are used by the Grantees to draw down funds from ODSA. They must accurately reflect financial activity (expenditures and actual obligations) for the reporting period. Financial Reimbursement Requests will not be paid if Production Reports have not been submitted in OCEAN. Quarterly and Final program reports are fiscal in nature and must provide information to track activities and to close out the grant period.

The reports are identified, and the due dates for each are listed in the Grant Agreement. This chapter reiterates the reports, their due dates, and a brief description of each report. Should there be a discrepancy, please follow the reporting requirements as outlined in your Grant Agreement. When required to be mailed, reports should be sent to the following address, unless otherwise specified by ODSA:

Ohio Development Services Agency Office of Community Assistance 77 South High Street, 25th Floor P.O. Box 1001 Columbus, Ohio 43216-1001 Grantees unable to meet the deadline for any report must request an extension in advance. Extension requests must be made in writing (email is acceptable).

1. Monthly Reports

The following reports must be received electronically by ODSA by 5 p.m. of the tenth day following the end of each month until all grant funds are expended or the Agreement terminates. If the tenth day falls on a weekend or state holiday, reports are due by 5 p.m. the next business day. All report forms must be completed according to the instructions. All reports must be submitted on the forms provided by ODSA.

HWAP Financial Reimbursement Request (OCA Form 704) is to be prepared using Excel and submitted electronically via email, whether or not costs are incurred.

HWAP Financial Reimbursement Request (OCA Form 707) is to be prepared and

submitted electronically using OCEAN, whether or not costs are incurred. Monthly Production Report is to be prepared and submitted electronically using

OCEAN, even if no production occurred. The following reports also are required and must be entered/submitted in OCEAN: One Single-Family Building Weatherization Report (BWR-S) must be submitted for

each single-family dwelling unit reported as complete for the month.


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One Multi-Family Building Weatherization Report (BWR-M) must be submitted for each multi-unit building reported as complete for the month.

One Revised Building Weatherization Report (BWR-R) must be submitted for

additional work done on units previously reported as complete.

One signed Quality Control Inspector (QCI) Checklist and one signed Final Certification form must be uploaded to OCEAN for each unit reported as complete for the month.

Additionally, the Ohio Weatherization Training Center (OWTC) shall provide monthly reports on attendance, class details, and other training activity as defined in the Grant Agreement.

2. Quarterly Reports The following quarterly report must be electronically received by ODSA by the dates specified in the Grant Agreement or as determined by ODSA. All report forms must be completed according to the instructions as provided by ODSA.

One copy of the quarterly Earned Income Report (CSD – 314 EI). One copy, with original signature, of a final Quarterly Grantee Earned Income Report

(CSD-314 EI) for income earned prior to the current Program Year. This report is due no later than August 20 for the Program Year which ended June 30. Any interest earned minus the allowed retention amount must be mailed no later than September 10 for the Program Year which ended June 30. Checks must be made payable to the Department of Health and Human Services, reference the grant number and be sent to: Department of Health and Human Services Payment Management System Rockville, Maryland 20852

3. Annual Reports

The following annual report must be electronically received by ODSA by the date specified in the Grant Agreement or as determined by ODSA. All report forms must be completed according to the instructions as provided by ODSA. One copy, with original signature, of a final Financial Reimbursement Request (OCA

Form 704). No budget categories may be overspent on the final financial report. This report is due no later than August 20 for the Program Year which ended June 30. Any refunds due must be mailed at this time. Checks must be made payable to the Treasurer, State of Ohio, reference the grant number, and be sent to:

Ohio Development Services Agency Office of Budget and Finance P.O. Box 16565 Columbus, Ohio 43216-65


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C. Prior Approvals

Prior written approval from ODSA is required for purchases not specifically approved during the grant application process. If complete information is not submitted by this date, it is likely that the purchase will not be approved prior to the start of the next Program Year, and therefore the purchase would have to be made with funds allocated in the next grant cycle. Prior approval also is required in the following instances:

1. Procurement

To purchase any equipment or service with a unit acquisition cost of $5,000 or more; Any vehicle lease with the option to purchase; Regardless of cost, any purchase of vehicles; or Any procurement involving non-competitive negotiation

2. Contracting

To contract for any HWAP service (including but not limited to weatherization work, heating work, and inspections).

3. Production/Special Projects

Any multi-family project with five or more units; Weatherization of a condo as an isolated, single family structure; More than 20 percent of a Grantee’s total production for the program year will consist

of multi-family dwellings; Weatherization of a shelter where names and applications (income documentation) are

not being sought; Vacant multi-family properties being completed in conjunction with a federal or state

rehabilitation program; Fuel switching; All multi-family energy audits with five or more units; or Prior to any use of funds on a home where the date of work exceeds one year past the

final inspection date.

4. Training

To enroll or attend any course that is offered through the OWTC but completed through another entity; or

To attend any out-of-state conference or travel.

5. Program Management

Any expenditure of Program Income (requested with grant application); Any change in key personnel (Energy Coordinator or other key personnel to the overall

management and operations of the program); Any change in scope or objective, even if the budget does not change; Disengagement from the project is more than three months or 25 percent reduction in

time on the project by the Energy Coordinator; or To implement a salary enhancement plan.


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D. Client Files and Administrative Requirements

1. Standardized Client File

ODSA requires Grantees to use a standardized client file system for HWAP. Files for completed units must be segmented into the following sections:

Financial Information Data Collection Intake Additional Information

Grantees will be required to organize administrative files for HWAP clients in the following order from the front of the file to the back. All forms are required if applicable:

Attach to Front-Inside Cover of File: Digital Photo CD or Hard Copy Photos Completed Administrative File Checklist Form Financial Information OCEAN Building Weatherization Report (BWR) BWR Revision(s) Final Inspection - QCI Checklist and QCI Certification Form Contractor Invoices/Health and Safety Purchase Orders Daily Logs/Timesheets Job Cost Report/Materials List

Data Collection Data Collection Form Worst Case Draft forms ASHRAE Indoor Ventilation Calculations Manual J form Energy Audits (List of Recommended Measures) Priority List of Measures for the Appropriate Housing Type Work Order/Proceed Order, Change Order Mold Assessment and Release Form Lead Notification Form Certified Lead Renovator License Lead Certification Checklist State Historic Preservation Form Certificate of Insulation Permits

Intake OCEAN Client Application Income Eligibility Documentation/Re-verification after 12 months Proof of Ownership (Title, Deed) Priority for Service Delivery EIA-29D (Homeowner Authorization Form) Owner/Tenant/Agency Agreement (OTAA) Landlord Contribution, if applicable Consumer Education/Energy Savers Partnership Plan Form


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ASHRAE Notification Form Additional Information Client Satisfaction Form Follow-Up Form Leveraged Funds* Deferral Form Correspondence (letters, case notes, explanations)

*Most Grantees also leverage HWAP services with other funds (utility funds, home repair grants, etc.). When leveraged funds are used, documentation of the measures performed as well as the amount paid or reimbursed to the Grantee must be included in the file. If additional paperwork is required for these programs, please keep it segmented separately in the back of the HWAP client folder. Leveraged funds must be entered on the Building Weatherization Report in OCEAN for every job where the leveraged funds are used to supplement measures allowed by the U.S. Department of Energy/Health and Human Services (DOE/HHS) program.

In addition to the items listed above, Grantees must also sign the Administrative File Checklist certifying that the job and the file is complete. Providers may use any type of folder; however, the order of forms, as described above, must be consistent in all client folders. For multi-family units, insert multiple copies of required documentation only when needed. Documentation is required to substantiate all job costs, including the costs recorded on the BWR (daily logs, invoices, etc.).

2. Client Eligibility and Application Process

Before a client can be served by HWAP, the Grantee must:

Verify and document income eligibility Complete the HWAP application in OCEAN Notify client of eligibility or ineligibility within 60 days of obtaining complete

application and income information Determine applicant's priority for service delivery status

Limit on weatherization application in 12-month period

No persons older than age 18 included in a weatherization application may be approved for services for 12 months following the date of final inspection for weatherization on additional unit(s) owned by the same landlord/homeowner.

In the case of a natural disaster or other unforeseen event (e.g. flood, fire, tornado damage) that necessitates provision of services to the same client within a 12-month period, a waiver may be issued by ODSA. This waiver will be required to be placed in the client file as documentation of the request and reasons for allowing such a waiver. In such cases, specific permission will also be granted in OCEAN to add the client record and capture the job.


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Categorical Eligibility vs. Traditional Eligibility

All dwelling units to be weatherized shall be determined eligible in such a manner to ensure that each weatherized unit meets the qualifications of 10 CFR 440.22, ‘Eligible Dwelling Units.’ All income eligibility shall be documented and will be subject to examination by ODSA, U.S. Department of Energy (DOE), and the Comptroller General of the United States and/or their designated representatives. All persons 18 and older must provide client eligibility documentation or provide a notarized self-declaration of income (see below). Client eligibility may be categorical or traditional, as defined below.

Categorical Eligibility

Categorical eligibility applies when one or more persons living in the unit has received cash assistance payments under Title IV or XVI of the Social Security Act or applicable state or local law at any time during the 12-month period preceding the determination of eligibility for weatherization; or one or more persons in the unit is eligible for assistance under the Low-Income Home Energy Assistance Act of 1981. Proof of categorical eligibility is required in these cases (SSI, TANF, or HEAP documentation).

Traditional Eligibility

Traditional eligibility applies to any household whose income is at or below 200 percent of the federal poverty level, as determined in accordance with criteria established by the Director of the Office of Management and Budget for the 12-months preceding application. Twelve months’ proof of all sources of household income are required to determine eligibility in these cases.

Self-Declarations Self-declarations of income must be notarized and are only allowable if no income is earned or received by the household member, or no other form of written documentation is applicable (e.g. paid in cash, no W-2 or paystubs are issued). This is required for any member of the household 18 years of age or older that does not earn or receive income (e.g. adult child of primary residents, stay-at-home parent, etc.).

Appeals Procedures

Grantees are responsible for developing and enforcing application appeals procedures. The client eligibility appeals procedure must be prominently posted in a common area accessible to clients. It is also good practice to list the appeals procedure and/or contact person in the determination letter for all clients deemed ineligible.

Weatherization of Grantee Employee’s Home

If an employee of an HWAP grantee qualifies for services, the household may receive the full benefit with the following restrictions:

The employee may not process or in any way approve the application for services,

The employee may not be given higher priority than any other potential client,

The employee shall not be allowed to supervise or in any way direct the work

performed on the home,


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The employee shall not perform any of the work on their home, including the initial and

final inspection, and

Written approval by the Executive Director of the agency is required prior to completing

any work on the home of an employee.

3. Priority for Service Delivery

Applicants meeting the following criteria shall be prioritized as required by 10 CFR 440.16 and the U.S. Department of Energy (DOE):

Elderly person(s)

Disabled person(s)

Dependent child(ren) in the home

High energy burden households

High energy user households

Eligible applicants meeting one or more of the DOE priorities for service delivery as described above shall be considered "Priority Applicants". Eligible applicants that do not meet one or more of the DOE priorities for service delivery shall be considered "Traditional Applicants". All eligible applicants will be placed on the wait list for the county in which they reside. Priority Applicants will be placed on the wait list ahead of Traditional Applicants and ordered by eligibility date (oldest to newest). Under no circumstances shall a Traditional Applicant be served before a Priority Applicant, as long as there are Priority Applicants waiting for service within that territory.

Priority Applicants (or Traditional Applicants if there are no Priority Applicants waiting for service) shall be selected for service based on oldest eligibility date for the first 25 percent (rounded up) of goal units per county. Carryover units, defined as units with an initial inspection date that falls outside of the program year in which the unit was completed/reported, although included in the overall unit count for the Grantee, shall not be counted towards the 25 percent requirement. ODSA recognizes that in some instances, in order to avoid a disruption of production, applicants must be selected, scheduled for service, and inspected while work on the first 25 percent is still in-progress. Once the 25 percent requirement for a particular county has been met (or is anticipated to be met based on current in-progress units), the remaining units for that county may be selected for service from the Priority Applicant pool (or Traditional Applicant pool if no Priority applicants exist) based on the secondary priority criteria identified in the grant application. Grantees may not choose secondary criteria that are discriminatory in nature or that are not aligned with the established DOE criteria. Once the grant application has been approved, Grantees may not deviate from their approved secondary priority criteria for a particular territory without prior, written ODSA approval.

In the event that an in-progress job originally anticipated to be counted towards the 25 percent requirement is deferred or not completed for any reason, the Grantee must select the next eligible applicant based on oldest eligibility date from the appropriate wait list as a replacement unit. At a minimum, 25 percent of the units completed within the program year for each county must be selected for service based on earliest eligibility date. Grantees that exhibit a pattern of skipping Priority applicants without proper documentation detailing the reason and/or attempts at contacting the client or who prioritize their secondary criteria ahead of the DOE criteria will be considered out of compliance.


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In the event that a Grantee has not yet met the minimum 25 percent requirement for a county/service territory but wishes to serve a client not yet eligible for service based on their application date, a completed Priority Waiver Request form may be submitted to the assigned Administrative Monitor.

The designation for high energy burden and high energy usage is assigned to any household at or below 175 percent of the Federal Poverty Level. As income is reduced, the financial burden of high energy costs is amplified. Children are defined as individuals aged 18 and under. Elderly is described as aged 60 or older. Clients who have been prioritized for service and then deferred at the initial inspection should enter at the top of the wait list when repairs or other work is completed to the home. Multi-family structures containing five or more units fall outside of the Priority for Service Delivery policy and are approved on a case-by-case basis. When Grantees receive applications for structures containing two to four units and any one of the applications reaches the top of the wait list, all eligible units within the structure should be given the same level of priority so that the building may be weatherized. Clients eligible for re-weatherization should not be prioritized for service delivery before any client who has not previously been served.

4. Re-Weatherized Units

Units weatherized after September 30, 1994 (or the designated re-weatherization date in the State Plan) may not be re-weatherized. Units weatherized prior to this date may be weatherized only with a valid energy audit. Clients eligible for re-weatherization should not be prioritized for service delivery before any client who has not previously been served.

5. Consumer Education and Follow-Up

All clients served through HWAP must receive consumer education. Ohio's consumer education goal is to empower HWAP recipients to take specific actions that will result in increased control of their energy consumption, energy costs, and comfort. To achieve this goal, HWAP providers will implement a comprehensive consumer education program which provides one-on-one energy education counseling to HWAP recipients. The consumer educator should: Meet with the consumer in his/her home and complete a Home Visit Survey. This

should be done in conjunction with the initial weatherization audit. Talk with the consumer and use data, case histories, and/or personal stories of other

HWAP recipients who have saved money by conserving energy. Work with the consumer to identify his/her energy conservation practices that have a

negative impact on his/her energy savings in order to get the consumer to initiate


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behavioral changes to eliminate those practices. The consumer educator will listen to the consumer’s ideas of energy usage and concentrate recommendations on these areas of interest.

Educate the consumer on how to maintain the installed weatherization measures. Work with the consumer, using the Energy Savers Partnership Plan, to develop a list

of three to five action steps that the consumer agrees to do to reduce energy consumption.

Assess the consumer’s situation to determine if a referral to other services would be

appropriate. Provide the consumer with appropriate written energy conservation information.

Review the action steps from the Energy Savings Partnership Plan at the time of the

final audit.

Review the owner’s manual(s) on any new equipment installed in the home. As a result of the one-on-one energy education counseling, the HWAP recipient will be able to: See himself/herself as a partner in the weatherization process;

Understand what energy conservation measures will be installed in his/her home and

the reasons for the installation of the measures; Maintain the weatherization Materials installed in his/her home;

See himself/herself as an energy saver; and

Lower his/her utility bills.

Consumer education follow-up should be initiated by the Grantee three to six months after weatherization services have been completed in order to ascertain what progress the consumer has made in reducing energy usage and to reinforce positive actions the consumer has taken to reduce his/her energy use. The follow-up can be completed by mail, phone, or a personal visit to the consumer. Grantees should attempt follow-up with all clients, but are required to successfully complete and document follow-up with at least 25 percent of all clients served within any given Program Year. Grantees must develop their own forms and procedures for completing and documenting consumer education follow-up.

6. Rental Policies

As required by 10 CFR 440.22(b), Grantees may weatherize a structure containing rental units eligible for weatherization. Special conditions and permissions apply to multi-family structures. Grantees shall refer to the section titled: Multi-Family Building Eligibility Requirements.


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With any rental property (multi-family or not) in which the tenants do not directly pay for their own utilities, the Grantee must demonstrate and document in the client file how the benefits of the weatherization work will accrue primarily to the low-income tenants as required by 10 CFR 440.22(b)(3)(i)). In those instances, benefits may include, but are not limited to, establishment of a shared savings program, long term preservation of the property as affordable housing, additional improvements not related to weatherization to improve the comfort of residents, or investment of the energy savings in facilities or services that offer measurable and direct benefits to the tenants. Generic assertions such as “tenant services will be improved” or “weatherization will improve health and safety” are not sufficient to demonstrate that the accrual of benefits requirement is met. If the accrual of benefits cannot be documented, the job must be deferred. Combustion appliances (in all units) must be tested to ensure that no health and safety problems exist. If problems are detected in the combustion appliances of ineligible units, it is the complete responsibility of the owner/authorized agent to remedy the problem prior to weatherization activities beginning. Work performed in common areas in multi-family buildings shall be limited to measures that protect or enhance the performance of the measures completed on the individual units. Units weatherized under the HUD/DOE agreement would be exempt from a contribution. Units weatherized under the HUD/DOE agreement also do not require individual proof of client eligibility. A letter from the authorized agent substantiating the eligibility of the tenants and proof that the property is on the HUD/DOE list of approved properties will suffice as documentation of client eligibility in the file.

In addition, Grantees are required to collect and report priority demographic data per unit weatherized in the Ohio Community Energy Assistance Network (OCEAN). Priority demographics include the number of elderly occupants, the number of disabled occupants, the number of children, and an indication of units that are considered to have high energy use or burden. Commercial Space

Commercial space in an otherwise residential building is not eligible except for the common areas and common mechanical equipment shared by the commercial tenants and qualified residential occupants (e.g., a central HVAC system, a common lobby or common hallway). Owner contribution, as a percentage of the cost of weatherizing the common areas, must be equal to or greater than the commercial use percentage of the total floor area. Determining Ownership Ownership of the structure to be weatherized must be verified and documented in the client file before weatherization work begins in order to determine if the rental policies apply. Homeowners can be identified using the county auditor’s website, deed, or title (for manufactured homes). If the homeowner(s), as identified using the auditor’s website, deed, or title, does not currently reside in the home, the home is considered a rental, regardless of whether or not rent is paid. Homes with a land contract that is filed with the county auditor’s office are treated as owned, not rented. If the land contract is not registered with the county auditor’s office, the structure is considered a rental and the rental policies listed in this section apply.


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Homes designated in a trust must be treated according to the following procedures: HOMEOWNER: If any eligible person age 18 or older is listed on the HWAP

application and is named in the trust as the trustor/trustee, the job must be treated as an owned property. Completed EIA-29D forms are required from all parties listed in the trust granting permission from all owners to conduct the weatherization. No contribution is required.

RENTAL: If any person age 18 or older is listed on the HWAP application and is not

named in the trust as the trustor/trustee, the job must be treated as a rental. Completed EIA-29D forms are required from all parties listed in the trust granting permission from all owners to conduct the weatherization. A landlord contribution may be required per the guidelines established in this section.

Permission of Owner or Authorized Agent If the structure to be weatherized is determined to be a rental, the first step in the process is to obtain the written permission of the owner/authorized agent. Reluctance on the part of the owner to participate in the program can be a difficult problem to overcome. However, the negotiation process that takes place at this point should emphasize all possible expenditures as an investment in the property. Keep records of all contacts with the tenant and the owner. Often, initial problems can be minimized by approaching the owner with a presentation of the benefits of the services, an estimate of potential costs (if any), and by carefully detailing all steps involved. However, if the rental property is a multi-family building, a vacant building, a partially occupied building, or a Group Home, the Grantee would first need to determine if the building meets the eligibility requirements. Multi-Family Building Eligibility Requirements Weatherization regulations currently permit the weatherization of a multi-family building if at least 66 percent of the units are occupied by income eligible households. An exception is made for two and four-unit buildings, where only 50 percent of the households must meet income eligibility requirements. If the building does not meet the eligibility requirements, the building is not eligible. No work can be performed. In an effort to prevent unfinished large projects prior to the end of the Program Year, ODSA will not grant approval for any project that is greater than 20 units to be initiated after January 1. When multi-family dwelling units will represent more than 20 percent of a Grantee’s production for any program year, prior written ODSA approval is required. Except when using the HUD/USDA lists, the Grantee must collect income information on a unit-by-unit basis to ensure at least 66 percent (or 50 percent for duplexes and four-unit buildings and “certain eligible types of large multifamily” buildings) of the occupants in a five or more unit building are eligible for service.


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All units completed in an eligible multi-family building are reported, regardless of occupant income eligibility. For example, in a 100-unit building with 66 income-eligible units, all 100 units are eligible for all services and all 100 units are reported as completions. Demographics must be reported from all 100 units counted as completions (vacant units would have all zeros, over-income units should have demographics, sometimes collected from landlord, and a notation in the file that they are not included in the eligibility of the building, therefore the application documents are not present). Rental Unit Investment The HWAP regulations and DOE policy do not require a minimum investment per unit. DOE does require that for a unit to be counted as a completion an Energy Conservation Measure (ECM) must have been installed. An ECM in a common area or a common system ECM (e.g. HVAC, domestic hot water) indirectly affecting a unit, qualifies the unit to count as a completion even if another ECM is not installed within the unit.

Average Cost Per Unit in Multifamily Dwellings Duplexes, three and four-unit buildings, and buildings with more than five units are all considered multi-family buildings for the purposes of eligibility (and subsequently, in the reporting of units). The WAP statutory authority and regulations require that on average the cost per dwelling unit for all eligible dwelling units within the state during a program year does not exceed $6,500 (adjusted annually). This allows for a Grantee to sometimes spend less than and sometimes spend more than $6,500 (adjusted annually) on an eligible dwelling unit. The weatherization work can result in improvements to all units in the building, even those that are not income-eligible but qualify for the program because the building qualifies (at least 50 percent or 66 percent of the building is income eligible, depending on the building). In the reporting, all units should be reported in the respective multifamily category. The following example illustrates the maximum allowable expenditure for a multifamily building where 70 percent of the units are income-eligible:

Average Cost per Unit (ACPU) is $7,105. 10 unit multifamily building with 7 income-eligible units The allowable expenditure for the building would be $ 7,105 per eligible unit or $49,735 (10units x 0.7 x $7,105 = $49,735)

Vacant Unit Eligibility

If the building qualifies for HWAP, the vacant units should receive HWAP services per the energy audit. Completely vacant multi-family buildings may not be weatherized.

A vacant unit may be counted as eligible if it will become income-eligible within 180 days under a federal, state or local government program for rehabilitating the building or making similar improvements to the building (CFR 440.22(b)(2)(ii)). In the event a vacant unit is counted as an eligible unit but is then occupied by an ineligible family, the project becomes disallowed if the minimum eligibility requirements for the building as a whole, set forth in 10 CFR 440.22, are not met.

Group Homes and Shelters


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Group Homes and Shelters may be weatherized using HWAP funds. However, the eligibility of a particular Group Home or Shelter is dependent on the "Definitions" section listed in the 10 CFR 440 regulations. The definitions used to determine Group Home or Shelter eligibility include: Family Unit, Dwelling Unit, and Separate Living Quarters. Each is defined as follows: Family Unit – all persons living together in a Dwelling Unit.

Dwelling Unit – a house, including a stationary mobile home, an apartment, a group of

rooms, or a single room occupied as Separate Living Quarters. Separate Living Quarters – living quarters in which the occupants do not live and eat

with any other persons in the structure and which have either (1) direct access from the outside of the building or through a common hall or (2) complete kitchen facilities for the exclusive use of the occupants. The occupants may be a single family, one person living alone, two or more families living together, or any other group of related or unrelated persons who share living arrangements. This includes shelters for homeless persons.

The following guidelines shall be used for determining eligibility of and requirements for Group Homes and Shelters:

Group Home A group home is a dwelling unit in which three or more people, not related by blood or marriage, are residing in a single unit, not owned by a government agency, where eating facilities are shared. In addition, a group home must have a clearly definable identity that distinguishes it from more informal, family-type settings; for example, a residence for persons with developmental disabilities. To determine the appropriate number of units to report for group homes, Grantees may either count each 800-square-feet as a unit or each floor of the structure as a unit. Shelter A shelter is a dwelling unit or units whose principal purpose is to house, on a temporary basis, individuals who may or may not be related to one another and who are not living in nursing homes, prisons, or similar institutional care facilities. In order to protect the privacy of the individuals, no individual names of persons within the home or incomes should be requested during the application process. Because shelters are normally temporary housing or may be used for occupants’ safety and wellbeing, it is not imperative to know the tenants name or income. Prior approval by ODSA is required to weatherize a shelter.

To determine the appropriate number of units to report for shelters, Grantees may either count each 800-square-feet as a unit or each floor of the structure as a unit.

Examples


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The following are examples of how to determine eligibility, allowable expenses, and the number of completed units for group homes and shelters. Such determinations will be made on a case-by-case basis. EXAMPLE 1 - ABC Group Home is occupied by six residents. The group home

consists of a kitchen, living room, dining room, bath, and three bedrooms.

Based on the definitions of separate living quarters, the ABC group home must be weatherized as one unit. The residents are considered a Family Unit living in a single-family home. The ABC group home is subject to any limits or restrictions placed on single-family units, and the aggregate income of the residents must not exceed the poverty income guidelines for a family of six, or one of the residents must receive TANF, SSI, or HEAP.

EXAMPLE 2 - XYZ group home is located in a large building consisting of 20

bedrooms with individual bathrooms and a large common recreation area, dining room, and kitchen. Each bedroom is occupied by either one or two persons. All of the residents eat together in the common dining room. All residents are by definition low-income and the state subsidizes the maintenance of the residence.

While the XYZ Group Home has the appearance of a multi-family building, it does meet the definition of a Group Home but may be counted as a multi-family dwelling unit. The number of units may be calculated by considering each 800-square-feet as a unit or each floor of the group home as a unit.

EXAMPLE 3 – metropolitan area homeless shelter is located on the top floor of the

local YMCA Family Activity Center. The floor area equals 32,000-square-feet. All residents are temporary, there are no individual sleeping rooms and there are no kitchen facilities.

Metropolitan area homeless shelter meets the definition of a shelter. The number of units may be calculated by considering each 800-square-feet as a unit or each floor of the shelter as a unit.

Applications for HWAP services from Group Homes or Shelters should be prioritized in the same manner as applications from other rental units. Applications for Group Homes should list all persons living within the home and their incomes. Investments by the Owner/Authorized Agent Owners/Authorized Agents of multi-family structures may be required to make a financial contribution in some situations. In all cases, the Owner/Authorized Agent of a multi-family structure should be made aware of their possible financial contribution before the initial inspection begins. This section details the policies regarding Owner/Authorized Agent contributions on weatherized structures. Please note that more than one type of investment may be required, depending on the occupancy/eligibility. Owners/Authorized Agents who are income eligible for HWAP services are not required to provide a contribution. Documentation of Owner/Authorized Agent income eligibility must be included in the client file.


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Health and Safety Investment All combustion appliances in homes receiving HWAP services must be tested for safety (including those within eligible units, ineligible units, and common areas in the case of a multi-family structure). If health and safety problems are found in multi-family structures, an investment by the Owner/Authorized Agent is required. The health and safety investment requirements are detailed below. If health and safety problems are found in ineligible units, vacant units, or common areas in a multi-family structure containing two or more units, the Owner/Authorized Agent must pay 100 percent of the material and labor costs to abate the health and safety problems. A contribution is not required for smoke alarms or carbon monoxide alarms as the cost per unit is nominal. It should also be noted that a contribution is not required if the property is included on or is eligible to be included on the U.S. Department of Housing and Urban Development (HUD) list of eligible properties. All health and safety work performed on units whether eligible, ineligible, vacant, or in common areas, must pass inspection before any weatherization work takes place. Accounting for and Using Owner/Authorized Agent Contributions Owner/Authorized Agent contributions are considered a reduction of expenses and must be used to cover a portion of the cost of the weatherization activity or remediation of the health and safety problem. Owner/Authorized Agent contributions must be tracked as Leveraged Funds and included on the Building Weatherization Report (BWR) “Leveraged Funding” tab. The investment can take the form of cash or an in-kind contribution that benefits the tenant. The Owner/Authorized Agent should be given a choice. In-kind contributions are repairs performed within a one year period prior to the start of weatherization activities, that will allow energy conservation measures to be installed (i.e. roof repairs to allow attic insulation, heating system replacements, energy efficient window replacements, energy star appliances, etc.). Upgrades such as countertops, carpeting, or cabinetry are not considered in-kind contributions. Owner/Tenant/Authorized Agent Agreement

When using HWAP funds to weatherize any rental property, Grantees must ensure that the following requirements are met: Rent shall not be raised unless the increases are demonstrably related to matters

other than the weatherization assistance provided through HWAP. Procedures must be in place to enforce this requirement;

No undue or excessive enhancement shall occur to increase the value of the dwelling units;

The investment in the building is secured against sale and the unlawful eviction of tenants; and

The benefits of the weatherization will accrue primarily to eligible tenants.


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To ensure compliance with these requirements, HWAP providers are required to have the Owner/Authorized Agent and the tenant sign an agreement, which describes the terms under which the weatherization work will be completed. This agreement is called the Owner Tenant Agency Agreement (OTAA). The Owner Tenant Agency Agreement must be signed by the Owner/Authorized Agent, the tenant, and a representative of the agency because they each have responsibilities under the agreement. Template agreements are included as attachments to this Manual. Grantees may use their own versions of an agreement provided that it complies with all applicable policies and procedures regarding rentals as described in this manual and/or any other applicable policies and procedures as stipulated by ODSA.

7. Client Complaints and Resolutions

Grantees are expected to address client complaints and client inquiries in a timely fashion. All work performed under HWAP must be guaranteed by the Grantee or contractor for one year from the date of the final inspection. During this time, additional work may only be completed with a valid change order and must be charged to HHS funds (see Section E.8). Additional work after 12-months post-weatherization may not be paid by HWAP without approval by the ODSA technical monitor.

Only additional work that is necessary and a result of the weatherization of the home may be addressed with HHS grant funds. Where the dwelling unit has been negatively impacted and losses incurred, the Grantee should refer to their insurance policy for guidance.


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E. Weatherization Work Flow and Requirements

1. Building Eligibility Single Family Structures Grantees are required to obtain proof of ownership prior to commencing work for all single-family structures/units. This includes manufactured homes. All structures must be stationary and have a specific mailing (street) address. Documentation of ownership must be placed in each client file. Most Grantees are able to access documentation on county auditor's websites. This also includes checking that the home is not in foreclosure or for sale. Units that are in foreclosure or for which foreclosure is imminent or homes that are for sale may not be weatherized. Vacant single-family homes and residences operating primarily as a business may not be weatherized. Single family, site-built homes less than 15 years of age at the time of initial inspection require a valid energy audit prior to weatherization. Measures with a Savings-to-Investment Ratio (SIR) of one or greater are determined to be cost effective, meaning the lifetime savings produced by the measure is greater than the total cost of installation. Only measures that are cost-effective showing a (SIR) of one or greater may be installed. Row Houses Row house (Condo) buildings where there is a complete separation between units of the building thermal barrier, air pressure boundary, and mechanical systems, each unit can be considered a single-family building and would need to be deemed eligible, audited and reported as such. Prior written approval by ODSA is required. However, if the row house building does not have the separation of systems, this building would need to adhere to eligibility criteria for multi-family buildings. The building may still be audited with a single-family tool (provided it is less than five units) but, these units would not be reported as single family because the entire row house building would need to be weatherized. In this case, a row house building in which all units are weatherized will be reported as a multi-family building. Commercial/Residential Structure Weatherization is intended for residential homes. In situations where the home is used as a business and a home (i.e. owner lives upstairs and works downstairs), eligibility determination should be made on a case-by-case basis. Please contact your ODSA technical monitor for guidance. Commercial structures are not eligible for weatherization services. Multi-Family Structures For the purposes of Ohio HWAP, buildings with two to four units are considered multi-family structures and at least 50 percent of the units must be occupied by eligible clients in order for weatherization services to occur.


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Buildings with five or more units require prior approval and an EA-QUIP audit (or other DOE approved multi-family energy audit) as well as a review of the audit by an ODSA technical monitor and onsite visit. Prior to initiating weatherization services, the building must have at least 66 percent of units occupied by eligible clients, a valid multi-family energy audit, owner contribution (when applicable), bids for all work exceeding $5,000 and any other pertinent information requested by the monitor. When these conditions are met, the building may be approved by ODSA for weatherization and work may commence. Common areas such as vestibules, mechanical rooms, kitchens, and laundries that are within the building thermal envelope of a qualified multi-family structure may be weatherized as part of the whole building as a system approach. Common areas with a separate envelope not thermally connected to the qualified multi-family structure may not receive weatherization services using HHS or DOE funds.

Weatherization regulations currently permit the weatherization of a multi-family building if at least 66 percent of the units are occupied by income eligible households. An exception is made for two and four-unit buildings, where only 50 percent of the households must meet income eligibility requirements. If the building does not meet the eligibility requirements, the building is not eligible. No work can be performed. If the multi-family building meets the eligibility requirements, the entire building shell, including ineligible units and attached common areas, may be weatherized. Although a minimum investment in a rental unit is not required, to be counted as a completion an ECM must have been installed. If the building qualifies for HWAP, the vacant units should receive HWAP services per the energy audit. Completely vacant multi-family buildings may not be weatherized.

A vacant unit may be counted as eligible if it will become income-eligible within 180 days under a federal, state or local government program for rehabilitating the building or making similar improvements to the building. In the event a vacant unit is counted as an eligible unit but is then occupied by an ineligible family, the project becomes disallowed if the minimum eligibility requirements for the building as a whole are not met.

2. Building Classifications and Descriptions Nine standard dwelling types (categorized using attic, wall, and foundation construction details) are identified by ODSA: Type A – Wood frame home with full basement and open joist attic

Type B – Wood frame home with crawl space and open joist attic

Type C – Wood frame home with combination crawl space/basement and open joist attic

Type D – Wood frame home with slab foundation and open joist attic

Type E – Wood frame home with full basement and kneewall attic


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Type F – Wood frame home with post foundation and open joist attic Type G – Block, concrete or log home with slab foundation and open joist attic

Type H – Manufactured housing with post foundation

Type I – Block (solid wall), concrete or log home with basement and/or crawl space and

open joist attic These dwelling types employ an approved list of measures, as detailed in this Manual. Two additional dwelling types that are commonly referred to are listed below. Please note that these dwelling types do not employ an approved list of measures, so special requirements apply. Type R – Retrofit, housing type does not meet any of the above categories, energy audit

performed Type S – Shelter, prior approval required

Campers or impermanent structures are not eligible for weatherization.

3. Initial Assessment All buildings require a thorough initial assessment to evaluate the existing condition and define the improvements to energy efficiency, health, safety, and durability of the home.

The initial assessment requires a visual inspection of the entire structure, all applicable diagnostic testing, worst case draft testing. The energy auditor must complete a data collection form (DCF) or approved substitute, work order, and energy audit if applicable. All units in two to four unit buildings must be assessed. In buildings with five or more units at least 10 percent of all units in the building, with no fewer than three units of each floor plan, and not fewer than five units total, must be visited for a complete initial assessment. In addition, at some point during each project, all units must have a documented inspection for possible health and safety concerns, including diagnostics if appropriate, followed by work orders for correction. Blower door testing in a large multi-family building will be of individual units. Blower door testing of individual units provides only a qualitative indication, not a quantitative measurement, of air leakage. Still, it is a valuable test to perform selectively because it will show the leakage points in the outside envelope as well as the leakage points between adjacent units. Both are important to identify because envelope leakage affects energy efficiency and unit-to-unit leakage affects comfort. Effective air sealing between units maximizes temperature control in the unit and minimizes odors and noise from adjacent units. For smaller (three-stories and less) buildings it is recommended to test approximately 10 percent (or a three minimum) of the units. If the sample shows widely different (15 percent+) leakage rates or different leakage points, additional units should be tested until the auditor is


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satisfied there is a good assessment of location of air leaks and can specify how the unit can be effectively air sealed.

For larger buildings, a more subjective approach can be taken with the goal of determining where significant air leakage points are located and how the unit can be effectively air sealed.

NOTE: ALL units with a combustion appliance present must receive pre- and post-health and safety diagnostics testing.

4. Priority Lists of Measures The Priority Lists of Measures, which contain the approved measures for single-family housing types A through I, govern installation of materials on single family homes. All required measures must be installed when utilizing the priority lists of measures. In all instances, all Health & Safety measures must be installed and final inspected before weatherization work can begin.

5. Energy Audits An energy audit is required in the following situations: The structure does not conform to standard building types. The heating system is replaced with any U.S. Department of Energy (DOE) or Health

and Human Services (HHS) funds. The age of the home is 15 years old or less. The home is eligible for re-weatherization. Optional measures are installed from the Priority List of Measures. An audit is requested or required for any other reason. The structure is considered a manufactured home The structure contains five or more units.

Grantees shall utilize the National Energy Audit Tool (NEAT) for all single-family structures requiring an energy audit. Only cost effective measures with a Savings to Investment Ration (SIR) of one or greater as determined by the NEAT may be installed in the home. Manufactured homes are defined as homes not on a permanent foundation. The Manufactured Home Energy Audit (MHEA) is approved for use by Ohio grantees. DOE considers modular homes to be manufactured homes. Only cost effective measures with a Savings to Investment Ratio (SIR) of one or greater as determined by the MHEA may be installed in the home. ODSA does not employ a Priority List of Measures for multi-family units; therefore, grantees are required to run an energy audit for all multi-family projects.

The characteristics of multi-family buildings with two to four units align with single family auditing tools and protocols. Energy audit approvals that are renewed every five years include this provision and no further auditing approval is required when dealing with this multi-family

building type. Multi-family buildings of five or more units require an EA-QUIP audit (or other DOE approved multi-family energy audit) and prior written approval for the project from ODSA.


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Certain buildings with five to 24 units with specific characteristics can be adequately addressed using certain single family auditing tools; however, using an approved single-family tool on multi-family housing stock is still subject to DOE review prior to project commencement. Grantees must submit multi-family auditing protocols and/or project details on a case-by-case basis to ODSA for DOE’s review and approval prior to starting work. Buildings with 25 or more units must be audited using EA-QUIP audit tool and protocols specific to this housing. All buildings with 25 or more units require prior DOE approval on a case-by-case basis. Grantees must submit multi-family auditing protocols and/or project details on a case-by-case basis to ODSA for DOE’s review and approval prior to starting work. If the agency does not have a qualified employee to perform an EA-QUIP audit, a consultant with EA-QUIP experience may be hired for the project. Please note all contractors require prior approval by ODSA. When any audit is performed for any structure, it becomes the new tool for determining the work order and the priority list of measures is no longer applicable. It is imperative that all measures installed be cost-justified, and all cost-justified measures be installed. Also, the costs in the audit must accurately be reflected on BWRs. The audit also establishes a budget for the job and costs must match costs entered on the BWR. Only cost-justified measures may be funded by the HWAP. When an energy audit is used, the client file must contain a minimum of the Recommended Measures Report, final costs of each measure (labor and materials) as well as the total project. The file must also contain the audit used to justify a furnace replacement as an ECM, regardless if the SIR is 1 or greater.

6. Measure Buy-Down

Buying down the Savings to Investment Ratio (SIR) of a measure with leveraged funding is allowable only in multi-family buildings. In order for a measure to qualify for the buy-down, the overall package of measures, including the full cost (the pre-buy-down cost) of the measure which is to be bought down, must have an SIR of 1.0 or greater. The following steps are recommended in order to determine what other funding is necessary to leverage for a measure that would otherwise not meet the SIR requirements:

Using the full, non-leveraged cost of all measures, conduct an initial energy audit of the building to determine the package of measures that has a combined SIR of 1.0 or greater, including measures that are not cost-effective without leveraged resources.

Determine whether sufficient funds from other resources are available to bring any measures with individual SIRs below 1.0 in that package up to at least an SIR of 1.0.

Apply those other funds to that measure and include it in the package of measures.

Document the inclusion of the leveraged measure into the weatherization statement of work with the original energy audit and either

o A summary of all costs associated with the weatherization of the building, including any or all resources to be used, or

o A revised audit in which the leveraged price of the additional measure is used as the measure cost. This documentation will become part of the building’s client file along with the inputs and results of both energy audits.


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7. Disallowed Costs/Measures

Disallowed costs are expenses, as determined by ODSA that are not reimbursable using HWAP funds. If ODSA cannot determine an expenditure is allowable, because of inadequate records or documentation, the costs will be disallowed. Grantees must reimburse ODSA for the amount of any disallowed costs. Disallowed costs may include any repair that exceeds the incidental repair measure limit for materials and labor, any measure not cost-justified, and/or any measure that is determined unreasonable, not allocable, or not allowable.

8. Split Measures

In order to encourage the leveraging of funds to the greatest extent possible, grantees are permitted to split measures among funding sources only when there is clear documentation of actual materials and labor costs incurred for the measure and the methodology used to allocate those costs proportionately to each funding source. The methodology used to determine the split must be clearly documented in the client file so that ODSA, U.S. Department of Energy, or any outside monitor can clearly see that labor and/or materials for any particular measure were not paid twice and/or split disproportionately. Acceptable methodology includes but is not limited to materials and labor costs per square footage, cfm reduction, bag, item, or piece.

For example, if a 500-square-foot attic is insulated for a cost of $500 materials and $1,000 labor, the price per square foot is $1 for Materials and $2 for Labor. If the grantee wishes to split the measure with another funding source, square footage could be used to determine the amounts to be billed to each program. If 200-square-feet will be billed to HWAP and 300- square-feet to another funding source, no more than $200 Materials and $400 Labor may be requested for reimbursement from HWAP. The remaining $300 Materials and $600 Labor would have to be charged to another funding source. The documentation in the file should detail the cost, method, and amounts charged to each funding source, broken down by materials and labor.

When splitting a measure in a dwelling that requires an energy audit, the total cost of the measure must be entered into the audit, not just the portion charged to HWAP.

9. Change Orders/Additional Work Each client file shall include a detailed Work Order outlining the work to be completed in the home. The work shall be guided by the ODSA-approved priority list of measures or a DOE-approved energy audit. The client file shall include a Quality Control Inspection Checklist that accounts for each item on the Work Order. If an item that was on the work order was not completed, the Quality Control Inspection Checklist shall explain in writing why the item was not completed. Agencies must have a defined process for changes to the original work order, including re-work, change orders, and additional work. For example, the original work order states the need for a clean-and-tune on the client’s furnace. During the clean-and-tune, it is discovered that the furnace has a cracked heat exchanger. This would prompt a work order change or “change order.” This change order must be documented in the client file with a change order form signed by the inspector giving permission to make the change. Change order forms must state the date of the requested change, explanation of change(s), and be signed and dated by the inspector showing agreement on the matter.


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The change order form is a form that grantee must develop. Work completed after the final inspection (with a valid Change Order) may only be charged to the HHS grant. These funds are available up to one year after the final inspection or while the warranty is still in place. Consult your administrative or technical monitor if work falls outside this time frame for any reason, as prior approval is required.

10. Lead Safe Work Lead-based paint is a potential health hazard that crews may encounter in units constructed before 1978. Grantees shall conduct weatherization work in a manner that protects workers and clients from lead paint hazards. Grantees shall adhere to the regulations of all authorities having jurisdiction over lead-based paint. Refer to the Standard Work Specifications (SWS) for additional information on working in homes where there is the potential for lead-based paint. Any contractor, crew member, or other person performing work for the Home Weatherization Assistance Program in pre-1978 housing where the possibility exists to disturb painted surfaces of an area greater than 6-square-feet per room for the interior, and/or 20-square-feet for exterior work must be an EPA Certified Renovator. The EPA Certified Renovator credential must be earned by completing the eight-hour RRP Lead Safe Work Practices class from an EPA-accredited training provider, or renewing certification with a four-hour refresher class. Grantees may only assign lead-safe work to contractors/persons meeting this requirement. Lead safe materials expenses are billable in the Support/Equipment/Tools category. The cost of lead-safe work should be considered when establishing price lists or bidding jobs by agencies working with private contractors. The Lead Paint Notification Form, Certified Lead Renovator documentation, and Lead Certification Checklist are required to be completed and placed in the client file to document client education and lead safe practices in weatherized homes.

11. State Historic Preservation If weatherization involves buildings less than 50 years old at the time of initial inspection, weatherization work is exempt from formal historical review as long as the building has not previously been determined to be eligible for listing or currently listed in the National Register of Historic Places.

If weatherization will involve activities that are not exempt on homes 50 years or older, the grantee must consult the State Historic Preservation Office (SHPO) by completing an “Ohio Historic Preservation Office Project Summary Form” located on the web at

www.ohiohistory.com/resource/histpres/services/s106-05.html and send to the SHPO along with any additional required documentation. This documentation also should be placed in the client file.

Exempted weatherization work may be found in Appendices B and C of the “Programmatic Agreement between the U.S. Department of Energy, the Ohio Development Services Agency, and the Ohio Historic Preservation Office for the Administration of Energy Efficiency and Conservation Block Grant, State Energy Program and Weatherization Assistance Program funds in Ohio.” A copy is available from ODSA upon request. Examples of exempted weatherization work include but are not limited to the following:


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Most air infiltration measures on windows and doors; Blown-in wall insulation where no holes are drilled through exterior siding, or where

holes do not visibly alter the structure; Repair of minor roof and wall leaks prior to insulating attics or walls, provided the

repairs closely resemble existing surfaces; Ventilation of crawl spaces; Installation of attic insulation, sealing, insulation or replacement of ducts, band joist

insulation, water heater and pipe insulation, and installation of floor insulation; Wall insulation that does not require removal or enclosure of any historic plaster or

wood walls, provided a vapor barrier exists on the interior side of the wall; Wall insulation that consists of pre-expanded foam panels, with vapor barrier; Repair of existing interior walls, floors, ceilings, decorative plaster, woodwork with

some limitations; Most baseload measures; Installation of new heating systems and/or cleaning and tuning of existing heating

systems; Installation of high efficiency appliances; Thermostat replacement; or Installation of smoke and carbon monoxide alarms.

Most weatherization work is considered exempt. An example of one exception is cutting into the roof of the structure, which would require special permission from the SHPO as described above. Any questions regarding exempted work should be directed to the technical monitor for clarification prior to work commencing. A form has been developed by ODSA to document exempt weatherization work on properties. The State Historic Preservation Form must be completed for all buildings 50 years or older and eligible for the exemptions found in Appendices B and C above, signed by an agency representative and the client, and placed in the client administrative file.

12. OSHA and Hazard Communication Plans Providers shall comply with Occupational Safety and Health Administration (OSHA) requirements for all weatherization activities which involve staff personnel. This includes the requirement that staff personnel working on the homes (crews and inspectors) will utilize the appropriate personal safety equipment when necessary and receive training on the use/location of safety data sheets (SDS), first aid equipment, fire extinguishers, and other safety equipment.

Related costs to train personnel in order to comply with OSHA requirements shall be charged to the Training and Technical Assistance budget category. Related costs to purchase equipment in order to comply with OSHA requirements shall be charged to the Support budget category.

When contractors are employed by grantees, those contractors shall comply with OSHA requirements as well. Providers that identify that a contractor may not be complying with OSHA requirements shall take all necessary steps to have the contractor rectify the situation, including notifying the contractor of the issue, identifying training opportunities, or terminating the contract with the contractor. Costs related to OSHA compliance for HVAC, weatherization, or other contractors hired to address Health and Safety issues shall be part of the bid price or job cost.


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The grantee is responsible for ensuring workers and subcontractors are properly trained and certified.

Additionally, all weatherization providers must have a Hazard Communication Plan. More information can be found using the FAQ sheet on the link provided below. https://www.osha.gov/dsg/hazcom/hazcom-faq.html Additional information on Hazard Communication Plans can be found on the OSHA website using the link provided below. https://www.osha.gov/dsg/hazcom/index.html The Bureau of Workers’ Compensation can assist with questions on setting up a plan (https://www.bwc.ohio.gov/home/contactus/default.asp), and templates also can be found online that may offer additional guidance.

Administrative monitors will review the Hazard Communication Plan annually at each agency visit. It is each individual agency’s responsibility to have all applicable plans in place to be OSHA compliant. It also is the agency’s responsibility to supply the Hazard Communication Plan and any other applicable safety plans to all private contractors performing weatherization work.

13. Deferral of Services If conditions exist that prevent safe, effective, and meaningful weatherization services from being performed, the household may be deferred until the time when such conditions are remedied. A completed and signed Deferral of Services Notification Form along with photographs documenting the reasons for deferral must be included in the client file. A copy of the form must be given to the homeowner and/or tenant. Conditions preventing weatherization may include the following:

Standing water, mold, or other moisture issue that cannot be addressed with weatherization funding.

Electrical or plumbing hazards or structural failures that cannot be addressed as a part of weatherization services.

Friable asbestos or other asbestos issues that cannot be addressed with weatherization funding.

Deteriorated lead-based paint surfaces or when the extent and/or condition of lead-based paint may create other health and safety hazards.

Evidence of infestations of rodents, insects, and/or other vermin. Unsecured pets. Sewage or animal feces in the home. Improperly stored chemicals, combustible materials, or other fire hazards. Maintenance/housekeeping practices that limit access to the dwelling or create an

unhealthy work environment. Major remodeling is in progress, which limits the proper completion of

weatherization measures. Threat(s) of violence or abusive behavior to worker(s) or household member(s)

during the weatherization process. The illegal presence or use of any controlled substance in the home during the

weatherization process.


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Occupant has self-declared health conditions that prohibit the installation of weatherization Materials.

Pre-existing code compliance issues. Other, as defined by the qualified inspector and approved by the Energy

Coordinator. It is the homeowner’s responsibility to correct any of the above condition(s) in order for weatherization services to proceed. When the conditions have been addressed, homeowners should be instructed to contact the grantee to reevaluate the home. These clients can then be given priority to receive services and should not be placed back on the wait list. ODSA recommends that grantees require corrections be completed by the client within a year. When possible, weatherization providers are encouraged to make referrals or collaborate with other programs including utility sponsored weatherization, Healthy Homes programs, home repair programs and other local resources in order to best serve the client. Other reasons for deferral include if the area is slated for redevelopment or is in a high-risk geographic area (e.g. a flood plain), refusal by the client to remove certain space heaters, unreasonable amounts of health and safety funds are required, or if the home is in foreclosure or for sale. No weatherization services may occur for vacant single-family homes. In the event that conditions warranting deferral of services are discovered after work has been started, the cost for the already-installed measures may be billed to HHS only. The job cannot be counted as a completed unit. Additionally, if weatherization services are performed in the home, but a final inspection cannot be completed for any reason and/or the client refuses to sign off on the work, the unit cannot be counted as a completed unit unless an ODSA technical monitor can perform a Quality Control Inspection (QCI) on the unit/structure.


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F. Quality Control and Monitoring

1. Quality Control Inspector

All final inspections must be conducted by an individual who has earned the Quality Control Inspector (QCI) credential. All final inspections not conducted by a QCI will be disallowed and all costs associated with the unit must be charged to another funding source. Final Inspections in multi-family buildings (five or more units) must be performed by inspectors who are QCI-certified and have received appropriate supplemental multi-family training.

The QCI must have attended multi-family training and received a successful evaluation from a training program delivering a curriculum based on the NREL Multifamily Quality Control Inspector Job Task Analysis (JTA). When using DOE Training and Technical Assistance funds, ODSA requires individuals to pass the written portion of the QCI exam before taking the field portion of the QCI exam. ODSA and the Ohio Weatherization Training Center (OWTC) encourage candidates to review the pre-requisites for the course available at the Building Performance Institute (BPI) website (www.bpi.org/professionals_advanced.aspx) and submit the QCI Candidate Application to BPI in order to achieve approval in a timely fashion. Candidates must provide the OWTC or other BPI Test Center with a copy of the BPI approval letter in order to take either the QCI written or field exam. Candidates without prior BPI approval will not be permitted to take either exam. However, BPI approval is not required in order to participate in the OWTC QCI prep course. An individual may take any part of the QCI exam up to three times in a Program Year using DOE Training and Technical Assistance funds.

2. Standard Work Specifications The Standard Work Specifications (SWS) were developed by DOE for use nationwide as the appropriate measures of effectiveness for weatherization installation. All work completed on jobs with DOE and/or HHS funds must adhere to the SWS. The SWS are a resource for workers, contractors, training providers, homeowners, and program administrators involved in the broader home performance industry where a comprehensive, whole-house approach to building science is required.

3. Final Inspection Requirements Every unit reported as a “completed unit” must receive a final inspection, performed by a Quality Control Inspector (QCI) to ensure that all work meets the SWS and was done in accordance with 10 CFR 440. The Quality Control Inspection Checklist must be completed and signed by the QCI, placed in the client file, and uploaded into OCEAN with the Building Weatherization Report (BWR). All individual units and common areas in a multi-family building in which weatherization improvements were performed must be inspected as part of the final inspection.


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Every client file must also contain a Final Certification Form that certifies that the unit had a final inspection and that all work met the required standards. It must be signed by the eligible client as well as the QCI, placed in the client file, and uploaded to OCEAN with the BWR. Units without a valid Quality Control Inspection Checklist and/or a Final Certification Form will not be counted in production. If a unit has received both a final inspection and has also been selected for monitoring by ODSA, the Final Certification Form will also be signed by the ODSA QCI technical monitor. In the event the client refuses to sign the Final Certification Form, grantees should contact their technical monitor for guidance. If the client allows the technical monitor to perform an inspection and the work is certified by an ODSA QCI, the requirement for tenant or client signature may be waived and the unit may be reported as completed unit.

The Quality Control Inspection must include an assessment of the original assessment or Priority List of Measures and confirm that the Measures called for on the Work Order were appropriate and in accordance with ODSA assessment procedures and protocols approved by DOE. Grantees must use the ODSA Quality Control Inspection Checklist to satisfy these requirements. Additionally, the following language is required on all Final Certification Forms with client and QCI signature:

I certify that the work indicated on the Building Weatherization Report (BWR) is completed and meets all requirements of the Ohio Standard Work Specifications and installation procedures as described in the Ohio Weatherization Field Guide – SWS-Aligned Edition. I grant the Ohio Development Services Agency (ODSA) and its designees permission to use the information provided on this form for the purpose of conducting weatherization studies or statistical analyses. I understand that no information obtained through the BWR shall be made public in such manner that the dwelling or its occupants may be identified, except with written consent by the occupant. For additional information on the State of Ohio Home Weatherization Assistance Program, please call the ODSA’s Business Response Line at (800) 848-1300.

4. Grantee Monitoring ODSA has an established monitoring system for evaluating grantee performance. Monitoring functions will be ODSA’s principal method for determining grantee compliance, evaluating actual accomplishments against planned activities and determining the effectiveness of HWAP policy. Monitoring provides objective reporting and provides recommendations to address grantee deficiencies and needs. The administrative monitoring staff will review Grantees’ fiscal procedures, staffing and organization, procurement, and client services. The technical monitoring staff will review property management, inventory, materials quality, and field work. Each grantee will be visited by a technical monitor and an administrative monitor at least once per Program Year. Each grantee will be visited by an administrative monitor at least once per Program Year. Monthly desk reviews are performed on a sample of all completed jobs, and the number of jobs monitored may be increased when issues are identified.


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Monitoring visits are generally arranged with grantees in advance. Grantees are not permitted to choose the units for the monitoring visit. These are chosen by ODSA monitoring staff based on noted anomalies or risk factors identified in previous onsite monitoring or desk monitoring, a variety of housing types, and a variety of locations within the service territory. ODSA's monitoring approach includes the following components: Administrative Monitoring: OCA administrative staff will review documents and

reports related to the organization, operation, and performance of local HWAP grantee programs.

Technical Monitoring: OCA technical staff will review work for compliance with standards, performance measures, applicable codes, and other policies related to installation of materials.

Financial Audit: Audit staff will conduct a review of financial stability and accountability to ensure financial compliance with federal and state regulations and provisions of the Grant Agreement.

Risk Assessment: OCA administrative staff will perform an annual assessment to evaluate grantee performance.

Administrative Monitoring The administrative monitors review the following, at a minimum: financial management systems and operations, review of previous audits and monitoring visits by both administrative and technical monitors, payroll/personnel, procurement procedures, grantee or partner agency monitoring, invoicing/purchase orders compared to work orders and price list or bids, records retention, contractor compliance, client file review, program structure, marketing, general program operations and flow of services, review of production goals, information technology needs assessment, and gathering of success stories. The administrative monitoring also includes review of the annual Grant Application, reports based on monthly financial and production information, and compliance with required written procedures. Problems noted through this review are communicated to the providers for their subsequent explanation and/or resolution. Administrative monitors also check for adherence to policies and procedures and they may also provide training upon request or requirement when grantees fail to meet expectations in one or more area. An administrative monitoring report is issued by the ODSA administrative monitor after completion of the visit. The grantee must respond to any required actions stated in the report within 30 days of receipt of the report. Each response must describe the actions the grantee has taken or will take to address the findings. Unresolved findings could result in disallowed costs, withholding of funds, suspension of funds or other legal actions.


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Technical Monitoring Technical monitors review each monitored unit for adherence with the SWS, Field Guide, and other Ohio policies and procedures for effective and appropriate installation of allowable measures, verify and evaluate Vehicle/Equipment inventories, and review staff training records for compliance. When health and safety errors are found during a monitoring visit, they will be documented in writing by the technical monitor and must be corrected as soon as possible (no later than three calendar days after the visit). Monitoring findings are categorized and tracked. Patterns may be reviewed and used to adjust future monitoring. Units fail a monitoring review when one or more Major Findings or a combination of five or more Minor or Moderate Findings are documented in the monitoring report. When more than 60 percent of homes reviewed during a monitoring visit do not pass, the grantee is considered in a Continuous Improvement Plan (CIP) and technical monitoring is increased, to quarterly visits. The provider will remain in a CIP until at least 60 percent of units pass the monitoring review for two consecutive technical monitoring visits. A technical monitoring report is issued by the ODSA technical monitor after the completion of the visit. The Grantee must respond to any required actions stated in the report within 30 days of receipt of the report. Each response must describe the actions the grantee has taken or will take to address the findings, photo documentation of the corrective action(s) and a revised BWR (if applicable). Unresolved findings could result in disallowed costs, withholding of funds, suspension of funds or other legal actions. Financial Audit Grantees are required to comply with 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. Each grantee is subject to a grant-specific audit by the ODSA every two years or as deemed necessary. The ODSA audit staff reviews compliance with federal, state and local rules, regulations, laws and policies related to the receipt, expenditure and reporting of grant funds. An audit is conducted in accordance with procedures prescribed by ODSA to satisfy federal and state grantee monitoring requirements. Grantees that exhibit significant problems, actions or circumstances that increase the risk of fraud, waste and abuse of grant funds are subject to additional ODSA audit review. An audit report is issued by ODSA after the completion of the audit. The grantee must respond to any questioned costs, legal compliance findings or material weaknesses stated in the report. Each response must describe the actions the grantee has taken or will take to address the findings. Unresolved findings could result in disallowed costs, withholding of funds, suspension of funds or other legal actions.


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Risk Assessment All Grantees will be evaluated annually in areas including Financial Audit and Performance,

Administrative, and Technical aspects of program performance. Grantees must submit

Corrective Action Plans and may be required or may request specific training and technical

assistance in order to facilitate improvement. Additionally, a Corrective Action Plan is required

to be submitted within 30 days of receipt of the assessment for high risk agencies. A

designation of high risk for two consecutive years may result in re-bidding of the territory, in

part or in whole.


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G. Training and Technical Assistance

Training is important to create a skilled and successful workforce. The ultimate goal of training is to provide the best possible outcome for the weatherization client and protect the safety of workers. Work tasks such as inspection, working on heating units, or insulating homes require specific training courses or credentials and are outlined in the State Plan each Program Year. While ODSA has mandatory training requirements and provides funds to support statewide training, grantees have primary responsibility for ensuring that employees and contractors are adequately skilled, have and maintain the proper certifications, and are familiar with HWAP and its policies.

1. Training and Technical Assistance Funding ODSA provides HWAP grantees with funds for Training and Technical Assistance (T&TA) as part of the funding allocation. Funding for T&TA is provided by DOE and is a line item in the overall HWAP budget. T&TA funding limits are determined each Program Year and are specified in the Grant Application instructions issued by ODSA. Grantees may budget as much of the allowable T&TA funding as needed each Program Year. Unspent funds originally budgeted to T&TA may be re-programmed to the Support or Materials line items only, but may not be moved back into T&TA. Grantee T&TA funds may be used for:

Travel costs for agency staff to attend state-sponsored training sessions, workshops,

conferences (in-state and out-of-state) and meetings (including lodging and per diem) related to weatherization.

Lodging costs for contractors to attend required, state-sponsored training sessions. Purchasing training materials, including training and testing costs necessary to meet

OSHA standards. Grantees may not charge per diem or mileage expenses to the HWAP grant for any contracted entity. Fees charged to a grantee for failure to appear for training are not billable to the HWAP grant.

2. Ohio Weatherization Training Center The Ohio Weatherization Training Center (OWTC) is an Interstate Renewable Energy Council (IREC) accredited training provider that offers classroom, lab, and field training to Ohio weatherization professionals, as well as on-site technical assistance. The extensive hands-on nature of the Training and Technical Assistance (T&TA) compliments classroom training and enhances workers' on-the-job-training experience. Training and certification requirements provided by the OWTC include the competencies, knowledge, skills, and abilities for a skilled workforce which is necessary to perform quality work in the field as described in the Job Task Analyses identified by National Renewable Energy Laboratory (NREL). For a list of current training requirements, please refer to the OWTC website or current HWAP State Plan.


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Continuing Education Units (CEUs) will be made available to HWAP grantees and the HWAP workforce to ensure knowledge, skills, abilities, and technical competencies remain current. Courses offered reflect a commitment to ongoing education and skill-building as well as provide opportunities to access new technologies and technical advances in theory, lab, and field practice. The OWTC maintains a database of trained staff and the details of trainings completed and status (pass, fail, in progress, etc.). However, Grantees are responsible for tracking the credentials and training needs of their staff, contracted personnel, and maintaining appropriate certifications.

3. On-site Technical Assistance On-site technical assistance visits will be conducted by ODSA field staff and/or OWTC personnel, as requested or required, for grantees experiencing management, production, operational, or compliance problems. At its discretion, ODSA may invoke “probationary status” to any individual performing work for HWAP who demonstrates continuous or on-going deficiencies in completing a job task or on-going noncompliance with program requirements. In these scenarios, ODSA may require additional training, additional oversight of the work being completed, restrict the individual’s ability to perform the job task (i.e. by revoking the individual’s “certification”, or restrict the grantee from submitting completed work until the problem is resolved).


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H. Procurement and Disposition

Grantees are responsible for developing their own forms (where ODSA forms do not exist), contracts, policies, and procedures based upon the minimum requirements listed in this policy document. Grantees are also responsible for ensuring their procurement and disposition processes are conducted in a manner that provides for open and fair competition. Grantees must have written procurement policies and procedures which minimally conform to 2 CFR 200, 2 CFR 910, 10 CFR 440, State of Ohio and local laws, and ODSA policies.

1. General Requirements

Fair Competition Regardless of the procurement method used, grantees must ensure that open and fair competition exists. Local procurement procedures shall not restrict or eliminate competition. This means that agencies cannot add requirements to the procurement process to unnecessarily restrict or eliminate competition or unjustifiably favor or exclude specific products or suppliers. Grantees must also be alert to organizational conflicts of interest or non-competitive practices among suppliers that may restrict or eliminate competition or otherwise restrain trade. An example of a non-competitive practice is when a supplier assists in drafting or developing the Sealed Bid product specifications, requirements, or statements of work, and then is also allowed to bid. Suppliers or manufacturers who help develop procurement requirements must be prohibited from participating in the bidding. MBE/EDGE Businesses To the maximum extent practicable, providers are encouraged to use Minority-Based Enterprises (MBE) and Encouraging Diversity Growth and Equity (EDGE) designated Vendors. These can be found at: http://das.ohio.gov/ Code of Ethics Grantees must have a written Code of Ethics governing the performance of its officers, employees, or agents engaged in the solicitation, award, or administration of contracts. There can be no real or apparent conflict of interest. Materials Ownership Grantees are responsible for making initial purchases for materials to be used in the installation of HWAP measures. Inventory may not be grant-owned. It may be charged to the HWAP grant upon installation. Therefore, the procurement policies referenced within this document still apply to materials purchased for installation in HWAP dwelling units. Damaged, lost, or stolen goods may not be charged to the HWAP grant under any circumstances. Charges to HWAP for materials installed must be at the actual costs incurred by the grantee. There is no provision for mark-up or profit on materials.


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2. Procurement Methods and Thresholds Procurement methods must adhere to 2 CFR 200, any other applicable state or federal guidance, as well as the guidance listed is this document. In the event of conflicting guidance, the more restrictive guidance applies. For the purposes of HWAP, ODSA defines three purchase thresholds, as well as their respective requirements. These thresholds and requirements are detailed below. Micro Purchases Single purchases of goods or services totaling less than $3,000 No bids or quotes are required

Small Purchases Single purchases of goods or services totaling more than $3,000 but less than

$150,000 (with the exception of vehicles, as detailed in this document) Three written quotes are required

Large Purchases Single purchases of goods or services totaling more than $150,000 Requires competitive bidding (either RFP or Sealed Bids as required)

Grantees may have dollar thresholds that are lower than those listed above or stricter procurement policies. In that case, grantees must adhere to their own procurement policies and procedures thresholds. Please note that prior ODSA approval is required for all purchases of vehicles, or equipment totaling more than $5,000 and all vehicles must be procured using Sealed Bids as detailed in this document.

3. Non-Competitive Proposals (Sole Source) Sole source procurement occurs when a bid or quote is solicited from and negotiations are conducted with only one potential vendor. This procurement method can only be used if any one or more of the following conditions are met: Item is only available from one source; Emergency situation exists and there isn’t time for a competitive proposal; Grantee has obtained written permission from the Federal funder; or All other solicitation methods have been exhausted.

Prior ODSA approval is required for all non-competitive proposals or sole source procurements.

4. Competitive Proposals HWAP defines two types of competitive proposals: The Sealed Bid process and the Request for Proposals (RFP) process.


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Sealed Bids The Sealed Bid process is a procurement method used when the best value is expected to result from the selection of the lowest bid. Public solicitation is required and can be accomplished by newspaper advertising, posting in public places or websites, or mailing bid specifications to known potential suppliers. Two or more bidders must be available. All bids must be sealed upon submission and opened at the same time. Grantees are required to select the lowest bid as long as it meets the minimum requirements. The Sealed Bid process is required for the purchase of vehicles. Request for Proposals (RFP) The Request for Proposals (RFP) process is a procurement process in which the grantee acquires bids from potential vendors by way of public solicitation. This process should be used when the Sealed Bid process is not appropriate or required. Public solicitation of the RFP is required and can be accomplished by newspaper advertising, posting in public places or websites, or mailing bid specifications to known potential suppliers. Price should be a consideration, but grantees are not required to select the lowest bid. The RFP process is required whenever a single purchase cost of an item or service is anticipated to total more than $150,000. Competitive Proposal Requirements Once the correct competitive proposal method has been determined, the RFP or Sealed Bid packet should be developed. It must clearly indicate both the information requirements and solicitation instructions. The following should minimally be considered:

Requirements for descriptive literature; Names of subcontractors (if applicable); Scope of work to be performed; Experience of staff involved in the scope of work; Specifications for goods; Closing date for receipt of bids; The date, time and location of the bid opening; Any special terms and conditions; Quantity discounts, delivery schedule, liability insurance requirements; Quantity of product to be procured; Duration of contract; and Method of price evaluation (e.g. per unit, per square foot, per hour, flat fee).

The specification description must clearly and accurately identify both minimum standard characteristics and performance capabilities required of the product. Where it is determined impractical or uneconomical to develop such a description, a "brand name or equal" description may be used with prior OCA approval. All RFPs or Sealed Bid packets must contain a provision that any or all bids can be rejected at the discretion of the grantee. Please see the Vehicle and Equipment Purchases section of this document for additional requirements.


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5. Bid Process Soliciting Bids Providers should ensure fair and open competition when determining the method for bid solicitation or RFP posting.

Newspaper advertising can be a costly approach to bid solicitation, but may be necessary to reach a wide audience of potential bidders. In order to reduce the cost of this solicitation method, the minimum amount of information to print would include the product or service being procured; quantity; location, dates and times for obtaining a bid package (or availability of packages through the mail); the date bids are due; a provider contact person; and phone number. Posted solicitations should contain at least the same information as identified for newspaper advertisements. Notifying individual potential suppliers by mail is generally a good method of ensuring that the supplier is aware of the solicitation and may result in receipt of more bids than the other methods of solicitations. However, the provider must be careful to include all known potential suppliers within a reasonable geographic radius to prevent the appearance of unfair competition. In order to assure that small, and women- and minority-owned and operated businesses, and labor surplus area firms have the opportunity to participate in the provider's procurement solicitations and awards, the provider can also utilize the following resources: ODSA's Minority Business Development or Office of Small Business U.S. Department of Commerce's Small Business Administration or Minority Business

Development Agency U.S. Department of Labor

Evaluating Bids Based on the Sealed Bid or RFP’s written criteria, bids are required to be evaluated for responsiveness to the solicitation. Examples of non-responsiveness would include such things as failure to complete sections of the bid package, offering of products that are lesser in quality than specified, and failure to meet the submission deadline. Non-responsive bids must be eliminated. Minor deficiencies and/or discrepancies in fulfilling the information requirements, solicitation instructions, and/or proposal format should not necessarily disqualify a bid unless specifically indicated in the solicitation. The provider's written evaluation criteria and process should address the issue of bid disqualification. If the deficiencies/discrepancies are not substantive and the bid solicitation contained a provision to do so, an opportunity to correct minor deficiencies/discrepancies may be offered to all responsive bidders.


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Once the responsive bids are identified and additional information and corrections (if any) are received, the grantee must evaluate the bids using, at a minimum, the following criteria:

Price or cost, All other identified evaluation criteria (e.g. delivery schedule, payment schedule,

liability insurance), All minimum product standard characteristics and performance capabilities, and Supplier's integrity, compliance with public policy, and capability to perform in

accordance with the terms and conditions of the bid package. Bidders must be notified if this is an evaluation criterion, and the method for verification must be specified. Examples of verification methods include contacting financial references (banks, credit rating services, credit bureaus) and contacting other customers and the Better Business Bureau.

In the case of the Sealed Bid process, the bid must be awarded to the lowest bidder meeting the evaluation criteria. In the case of the RFP, price must be a consideration, but the grantee is not required to choose the lowest bidder; they should select the “best” bid. The grantee must be able to explain and document why the lowest bid was not selected. For example, if availability or minimum quantities are a concern, the grantee may prefer to choose the winning bidder based on those criteria.

Awarding Contracts

Most large purchases of goods and almost all purchases of services should be formalized in a procurement contract. Procurement contracts, as with any legal documents, should be developed with the assistance of the grantee’s legal counsel. The body of the contract, or "boiler-plate" should include the following:

Names, addresses, and other identification of the parties to the contract; Effective commencement and termination dates; Total dollar amount awarded (if applicable); Payment process; Description of the scope and extent of work to be performed by the contractor; Assurances that the contractor will conform with all of the standard terms and

conditions and specific requirements and obligations, including responsibility for all liabilities or claims resulting from the contractor's performance;

Allowance for modifications by either party with the consent of the other party, as long as the modifications are within the general scope of services;

Procedures for dealing with additional costs or unforeseen circumstances of the contractor;

Schedule for retention of all records and accessibility to them for inspection or auditing purposes by the Comptroller General of the United States, U.S. DOE and HHS officials, ODSA officials, or any other duly authorized representatives. (Records must be maintained for at least three years from the closeout of the grant or three years following the resolution of any compliance or audit findings.;

Terms for resolution of violations or breaches of the contract's terms and/or conditions through contractual, administrative, or legal remedies;

Sanctions and penalties for non-performance by the contractor; Terms for termination by the provider for default by the contractor, or due to

circumstances beyond the control of the local provider; Descriptions of the scope and extent of any subcontracts;


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Requirements for bonding and/or liability insurance; Limitations on the expenditures of HWAP funds; Requirements for compliance with all applicable federal, state, and local laws,

ordinances, and codes; Requirements for compliance with any special terms and conditions of the contract. Prohibition against contingency fees and gratuities; Prohibition against political or religious activities; and Provisions contained in 2 CFR 200, Appendix II.

Specific provisions for private subcontractors must include: Compliance with the Standard Work Specifications; Compliance with job safety and work hour standards; Warranties for materials and workmanship; Prohibition against mechanic's liens; and Clear language regarding liability in the event the structure sustains damage as a

result of the weatherization.

Documentation

Every step in the procurement process must be documented and maintained for inspection by ODSA for a period of three years. It is also important to have adequate documentation in the event that the contract award is challenged or questioned by a bidder. Documentation of the solicitation and bid method and processes must be maintained, along with the actual bids or proposals submitted. Copies of any bid analyses and in-house documents used in evaluating and awarding bids must be maintained. Copies of letters to bidders notifying them of their selection or rejection are also required to be maintained.

6. Private Subcontractors If a provider determines that it is more effective and efficient to contract for specific HWAP services, advertisement must occur at least once during each Program Year and competition must be fair and open. In addition, prior written ODSA approval is required for all private contractors that carry out work for the program (including but not limited to inspections, heating unit work, and installation of materials). Approval Process To request approval, the following information must be uploaded into the current Program Year Grant Application in OCEAN: Copy of advertisement or solicitation method; Copy of contract; Price List; Workers’ Compensation Certificate of Premium Payment (date must be current; not

applicable for sole proprietors); Certificate of Liability Insurance Certificate (date must be current; Ohio Development

Services Agency must be insured party); EPA Firm Registration (if required); Copy of staff certificate(s) for lead EPA-RRP training (if required);


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Licensure (if required); and Appropriate training certificates/credentials (if required).

Contractors will not be approved until completion of all required training has occurred and documentation is provided. Approval for use of the contractor(s) will be granted in the grant application award letter. The provider will not be permitted to use the contractor until approval is secured. In the event that a new contractor must be procured during the course of the program year, the provider shall advertise and bid the services in accordance with 2 CFR 200 and these policies and procedures, if more restrictive, and submit the required documentation to OCA via mail or email. Approval will be issued in the form of a letter. Again, the provider will not be permitted to use the contractor until approval is secured. Accountability and Expectations The grantee is responsible for the quality of work and all aspects of performance for all private subcontractors carrying out the work of the HWAP grant. The grantee is also responsible for ensuring that all contracted entities are not debarred or otherwise prevented from contracting with government entities before requesting approval for use. The status can be checked at the website for the Ohio Secretary of State at http://www.sos.state.oh.us/recordsIndexes/debarredcontractors.aspx and at https://www.sam.gov for the federal suspension and debarment list. Assigning Jobs There must be a written procedure for awarding or assigning jobs if a provider selects more than one contractor to perform HWAP services. Examples would include a rotation system, geographic assignment, or bidding each job or group of jobs separately. Grantees are encouraged to define the rotation system to be used in the contract in order to create clear expectations for both parties. Grantees must adhere to the specified rotation system. Payment Private contractors can be paid using a price list developed by the grantee or by competitive bids. Price lists must be developed using historical averages and current cost estimates for procurement. Documentation of the method of development for the price list must be available for review upon request. The price list and payment arrangements must be included in the written contract for each contractor. Bids must follow processes as outlined in 2 CFR 200, this document, or the agency’s procurement policies, whichever is more restrictive.

7. Vehicle and Equipment Purchases

Vehicle and equipment purchases are allowable with HHS funds only and may not be made using DOE funds. All purchases of vehicles and equipment with a unit acquisition cost of $5,000 or more require prior written approval from ODSA.


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Vehicles Vehicles must be procured using the Sealed Bid process. In addition, any vehicle lease containing a clause allowing for the option to purchase the vehicle at the end of the lease shall be considered the same as a direct purchase and shall be subject to all the same requirements. The vehicle specifications listed in the Sealed Bid packet must include: The number of items to be purchased; A description of the vehicle type or equipment needed which is sufficiently detailed to

permit the provider to obtain a useable vehicle or equipment, but not overly detailed so as to restrict open and free competition;

A statement that accessories are discouraged and luxury options, regardless of cost, are inappropriate;

An indication that used vehicles or equipment will or will not be considered; and If used vehicles or equipment will be considered, additional specifications regarding

age, mileage and condition must be included. Equipment Equipment needed to carry out HWAP services (including computers) may be procured without prior approval if the unit acquisition price is less than $5,000. However, keep in mind that the purchase thresholds and requirements referenced in the Procurement Methods section of this document or your agency’s purchase thresholds, if more restrictive, still apply. The grantee must obtain and document price quotes, if required, for future inspection by ODSA staff. Prior Approval In order to request approval to purchase a vehicle or equipment with an acquisition cost of $5,000 or more, the provider must submit the following to ODSA: A letter of intent; Dependent on the method(s) of solicitation, a copy of the posting and a list of posting

locations; the newspaper advertisement and a list of papers and the dates of publication and/or the letter to bidders and a list of bidders to whom the letter was sent;

A copy of the appropriate competitive proposal (Sealed Bid packet or RFP) or three written quotes, whichever is required;

Complete specifications as provided to bidders (if applicable); If an HWAP vehicle trade-in is included in the purchase of a vehicle, a copy of the

trade-in vehicle specifications, date of original purchase and source of funds for original purchase; and

A lease vs. purchase value analysis (for vehicles only). Grantee’s must allow a minimum of two weeks from the time all necessary information is submitted for ODSA review and their written decision. Letter of Intent The letter of intent must include the following information: Documentation of need for the vehicle or equipment, its intended use, and the

projected impact on HWAP operations;


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Identification of the funds for the purchase including the source (i.e. HHS), and the budget category (i.e. G-3);

An explanation of the method of solicitation; and Identification of the preferred quote (if applicable).

If the purchase will involve the trade-in of HWAP-owned vehicle or equipment, the following must be included in the letter of intent: Notification of the intent to trade-in a vehicle or equipment; Trade-in vehicle or equipment specifications, including at a minimum the manufacturer,

model, year of manufacture, mileage, and serial number; Notification that the trade-in vehicle or equipment may be inspected, including dates

and times; and Notification that any bid submitted must clearly show the dollar value given the trade-in

and the amount off-set from the cash purchase price of the new vehicle.

8. Disposition of Vehicles, Supplies, and Equipment

During the course of program operations, it occasionally becomes necessary to dispose of items purchased with HWAP grant funds. HWAP providers must follow the procedures specified below when disposing of supplies, vehicles, or equipment procured with HWAP grant funds. In addition, the provider shall retain for ODSA examination, all pertinent records and documents which apply to the method of disposition used. To avoid a conflict of interest, or the appearance of a conflict of interest: No employee of the grantee, or members of an employee's immediate family may

derive any benefit from the sale of excess property; and No employee of the grantee, or members of an employee's immediate family is eligible

to bid on and/or purchase excess property. For the purpose of this section, the following definitions shall be used: HWAP Supplies - Items of tangible personal property purchased with HWAP grant

funds (DOE or HHS) which have a unit acquisition cost of less than $1,000.00 or a useful life of less than one year.

HWAP Equipment - Items of tangible personal property purchased with HWAP grant

funds (DOE or HHS) which have a unit acquisition cost of $1,000.00 or more and a useful life of one year or more.

HWAP Vehicles - Vehicles purchases with HWAP grant funds (DOE or HHS).

Disposition Proceeds HWAP providers may retain up to $500 or 10 percent (whichever is less) of the proceeds of vehicle or equipment dispositions, unless otherwise indicated in this manual. All other proceeds shall be considered a reduction of expense in the Support category, reported as such, and used to supplement the budget category to which the goods were originally charged. If proceeds are derived from insurance settlements, all proceeds shall be used to supplement the budget category to which the goods were originally charged.


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Disposition Requirements and Instructions HWAP defines the following disposition requirements and instructions using the unit acquisition cost or the current fair market value, whichever is less: Excess HWAP Supplies, Equipment, or Vehicles with a Unit Acquisition Cost or

Current Fair Market Value of Less Than $5,000

1. Grantees may dispose of, retain, transfer, or salvage and notify grantor using the HWAP Property Disposal Form.

2. Proceeds are not subject to the $500 or ten percent limit. Excess HWAP Equipment or Vehicles with a Unit Acquisition Cost or Current Fair

Market Value of $5,000 or More

1. Grantee must request/obtain prior approval from ODSA, including a completed copy of the HWAP Excess Vehicles and Equipment Log.

2. ODSA shall determine if the vehicle(s) or equipment can be used by another provider in delivering HWAP services by offering the item(s) to the HWAP network for a period of 14 business days. If the item(s) can be used by another provider, ODSA will provide instructions for the transfer. If not, ODSA may approve the sale or disposition of the item(s).

3. Proceeds from a sale or disposition are subject to the $500 or 10 percent limitation and the excess must be recorded as a reduction to expenses in the Support budget category. * If ODSA approves the disposition and the grantee wishes to purchase or retain the excess equipment or vehicle(s) they must adhere to their agency’s written disposition policies as well as 2 CFR 200 and this policy, whichever is most restrictive. Please note that in the event that the equipment or vehicle is not made available for public sale or purchase, the grantee may purchase the item at the current fair market value amount.

Special Requirements for DOE-Purchased Items When vehicles, supplies, or equipment purchased with DOE funds are approved for disposition, the proceeds in excess of the allowed retention limit ($500 or 10 percent, whichever is less) must be returned to DOE. A check payable to the U.S. Department of Energy (DOE) and the final vehicle or equipment disposition documentation must be submitted to ODSA. If the vehicle or equipment was originally purchased with a combination of DOE and other funds, the excess proceeds must be pro-rated by the percentage that DOE originally contributed to the purchase. DOE permission is required to dispose of any vehicle purchased with DOE funds.

Trade-In Vehicles or equipment may also be disposed of by applying the trade-in value of the item towards reducing the cash purchase price of another item. This requires prior OCA approval if the vehicle or equipment to be disposed of has a current fair market value of $5,000 or more. In this scenario, the grantee must adhere to the disposition instructions listed above.


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I. Vehicles, Equipment, and Property Management

Property management is an important part of managing HWAP. It should be a routine and manageable process. This means developing systems to track who has or is responsible for specific pieces of equipment or vehicles, and periodically checking to make sure that equipment and vehicles are where they should be, and that they are in good working order. It also means having a procedure to document the disposal of equipment that no longer works, or that is no longer appropriate for use in the program. This section will lay out HWAP minimum requirements for Property Management. Please refer to 2 CFR 200 for more information on Equipment and property management.

1. Minimum Requirements A control procedure must be developed to ensure adequate safeguards to prevent

loss, damage, or theft of the property. Any loss, damage, or theft must be investigated and appropriate action taken.

Adequate maintenance procedures must be developed to keep the property in good condition.

A written policy on Tool and Equipment accountability shall be established and followed. The policy must include:

– documentation that tools or equipment were assigned to and received by a specific employee;

– specific identification of the liability of the receiving employee in the event of loss, damage, or theft;

– responsibility of employee to report loss, damage, or theft within a reasonable amount of time;

– periodic review of records of loss, damage, or theft to determine trends or patterns which might indicate problems with individual employees; and

– documentation that tools or equipment were returned by the employee at the termination of employment or other appropriate time.

2. Records and Logs

All vehicles and all tools and equipment with an acquisition cost of $1,000 or more and a useful life of more than one year purchased with HWAP funds must be logged and maintained as specified in this manual using the HWAP Vehicle and Equipment Inventory Log form. Grantees must assign an individual inventory control number to each tool or piece of equipment. The number must be affixed to the item. The tag should also say "HWAP". Vehicles should simply be identified and logged using the Vehicle Identification Number (VIN). Daily vehicle logs must be kept to record mileage, users, problems, maintenance, and current condition. Vehicle usage logs must be submitted to the Energy Coordinator or equivalent for review/approval at least monthly. Review should be documented and must include an assessment of the staff members using the vehicles, reasons for usage, mileage, and any maintenance needed or performed. Sample forms attached for use by grantees include the Daily Vehicle Log, Weekly/Monthly Preventative Maintenance Checklist, and Vehicle Maintenance Request Form/Log.


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HWAP-owned Vehicles may only be used in conjunction with allowable HWAP activities, unless user fees are paid in accordance with 2 CFR 200.313. Assigning Tools and Equipment One staff member should be responsible for tracking tools and equipment assigned out to the inspectors and/or crews. Each crew member should be assigned a basic tool kit (hammer, screwdrivers, safety equipment, etc.). Power tools, blowers, ladders, etc. may be assigned to crew chiefs, or on an as needed basis, or each vehicle may be equipped with these items. In this case, the vehicle and its contents should be assigned to the crew chief. A form similar to a materials requisition form should be used to assign tools and equipment. This is not a form that has been developed by OCA. The items should be assigned by brand name, serial number, etc. The form should include a statement of the receiver's responsibility and liability for damaged or lost tools, and should include the signatures of both the assigner and the receiver. Returning Tools and Equipment When employees leave or change positions, it is necessary for them to turn in the items assigned to them. The employee turning in the tools and equipment and the person they are being turned in to should both sign the form verifying the items returned and the items missing, if any. Again, this is not a form that has been developed by OCA. Physical Count An annual physical count, conducted by two people, must be taken of all tools, equipment, and vehicles. It is recommended that grantees conduct periodic inventories of the items assigned to field staff and trucks. This may also be part of the maintenance schedule for some items. Checking them at specified intervals will not only verify that they are where they are supposed to be, but should also alert staff to potential problems, or allow for periodic cleaning and maintenance.

3. Storage

Tools and equipment must be stored in a lockable space, preferably inside the warehouse. If it is not possible to set up a secure tool room, then consider a lockable storage cabinet or box. Vehicles should be stored in a secure location whenever possible. Storing expensive tools and equipment inside vehicles that are parked outside is not recommended. Care should be taken to minimize unauthorized access to tools and equipment while at the job site.

4. Sharing Vehicles, Tools, and Equipment Per 2 CFR 200.313, grantees must not use vehicles, tools, or equipment acquired with the Federal award to provide services for a fee that is less than private companies charge for equivalent services for as long as the Federal Government retains an interest in the equipment. Charges for tools/equipment/vehicle rental must be charged to Program Income and are subject to the rules of use for that category.


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J. Accounting and Financial Procedures

1. Applicable Circulars, Federal Policies, and Standards

All HWAP grantees are required to have an accounting system which provides clear and accurate records of the receipts and disbursements of HWAP funds. The following federal rules govern the HWAP program: 2 CFR 200: Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards 10 CFR 440: Weatherization Assistance for Low-Income Persons

A financial audit is a process whereby a Certified Public Accountant, governmental auditor, or other individuals familiar with accounting and bookkeeping systems makes a careful review of the accounting system and gathers evidence both from within the grantee and outside sources. The evidence permits the auditor to express an opinion on the fairness and reliability of the grantee’s financial records and accounting practices. It is the intent of ODSA that audits will be primarily concerned with the fiscal aspects of the program. However, certain compliance issues, primarily those related to program guidelines concerned with financial policies, may also be addressed.

2. Internal Accounting Controls

Internal accounting control refers to all of the various policies and procedures a grantee uses to ensure the following: Assets are safeguarded; Accounting and other records are reliable; Operations are efficient; and Adherence with prescribed managerial policies.

Internal accounting control is the plan of organization which is primarily concerned with safeguarding assets and the reliability of accounting records. The purpose is to establish and maintain effective internal controls that provide reasonable assurance that management of the award is in compliance with federal statutes, regulations, and terms and conditions of the award.

While it is not anticipated that an audit will include tests designed to permit a determination of the adequacy of the grantee’s internal controls, the auditor may review and comment on selected internal control areas in which weaknesses are discovered.

3. Legal Compliance

All grant agreements come with restrictions as to what costs are allowable and as to what financial management practices are permissible. The grantee should consult 2 CFR 200, the Federal Financial Management regulations, ODSA information updates and manuals, and the grant agreement. Auditors generally test compliance with those laws, rules and regulations which, if violated, could have a material impact on the program or the grantee.


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K. Progressive Corrective Action

Grantees that fail to meet the terms of the federal regulations, state policies and procedures, and/or their own policies and procedures, may face corrective action. This section outlines the process for Progressive Corrective Action with weatherization grantees.

1. Causes

The Progressive Corrective Action process is implemented when specific issue(s) arise or non-compliance occurs, during the performance of the HWAP by the grantee. The need for Progressive Corrective Action can occur when:

The grantee has not complied with the applicable requirements of 10 CFR Part 440 or 2 CFR 200; and/or

The grantee has not complied with any applicable program statute or rule, including this manual, the Ohio Standard Work Specifications, and the Ohio Field Guide; and/or

The grantee has not complied with any term or condition of the award. Issues that may result in corrective action include but are not limited to the following: Significant or repeated findings from technical or administrative field visits Declining performance Complaints from clients, employees, the governing body, legislators, media or other

governmental agencies Late, incorrect or incomplete report(s) or application(s) Significant and unusual fiscal issues High turnover in staff at the agency Repeated violations of health and safety requirements Any action that has placed a client in imminent danger

2. Continuous Improvement Plan (CIP)

A grantee may be placed in a state of “Continuous Improvement” (Continuous Improvement Plan) and a plan of Corrective Action may be required by ODSA as part of the process for corrective action. The Continuous Improvement designation is assigned to weatherization grantees that fail to meet technical or administrative expectations of the program or are designated High Risk on the annual assessment provided to grantees (see section F, Quality Control). When a grantee’s performance reveals a failure to conform to the terms of the grant agreement, ODSA may follow the procedures as outlined in Ohio Administrative Code (OAC) Chapter 122:12-1. Any grantee that voluntarily relinquishes the HWAP or is terminated is prohibited from competing in any RFP for a period of 12 months following the last day of the grant period.


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L. Closeout or Termination of Local HWAP Grantee

It is necessary to have procedures and requirements established in the event that an individual grantee or program closeout is necessary. In the event of a statewide closeout, the federal funding source would provide closeout instructions which could alter the procedures listed below. When a closeout is necessary, there are a number of activities that must occur. Some of these activities are the responsibility of the HWAP grantee and some are the responsibility of the ODSA.

1. ODSA Responsibilities During the closeout, ODSA will have primary responsibility for the following: Notify the grantee of the effective termination date and provide the appropriate closeout

instructions. Revise grant agreements, if necessary, to encompass closeout activities, identify

allowable costs, and provide adequate funds to accomplish closeout. When determining closeout costs, ODSA will be guided by the appropriate sections of the DOE Financial Assistance Rules and the Uniform Administrative Requirements.

Assist the grantee as necessary to accomplish a timely closeout. Monitor the grantee closeout activities to assure accurate and timely completion. The OCA Deputy Chief is the Closeout Coordinator, and will be the primary point of contact for the grantee.

2. Grantee Responsibilities During the closeout, the HWAP grantee will have primary responsibility for the following: Access to OCEAN and/or other reporting systems must be restricted to only necessary

personnel and all access terminated upon grant termination; Cancel all outstanding obligations which are unnecessary to accomplish the closeout.

This includes making a documented good-faith effort to cancel obligations and leases. If a good-faith effort is not made, ODSA/OCA is not obligated to pay lease costs beyond the closeout date;

Determine the staff necessary to accomplish closeout, and based on established personnel policies and procedures deal with personnel related issues;

Identify all in-progress units, and estimate the materials, time, labor, and cost to complete or secure the units;

Perform and document any inventory of tools, equipment, and vehicles purchased with grant funds. All program property shall be identified and labeled;

Cease accepting and processing applications and notify unserved applicants of the interruption in or termination of services, or the transition to a new/interim grantee;

Securely package and label all program and financial records when no longer needed for other closeout activities;

Transfer or dispose of all program property and records as instructed by ODSA/OCA; Return all grant balances; Submit final reports as required;


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Cooperate in the conduct of a final audit; and Return any grant balances necessary as a result of adjustments identified in the final audit

and repay any disallowed costs. Closeout will be considered complete when all of the activities listed above are executed (program property is secured, program obligations are paid, and the ODSA can sever its HWAP relationship with the grantee). Please see Ohio Administrative Code Chapter 122:12-1 for additional information regarding closeout.

3. Emergency Provider In the event of termination of any provider of weatherization, in order to achieve continuity of services to eligible clients, ODSA may in its discretion assign a temporary provider until such time that a competitive RFP can be made for the territory.

4. Public Hearing At the time a permanent grantee is chosen, a public hearing will be held to make the announcement and take all public comments. Please note, a public hearing is not required to name an emergency temporary provider.


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M. Definitions

ADMINISTRATIVE COSTS are costs not directly related to the weatherization of a house but necessary to the overall program operation, such as bookkeeping, secretarial services, office supplies and telephones.

ADMINISTRATIVE MONITORING TOOL is a tool used by ODSA administrative monitors to evaluate a grantee’s performance.

ADMINISTRATIVE CLIENT FILE CHECKLIST FORM is a checklist used by ODSA staff when reviewing client files. The Administrative Quality Assurance Form should be completed by the grantee for every job completed and placed at the front of the client file.

AREA AGENCY ON AGING (AAA) is a local agency established under the Federal Older Americans Act to provide services to individuals and/or families 60 years of age or older.

ASHRAE is a Health and Safety Measure adopted by the U.S. Department of Energy (DOE) which ensures that adequate ventilation is provided in order to maintain healthy indoor air quality for the residents of the home.

ASHRAE CALCULATION WORKSHEET is a tool used to calculate the necessary ventilation required in order to maintain healthy indoor air quality.

ASHRAE NOTIFICATION FORM is a form used to educate the client on the importance of indoor air quality, to describe the ASHRAE fan to be installed in the home (if necessary), and to obtain the client’s permission to install the fan.

AUTHORIZED AGENCY is an individual authorized to make decisions on behalf of a property owner or landlord.

BUILDING WEATHERIZATION REPORT is a report submitted in OCEAN, used to detail HWAP jobs completed and the costs associated with those jobs.

BUILDING WEATHERIZATION REPORT (BWR) is a DOE form (revised by ODSA) that must be completed for each building weatherized. The BWR is submitted to OCA as part of the required monthly reports.

BULK PURCHASING is the practice of buying weatherization Materials in large quantities in order to obtain better prices and to keep commonly used Materials on hand.

CHANGE ORDER is a document detailing changes made to the original Work Order. Change Orders must be signed by the inspector in order to be valid.

CHILD is any person 18 years or under.

COMMUNITY ACTION AGENCY (CAA) is a private corporation or public agency established pursuant to the Economic Opportunity Act of 1964, Pub. L. 88-452, which is authorized to administer funds received from federal, state, local, or private funding entities to assess, design, operate, finance, and oversee antipoverty programs.

COMMUNITY DEVELOPMENT DIVISION (CDD) is the division within ODSA which includes the OCA and other offices that administer community development programs and programs aimed at reducing poverty.


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COMPLETED UNIT is a dwelling unit on which all the required measures have been finished, final inspections have been done, all work quality deficiencies have been corrected, and for which the client file is complete.

CONTINUING EDUCATION UNIT (CEU) is a credit awarded to a professional person or organization for having attended an educational program relevant to the goals of the organization or certification program.

CONTINUOUS IMPROVEMENT PLAN (CIP) is a designation assigned to weatherization providers that fail to meet technical or administrative expectations of the program or are designated High Risk on the annual Risk Assessment provided to Grantees.

CONTRACT is the legally binding document between two or more parties in which the parties agree to accomplish a specific purpose, such as the provision of certain services, under specified terms and conditions. For HWAP there are two types of contracts: the Grant Agreements between ODSA and the Grantee, and procurement contracts between a local provider and a contractor or supplier.

CONTRACTOR is a private individual or firm, not associated with or controlled by the provider, engaged in delivering goods and/or services in support of the HWAP.

COST-JUSTIFIED is a term used to describe a measure that has an acceptable payback, return-on investment, or savings-to-investment ratio.

DATA COLLECTION FORM is a DOE form (revised by ODSA) that must be completed for each single unit weatherized. One Data Collection Form may be completed for a multi-family building. The form is designed as a tool to estimate the work to be done according to the priorities established for each particular dwelling type.

DEFERRAL OF SERVICES NOTIFICATION FORM is a form used to notify the client that weatherization services have been deferred due to various conditions within the home that prevent safe, effective, and/or meaningful weatherization from being performed. Examples of such conditions include but are not limited to standing water, mold, electrical or plumbing hazards, and infestations. Once the conditions have been addressed, the home may be eligible for re-evaluation.

DEPARTMENT OF ENERGY (DOE) is the U.S. Department of Energy, a cabinet-level agency of the United States government which is headed by the Secretary of Energy. DOE provides federal funding to Ohio for HWAP.

DISABLED PERSON is any individual (1) who is a handicapped individual as defined in Section 7(6) of the Rehabilitation Act of 1973, (2) who is under a disability as defined in Section 1614(a)(3)(A) or 223(d)(1) of the Social Security Act or in Section 102(7) of the Developmental Disabilities Services and Facilities Construction Act, or (3) who is receiving benefits under Chapter 11 or 15 Title 38, U.S.C.

DISALLOWED COST is a cost that is not allowable under HWAP rules. Disallowed Costs must not be paid for using HWAP funds.

DWELLING UNIT is a house, including a stationary mobile home, an apartment, a group of rooms, or a single room occupied as a separate living quarters.


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EA-QUIP AUDIT is audit software that analyzes energy use and energy conservation opportunities in single and multi-family structures.

EIA 29-D (Homeowner Authorization Form) is a form to be completed by the homeowner prior to weatherization services, giving the grantee permission to perform certain measures on the structure.

ELDERLY PERSON is a person who is 60 years of age or older.

ELIGIBLE HOUSEHOLD is a dwelling unit that is eligible to receive HWAP services by having total income equal to or less than 200 percent of the federal poverty guidelines; or being eligible for HEAP; or of having a member that received TANF or SSI at some time during the previous 12 months.

ENERGY AUDIT is a process to take measurements and make calculations to determine energy usage and potential energy savings to be achieved by completing retrofits.

ENERGY CONSERVATION MEASURE (ECM) is a measure or activity that reduces the energy consumption of a dwelling unit.

ENERGY SAVERS PARTNERSHIP PLAN is a Consumer Education form that identifies areas in which the client can change their habits in order to save additional energy in their home.

EQUIPMENT is equipment purchased with HWAP grant funds.

FAMILY UNIT is all persons living together in a dwelling unit.

FEDERAL REGISTER is the federal publication which contains notices, proposed and final rules and regulations of all governmental agencies. The primary sections that govern HWAP are 10 CFR Parts 440 and 600.

FIELD GUIDE is a work standard/quality reference document designed to be used by Ohio HWAP field staff members.

FINAL CERTIFICATION FORM is a form certifying that the inspection was performed by a Quality Control Inspector and that it adheres to all applicable standards and guidelines. It must be signed by both the QCI and the client. Additionally, if the unit is selected for monitoring, the QCI certified monitor must also sign the form.

GRANT is any funds provided by means of a contract or grant agreement from ODSA.

GRANT AGREEMENT is the contract between ODSA and the Grantee for provision of HWAP services.

GRANT APPLICATION is the HWAP grant application package located in OCEAN.

GRANTEE is any organization receiving a grant from ODSA. Grantee may also include any Partner Agencies or contracted entities working with the direct Grantee.

GRANTOR is ODSA.


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GROUP HOME is a dwelling unit in which three or more people, not related by blood or marriage, are residing in a single unit, not owned by a government agency, where eating facilities are shared.

HAZARD COMMUNICATION PLAN is a plan, developed by the grantee, designed to ensure that information about potential job hazards and associated protective measures is disseminated.

HEALTH AND HUMAN SERVICES (HHS) is the U.S. Department of Health and Human Service, a cabinet level agency of the U.S. government which administers HEAP.

HEALTH AND SAFETY MATERIALS is materials used in the installation of health and safety measures in a dwelling unit.

HEALTH AND SAFETY MEASURE is work done to eliminate conditions hazardous to the occupant's health and safety that exist before, or as a result of, the installation of HWAP energy efficiency improvements to the dwelling.

HIGH ENERGY BURDEN is a household with an income at or below 175 percent of the Federal Poverty Guidelines.

HIGH ENERGY USER is a household with an income at or below 175 percent of the Federal Poverty Guidelines.

HOME ENERGY ASSISTANCE PROGRAM (HEAP) is the HHS funded program which provides financial assistance for heating costs to low-income households.

HOME VISIT SURVEY is a form to be completed by the grantee prior to the initial inspection in order to determine the household habits, any potential for deferral, and any previous weatherization measures installed in the home.

HOME WEATHERIZATION ASSISTANCE PROGRAM (HWAP) is the Ohio program that includes the DOE funded low-income weatherization program. HWAP provides weatherization services to eligible households at no cost to the household.

HWAP COORDINATOR is the person responsible for the day-to-day management of a local HWAP.

HWAP EXCESS VEHICLE AND EQUIPMENT LOG is a form used by grantees to notify ODSA of excess HWAP vehicles or equipment.

HWAP PROPERTY DISPOSAL FORM is a form used by grantees to notify ODSA when they have disposed of HWAP vehicles or equipment with a fair market value of less than $5,000.

HWAP VEHICLE AND EQUIPMENT INVENTORY LOG is a form used by grantees to account for the HWAP-owned vehicles and equipment that they currently have in their possession.

INCIDENTAL REPAIR MEASURE (IRM) is a repair which is performed because it is deemed necessary for the effectiveness of one or more energy conservation measures.

INCOME is all funds received by a family unit from applicable sources as specified in the most recent U.S. Department of Energy (DOE) guidance.


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INCOME ELIGIBLE is any family unit whose income for the 12-month period immediately preceding the date of application is at, or below, 200 percent of the federal poverty guidelines.

INDEPENDENT AUDIT is an examination of the financial records of the local HWAP by a qualified individual or organization not employed by, or directly affiliated with, the organization being audited.

INELIGIBLE HOUSEHOLD is a family unit which does not meet HWAP eligibility requirements.

INITIAL INSPECTION is a thorough assessment or audit of the client’s home in order to determine which measures can be performed. The assessment includes various forms of testing, consumer education, and the development of the work order.

LABOR is actual labor rates associated with the installation of HWAP materials.

LANDLORD-TENANT-AGENCY AGREEMENT is a document between the local HWAP grantee, a landlord and the landlord's tenant which at a minimum includes three specific provisions: (1) the landlord shall not raise the rent based solely on the value of the weatherization service; (2) no undue or excessive enhancement to the property will occur; and (3) amount and use of contributions the landlord will provide towards the weatherization work or as a result of the weatherization work. A local grantee has the option to negotiate other provisions with the landlord and tenant.

LEAD CERTIFICATION CHECKLIST is a form to be completed by the certified Lead Renovation, Repair, and Painting (RRP) worker when lead-safe weatherization practices will occur in homes constructed prior to 1978. The form must be completed each day lead-safe weatherization work practices are required.

LEAD PAINT NOTIFICATION FORM is a form to be completed by the grantee and signed by the client certifying receipt of the Renovate Right pamphlet in homes constructed prior to 1978.

LEVERAGED FUNDS are funds other than HWAP used to install HWAP-eligible measures in a dwelling unit.

LOCAL PROVIDER is an organization that operates an HWAP. This includes both grantees and partner agencies.

LOW-INCOME means that income in relation to family size is at or below 150 percent of the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget.

MAJOR FINDING is an item that has the potential to affect the health and safety of the occupants, or high priority energy measures are being missed, written off, or not being addressed.

MANUAL J is a tool used to calculate the heating and cooling load for the dwelling.

MANUFACTURED HOME is a home built on a steel undercarriage with a necessary wheel assembly, to be transported to a permanent or semi-permanent site. The wheel assembly can be removed when the house is placed on a permanent foundation, but the steel undercarriage remains intact as a necessary structural component.


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MANUFACTURED HOME ENERGY AUDIT (MHEA) is a DOE approved software tool used to analyze home energy consumption for manufactured homes and recommend weatherization retrofit measures.

MATERIALS are materials used in the installation of Energy Conservation Measures (ECMs) in a dwelling unit. Allowable materials and materials standards are found in the WPS, 10 CFR 440, Appendix A, or 2 CFR 200.

MEASURE is an activity or group of activities related to weatherization of a dwelling unit.

MINOR FINDING is an item that does not affect client health and safety and may not result in a callback, or some measures are not being installed resulting in minor missed opportunities for savings, or testing performed but not documented adequately.

MODERATE FINDING is an item that needs to be addressed/callback, but does not present an immediate health and safety concern, or some measures are not being installed resulting in missed opportunities for savings, or some instances of testing (blower door, ASHRAE fan, etc.) not being completed or results of testing not being properly understood

MOLD ASSESSMENT AND RELEASE FORM is a form to be completed during or shortly after the initial inspection to notify the client of either the presence or the absence of mold or excessive moisture in their home. The form is signed by the client and placed in the client file.

MULTI-FAMILY DWELLING UNIT is a structure which contains more than one dwelling unit.

NATIONAL ENERGY AUDIT (NEAT) is a DOE approved software tool used to analyze home energy consumption and recommend weatherization retrofit measures.

OHIO COMMUNITY ENERGY ASSISTANCE NETWORK (OCEAN) is the online reporting system for Ohio HWAP.

OFFICE OF COMMUNITY ASSISTANCE (OCA) is the Ohio Development Services Agency office responsible for administration of the HWAP.

OFFICE OF MANAGEMENT AND BUDGET (OMB) is the federal executive office which is responsible for issuing rules and regulations which govern the management of federal grants.

OHIO DEVELOPMENT SERVICES AGENCY (ODSA) is the cabinet-level agency of the State of Ohio which administers HWAP. ODSA contains the Community Development Division which contains the Office of Community Assistance. ODSA is referred to in the HWAP Grant Agreements.

OHIO WEATHERIZATION TRAINING CENTER (OWTC) is the training facility funded by a grant from ODSA. The OWTC provides training to grantees and contracted installers which primarily emphasizes the technical knowledge and skills necessary to complete the weatherization work on a dwelling unit.

OWNER/AUTHORIZED AGENT is an owner, landlord, or otherwise authorized individual for a rental unit or dwelling.

OWNER/TENANT/AUTHORIZED AGENT AGREEMENT is an agreement between the Owner/Authorized Agent, the tenant, and the grantee, which specifies the responsibilities of each party.


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PARTNER AGENCY is an organization that partners or contracts with a grantee to provide HWAP services.

POLICY ADVISORY COUNCIL (PAC) is the volunteer group that meets to advise ODSA on energy conservation policies and programs. The committee's membership includes representatives of the State Legislature, other State agencies, and HWAP local providers. There is a permanent HWAP Subcommittee that advises the OCA on policy development.

POVERTY GUIDELINES are the guidelines issued annually by OMB which identify a poverty threshold by comparing income to family size.

PRIORITY LISTS OF MEASURES are a list of approved measures by ODSA for a specific housing type.

PROVIDER is an organization providing HWAP services. Providers include grantees and partner agencies.

PROGRAM INCOME is gross income received by the grantee directly generated by a grant supported activity, or earned only as a result of the Grant Agreement during the grant period.

PROGRAM YEAR (PY) is the 12-month period beginning July 1 and ending June 30 for HWAP.

QUALITY CONTROL INSPECTION CHECKLIST is a form used by the QCI certified final inspector to determine whether or not all required measures have been performed according to current standards.

QUALITY CONTROL INSPECTOR (QCI) is an individual who holds a certification defined by the US Department of Energy as an inspector who verifies compliance of retrofit work performed on work plans and standards. The QCI certification is required for all individuals performing final inspections.

RENTAL DWELLING UNIT is a dwelling unit occupied by a family unit which pays rent for the use of the dwelling unit.

RENTER see tenant.

REPAIR MATERIALS are materials used for work necessary to protect the integrity of the weatherization retrofit.

REQUIRED MEASURES is the list of weatherization retrofits that must be applied to a standard housing type. The lists were developed based on Ohio's standard housing types using the NEAT.

RETROFIT is a measure applied to an existing dwelling unit to improve the unit's heating or cooling efficiency.

RISK ASSESSMENT TOOL is an annual performance evaluation used to determine a grantee’s risk level.

SAVINGS-TO-INVESTMENT RATIO is a measurement of how many times an energy retrofit pays for itself during its lifetime and includes discounting the investment value and escalations in fuel costs.


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SEPARATE LIVING QUARTERS are living quarters in which the occupants do not live and eat with any other persons in the structure and which have either (1) direct access from the outside of the building or through a common hall or (2) complete kitchen facilities for the exclusive use of the occupants. The occupants may be a single family, one person living alone, two or more families living together, or any other group of related or unrelated persons who share living arrangements and includes shelters for homeless persons.

SERVICE AREA is the specific geographic area for which a local provider has responsibility to provide HWAP services.

SHELTER is a dwelling unit or units whose principal purpose is to house on temporary basis individuals who may or may not be related to one another and who are not living in nursing homes, prisons, or similar institutional care facilities.

SINGLE FAMILY DWELLING UNIT is a structure containing no more than one dwelling unit.

STATE HISTORIC PRESERVATION FORM is a form used to certify that the weatherization services to be performed in the home are exempt from the State Historic Preservation requirements for homes that are fifty years or older.

STANDARD HOUSING TYPE is one of the nine standard dwelling unit types defined by ODSA.

STANDARD WORK SPECIFICATIONS (SWS) is the set of work standards used by Ohio HWAP.

SUPPORT COSTS are costs directly related to the weatherization of a dwelling unit. Examples include program staff salaries and fringes, purchase of tools and equipment, and warehouse costs.

SUPPORT/MATERIALS SPLIT is the ratio between Support Costs spent and materials dollars installed or budgeted.

SUPPORT STAFF is staff who perform specific HWAP duties including inspections, the installation of materials, and supervision or direct support (scheduling of appointments, coordinating jobs and work orders, etc.) of those who install materials or perform inspections. TECHNICAL MONITORING TOOL is a packet of forms used by the ODSA technical monitor during the site visit. It is used to evaluate the quality of the work performed as well as whether or not it adheres to the Standard Work Specifications.

TENANT is any family unit that occupies a rental dwelling unit.

TOOLS are tools or equipment purchased with grant funds.

TRAINING & TECHNICAL ASSISTANCE (T&TA) is specific training provided to the grantee by ODSA, OWTC, or other specified individuals. T&TA can be requested by the grantee or it may be required by ODSA.

TRAINING & TECHNICAL ASSISTANCE FUNDS (T&TA FUNDS) are funds in the HWAP grantee budget designated for allowable training, conferences, travel expenses and accommodations, per diem, and training materials.

VEHICLES are vehicles purchased with HWAP grant funds.


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VENDOR is a business establishment from which a local provider purchases HWAP goods or services.

WAIVER REQUEST is a written request from a local provider to exempt it from a specific standard or requirement due to unusual circumstances beyond the provider's control. Such requests must be approved in writing by the OCA prior to being effective.

WAREHOUSE is the physical facility (building or portion thereof) used for the storage of weatherization Materials.

WEATHERIZATION ACTIVITIES are the installation of energy conservation measures, incidental repair measures, and/or health and safety measures in a dwelling unit.

WORK ORDER is a document created by the initial inspector which details the measures to be completed in a dwelling unit.

WORST CASE DRAFT is a test performed in all homes containing combustion appliances in which the worst case drafting scenario is simulated so that preventative measures can be taken.


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N. Attachments

1. Administrative Monitoring Tool

2. Administrative Quality Assurance Form

3. ASHRAE Notification Form

4. Building Weatherization Report

5. Data Collection Form

6. Deferral of Services Notification Form

7. EIA 29-D Homeowner Authorization Form

8. Energy Savers Partnership Plan

9. Final Certification Form

10. Client Satisfaction Survey

11. HWAP Excess Vehicle and Equipment Log

12. HWAP Property Disposal Form

13. HWAP Vehicle and Equipment Inventory Log

14. Lead Certification Checklist

15. Lead Paint Notification Form

16. Manual J

17. Mold Assessment and Release Form

18. Priority Lists of Measures

19. Quality Control Inspection Checklist

20. Risk Assessment Tool (most recent)

21. Sample HVAC Contract

22. Sample Inspector (Auditor) Contract

23. Sample Owner Tenant Agency Agreement (OTAA)

24. State Historic Preservation Form

25. Technical Monitoring Tool

26. Worst Case Draft