New York State Weatherization Assistance Program Policy and Procedures Manual
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Office of Housing Preservation NEW YORK STATE WEATHERIZATION ASSISTANCE PROGRAM POLICY and PROCEDURES MANUAL Revised April 2017 New York State Weatherization Assistance Program Policy and Procedures Manual Table of Contents Section 1.00: Overview ............................................................................................................................... 1 Sub Section 1.01: About the Weatherization Assistance Program ......................................................... 2 Sub Section 1.02: Policy & Procedures Manual ..................................................................................... 3 Sub Section 1.03: Program Organization ................................................................................................ 4 Sub Section 1.04: Funding ...................................................................................................................... 6 Sub Section 1.05: Policy Advisory Council and Subgrantee Task Force ............................................... 7 Sub Section 1.06: State Plan ................................................................................................................... 8 Section 2.00: Weatherization Program Administrative Requirements ....................................................... 9 Sub Section 2.01: Subgrantee Roles and Responsibilities .................................................................... 10 Sub Section 2.02: Required Subgrantee Documentation ...................................................................... 11 Sub Section 2.03: Insurance Requirements ........................................................................................... 12 Sub Section 2.04: Bank Account Requirements ................................................................................... 14 Sub Section 2.05: Contract Management .............................................................................................. 15 Sub Section 2.06: Budget Amendment ................................................................................................. 16 Sub Section 2.07: Staff Functions/Titles ............................................................................................... 17 Sub Section 2.08: Electronic Data Collection, Management, Transfer ................................................ 19 Sub Section 2.09: Coordination with Other Programs .......................................................................... 21 Sub Section 2.10: Coordinated Work .................................................................................................... 23 Sub Section 2.11: Program Income ....................................................................................................... 25 Sub Section 2.12: Incentive Compensation........................................................................................... 26 Sub Section 2.13: Fee-for-service Activities......................................................................................... 27 Sub Section 2.14: Training and Technical Assistance .......................................................................... 29 Sub Section 2.15: Travel ....................................................................................................................... 34 Sub Section 2.16: Prior Approvals for Certain Expenditures or Work ................................................. 35 Sub Section 2.17: Program Field Representative Review/Visit ............................................................ 36 Sub Section 2.18: Fiscal Field Representative Review/Visit ................................................................ 40 Sub Section 2.19: Required File Documentation .................................................................................. 42 Sub Section 2.20: Comprehensive Annual Subgrantee Evaluations ..................................................... 44 Sub Section 2.21: Conflict of Interest ................................................................................................... 45 Sub Section 2.22: Dispute Resolution ................................................................................................... 48 Sub Section 2.23: Subgrantee Termination ........................................................................................... 49 NYS Weatherization Assistance Program Policy and Procedures Manual i Revised April 2017 New York State Weatherization Assistance Program Policy and Procedures Manual Section 3.00: The Weatherization Process: Outreach, Application and Selection ................................... 51 Sub Section 3.01: Outreach – Promotion .............................................................................................. 55 Sub Section 3.02: Priorities for Assistance ........................................................................................... 56 Sub Section 3.03: Services to Agency Employees and Board Members .............................................. 57 Sub Section 3.04: Interagency Referrals ............................................................................................... 58 Sub Section 3.05: Weatherization Application ..................................................................................... 59 Sub Section 3.06: Applicant Intake in Rental Buildings ....................................................................... 60 Sub Section 3.07: Eligibility ................................................................................................................. 62 Sub Section 3.07.01: Categorical Eligibility ..................................................................................... 63 Sub Section 3.07.02: Income Eligibility ............................................................................................ 65 Sub Section 3.07.03: Computation of Income ................................................................................... 66 Sub Section 3.07.04: Income Documentation ................................................................................... 67 Sub Section 3.07.05: Income Exclusions .......................................................................................... 69 Sub Section 3.07.06: Eligibility of Special Groups ........................................................................... 72 Sub Section 3.08: Notice of Eligibility ................................................................................................. 75 Sub Section 3.09: Notice of Ineligibility ............................................................................................... 77 Sub Section 3.10: Appeals of Ineligibility ............................................................................................ 78 Section 4.00: The Weatherization Process: Owner Participation and Tenant Protections ....................... 79 Sub Section 4.01: Building Qualification ............................................................................................. 80 Sub Section 4.01.01: Documentation of Ownership ......................................................................... 81 Sub Section 4.01.02: Multi-family Building Qualification ............................................................... 82 Sub Section 4.01.03: Assisting Building with Vacant Units ............................................................. 83 Sub Section 4.01.04: Previously-assisted Buildings ......................................................................... 84 Sub Section 4.02: Owner Agreements .................................................................................................. 85 Sub Section 4.02.01: Preliminary Agreement ................................................................................... 86 Sub Section 4.02.02: Term of Owner Agreement ............................................................................. 87 Sub Section 4.02.03: Single-family Building Owner Agreement ..................................................... 88 Sub Section 4.02.04: Life-use Agreements (Single-family).............................................................. 89 Sub Section 4.02.05: One-to-four Unit Building Owner Agreement ................................................ 90 Sub Section 4.02.06: Multi-family Building Owner Agreement....................................................... 91 Sub Section 4.03: Tenant Protections ................................................................................................... 92 Sub Section 4.04: Owner Investment .................................................................................................... 93 Sub Section 4.04.01: Owner Investment for One-to-four Unit Buildings ......................................... 94 NYS Weatherization Assistance Program Policy and Procedures Manual ii Revised April 2017 New York State Weatherization Assistance Program Policy and Procedures Manual Sub Section 4.04.02: Owner Investment for Multi-family Buildings ............................................... 95 Sub Section 4.04.03: Buildings Eligible for RPL Section 581-a Reduction ..................................... 96 Sub Section 4.04.04: Negotiating Additional Owner Investment ..................................................... 97 Sub Section 4.04.05: Direct Investment ............................................................................................ 98 Sub Section 4.04.06: Indirect Investment .......................................................................................... 99 Sub Section 4.04.07: