Appendix 2 WEATHERIZATION PROGRAM OPERATIONS MANUAL
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DEPARTMENT OF HOUSING AND COMMUNITY DEVELOPMENT 7800 HARKINS ROAD LANHAM, MD 20706 HOUSING & BUILDING ENERGY PROGRAMS Appendix 2 WEATHERIZATION PROGRAM OPERATIONS MANUAL Revised August 2015 The Maryland Department of Housing and Community Development (DHCD) pledges to foster the letter and spirit of the law for achieving equal housing opportunity in Maryland. http://www.dhcd.state.md.us 1 WEATHERIZATION PROGRAM OPERATIONS MANUAL TABLE OF CONTENTS SECTION 1 Introduction and Program Overview………………………………………………...……………….5 A. The Federal Program B. The EmPOWER LIEEP Program C. State Administration D. Weatherization Assistance Agreements E. Programs Operations Manual F. Hancock Program Management Software SECTION 2 Definition of Terms……………………………………………………………………………………12 SECTION 3 Network Partners Roles and Responsibilities………………………………………...……………..17 A. Local Weatherization Agencies and Statewide Weatherization Contractors Minimum Requirements B. Budget and Production C. Documentation of Service Delivery D. Regulations Files SECTION 4 Local Weatherization Agencies (LWAS)…………………………..………………..….……………21 SECTION 5 Customer Application Process and Eligibility Determination………..………….…………….......25 SECTION 6 Customer Denial and Hearing Process…………………………………………..…………………..37 A. Customer Denial Process B. Review and Hearing Process C. Procedures for Informal Dispute Settlement D. Procedures for Local Hearings E. Procedures for State Hearings 2 SECTION 7 Weatherization Service Delivery Priorities…………………………….………..…………………..41 A. Single-family Homes B. Mobile Homes C. Multi-Family Dwellings 1. One unit within a Multi-Family Dwelling 2. Duplexes & 4-Unit Dwellings 3. Triplexes & 5 or More Units 4. HUD Units SECTION 8 Weatherization Service Delivery Standards……………………………...…………………………46 SECTION 9 Quality Control and Quality Assurance for Weatherization Units…………………………….....85 A. Quality Control Inspection Requirements B. Inspection Submission and Sampling C. Inspection Procedures D. Acceptance of Work E. Customer “No-Show” Policy SECTION 10 Management Information……………………………………………………….…..………………..89 A. Targeting of Eligible Population – Outreach B. Re-Weatherization C. Limits of Service D. Unoccupied Dwelling Units E. Single-family Audit Requirements F. Program Oversight and Monitoring (DOE) G. Minority Business Enterprise (MBE) for SWCs SECTION 11 Recordkeeping and Reporting…………………………………………..………………………..…..93 A. Work Order B. Change Work Order C. Documentation of Service Delivery 1. Customer Files 2. Multi-Family Building Files 3 3. Report Files 4. Insurance Files 5. Regulation Files 6. Procurement Files D. Use of Logs E. Invoicing F. Local Agency Reimbursement G. Local Agency Fiscal Records 1. Allowable Costs 2. Disallowed Costs SECTION 12 Fiscal Management ………..………………………………………………..…..….…………………98 A. Grant Agreements B. Funding Availability C. Allocations D. Budget Proposals SECTION 13 Financial Management System…………………………………………………………………..101 A. Budget Categories B. Accounting C. Budget Controls D. Internal Controls E. Cost Allocation F. Property Management SECTION 14 Acquisition Use and Disposal of Property…………………………..………………...……………107 A. Vehicle and Equipment Purchase B. Vehicle and Equipment Disposal C. Equipment, Tools, and Vehicle Inventory D. Inventory and Warehousing E. Procurement SECTION 15 Invoicing and Reporting Database………………………..……………….………………………..112 A. Hancock Energy Software B. Invoicing 4 SECTION 16 Responsible Contractors…………………………………...………………………………………..116 A. Administration of Funds B. For Profit Activities/Program Income C. Audits SECTION 17 Financial Monitoring……………………………………….………………………………………..118 A. Record Keeping B. Reporting Forms Index………………………………………….………………………………………………128 RPIP-1 Permission to Enter Premises RPIP-2 Weatherization Information Sheet RPIP-3 Building Owner Agreement RPIP-4 Building Owner Agreement: Agency’s Scope of Work RPIP-5 Building Owner Agreement: Eligible Dwelling Units & Rent RPIP-6 Building Owner Agreement: Owner’s Scope of Work/Investment RPIP-7 Tenant Synopsis of Owner’s Agreement V-A Roomers or Boarders Separate Living Quarters Form V-B Recertification of SSI Income V-BA Instructions for Form V-B V-D Weatherization Assistance Application Form V-F Agency Quality Control Form V-G Additional Application Information V-H Income Source Form V-I Declaration of Income V-J Deferral Letter V-K Notification of Eligibility for Weatherization VI-A Denial Letter VI-B Your Hearing Rights VI-C Request for Review of Decision Form VI-D Notice of Scheduled Local Hearing VI-E Appeals Hearing Decision Letter VI-F Request for State Level Hearing VI-G Notice of Scheduled State Level Hearing 5 Appendix A – DOE WAP Specific Guidance Appendix B – EmPOWER LIEEP Specific Guidance Appendix C – RGGI /SEIF Specific Guidance Appendix D – LIHEAP/MEAP Specific Guidance Appendix D-1A – MBE Utilization and Fair Solicitation Affidavit & MBE Participation Schedule – Instructions Appendix E – Subgrantee Fiscal & Programmatic Management Monitoring Tool Appendix F - CIF (SF) Targeted & Enhanced Weatherization Program - Contractor Implementation Guide Appendix G - Maryland Standard Weatherization Measure Price List Appendix H - Equipment Tracking Data Form Appendix I - DOE Close Out Form Appendix J - Vehicle and Equipment Disposal Request 6 SECTION 1 INTRODUCTION AND PROGRAM OVERVIEW Weatherization has evolved considerably since its inception in the late 1970’s. Today’s weatherization comprises a comprehensive series of energy efficiency measures based on a sophisticated analysis of the individual home. This analysis uses a whole-house approach, modeling the entire structure and the proposed improvements in great detail to maximize energy and dollar savings. Because of this rigorous approach and the building science that supports the improvements, low-income weatherization programs have become leaders in advancing residential building science and in helping to create a profitable new industry that provides home energy efficiency services to the wider public, regardless of income. The Maryland Department of Housing and Community Development’s (DHCD) weatherization programs operated by DHCD’s Housing and Building Energy Programs (HBEP) unit, helps eligible low-income households with the installation of energy conservation materials in their homes. These measures are intended to reduce both the consumption of energy and maintenance cost for these homes. DHCD administers low-income weatherization programs Statewide, utilizing a number of funding sources that include the U.S. Department of Energy’s Weatherization Assistance Program (DOE WAP), the EmPOWER Low-income Energy Efficiency Program (LIEEP), the Low-income Home Energy Assistance Program (LIHEAP), and the Regional Greenhouse Gas Initiative (RGGI), known in Maryland as the Strategic Energy Investment Funds (SEIF). DHCD’s Housing and Building Energy Programs (HBEP) staff provides the management, technical assistance and administrative support for its weatherization programs. SECTION 1.A THE FEDERAL PROGRAM The Department of Energy’s Weatherization Assistance Program enables low-income families to permanently reduce their energy bills by making their homes more energy efficient. Funds are used to improve the energy performance of dwellings of needy families using the most advanced technologies and testing protocols available in the housing industry. The U.S. Department of Energy (DOE) provides funding to states, U.S. overseas territories, and Indian tribal governments, which manage the day-to-day details of the program. These governments, in turn, fund a network of local community action agencies, nonprofit organizations, and local governments that provide these weatherization services in every state, the District of Columbia, U.S. territories, and among Native American tribes. In Maryland, the Governor designates a Department within State government to serve as the 7 administering agency for DOE’s WAP. Maryland’s Department of Housing and Community Development (DHCD), has administered the DOE WAP program in this State since 1987. During the past 27 years, DOE WAP funds have provided weatherization services to more than 6.4 million low-income households across the country. Families receiving weatherization services typically see their annual energy bills reduced by an average of about $437, depending on fuel prices. Program services are available to both homeowners and renters, with priority given to senior citizens, families with children and persons with disabilities. Because the energy improvements that make up weatherization services are long-lived, the savings add up over time to substantial benefits for weatherization clients and their communities, and the nation as a whole. DOE WAP funding is broken down into three major categories - administration, training/technical assistance and benefits. The number of units weatherized in any given year is a direct result of funding received for the program and the amount of funds allowed by regulation to be spent on each unit. Each year, HBEP staff prepares and submit a WAP State Plan to the DOE for their review and approval. This State Plan outlines the method for delivering services through the DOE WAP program during the WAP program year, July 1 to June 30. Once the State Plan is approved, HBEP staff process the Weatherization Assistance Agreements (WAA) for the Local Weatherization Agencies. SUBSECTION 1.B THE EmPOWER LOW-INCOME ENERGY EFFICIENCY (LIEEP) PROGRAM In 2008, the Maryland General Assembly passed the EmPOWER Maryland Energy Efficiency