Transcript Weatherization Assistance Program

2010 Orientation for State WAP Directors and Staff
WAP State Plan Application:
Annual File and On-File
Holly Ravesloot, Michael
Peterson, Jean Diggs
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Application Instructions and Forms
 Revised – November 2005 in WPN 06-3
 Formerly – two “files”
– “Annual File” – application components that changed annually
– “Master File” – application components that were generally
unchanged from previous year
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Application Instructions and Forms
 Now:
– States no longer required to prepare a Master File
 Must maintain current information consistent with
Program guidance On-File at the State Office
– Will be monitored by DOE staff during routine
monitoring
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Grant Application Format
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Grant Application – Standard Form 424, Version 02
Budget – SF 424 A
Budget Justification – PMC 140.2 or equivalent
Subgrantees - DOE F 540.5
Production Schedule
Energy Savings
Training, Technical Assistance and Monitoring Activities
Leveraging Activities
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Grant Application Format (cont’d)
 Policy Advisory Council
 Hearings and Transcripts
 Adjustments to On-File Information
 Miscellaneous
 SF-LLL - only if applicable
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Annual File
 II.1 Grant Application - Standard Form 424 (SF424) (p. V-3 thru V-8)
– required of each agency applying to DOE’s
Weatherization Program for grants
– SF-424, Version 2, dated 10/05
– Also, required for subsequent funding changes
(federal and non-federal)
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Annual File - Budget
 II.2.1 SF-424A, Budget Information – Non Construction Programs
(pp.V-9 thru V-12)
– Section A: Budget Summary lines 1-5, Columns (a) through
(g).
 Line 1, enter new/unexpended (carryover) DOE and/or
grantee funds.
 Use separate lines for each “other” funding source.
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Annual File - Budget
– II.2.2 SF-424A, Section B: Budget Categories, Column
Headings
 Grantee Admin, Subgrantee Admin, Grantee T&TA,
Subgrantee T&TA, Program Operations, Health and Safety,
Vehicles and Equipment, Liability Insurance, Leveraging, and
Financial Audit
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Annual File - Budget
 The “Total” Column on page 1 should reflect the sum of all
three pages; Section A total should equal Section B total.
 On lines “a” thru “h” of Section B, if the grant program function,
or activity relates solely to subgrantee expenditures, the total
estimated costs should be reflected in the contractual
category (line f)
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Annual File - Budget
 Health & Safety
– Reminder: if costs are budgeted and reported under, they
are not included in the average cost/unit. If costs are
included in the Program Operations category, they are
subject to average cost/unit
 Liability Insurance
– Reminder: “pollution occurrence” insurance should be
budgeted here
 Financial Audit
– Reminder: States may not budget for subgrantees
expending less than $500,000 in federal funds (OMB
Circular A-133)
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Annual File – Budget
 II.2.3 Budget Explanation for Formula Grants (pp. V-9 – V-11)
 Required annually and with subsequent amendments
 Corresponds to Section B of SF-424A
 Format shall follow the object class categories and information
requested on the PMC-140.2
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Annual File – Worksheet
(Form DOE F 540.2 or equivalent)
 II.3 Subgrantees
– List of subgrantees including the name, tentative allocation,
number of units to be weatherized,
– Subgrantee contact information including name, address,
contact information, labor source, Congressional district(s),
and counties served. (DOE F 540.5 or equivalent)
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Annual File
 II.4 Production Schedule
– Total number of planned weatherized and reweatherized
units under the program rule and with grant funds
– Vehicles and Equipment ($5,000 or more) Average Cost per
Dwelling Unit calculation – for those states that plan to
amortize the cost of vehicles and equipment
– Average Cost per Dwelling Unit – calculation of expected
average cost including vehicles and equipment
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Annual File
 II.5 Energy Savings
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Provide estimate of expected energy savings (440.14(c)(4))
Include the methodology used to calculate savings including
the information sources for energy savings/unit
If no methodology has been developed by States, use DOEprovided formula (estimated homes to be weatherized x 30.5
MBTU)
 This may skew state-level energy savings estimates –
DOE is revisiting the approach used to estimate energy
savings
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Annual File
 II.6 Training, Technical Assistance and Monitoring Activities
– Indicate method used to ensure quality of work and financial
management at the local level
– Include description of activities to be undertaken during the
program year with funds budgeted under T&TA or Admin for
training and technical assistance and/or monitoring
– Establish milestones and estimate due dates.
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Annual File
 II.7 DOE-Funded Leveraging Activities
– Explain how DOE funds (as indicated on SF-424A) will be used
to increase the amount of assistance provided to eligible clients
– Leveraging = obtaining additional program-targeted non-federal
cash or in-kind contributions as a result of Weatherization
Program-funded activities
– Explanation of (1) how funds will be used to obtain non-federal
resources, (2) how funds leveraged will support the DOE
Weatherization Program, (3) the leveraging effect of those
funds, and (4) rationale for the amount of funds used
– DOE funds must be used to obtain non-federal resources to:
 Increase the number of homes weatherized and/or
 Increase the scope or type of services provided
 Goal: At least a dollar for dollar return
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Annual File
 II.8 Policy Advisory Council (PAC)
– Policy Advisory Council (PAC) or State commission/council
must be established in accordance with 10 CFR 440.17
– Provide names, groups, organization or agencies
represented by members
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Annual File
 II.9 Hearings and Transcripts
– One or more hearing(s) must be held to receive comments on
the proposed application. Provide location and dates of
hearing(s).
– Requirement to give public notice 10 days prior to the hearing.
Provide dates of public notices.
– Unofficial notes/minutes or the official transcript must be
submitted to DOE. Include grantee responses to any
questions which were not resolved at the hearing.
– Reminders:
 Plans are to be made available for review throughout the
state prior to the hearing
 Include in Plan, all of the agencies which may be funded
during the PY, whether funded initially or serve as
alternates
 Emphasize the state allocation formula, process used to
determine local funding levels, anticipated allocations
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Annual File
 II.10 Adjustment to On-File Information
– Include any revisions, since the previous program year, to the
On-File Information (previously the Master File)
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Annual File
 II.11 Miscellaneous
– Can include notes from public hearing and Policy Advisory
Council meetings here
– Other activities not routinely administered as part of the
Weatherization Program
 Disaster Relief Plan, Energy Crisis Response, etc.
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Annual File
 II.12 Assurances and Certifications
– Assurances and Certification listed on page II-9 are NO
longer required. States agree to these assurances when
signing the new SF-424, and check Box 21.
– Standard Form –LLL is required ONLY if the grantee
performs lobbying activities
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Administrative Funds
 Funds Based on Total Grant
 CAP of 10%
– Not more than 5% for Grantee
– Not less than 5% for Subgrantee
 EXCEPT:
– Local agencies receiving less than $350,000 of new DOE
funds, up to an additional 5% may be used
– Procedures required
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Administrative Funds, Cont.
 New DOE and/or Stripper Well funding used for administrative
purposes can’t exceed 10% of NEW funding
 EXAMPLE:
– Total New DOE Funds ($2,000,000)
– Plus New EXXON Funds ($200,000)
– Plus New Stripper Well Funds (1,000,000)
– Total Funding - $3,200,000
– Of this Total Funding, $320,000 may be used
– The whole $320,000 may be taken out of DOE funds
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Administrative Funds
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Uses of these Funds Include
– Salaries
– Telephone Costs
– Space
– Copying
– Supplies
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Administrative Funds
 Allowable Administrative Cost Worksheet
– How to include carryover funds
– How to allocate additional 5% to agencies receiving less
than $350,000
– How to determine the maximum allowable administrative
costs under the grant
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Item I.
$
New DOE Funding (formula allocation
and/or DOE funds transferred from previous
grant)
+$
Other new funding this action
$
Total new funding subject to the “10%
Administrative Cost” Rule
(Allowable Grantee Administration)
$
Grantee Administration total from line k(1)
of the budget
-$
Item II.
Less Grantee Administration carryover
Grantee Administration subject to the “10%
Administrative Cost” Rule
$
Item
III.
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0.0
Divide Item II. by Item I and write out to
four decimal places (Item III may not exceed
5% or 0.0500)
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(Allowable Subgrantee Administration)
Item
IV.
$
Subgrantee Administration total from line
k(2) of the budget
-$
Less Subgrantee Administration carryover
$
Subgrantee Administration subject to the
“10% Administrative Cost” Rule
Item V.
0.0
Divide Item IV. by Item I and write out to
four decimal places (Item V. must exceed
5% or 0.0500 but should not exceed the
subgrantee limitation.)
Item
VI.
0.
Add Items III. and V. and write to answer to
four decimal places and must be less than
15% or 0.1500
Yes /
No
If Item VI. Is greater than 10% or 0.1000, the grantee has specified criteria under 10 CFR
440.18(d) for which subgrantees will receive additional administrative funds and how much
extra they will receive.
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Only if Item VI is greater than 10% or 0.1000, determine theoretical subgrantee
administrative cost limitation to compare with amount budgeted.
5%
Item I.
Subgrantee administration allowance for
new funds
$
+ 5%
of
Sum of local agencies allocations below
$350,000
+$
Item
VII.
Subgrantee Administrative Cost Pool
Component Limit
$
The maximum pool of new administration funds is 5% for the grantee (5% of Item
I.) plus the amount calculated for the administrative cost pool component limit (Item
VII). The grantee may transfer some of it’s funds to subgrantees. Any carryover
needs to be questioned and reprogrammed for production if not properly justified.
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Training & Technical Assistance Funds
 Regulatory cite for Training & Technical Assistance (T&TA)
– Section 440.23 Oversight, Training, and Technical
Assistance
– The Secretary may reserve from the funds appropriated for
any fiscal year an amount not to exceed 10 percent to
provide, directly or indirectly, training and technical
assistance to any grantee or subgrantee. Such training and
technical assistance may include providing information
concerning conservation practices to occupants or eligible
dwelling units.
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Training & Technical Assistance Funds
 Intended to maintain or increase the efficiency, quality, and
effectiveness of the Weatherization Assistance Program at all
levels
 Should be designed to maximize energy savings, minimize
production costs, improve program management and
crew/contractor “quality of work,” and or reduce the potential for
waste, fraud, abuse, and mismanagement
 Local service providers should be the primary recipients of T &
TA activities
 Annual File of the State Plan should describe how State will
identify and address the needs of subgrantees in this area
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III. On-File Information
Previously called the “Master File”
Still Labeled as “Master File” tab in WinSAGA
No longer required to submit a “Master File” each year
Must maintain information on file at State Weatherization Office
WinSAGA encouraged for use as a best practice, as long as it is
available
 This presentation illustrates how grantee meets minimum Program
requirements
 Changes to be addressed at public hearing & submitted in the
Annual File
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Also, from time to time on-file information may be requested by DOE
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III.1
Eligible Population
 Describe the population within the State or region, eligible to
receive services.
 Describe the priorities given to certain portions of the eligible
population.
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III.1.1 General Description
 Identify definition of “low-income” to be used, statewide. ARRA
2009 changed 150% to 200% of poverty level.
 Describe procedures to ensure that no dwelling unit is
weatherized without documentation that the unit is eligible.
 Identify definition of age for “children” to be used, statewide.
 Include a statement that low-income members of an Indian Tribe
will receive benefits equivalent to assistance provided to other
low-income persons in state.
 Unless the applicant has made the recommendation that the
tribal organization be treated as a local applicant
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III.1.2 Selection of Areas to be Served
 Provide an explanation of the method used to select each area
to be served by weatherization. (Generally this is on a countybasis or the service area of the community action agencies.)
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III.1.3 Priorities
 Describe any priorities given to certain portions of the eligible
population.
 Indicate procedures to assure that DOE-required priorities for
the elderly and persons with disabilities have been addressed.
 Briefly indicate which state determined priorities such as
children, high residential energy users, and households with
high energy burden have been selected.
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III.2 Weatherization Analysis
of Effectiveness
 Analysis of the existence and effectiveness of any
weatherization project being carried out by a subgrantee
 How the effectiveness of the subgrantee weatherization project
is assessed
 How productivity and energy savings between subgrantees are
compared
 How the comparisons are used in the development of T&TA
activities and priorities
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III.3 Health & Safety
 March 4, 1993, final rule revised the purpose and scope of the
Program to include improve the health and safety of low-income
persons served by Program
 Use Weatherization Program Notice 02-5 to develop H&S Plan
(also use 02-6, 08-6 and 09-6 to refine the Lead section)
 Before DOE funds can be expended for health and safety,
applicants must provide a list of:
– energy-related health and safety hazards to be abated with
DOE funds,
– permissible abatement materials, and
– the cost of the abatement material
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III.3 Health & Safety, Cont.
 DOE will approve the list if:
– Elimination of such hazards is necessary before, or as a
result of, the installation of weatherization materials, and
– the grantee sets forth a limitation on the percent of average
dwelling unit costs that may be used that is reasonable
– Note: Costs to abate health and safety hazards are not
included in the average cost per unit if budgeted and
reported separately under the health and safety cost
category
– However, if these costs are budgeted and reported under the
Program Operations cost category, these costs are included
in the average cost per unit.
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III.4 Rental Procedures
 Applicants shall describe how they will ensure that benefits of
weatherization to occupants of rental units are protected.
 Rental plans or procedures shall address protection of renters’
right.
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III.5 Program Management
III.5.1 Overview
 Organization
– Keep on file a description of the organization that operates
the Weatherization Program
– Include in description how weatherization activities are
structured within the organization
– Show the relationship of the weatherization organization to
other units of state government
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III.5.2 Administrative Expenditures
 Not more than 10% of grant funds may be used by grantee and
subgrantee for administrative purposes.
 Note more than 5% may be used by the state
 Not less than 5% must be made available to subgrantees
 Except: States may provide up an additional 5% to
subgrantees who receive less than $350,000 of new DOE
money
 Thus, a state may provide up to 10% to certain qualified
subgrantees
 In these cases a total of up to 15% would be allowable for
administrative purposes
 States should keep on file a description of these procedures
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III.5.3 Monitoring Approach
 The method used to ensure the quality of work and adequate
financial management control at the subgrantee level
 Describe the overall monitoring approach
 Include monitoring method used to ensure quality of work and
financial management control.
 Include percentage of T&TA funds spent on monitoring
 Describe monitoring activities specific to program year in
Section II.6 of the annual file.
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III.5.4 Training & Technical
Assistance - Approach
 Keep on file a description of the overall approach to training and
technical assistance, including:
– Client education
– How effectiveness of T&TA activities is addressed
– Whether certification or training of subgrantee staff is
required prior to hire (include a description of requirements)
– Where funds will be retained/deployed
 Specific T&TA and client education activities for the program
year should be described In Section II.6 of the application
package
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Doing Business with the Federal
Government
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Doing Business
 Any new Grantees must COMPLETE a one-time registration
process established in WPN 06-8. It is important to follow the
steps in the order outlined below. (Please allow 21 days to
complete the registration process (Duns # through FedConnect)
– Organization: Requests a DUNS Number
– Organization: Registers with the Central Contractor Registry
(CCR)
– Authorized Organization Representative (AOR): Registers
with the Credential Provider
– Authorized Organization Representative: Registers with
Grants.gov
– E-Business Point of Contact: Designates Authorized
Organization Representative
– E-Business Point of Contact: Registers in FedConnect
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Maintain Registration with CCR
 Organizations must renew their registration yearly to
maintain an “Active” status in CCR
 Grantees must also keep up-to-date:
 AOR
 E-Business Contact
 Certificate for WinSAGA to Grants.gov
 For more information on this please contact your
Project Officer
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