Transcript EERE Programs Briefing

NASCSP 2011 Mid-Winter Training Conference
Weatherization Assistance Program:
IG/GAO – Monitoring – QA
1 | Weatherization Assistance Program: The Federal Perspective (Part 1)
March 4, 2011
Holly Ravesloot, Christine Platt-Patrick &
Erica Burrin
eere.energy.gov
IG/GAO Reports:
Inspector General and General Accountability Office
A Review of Findings and Next Steps
Presenter: Christine Platt Patrick, DOE Policy Advisor
2 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Overview
Introduction
The IG/GAO
Findings and Trends
Next Steps
3 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – The Process
 The Inspector General (IG) Mission - To help the Department
and the American taxpayer by identifying opportunities for cost
savings and operational efficiencies in Department programs; and
returning hard dollars to the Department and the U.S. Treasury as a
result of Office of Inspector General civil and criminal investigations.
 The General Accountability Office (GAO) - GAO exists to support
the Congress in meeting its constitutional responsibilities and
to help improve the performance and ensure the
accountability of the Federal government for the benefit of the
American people.
4 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – The Process
 The audit process commences upon receipt of the incoming
notification letter from IG or GAO of their intent to conduct a review
with EERE.
Information contained in the notification letter includes:
 Job title, job code and a brief description of the assignment;
 Indication of whether the audit is the result of a Congressional
request or a IG/GAO initiative;
 Proposed entrance conference dates;
 Locations and specific program offices where work will be
performed, and
 Identification of the performing division, and the name and telephone
number of the appropriate IG/GAO contact for the audit.
5 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – The Process
 Attend entrance conference
 Respond to requests for information and documentation
 Statement of Facts/Coordination Copy
 Draft Report
 Respond with management decision letter with corrective
actions and estimated completion dates
 Exit Conference
 Final Report
6 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – Findings and Trends
 General IG/GAO Findings:
– Substandard performance in weatherization workmanship
– Substandard performance in initial home assessments
 Assessments that called for inappropriate weatherization measures
 Assessments overlooked key measures to make homes more
energy efficient
–
–
–
–
–
–
–
Inadequate oversight of contractors
Inaccurate documentation for contractor billing
Homes failing final inspection
Inadequate recordkeeping
Inadequate payroll systems to track employee’s time on projects
Incomplete client files
Fraud, waste and abuse of funds
7 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – Next Steps
Investigations Are Changing Focus
–Prior Focus: Department level
–New Focus: CAA level
8 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – Next Steps
What CAAs Can Do
9 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – Next Steps
 Procure contractor weatherization services through a
competitive process as required by Federal regulations and
perform cost analyses in the selection of contractors to ensure
price competiveness.
 Obtain and/or review supporting documentation for
contractors' invoices to ensure that materials and labor costs
incurred on projects are associated with allowable
weatherization services and materials.
 Ensure that employees charging payroll costs to the
Weatherization Program Recovery Act grants are actually
providing such services to the Program.
10 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – Next Steps
 Develop written policies and/or procedures for ensuring cost
reasonableness and supportability.
 Develop/ensure payroll systems are structured to track
employee's time incurred on projects.
 Ensure payments for expenditures are appropriately
documented and accounted for.
 Ensure contractors are billed for labor charges that have been
incurred and for materials that have been installed.
11 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
IG/GAO – Next Steps
 Initial assessments that called for inappropriate
weatherization measures or the assessments overlooked key
measures needed to make the homes more energy efficient.
 Ensure that income eligibility source documentation be a part
of every client’s file.
 Ensure the eligibility documentation, whether stored
electronically or hard copy (off site is ok), be readily available
at the request of an outside reviewer.
12 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Inspector General
IG Hotline Complaints
13 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Questions?
14 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Monitoring:
Inspector General and General Accountability Office
DOE’s Monitoring Approach
Presenter: Holly Ravesloot
15 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Frequency
 Minimum Frequency of On-Site Monitoring visits per Year
(more visits may be required based on specific situations or
needs):
– Grants over $90 Million (Quarterly)
– Grants between $90 Million - $40 Million (Three visits)
– Grants under $40 Million (Semi-Annual)
16 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Monitoring Revamp
What were the goal and objectives?
•
The main goal is to transform the current “one size fits all” monitoring
process into a more efficient, comprehensive, and streamlined process.
•
Make sure areas of interest from the IG and GAO are reviewed and any
issues documented.
•
The main objectives are:
1)
Create on-site monitoring checklist questions to provide more specific
answers and a system to appropriately weight and quantify the results.
•
2)
Simplify and create a consistent reporting process.
•
3)
Baseline score, # of findings, concerns, recommendations, etc.
Checklist + narrative answers becomes the report.
Have an online system to track and archive information.
•
Need a tracking system to confirm corrective and action items were issued
and closed out/completed.
17 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Monitoring Revamp
What is the result?
• A refined process to allow the Project Officers to focus
monitoring efforts on specific areas to better identify
existing and potential problems or concerns.
• The checklist was divided into 3 sections:
•
Programmatic & Management
•
Awards Administration
•
Field/Subgrantee Review
18 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Monitoring Instruments
Programmatic &
Management
Field/
Subgrantee
19 | Weatherization Assistance Program: The Federal Perspective (Part 1)
Awards
Administration
eere.energy.gov
Monitoring Preparation
 Grantee/Subgrantee Preparation:
Grantee Program Materials to have available:
o
Grantee and Subgrantee most recently amended agreements
Completed Monitoring Reports (that were sent to the Subgrantees)
o
o
Monitoring Tool or Instrument
o
Procedural Manuals for Program Implementation (with technical reports)
Most recent Grantee support contract/training entities or other contracted activities
o
(Also will need procurement documentation related to the agreements)
o
Inventory Tracking and Records
Subgrantee Program Materials to have available:
o
Grantee State Plan (most recent version)
Amended Award with the Grantee (most recent version)
o
o
Grantee’s Weatherization Policies and Procedures Manual
o
Copies of files of the homes to be visited
Inventory Tracking Materials (if applicable)
o
o
Contracts with subcontractors
o
Procurement documents to verify competition
Most recent documentation of grantee monitoring visit
o
Costs and Fixed Price Lists
o
- Materials
- Services (Audits, Inspections, etc.)
20 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
P&M: Question 14
ELIGIBILITY
Explain how the Grantee assures Subgrantees comply with
income eligibility requirements and identify what procedures the
Subgrantees must follow.
Source Documentation:
10 CFR 440.16: Minimum Program Requirements
10 CFR 440.22: Eligible Dwelling Units
Application Package, III.1
WPN 10-15: Eligibility of Multi-Family
WPN 10-15a: Accrual of Benefits
WPN 10-18: Income Guidelines
WPN 11-1, 5.2: Multi-family Eligibility
WPN 11-1.5.8: Eligibility Levels
Material Review:
Policies on income documentation and eligibility.
Completed monitoring files to determine if eligibility is part of Grantee oversight.
21 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
P&M: Question 28
ENERGY AUDITS
How does the Grantee verify the DOE approved energy audit or priority
list (on file at DOE) is consistent with what the Grantee monitors the
Subgrantee against:
a.
b.
c.
Single Family Units?
Mobile Homes?
Multi-Family Units?
Source Documentation:
10CFR440.14: State Plan
10CFR440.21: Energy Audits
10CFR440.23: Oversight, Training &
Technical Assistance
10CFR440.24: Recordkeeping
WPN 11-1.5.5: Energy Audit Criteria
WPN 01-4
WPN 05-5
WPN 09-4
WPN 09-8
22 | Weatherization Assistance Program: The Federal Perspective (Part 1)
Material Review:
State Plan Review
Audit System Review
Sample Audit Report (from client files)
Priority List Approval Information
eere.energy.gov
Next Steps
 Finalize Checklist
 Issue Guidance Document with checklist as attachments
 Any questions?
23 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Quality Assurance
Inspector General and General Accountability Office
Presenter: Erica Burrin
24 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Quality Assurance (QA) Contractor
Process
 Oakridge National Laboratory is the responsible party that
oversees the QA contractor, Institute for Building Technology
and Safety (IBTS)
 IBTS will conduct both file reviews and quality assurance
visits at homes completed using ARRA funds
25 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Quality Assurance (QA) Contractor
Process
 QA visits will include the following activities at the
subgrantee’s office and various work sites:
1. Examining of a representative sample of client work files
based on weatherized homes reported or planned to be
reported by the subgrantee during the ARRA period
2. Scheduling of site visits to a representative sample of
completed homes
3. Visiting a representative sample of homes reported as
completed by the subgrantee.
26 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Quality Assurance (QA) Contractor
Process
 Observations made and recorded by IBTS may include:
1. Completeness of client files
2. Measures called for on a work order as compared to measures
installed
3. Documentation of a completed final inspection by the
subgrantee
4. Measures billed to the WAP program for labor and material costs
versus measures installed on units
5. Quality of workmanship/adherence to state field guides
27 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Quality Assurance (QA) Contractor
Protocols
 Communication Process
 File Collection
 Scheduling Site Visits
28 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov
Quality Assurance (QA) Contractor
 How will DOE use the information from the QA contractor?
1. Database Creation
2. Project Officer Review
3. National Data Trends
29 | Weatherization Assistance Program: The Federal Perspective (Part 1)
eere.energy.gov