2010 Orientation for State WAP Directors and Staff

1. 2010 Orientation for State WAP Directors and Staff WAP State Plan Application: Annual File and On-File Holly Ravesloot, Michael Peterson, Jean Diggs

2. 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

3. 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

4. Grant Application Format • 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

5. Grant Application Format (cont’d) • Policy Advisory Council • Hearings and Transcripts • Adjustments to On-File Information • Miscellaneous • SF-LLL - only if applicable

6. Annual File • II.1 Grant Application - Standard Form 424 (SF-424) (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)

7. 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.

8. 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

9. 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)

10. 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)

11. 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

12. 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)

13. 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

14. Annual File • II.5 Energy Savings • 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 DOE-provided 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

15. 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.

16. 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

17. 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

18. 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

19. 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)

20. 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.

21. 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

22. 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

23. Administrative Funds, Cont. • New DOE and/or Stripper Well funding used for administrative purposes can’t exceed 10% of NEWfunding • 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

24. Administrative Funds • Uses of these Funds Include • Salaries • Telephone Costs • Space • Copying • Supplies

25. 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

29. 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.

30. 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

31. 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 Also, from time to time on-file information may be requested by DOE

32. 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.

33. 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

34. 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 county-basis or the service area of the community action agencies.)

35. 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.

36. 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

37. 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

38. 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.

39. 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.

40. III.5 Program Management • 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 III.5.1Overview

41. 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

42. III.5.3 Monitoring Approach • The method used to ensure the quality of work and adequate financial management control at the subgranteelevel • 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.

43. 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

44. Doing Business with the Federal Government

45. 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

46. 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